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CStone Pharmaceuticals Share Issue/Capital Change 2020

Jan 7, 2020

50715_rns_2020-01-07_08046e54-8d0f-48c0-894a-38ada6688410.pdf

Share Issue/Capital Change

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Monthly Return of Equity Issuer on Movements in Securities

For the month ended

(dd/mm/yyyy) : 31/12/2019

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer CStone Pharmaceuticals (Remark Note 1) Date Submitted 07/01/2020

I. Movements in Authorised Share Capital

1. Ordinary Shares

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

March 2019

  1. Preference Shares
Stock code :
N/A
Description :
N/A
No. of
preference
shares
Balance at close of preceding
month
Increase/(decrease)
Balance at close of the month		 N/A Authorised share
capital
(State currency)
Par value
(State
currency)

3. Other Classes of Shares

3. Other Classes of Shares
Stock code :
N/A
Description :
N/A
No. of other
classes of
shares
Balance at close of preceding
month
Increase/(decrease)
Balance at close of the month		 N/A Authorised share
capital
(State currency)
Par value
(State
currency)

Total authorised share capital at the end of the month USD200,000 (State currency) :

II. Movements in Issued Share Capital

Balance at close of
preceding month
Increase/ (decrease)
during the month
Balance at close of
the month		 No. of ordinary shares
(1)
(2)		 No. of ordinary shares
(1)
(2)		 No of
preference
shares		 No. of other
class of shares
1,012,681,341
15,393,449
1,028,074,790
N/A
N/A

N/A		 N/A
N/A
N/A		 N/A
N/A
N/A

March 2019

III. Details of Movements in Issued Share Capital

Share Options (under Share Option Schemes of the Issuer)

Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Movement duringthe month Movement duringthe month Movement duringthe month Movement duringthe month 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		 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
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
Nil

6,906,500		 1,154,897

Nil
Nil

Nil
 54,995
1,154,897

Nil		 35,212,754
Ordinaryshares
(Note 1)
2. Post-IPO
Employee
Share Option
Plan adopted
by the
Company on
30/01/2019,
with effect on
26/02/2019		 40,000 51,689,921
Ordinaryshares
(Note 1)

March 2019

3. N/A
( / / )
shares
(Note 1)
Total
Total funds raised during the month from
exercise of options (State currency)		 A. (Ordinary shares)
1,154,897
(Preference shares)
N/A
(Other class)
N/A
HK$745,494.4

1,154,897

N/A

N/A

March 2019

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

Description of warrants
(Date of expiry -
dd/mm/yyyy)		 Description of warrants
(Date of expiry -
dd/mm/yyyy)		 Description of warrants
(Date of expiry -
dd/mm/yyyy)		 Currency
of
nominal
value
Nominal
value at close
of preceding
month
Exercised
during the
month		 Currency
of
nominal
value
Nominal
value at close
of preceding
month
Exercised
during the
month		 Currency
of
nominal
value
Nominal
value at close
of preceding
month
Exercised
during the
month		 Nominal
value at
close of the
month
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
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. 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)
( / / )

March 2019

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

March 2019

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

Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed) Convertibles(i.e. Convertible into Shares of the Issuer which are to be Listed)
Class and
description		 Currency of
amount
outstanding		 Amount at
close of
preceding
month		 Converted
during the
month

Amount at
close of the
month
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. 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)
)
( / /
)
( / /

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)

Full particulars including EGM approval date
(dd/mm/yyyy),
if applicable,and class of shares issuable:		 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		 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 N/A
N/A
N/A
( / / )
shares(Note 1)
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

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

March 2019

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

March 2019

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

March 2019

9. Capital
reorganisation		 Class of shares
issuable (Note
1)
Issue and
allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
N/A
( / / )
( / / )
10. Other
(Issue of new
shares for the
vesting and
settlement of
restricted
share units
under Pre-IPO
Incentivization
Plan)
At
price :
State
currency
USD0.0001
Class of shares
issuable (Note
1)
Issue and
allotment
date :
(dd/mm/yyyy)
EGM approval
date:
(dd/mm/yyyy)
Ordinary
Shares
(4/12/2019)
(N/A)
 14,238,552
Total E. (Ordinary
shares)
(Preference shares)
(Other class)		 14,238,552
N/A
N/A

March 2019

Total increase / (decrease) in ordinary shares during the month (i.e. Total of 15,393,449 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

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