CStone Pharmaceuticals — Share Issue/Capital Change 2020

Sep 3, 2020

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Monthly Return of Equity Issuer on Movements in Securities

For the month ended

(dd/mm/yyyy) : 31/08/2020

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer Date Submitted	CStone Pharmaceuticals(Remark Note 1) 03/09/2020

I. Movements in Authorised Share Capital

1. Ordinary Shares

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(1) Stock code : 2616 Description : Ordinary Shares
Authorised share
No. of ordinary Par value capital
shares (USD) (USD)
Balance at close of preceding
month 2,000,000,000 0.0001 200,000
Increase/(decrease) Nil Nil
Balance at close of the month 2,000,000,000 0.0001 200,000
(2) Stock code : N/A Description : N/A
Par value Authorised share
No. of ordinary (State capital
shares currency) (State currency)
Balance at close of preceding
month
Increase/(decrease)
Balance at close of the month
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March 2019

1. Preference Shares

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Stock code : N/A Description : N/A
No. of Par value Authorised share
preference (State capital
shares currency) (State currency)
Balance at close of preceding
month
Increase/(decrease)
Balance at close of the month
3. Other Classes of Shares
Stock code : N/A Description : N/A
No. of other Par value Authorised share
classes of (State capital
shares currency) (State currency)
Balance at close of preceding
month
Increase/(decrease)
Balance at close of the month
Total authorised share capital at the end of the month USD200,000
(State currency) :
II. Movements in Issued Share Capital
No. of ordinary shares No of
preference No. of other
(1) (2) shares class of shares
Balance at close of
preceding month 1,044,925,911 N/A N/A N/A
Increase/ (decrease)
during the month 9,904,381 N/A N/A N/A
Balance at close of
the month 1,054,830,292 N/A N/A N/A
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March 2019

III. Details of Movements in Issued Share Capital

Share Options (under Share Option Schemes of the Issuer)

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No. of new No. of new
Particulars of share shares of shares of issuer
option scheme Movement during the month issuer issued which may be
including EGM during the issued
approval date month pursuant
(dd/mm/yyyy) and pursuant thereto as at
class of shares thereto close of the
issuable month
Granted Exercised Cancelled Lapsed
1. Pre-IPO
Incentivization
Plan adopted
on 07/07/2017
and amended
on 14/08/2018
and further
amended and
restated on
26/01/2019
Ordinary shares Nil 796,286 Nil 852,433 796,286 28,223,680
(Note 1)
2. Post-IPO
Employee
Share Option
Plan adopted
by the
Company on
30/01/2019,
with effect on
26/02/2019
Ordinary shares Nil Nil Nil 260,002 Nil 62,095,565
(Note 1)
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March 2019

1. N/A

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( / / )
shares
(Note 1)
Total A. (Ordinary shares) 796,286
(Preference shares) N/A
(Other class) N/A
Total funds raised during the month from
exercise of options (State currency) HK$647,436.38
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March 2019

Warrants to Issue Shares of the Issuer which are to be Listed

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No. of
new No. of new
shares of shares of
issuer issuer
issued which may
during be issued
Currency Nominal Nominal the pursuant
Description of warrants of value at close Exercised value at month thereto as
(Date of expiry - nominal of preceding during the close of the pursuant at close of
dd/mm/yyyy) value month month month thereto the month
1. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable (Note 1)
Subscription
price
EGM approval
date
(if applicable)
(dd/mm/yyyy) ( / / )
2. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable (Note 1)
Subscription
price
EGM approval
date
(if applicable)
(dd/mm/yyyy) ( / / )
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March 2019

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3. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable (Note 1)
Subscription
price
EGM approval
date
(if applicable)
(dd/mm/yyyy) ( / / )
4. N/A
( / / )
Stock code (if
listed)
Class of shares
issuable (Note 1)
Subscription
price
EGM approval
date
(if applicable)
(dd/mm/yyyy) ( / / )
Total B. (Ordinary shares) N/A
(Preference shares) N/A
(Other class) N/A
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March 2019

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

No. of new No. of new shares of shares of issuer issuer issued which may during the be issued month pursuant Amount at pursuant thereto as Currency of close of Converted Amount at thereto at close of Class and amount preceding during the close of the the month description outstanding month month month 1. N/A Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy)) ( / / ) 2. N/A

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Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / )

March 2019

1. N/A Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. N/A Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A

March 2019

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)

ny other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, ncludingOptions(other than under Share Option Schemes)	ny other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, ncludingOptions(other than under Share Option Schemes)	ny other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, ncludingOptions(other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy), if applicable,and class of shares issuable: No. of new shares of issuer issued during the month pursuant thereto No. of new shares of issuer which may be issued pursuant thereto as at close of the month
1. 2. 3.	N/A ( / / ) shares(Note 1) N/A ( / / ) shares(Note 1) N/A ( / / ) shares(Note 1) Total D.(Ordinaryshares) N/A (Preference shares) N/A (Other class) N/A
	N/A
	( / / )
	shares(Note 1)
	N/A
	( / / )
	shares(Note 1)
	Total D.(Ordinaryshares)
	(Preference shares)
	(Other class)

March 2019

Other Movements in Issued Share Capital

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No. of new shares No. of
of issuer issued new
during the month shares of
pursuant thereto issuer
which
may be
issued
pursuant
thereto as
at close
of the
Type of Issue month
Class of shares
issuable (Note N/A
1)
Issue and ( / / )
At State
1. Rights issue allotment date :
price : currency
(dd/mm/yyyy)
( / / )
EGM approval
date:
(dd/mm/yyyy)
Class of shares N/A
issuable (Note
1)
( / / )
Issue and
At State
2. Open offer allotment date :
price : currency
(dd/mm/yyyy) ( / / )
EGM approval
date:
(dd/mm/yyyy)
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March 2019

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Class of shares N/A
issuable (Note
1)
( / / )
Issue and
At State allotment
3. Placing
price : currency date : ( / / )
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
Class of shares N/A
issuable (Note
1)
( / / )
Issue and
allotment
4. Bonus issue
date : ( / / )
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
Class of shares
issuable (Note N/A
1)
Issue and ( / / )
5. Scrip dividend [At ] State allotment
price : currency date :
(dd/mm/yyyy) ( / / )
EGM approval
date:
(dd/mm/yyyy)
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March 2019

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Class of shares
repurchased N/A
(Note 1)
Cancellation ( / / )
6. Repurchase of
date :
shares
(dd/mm/yyyy)
( / / )
AGM approval
date:
(dd/mm/yyyy)
Class of shares
redeemed N/A
(Note 1)
Redemption ( / / )
7. Redemption of
date :
shares
(dd/mm/yyyy)
( / / )
EGM approval
date:
(dd/mm/yyyy)
Class of shares
issuable (Note N/A
1)
Issue and ( / / )
8. Consideration At State allotment
issue price : currency date :
(dd/mm/yyyy) ( / / )
EGM approval
date:
(dd/mm/yyyy)
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March 2019

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Class of shares
issuable (Note N/A
1)
Issue and ( / / )
9. Capital allotment
reorganisation date :
(dd/mm/yyyy) ( / / )
EGM approval
date:
(dd/mm/yyyy)
Class of shares Ordinary
issuable (Note Shares
10. Other
1)
(Issue of
ordinary
Issue and (19/08/2020)
shares under a
At State USD allotment
specific
price : currency 0.0001 date :
mandate
(dd/mm/yyyy)
pursuant to
the Post-IPO
AGM approval (23/06/2020)
RSU Scheme)
date:
(dd/mm/yyyy)
9,108,095
Total E. (Ordinary
shares) 9,108,095
(Preference shares) N/A
(Other class) N/A
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March 2019

Total increase / (decrease) in ordinary shares during the month (i.e. Total of 9,904,381 A to E): (1) (2) N/A Total increase / (decrease) in preference shares during the month (i.e. Total N/A of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. N/A Total of A to E):

(These figures should be the same as the relevant figures under II above (“Movements in Issued Share Capital”).)

IV. Confirmations

We hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued by the issuer during the month as set out in Part III which has not been previously disclosed in a return published under rule 13.25A, it has been duly authorized by the board of directors of the listed issuer and, insofar as applicable:

(Note 2)

• (i) all money due to the listed issuer in respect of the issue of securities has been received by it;

• (ii) all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under “Qualifications of listing” have been fulfilled;

• (iii) all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;

• (iv) all the securities of each class are in all respects identical (Note 3);

• (v) all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has been made with other legal requirements;

• (vi) all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue;

• (vii) completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and

• (viii) the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.

March 2019

Remarks (if any):

1. The company was incorporated in the Cayman Islands with limited liability.

Submitted by: Frank Ningjun Jiang

Title: Director (Director, Secretary or other duly authorised officer)

Notes :

1. State the class of shares (e.g. ordinary, preference or other).

2. Items (i) to (viii) are suggested forms of confirmation which may be amended to meet individual cases. Where the issuer has already made the relevant confirmations in a return published under rule 13.25A in relation to the securities issued, no further confirmation is required to be made in this return.

3. “Identical” means in this context:

4. the securities are of the same nominal value with the same amount called up or paid up;

5. they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to exactly the same sum (gross and net); and

6. they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

8. If there is insufficient space, please append the prescribed continuation sheet.

March 2019