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JX Energy Ltd. Share Issue/Capital Change 2017

Feb 27, 2017

50836_rns_2017-02-27_db0cc3a0-3579-4a18-8140-6000db5bedfe.pdf

Share Issue/Capital Change

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Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

This Application Form uses the same terms as defined in the prospectus of Persta Resources Inc. (the“ Company ”) dated February 28, 2017 (the “ Prospectus ”).

Staple your 本申請表格使用Persta Resources Inc.(「 本公司 」)於二零一七年二月二十八日刊發的招股章程(「 招股章程 」)所界定的詞彙。 payment here Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong 請將股款 Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in the United States without registration or an exemption from registration under the U.S. Securities Act. The Offer Shares may not be offered, 緊釘在此 sold or resold, directly or indirectly, in Canada or to any resident of Canada in connection with the Global Offering, except pursuant to an exemption from the prospectus requirements of applicable Canadian securities laws, and in compliance with, or pursuant to exemptions from, the dealer registration requirements of such laws.

本申請表格及招股章程概不構成在香港以外任何司法權區要約出售或游說要約購買任何香港發售股份。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。發售股份不得就全球發售在加拿大或向加拿大任何居民直接或間接提 呈、出售或轉售,惟根據適用加拿大證券法的招股章程規定之豁免,以及遵照有關法律之交易商註冊規定或根據該規定之豁免則除外。 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 paragraph headed “1. Documents Delivered to the Registrar of Companies in Hong Kong” in Appendix VII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by Section 342C of Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32 of the Laws of Hong Kong). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “ 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七「1. 送呈香港公司註冊處處長的文件」一段所列的其他文件已按香港法例第 32 章《公司﹙清盤 及雜項條文﹚條例》第 342C 條規定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(「 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(「 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。

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Persta Resources Inc. (incorporated under the laws of Alberta with limited liability) (根據阿爾伯塔法律註冊成立的有限公司) GLOBAL OFFERING 全球發售 Stock code : 3395 股份代號 : 3395 Maximum Offer Price : HK$3.80 per Offer Share (plus brokerage of 1%, a Stock Exchange trading fee of 0.005% and a SFC transaction levy of 0.0027%) payable in full in Hong Kong dollars on application and subject to refund 最高發售價 : 每股發售股份 3.80 港元,另加 1% 經紀佣金、0.005% 聯交所交易費及 0.0027% 證監會交易徵費(須於申 請時以港元繳足及可予退還) You should read this Application Form in conjunction with the Prospectus, which contains further information on the , 一 。 application procedures. 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: Persta Resources Inc. 致: Persta Resources Inc. The Joint Global Coordinators 聯席全球協調人 The Hong Kong Underwriters 香港包銷商

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及條 application procedures in this Application Form and 件以及申請程序。請參閱本申請表格「填交本申請表 the Prospectus. Please refer to the “Effect of 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 benefit of any person. Please refer to the last four bullets of “Effect of completing and submitting this Application Form” section.

一 警告:任何人士只限作出 次為其利益而進行的申 。 請 請參閱「填交本申請表格的效用」一節最後四 點。

Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

Signed by (all) applicant(s) (all joint applicants must sign): 由(所有)申請人簽署(所有聯名申請人必須簽署):

For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀 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 3,479,000 shares) 申請香港發售股份數目(不超過3,479,000股股 份)

Total amount 總額

HK$ 港元

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 “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)

Name in English 英文姓名╱名稱

Family name or company name 姓氏或公司名稱

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)

Name in Chinese 中文姓名╱名稱

Occupation in English 職業(以英文填寫)

Names of all other joint applicants in English (if any) 所有其他聯名申請人的英文姓名╱名稱(如有)

所有其他聯名申請人的英文姓名╱名稱(如有) Hong Kong Identity Card No./Passport No./Hong Kong Business 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 1) 碼╱香港商業登記號碼(請刪除不適用者) 2) 1) 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 if you do not complete this section. Please provide an account number or identification code for each (joint) beneficial owner. 由代名人遞交:代名人若不填寫本節,是項認購申請將視作 為 閣下本身利益提出。請填寫每名(聯名)實益擁有人的賬戶 號碼或識別編碼。

ADDRESS LABEL 地址標貼 (Your name(s) and address in Hong Kong in BLOCK letters 請用英文 正楷 填寫 姓名╱名稱 及香港 地址 )

For Internal use 此欄供內部使用

Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

  • (1) An individual must provide his Hong Kong Identity Card number or, if he does not hold a Hong Kong Identity Card, his passport number. A body corporate must provide its Hong Kong Business Registration number. Each joint applicant must provide its or his relevant number. The Hong Kong Identity Card number(s)/passport number(s)/Hong Kong Business Registration number(s) will be transferred to a third party for checking the Application Form’s validity.

個別人士必須填寫其香港身份證號碼或(如非香港身份證持有人)其護照號碼。法人團體必須填寫其 香港商業登記號碼。每名聯名申請人均須提供其相關號碼。該等香港身份證號碼╱護照號碼╱香港商 業登記號碼將轉交第三方以核實申請表格的有效性。

  • (2) 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). Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque.

  • 退款支票(如有)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。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。

  • (3) 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. 倘申請人是一間非上市公司,而:

‧ 該公司主要從事買賣證券;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。

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

Please use this form if you want the Hong Kong Offer Shares to be issued in your name

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 1,000 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 1,000
HongKongOffer Shares and in one of the numbers set out in the table, oryour application will be rejected.
1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 1,000
HongKongOffer Shares and in one of the numbers set out in the table, oryour application will be rejected.
1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 1,000
HongKongOffer Shares and in one of the numbers set out in the table, oryour application will be rejected.
TABLE OF 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$
1,000
3,838.29
2,000
7,676.59
3,000
11,514.88
4,000
15,353.17
5,000
19,191.46
6,000
23,029.76
7,000
26,868.05
8,000
30,706.34
9,000
34,544.63
10,000
38,382.93
15,000
57,574.39
20,000
76,765.85
25,000
95,957.32
30,000
115,148.78
35,000
134,340.24
40,000
153,531.70
45,000
172,723.17
50,000
191,914.63
60,000
230,297.56
70,000
268,680.48
80,000
307,063.41
90,000
345,446.33
100,000
383,829.26
200,000
767,658.52
300,000
1,151,487.78
400,000
1,535,317.04
500,000
1,919,146.30
600,000
2,302,975.56
700,000
2,686,804.82
800,000
3,070,634.08
900,000
3,454,463.34
1,000,000
3,838,292.60
1,500,000
5,757,438.90
2,000,000
7,676,585.20
2,500,000
9,595,731.50
3,000,000
11,514,877.80
3,479,000*
13,353,419.96
樣版
  • Maximum number of Hong Kong Offer Shares you may apply for.

  • Complete the form in English and sign it. Only written signatures will be accepted (and not by way of personal chop).

  • 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 ICBC (Asia) Nominee Limited — PERSTA 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 preprinted 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 first-named applicant’s name.

be issued by a licensed bank in Hong Kong, and have your name certified 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 firstnamed applicant’s name.

Please use this form if you want the Hong Kong Offer Shares to be issued in your name

  1. 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 Industrial and Commercial Bank of China (Asia) Limited:

District Branch

Address

Hong Kong Island Central Branch 1/F., 9 Queen’s Road Central, Hong Kong

Causeway Bay Branch

North Point Branch

Kowloon Mongkok Branch

Kwun Tong Branch

New Territories Tsuen Wan Castle Peak Road Branch Shatin Branch

  • Shop A on G/F, 1/F, Hennessy Apartments, 488 & 490 Hennessy Road, Hong Kong

  • G/F, 436–438 King’s Road, North Point, Hong Kong

  • G/F, Belgian Bank Building,721–725 Nathan Road, Mongkok, Kowloon

  • Shop 5 & 6, 1/F, Crocodile Center, 79 Hoi Yuen Road, Kwun Tong, Kowloon

  • G/F, 423–427 Castle Peak Road, Tsuen Wan, New Territories

  • Shop 22J, Level 3, Shatin Centre, New Territories

  • Your Application Form can be lodged at these times:

— Tuesday, February 28, 2017 9:00 a.m. to 5:00 p.m. — Wednesday, March 1, 2017 9:00 a.m. to 5:00 p.m. — Thursday, March 2, 2017 9:00 a.m. to 5:00 p.m. Friday, March 3, 2017 — 9:00 a.m. to 12:00 noon

  1. The latest time for lodging your application is 12:00 noon on Friday, March 3, 2017. The application lists will be open between 11:45 a.m. to 12:00 noon on that day, subject only to the weather conditions, as described in “10. 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 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

申請手續

  1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數必須至少為1,000 股香港發售股份,並為下表 所載的其中一個數目,否則恕不受理。

可申請認購股數及應繳款項一覽表

1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數必須至少為1,000股香港發售股份,並為下表
所載的其中一個數目,否則恕不受理。
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數必須至少為1,000股香港發售股份,並為下表
所載的其中一個數目,否則恕不受理。
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數必須至少為1,000股香港發售股份,並為下表
所載的其中一個數目,否則恕不受理。
可申請認購股數及應繳款項一覽表
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
1,000
3,838.29
2,000
7,676.59
3,000
11,514.88
4,000
15,353.17
5,000
19,191.46
6,000
23,029.76
7,000
26,868.05
8,000
30,706.34
9,000
34,544.63
10,000
38,382.93
15,000
57,574.39
20,000
76,765.85
25,000
95,957.32
30,000
115,148.78
35,000
134,340.24
40,000
153,531.70
45,000
172,723.17
50,000
191,914.63
60,000
230,297.56
70,000
268,680.48
80,000
307,063.41
90,000
345,446.33
100,000
383,829.26
200,000
767,658.52
300,000
1,151,487.78
400,000
1,535,317.04
500,000
1,919,146.30
600,000
2,302,975.56
700,000
2,686,804.82
800,000
3,070,634.08
900,000
3,454,463.34
1,000,000
3,838,292.60
1,500,000
5,757,438.90
2,000,000
7,676,585.20
2,500,000
9,595,731.50
3,000,000
11,514,877.80
3,479,000*
13,353,419.96
樣版
  • 閣下可申請認購的香港發售股份最高數目。

  • 以英文填妥及簽署表格。只接納親筆簽名(不得以個人印章代替)。

  • 閣下必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 閣下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 工銀亞洲代理人有限公司—PERSTA 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 ‧ ‧ 顯示 閣下的賬戶名稱,而該賬戶名稱必須已 預印在支票上,或由有關銀行授權的人士在支 票背書。賬戶名稱必須與 閣下姓名╱名稱相 同。如屬聯名申請,賬戶名稱必須與排名首位 申請人的姓名╱名稱相同。

‧ 須由香港持牌銀行開出,並由有關銀行授權的
人士在銀行本票背面簽署核證
閣下姓名╱
名稱。銀行本票所示姓名╱名稱必須與
閣下
姓名╱名稱相同。如屬聯名申請,銀行本票背
面所示姓名╱名稱必須與排名首位申請人的
姓名╱名稱相同。

如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

  1. 請撕下申請表格,對摺一次,並將填妥的申請表格(連同支票或銀行本票)投入中國工商銀行(亞洲) 有限公司的下列任何一間分行的收集箱:

地區 分行 地址 香港島 中環分行 香港皇后大道中 9 號 1 字樓 銅鑼灣分行 香港軒尼詩道488–490 號軒尼詩大廈地下 A 鋪至 1 樓 北角分行 香港北角英皇道 436–438 號地下 九龍區 旺角分行 九龍旺角彌敦道721–725 號華比銀行大廈地下 觀塘分行 九龍觀塘開源道79 號鱷魚恤中心一樓 5 號和 6 號鋪 新界 荃灣青山公路分行 新界荃灣青山公路 423–427 號地下 沙田分行 新界沙田中心3 樓 22J 號鋪

  1. 閣下可於下列時間遞交申請表格:

— 二零一七年二月二十八日(星期二) 上午九時正至下午五時正 — 二零一七年三月一日(星期三) 上午九時正至下午五時正 — 二零一七年三月二日(星期四) 上午九時正至下午五時正 — 二零一七年三月三日(星期五) 上午九時正至中午十二時正

  1. 截止遞交申請的時間為二零一七年三月三日(星期五)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,僅受限於招股章程「如何申請香港發售股份」一節「10. 惡劣天 氣對開始辦理申請登記的影響」所述的天氣狀況。

Please use this form if you want the Hong Kong Offer Shares to be issued in your name

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Persta Resources Inc.

(incorporated under the laws of Alberta with limited liability)

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 the Prospectus in making your application and will not rely on any other information or representations except those in any supplement to the Prospectus;

A. Who can apply

  1. You and any person(s) for whose benefit you are applying must be 18 years of age or older and must have a Hong Kong address.

  2. confirm that you are aware of the restrictions on the Global Offering in the Prospectus;

  3. If you are a firm, the application must be in the individual members’ names.

    • agree that none of the Company, the Joint Global Coordinators, the Joint Bookrunners, the Joint Lead Managers, the Underwriters, their respective directors, officers, employees, partners, agents, advisers and any other parties involved in the Global Offering is or will be liable for any information and representations not in the Prospectus (and any supplement to it);

    • • undertake and confirm that you or the person(s) for whose benefit you have made the application have not applied for or taken up, or indicated an interest for, and will not apply for or take up, or indicate an interest for, any Offer Shares under the International Offering nor participated in the International

  4. The number of joint applicants may not exceed 4.

  5. If you are a body corporate, the application must be signed by a duly authorised officer, who must state his representative capacity, and stamped with your corporation’s chop.

  6. You must be outside the United States, not be a United States Person (as defined in Regulation S under the U.S. Securities •

Act), not be a legal or natural person of the PRC and not be a resident of Canada.

  1. Unless permitted by the Listing Rules, you cannot apply for any Hong Kong Offer Shares if you are:

  2. an existing beneficial owner of shares in the Company; Offering;

  3. • a Director or chief executive officer of the Company; • agree to disclose to the Company, our Hong Kong Share • an associate of any of the above; Registrar, receiving banks, the Joint Global Coordinators, the • a connected person of the Company or will become a Joint Bookrunners, the Joint Lead Managers, the Underwriters connected person of the Company immediately upon and/or their respective advisers and agents any personal data completion of the Global Offering; or which they may require about you and the person(s) for whose

  4. • have been allocated or have applied for or indicated an benefit you have made the application;

  5. have been allocated or have applied for or indicated an interest in any Offer Shares under the International Offering. •

  6. if the laws of any place outside Hong Kong apply to your application, agree and warrant that you have complied with all such laws and none of the Company, the Joint Global Coordinators the Joint Bookrunners, the Joint Lead Managers and the Underwriters nor any of their respective officers or advisers will breach any law outside Hong Kong as a result of the acceptance of your offer to purchase, or any action arising from your rights and obligations under the terms and conditions contained in the Prospectus and this Application Form;

B. If you are a nominee You, as a nominee, may make more than one application for the Hong Kong Offer Shares by: (i) giving electronic application instructions to HKSCC via Central Clearing and Settlement System (“ CCASS ”) (if you are a CCASS Participant); or (ii) using a WHITE or YELLOW Application Form, and lodge more than one application in your own name on behalf of different beneficial owners.

  • agree that once your application has been accepted, you may not rescind it because of an innocent misrepresentation;

  • agree that your application will be governed by the laws of Hong Kong;

C. Effect of completing and submitting this Application Form By completing and submitting this Application Form, you (and if you are joint applicants, each of you jointly and severally) for yourself or as an agent or a nominee on behalf of each person for whom you act:

  • represent, warrant and undertake that (i) you understand that the Hong Kong Offer Shares have not been and will not be registered under the U.S. Securities Act; and (ii) you and any person for whose benefit you are applying for the Hong Kong Offer Shares are outside the United States (as defined in Regulation S) or are a person described in paragraph (h)(3) of Rule 902 of Regulation S;

  • undertake to execute all relevant documents and instruct and authorise the Company and/or the Joint Global Coordinators (or their agents or nominees), as agents of the Company, to execute any documents for you and to do on your behalf all things necessary to register any Hong Kong Offer Shares allocated to you in your name as required by the Articles and the By-Laws;

  • represent that you are not a resident of Canada;

  • acknowledge that the Hong Kong Offer Shares may not be resold in Canada or to any resident of Canada, directly or indirectly, during the four month period commencing with the completion of the Global Offering, except pursuant to an exemption from the prospectus requirements of applicable Canadian securities laws, and in compliance with, or pursuant to exemptions from, the dealer registration requirements of such laws;

  • agree to comply with the Companies Ordinance, the Companies (Winding Up and Miscellaneous Provisions) Ordinance, the ABCA and its regulations, the Articles and the By-Laws;

  • confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this Application Form and agree to be bound by them;

Please use this form if you want the Hong Kong Offer Shares to be issued in your name

  • warrant that the information you have provided is true and accurate;

  • agree to accept the Hong Kong Offer Shares applied for, or any lesser number allocated to you under the application;

  • authorise the Company to place your name(s) on the Company’s register of members as the holder(s) of any Hong Kong Offer Shares allocated to you, and the Company and/or its agents to send any share certificate(s) and/or any refund cheque(s) to you or the first-named applicant for joint application by ordinary post at your own risk to the address stated on the application, unless you are eligible to collect the share certificate(s) and/or refund cheque(s) in person;

  • declare and represent that this is the only application made and the only application intended by me/us to be made to benefit me/us or the person for whose benefit I am/we are applying;

  • understand that the Company and the Joint Global Coordinators will rely on your declarations and representations in deciding whether or not to make any allotment of any of the Hong Kong Offer Shares to you and that you may be prosecuted for making a false declaration;

  • (if the application is made for your own benefit) warrant that no other application has been or will be made for your benefit on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC or to the White Form eIPO Service Provider by you or by any one as your agent or by any other person; and

  • (if you are making the application as an agent for the benefit of another person) warrant that (i) no other application has been or will be made by you as agent for or for the benefit of that person or by that person or by any other person as agent for that person on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC and (ii) you have due authority to sign the Application Form or give electronic application instructions on behalf of that other person as their agent.

D. Power of attorney If your application is made through an authorised attorney, the Company and the Joint Global Coordinators may accept or reject your application at their discretion, and on any conditions they think fit, including evidence of the attorney’s authority.

Determination of Offer Price and Allocation of Hong Kong Offer Shares The Offer Price is expected to be fixed on or around Friday, March 3, 2017. Applicants are required to pay the maximum Offer Price of HK$3.80 for each Hong Kong Offer Share together with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee. If the Offer Price is not agreed between the Company and the Joint Global Coordinators (for themselves and on behalf of the underwriters) on or before Wednesday, March 8, 2017, the Global Offering will not proceed.

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.

The Company expects to announce the final Offer Price, the indication of the level of interest in the International Offering, the level of applications under the Hong Kong Public Offering and the basis of allocation of the Hong Kong Public Offering on Thursday, March 9, 2017 on the website of the Stock Exchange at www. hkexnews.hk and the Company’s website at www.persta.ca . Results of allocations in Hong Kong Public Offering, and the Hong Kong Identity Card/passport/Hong Kong business registration numbers of successful applicants (where applicable) will be available on the above websites.

If your application for Hong Kong Offer Shares is successful (in

whole or in part)

If you apply for 1,000,000 or more Hong Kong Offer Shares, you may collect it/them in person from: Hong Kong Share Registrar at Shops 1712–1716, 17th Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong, from 9:00 a.m. to 1:00 p.m. on Thursday, March 9, 2017 or such other date as notified by us in the newspapers.

If you are an individual who is eligible for personal collection, you must not authorise any other person to collect for you. If you are a corporate applicant which is eligible for personal collection, your authorised representative must bear a letter of authorisation from your corporation stamped with your corporation’s chop. Both individuals and authorised representatives must produce, at the time of collection, evidence of identity acceptable to the Hong Kong Share Registrar.

If you do not collect your Share certificate(s) personally within the time period specified for collection, they will be dispatched promptly to the address as specified on this Application Form by ordinary post at your own risk. If you apply for less than 1,000,000 Hong Kong Offer Shares, your refund cheque(s) and/or share certificate(s) will be sent to the address on the relevant Application Form on or before Thursday, March 9, 2017, by ordinary post and at your own risk.

Refund of your money 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% Stock Exchange trading fee) without interest. If the Offer Price as finally determined 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% Stock Exchange trading fee) without interest.

The refund procedures are stated in the “14. Despatch/Collection of share certificates and refund monies” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.

Application by HKSCC Nominees Limited (“HKSCC Nominees”)

Where this Application Form is signed by HKSCC Nominees on behalf of persons who have given electronic application instructions to apply for the Hong Kong Offer Shares, the provisions of this Application Form which are inconsistent with those set out in the Prospectus shall not apply and provisions in the Prospectus shall prevail.

Without limiting the generality of this paragraph, the following sections of this Application Form are inapplicable where this form is signed by HKSCC Nominees:

  • “Applicants’ declaration” on the first page;

  • “Warning” on the first page;

  • “If you are a nominee”;

  • All representations and warranties under the “Effect of completing and submitting this Application Form” section, except the first one regarding registration of Hong Kong Offer Shares in the applicant’s name and the signing of documents to enable the applicant to be registered as the holder of the Hong Kong Offer Shares;

  • “If your application for Hong Kong Offer Shares is successful (in whole or in part)”; and

  • “Refund of your money”.

The following sections in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus are inapplicable where this form is signed by HKSCC Nominees

  • “8. How many applications can you make”; and

  • “12. Circumstances in which you will not be allotted Offer Shares”.

如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

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Persta Resources Inc.

(根據阿爾伯塔法律註冊成立的有限公司)

全球發售

  • ‧ 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,而除招股章程任何補充 文件外,不會依賴任何其他資料或陳述;

申請條件

甲. 可提出申請的人士

  1. 閣下及 閣下為其利益提出申請的任何人士必須年滿 18 歲並必須有香港地址。

  2. ‧ 確認 閣下知悉招股章程內有關全球發售的限制;

‧ 同意本公司、聯席全球協調人、聯席賬簿管理人、聯席 2. 如 閣下為商號,申請必須以個別成員名義 提出。 3. 聯名申請人不得超過4名。4名。名。 牽頭經辦人、包銷商、彼等各自的董事、高級職員、僱 4. 如 閣下為法人團體,申請必須經獲正式授權人員簽 員、合夥人、代理、顧問及參與全球發售的任何其他人 署,並註明其所屬代表身份及蓋 上公司印鑑。 士現時及日後均毋須對並非載於招股章程(及其任何補充 5. 閣下必須身處美國境外,並非美國籍人士(定義見美國 文件)的任何資料及陳述負責; 《證券法》S 規例),亦非中國法人或自然人及並非加拿大 ‧ 承諾及確認 閣下或 閣下為其利益提出申請的人士並 居民。 無申請或接納或表示有意認購(亦不會申請或接納或表示 6. 除《上市規則》批准外,下列人士概不得申請認購任何香 有意認購)國際發售的任何發售股份,亦無參與國際發 港發售股份: ‧ 售; 本公司股份的現有實益擁有人; ‧ 本公司董事或行政總裁; ‧ 同意在本公司、香港證券登記處、收款銀行、聯席全球 ‧ 上述任何人士的聯繫人; 協調人、聯席賬簿管理人、聯席牽頭經辦人、包銷商 ‧ 本公司關連人士或緊隨全球發售完成後成為本公司 及╱或彼等各自的顧問及代理提出要求時,向彼等披露 關連人士的人士;或 其所要求提供有關 閣下及 閣下為其利益提出申請的 ‧ 已獲分配或已申請或表示有意申請國際發售的任何 人士的任何個人資料;

  1. 如 閣下為商號,申請必須以個別成員名義 提出。

  2. 聯名申請人不得超過4名。4名。名。

  3. 如 閣下為法人團體,申請必須經獲正式授權人員簽

  4. ‧ 已獲分配或已申請或表示有意申請國際發售的任何 發售股份。

‧ 如香港境外任何地方的法例適用於 閣下的申請,則同 意及保證 閣下已遵守所有有關法例,且本公司、聯席 全球協調人、聯席賬簿管理人、聯席牽頭經辦人及包銷 商和彼等各自的高級職員或顧問概不會因接納 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及責任所引致的任何行動,而違反 香港境外的任何法律;

乙. 如 閣下為代名人

閣下作為代名人可提交超過一份香港發售股份申請,方法是: (i) 透過中央結算及交收系統(「 中央結算系統 」)向香港結算發 出 電子認購指示 (如 閣下為中央結算系統參與者);或 (ii) 使 用 白色黃色 申請表格,以自身名義代表不同的實益擁有人提 交超過一份申請。

  • ‧ 同意 閣下的申請一經接納,即不得因無意的失實陳述 而撤銷;

  • 丙. 填交本申請表格的效用 閣下填妥並遞交本申請表格,即表示 閣下(如屬聯名申請 人,即各人共同及個別)代表 閣下本身,或作為 閣下代其 行事的每位人士的代理或代名人: ‧ 承諾簽立所有相關文件,並指示及授權本公司及╱或作 為本公司代理的聯席全球協調人(或彼等的代理或代名 人),代表 閣下簽立任何文件及代表 閣下採取一切必 要行動,以按照細則及附例的規定將 閣下獲分配的任 何香港發售股份以 閣下名義登記;

  • ‧ 同意 閣下的申請受香港法例規管;

  • ‧ 聲明、保證及承諾:(i) 閣下明白香港發售股份不曾亦 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任何人士均身處美國境外(定義 見S規例),或屬S規例第902條第(h)(3)段所述的人士;

  • ‧ 表示 閣下並非加拿大居民;

  • ‧ 同意遵守《公司條例》、《公司(清盤及雜項條文)條例》、 阿爾伯塔公司法及其法規、細則及附例;

  • ‧ 承認香港發售股份不可於全球發售完成起計四個月期間 內直接或間接在加拿大或向加拿大居民轉售,惟根據適 用加拿大證券法的招股章程規定之豁免,以及遵照有關 法律之交易商註冊規定或根據該規定之豁免則除外;

  • ‧ 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 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

  • ‧ 保證 閣下提供的資料真實及準確;

如 閣下成功申請認購香港發售股份(全部或部分)

如 閣下申請認購 1,000,000 股或以上香港發售股份, 閣下可 於二零一七年三月九日(星期四)上午九時正至下午一時正或 本公司在報章上公布的其他日期,親身前往香港證券登記處 (地址為香港灣仔皇后大道東 183 號合和中心 17 樓 1712–1716 室)領取股票。

  • ‧ 同意接納所申請數目或根據申請分配予 閣下但數目較 少的香港發售股份;

  • ‧ 授權本公司將 閣下的姓名╱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股票 及╱或任何退款支票,郵誤風險由 閣下自行承擔,除 非 閣下已符合資格親身領取股票及╱或退款支票;

如 閣下為個人申請人並合資格親身領取, 閣下不得授權 任何其他人士代領。如 閣下為公司申請人並合資格派人領 取, 閣下的授權代表必須攜同蓋上公司印鑑的授權書領取。 個人申請人及授權代表領取股票時均必須出示香港證券登記處 接納的身份證明文件。

  • ‧ 聲明及表示此乃本人╱吾等為本身或本人╱吾等為其利 益提出申請的人士提出及擬提出的唯一申請;

  • ‧ 明白本公司及聯席全球協調人將依據 閣下的聲明及陳 述而決定是否向 閣下分配任何香港發售股份, 閣下如 作出虛假聲明,可能會被檢控;

  • 如 閣下並無在指定領取時間內親身領取股票,有關股票將

  • 述而決定是否向 閣下分配任何香港發售股份, 閣下如 會以普通郵遞方式立刻寄往本申請表格所示地址,郵誤風險

  • 作出虛假聲明,可能會被檢控; 由 閣下自行承擔。

  • • (如本申請為 閣下本身的利益提出)保證 閣下或作 為 閣下代理的任何人士或任何其他人士不曾亦不會 如 閣下申請認購 1,000,000 股以下香港發售股份, 閣下的退 款支票及╱或股票將於二零一七年三月九日(星期四)或之前

  • 為 閣下的利益以 白色黃色 申請表格或向香港結算或 以普通郵遞方式寄往相關申請表格所示地址,郵誤風險由 閣

  • eIPO 白表 服務供應商發出 電子認購指示 而提出其他申 下自行承擔。

  • 請;及

  • • (如 閣下作為代理為另一名人士的利益提出申請)保證 退回款項 (i) 閣下(作為代理或為該人士利益)或該人士或任何其 如 閣下未獲分配任何香港發售股份或申請僅獲部分接納,本 他作為該人士代理的人士不曾亦不會以 白色黃色 申請 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% 證監會交易徵費及 0.005% 聯交所交易費)。如最

  • 表格或向香港結算發出 電子認購指示 而提出其他申請; 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繳

  • 及 (ii) 閣下獲正式授權作為該人士的代理代為簽署申請 申請股款(包括相關的 1% 經紀佣金、0.0027% 證監會交易徵費

  • 表格或發出 電子認購指示 及0.005% 聯交所交易費)。

丁. 授權書

如 閣下透過授權人士提出申請,本公司及聯席全球協調人可 按其認為合適的任何條件(包括出示獲授權證明)酌情接納或 拒絕 閣下的申請。 釐定發售價及香港發售股份的分配 預期發售價於二零一七年三月三日(星期五)或前後釐定。申 請人須繳付每股香港發售股份 3.80 港元的最高發售價,另加 1% 經紀佣金、0.0027% 證監會交易徵費及 0.005% 聯交所交易 費。倘若本公司與聯席全球協調人(為其本身及代表包銷商) 並無於二零一七年三月八日(星期三)或之前協定發售價,全 球發售將不會進行。 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。

本公司預期於二零一七年三月九日(星期四)在聯交所網站 www.hkexnews.hk及本公司網站www.persta.ca 公布最終發售 價、國際發售踴躍程度、香港公開發售認購水平及香港公開發 售分配基準。香港公開發售的分配結果以及成功申請人的香港 身份證╱護照╱香港商業登記號碼(按適用者)亦同於上述網 站公布。

有關退款程序載於招股章程「如何申請香港發售股份」一節「14. 寄發╱領取股票及退還股款」。

香港中央結算(代理人)有限公司(「香港結算代理人」)提出的 申請 如本申請表格由香港結算代理人代表發出電子認購指示申請香 港發售股份的人士簽署,本申請表格與招股章程不符的條文將 不適用,且以招股章程的條文為準。

在不限制此段一般應用的前提下,本申請表格的以下部分在香 港結算代理人作簽署人的情況下並不適用:

  • ‧ 第一頁的「申請人聲明」;

  • ‧ 第一頁的「警告」;

  • ‧ 「如 閣下為代名人」;

  • ‧ 「填交本申請表格的效用」一節項下的所有陳述及保證, 惟首項有關以申請人名義登記香港發售股份及簽署使申 請人登記成為香港發售股份持有人的文件除外;

  • ‧ 「如 閣下成功申請認購香港發售股份(全部或部分)」; 及

  • ‧ 「退回款項」。

招股章程「如何申請香港發售股份」一節的以下部分在香港結 算代理人作簽署人的情況下並不適用:

  • ‧ 「8. 閣下可提交的申請數目」;及

  • ‧ 「12. 閣下不獲配發發售股份的情況」。

Please use this form if you want the Hong Kong Offer Shares to be issued in your name

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.

Personal Data

Personal Information Collection Statement

This Personal Information Collection Statement informs the applicant for, and holder of, Hong Kong Offer Shares, of the policies and practices of the Company and its Hong Kong Share Registrar in relation to personal data and the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the “ Ordinance ”).

3. Transfer of personal data Personal data held by the Company and its Hong Kong Share Registrar relating to the securities holders will be kept confidential but the Company and its Hong Kong Share Registrar may, to the extent necessary for achieving any of the above purposes, disclose, obtain or transfer (whether within or outside Hong Kong) the personal data to, from or with any of the following:

1. Reasons for the collection of your personal data It is necessary for applicants and registered holders of securities to supply correct personal data to the Company or its agents and the Hong Kong Share Registrar when applying for securities or transferring securities into or out of their names or in procuring the services of the Hong Kong Share Registrar.

  • the Company’s appointed agents such as financial advisers, receiving bankers and overseas principal share registrar;

  • where applicants for securities request a deposit

  • services of the Hong Kong Share Registrar. into CCASS, HKSCC or HKSCC Nominees, who will use the personal data for the purposes of

  • Failure to supply the requested data may result in your operating CCASS;

  • application for securities being rejected, or in delay or • any agents, contractors or third-party service providers

  • the inability of the Company or its Hong Kong Share who offer administrative, telecommunications,

  • Registrar to effect transfers or otherwise render their computer, payment or other services to the

  • services. It may also prevent or delay registration or Company or the Hong Kong Share Registrar in

  • transfers of the Hong Kong Offer Shares which you connection with their respective business

  • have successfully applied for and/or the dispatch of operation;

  • share certificate(s) and/or refund cheque(s) to which • the Stock Exchange, the SFC and any other

  • you are entitled. statutory regulatory or governmental bodies or otherwise as required by laws, rules or regulations;

  • It is important that securities holders inform the and

  • Company and the Hong Kong Share Registrar • any persons or institutions with which the

  • immediately of any inaccuracies in the personal data securities’ holders have or propose to have

  • supplied. dealings, such as their bankers, solicitors, accountants or stockbrokers etc.

2. Purposes The personal data of the securities holders may be 4. Retention of personal data used, held, processed, and/or stored (by whatever means) for the following purposes:

The Company and its Hong Kong Share Registrar will keep the personal data of the applicants and holders of securities for as long as necessary to fulfil the purposes for which the personal data were collected. Personal data which is no longer required will be destroyed or dealt with in accordance with the Ordinance.

  • processing your application and refund cheque, where applicable, verification of compliance with the terms and application procedures set out in this Application Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares;

  • • compliance with applicable laws and regulations in Hong Kong and elsewhere;

  • • registering new issues or transfers into or out of the names of securities’ holders including, where applicable, HKSCC Nominees;

  • • maintaining or updating the register of securities’ holders of the Company;

  • • verifying securities holders’ identities; • establishing benefit entitlements of securities’ holders of the Company, such as dividends, rights issues, bonus issues, etc.;

5. Access to and correction of personal data Securities holders have the right to ascertain whether the Company or the Hong Kong Share Registrar hold their personal data, to obtain a copy of that data, and to correct any data that is inaccurate. The Company and the Hong Kong Share Registrar have the right to charge a reasonable fee for the processing of such requests.

All requests for access to data or correction of data should be addressed to us, at our registered address disclosed in the “Corporate Information” section of the Prospectus or as notified from time to time, for the attention of the company secretary, or our Hong Kong Share Registrar for the attention of the privacy compliance officer.

  • distributing communications from the Company and its subsidiaries;

  • compiling statistical information and securities’ holder profiles;

  • disclosing relevant information to facilitate claims on entitlements; and

By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.

  • any other incidental or associated purposes relating to the above and/or to enable the Company and the Hong Kong Share Registrar to

如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格

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。

個人資料

個人資料收集聲明

此項個人資料收集聲明是向香港發售股份的申請人 和持有人說明本公司及其香港證券登記處有關個人 資料及香港法例第 486 章《個人資料(私隱)條例》 (「 《條例》 」)方面的政策和慣例。

3. 轉交個人資料 本公司及其香港證券登記處所持有關證券持有人的 個人資料將會保密,但本公司及其香港證券登記處 可以在為達到上述任何目的之必要情況下,向下列 任何人士披露、獲取或轉交(無論在香港境內或境 外)有關個人資料:

1. 收集 閣下個人資料的原因

證券申請人及登記持有人以本身名義申請證券或轉 讓或受讓證券時或尋求香港證券登記處的服務時, 必須向本公司或其代理及香港證券登記處提供準確 個人資料。

  • 讓或受讓證券時或尋求香港證券登記處的服務時, 本公司委任的代理,例如財務顧問、收款銀行 必須向本公司或其代理及香港證券登記處提供準確 和主要海外股份過戶登記處; 個人資料。 • (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

  • 未能提供所要求的資料可能導致 閣下申請證券被 結算系統的運作使用有關個人資料; ‧

  • 拒或延遲,或本公司或其香港證券登記處無法落實 向本公司或香港證券登記處提供與其各自業務 轉讓或提供服務。此舉也可能妨礙或延遲登記或轉 營運有關的行政、電訊、電腦、付款或其他服 讓 閣下成功申請的香港發售股份及╱或寄發 閣 務的任何代理、承包商或第三方服務供應商; ‧

  • 下應得的股票及╱或退款支票。 聯交所、證監會及任何其他法定監管機關或政

  • 拒或延遲,或本公司或其香港證券登記處無法落實 向本公司或香港證券登記處提供與其各自業務 轉讓或提供服務。此舉也可能妨礙或延遲登記或轉 營運有關的行政、電訊、電腦、付款或其他服 讓 閣下成功申請的香港發售股份及╱或寄發 閣 務的任何代理、承包商或第三方服務供應商; ‧

  • 下應得的股票及╱或退款支票。 聯交所、證監會及任何其他法定監管機關或政 府部門或遵照其他法例、規則或法規;及

  • 證券持有人所提供的個人資料如有任何錯誤,須立 證券持有人與其進行或擬進行交易的任何人士 即通知本公司及香港證券登記處。 或機構,例如彼等的銀行、律師、會計師或股 票經紀等。

  • 2. 目的 證券持有人的個人資料可(以任何方式)被採用、 4. 個人資料的保留 持有、處理及╱或保存,以作下列用途: 本公司及其香港證券登記處將按收集個人資料所需 ‧ 處理 閣下的申請及退款支票(按適用者)、 的用途保留證券申請人及持有人的個人資料。無需 核實是否符合本申請表格及招股章程載列的條 保留的個人資料將會根據《條例》銷毀或處理。 款和申請程序以及公布香港發售股份的分配結 果; 5. 查閱和更正個人資料

  • ‧ 遵守香港及其他地區的適用法律及法規; 證券持有人有權確定本公司或香港證券登記處是否

  • ‧ 以證券持有人(包括香港結算代理人(按適用 持有其個人資料,並有權索取有關該資料的副本並 者))的名義登記新發行或轉讓或受讓證券; 更正任何不準確資料。本公司和香港證券登記處有

  • ‧ 存置或更新本公司證券持有人的名冊; 權就處理有關要求收取合理費用。

  • ‧ 核實證券持有人的身份;

  • ‧ 確定本公司證券持有人的受益權利,例如股 所有查閱資料或更正資料的要求應按招股章程「公 息、供股和紅股等; 司資料」一節所披露或不時通知的本公司註冊地址

  • ‧ 分發本公司及其附屬公司的通訊; 送交公司秘書,或向本公司的香港證券登記處的私

  • ‧ 編製統計數據和證券持有人資料; 隱事務主任提出。

  • ‧ 披露有關資料以便提出權益索償;及

所有查閱資料或更正資料的要求應按招股章程「公 司資料」一節所披露或不時通知的本公司註冊地址 送交公司秘書,或向本公司的香港證券登記處的私 隱事務主任提出。

  • ‧ 與上述有關的任何其他附帶或相關目的及╱或 使本公司及香港證券登記處能履行對證券持有

閣下簽署申請表格或向香港結算發出電子認購指 示,即表示同意上述各項。