DFZQ — Capital/Financing Update 2019

Aug 20, 2019

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, 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 announcement.

This announcement is for information purposes only and does not constitute an invitation or offer to acquire, purchase or subscribe for securities.

This announcement does not constitute or form a part of any offer or solicitation to purchase or subscribe for securities in the United States. The securities have not been and will not be registered under the U.S. Securities Act of 1933, as amended (the “ Securities Act ”), or the securities law of any state of the United States or other jurisdiction. The securities are being offered and sold outside the United States to non-U.S. persons in reliance on Regulation S under the Securities Act (the “ Regulation S ”) and may not be sold within the United States or to, or for the account or benefit of, U.S. persons (as defined in Regulation S) absent registration or an exemption from registration under the Securities Act. No public offering of the securities will be made in the United States or in any other jurisdiction where such an offering is restricted or prohibited.

NOTICE OF LISTING ON

THE STOCK EXCHANGE OF HONG KONG LIMITED

(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 “Issuer”)

U.S.$300,000,000 Floating Rate Bonds due 2022 (the “USD Bonds”) and €200,000,000 0.625 per cent. Senior Bonds due 2022 (the “Euro Bonds”, and together with the USD Bonds, the “Bonds”) (Stock Code for the USD Bonds: 5645 Stock code for the Euro Bonds: 5646)

Joint Global Coordinators, Joint Bookrunners and Joint Lead Managers

Orient Securities(Hong Kong)	Citigroup	ICBC	CMB WingLung BankLimited	ShanghaiPudongDevelopment	ChinaCITIC BankInternational
				Bank
	Joint Bookrunners and Joint Lead Managers
				Industrial Bank
Bank ofCommunications	Bank of China		NomuraABCInternational		Co., Ltd.Hong Kong
					Branch

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Application has been made by the Issuer to The Stock Exchange of Hong Kong Limited for the listing of and permission to deal in the Bonds by way of debt issues to professional investors (as defined in Chapter 37 of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited and in the Securities and Futures Ordinance (Cap. 571) of Hong Kong) only as described in the offering circular relating thereto dated 13 August 2019. Permission for the listing of, and dealing in, the Bonds is expected to become effective on 21 August 2019.

Shanghai, PRC August 20, 2019

As at the date of this announcement, 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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