DFZQ — AGM Information 2019

Apr 11, 2019

Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited and Hong Kong Securities Clearing Company Limited take no responsibility for the contents of this notice, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this notice.

(A joint stock company incorporated in the People’s Republic of China with limited liability under the Chinese corporate name “ 東方證券股份有限公司 ” and carrying on business in Hong Kong as “ 東方證券 ” (in Chinese) and “DFZQ” (in English))

(Stock Code: 03958)

NOTICE OF ANNUAL GENERAL MEETING

NOTICE IS HEREBY GIVEN that the Annual General Meeting (the “ Annual General Meeting ”) of 東方證券股份有限公司 (the “ Company ”) will be held at Meeting Room, 4/F, Building 2, No. 318 South Zhongshan Road, Shanghai, the People’s Republic of China (the “ PRC ”) on Tuesday, May 28, 2019 at 2:00 p.m., for the following purposes:

ORDINARY RESOLUTIONS

1. To consider and approve the report of the Board of Directors of the Company for the year 2018.

2. To consider and approve the report of the Supervisory Committee of the Company for the year 2018.

3. To consider and approve the final accounts report of the Company for the year 2018.

• To consider and approve the profit distribution proposal of the Company for the year 2018.

• To consider and approve the annual report of the Company for the year 2018.

1. To consider and approve the proposal regarding the proprietary business scale of the Company in 2019.

2. To consider and approve the proposal regarding the engagement of auditing firms for the year 2019.

3. To consider and approve the proposal regarding the projected routine related party transactions of the Company in 2019, including:

   • 8.01 Routine related party transactions with Shenergy (Group) Company Limited and its related companies;

   • 8.02 Routine related party transactions with other related parties.

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1. To consider and approve the proposal regarding the expected provision of guarantees by the Company in 2019.

SPECIAL RESOLUTIONS

1. To consider and approve the proposal regarding the general mandate to issue offshore debt financing instruments of the Company, including:

• 10.01 Issue methods;

• 10.02 Issue type;

• 10.03 Issue size;

• 10.04 Issuer;

• 10.05 Issue term;

• 10.06 Issue interest rate, way of payment and issue price;

• 10.07 Security and other arrangements;

• 10.08 Use of proceeds;

• 10.09 Issue target;

• 10.10 Listing of debt financing instruments;

• 10.11 Authorisation matters of issuance of offshore debt financing instruments;

• 10.12 Validity period of resolution.

1. To consider and approve the proposal regarding the amendments to the articles of association of the Company.

By order of the Board of Directors

PAN Xinjun

Chairman

Shanghai, the PRC April 12, 2019

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Notes:

1. Eligibility for attending the Annual General Meeting and date of registration of holders for H Shares

The register of members of H Shares of the Company will be closed from Sunday, April 28, 2019 to Tuesday, May 28, 2019 (both days inclusive), during which time no share transfers of H Shares will be effected. Purchasers of shares who have submitted their instruments of share transfer to the H Share Registrar of the Company and registered as shareholders on the register of members of H Shares of the Company before 4:30 p.m. on Friday, April 26, 2019 are entitled to attend and vote in respect of all resolutions to be proposed at this Annual General Meeting.

In order to attend this Annual General Meeting, holders of H Shares should ensure that all transfer documents, accompanied by the relevant share certificates, are lodged with the Company’s H Share Registrar, Computershare Hong Kong Investor Services Limited, at Shops 1712-1716, 17th Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong, before 4:30 p.m. on Friday, April 26, 2019.

2. Proxy

• (1) Each shareholder entitled to attend and vote at the Annual General Meeting may appoint one or more proxies in writing to attend and vote on his behalf. A proxy need not be a shareholder of the Company.

• (2) The instrument appointing a proxy must be in writing under the hand of the appointor or his attorney duly authorized in writing, or if the appointor is a legal entity, either under seal or signed by a director or a duly authorized attorney. If that instrument is signed by an attorney of the appointor, the power of attorney authorizing that attorney to sign or other document of authorization must be notarized.

To be valid, for holders of H Shares, the form of proxy and notarized power of attorney or other document of authorization must be delivered to the Company’s H Share Registrar, Computershare Hong Kong Investor Services Limited, at 17M Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong not less than 24 hours before the time appointed for the Annual General Meeting (i.e. before 2:00 p.m. on Monday, May 27, 2019).

3. Registration procedures for attending the Annual General Meeting

• (1) A shareholder or his proxy should present proof of identity when attending the Annual General Meeting. If a shareholder is a legal person, its legal representative or other person authorized by the board of directors or other governing body of such shareholder may attend the Annual General Meeting by providing a copy of the resolution of the board of directors or other governing body of such shareholder appointing such person to attend the meeting.

• (2) Shareholders intending to attend the Annual General Meeting in person or by their proxies should complete and return the reply slip for attending the Annual General Meeting to the Company’s H Share Registrar, Computershare Hong Kong Investor Services Limited (for holders of H Shares), at 17M Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong on or before Wednesday, May 8, 2019.

4. Voting by poll

According to Rule 13.39(4) of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited, any vote of shareholders at a shareholders’ general meeting must be taken by poll.

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5. Miscellaneous

• (1) The Annual General Meeting is expected to be held for no more than half a day. Shareholders who attend the meeting in person or by proxy shall bear their own travelling and accommodation expenses.

• (2) The address of Computershare Hong Kong Investor Services Limited is:

17M Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong.

• (3) The registered office of the Company:

22/F, 23/F and 25-29/F Building 2, No. 318 South Zhongshan Road Shanghai The People’s Republic of China Contact office: Office of the Board Telephone No.: 86 (21) 63325888 Facsimile No.: 86 (21) 63326010 Contact Person: Mr. DENG Haipeng

• (4) Please refer to the circular of the Company in relation to the Annual General Meeting to be published on or before Wednesday, May 8, 2019 for details of the resolutions to be proposed at the Annual General Meeting for consideration and approval.

As at the date of this notice, the Board of Directors comprises Mr. PAN Xinjun and Mr. JIN Wenzhong as executive Directors; Mr. LIU Wei, Mr. WU Junhao, Mr. CHEN Bin, Mr. LI Xiang, Ms. XIA Jinghan, Mr. XU Jianguo and Mr. DU Weihua as non-executive Directors; and Mr. XU Guoxiang, Mr. TAO Xiuming, Mr. WEI Anning, Mr. XU Zhiming and Mr. JIN Qinglu as independent non-executive Directors.

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