DFZQ — Share Issue/Capital Change 2021

Sep 2, 2021

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Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities

For the month ended: 31 August 2021

Status: New Submission

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer: 東方證券股份有限公司 Date Submitted: 02 September 2021

I. Movements in Authorised / Registered Share Capital

1. Type of shares	Ordinary shares	Ordinary shares	Class of shares	Class A	Class A	Class A	Listed on SEHK (Note 1)	Listed on SEHK (Note 1)	Listed on SEHK (Note 1)	No
Stock code	600958		Description	Shanghai Stock Exchange
		Number of authorised/registered shares			Par value			Authorised/registered share capital
Balance at close of preceding month		5,966,575,803			RMB	1		RMB	5,966,575,803
Increase / decrease (-)								RMB
Balance at close of the month		5,966,575,803			RMB	1		RMB	5,966,575,803
2. Type of shares	Ordinary shares		Class of shares	Class H			Listed on SEHK (Note 1)			Yes
Stock code	03958		Description	H Shares
		Number of authorised/registered shares			Par value			Authorised/registered share capital
Balance at close of preceding month		1,027,080,000			RMB	1		RMB	1,027,080,000
Increase / decrease (-)								RMB
Balance at close of the month		1,027,080,000			RMB	1		RMB	1,027,080,000

Total authorised/registered share capital at the end of the month: RMB

6,993,655,803

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II. Movements in Issued Shares

1. Type of shares	Ordinary shares	Ordinary shares	Class of shares	Class A	Listed on SEHK (Note 1)	No
Stock code	600958		Description	Shanghai Stock Exchange
Balance at close of preceding month		5,966,575,803
Increase / decrease (-)
Balance at close of the month		5,966,575,803
2. Type of shares	Ordinary shares		Class of shares	Class H	Listed on SEHK (Note 1)	Yes
Stock code	03958		Description	H Shares
Balance at close of preceding month		1,027,080,000
Increase / decrease (-)
Balance at close of the month		1,027,080,000

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III. Details of Movements in Issued Shares

(A). Share Options (under Share Option Schemes of the Issuer) Not applicable

• (B). Warrants to Issue Shares of the Issuer which are to be Listed Not applicable

(C). Convertibles (i.e. Convertible into Issue Shares of the Issuer which are to be Listed) Not applicable

• (D). Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be listed, including Options (other than Share Options Schemes) Not applicable

(E). Other Movements in Issued Share Not applicable

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IV. Information about Hong Kong Depositary Receipt (HDR)

Not applicable

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V. Confirmations

Not applicable

Remarks:

1. As the Company is incorporated in the People’s Republic of China, the concept of “authorised share capital” is not applicable. The information shown as “authorised share capital” in section I above refers to the “issued share capital” of the Company.

Submitted by:

JIN Wenzhong

Title:

Chairman

(Director, Secretary or other Duly Authorised Officer)

Notes

1. SEHK refers to Stock Exchange of Hong Kong.

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 Main Board Rule 13.25A / GEM Rule 17.27A 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

6. ． exactly the same sum (gross and net); and

7. ． 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 submit additional document.

9. In the context of repurchase of shares:

10. ． “shares issuable to be listed on SEHK” should be construed as “shares repurchased listed on SEHK”; and

11. ． “stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares repurchased (if listed on SEHK)”; and

12. ． “type of shares issuable” should be construed as “type of shares repurchased”; and

13. ． “issue and allotment date” should be construed as “cancellation date”

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1. In the context of redemption of shares:

2. ． “shares issuable to be listed on SEHK” should be construed as “shares redeemed listed on SEHK”; and

3. ． “stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares redeemed (if listed on SEHK)”; and

4. ． “type of shares issuable” should be construed as “type of shares redeemed”; and

5. ． “issue and allotment date” should be construed as “redemption date”

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