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Pharmaron Beijing Co., Ltd — Share Issue/Capital Change 2019
Nov 13, 2019
50881_rns_2019-11-13_b8f1cb32-d14c-4120-ba02-7d0be05e92a2.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 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 Pharmaron Beijing Co., Ltd. (the “ Company ”) dated Thursday, November 14, 2019 (the “ Prospectus ”). Staple your 本申請表格使用康龍化成(北京)新藥技術股份有限公司(「 本公司 」)於2019 年11 月14 日(星期四)刊發的招股說明書 payment (「 招股說明書 」)所界定的詞語。 here Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in 請將股款 the United States without registration or an exemption from registration under the U.S. Securities Act. 緊釘在此 本申請表格及招股說明書概不構成在香港以外司法管轄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。 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說明書的司法管轄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)本申請表格及招股說明書。 Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection-Documents Delivered to the Registrar of Companies” section in Appendix VIII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by Section 342C of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32). 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. 招股說明書、所有相關申請表格及招股說明書附錄八「送呈香港公司註冊處處長及備查文件-送呈公司註冊處處長文 件」一節所述其他文件已遵照第32章公司(清盤及雜項條文)條例第342C條的規定,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。 Pharmaron Beijing Co., Ltd.[*] 康龍化成(北京)新藥技術股份有限公司 (A joint stock company incorporated in the People’s Republic of China with limited liability) (於中華人民共和國註冊成立的股份有限公司) Stock Code : 3759 股份代號 : 3759 Maximum Offer Price : HK$39.50 per H Share (payable in full on application in Hong Kong dollars, subject to refund on final pricing), plus brokerage of 1%, a SFC transaction levy of 0.0027% and a Hong Kong Stock Exchange trading fee of 0.005% 最高發售價 : 每股H股39.50港元(須於申請時以港元繳足, 最終定價後多繳款項可予退還),另加1% 經紀佣金、0.0027%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 ~~說~~ 明 ~~書尚有~~ 關 ~~於~~ 申 ~~請~~ 程 ~~序的~~ 其 ~~他資料~~ 本申請表格應與招股說明書 併閱讀 Application Form 申請表格 To: Pharmaron Beijing Co., Ltd. 致: 康龍化成(北京)新藥技術股份有限公司 Joint Sponsors 聯席保薦人 Joint Global Coordinators 聯席全球協調人 Joint Bookrunners 聯席賬簿管理人 Hong Kong Underwriters 香港承銷商
致: 康龍化成(北京)新藥技術股份有限公司 聯席保薦人 聯席全球協調人 聯席賬簿管理人 香港承銷商 申請人聲明
Applicants’ declaration
~~本人╱~~ 吾 ~~等~~ 同意本申請表格及招股說明書的條款及條件以及 申請程序。請參閱本申請表格「填交本申請表格的效用」一 節。
I/We agree to the terms and conditions and application procedures in this Application Form and the Prospectus. Please refer to the “Effect of 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. * For identification purposes only 僅供識別。
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 ~~本申請表格「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 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
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 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 Cheque/banker’s cashier order number 支票 ╱ 銀行本票號碼 5,826,800 H Shares) 申請香港發售股份數目(不超過5,826,800股H股) 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 Total amount 總額 票的銀行名稱(見「申請手續」一節) HK$ 港元 Name in English (in BLOCK letters) 英文姓名╱名稱(正楷) 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, in BLOCK letters) Hong Kong Identity Card No./Passport No./Hong Kong Business Registration 所有其他聯名申請人的英文姓名╱名稱(如有,正楷) No. of all other joint applicants (Please delete as appropriate) 請人的香港身份證號碼╱護照號碼╱香港商業登記號碼(請刪除不適用者)所有其他聯名申 1) 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 in BLOCK letters) 香港地址(以英文正楷填寫)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 THIS BOX MUST BE DULY COMPLETED benefit if you do not complete this section. Please provide 必須填妥此欄 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 Participant I.D. of the CCASS Investor Participant or designated CCASS Participant 中央結算系統投資者戶口持有人或指定的中央結算系統參與者的參與者編號 項認購申請將視作為 閣下利益提出。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 designated CCASS Participant or Corporate CCASS Investor 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口 持有人,請加蓋顯示公司名稱的公司印鑑
For internal use 此欄供內部使用
(See paragraph 2 in the section “How to make your application”) (請參閱「申請手續」一節第2段)
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
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*(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。
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(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。
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(3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the firstnamed 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。
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(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。
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(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.
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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
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
How to make your application
- Use the table below to calculate how much you must pay. Your application must be for a minimum of 100 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 | NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS | NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS | 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$ |
| 100 200 300 400 500 600 700 800 900 1,000 1,500 2,000 3,989.81 7,979.61 11,969.41 15,959.22 19,949.02 23,938.83 27,928.63 31,918.43 35,908.24 39,898.05 59,847.06 79,796.08 |
2,500 3,000 3,500 4,000 4,500 5,000 6,000 7,000 8,000 9,000 10,000 20,000 99,745.11 119,694.13 139,643.14 159,592.17 179,541.19 199,490.21 239,388.25 279,286.30 319,184.33 359,082.38 398,980.42 797,960.83 |
30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 1,196,941.25 1,595,921.66 1,994,902.08 2,393,882.49 2,792,862.91 3,191,843.32 3,590,823.74 3,989,804.15 7,979,608.30 11,969,412.45 15,959,216.60 19,949,020.75 樣 |
600,000 700,000 800,000 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 5,826,800(1) 23,938,824.90 27,928,629.05 31,918,433.20 35,908,237.35 39,898,041.50 79,796,083.00 119,694,124.50 159,592,166.00 199,490,207.50 232,477,908.21 (1)Maximum number of Hong Kong Offer Shares you may applyfor. |
| 2. You, as the applicant(s), must complete the form in English (in BLOCK letters) 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; Sampl |
- 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.
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
- 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 “CMB WING LUNG (NOMINEES) LIMITED – PHARMARON PUBLIC OFFER”; “ ” • be crossed Account Payee Only ; • be drawn on your Hong Kong dollar bank • be issued by a licensed bank in Hong account in Hong Kong; and Kong, and have your name certified on the • show your account name, which must either back by a person authorised by the bank. be pre-printed on the cheque, or be endorsed The name on the banker’s cashier order on the back by a person authorised by the must correspond with your name. If it is bank. This account name must correspond a joint application, the name on the back with your name. If it is a joint application, of the banker’s cashier order must be the the account name must be the same as the same as the first-named applicant’s name. ’ first-named applicant s name. 4. 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: CMB Wing Lung Bank Limited Branch Name Address Hong Kong Island Head Office 45 Des Voeux Road Central North Point Branch 361 King’s Road Central District Branch 189 Des Voeux Road Central Kowloon Mongkok Branch B/F CMB Wing Lung Bank Centre, 636 Nathan Road Tsim Sha Tsui Branch 4 Carnarvon Road 5. Your Application Form can be lodged at these times: – Thursday, November 14, 2019 9:00 a.m. to 5:00 p.m. – Friday, November 15, 2019 9:00 a.m. to 5:00 p.m. – Saturday, November 16, 2019 9:00 a.m. to 1:00 p.m. – Monday, November 18, 2019 9:00 a.m. to 5:00 p.m. – Tuesday, November 19, 2019 9:00 a.m. to 5:00 p.m. Wednesday, November 20, 2019 – 9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Wednesday, November 20, 2019. The application lists will be opened 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.
- 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:
The applications for the Hong Kong Offer Shares will commence on Thursday, November 14, 2019 through Wednesday, November 20, 2019. The application monies (including the brokerage fees, SFC transaction levies and Stock Exchange trading fees) will be held by the receiving bank and on behalf of the Company after the closing of the application lists and the refund monies, if any, will be returned to the applicants without interest on or before Wednesday, November 27, 2019. Investors should be aware that the dealings in the H Shares on the Stock Exchange are expected to commence on Thursday, November 28, 2019.
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100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。
| 1. 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100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。 |
1. 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100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。 |
1. 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100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。 |
1. 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100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。 |
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| 可供申請認購股份數目及應繳款項 | |||
| 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 |
申請認購的 香港發售 股份數目 申請時 應繳款項 港元 |
| 100 200 300 400 500 600 700 800 900 1,000 1,500 2,000 3,989.81 7,979.61 11,969.41 15,959.22 19,949.02 23,938.83 27,928.63 31,918.43 35,908.24 39,898.05 59,847.06 79,796.08 |
2,500 3,000 3,500 4,000 4,500 5,000 6,000 7,000 8,000 9,000 10,000 20,000 99,745.11 119,694.13 139,643.14 159,592.17 179,541.19 199,490.21 239,388.25 279,286.30 319,184.33 359,082.38 398,980.42 797,960.83 |
30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 1,196,941.25 1,595,921.66 1,994,902.08 2,393,882.49 2,792,862.91 3,191,843.32 3,590,823.74 3,989,804.15 7,979,608.30 11,969,412.45 15,959,216.60 19,949,020.75 樣 |
600,000 700,000 800,000 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 5,826,800(1) 23,938,824.90 27,928,629.05 31,918,433.20 35,908,237.35 39,898,041.50 79,796,083.00 119,694,124.50 159,592,166.00 199,490,207.50 232,477,908.21 (1) 閣下可申請認購的香港發售股 份最高數目。 |
| 2. 閣下作為申請人,必須按照下列指示以英文正楷填妥表格,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。 Sample |
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
- 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「招商永隆受託代管有限公司-康龍化成公開發售」; • 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 • 顯示 閣下的賬戶名稱,而該賬戶名稱 行授權的人士在銀行本票背面簽署核 必須已預印在支票上,或由有關銀行授 證 閣下姓名╱名稱。銀行本票所示 權的人士在支票背書。賬戶名稱必須 姓名╱名稱須與 閣下姓名╱名稱相 與 閣下姓名╱名稱相同。如屬聯名申 同。如屬聯名申請,銀行本票背面所示 請,賬戶名稱必須與排名首位申請人的 姓名╱名稱必須與排名首位申請人的姓 姓名 ╱ 名稱相同。 名 ╱ 名稱相同。 4. 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: 招商永隆銀行有限公司 分行名稱 地址 香港島 總行 德輔道中45號 北角分行 英皇道361號 中區分行 德輔道中189號 九龍 旺角分行 彌敦道636號招商永隆銀行中心地庫 尖沙咀分行 加拿分道4號 5. 閣下可於下列時間遞交申請表格: 2019年11月14日(星期四)-上午九時正至下午五時正 2019年11月15日(星期五)-上午九時正至下午五時正 2019年11月16日(星期六)-上午九時正至下午一時正 2019年11月18日(星期一)-上午九時正至下午五時正 2019年11月19日(星期二)-上午九時正至下午五時正 2019年11月20日(星期三)-上午九時正至中午十二時正 6. 截止遞交申請的時間為2019年11月20日(星期三)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 股說明書「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」)。
香港發售股份申請將會自2019年11月14日(星期四)起直至2019年11月20日(星期三)止。申請款 項(包括經紀佣金、證監會交易徵費及聯交所交易費)將由收款銀行於截止辦理申請登記後代表本 公司持有,且退款金額(如有)將於2019年11月27日(星期三)或之前不計利息退還予申請人。投資 者務請注意,預期股份將於2019年11月28日(星期四)於聯交所開始買賣。
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
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Pharmaron Beijing Co., Ltd.[*] 康龍化成(北京)新藥技術股份有限公司 (A joint stock company incorporated in the People’s Republic of China with limited liability) GLOBAL OFFERING Conditions of your application • agree that none of the Company, the Joint Global Coordinators, A. Who can apply the Joint Sponsors, the Joint Bookrunners, the Joint Lead 1. You and any person(s) for whose benefit you are applying must Managers, the Underwriters, their respective directors, officers, be 18 years of age or older and must have a Hong Kong address. employees, partners, agents and advisers (the “Relevant 2. If you are a firm, the application must be in the individual Persons”) and the White Form eIPO Service Provider is or members’ names. will be liable for any information and representations not in the 3. The number of joint applicants may not exceed four. Prospectus (and any supplement to it); 4. If you are a body corporate, the application must be signed by • undertake and confirm that you or the person(s) for whose benefit a duly authorised officer, who must state his representative you have made the application have not applied for or taken up, capacity, and stamped with your corporation’s chop. or indicated an interest for, and will not apply for or take up, or 5. You must be outside the United States, not be a United States indicate an interest for, any Offer Shares under the International Person (within the meaning of Regulation S under the U.S. Offering nor participated in the International Offering; Securities Act) or a person described in paragraph (h)(3) of • agree to disclose to the Company, the H Share Registrar, Rule 902 of Regulation S under the U.S. Securities Act and receiving bank and the Relevant Persons any personal data not be a legal or natural person of the PRC. which they may require about you and the person(s) for whose 6. Unless permitted by the Listing Rules or any relevant waivers benefit you have made the application; that have been granted by the Stock Exchange, you cannot • if the laws of any place outside Hong Kong apply to your apply for any Hong Kong Offer Shares if you are: application, agree and warrant that you have complied with • an existing beneficial owner of shares in the Company all such laws and none of the Company nor the Relevant and/or any of its subsidiaries; Persons will breach any law outside Hong Kong as a result of • a Director or chief executive officer of the Company the acceptance of your offer to purchase, or any action arising and/or any of its subsidiaries; from your rights and obligations under the terms and conditions • a close associate of any of the above; contained in the Prospectus and this Application Form; • a core connected person of the Company or will become • agree that once your application has been accepted, you may a core connected person of the Company immediately not rescind it because of an innocent misrepresentation; upon completion of the Global Offering; or • agree that your application will be governed by the laws of • have been allocated or have applied for or indicated Hong Kong; an interest in any Offer Shares under the International • represent , warrant and undertake that (i) you understand Offering. that the Hong Kong Offer Shares have not been and will not be registered under the U.S. Securities Act; and (ii) you and B. If you are a nominee any person for whose benefit you are applying for the Hong You, as a nominee, may make more than one application for the Kong Offer Shares are outside the United States (as defined in Hong Kong Offer Shares by: (i) giving electronic instructions to Regulation S) or are a person described in paragraph (h)(3) of HKSCC via Central Clearing and Settlement System (“ CCASS ”) Rule 902 of Regulation S; (if you are a CCASS Participant); or (ii) using a WHITE or • warrant that the information you have provided is true and YELLOW Application Form, and lodge more than one application accurate; in your own name on behalf of different beneficial owners. • agree to accept the Hong Kong Offer Shares applied for, or C. Effect of completing and submitting this Application Form any lesser number allocated to you under the application; • authorise the Company to place the name of the HKSCC By completing and submitting this Application Form, you (and if you Nominees on the Company’s register of members as the are joint applicants, each of you jointly and severally) for yourself or holder(s) of any Hong Kong Offer Shares allocated to you, and as an agent or a nominee on behalf of each person for whom you act: • undertake to execute all relevant documents and instruct and the Company and/or its agents to deposit any share certificate(s) into CCASS and/or to send any refund cheque(s) to you or the authorise the Company and/or the Joint Global Coordinators first-named applicant for joint application by ordinary post at (or their agents or nominees), as agents of the Company, to your own risk to the address stated on the application, unless execute any documents for you and to do on your behalf all you have fulfilled the criteria set out in “Personal Collection” things necessary to register any Hong Kong Offer Shares in the “How to Apply for Hong Kong Offer Shares” section of allocated to you in the name of HKSCC Nominees as required the Prospectus to collect refund cheque(s) in person; by the Articles of Association;
- agree that the shares to be allotted shall be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your investor participant stock account or the stock account of your designated CCASS Participant;
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agree to comply with the Companies Ordinance (Cap. 622), the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32) and the Articles of Association;
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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;
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agree that each of HKSCC and HKSCC Nominees reserves the right (1) not to accept any or part of such allotted shares issued in the name of HKSCC Nominees or not to accept such allotted shares for deposit into CCASS; (2) to cause such allotted shares to be withdrawn from CCASS and issued in your name at your own risk and costs; and (3) to cause such allotted shares to be issued in your name (or, if you are a joint applicant, to the first- named applicant) 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 post or to make available the same for your collection;
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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;
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confirm that you are aware of the restrictions on the Global Offering in the Prospectus;
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For identification purposes only
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
If your application for Hong Kong Offer Shares is successful (in whole or in part)
- agree that each of HKSCC and HKSCC Nominees may adjust the number of allotted shares issued in the name of HKSCC Nominees;
If your application is wholly or partially successful, your Share certificate(s) (subject to their becoming valid certificates of title provided that the Hong Kong Public Offering has become unconditional and not having been terminated at 8:00 a.m. on Thursday, November 28, 2019) will be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant as instructed by you in your Application Form on Wednesday, November 27, 2019 or, in the event of a contingency, on any other date as shall be determined by HKSCC or HKSCC Nominees.
- agree that neither HKSCC nor HKSCC Nominees shall have any liability for the information and representations not so contained in the Prospectus and this application form;
• agree that neither HKSCC nor HKSCC Nominees shall be HKSCC Nominees and deposited directly into CCASS for credit to liable to you in any way; your CCASS Investor Participant stock account or the stock account • declare and represent that this is the only application made of your designated CCASS Participant as instructed by you in your Application Form on Wednesday, November 27, 2019 or, in the and the only application intended by you to be made to benefit event of a contingency, on any other date as shall be determined by you or the person for whose benefit you are applying; HKSCC or HKSCC Nominees. • understand that the Company and the Joint Global • If you are applying through a designated CCASS Participant Coordinators will rely on your declarations and (other than a CCASS Investor Participant): For Hong Kong representations in deciding whether or not to make any Offer Shares credited to the stock account of your designated allotment of any of the Hong Kong Offer Shares to you and CCASS Participant (other than a CCASS Investor Participant), that you may be prosecuted for making a false declaration; you can check the number of Hong Kong Offer Shares allotted • (if the application is made for your own benefit) warrant that to you with that CCASS Participant. • If you are applying as a CCASS Investor Participant: The no other application has been or will be made for your benefit Company expects to publish the results of CCASS Investor on a WHITE or YELLOW Application Form or by giving Participants’ applications together with the results of the electronic application instructions to HKSCC or to the White Hong Kong Public Offering on the website of the Stock Form eIPO Service Provider by you or by any one as your Exchange at www.hkexnews.hk and the Company’s website agent or by any other person; and at www.pharmaron.com on Wednesday, November 27, • (if you are making the application as an agent for the benefit 2019. You should check the announcement published by the of another person) warrant that (i) no other application has Company and report any discrepancies to HKSCC before 5:00 p.m. on Wednesday, November 27, 2019 or such other been or will be made by you as agent for or for the benefit of date as shall be determined by HKSCC or HKSCC Nominees. that person or by that person or by any other person as agent Immediately after the credit of the Hong Kong Offer Shares to for that person on a WHITE or YELLOW Application Form your stock account you can check your new account balance or by giving electronic application instructions to HKSCC; via the CCASS Phone System and CCASS Internet System and (ii) you have due authority to sign the Application Form (under the procedures contained in HKSCC’s “An Operating Guide for Investor Participants” in effect from time to time). or give electronic application instructions on behalf of that HKSCC will also make available to you an activity statement other person as their agent. showing the number of Hong Kong Offer Shares credited to your stock account. D. Power of attorney No receipt will be issued for application money paid. The Company If your application is made through an authorised attorney, the will not issue temporary documents of title. Company and the Joint Global Coordinators may accept or reject your application at their discretion, and on any conditions they Refund of your money If you do not receive any Hong Kong Offer Shares or if your think fit, including evidence of the attorney’s authority. application is accepted only in part, the Company will refund to you your application monies (including the related 1% brokerage, Determination of Offer Price and Allocation of Hong Kong 0.0027% SFC transaction levy and 0.005% Stock Exchange trading Offer Shares fee) without interest. If the Offer Price is less than the maximum The Offer Price is expected to be fixed on or around Thursday, Offer Price, the Company will refund to you the surplus application November 21, 2019. Applicants are required to pay the maximum monies (including the related 1% brokerage, 0.0027% SFC Offer Price of HK$39.50 for each Hong Kong Offer Share together transaction levy and 0.005% Stock Exchange trading fee) without interest. with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock The refund procedures are stated in the “14. Dispatch/Collection Exchange trading fee. If the Offer Price is not agreed among the of H Share Certificates and Refund Monies” in the “How to Company and the Joint Global Coordinators (for themselves and on Apply for Hong Kong Offer Shares” section of the Prospectus. behalf of the Underwriters) on or before Tuesday, November 26, 2019, the Global Offering will not proceed. Effect of the Information You Give to Computershare Hong Kong Investor Services Limited Computershare Hong Kong Investor Services Limited and its Applications for Hong Kong Offer Shares will not be processed and related bodies corporate, directors, officers, employees and no allotment of any Hong Kong Offer Shares will be made until the agents (“ Representatives ”) expressly disclaim and exclude to the application lists close.
The refund procedures are stated in the “14. Dispatch/Collection of H Share Certificates and Refund Monies” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.
Computershare Hong Kong Investor Services Limited and its related bodies corporate, directors, officers, employees and agents (“ Representatives ”) expressly disclaim and exclude to the maximum extent permitted by law any liability for any loss or damage suffered or incurred by the applicant or any other person or entity however caused relating in any way to, or connected with, any information provided by or on behalf of the applicant on or in connection with this document or any services provided hereunder, or any other written or oral communication provided by or on behalf of the applicant in connection with this document or any services provided hereunder. This includes, without limitation, any errors or omissions in such information however caused, or the Representatives or any other person or entity placing any reliance on such information or any documentation, image, recording or reproduction of such information, or its accuracy, completeness, currency or reliability.
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 Offer Shares on Wednesday, November 27, 2019 on the website of the Stock Exchange at www.hkexnews.hk and the Company’s website at www.pharmaron.com . Results of allocations and the Hong Kong Identity Card/passport/Hong Kong business registration numbers of successful applicants (where applicable) will be available on the above websites.
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 Pharmaron Beijing Co., Ltd.[*] 康龍化成(北京)新藥技術股份有限公司 (於中華人民共和國註冊成立的股份有限公司) 全球發售 申請條件 ‧ 同意 本公司、聯席全球協調人、聯席保薦人、聯席賬簿 甲、 可提出申請的人士 管理人、聯席牽頭經辦人、承銷商,彼等各自的董事、 1. 閣下及 閣下為其利益提出申請的人士必須年滿18歲並 高級職員、僱員、合夥人、代理及顧問( 有關人士」)及 有香港地址。 白表eIPO 服務供應商現時及日後均毋須對並非載於招 2. 如 閣下為商號,申請須以個別成員名義提出。 股說明書(及其任何補充文件)的任何資料及陳述負責; 3. 聯名申請人不得超過四名。 ‧ 承諾 及 確認 閣下或 閣下為其利益提出申請的人士並 4. 如 閣下為法人團體,申請須經獲正式授權人員簽署, 無申請或接納或表示有意認購(亦不會申請或接納或表 並註明其所屬代表身份及蓋上公司印鑑。 示有意認購)國際發售的任何發售股份,也沒有參與國 5. 閣下必須身處美國境外,並非美籍人士(定義見美國證 際發售; 券法S規例)或屬美國證券法S規例第902條第(h)(3)段所 ‧ 同意 在本公司、H 股證券登記處、收款銀行及有關人 士提出要求時,向彼等披露其所要求提供有關 閣下 述的人士,亦非中國法人或自然人。 及 閣下為其利益提出申請的人士的個人資料; 6. 除上市規則或聯交所已授予的任何相關豁免批准外,下 ‧ 若香港境外任何地方的法例適用於 閣下的申請,則 同 列人士概不得申請認購任何香港發售股份: 意 及 保證 閣下已遵守所有有關法例,且本公司及有關 ‧ 本公司及╱或其任何附屬公司股份的現有實益擁 人士概不會因接納 閣下的購買要約,或 閣下在招股 有人; 說明書及本申請表格所載的條款及條件項下的權利及責 ‧ 本公司及╱或其任何附屬公司的董事或行政總裁; 任所引致的任何行動,而違反香港境外的任何法例; ‧ 上述任何人士的緊密聯繫人; ‧ 同意 閣下的申請一經接納,即不得因無意的失實陳述 ‧ 本公司核心關連人士或緊隨全球發售完成後成為本 而撤銷; 公司核心關連人士的人士;或 ‧ 同意 閣下的申請受香港法例規管; ‧ 已獲分配或已申請或表示有意申請國際發售的任何 ‧ 聲明 、 保證 及 承諾 :(i) 閣下明白香港發售股份不曾亦 發售股份。 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均身處美國境外(定義見 乙、 如 閣下為代名人 S規例),或屬S規例第902條第(h)(3)段所述的人士; 閣下作為代名人可提交超過一份香港發售股份申請,方法 ‧ 保證 閣下提供的資料真實及準確; 是:(i)透過中央結算及交收系統(「 中央結算系統 」)向香港結 ‧ 同意 接納所申請數目或根據申請分配予 閣下但數目較 算發出電子認購指示(如 閣下為中央結算系統參與者);或 少的香港發售股份; (ii)使用 白色 或 黃色 申請表格以自身名義代表不同的實益擁有 ‧ 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, 人提交超過一份申請。 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 丙、 填交本申請表格的效用 或聯名申請的首名申請人發送任何退款支票,郵誤風險 閣下填妥並遞交本申請表格,即表示 閣下(如屬聯名申請 由 閣下承擔,除非 閣下已符合招股說明書「如何申 人,即各人共同及個別)代表 閣下本身,或作為 閣下代 請香港發售股份」一節「親身領取」所載條件親身領取退 其行事的每位人士的代理或代名人: 款支票; ‧ 承諾 簽立所有相關文件,並指示及授權本公司及╱或 ‧ 同意 獲配發的股份是以香港結算代理人的名義發行,並 聯席全球協調人(或彼等的代理或代名人)(作為本公司 直接存入中央結算系統,以便記存於 閣下的中央結算 代理),為按照組織章程細則的規定將 閣下獲分配的 系統投資者戶口持有人股份戶口或 閣下的指定中央結 任何香港發售股份以香港結算代理人的名義登記而代 算系統參與者股份戶口; 表 閣下簽立任何文件及代 閣下進行一切必要事宜; ‧ 同意 香港結算及香港結算代理人各自保留權利(1)不接 不接
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‧ 同意 香港結算及香港結算代理人各自保留權利(1)不接 納以香港結算代理人名義發行的該等獲配發的任何或部 分股份,或不接納該等獲配發的股份存入中央結算系 統;(2)促使該等獲配發的股份從中央結算系統提取, 並轉入 閣下名下,有關風險及費用概由 閣下自行承 擔;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名義發行), 而在此情況下,會以普通郵遞方式將該等獲配發股份 的股票寄往 閣下在申請表格上所示地址(郵誤風險概 由 閣下自行承擔)或提供該等股票予 閣下領取;
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‧ 同意 遵守第622 章公司條例、第32 章公司(清盤及雜項 條文)條例及組織章程細則;
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‧ 確認 閣下已細閱招股說明書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;
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‧ 確認 閣下已接獲及細閱招股說明書,提出申請時也僅 依據招股說明書載列的資料及陳述,而除招股說明書任 何補充文件外,不會依賴任何其他資料或陳述;
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‧ 確認 閣下知悉招股說明書內有關全球發售的限制;
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僅供識別。
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
如 閣下成功申請認購香港發售股份(全部或部分)
- ‧ 同意 香港結算及香港結算代理人均可調整獲配發以香港 結算代理人名義發行的股份數目;
結算代理人名義發行的股份數目; 如 閣下的申請全部或部分獲接納, 閣下的股票(前提是 ‧ 同意 香港結算及香港結算代理人對招股說明書及本申請 到2019 年11 月28 日(星期四)上午八時正香港公開發售成為 表格未有載列的資料及陳述概不負責; 無條件而並無終止,股票成為有效的所有權證明)將以香港 ‧ 同意 香港結算及香港結算代理人概不以任何方式對 閣 結算代理人名義發出,並按 閣下在申請表格的指示於2019 下負責; 年11 月27 日(星期三)或在特別情況下由香港結算或香港結 ‧ 聲明 及 陳述 此乃 閣下為本身或為其利益提出申請的人 算代理人指定的任何其他日期直接存入中央結算系統,記 入 閣下的中央結算系統投資者戶口持有人股份戶口或 閣 士所提出及擬提出的唯一申請; 下指定的中央結算系統參與者股份戶口。 ‧ 明白 本公司及聯席全球協調人將依據 閣下的聲明及陳 ‧ 如 閣下透過中央結算系統投資者戶口持有人以外的指 述而決定是否向 閣下分配任何香港發售股份, 閣下 定中央結算系統參與者提出申請:香港發售股份將存 如作出虛假聲明,可能會被檢控; 入 閣下指定的中央結算系統參與者(非中央結算系統 ‧ (如本申請是為 閣下本身利益提出) 保證 閣下或作 投資者戶口持有人)股份戶口, 閣下可向該中央結算系 統參與者查詢 閣下獲配發的香港發售股份數目。 為 閣下代理的任何人士或任何其他人士不曾亦不會 ‧ 如 閣下以中央結算系統投資者戶口持有人身份提 為 閣下利益而以 白色 或 黃色 申請表格或向香港結算或 出申請:本公司預期於 2019 年 11 月 27 日(星期三) 向 白表eIPO 服務供應商發出電子認購指示而提出其他 在聯交所網站 ( w w w . h k e x n e w s . h k ) 及本公司網站 申請;及 ( www.pharmaron.com )刊登中央結算系統投資者戶口 ‧ (如 閣下作為代理為另一人士的利益提出申請) 保證 持有人的申請結果及香港公開發售的結果。 閣下應查 閱本公司刊發的公告,如有任何資料不符,請於 2019 (i) 閣下(作為代理或為該人士利益)或該人士或任何 年11 月27 日(星期三)下午五時正或香港結算或香港結 其他作為該人士代理的人士不曾亦不會以 白色 或 黃色 申 算代理人釐定的任何其他日期前知會香港結算。緊隨香 請表格或向香港結算發出電子認購指示而提出其他申 港發售股份存入 閣下的股份戶口後, 閣下即可透過 請;及(ii) 閣下獲正式授權作為該人士的代理代為簽 「結算通」電話系統及中央結算系統互聯網系統(根據香 署本申請表格或發出電子認購指示。 港結算不時生效的「投資者戶口操作簡介」所載程序)查 詢 閣下的新戶口結餘。香港結算亦將向 閣下提供一 份活動結單,列出存入 閣下股份戶口的香港發售股份 丁、 授權書 數目。 如 閣下透過授權代理人提出申請,本公司及聯席全球協調 本公司不會就申請時繳付的款項發出收據,亦不會發出臨時 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 所有權文件。 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獲接納, 釐定發售價及香港發售股份的分配 本公司將不計利息退回 閣下的申請股款(包括相關的1%經 預期發售價於2019 年11 月21 日(星期四)或前後釐定。申請 紀佣金、0.0027%證監會交易徵費及0.005%聯交所交易費)。 人須繳付每股香港發售股份39.50 港元的最高發售價,另加 如發售價低於最高發售價,本公司將不計利息退回多收申請 1%經紀佣金、0.0027%證監會交易徵費及0.005%聯交所交易 股款(包括相關的1%經紀佣金、0.0027%證監會交易徵費及 費。倘若本公司與聯席全球協調人(為其本身及代表承銷商) 0.005%聯交所交易費)。 有關退款程序載於招股說明書「如何申請香港發售股份」一節 並無於2019 年11 月26 日(星期二)或之前協定發售價,全球 「14. 發送╱領取H股股票及退款」。 發售將不會進行。 閣下提供給香港中央證券登記有限公司的資料的有關影響 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 香港中央證券登記有限公司和其有關聯的法人團體、董事、 任何香港發售股份。 高級人員、僱員及代理人(「 代表 」)在法律所容許的最大限
香港中央證券登記有限公司和其有關聯的法人團體、董事、 高級人員、僱員及代理人(「 代表 」)在法律所容許的最大限 度內明確卸棄及免除在任何方面與申請人或代表申請人在此 文件提供的或與此文件或在此文件下提供的任何服務相關的 任何資料,或任何申請人或代表申請人提供與此文件或在此 文件下提供的任何服務相關的任何其他書面或口頭通訊,有 關或相關由申請人或任何其他人士或實體所遭受或招致不論 如何造成的任何損失或損害的任何法律責任。此包括,但不 限於,該等資料中不論如何造成的任何錯誤或遺漏,或代表 或任何其他人士或實體對該等資料或任何該等資料的文件記 錄、影像、記錄或複製品作出的任何依據,或其準確性、完 整性、合時性或可靠性。
本公司預期於 2 0 1 9 年 1 1 月 2 7(星期三)在聯交所網站 ( www.hkexnews.hk )及本公司網站( www.pharmaron.com )公 佈最終發售價、國際發售踴躍程度、香港公開發售認購申請 數目及香港發售股份分配基準。分配結果以及獲接納申請人 的香港身份證╱護照╱香港商業登記號碼(如適用)亦同於 上述網站公佈。
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
Personal Data
3. Transfer of personal data Personal data held by the Company and its H Share Registrar relating to the securities holders will be kept confidential but the Company and its H 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:
Personal Information Collection Statement
This Personal Information Collection Statement informs the relating to the securities holders will be kept confidential but applicant for, and holder of, Hong Kong Offer Shares, of the Company and its H Share Registrar may, to the extent the policies and practices of the Company and its H Share necessary for achieving any of the above purposes, disclose, Registrar in relation to personal data and the Personal Data obtain or transfer (whether within or outside Hong Kong) the (Privacy) Ordinance (Cap. 486) (the “Ordinance”). personal data to, from or with any of the following: 1. Reasons for the collection of your personal data • the Company’s appointed agents such as financial It is necessary for applicants and registered holders of advisers, receiving bankers and overseas principal securities to supply correct personal data to the Company share registrar; or its agents and the H Share Registrar when applying for • where applicants for securities request a deposit into securities or transferring securities into or out of their names CCASS, HKSCC or HKSCC Nominees, who will or in procuring the services of the H Share Registrar. use the personal data for the purposes of operating Failure to supply the requested data may result in your CCASS; application for securities being rejected, or in delay or the • any agents, contractors or third-party service providers inability of the Company or its H Share Registrar to effect who offer administrative, telecommunications, transfers or otherwise render their services. It may also computer, payment or other services to the Company or prevent or delay registration or transfers of the Hong Kong the H Share Registrar in connection with their respective Offer Shares which you have successfully applied for and/or business operation; the dispatch of share certificate(s) and/or refund cheque(s) to which you are entitled. • the Stock Exchange, the SFC and any other statutory regulatory or governmental bodies or otherwise as It is important that securities holders inform the Company required by laws, rules or regulations; and and the H Share Registrar immediately of any inaccuracies in • any persons or institutions with which the securities’ the personal data supplied. holders have or propose to have dealings, such as 2. Purposes their bankers, solicitors, accountants or stockbrokers The personal data of the securities holders may be used, etc. held, processed, and/or stored (by whatever means) for the following purposes: • processing your application and refund cheque, where 4. Retention of personal data The Company and its H Share Registrar will keep the applicable, verification of compliance with the terms personal data of the applicants and holders of securities and application procedures set out in this Application for as long as necessary to fulfil the purposes for which Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares; the personal data were collected. Personal data which is no • compliance with applicable laws and regulations in longer required will be destroyed or dealt with in accordance Hong Kong and elsewhere; with the Ordinance. • registering new issues or transfers into or out of the names of securities’ holders including, where 5. Access to and correction of personal data applicable, HKSCC Nominees; Securities holders have the right to ascertain whether the • maintaining or updating the register of securities’ Company or the H Share Registrar hold their personal data, holders of the Company; to obtain a copy of that data, and to correct any data that is • verifying securities holders’ identities; inaccurate. The Company and the H Share Registrar have the • establishing benefit entitlements of securities’ holders right to charge a reasonable fee for the processing of such of the Company, such as dividends, rights issues, bonus requests. issues, etc.; • distributing communications from the Company and its All requests for access to data or correction of data should subsidiaries;
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maintaining or updating the register of securities’ holders of the Company;
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verifying securities holders’ identities;
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 H Share Registrar for the attention of the privacy compliance officer.
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compiling statistical information and securities’ holders profiles;
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disclosing relevant information to facilitate claims on entitlements; and
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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.
By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.
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
個人資料
3. 轉交個人資料
個人資料收集聲明
個人資料收集聲明 本公司及其H股證券登記處所持有關證券持有人的 此項個人資料收集聲明是向香港發售股份的申請人 個人資料將會保密,但本公司及其H股證券登記處 和持有人說明有關本公司及其H股證券登記處有關 可以在為達到上述任何目的之必要情況下,向下列 個人資料和第 486 章《個人資料(私隱)條例》(「條 任何人士披露,獲取或轉交(無論在香港境內或境 例」)方面的政策和慣例。 外)有關個人資料: • 本公司委任的代理人,例如財務顧問、收款銀 1. 收集 閣下個人資料的原因 行和主要海外股份過戶登記分處; 證券申請人及登記持有人以本身名義申請證券或轉 • (如證券申請人要求將證券存於中央結算系統) 讓或受讓證券時或尋求H股證券登記處的服務時, 香港結算或香港結算代理人,彼等將會就中央 必須向本公司或其代理人及H股證券登記處提供準 結算系統的運作使用有關個人資料; 確個人資料。 • 向本公司或H股證券登記處提供與其各自業務 未能提供所要求的資料可能導致 閣下申請證券被 營運有關的行政、電訊、電腦、付款或其他服 拒或延遲,或本公司或其H股證券登記處無法落實 務的任何代理人、承包商或第三方服務供應 轉讓或提供服務。此舉也可能妨礙或延遲登記或轉 商; 讓 閣下成功申請的香港發售股份及╱或寄發 閣 • 聯交所、證監會及任何其他法定監管機關或政 下應得的股票及╱或退款支票。 府部門或遵照其他法例、規則或法規;及 • 證券持有人與其進行或擬進行交易的任何人士 證券持有人所提供的個人資料如有任何錯誤,須立 或機構,例如彼等的銀行、律師、會計師或股 即通知本公司及H股證券登記處。 票經紀等。 2. 目的 證券持有人的個人資料可被採用及以任何方式持 4. 個人資料的保留 有、處理及╱或保存,以作下列用途: 本公司及其H股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(如適用)、核 的用途保留證券申請人及持有人的個人資料。無需 實是否符合本申請表格及招股說明書載列的條 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佈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H股證券登記處是否 • 以證券持有人(包括香港結算代理人(如適用)) 持有其個人資料,並有權索取有關該資料的副本並 的名義登記新發行證券或轉讓或受讓證券; 更正任何不準確資料。本公司和H股證券登記處有 • 存置或更新本公司證券持有人的名冊; 權就處理任何查閱資料的要求收取合理費用。 • 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說明書 息、供股和紅股等; 「公司資料」一節所披露或不時通知的本公司註冊地
所有查閱資料或更正資料的要求應按招股說明書 「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H股證券登記處的 個人資料私隱事務主任提出。
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分發本公司及其附屬公司的通訊;
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編製統計數據和證券持有人資料;
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披露有關資料以便就權益索償;及
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與上述有關的任何其他附帶或相關目的及╱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。
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。