DFZQ — Capital/Financing Update 2016

Jun 22, 2016

Hong Kong Public Offering — White Form eIPO Service Provider Application Form 香港公開發售 － 白表eIPO服務供應商申請表格 Please use this application form if you are a White Form eIPO Service Provider and are applying for Hong Kong Offer Shares on behalf of underlying applicants. 倘 閣下為白表eIPO服務供應商並代表相關申請人申請認購香港發售股份，請使用本申請表格。

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(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) (the “ Company ”)) （於中華人民共和國註冊成立的股份有限公司，中文公司名稱為 「東方證券股份有限公司」，在香港以「東方證券」（中文）及「DFZQ」（英文）開展業務（「 本公司 」）） GLOBAL OFFERING 全球發售 Number of Offer Shares under the Global Offering : 957,000,000 H Shares (comprising 870,000,000 H Shares to be offered by the Company and 87,000,000 Sale Shares to be sold by the Selling Shareholders, subject to the Over-allotment Option) 全球發售的發售股份數目 ： 957,000,000股H股（包括本公司將予提呈發售的870,000,000股H股及售股股東 將予售出的87,000,000股銷售股份，視乎超額配股權行使與否而定） Number of International Offer Shares : 885,224,800 H Shares (subject to adjustment and the Over-allotment Option) 國際發售股份數目 ： 885,224,800股H股（可予調整及視乎超額配股權行使與否而定） Number of Hong Kong Offer Shares : 71,775,200 H Shares (subject to adjustment) 香港發售股份數目 ： 71,775,200股H股（可予調整） Maximum Offer Price : HK$9.35 per H Share 最高發售價 ： 每股H股9.35港元 Nominal Value : RMB1.00 per H Share 面值 ： 每股H股人民幣1.00元 Stock Code : 03958 股份代號 ： 03958 Please read carefully the prospectus of the Company dated June 22, 2016 (the “ Prospectus ”) (in particular, 在填寫本申請表格前，請細閱本公司於2016年6月22日刊發的招股章程（「 招股章程 」）（尤其是招股章程 the section on “How to Apply for Hong Kong Offer Shares” in the Prospectus) and the guide on the back of 「如何申請香港發售股份」一節）及刊於本申請表格背面的指引。除非本申請表格另有定義，否則本申 this Application Form before completing this Application Form. Terms defined in the Prospectus have the same 請表格所使用的詞語與招股章程所界定者具相同涵義。 meaning when used in this Application Form unless defined herein. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “ Hong Kong 香港交易及結算所有限公司、香港聯合交易所有限公司（「 香港聯交所 」）、香港中央結算有限公司 Stock Exchange ”), Hong Kong Securities Clearing Company Limited (“ HKSCC ”), the Securities and Futures （「 香港結算 」）、香港證券及期貨事務監察委員會（「 香港證監會 」）及香港公司註冊處處長對本申請表 Commission of Hong Kong (“ SFC ”) and the Registrar of Companies of Hong Kong take no responsibility for 格的內容概不負責，對其準確性或完整性亦不發表任何聲明，並明確表示概不就因本申請表格全部 the contents of this Application Form, make no representation as to its accuracy or completeness and expressly 或任何部分內容而產生或因依賴該等內容而引致的任何損失承擔任何責任。 disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of this Application Form. A copy of this Application Form, together with a copy of each of the WHITE and YELLOW Application Forms, 本申請表格連同 白色 及 黃色 申請表格、招股章程及招股章程附錄八「送呈公司註冊處處長及備查文 the Prospectus and the other documents specified in the section headed “Documents Delivered to the Registrar of 件」一節所列的其他文件，已遵照香港法例第32章公司（清盤及雜項條文）條例第342C條的規定，送呈 Companies and Available for Inspection” in Appendix VIII to the Prospectus have been registered by the Registrar 香港公司註冊處處長登記。香港證監會及香港公司註冊處處長對任何此等文件的內容概不負責。 of Companies in Hong Kong as required by Section 342C of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32 of the Laws of Hong Kong). The SFC and the Registrar Companies in Hong Kong take no responsibility as to the contents of any of these documents. Your attention is drawn to the paragraph headed “Personal Data” in the section “How to Apply for Hong Kong 閣下敬請留意招股章程「如何申請香港發售股份」一節「個人資料」一段，當中載有本公司及其H股證 Offer Shares” in the Prospectus which sets out the policies and practices of the Company and its H Share Registrar 券登記處有關個人資料及遵守個人資料（私隱）條例的政策及措施。 in relation to personal data and compliance with the Personal Data (Privacy) Ordinance. Nothing in this Application Form or the Prospectus constitutes an offer to sell or the solicitation of an offer to 本申請表格或招股章程所載者概不構成出售要約或要約購買的游說，而在任何作出有關要約、游說 buy nor shall there be any sale of Hong Kong Offer Shares in any jurisdiction in which such offer, solicitation or 或出售即屬違法的司法權區內，概不得出售任何香港發售股份。本申請表格所載資料，不得在或向 sales would be unlawful. The information contained in this Application Form is not for distribution, directly or 美國（包括其領土及屬地、美國各州及哥倫比亞特區）境內直接或間接分發。該等資料不屬於或組成 indirectly, in or into the United States (including its territories and dependencies, any State of the United States 在美國購買或認購證券的任何要約或招攬的一部分。本申請表格所述股份並無且不會根據1933年美 and the District of Columbia). These materials do not constitute or form a part of any offer or solicitation to 國證券法（經修訂）（「 美國證券法 」）及美國適用州證券法登記。 purchase or subscribe for securities in the United States. The Shares mentioned herein have not been, and will not be, registered under the United States Securities Act of 1933 as amended (the “ Securities Act ”) and applicable U.S. state securities laws. The Shares may not be offered or sold in the United States except pursuant to registration or an exemption from 除非已進行登記或獲豁免遵守美國證券法的登記規定，否則不得於美國提呈發售或出售股份。證券 the registration requirements of the Securities Act. No public offering of the securities will be made in the United 不會在美國公開發售。本公司並無且不會根據美國投資公司法登記。 States. No registration has been or will be made under the U.S. Investment Company Act. This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) 在任何根據有關司法權區法律不得發送、派發或複製本申請表格及招股章程之司法權區內，本申請 in any manner whatsoever in any jurisdiction where such forwarding, distribution or reproduction is not permitted 表格及招股章程概不得以任何方式發送或派發或複製（全部或部分）。本申請表格及招股章程僅致 under the law of that jurisdiction. This Application Form and the Prospectus are addressed to you personally. 予 閣下本人。概不得發送或派發或複製本申請表格或招股章程的全部或部分。如未能遵守此項指 Any forwarding or distribution or reproduction of this Application Form or the Prospectus in whole or in part 令，可能違反美國證券法或其他司法權區的適用法律。 is unauthorized. Failure to comply with this directive may result in a violation of the U.S. Securities Act or the applicable laws of other jurisdictions. To: The Company 致： 公司 Joint Global Coordinators 聯席全球協調人 Joint Sponsors 聯席保薦人 Joint Bookrunners 聯席賬簿管理人 Hong Kong Underwriters 香港承銷商 1 We confirm that we have (i) complied with the Guidelines for Electronic Public Offerings and the Operational 吾等確認，吾等已(i)遵守《電子公開發售指引》及透過銀行╱股票經紀遞交 白表eIPO 申請的運作程 Procedures for White Form eIPO applications submitted via Banks/Stockbrokers and all applicable laws and 序以及與吾等就香港公開發售提供 白表eIPO 服務有關的所有適用法例及規例（不論法定或其他）； regulations (whether statutory or otherwise) in relation to the provision of our White Form eIPO services 及(ii)閱讀招股章程及本申請表格所載條款及條件以及申請手續，並同意受其約束。為了代表與本 in connection with the Hong Kong Public Offering; and (ii) read the terms and conditions and application 申請有關的每名相關申請人作出申請，吾等： procedures set out in the Prospectus and this Application Form and agree to be bound by them. Applying on behalf of each of the underlying applicants to whom this application relates, we: • apply for the number of Hong Kong Offer Shares set out below, on the terms and conditions of the ‧ 按照招股章程及本申請表格的條款及條件，並在 貴公司公司章程規限下， 申請 以下數目的香 Prospectus and this Application Form, and subject to the Articles of Association of the Company; 港發售股份； • enclose payment in full for the Hong Kong Offer Shares applied for, including 1% brokerage fee, ‧ 夾附 申請認購香港發售股份所需的全數款項（包括1%經紀佣金、0.0027%香港證監會交易徵費 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee; 及0.005%香港聯交所交易費）； • confirm that the underlying applicants have undertaken and agreed to accept the Hong Kong Offer ‧ 確認 相關申請人已承諾及同意接納所申請認購的香港發售股份，或該等相關申請人根據本申 Shares applied for, or any lesser number allocated to such underlying applicants on this application; 請獲分配的任何較少數目的香港發售股份； • understand that these declarations and representations will be relied upon by the Company, the Joint ‧ 明白 貴公司、聯席全球協調人及聯席保薦人將依賴此等聲明及陳述，以決定是否就本申請配 Global Coordinators and the Joint Sponsors in deciding whether or not to make any allotment of 發任何香港發售股份，及相關申請人如作出虛假聲明，可能會遭受檢控； Hong Kong Offer Shares in response to this application, and that the underlying applicants may be prosecuted if they made a false declaration; • authorize the Company to place the name(s) of the underlying applicant(s) on the register of members ‧ 授權 貴公司將相關申請人的姓名╱名稱列入 貴公司股東名冊內，作為任何將配發予相關申 of the Company as the holder(s) of any Hong Kong Offer Shares to be allotted to them, and the 請人的香港發售股份的持有人，且 貴公司及╱或其代理可根據本申請表格及招股章程所載 Company and/or its agents to send any Share certificate(s) (where applicable) by ordinary post at 程序按相關申請人的申請指示所指定地址以普通郵遞方式寄發任何股票（如適用），郵誤風險 that underlying applicant’s own risk to the address specified in the application instruction of that 概由該相關申請人承擔； underlying applicant in accordance with the procedures prescribed in this Application Form and in the Prospectus; • request that any e-Refund payment instructions be despatched to the application payment account ‧ 倘申請人使用單一銀行賬戶支付申請股款， 要求 任何電子退款指示將發送至申請付款賬戶 where the applicants had paid the application monies from a single bank account; 內； • request that any refund cheque(s) be made payable to the underlying applicant(s) who had used ‧ 要求 任何退款支票以使用多個銀行賬戶支付申請股款的相關申請人為抬頭人，並根據本申請 multiple bank accounts to pay the application monies and to send any such refund cheque(s) by 表格及招股章程所述程序將任何有關退款支票以普通郵遞方式寄發到申請所列的地址，郵誤 ordinary post at that underlying applicant’s own risk to the address stated on the application in 風險概由該相關申請人承擔； accordance with the procedures prescribed in this Application Form and in the Prospectus; • confirm that each underlying applicant has read the terms and conditions and application procedures set ‧ 確認 各相關申請人已閱讀本申請表格及招股章程以及指定網站www.eipo.com.hk所載條款及條 out in this Application Form and in the Prospectus and in the designated website at www.eipo.com.hk, 件以及申請手續，並同意受其約束； and agree to be bound by them; • represent, warrant and undertake that the allotment of or application for the Hong Kong Offer ‧ 聲明、保證及承諾 向相關申請人或由相關申請人或為其利益而提出本申請的人士配發或申請 Shares to the underlying applicant or by underlying applicant or for whose benefit this application 認購香港發售股份，不會引致 貴公司、聯席全球協調人、聯席保薦人、聯席賬簿管理人及聯 is made would not require the Company, Joint Global Coordinators, the Joint Sponsors, Joint 席牽頭經辦人或彼等各自的任何高級職員或顧問須遵從香港以外任何地區的法律或規例（不 Bookrunners and Joint Lead Managers or their respective officers or advisers to comply with any 論是否具法律效力）的任何規定；及 requirements under any law or regulation (whether or not having the force of law) of any territory outside Hong Kong; and • agree that this application, any acceptance of it and the resulting contract, will be governed by and ‧ 同意 本申請、任何對本申請的接納以及因而訂立的合約，將受香港法律管轄及按其詮釋。 construed in accordance with the laws of Hong Kong. Signature Date 簽名 日期 Name of applicant Capacity 申請人姓名╱名稱 身份 2 We, on behalf of the Total number of Shares Hong Kong Offer Shares on behalf of the underlying applicants whose details are contained in the read only CD-ROM underlying applicants, 股份總數 submitted with this application form. offer to purchase 股香港發售股份（代表相關申請人，其詳細資料載於連同本申請表格遞交的唯讀光碟）。 吾等（代表相關 申請人）要約購買 3 Total of cheques Cheque number(s) 現夾附合共 張支票 支票號碼 are enclosed for HK$ a total sum of 總金額為 港元 4 Please use BLOCK letters 請用 正楷 填寫 Name of White Form eIPO Service Provider 白表eIPO 服務供應商名稱 Chinese Name White Form eIPO Service Provider ID 中文名稱 白表eIPO 服務供應商身份證明號碼 Name of contact person Contact number Fax number 聯絡人姓名 聯絡電話號碼 傳真號碼 Address 地址 For Broker use 此欄供經紀填寫 Lodged by 申請由以下經紀遞交 Broker No. 經紀號碼 Broker’s Chop 經紀印章 For bank use 此欄供銀行填寫

Hong Kong Public Offering — White Form eIPO Service Provider Application Form 香港公開發售 － 白表eIPO服務供應商申請表格 Please use this application form if you are a White Form eIPO Service Provider and are applying for Hong Kong Offer Shares on behalf of underlying applicants. 倘 閣下為白表eIPO服務供應商並代表相關申請人申請認購香港發售股份，請使用本申請表格。

填寫本申請表格的指引

GUIDE TO COMPLETING THIS APPLICATION FORM

下文提述的號碼乃本申請表格中各欄的編號。

References to boxes below are to the numbered boxes on this Application Form.

• 1 在申請表格欄1簽署及填上日期。僅接受親筆簽名。

• 1 Sign and date the application form in Box 1. Only a written signature will be accepted.

簽署人的姓名╱名稱及代表身份亦必須註明。如要使用本申請表格申請香港發售股份， 閣下必須為名 列於香港證監會公佈的白表 eIPO 服務供應商名單內可以就香港公開發售提供 白表eIPO 服務的人士。

The name and the representative capacity of the signatory should also be stated. To apply for Hong Kong Offer Shares using this Application Form, you must be named in the list of White Form eIPO Service Providers who may provide White Form eIPO services in relation to the Hong Kong Public Offering, which was released by the SFC.

• 2 在欄2填上 閣下欲代表相關申請人申請認購的香港發售股份總數（請填寫數字）。

• 2 Put in Box 2 (in figures) the total number of Hong Kong Offer Shares for which you wish to apply on behalf of the underlying applicants. Applicant details of the underlying applicants on whose behalf you are applying must be contained in one data file in read-only CD-ROM format submitted together with this Application Form.

• 3 Complete your payment details in Box 3.

閣下代其作出申請的相關申請人資料，必須載於連同本申請表格遞交的一個唯讀光碟格式資料檔案內。

• 3 在欄3填上 閣下付款的詳細資料。

閣下必須在此欄註明 閣下連同本申請表格夾附的支票數目；並在每張支票的背面註明(i) 閣下的白表 eIPO服務供應商身份證明號碼及(ii)載有相關申請人申請詳細資料的資料檔案的檔案編號。

You must state in this box the number of cheque(s) you are enclosing together with this Application Form; and you must state on the reverse of each of those cheque(s) (i) your White Form eIPO Service Provider ID and (ii) the file number of the data file containing application details of the underlying applicant(s). The dollar amount(s) stated in this box must be equal to the amount payable for the total number of Hong Kong Offer Shares applied for in Box 2.

此欄所註明的金額必須與欄2所申請認購的香港發售股份總數應付的金額相同。

所有支票及本申請表格，連同載有該唯讀光碟的密封信封（如有）必須放進蓋上 閣下公司印章的信封 內。

All cheque(s) and this Application Form together with a sealed envelope containing the CD-ROM, if any, must be placed in the envelope bearing your company chop.

如以支票繳付股款，該支票必須：

For payments by cheque, the cheque must:

• ‧ 為港元支票；

• be in Hong Kong dollars;

• ‧ 以在香港開設的港元銀行賬戶開出；

• be drawn on a Hong Kong dollar bank account in Hong Kong;

• ‧ 顯示 閣下（或 閣下代名人）的賬戶名稱；

• show your (or your nominee’s) account name;

• ‧ 註明抬頭人為「 浩豐代理人有限公司 — 東方證券股份有限公司公開發售 」；

• be made payable to “ HORSFORD NOMINEES LIMITED — DFZQ PUBLIC OFFER ”;

• ‧ 以「只准入抬頭人賬戶」劃線方式開出；

• be crossed “Account Payee Only”;

• ‧ 不得為期票；及

• not be post dated; and

• ‧ 由白表eIPO服務供應商的授權簽署人簽署。

• be signed by the authorized signatories of the White Form eIPO Service Provider.

倘未能符合任何此等規定或倘支票首次過戶不獲兌現， 閣下的申請可遭拒絕受理。

Your application may be rejected if any of these requirements is not met or if the cheque is dishonoured on its first presentation.

It is your responsibility to ensure that details on the cheque(s) submitted correspond with the application details 閣下有責任確保所遞交的支票上的詳細資料與就本申請遞交的唯讀光碟或資料檔案所載的申請詳細資料 contained in the CD-ROM or data file submitted in respect of this application. 相同。 The Company, the Joint Global Coordinators and the Joint Sponsors have full discretion to reject any applications in the 倘出現差異，本公司、聯席全球協調人及聯席保薦人有絕對酌情權拒絕任何申請。 case of discrepancies. No receipt will be issued for sums paid on application. 申請時繳付的款項將不會獲發收據。 4 Insert your details in Box 4 (using BLOCK letters). 4 在欄4填上 閣下的詳細資料（用正楷填寫）。 You should write the name, ID and address of the White Form eIPO Service Provider in this box. You should also 閣下必須在此欄填上白表eIPO服務供應商的名稱、身份證明號碼及地址。 閣下亦必須填寫 閣下營業 include the name and telephone number of the contact person at your place of business and where applicable, the 地點的聯絡人士的姓名及電話號碼及（如適用）經紀號碼及加蓋經紀印章。 Broker No. and Broker’s Chop. Personal Data 個人資料 Personal Information Collection Statement 個人資料收集聲明 The main provisions of the Personal Data (Privacy) Ordinance (the “Ordinance”) came into effect in Hong Kong on 個人資料（私隱）條例（「條例」）中的主要條文於1996年12月20日在香港生效。此項個人資料收集聲明是向 December 20, 1996. This Personal Information Collection Statement informs the applicant for and holder of the Shares 股份申請人及持有人說明本公司及其H股證券登記處有關個人資料及條例方面的政策及措施。 of the policies and practices of the Company and its H Share Registrar in relation to personal data and the Ordinance. 1. Reasons for the collection of your personal data 1. 收集 閣下個人資料的原因 From time to time it is necessary for applicants for securities or registered holders of securities to supply their 證券申請人或證券登記持有人申請證券或將證券轉往其名下，或將名下證券轉讓予他人，或要求H latest correct personal data to the Company or its agents and/or its H Share Registrar when applying for securities 股證券登記處提供服務時，須不時向本公司或其代理及╱或其H股證券登記處提供其最新的準確個 or transferring securities into or out of their names or in procuring the services of the H Share Registrar. 人資料。 Failure to supply the requested data may result in your application for securities being rejected or in delay or 未能提供所要求的資料可能導致 閣下的證券申請被拒絕或延遲，或本公司及╱或H股證券登記處 inability of the Company and/or the H Share Registrars to effect transfers or otherwise render their services. It 無法落實證券轉讓或提供服務。此舉亦可能妨礙或延遲登記或轉讓 閣下獲接納申請的香港發售股 may also prevent or delay registration or transfer of the Hong Kong Offer Shares which you have successfully 份及╱或寄發股票及╱或發送電子退款指示及╱或寄發 閣下應得的退款支票。 applied for and/or the despatch of Share certificate(s), and/or the despatch of e-Refund payment instructions, and/ or the despatch of refund cheque(s) to which you are entitled. It is important that holders of securities inform the Company and the H Share Registrars immediately of any 證券持有人所提供的個人資料如有任何錯誤，須立即通知本公司及H股證券登記處。 inaccuracies in the personal data supplied. 2. Purposes 2. 用途 The personal data of the applicants and the holders of securities may be used, held and/or stored (by whatever 證券申請人及持有人的個人資料可作以下用途使用、持有及╱或保存： means) for the following purposes: • processing of your application and e-Refund payment instructions/refund cheque, where applicable, and ‧ 處理 閣下的申請及電子退款指示╱退款支票（如適用）及核實是否符合本表格及招股章程所 verification of compliance with the terms and application procedures set out in this form and the Prospectus 載條款及申請手續及公佈香港發售股份的分配結果； and announcing results of allocation of the Hong Kong Offer Shares; • enabling compliance with all applicable laws and regulations in Hong Kong and elsewhere; ‧ 使香港及其他地區的所有適用法律及法規得到遵守； • registering new issues or transfers into or out of the names of holders of securities including, where ‧ 以證券持有人（包括以香港結算代理人（如適用））的名義登記新發行證券或轉讓或受讓證券； applicable, in the name of HKSCC Nominees; • maintaining or updating the registers of holders of securities of the Company; ‧ 存置或更新本公司證券持有人的名冊； • conducting or assisting to conduct signature verifications, any other verification or exchange of ‧ 進行或協助進行簽名核對、任何其他核對或交換資料； information; • establishing benefit entitlements of holders of securities of the Company, such as dividends, rights issues ‧ 確定本公司證券持有人的受益權利，如股息、供股及紅股等； and bonus issues, etc; • distributing communications from the Company and its subsidiaries; ‧ 分發本公司及其附屬公司的公司通訊； • compiling statistical information and Shareholder profiles; ‧ 編製統計資料及股東資料； • making disclosures as required by laws, rules or regulations; ‧ 遵照法例、規則或規例的要求作出披露； • disclosing identities of successful applicants by way of press announcement(s) or otherwise; ‧ 透過報章公告或其他方式披露獲接納申請人士的身份； • disclosing relevant information to facilitate claims on entitlements; and ‧ 披露有關資料以便就權益提出申索；及 • any other incidental or associated purposes relating to the above and/or to enable the Company and the H ‧ 與上述者有關的任何其他附帶或相關用途及╱或使本公司及H股證券登記處能履行對證券持H股證券登記處能履行對證券持股證券登記處能履行對證券持 Share Registrar to discharge their obligations to holders of securities and/or regulators and/or any other 有人及╱或監管機構承擔的責任及╱或證券持有人不時同意的任何其他用途。 purpose to which the holders of securities may from time to time agree. 3. Transfer of personal data 3. 轉交個人資料 Personal data held by the Company and the H Share Registrar relating to the holders of securities will be kept 本公司及H股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資H股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資H股證券登記處可在將資股證券登記處可在將資 confidential but the Company and its H Share Registrar may, to the extent necessary for achieving the above 料用作上述用途的必要情況下作出彼等認為必要之查詢以確定個人資料的準確性，尤其可能會向 purposes or any of them, make such enquiries as they consider necessary to confirm the accuracy of the personal 下列任何及所有人士及機構披露、獲取或轉交證券持有人的個人資料（無論在香港境內或境外）： data and in particular, they may disclose, obtain, transfer (whether within or outside Hong Kong) the personal data of the holders of securities to, from or with any and all of the following persons and entities: • the Company or its appointed agents such as financial advisers, receiving bankers and overseas principal ‧ 本公司或其委任的代理，如財務顧問、收款銀行及主要海外過戶登記處； registrars;

• enabling compliance with all applicable laws and regulations in Hong Kong and elsewhere; ‧ 使香港及其他地區的所有適用法律及法規得到遵守；

• • registering new issues or transfers into or out of the names of holders of securities including, where ‧ 以證券持有人（包括以香港結算代理人（如適用））的名義登記新發行證券或轉讓或受讓證券； applicable, in the name of HKSCC Nominees;

• • maintaining or updating the registers of holders of securities of the Company; ‧ 存置或更新本公司證券持有人的名冊； • conducting or assisting to conduct signature verifications, any other verification or exchange of ‧ 進行或協助進行簽名核對、任何其他核對或交換資料； information;

• • establishing benefit entitlements of holders of securities of the Company, such as dividends, rights issues ‧ 確定本公司證券持有人的受益權利，如股息、供股及紅股等； and bonus issues, etc;

• • distributing communications from the Company and its subsidiaries; ‧ 分發本公司及其附屬公司的公司通訊； • compiling statistical information and Shareholder profiles; ‧ 編製統計資料及股東資料； • making disclosures as required by laws, rules or regulations; ‧ 遵照法例、規則或規例的要求作出披露； • disclosing identities of successful applicants by way of press announcement(s) or otherwise; ‧ 透過報章公告或其他方式披露獲接納申請人士的身份； • disclosing relevant information to facilitate claims on entitlements; and ‧ 披露有關資料以便就權益提出申索；及 • any other incidental or associated purposes relating to the above and/or to enable the Company and the H ‧ 與上述者有關的任何其他附帶或相關用途及╱或使本公司及H股證券登記處能履行對證券持H股證券登記處能履行對證券持股證券登記處能履行對證券持 Share Registrar to discharge their obligations to holders of securities and/or regulators and/or any other 有人及╱或監管機構承擔的責任及╱或證券持有人不時同意的任何其他用途。 purpose to which the holders of securities may from time to time agree.

• 3. Transfer of personal data 3. 轉交個人資料 Personal data held by the Company and the H Share Registrar relating to the holders of securities will be kept 本公司及H股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資H股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資股證券登記處會對證券持有人的個人資料保密，但本公司及其H股證券登記處可在將資H股證券登記處可在將資股證券登記處可在將資 confidential but the Company and its H Share Registrar may, to the extent necessary for achieving the above 料用作上述用途的必要情況下作出彼等認為必要之查詢以確定個人資料的準確性，尤其可能會向 purposes or any of them, make such enquiries as they consider necessary to confirm the accuracy of the personal 下列任何及所有人士及機構披露、獲取或轉交證券持有人的個人資料（無論在香港境內或境外）： data and in particular, they may disclose, obtain, transfer (whether within or outside Hong Kong) the personal data of the holders of securities to, from or with any and all of the following persons and entities: • the Company or its appointed agents such as financial advisers, receiving bankers and overseas principal ‧ 本公司或其委任的代理，如財務顧問、收款銀行及主要海外過戶登記處； registrars;

• • where applicants for securities request deposit into CCASS, to HKSCC and HKSCC Nominees, who will ‧ （如證券申請人要求將證券存於中央結算系統）香港結算或香港結算代理人；彼等將會就中央 use the personal data for the purposes of operating CCASS; 結算系統的運作使用有關個人資料；

• • any agents, contractors or third-party service providers who offer administrative, telecommunications, ‧ 向本公司及╱或H股證券登記處提供與其各自業務運作有關的行政、電訊、電腦、付款或其他 computer, payment or other services to the Company and/or the H Share Registrar in connection with the 服務的任何代理、承辦商或第三方服務供應商； operation of their respective businesses;

• • the Hong Kong Stock Exchange, the SFC and any other statutory, regulatory or governmental bodies; and ‧ 香港聯交所、香港證監會及任何其他法定、監管或政府機關；及 • any other persons or institutions with which the holders of securities have or propose to have dealings, such ‧ 證券持有人與其進行或擬進行交易的任何其他人士或機構，如其銀行、律師、會計師或股票 as their bankers, solicitors, accountants or stockbrokers, etc. 經紀等。

• 4. Retention of personal data 4. 個人資料的保留 The Company and its H Share Registrar will keep the personal data of the applicants and holders of securities for 本公司及其H股證券登記處將按收集個人資料所需的用途保留證券申請人及持有人的個人資料。無 as long as necessary to fulfil the purposes for which the personal data were collected. Personal data which is no 需保留的個人資料將會根據條例銷毀或處理。 longer required will be destroyed or dealt with in accordance with the Ordinance.

• 5. Access and correction of personal data 5. 查閱及更正個人資料 The Ordinance provides the holders of securities with rights to ascertain whether the Company or the H Share 條例賦予證券持有人權利以確定本公司或H股證券登記處是否持有其個人資料、索取有關資料副本 Registrar hold their personal data, to obtain a copy of that data, and to correct any data that is inaccurate. In 及更正任何不準確之資料。根據條例規定，本公司及H股證券登記處有權就處理任何查閱資料的要 accordance with the Ordinance, the Company and the H Share Registrar have the right to charge a reasonable 求收取合理費用。所有關於查閱資料或更正資料或查詢有關政策及措施的資料及所持有資料類別 fee for the processing of any data access request. All requests for access to data or correction of data or for 的要求，應按照招股章程「公司資料」一節中披露的本公司註冊辦事處或根據適用法律不時通知的 information regarding policies and practices and the kinds of data held should be addressed to the Company at 地址，向本公司的公司秘書或H股證券登記處屬下就條例所指的私隱事務主任（視乎情況而定）提 its registered office disclosed in the “Corporate Information” section in the Prospectus or as notified from time to 出。

The Ordinance provides the holders of securities with rights to ascertain whether the Company or the H Share Registrar hold their personal data, to obtain a copy of that data, and to correct any data that is inaccurate. In accordance with the Ordinance, the Company and the H Share Registrar have the right to charge a reasonable fee for the processing of any data access request. All requests for access to data or correction of data or for information regarding policies and practices and the kinds of data held should be addressed to the Company at its registered office disclosed in the “Corporate Information” section in the Prospectus or as notified from time to time in accordance with applicable law, for the attention of the Company secretary or (as the case may be) the H Share Registrar for the attention of the Privacy Compliance Officer for the purposes of the Ordinance.

閣下簽署本表格，即表示同意上述所有規定。

By signing this form, you agree to all of the above.

遞交本申請表格

DELIVERY OF THIS APPLICATION FORM

經填妥的本申請表格，連同相關支票及載有唯讀光碟的密封信封，必須於2016年6月27日（星期一）下午四時正前，送達下 列收款銀行：

This completed Application Form, together with the appropriate cheque(s) and a sealed envelope containing the CD-ROM, must be submitted to the following receiving banks by 4:00 p.m. on Monday, June 27, 2016:

渣打銀行（香港）有限公司 九龍 觀塘 觀塘道388號 渣打中心15樓

Standard Chartered Bank (Hong Kong) Limited

15/F Standard Chartered Tower

388 Kwun Tong Road

Kwun Tong

Kowloon

交通銀行股份有限公司香港分行 香港 灣仔 告士打道231–235號 交通銀行大廈25樓

Bank of Communications Co., Ltd. Hong Kong Branch 25/F., Bank of Communications Tower

231–235 Gloucester Road Wan Chai Hong Kong

中國工商銀行（亞洲）有限公司 九龍 新蒲崗 景福街108–110號 超達工業大廈8B室

Industrial and Commercial Bank of China (Asia) Limited Unit B, 8/F, Chiu Tat Factory Building 108–110 King Fuk Street San Po Kong Kowloon

九龍 觀塘 觀塘道388號 創紀之城1期1座16樓

Level 16, Tower 1, Millennium City 1 388 Kwun Tong Road Kwun Tong Kowloon