Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

Sign up Log in

Guotai Haitong Securities Co., Ltd. Share Issue/Capital Change 2019

May 7, 2019

50713_rns_2019-05-07_84d56b4f-ba57-4db5-9388-f081851936bb.pdf

Share Issue/Capital Change

Open in viewer

Opens in your device viewer

==> picture [103 x 57] intentionally omitted <==

Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy) : 30/04/2019

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer GUOTAI JUNAN SECURITIES CO., LTD. (the “ Company ”) Date Submitted 07 May 2019

I. Movements in Authorised Share Capital

1. Ordinary Shares
(1) Stock code :
02611
Description :
No. of ordinary
shares
Balance at close of preceding month
1,197,827,180
Increase/(decrease) (Remark)
194,000,000
Balance at close of the month
1,391,827,180		 H Shares
Par value
(State
currency)
Authorised share
capital
(State currency)
RMB1.00
RMB1,197,827,180
194,000,000
RMB1.00
RMB1,391,827,180
Par value
(State
currency)
RMB1.00
RMB1.00
(2) Stock code :
601211
Description :
No. of ordinary
shares
Balance at close of preceding month
7,516,118,290
Increase/(decrease)
2,484
Balance at close of the month
7,516,120,774		 A Shares
Par value
(State
currency)
Authorised share
capital
(State currency)
RMB1.00
RMB7,516,118,290
2,484
**RMB1.00 RMB7,516,120,774 **
Par value
(State
currency)
RMB1.00
**RMB1.00 **

March 2019

  1. Preference Shares
2. Preference Shares 2. Preference Shares 2. Preference Shares 2. Preference Shares 2. Preference Shares
Stock code :
N/A
Description :
No. of
preference
shares
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
Par value
(State
currency)
3.OtherClasses ofShares
Stock code :
N/A
Description :
No. of other
classes of
shares
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
Par value
(State
currency)

Total authorised share capital at the end of the month RMB8,907,947,954 (State currency) :

March 2019

II. Movements in Issued Share Capital
Balance at close of
preceding month
Increase/ (decrease)
during the month
Balance at close of
the month		 No. of ordinary shares
No of preference
shares
No. of other
classes ofshares
HShares
AShares
1,197,827,180 **
194,000,000
1,391,827,180 **		 7,516,118,290
2,484
7,516,120,774		 N/A
N/A
N/A		 N/A
N/A
N/A

III. Details of Movements in Issued Share Capital

Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer)
Particulars of
share option
scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Movement during themonth No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
Granted Exercised Cancelled Lapsed
1.N/A

(/ /)
shares




(Note 1)
2.N/A


(/ /)
shares




(Note 1)
3.N/A


(/ /)
shares
(Note 1)
Total A. (Ordinary shares)
(Preference shares)
(Other class)
Total funds raised during the month from exercise
of options (State currency)
N/A


N/A

N/A

N/A

March 2019

Warrants to Issue Shares of the Issuer which are to be Listed

Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Currency
of nominal
value
Nominal value
at close of
preceding
month		 Currency
of nominal
value
Nominal value
at close of
preceding
month
Exercised
during the
month
Nominal value
at close of the
month
Exercised
during the
month
Nominal value
at close of the
month
Exercised
during the
month
Nominal value
at close of the
month

No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month

No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month





1.N/A











N/A
N/A
N/A

( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
2.N/A

( / / )

( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3.N/A

( / / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4.N/A

( / / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
( / / )

March 2019

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

Class and description Class and description Class and description Class and description Currency of
amount
outstanding

Amount at
close of
preceding
month		 Converted
during the
month		 Amount at
close of the
month		 Amount at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month





1.AShare Convertible Corporate
RMB
RMB
RMB
RMB
Bonds (Termof Bonds: 7Jul
6,999,766,000
49,000
6,999,717,000
2017 to 6 Jul 2023)
Conversion period shall
commence from 8 Jan 2018 (i.e.
the first trading day immediately
following 7 Jan 2018) to 6 Jul
2023
Bondscode (if listed)
113013
Class of shares
issuable_(Note 1)
Ordinary shares- AShare
Subscription price
EGM approval date
(if applicable)
The issue price is RMB100
per convertible bond; the
conversion
prices
were
adjusted
from
RMB20.2
per share to RMB19.8 per
share from 29 June 2018,
and from RMB19.8 per
share to RMB19.67 per
sharefrom 19April 2019
(dd/mm/yyyy))
(19/5/2016)
2. N/A
Stock code (if listed)
Class of shares
issuable(Note 1)
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
( / / )
3. N/A
Stock code (if listed)
Class of shares
issuable(Note 1)
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
( / / )
4. N/A
Stock code (if listed)
Class of shares
issuable(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
( / / )
Total C. (Ordinary shares)
(Preference shares)
(Other class)		 RMB
113013		 RMB
6,999,766,000		 RMB

49,000
 RMB
6,999,717,000

2,484









2,484
N/A
N/A
355,857,498

Bondscode (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy))
2. N/A
(19/5/2016)
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3. N/A

Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4. N/A

Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)

March 2019

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)


Options (other than under Share Option Schemes)
Options (other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy),
if applicable, and class of shares issuable:		 No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
1.
2.
3.		 N/A N/A
N/A
N/A
( / / )
shares_(Note 1)_
N/A
( / / )
shares_(Note 1)_
N/A
( / / )
shares_(Note 1)_
Total D.(Ordinaryshares)
(Preference shares)
(Other class)

March 2019

Other Movements in Issued Share Capital

Type of Issue No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month
1. Rights issue
At price :State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)

(
(		 _
/ / )
/ / )		 N/A N/A
2. Open offer
At price :State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)

(
(		 _
/ / )
/ / )		 N/A N/A
3. Placing
At price :State
currency		 HK$16.34
Class
of
shares
issuable_(Note 1)_
Issue and allotment
date : (dd/mm/yyyy)
AGM approval date:
(dd/mm/yyyy)
H Shares
(17/04/2019)
(18/05/2018)		 194,000,000
(Remark)		 N/A
4. Bonus issue Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A

March 2019

Type of Issue No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month
5. Scrip dividend
At price :State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A
6. Repurchase of
shares		 Class
of
shares
repurchased_(Note 1)
Cancellation date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A
7. Redemption of
shares		 Class
of
shares
redeemed_(Note 1)
Redemption date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A
8. Consideration
issue
At price :State
currency
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A

March 2019

Type of Issue No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month		 No. of new
shares of issuer
issued during
the month
pursuant
thereto
No. of
new
shares
of issuer
which
may be
issued
pursuant
thereto
as at
close of
the
month
9. Capital
reorganisation		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A
10. Other
(Please specify)At price : State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )		 N/A N/A
Total E. (Ordinary
shares)
(Preference shares)
(Other class)		 194,000,000
H shares
N/A
N/A

2,484 Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) A shares 194,000,000 (2) H shares Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): N/A Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to N/A E): (These figures should be the same as the relevant figures under II above (“Movements in Issued Share Capital”).)

IV. Confirmations

We hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued by the issuer during the month as set out in Part III which has not been previously disclosed in a return published under rule 13.25A, it has been duly authorized by the board of directors of the listed issuer and, insofar as applicable:

(Note 2)

(i) all money due to the listed issuer in respect of the issue of securities has been received by it;

(ii) all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock

March 2019

Exchange of Hong Kong Limited under “Qualifications of listing” have been fulfilled;

  • (iii) all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;

  • (iv) all the securities of each class are in all respects identical (Note 3) ;

  • (v) all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has been made with other legal requirements;

  • (vi) all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue;

  • (vii) completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and

  • (viii) the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.

Remarks (if any):

As the Company was incorporated in the PRC, the concept of “authorised share capital” is not applicable. The information contained in section I refers to the “issued share capital” of the Company.

On 17 April 2019, 194,000,000 H Shares were issued by the Company pursuant to the Completion of the Placing as set out in the Placing Agreement dated 9 April 2019. As a result, the total number of H Shares of the Company was 1,391,827,180 as at 17 April 2019.

Submitted by: ___ Yu Jian _____

Title: _ Director _____ (Director, Secretary or other duly authorised officer)

Notes :

1. State the class of shares (e.g. ordinary, preference or other).

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 rule 13.25A in relation to the securities issued, no further confirmation is required to be made in this return.

3. “Identical” means in this context:

  • the securities are of the same nominal value with the same amount called up or paid up;

  • 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 exactly the same sum (gross and net); and

  • they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

4.

If there is insufficient space, please append the prescribed continuation sheet.

March 2019

More from Guotai Haitong Securities Co., Ltd.

Regulatory Filings 2026
Jun 1
Capital/Financing Update 2026
May 6
Regulatory Filings 2026
May 6
Regulatory Filings 2026
Apr 10
Regulatory Filings 2026
Apr 8
Regulatory Filings 2026
Apr 8
Proxy Solicitation & Information Statement 2026
Apr 8
Proxy Solicitation & Information Statement 2026
Apr 8
Proxy Solicitation & Information Statement 2026
Apr 8
Notice of Dividend Amount 2026
Apr 8
View all filings →