DFZQ - Capital/Financing Update 2016

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格 This Application Form uses the same terms as defined in the prospectus of the Company dated June 22, 2016 (the “ Prospectus ”). Staple 本申請表格使用本公司於2016年6月22日刊發的招股章程（「 招股章程 」）所界定的詞語。 your Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong payment here Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in the United States 請將股款 without registration or an exemption from registration under the U.S. Securities Act. No registration has been or will be made under the U.S. Investment Company Act. 緊釘在此 本申請表格及招股章程概不構成在香港以外司法權區要約出售或游說要約購買香港發售股份。若無根據美國證券法登記或豁免登記，香港發售股份不得在美國提呈發售或出售。本公司並無且不會根據美國投資公司法登記。 This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever in any jurisdiction where such forwarding, distribution or reproduction is not permitted under the law of that jurisdiction. 在任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法權區內概不得發送或派發或複製（不論方式，也不論全部或部分）本申請表格及招股章程。 Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of Companies and Available for Inspection” section in Appendix VIII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “ Hong Kong Stock Exchange ”), Hong Kong Securities Clearing Company Limited (“ HKSCC ”), the Securities and Futures Commission of Hong Kong (the “ SFC ”) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相關申請表格及招股章程附錄八「送呈公司註冊處處長及備查文件」一節所述其他文件已送呈香港公司註冊處處長登記。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（「 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此等文件的內容概不負責。 (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 」）） Stock Code : 03958 股份代號： 03958 Maximum Offer Price : HK$9.35 per H Share (payable in full on application in Hong Kong dollars, subject to refund on final pricing), plus brokerage of 1%, SFC transaction levy of 0.0027% and Hong Kong Stock Exchange trading fee of 0.005% 最高發售價：每股H股9.35港元（須於申請時以港元繳足，多繳款項可於最終定價時退還），另加1%經紀佣金、0.0027% 香港證監會交易徵費及0.005%香港聯交所交易費 You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. ，一。招股章程尚有關於申請程序的其他資料本申請表格應與招股章程併閱讀 Application Form 申請表格 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 Applicants’ declaration 申請人聲明 I/We agree to the terms and conditions and 本人 ~~╱~~ 吾 ~~等~~ 同意本申請表格及招股章程的條款 application procedures in this Application Form 及條件以及申請程序。見本申請表格「填交本申 and the Prospectus. Please refer to the “Effect of 請表格的效用」一節。 completing and submitting this Application Form” section of this Application Form.

Warning: Only one application may be made for the beneft of any person. Please refer to the last four bullets of “Effect of completing and submitting this Application Form” section.

警告：任何人士只限作出一次為其利益而進行。 ~~的認~~ 購申 ~~請請參~~ 閱 ~~「填~~ 交本申 ~~請表格的效~~ 用 ~~」~~ 一 ~~節~~ 最 ~~後~~ 四 ~~點~~ 。

Signed by (all) applicant(s) (all joint applicants must sign): For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀由（所有）申請人簽署（所有聯名申請人必須簽署）： Broker No. 經紀號碼 Broker’s Chop 經紀印章 Date: 日期： ╱ ╱ D 日 M 月 Y 年 Number of Hong Kong Offer Shares applied for (not more than 35,887,600 shares) 申請香港發售股份數目（不超過35,887,600股股份） Cheque/banker’s cashier order number 支票╱銀行本票號碼 Name of bank on which cheque/Banker’s cashier order is drawn (see Total amount 總額 “How to make your application” section) 兌現支票╱銀行本票的銀行名稱（見「申請手續」一節） HK$ 港元 Name in English 英文姓名╱名稱 Family name or company name 姓氏或公司名稱 Forename(s) 名字 Name in Chinese 中文姓名╱名稱 Family name or company name 姓氏或公司名稱 Forename(s) 名字 Occupation in English 職業（以英文填寫） Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. (Please delete as appropriate) 香港身份證號碼 ╱ 護照號碼 ╱ 香港商業登記號碼（請刪除不適用者） Names of all other joint applicants in English (if any) Hong Kong Identity Card No./Passport No./Hong Kong Business 所有其他聯名申請人的英文姓名╱名稱（如有） Registration No. of all other joint applicants(Please delete as appropriate) 所有其他聯名申請人的香港身份證號碼╱護照號碼╱ 1) 香港商業登記號碼（請刪除不適用者） 1) 2) 2) 3) 3) Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant only) 香港地址（以英文填寫）及電話號碼（聯名申請人只須填寫排名首位申請人的地址及電話號碼） Telephone No. 電話號碼 For Nominees: You will be treated as applying for your own benefit THIS BOX MUST BE DULY COMPLETED if you do not complete this section. Please provide an account 必須填妥此欄 number or identification code for each (joint) beneficial owner. Participant I.D. of the CCASS Investor Participant or designated 由代名人遞交：代名人若不填寫本節，是項認購申請將視作 CCASS Participant 中央結算系統投資者戶口持有人或指定的 為閣下利益提出。請填寫每名（聯名）實益擁有人的賬戶號碼 中央結算系統參與者的參與者編號 或識別編碼。 For designated CCASS Participant or Corporate CCASS Investor ADDRESS LABEL 地址標貼 (Your name(s) and address in Hong Participant, please also affix the company chop bearing its company name 指定的中央結算系統參與者或中央結算系統公司投資者戶 Kong in BLOCK letters 請用英文正楷填寫姓名 ╱ 名稱及香港口持有人，請加蓋顯示公司名稱的公司印鑑地址 )

(See paragraph 2 in the section “How to make your application”) （請參閱「申請手續」一節第2段）

For Internal use 此欄供內部使用

(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual) or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this application, please see paragraph 2 under the section “How to make your application”. 如閣下為中央結算系統投資者戶口持有人，是項申請僅接納香港身份證號碼（如屬個別人士）或香港商業登記號碼（如屬法人團體）；請參閱「申請手續」一節第2段。 (2) If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide your Hong Kong Business Registration number. 如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請：如屬個別人士，必須填寫閣下的香港身份證號碼或護照號碼（持有香港身份證者請填寫香港身份證號碼，否則請填寫護照號碼）；如屬法人團體，請填寫香港商業登記號碼。 (3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named applicant may be printed on your refund cheque (if any). Such data will be used for checking the validity of Application Form and such data would also be transferred to a third party for such purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque. 日後如需退回申請股款，退款支票上或會印有閣下或（如屬聯名申請人）排名首位申請人的香港身份證號碼╱護照號碼的一部分。有關資料將用於核實申請表格的有效性，亦會轉交第三方作資料核實和退款。銀行兌現退款支票前或會要求查證閣下的香港身份證號碼╱護照號碼。 (4) If an application is made by an unlisted company and: • the principal business of that company is dealing in securities; and • you exercise statutory control over that company, then the application will be treated as being made for your benefit. 倘若申請人是一家非上市公司，而： ‧ 該公司主要從事證券買賣業務；及 ‧ 閣下對該公司可行使法定控制權，是項申請將視作為閣下的利益提出。 (5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration numbers. 所有聯名申請人必須提供（如屬個別人士）其香港身份證號碼或（如適用）護照號碼，或（如屬法人團體）其香港商業登記號碼。

This page is intentionally left blank 此乃白頁特意留空

How to make your application 1. Use the table below to calculate how much you must pay. Your application must be for a minimum of 400 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected. NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 8,000 10,000 3,777.69 7,555.37 11,333.06 15,110.75 18,888.44 22,666.13 26,443.82 30,221.51 33,999.19 37,776.88 56,665.32 75,553.76 94,442.20 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 113,330.64 132,219.08 151,107.52 169,995.96 188,884.40 283,326.60 377,768.80 472,211.00 566,653.20 661,095.40 755,537.60 849,979.80 944,422.00 200,000 300,000 400,000 500,000 600,000 700,000 800,000 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 1,888,843.99 2,833,265.99 3,777,687.98 4,722,109.98 5,666,531.97 6,610,953.97 7,555,375.96 8,499,797.96 9,444,219.95 18,888,439.90 28,332,659.85 37,776,879.80 47,221,099.75 6,000,000 7,000,000 8,000,000 9,000,000 10,000,000 20,000,000 30,000,000 35,887,600 (1) 56,665,319.70 66,109,539.65 75,553,759.60 84,997,979.55 94,442,199.50 188,884,399.00 283,326,598.50 338,930,387.87 (1) Maximum number of Hong Kong Offer Sharesyou mayapplyfor. 2. You, as the applicant(s), must complete the form in English as indicated below and sign on the second page of the Application Form. Only written signatures will be accepted (and not by way of personal chop). If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): • the designated CCASS Participant must endorse the form with its company chop (bearing its company name) and insert its participant I.D. in the appropriate box. If you are applying as an individual CCASS Investor Participant: • the form must contain your NAME and Hong Kong I.D. Card number. • your participant I.D. must be inserted in the appropriate box. If you are applying as a joint individual CCASS Investor Participant: • the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card number of all joint investor participants; • your participant I.D. must be inserted in the appropriate box. If you are applying as a corporate CCASS Investor Participant: • the form must contain your company NAME and Hong Kong Business Registration number; • your participant I.D. and your company chop (bearing your company name) must be inserted in the appropriate box. Incorrect or omission of details of the CCASS Participant including participant I.D. and/ or company chop bearing its company name or other similar matters may render your application invalid. 3. Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application will be rejected if your cheque or banker’s cashier order does not meet all the following requirements: The cheque must: Banker’s cashier order must: • be in Hong Kong dollars; • not be post-dated; • be made payable to “HORSFORD NOMINEES LIMITED — DFZQ PUBLIC OFFER”; • be crossed “Account Payee Only”; • be drawn on your Hong Kong dollar bank account in Hong Kong; and • show your account name, which must either be pre-printed on the cheque, or be endorsed on the back by a person authorised by the bank. This account name must correspond with your name. If it is a joint application, the account name must be the same as the frst-named applicant’s name. • be issued by a licensed bank in Hong Kong, and have your name certifed on the back by a person authorised by the bank. The name on the banker’s cashier order must correspond with your name. If it is a joint application, the name on the back of the banker’s cashier order must be the same as the frst-named applicant’s name. Sample樣版	How to make your application 1. Use the table below to calculate how much you must pay. Your application must be for a minimum of 400 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected. NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 8,000 10,000 3,777.69 7,555.37 11,333.06 15,110.75 18,888.44 22,666.13 26,443.82 30,221.51 33,999.19 37,776.88 56,665.32 75,553.76 94,442.20 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 113,330.64 132,219.08 151,107.52 169,995.96 188,884.40 283,326.60 377,768.80 472,211.00 566,653.20 661,095.40 755,537.60 849,979.80 944,422.00 200,000 300,000 400,000 500,000 600,000 700,000 800,000 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 1,888,843.99 2,833,265.99 3,777,687.98 4,722,109.98 5,666,531.97 6,610,953.97 7,555,375.96 8,499,797.96 9,444,219.95 18,888,439.90 28,332,659.85 37,776,879.80 47,221,099.75 6,000,000 7,000,000 8,000,000 9,000,000 10,000,000 20,000,000 30,000,000 35,887,600 (1) 56,665,319.70 66,109,539.65 75,553,759.60 84,997,979.55 94,442,199.50 188,884,399.00 283,326,598.50 338,930,387.87 (1) Maximum number of Hong Kong Offer Sharesyou mayapplyfor. 2. You, as the applicant(s), must complete the form in English as indicated below and sign on the second page of the Application Form. Only written signatures will be accepted (and not by way of personal chop). If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): • the designated CCASS Participant must endorse the form with its company chop (bearing its company name) and insert its participant I.D. in the appropriate box. If you are applying as an individual CCASS Investor Participant: • the form must contain your NAME and Hong Kong I.D. Card number. • your participant I.D. must be inserted in the appropriate box. If you are applying as a joint individual CCASS Investor Participant: • the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card number of all joint investor participants; • your participant I.D. must be inserted in the appropriate box. If you are applying as a corporate CCASS Investor Participant: • the form must contain your company NAME and Hong Kong Business Registration number; • your participant I.D. and your company chop (bearing your company name) must be inserted in the appropriate box. Incorrect or omission of details of the CCASS Participant including participant I.D. and/ or company chop bearing its company name or other similar matters may render your application invalid. 3. Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application will be rejected if your cheque or banker’s cashier order does not meet all the following requirements: The cheque must: Banker’s cashier order must: • be in Hong Kong dollars; • not be post-dated; • be made payable to “HORSFORD NOMINEES LIMITED — DFZQ PUBLIC OFFER”; • be crossed “Account Payee Only”; • be drawn on your Hong Kong dollar bank account in Hong Kong; and • show your account name, which must either be pre-printed on the cheque, or be endorsed on the back by a person authorised by the bank. This account name must correspond with your name. If it is a joint application, the account name must be the same as the frst-named applicant’s name. • be issued by a licensed bank in Hong Kong, and have your name certifed on the back by a person authorised by the bank. The name on the banker’s cashier order must correspond with your name. If it is a joint application, the name on the back of the banker’s cashier order must be the same as the frst-named applicant’s name. Sample樣版
The cheque must:	Banker’s cashier order must:
• be in Hong Kong dollars; • not be post-dated; • be made payable to “HORSFORD NOMINEES LIMITED — DFZQ PUBLIC OFFER”; • be crossed “Account Payee Only”;
• be drawn on your Hong Kong dollar bank account in Hong Kong; and • show your account name, which must either be pre-printed on the cheque, or be endorsed on the back by a person authorised by the bank. This account name must correspond with your name. If it is a joint application, the account name must be the same as the frst-named applicant’s name.	• be issued by a licensed bank in Hong Kong, and have your name certifed on the back by a person authorised by the bank. The name on the banker’s cashier order must correspond with your name. If it is a joint application, the name on the back of the banker’s cashier order must be the same as the frst-named applicant’s name.

Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or banker’s cashier order attached) to one of the collection boxes at any of the following branches of: Standard Chartered Bank (Hong Kong) Limited District Branch Name Address Hong Kong Island 88 Des Voeux Road Branch 88 Des Voeux Road Central, Central Causeway Bay Branch G/F to 2/F, Yee Wah Mansion, 38–40A Yee Wo Street, Causeway Bay Aberdeen Branch Shop 4A, G/F and Shop 1, 1/F, Aberdeen Centre Site 5, No.6–12 Nam Ning Street, Aberdeen Kowloon Kwun Tong Hoi Yuen Road G/F, Fook Cheong Building, Branch No. 63 Hoi Yuen Road, Kwun Tong 68 Nathan Road Branch Basement, Shop B1, G/F and M/F Golden Crown Court, 66–70 Nathan Road, Tsimshatsui Mei Foo Manhattan Branch Shop Nos. 07 & 09, Ground Floor, Mei Foo Plaza, Mei Foo Sun Chuen New Territories Maritime Square Branch Shop 308E, Level 3, Maritime Square, Tsing Yi Shatin Plaza Branch Shop No. 8, Shatin Plaza, 21–27 Shatin Centre Street, Shatin Bank of Communications Co., Ltd. Hong Kong Branch District Branch Name Address Hong Kong Island Central District Sub-Branch G/F., Far East Consortium Building, 125A Des Voeux Road Central, Central Chai Wan Sub-Branch G/F., 121–121A Wan Tsui Road, Chai Wan Cinema Building, Chai Wan Kowloon Lam Tin Sub-Branch Shop No. 5 & 9, G/F., Kai Tin Towers, 51–67C Kai Tin Road, Lam Tin New Territories Fanling Sub-Branch Shop No. 84A–84B, G/F., Flora Plaza, Fanling Industrial and Commercial Bank of China (Asia) Limited District Branch Name Address Hong Kong Island Central Branch 1/F, 9 Queen’s Road Central Wanchai Road Branch G/F Times Media Centre, No. 133 Wan Chai Road, Hong Kong North Point Branch G/F, 436–438 King’s Road, North Point New Territories Tai Po Branch Shop F, G/F, Mee Fat Building, No 34–38 Tai Wing Lane, Tai Po Tsuen Wan Castle Peak Road G/F, 423–427 Castle Peak Road Tsuen Wan Branch Wing Lung Bank Limited District Branch Name Address Hong Kong Island Head Office 45 Des Voeux Road Central Johnston Road Branch 118 Johnston Road Kennedy Town Branch 28 Catchick Street Kowloon Mongkok Branch B/F Wing Lung Bank Centre, 636 Nathan Road Sham Shui Po Branch 111 Tai Po Road To Kwa Wan Branch 64 To Kwa Wan Road New Territories Sheung Shui Branch 128 San Fung Avenue 5. Your Application Form can be lodged at these times:

Wednesday, June 22, 2016 — 9:00 a.m. to 5:00 p.m. Thursday, June 23, 2016 — 9:00 a.m. to 5:00 p.m. Friday, June 24, 2016 — 9:00 a.m. to 5:00 p.m. Saturday, June 25, 2016 — 9:00 a.m. to 1:00 p.m. Monday, June 27, 2016 — 9:00 a.m. to 12:00 noon

The latest time for lodging your application is 12:00 noon on Monday, June 27, 2016. The application lists will be opened between 11:45 a.m.-12:00 noon on that day, subject only to the weather conditions, as described in “Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.

如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格

申請手續

使用下表計算閣下應付的款項。閣下申請認購的股數須至少為400股香港發售股份，並為下表所列的其中一個數目，否則恕不受理。可供申請認購股份數目及應繳款項申請認購的申請認購的申請認購的申請認購的香港發售申請時香港發售申請時香港發售申請時香港發售申請時股份數目應繳款項（港元）股份數目應繳款項（港元）股份數目應繳款項（港元）股份數目應繳款項（港元） 400 3,777.69 12,000 113,330.64 200,000 1,888,843.99 6,000,000 56,665,319.70 800 7,555.37 14,000 132,219.08 300,000 2,833,265.99 7,000,000 66,109,539.65 1,200 11,333.06 16,000 151,107.52 400,000 3,777,687.98 8,000,000 75,553,759.60 1,600 15,110.75 18,000 169,995.96 500,000 4,722,109.98 9,000,000 84,997,979.55 2,000 18,888.44 20,000 188,884.40 600,000 5,666,531.97 10,000,000 94,442,199.50 2,400 22,666.13 30,000 283,326.60 700,000 6,610,953.97 20,000,000 188,884,399.00 2,800 26,443.82 40,000 377,768.80 800,000 7,555,375.96 30,000,000 283,326,598.50 3,200 30,221.51 50,000 472,211.00 900,000 8,499,797.96 35,887,600(1) 338,930,387.87 3,600 33,999.19 60,000 566,653.20 1,000,000 9,444,219.95 4,000 37,776.88 70,000 661,095.40 2,000,000 18,888,439.90 6,000 56,665.32 80,000 755,537.60 3,000,000 28,332,659.85 8,000 75,553.76 90,000 849,979.80 4,000,000 37,776,879.80 (1) 閣下可申請認購的香港發售股份最 10,000 94,442.20 100,000 944,422.00 5,000,000 47,221,099.75 高數目。 2. 閣下作為申請人，必須按照下列指示以英文填妥表格，並於申請表格次頁簽署，只接納親筆簽名（不得以個人印章代替）。如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請： ‧ 該指定中央結算系統參與者必須於表格蓋上公司印鑑（附有公司名稱），並在適當方格內填寫參與者編號。如閣下以個人中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有閣下的姓名和香港身份證號碼。 ‧ 須在適當方格內填寫閣下的參與者編號。如閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有所有聯名投資者戶口持有人的姓名和香港身份證號碼； ‧ 須在適當方格內填寫閣下的參與者編號。如閣下以公司中央結算系統投資者戶口持有人名義提出申請： ‧ 表格須載有閣下的公司名稱和香港商業登記號碼； ‧ 須在適當方格內填寫閣下的參與者編號並蓋上公司印鑑（附有公司名稱）。中央結算系統參與者的資料（包括參與者編號及╱或顯示公司名稱之公司印鑑）或其他類似事項如有不確或遺漏，均可能導致申請無效。 3. 閣下須將支票或銀行本票釘於表格上。每份香港發售股份申請須附一張獨立開出支票或一張獨立開出銀行本票。支票或銀行本票必須符合以下所有規定，否則有關的認購申請不獲接納： 支票必須：銀行本票必須： ‧ 為港元； ‧ 不得為期票； ‧ 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 」； ‧ 劃線註明「只准入抬頭人賬戶」； ‧ ‧ 從閣下在香港的港元銀行賬戶中開出；及須由香港持牌銀行開出，並由有關銀行授
‧ ‧ 從閣下在香港的港元銀行賬戶中開出；及須由香港持牌銀行開出，並由有關銀行授
‧ 顯示閣下的賬戶名稱，而該賬戶名稱必權的人士在銀行本票背面簽署核證閣須已預印在支票上，或由有關銀行授權的下姓名 ╱ 名稱。銀行本票所示姓名 ╱ 名稱人士在支票背書。賬戶名稱必須與閣下須與閣下姓名 ╱ 名稱相同。如屬聯名申姓名 ╱ 名稱相同。如屬聯名申請，賬戶名稱請，銀行本票背面所示姓名 ╱ 名稱必須與。。
必須與排名首位申請人的姓名 ╱ 名稱相同排名首位申請人的姓名 ╱ 名稱相同

如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格

請撕下申請表格，對摺一次，然後將填妥的申請表格（連同支票或銀行本票）投入下列任何一家分行特設的收集箱： 渣打銀行（香港）有限公司地區分行名稱地址香港島 88德輔道中分行中環德輔道中88號銅鑼灣分行銅鑼灣怡和街38–40A號怡華大廈地下至2樓香港仔分行香港仔南寧街6–12號香港仔中心第五期地下4A舖及一樓1號舖九龍觀塘開源道分行觀塘開源道63號福昌大廈地下 68彌敦道分行尖沙咀彌敦道66–70號金冠大廈地庫、地下B1號舖及中層美孚曼克頓分行美孚新村美孚廣場地下07及09號舖新界青衣城分行青衣青衣城3樓308E號舖沙田廣場分行沙田沙田正街21–27號沙田廣場8號舖 交通銀行股份有限公司香港分行地區分行名稱地址香港島 中區支行中環德輔道中125A號遠東發展大廈地下柴灣支行柴灣環翠道121–121A號柴灣戲院大廈地下九龍藍田支行藍田啟田道51–67C號啟田大廈地下5號及9號舖新界粉嶺支行粉嶺花都廣場地下84A–84B號舖 中國工商銀行（亞洲）有限公司地區分行名稱地址香港島 中環分行皇后大道中9號1字樓灣仔道分行香港灣仔道133號卓淩中心地下北角分行北角英皇道436–438號地下新界大埔分行大埔大榮里34至38號美發大廈地下F舖荃灣青山公路分行青山公路荃灣段423–427號地下 永隆銀行有限公司地區分行名稱地址香港島 總行德輔道中45號莊士敦道分行莊士敦道118號堅尼地城分行吉席街28號九龍旺角分行彌敦道636號永隆銀行中心地庫深水埗分行大埔道111號土瓜灣分行土瓜灣道64號新界上水分行新豐路128號 5. 閣下可於下列時間遞交申請表格： — 2016年6月22日（星期三）上午九時正至下午五時正 — 2016年6月23日（星期四）上午九時正至下午五時正 — 2016年6月24日（星期五）上午九時正至下午五時正 — 2016年6月25日（星期六）上午九時正至下午一時正 — 2016年6月27日（星期一）上午九時正至中午十二時正 6. 截止遞交申請的時間為2016年6月27日（星期一）中午十二時正。本公司將於當日上午十一時四十五分至中午十二時正期間登記認購申請，唯一會影響此時間的變化因素為當日的天氣情況（詳見招股章程「如何申請香港發售股份」一節「惡劣天氣對開始辦理認購申請登記的影響」）。
Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant (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))
GLOBAL OFFERING
Conditions of your application • confirm that you have received and read the Prospectus and have only relied on the information and representations contained in
A. Who can apply the Prospectus in making your application and will not rely on
1. You and any person(s) for whose benefit you are applying must any other information or representations except those in any
be 18 years of age or older and must have a Hong Kong address. supplement to the Prospectus;
1. If you are a firm, the application must be in the individual • confirm that you are aware of the restrictions on the Global members’ names. Offering in the prospectus;
1. The number of joint applicants may not exceed 4. • agree that none of the Company, the Joint Global Coordinators, 4. If you are a body corporate, the application must be signed the Joint Sponsors, the Underwriters, their respective directors, by a duly authorised officer, who must state his representative officers, employees, partners, agents, advisers and any other capacity, and stamped with your corporation’s chop. parties involved in the Global Offering is or will be liable for
1. You must be outside the United States, not be a United States any information and representations not in the Prospectus (and Person (within the meaning of Regulation S under the U.S. any supplement to it); Securities Act) or a person described in paragraph (h)(3) of Rule • undertake and confirm that you or the person(s) for whose benefit 902 of Regulation S and not be a legal or natural person of the PRC. you have made the application have not applied for or taken up,
1. Unless permitted by the Listing Rules or any relevant waivers or indicated an interest for, and will not apply for or take up, or that have been granted by the Stock Exchange, you cannot apply indicate an interest for, any Offer Shares under the International for any Hong Kong Offer Shares if you are: Offering nor participated in the International Offering; • an existing beneficial owner of shares in the Company and/ • agree to disclose to the Company, our H Share Registrar, receiving banks, the Joint Global Coordinators, the Joint
or any of its subsidiaries;
• a Director or chief executive office of the Company and/or Sponsors, the Underwriters and/or their respective advisers and agents any personal data which they may require about you and
any of its subsidiaries;
• a connected person of the Company or will become a the person(s) for whose benefit you have made the application; • if the laws of any place outside Hong Kong apply to your
connected person of the Company immediately upon application, agree and warrant that you have complied with all such
completion of the Global Offering; laws and none of the Company, the Joint Global Coordinators, the
• an associate of any of the above; or Joint Sponsors and the Underwriters nor any of their respective
• have been allocated or have applied for or indicated officers or advisers will breach any law outside Hong Kong as a an interest in any Offer Shares under the International result of the acceptance of your offer to purchase, or any action
Offering. arising from your rights and obligations under the terms and
B. If you are a nominee conditions contained in the Prospectus and this Application Form; • agree that once your application has been accepted, you may not
You, as a nominee, may make more than one application for the Hong rescind it because of an innocent misrepresentation;
Kong Offer Shares by: (i) giving electronic instructions to HKSCC • agree that your application will be governed by the laws of Hong
via Central Clearing and Settlement System (“CCASS”) (if you are a CCASS Participant); or (ii) using a WHITE or YELLOW Application Kong; • represent, warrant and undertake that (i) you understand that
Form, and lodge more than one application in your own name on the Hong Kong Offer Shares have not been and will not be
behalf of different beneficial owners. registered under the U.S. Securities Act; and (ii) you and
C. Effect of completing and submitting this Application Form any person for whose benefit you are applying for the Hong By completing and submitting this Application Form, you (and if you Kong Offer Shares are outside the United States (as defined in are joint applicants, each of you jointly and severally) for yourself or Regulation S) or are a person described in paragraph (h)(3) of as an agent or a nominee on behalf of each person for whom you act: Rule 902 of Regulation S; • undertake to execute all relevant documents and instruct and • warrant that the information you have provided is true and authorise the Company and/or the Joint Global Coordinators (or accurate; • agree to accept the Hong Kong Offer Shares applied for, or any
their agents or nominees), as agents of the Company, to execute lesser number allocated to you under the application;
any documents for you and to do on your behalf all things • authorise the Company to place the name of the HKSCC
necessary to register any Hong Kong Offer Shares allocated Nominees on the Company’s register of members as the
to you in the name of HKSCC Nominees as required by the holder(s) of any Hong Kong Offer Shares allocated to you, and
Articles of Association; the Company and/or its agents to deposit any share certificate(s)
• agree to comply with the Companies Ordinance, the Companies into CCASS and/or to send any refund cheque(s) to you or the
(Winding Up and Miscellaneous Provisions) Ordinance and the first-named applicant for joint application by ordinary post at Articles of Association; your own risk to the address stated on the application, unless
• confirm that you have read the terms and conditions and you have fulfilled the criteria set out in “Personal Collection” in
application procedures set out in the Prospectus and in this the “How to Apply for Hong Kong Offer Shares” section of the Application Form and agree to be bound by them; prospectus to collect refund cheque(s) in person;

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant

• agree that the shares to be allotted shall be issued in the name of The Company expects to announce the final Offer Price, the indication HKSCC Nominees and deposited directly into CCASS for credit of the level of interest in the International Offering, the level of to your investor participant stock account or the stock account of applications under the Hong Kong Public Offering and the basis of your designated CCASS Participant; allocation of the Hong Kong Public Offering on Thursday, July 7, • agree that each of HKSCC and HKSCC Nominees reserves the 2016 in the South China Morning Post (in English) and the Hong right (1) not to accept any or part of such allotted shares issued in Kong Economic Times (in Chinese) and on the website of the Hong the name of HKSCC Nominees or not to accept such allotted shares Kong Stock Exchange at www.hkexnews.hk and the Company’s for deposit into CCASS; (2) to cause such allotted shares to be website at www.dfzq.com.cn . Results of allocations in Hong Kong withdrawn from CCASS and issued in your name at your own risk Public Offering, and the Hong Kong Identity Card/passport/Hong and costs; and (3) to cause such allotted shares to be issued in your Kong business registration numbers of successful applicants (where name (or, if you are a joint applicant, to the first-named applicant) applicable) will be available on the above websites. and in such a case, to post the certificates for such allotted shares at your own risk to the address on your application form by ordinary If your application for Hong Kong Offer Shares is successful (in post or to make available the same for your collection; whole or in part) • agree that each of HKSCC and HKSCC Nominees may adjust If your application is wholly or partially successful, your Share the number of allotted shares issued in the name of HKSCC certificate(s) (subject to their becoming valid certificates of Nominees; title provided that the Hong Kong Public Offering has become • agree that neither HKSCC nor HKSCC Nominees shall have any unconditional and not having been terminated at 8:00 a.m. on Friday, liability for the information and representations not so contained July 8, 2016) will be issued in the name of HKSCC Nominees and in the Prospectus and this application form; deposited directly into CCASS for credit to your CCASS Investor • agree that neither HKSCC nor HKSCC Nominees shall be liable Participant stock account or the stock account of your designated to you in any way; CCASS Participant as instructed by you in your Application Form on • declare and represent that this is the only application made and Thursday, July 7, 2016 or, in the event of a contingency, on any other the only application intended by me/us to be made to benefit me/ date as shall be determined by HKSCC or HKSCC Nominees. us or the person for whose benefit I am/we are applying; • If you are applying through a designated CCASS Participant • understand that the Company, the Joint Global Coordinators (other than a CCASS Investor Participant): For Hong Kong and the Joint Sponsors will rely on your declarations and Offer Shares credited to the stock account of your designated representations in deciding whether or not to make any allotment CCASS Participant (other than a CCASS Investor Participant), of any of the Hong Kong Offer Shares to you and that you may you can check the number of Hong Kong Offer Shares allotted be prosecuted for making a false declaration; to you with that CCASS Participant. • (if the application is made for your own benefit) warrant that no • If you are applying as a CCASS Investor Participant: The other application has been or will be made for your benefit on a Company expects to publish the results of CCASS Investor WHITE or YELLOW Application Form or by giving electronic Participants’ applications together with the results of the Hong application instructions to HKSCC or to the White Form eIPO Kong Public Offering in the South China Morning Post (in Service Provider by you or by any one as your agent or by any English) and the Hong Kong Economic Times (in Chinese) on other person; and Thursday, July 7, 2016. You should check the announcement • (if you are making the application as an agent for the benefit of published by the Company and report any discrepancies to another person) warrant that (i) no other application has been or HKSCC before 5:00 p.m. on Thursday, July 7, 2016 or such will be made by you as agent for or for the benefit of that person or other date as shall be determined by HKSCC or HKSCC by that person or by any other person as agent for that person on a Nominees. Immediately after the credit of the Hong Kong Offer WHITE or YELLOW Application Form or by giving electronic Shares to your stock account you can check your new account application instructions to HKSCC; and (ii) you have due authority balance via the CCASS Phone System and CCASS Internet to sign the Application Form or give electronic application System (under the procedures contained in HKSCC’s “An instructions on behalf of that other person as their agent. Operating Guide for Investor Participants” in effect from time D. Power of attorney to time). HKSCC will also make available to you an activity statement showing the number of Hong Kong Offer Shares If your application is made through an authorised attorney, the credited to your stock account. Company, the Joint Global Coordinators and the Joint Sponsors No receipt will be issued for application money paid. The Company may accept or reject your application at their discretion, and on any conditions they think fit, including evidence of the attorney’s authority. will not issue temporary documents of title. Determination of Offer Price and Allocation of Hong Kong Offer Refund of your money Shares If you do not receive any Hong Kong Offer Shares or if your The Offer Price is expected to be fixed on or around Wednesday, application is accepted only in part, the Company will refund to you June 29, 2016. Applicants are required to pay the maximum Offer your application monies (including the related 1% brokerage, 0.0027% Price of HK$9.35 for each Hong Kong Offer Share together with 1% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong fee) without interest. If the offer price is less than the maximum Offer Stock Exchange trading fee. If the Offer Price is not agreed between Price, the Company will refund to you the surplus application monies the Company (for itself and on behalf of the Selling Shareholders) and (including the related 1% brokerage, 0.0027% SFC transaction levy the Joint Global Coordinators (for themselves and on behalf of the and 0.005% Hong Kong Stock Exchange trading fee) without interest. Hong Kong Underwriters) on or before Thursday, July 7, 2016, the The refund procedures are stated in the “Dispatch/Collection of share Global Offering will not proceed. certificates and refund monies” in the “How to Apply for Hong Kong

If you do not receive any Hong Kong Offer Shares or if your application is accepted only in part, the Company will refund to you your application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee) without interest. If the offer price is less than the maximum Offer Price, the Company will refund to you the surplus application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee) without interest. The refund procedures are stated in the “Dispatch/Collection of share certificates and refund monies” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.

Applications for Hong Kong Offer Shares will not be processed and no allotment of any Hong Kong Offer Shares will be made until the application lists close.

如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格（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） 全球發售 ‧ 申請條件 確認閣下已接獲及細閱招股章程，提出申請時也僅依據招股章程載列的資料及陳述，而除 甲、可提出申請的人士 招股章程任何補充文件外，不會依賴任何其他 1. 閣下及閣下為其利益提出申請的人士必須年資料或陳述；滿18歲並有香港地址。 ‧ 確認閣下知悉招股章程內有關全球發售的限 2. 如閣下為商號，申請須以個別成員名義提出。制； 3. 聯名申請人不得超過四名。 ‧ 同意本公司、聯席全球協調人、聯席保薦人、 4. 如閣下為法人團體，申請須經獲正式授權人承銷商、彼等各自的董事、高級職員、僱員、員簽署，並註明其所屬代表身份及蓋上公司印合夥人、代理、顧問及參與全球發售的任何其鑑。他人士現時及日後均毋須對並非載於招股章程 5. 閣下必須身處美國境外，並非美籍人士（定義（及其任何補充文件）的任何資料及陳述負責；見美國證券法S規例）或屬S規例第902條(h)(3)段 ‧ 承諾及確認閣下或閣下為其利益提出申請所述的人士，亦非中國法人或自然人。的人士並無申請或接納或表示有意認購（亦不 6. 除上市規則或聯交所已授予的任何相關豁免批會申請或接納或表示有意認購）國際發售的任准外，下列人士概不得申請認購任何香港發售何發售股份，也沒有參與國際發售；股份： ‧ 同意在本公司、H股證券登記處、收款銀行、 ‧ 本公司及╱或其任何子公司股份的現有實聯席全球協調人、聯席保薦人、承銷商及╱或益擁有人；彼等各自的顧問及代理提出要求時，向彼等披 ‧ 本公司及╱或其任何子公司的董事或行政露其所要求提供有關閣下及閣下為其利益總裁；提出申請的人士的個人資料； ‧ ‧ 本公司關連人士或緊隨全球發售完成後成若香港境外任何地方的法例適用於閣下的為本公司關連人士的人士；申請，則同意及保證閣下已遵守所有有關法 ‧ 上述任何人士的聯繫人；或例，且本公司、聯席全球協調人、聯席保薦人 ‧ 已獲分配或已申請或表示有意申請國際發及承銷商和彼等各自的高級職員或顧問概不會售的任何發售股份。因接納閣下的購買要約，或閣下在招股章程及本申請表格所載的條款及條件項下的權利 乙、如閣下為代名人 及責任所引致的任何行動，而違反香港境外的閣下作為代名人可提交超過一份香港發售股份申任何法例； ‧ 請，方法是：(i)透過中央結算及交收系統（「中央結同意閣下的申請一經接納，即不得因無意的算系統」）向香港結算發出電子認購指示（如閣下失實陳述而撤銷； ‧ 為中央結算系統參與者）；或(ii)使用白色或黃色申同意閣下的申請受香港法例規管； ‧ 請表格以自身名義代表不同的實益擁有人提交超過聲明、保證及承諾：(i) 閣下明白香港發售股一份申請。份不曾亦不會根據美國證券法登記；及(ii) 閣下及閣下為其利益申請香港發售股份的人士 丙、填交本申請表格的效用 均身處美國境外（定義見S規例），或屬S規例第閣下填妥並遞交本申請表格，即表示閣下（如屬聯 902條第(h)(3)段所述的人士； ‧ 名申請人，即各人共同及個別）代表閣下本身，或保證閣下提供的資料真實及準確； ‧ 作為閣下代其行事的每位人士的代理或代名人：同意接納所申請數目或根據申請分配予閣下 ‧ 承諾簽立所有相關文件，並指示及授權本公司但數目較少的香港發售股份； ‧ 及╱或聯席全球協調人（或彼等的代理或代名授權本公司將香港結算代理人的名稱列入本公人），為按照公司章程的規定將閣下獲分配司股東名冊，作為閣下獲分配的任何香港發的任何香港發售股份以香港結算代理人的名義售股份的持有人，並授權本公司及╱或其代理登記而代表閣下簽立任何文件；將任何股票存入中央結算系統及╱或以普通

‧ 授權本公司將香港結算代理人的名稱列入本公司股東名冊，作為閣下獲分配的任何香港發售股份的持有人，並授權本公司及╱或其代理將任何股票存入中央結算系統及╱或以普通郵遞方式按申請所示地址向閣下或聯名申請的首名申請人發送任何退款支票，郵誤風險由閣下承擔，除非閣下已符合招股章程「如何申請香港發售股份」一節「親身領取」一段的條件親身領取退款支票；
‧ 同意遵守公司條例、公司（清盤及雜項條文）條例及公司章程；
‧ 確認閣下已細閱招股章程及本申請表格所載的條款及條件以及申請程序，並同意受其約束；

如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格

截止登記認購申請前，概不處理香港發售股份的申請或配發任何香港發售股份。

‧ 同意獲配發的股份是以香港結算代理人的名截止登記認購申請前，概不處理香港發售股份的申義發行，並直接存入中央結算系統，以便記存請或配發任何香港發售股份。於閣下的中央結算系統投資者戶口持有人股份戶口或閣下的指定中央結算系統參與者股本公司預期於 2016 年 7 月 7 日（星期四）在南華早報份戶口；（英文）、香港經濟日報（中文）、香港聯交所網站 ‧ 同意香港結算及香港結算代理人各自保留權利 ( www.hkexnews.hk )及本公司網站( www.dfzq.com.cn ) (1)不接納以香港結算代理人名義發行的該等公佈最終發售價、國際發售踴躍程度、香港公開發獲配發的任何或部分股份，或不接納該等獲配售認購水平及香港公開發售分配基準。香港公開發發的股份存入中央結算系統；(2)促使該等獲配售的分配結果以及獲接納申請人的香港身份證╱護發的股份從中央結算系統提取，並轉入閣下照╱香港商業登記號碼（如適用）亦同於上述網站公名下，有關風險及費用概由閣下自行承擔；佈。及(3)促使該等獲配發的股份以閣下名義發行（或如屬聯名申請人，則以排名首位申請人的 如閣下成功申請認購香港發售股份（全部或部分） 名義發行），而在此情況下，會以普通郵遞方式如閣下的申請全部或部分獲接納，閣下的股將該等獲配發股份的股票寄往閣下在申請表票（前提是到2016年7月8日（星期五）上午八時正香格上所示地址（郵誤風險概由閣下自行承擔）港公開發售成為無條件而並無終止，股票成為有或提供該等股票予閣下領取；效的所有權證明）將以香港結算代理人名義發出， ‧ 同意香港結算及香港結算代理人均可調整獲配並按閣下在申請表格的指示於2016年7月7日（星發以香港結算代理人名義發行的股份數目；期四）或在特別情況下由香港結算或香港結算代理 ‧ 同意香港結算及香港結算代理人對招股章程及人指定的任何其他日期直接存入中央結算系統，記本申請表格未有載列的資料及陳述概不負責；入閣下的中央結算系統投資者戶口持有人股份戶 ‧ 同意香港結算及香港結算代理人概不以任何方口或閣下指定的中央結算系統參與者股份戶口。 ‧ 式對閣下負責；如閣下透過中央結算系統投資者戶口持有人 ‧ 聲明及表示此乃本人╱吾等為本身或本人╱吾以外的指定中央結算系統參與者提出申請：香等為其利益提出申請的人士提出及擬提出的唯港發售股份將存入閣下指定的中央結算系統一申請；參與者（非中央結算系統投資者戶口持有人）股 ‧ 明白本公司、聯席全球協調人及聯席保薦人將份戶口，閣下可向該中央結算系統參與者查依據閣下的聲明及陳述而決定是否向閣下詢閣下獲配發的香港發售股份數目。 ‧ 分配任何香港發售股份，閣下如作出虛假聲如閣下以中央結算系統投資者戶口持有人身明，可能會被檢控；份提出申請：本公司預期於2016年7月7日（星 ‧ （如本申請是為閣下本身利益提出）保證閣期四）在南華早報（英文）及香港經濟日報（中下或作為閣下代理的任何人士或任何其他人文）刊登中央結算系統投資者戶口持有人的申士不曾亦不會為閣下利益而以白色或黃色申請結果及香港公開發售的結果。閣下應查閱請表格或向香港結算或白表eIPO服務供應商發本公司刊發的公告，如有任何資料不符，請於出電子認購指示而提出其他申請；及 2016年7月7日（星期四）下午五時正或香港結算 ‧ （如閣下作為代理為另一人士的利益提出申或香港結算代理人釐定的任何其他日期前知請）保證(i) 閣下（作為代理或為該人士利益）會香港結算。在香港發售股份存入閣下的股或該人士或任何其他作為該人士代理的人士不份戶口後，閣下即可透過「結算通」電話系統曾亦不會以白色或黃色申請表格或向香港結算及中央結算系統互聯網系統（根據香港結算不發出電子認購指示而提出其他申請；及(ii) 閣時生效的「投資者戶口操作簡介」所載程序）查下獲正式授權作為該人士的代理代為簽署本申詢閣下的新戶口結餘。香港結算亦將向閣請表格或發出電子認購指示。下提供一份活動結單，列出存入閣下股份戶口的香港發售股份數目。 丁、授權書 本公司不會就申請時繳付的款項發出收據，亦不會如閣下透過授權人士提出申請，本公司、聯席全發出臨時所有權文件。球協調人及聯席保薦人可按其認為合適的條件（包括出示獲授權證明）酌情接納或拒絕閣下的申請。 退回款項 若閣下未獲分配任何香港發售股份或申請僅部分 釐定發售價及香港發售股份的分配 獲接納，本公司將不計利息退回閣下的申請股款預期發售價於 2016 年 6 月 29 日（星期三）或前後釐（包括相關的1%經紀佣金、0.0027%香港證監會交易1%經紀佣金、0.0027%香港證監會交易經紀佣金、0.0027%香港證監會交易0.0027%香港證監會交易香港證監會交易定。申請人須繳付每股香港發售股份9.35港元的最徵費及0.005%香港聯交所交易費）。如最終釐定的0.005%香港聯交所交易費）。如最終釐定的香港聯交所交易費）。如最終釐定的高發售價，另加1%經紀佣金、0.0027%香港證監會發售價低於最高發售價，本公司將不計利息退回多交易徵費及0.005%香港聯交所交易費。倘若本公司收申請股款（包括相關的1%經紀佣金、0.0027%香港1%經紀佣金、0.0027%香港經紀佣金、0.0027%香港0.0027%香港香港（代表其自身和售股股東）與聯席全球協調人（代表證監會交易徵費及0.005%香港聯交所交易費）。0.005%香港聯交所交易費）。香港聯交所交易費）。其自身和香港承銷商）並無於 2016 年 7 月 7 日（星期有關退款程序載於招股章程「如何申請香港發售股四）或之前協定發售價，全球發售將不會進行。份」一節「寄發╱領取股票及退還股款」一段。

若閣下未獲分配任何香港發售股份或申請僅部分獲接納，本公司將不計利息退回閣下的申請股款（包括相關的1%經紀佣金、0.0027%香港證監會交易1%經紀佣金、0.0027%香港證監會交易經紀佣金、0.0027%香港證監會交易0.0027%香港證監會交易香港證監會交易徵費及0.005%香港聯交所交易費）。如最終釐定的0.005%香港聯交所交易費）。如最終釐定的香港聯交所交易費）。如最終釐定的發售價低於最高發售價，本公司將不計利息退回多收申請股款（包括相關的1%經紀佣金、0.0027%香港1%經紀佣金、0.0027%香港經紀佣金、0.0027%香港0.0027%香港香港證監會交易徵費及0.005%香港聯交所交易費）。0.005%香港聯交所交易費）。香港聯交所交易費）。有關退款程序載於招股章程「如何申請香港發售股份」一節「寄發╱領取股票及退還股款」一段。

Personal Data 3. Transfer of personal data Personal data held by the Company and its H Share Personal Information Collection Statement Registrar relating to the securities holders will be kept This Personal Information Collection Statement informs confidential but the Company and its H Share Registrar the applicant for, and holder of, Hong Kong Offer Shares, may, to the extent necessary for achieving any of the above of the policies and practices of the Company and its purposes, disclose, obtain or transfer (whether within or H Share Registrar in relation to personal data and the outside Hong Kong) the personal data to, from or with any Personal Data (Privacy) Ordinance (Chapter 486 of the of the following: Laws of Hong Kong) (the “Ordinance”). • the Company’s appointed agents such as financial advisers, receiving bankers and overseas principal 1. Reasons for the collection of your personal data share registrar; It is necessary for applicants and registered holders of • where applicants for securities request a deposit into securities to supply correct personal data to the Company CCASS, HKSCC or HKSCC Nominees, who will or its agents and the H Share Registrar when applying use the personal data for the purposes of operating for securities or transferring securities into or out of CCASS; their names or in procuring the services of the H Share • any agents, contractors or third-party service providers Registrar. who offer administrative, telecommunications, computer, payment or other services to the Company Failure to supply the requested data may result in your or the H Share Registrar in connection with their application for securities being rejected, or in delay or respective business operation; the inability of the Company or its H Share Registrar to • the Hong Kong Stock Exchange, the SFC and any effect transfers or otherwise render their services. It may other statutory regulatory or governmental bodies or also prevent or delay registration or transfers of the Hong otherwise as required by laws, rules or regulations; Kong Offer Shares which you have successfully applied and for and/or the dispatch of share certificate(s) and/or refund • any persons or institutions with which the securities’ cheque(s) to which you are entitled. holders have or propose to have dealings, such as their bankers, solicitors, accountants or stockbrokers It is important that securities holders inform the Company etc. and the H Share Registrar immediately of any inaccuracies in the personal data supplied. 4. Retention of personal data 2. Purposes The Company and its H Share Registrar will keep the personal data of the applicants and holders of securities The personal data of the securities holders may be used, for as long as necessary to fulfil the purposes for which held, processed, and/or stored (by whatever means) for the the personal data were collected. Personal data which following purposes: • processing your application and refund cheque, where is no longer required will be destroyed or dealt with in applicable, verification of compliance with the terms accordance with the Ordinance. and application procedures set out in this Application 5. Access to and correction of personal data Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares; Securities holders have the right to ascertain whether the • compliance with applicable laws and regulations in Company or the H Share Registrar hold their personal Hong Kong and elsewhere; data, to obtain a copy of that data, and to correct any data • registering new issues or transfers into or out of that is inaccurate. The Company and the H Share Registrar the names of securities’ holders including, where have the right to charge a reasonable fee for the processing applicable, HKSCC Nominees; of such requests. • maintaining or updating the register of securities’ holders of the Company; All requests for access to data or correction of data should • verifying securities holders’ identities; be addressed to us, at our registered address disclosed in • establishing benefit entitlements of securities’ holders the “Corporate Information” section of the Prospectus or as of the Company, such as dividends, rights issues, notified from time to time, for the attention of the company bonus issues, etc.; secretary, or our H Share Registrar for the attention of the • distributing communications from the Company and privacy compliance officer. its subsidiaries; • compiling statistical information and securities’ By signing an Application Form or by giving electronic holders profiles; application instructions to HKSCC, you agree to all of • disclosing relevant information to facilitate claims on the above. entitlements; and

any other incidental or associated purposes relating to the above and/or to enable the Company and the H Share Registrar to discharge their obligations to securities’ holders and/or regulators and/or any other purposes to which the securities’ holders may from time to time agree.

如閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於閣下的中央結算系統投資者戶口持有人股份戶口或閣下指定的中央結算系統參與者股份戶口，請使用本表格

3. 轉交個人資料

個人資料

本公司及其H股證券登記處所持有關證券持有 個人資料收集聲明 人的個人資料將會保密，但本公司及其H股證券此項個人資料收集聲明是向香港發售股份的申登記處可以在為達到上述任何目的之必要情況請人和持有人說明有關本公司及其H股證券登H股證券登股證券登下，向下列任何人士披露，獲取或轉交（無論在記處有關個人資料和香港法例第486章個人資料486章個人資料章個人資料香港境內或境外）有關個人資料： ‧ （私隱）條例（「條例」）方面的政策和慣例。本公司委任的代理人，例如財務顧問、收款銀行和主要海外股份過戶登記處； 1. 收集閣下個人資料的原因 ‧ （如證券申請人要求將證券存於中央結算系證券申請人及登記持有人以本身名義申請證券統）香港結算或香港結算代理人；彼等將會或轉讓或受讓證券時或尋求H股證券登記處的服就中央結算系統的運作使用有關個人資料；務時，必須向本公司或其代理人及H股證券登記 ‧ 向本公司或H股證券登記處提供與其各自業處提供準確個人資料。務營運有關的行政、電訊、電腦、付款或其他服務的任何代理人、承包商或第三方服未能提供所要求的資料可能導致閣下申請證務供應商；券被拒或延遲，或本公司或其H股證券登記處無 ‧ 香港聯交所、香港證監會及任何其他法定法落實轉讓或提供服務。此舉也可能妨礙或延監管機關或政府部門或遵照其他法例、規遲登記或轉讓閣下成功申請的香港發售股份則或法規；及 ‧ 及╱或寄發閣下應得的股票及╱或退款支票。證券持有人與其進行或擬進行交易的任何人士或機構，例如彼等的銀行、律師、會計證券持有人所提供的個人資料如有任何錯誤，師或股票經紀等。須立即通知本公司及H股證券登記處。 4. 個人資料的保留 2. 目的 本公司及其H股證券登記處將按收集個人資料證券持有人的個人資料可被採用及以任何方式所需的用途保留證券申請人及持有人的個人資持有，處理及╱或保存，以作下列用途：料。無需保留的個人資料將會根據條例銷毀或 ‧ 處理閣下的申請及退款支票（如適用）、處理。核實是否符合本申請表格及招股章程載列的條款和申請程序以及公佈香港發售股份 5. 查閱和更正個人資料 的分配結果；證券持有人有權確定本公司或H股證券登記處是 ‧ 遵守香港及其他地區的適用法律及法規；否持有其個人資料，並有權索取有關該資料的 ‧ 以證券持有人（包括香港結算代理人（如適副本並更正任何不準確資料。本公司和H股證券用））的名義登記新發行證券或轉讓或受讓登記處有權就處理任何查閱資料的要求收取合證券；理費用。 ‧ 存置或更新本公司證券持有人的名冊； ‧ 核實證券持有人的身份；所有查閱資料或更正資料的要求應按招股章程 ‧ 確定本公司證券持有人的受益權利，例如「公司資料」一節所披露或不時通知的本公司註股息、供股和紅股等；冊地址送交公司秘書，或向本公司的H股證券登 ‧ 分發本公司及其附屬公司的通訊；記處的個人資料私隱事務主任提出。 ‧ 編製統計數據和證券持有人資料； ‧ 披露有關資料以便就權益索償；及 閣下簽署申請表格或向香港結算發出電子認購 ‧ 與上述有關的任何其他附帶或相關目的及╱ 指示，即表示同意上述各項。 或使本公司及H股證券登記處能履行對證券持有人及╱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目的。

此項個人資料收集聲明是向香港發售股份的申請人和持有人說明有關本公司及其H股證券登H股證券登股證券登記處有關個人資料和香港法例第486章個人資料486章個人資料章個人資料（私隱）條例（「條例」）方面的政策和慣例。

AI assistant

DFZQ Capital/Financing Update 2016

50931_rns_2016-06-21_309d4b85-d839-4473-b6e4-6ed35b31ec58.pdf

申請手續

3. 轉交個人資料

個人資料

AI assistant

DFZQ — Capital/Financing Update 2016

50931_rns_2016-06-21_309d4b85-d839-4473-b6e4-6ed35b31ec58.pdf

申請手續

3. 轉交個人資料

個人資料

More from DFZQ

DFZQ Capital/Financing Update 2016