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Smart-Core Holdings Limited Share Issue/Capital Change 2016

Sep 27, 2016

50415_rns_2016-09-26_400c183e-c1b8-4311-a586-ca9130b63f5b.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 Smart-Core Holdings Limited (the “Company”) dated Tuesday, 27 September Staple your 2016 (the “Prospectus”). 定的詞語。 本申請表格使用芯智控股有限公司（「本公司」）日期為2016年9月27日（星期二）的招股章程（「招股章程」）所界 payment 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 the United States without registration or an exemption from here registration under the U.S. Securities Act. 本申請表格及招股章程概不構成在香港以外司法權區要約出售或游說要約購買香港發售股份。若無根據 請將股款 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。 緊釘在此 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 “Appendix V — Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection” 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. 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「附錄五 — 送呈香港公司註冊處處長及備查文件」所述其他文件已按《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。 SMART-CORE HOLDINGS LIMITED 芯智控股有限公司 (Incorporated in the Cayman Islands with limited liability) （於開曼群島註冊成立的有限公司） Stock code : 2166 股份代號 : 2166 Offer Price : not more than HK$2.39 per Offer Share (plus brokerage of 1%, SFC transaction levy of 0.0027% and Stock Exchange trading fee of 0.005%, payable in full on application in Hong Kong dollars and subject to refund) and expected to be not less than HK$1.77 per Offer Share 發售價 : 每股發售股份不高於2.39 港元（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，須於申請時以港元繳足及可予退還）及預計 每股發售股份不低於1.77港元 You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. 招股章程尚有其他關於申請程序的資料，本申請表格應與招股章 一 。 程 併閱讀 Application Form 申請表格 To: Smart-Core Holdings Limited 致：芯智控股有限公司 DBS Asia Capital Limited 星展亞洲融資有限公司 Haitong International Securities Company Limited 海通國際證券有限公司 The Hong Kong Underwriters 香港承銷商 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 件以及申請程序。見本申請表格「填交本申請表格的 and the Prospectus. Please refer to the “Effect of 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.

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「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): 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 6,250,000 shares) Cheque/banker’s cashier order number 支票╱銀行本票號碼 申請香港發售股份數目（不超過6,250,000股股份） Name of bank on which cheque/Banker’s cashier order is drawn (see “How to Total amount 總額 make your application” section) 兌現支票╱銀行本票的銀行名稱（見「申請手 續」一節） HK$ 港元 Name in English 英文姓名╱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） Names of all other joint applicants in English (if any) Hong Kong Identity Card No./Passport No./Hong Kong business registration No. 所有其他聯名申請人的英文姓名╱名稱（如有） of all other joint applicants (Please delete as appropriate) 的香港身份證號碼╱護照號碼╱香港商業登記號碼（ 請所有其他聯名申請人刪除不適用者） (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) 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 THIS BOX MUST BE DULY COMPLETED you do not complete this section. Please provide an account number or 必須填妥此欄 identification code for each (joint) beneficial owner. 由代名人遞交：代名 Participant I.D. of the CCASS Investor Participant or designated CCASS 人若不填寫本節，是項認購申請將視作為 閣下利益提出。請填寫 Participant 中央結算系統投資者戶口持有人或指定中央結算系統參與者 每名（聯名）實益擁有人的賬戶號碼或識別編碼。 的參與者編號 For designated CCASS Participant or Corporate CCASS Investor Participant, ADDRESS LABEL 地址標貼 (Your name(s) and address in Hong 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 Kong in BLOCK letters 請用英文 正楷 填寫 姓名 ╱ 名稱 及香港 地址 ) 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。

  • (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。 (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。 (3) 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). 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（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。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。 (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。 (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. 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

How to make your application
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.

1. Use the table below to calculate how much you must pay. Your application must be for a minimum of 2,000
HongKongOffer Shares and in one of the numbers set out in the table, oryour application will be rejected.
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$
2,000
4,828.17
20,000
48,281.68
200,000
482,816.81
2,000,000
4,828,168.06
4,000
9,656.34
30,000
72,422.53
300,000
724,225.21
3,000,000
7,242,252.09
6,000
14,484.51
40,000
96,563.36
400,000
965,633.61
4,000,000
9,656,336.12
8,000
19,312.68
50,000
120,704.21
500,000
1,207,042.02
5,000,000
12,070,420.15
10,000
24,140.85
60,000
144,845.04
600,000
1,448,450.42
6,000,000
14,484,504.18
12,000
28,969.00
70,000
168,985.89
700,000
1,689,858.82
6,250,000(1)
15,088,025.19
14,000
33,797.17
80,000
193,126.72
800,000
1,931,267.22
16,000
38,625.34
90,000
217,267.57
900,000
2,172,675.63
(1)Maximum number of Hong Kong
Offer Sharesyou mayapplyfor.
18,000
43,453.51
100,000
241,408.40
1,000,000
2,414,084.03
2. You, as the applicant(s), must complete the form in English 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;
•
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.
3. 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:
Sample樣板





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.

The cheque must:

Banker’s cashier order must:

  • be in Hong Kong dollars;

  • not be post-dated;

  • be made payable to “ Bank of Communications (Nominee) Co. Ltd. — Smart-Core Holdings Public Offer ”;

• be crossed “Account Payee Only”; • be drawn on your Hong Kong dollar bank account • be issued by a licensed bank in Hong Kong, in Hong Kong; and and have your name certified on the back by a • show your account name, which must either be preperson authorised by the bank. The name on the printed on the cheque, or be endorsed on the back banker’s cashier order must correspond with your by a person authorised by the bank. This account name. If it is a joint application, the name on the name must correspond with your name. If it is a back of the banker’s cashier order must be the joint application, the account name must be the same as the first-named applicant’s name. same as the 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 sub-branches of Bank of Communications Co., Ltd. Hong Kong Branch: Sub-Branch Address Hong Kong Island Central District Sub-Branch G/F., Far East Consortium Building, 125A Des Voeux Road C., Central Chai Wan Sub-Branch G/F., 121–121A Wan Tsui Road, Chai Wan Cinema Building, Chai Wan Kowloon Tsim Sha Tsui Sub-Branch Shop Nos. 1–3 on G/F., CFC Tower, 22–28 Mody Road, Tsim Sha Tsui Wong Tai Sin Sub-Branch Shop N118, 1/F., Temple Mall North, 136 Lung Cheung Road, Wong Tai Sin New Territories Shatin Sub-Branch Shop No. 193, Level 3, Shatin Lucky Plaza, Shatin 5. Your Application Form can be lodged at these times: — Tuesday, 27 September 2016 9:00 a.m. to 5:00 p.m. — Wednesday, 28 September 2016 9:00 a.m. to 5:00 p.m. — Thursday, 29 September 2016 9:00 a.m. to 5:00 p.m. Friday, 30 September 2016 — 9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Friday, 30 September 2016. The application lists will be opened between 11:45 a.m. and 12:00 noon on that day, subject only to the weather conditions, — as described in the section “How to Apply for Hong Kong Offer Shares 10. Effect of Bad Weather on the Opening of the Application Lists” in the Prospectus.

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

  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2,000股香港發售股份，並為下表所 列的其中一個數目，否則不受理。
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須至少為2,000股香港發售股份，並為下表所
列的其中一個數目，否則不受理。		 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須至少為2,000股香港發售股份，並為下表所
列的其中一個數目，否則不受理。		 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須至少為2,000股香港發售股份，並為下表所
列的其中一個數目，否則不受理。		 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須至少為2,000股香港發售股份，並為下表所
列的其中一個數目，否則不受理。
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
2,000
4,828.17
4,000
9,656.34
6,000
14,484.51
8,000
19,312.68
10,000
24,140.85
12,000
28,969.00
14,000
33,797.17
16,000
38,625.34
18,000
43,453.51
 20,000
48,281.68
30,000
72,422.53
40,000
96,563.36
50,000
120,704.21
60,000
144,845.04
70,000
168,985.89
80,000
193,126.72
90,000
217,267.57
100,000
241,408.40
 200,000
482,816.81
300,000
724,225.21
400,000
965,633.61
500,000
1,207,042.02
600,000
1,448,450.42
700,000
1,689,858.82
800,000
1,931,267.22
900,000
2,172,675.63
1,000,000
2,414,084.03
 2,000,000
4,828,168.06
3,000,000
7,242,252.09
4,000,000
9,656,336.12
5,000,000
12,070,420.15
6,000,000
14,484,504.18
6,250,000(1)
15,088,025.19
(1) 閣下可申請認購的香港發售股份最
高數目。
板
2.閣下作為申請人，必須按照下列指示以英文填妥表格，並於申請表格第二頁簽署，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 閣下以中央結算系統公司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。
3.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：
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。

  • 支票必須： 銀行本票必須： • 為港元； • 不得為期票； • 註明抬頭人為「 交通銀行（代理人）有限公司 — 芯智控股公開發售 」； • 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，並由有關銀行授權的 • 顯示 閣下的賬戶名稱，而該賬戶名稱必須已 人士在銀行本票背面簽署核證 閣下姓名╱名 預印在支票上，或由有關銀行授權的人士在支 稱。銀行本票所示姓名╱名稱必須與 閣下姓 票背書。賬戶名稱必須與 閣下姓名╱名稱相 名╱名稱相同。如屬聯名申請，銀行本票背面 同。如屬聯名申請，該賬戶名稱必須與排名首 所示姓名╱名稱必須與排名首位申請人的姓 位申請人的姓名╱名稱相同。 名╱名稱相同。

    1. 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）投入交通銀行股份有限公司 香港分行下列任何一家支行特設的收集箱： 支行 地址

  • 香港島 中區支行 中環德輔道中125A號遠東發展大廈地下 柴灣支行 柴灣環翠道121–121A號柴灣戲院大廈地下

  • 九龍 尖沙咀支行 尖沙咀麼地道22–28號中福商業大廈地下1–3號舖 黃大仙支行 黃大仙龍翔道136號黃大仙中心北館1樓N118號舖

  • 新界 沙田支行 沙田好運中心商場3樓193號舖

    1. 閣下可於下列時間遞交申請表格： 2016年9月27日（星期二）— 上午九時正至下午五時正 2016年9月28日（星期三）— 上午九時正至下午五時正 2016年9月29日（星期四）— 上午九時正至下午五時正 2016年9月30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2016年9月30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，唯一會影響此時間的變化因素為當日的天氣情況（詳見招股章程「如何 —

  • 申請香港發售股份 10.惡劣天氣對開始辦理申請登記的影響」一節）。

5. 閣下可於下列時間遞交申請表格：

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. SMART-CORE HOLDINGS LIMITED 芯智控股有限公司 (Incorporated in the Cayman Islands with limited liability) GLOBAL OFFERING Conditions of your application • confirm that you are aware of the restrictions on the Global A. Who can apply Offering in the Prospectus; • agree that none of the Company, the Joint Global 1. You and any person(s) for whose benefit you are applying Coordinators, the Sole Sponsor, the Joint Bookrunners, the must be 18 years of age or older and must have a Hong Kong Joint Lead Managers, the Underwriters, their respective address. directors, officers, employees, partners, agents, advisers and 2. If you are a firm, the application must be in the individual any other parties involved in the Global Offering is or will members’ names. be liable for any information and representations not in the 3. The number of joint applicants may not exceed 4. Prospectus (and any supplement to it); 4. If you are a body corporate, the application must be signed • undertake and confirm that you or the person(s) for whose by a duly authorised officer, who must state his representative benefit you have made the application have not applied for or capacity, and stamped with your corporation’s chop. taken up, or indicated an interest for, and will not apply for 5. You must be outside the United States, not be a United States or take up, or indicate an interest for, any Offer Shares under Person (as defined in Regulation S under the U.S. Securities the International Placing nor participated in the International Act) and not be a legal or natural person of the PRC. Placing; 6. Unless permitted by the Listing Rules, you cannot apply for • agree to disclose to the Company, Hong Kong Share any Hong Kong Offer Shares if you are: Registrar, the receiving bank, the Joint Global Coordinators, • an existing beneficial owner of shares in the Company the Sole Sponsor, the Joint Bookrunners, the Joint Lead and/or any of its subsidiaries; Managers, the Underwriters and/or their respective advisers • a director or chief executive officer of the Company and agents any personal data which they may require about and/or any of its subsidiaries; you and the person(s) for whose benefit you have made the • a core connected person of the Company or will become application; a core connected person of the Company immediately • if the laws of any place outside Hong Kong apply to your application, agree and warrant that you have complied with upon completion of the Global Offering; • a close associate of any of the above; or all such laws and none of the Company, the Joint Global • have been allocated or have applied for indicated an Coordinators, the Sole Sponsor, the Joint Bookrunners, the Joint Lead Managers, and the Underwriters nor any of interest in any International Placing Shares or otherwise their respective officers or advisers will breach any law participate in the International Placing. outside Hong Kong as a result of the acceptance of your B. If you are a nominee offer to purchase, or any action arising from your rights and You, as a nominee, may make more than one application for the obligations under the terms and conditions contained in the Hong Kong Offer Shares by: (i) giving electronic instructions to Prospectus and this Application Form; HKSCC via Central Clearing and Settlement System (“CCASS”) • agree that once your application has been accepted, you may (if you are a CCASS Participant); or (ii) using a WHITE or not rescind it because of an innocent misrepresentation; YELLOW Application Form, and lodge more than one application • agree that your application will be governed by the laws of in your own name on behalf of different beneficial owners. Hong Kong; • represent, warrant and undertake that (i) you understand that C. Effect of completing and submitting this Application Form the Hong Kong Offer Shares have not been and will not be By completing and submitting this Application Form, you (and registered under the U.S. Securities Act; and (ii) you and if you are joint applicants, each of you jointly and severally) for any person for whose benefit you are applying for the Hong yourself or as an agent or a nominee on behalf of each person for Kong Offer Shares are outside the United States (as defined whom you act: in Regulation S) or are a person described in paragraph (h)(3) • undertake to execute all relevant documents and instruct and of Rule 902 of Regulation S; authorise the Company and/or the Joint Global Coordinators • warrant that the information you have provided is true and (or their agents or nominees), as agents of the Company, to accurate; execute any documents for you and to do on your behalf all • agree to accept the Hong Kong Offer Shares applied for, or things necessary to register any Hong Kong Offer Shares any lesser number of such Shares allocated to you under the application; allocated to you in the name of HKSCC Nominees as • authorise the Company to place the name of the HKSCC required by the Articles of Association; • agree to comply with the Companies Ordinance, the Nominees on the Company’s register of members as the holder(s) of any Hong Kong Offer Shares allocated to you, Companies (Winding Up and Miscellaneous Provisions) and the Company and/or its agents to deposit any share Ordinance and the Articles of Association; certificate(s) into CCASS and/or to send any refund cheque(s) • confirm that you have read the terms and conditions and to you or the first-named applicant for joint application by application procedures set out in the Prospectus and in this ordinary post at your own risk to the address stated on the Application Form and agree to be bound by them; application, unless you have fulfilled the criteria mentioned • confirm that you have received and read the Prospectus in “Personal Collection” section in the Prospectus to collect and have only relied on the information and representations refund cheque(s) in person;

  • 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;

  • 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;

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.

• agree that each of HKSCC and HKSCC Nominees reserves basis of allocation of the Hong Kong Public Offer on Thursday, 6 the right (1) not to accept any or part of such allotted shares October 2016 in the South China Morning Post (in English) and issued in the name of HKSCC Nominees or not to accept the Hong Kong Economic Times (in Chinese), the website of the such allotted shares for deposit into CCASS; (2) to cause Stock Exchange at www.hkexnews.hk and the Company’s website such allotted shares to be withdrawn from CCASS and at www.smart-core.com.hk . Results of allocations in the Hong issued in your name at your own risk and costs; and (3) to Kong Public Offer and the Hong Kong Identity Card/passport/ cause such allotted shares to be issued in your name (or, if Hong Kong business registration numbers of successful applicants you are a joint applicant, to the first-named applicant) and (where applicable) will be available on the above websites. in such a case, to post the share certificates for such allotted shares at your own risk to the address on your application If your application for Hong Kong Offer Shares is successful form by ordinary post or to make available the same for your (in whole or in part) collection; If your application is wholly or partially successful, your Share • agree that each of HKSCC and HKSCC Nominees may certificate(s) (subject to their becoming valid certificates of adjust the number of allotted shares issued in the name of title provided that the Hong Kong Public Offer has become HKSCC Nominees; unconditional and not having been terminated at 8:00 a.m. on • agree that neither HKSCC nor HKSCC Nominees shall have Friday, 7 October 2016 will be issued in the name of HKSCC any liability for the information and representations not so Nominees and deposited directly into CCASS for credit to your contained in the Prospectus and this application form; CCASS Investor Participant stock account or the stock account of • agree that neither HKSCC nor HKSCC Nominees shall be your designated CCASS Participant as instructed by you in your liable to you in any way; Application Form on Thursday, 6 October 2016 or, in the event • declare and represent that this is the only application made of a contingency, on any other date as shall be determined by and the only application intended by me/us to be made to HKSCC or HKSCC Nominees. benefit me/us or the person for whose benefit I am/we are • If you are applying through a designated CCASS Participant applying; (other than a CCASS Investor Participant): For Hong • understand that the Company and the Joint Global Kong Offer Shares credited to the stock account of your Coordinators will rely on your declarations and designated CCASS Participant (other than a CCASS Investor representations in deciding whether or not to make any Participant), you can check the number of Hong Kong Offer allotment of any of the Hong Kong Offer Shares to you and Shares allotted to you with that CCASS Participant. that you may be prosecuted for making a false declaration; • If you are applying as a CCASS Investor Participant: The • (if the application is made for your own benefit) warrant that Company expects to publish the results of CCASS Investor no other application has been or will be made for your benefit Participants’ applications together with the results of the on a WHITE or YELLOW Application Form or by giving Hong Kong Public Offer on Thursday, 6 October 2016 in electronic application instructions to HKSCC or to the the South China Morning Post (in English) and the Hong White Form eIPO Service Provider by you or by any one as Kong Economic Times (in Chinese), the website of the your agent or by any other person; and Stock Exchange at www.hkexnews.hk and the Company’s • (if you are making the application as an agent for the benefit website at www.smart-core.com.hk . You should check the of another person) warrant that (i) no other application has announcement published by the Company and report any been or will be made by you as agent for or for the benefit of discrepancies to HKSCC before 5:00 p.m. on Thursday, 6 that person or by that person or by any other person as agent October 2016 or such other date as shall be determined by for that person on a WHITE or YELLOW Application Form HKSCC or HKSCC Nominees. Immediately after the credit or by giving electronic application instructions to HKSCC; of the Hong Kong Offer Shares to your stock account, you and (ii) you have due authority to sign the Application Form can check your new account balance via the CCASS Phone or give electronic application instructions on behalf of that System and CCASS Internet System (under the procedures other person as their agent. contained in HKSCC’s “An Operating Guide for Investor Participants” in effect from time to time). HKSCC will also Power of attorney make available to you an activity statement showing the If your application is made through an authorised attorney, the number of Hong Kong Offer Shares credited to your stock Company and the Joint Global Coordinators may accept or reject account. your application at their discretion, and on any conditions they No receipt will be issued for application money paid. The think fit, including evidence of the attorney’s authority. Company will not issue temporary documents of title. Determination of Offer Price and Allocation of Hong Kong Refund of your money Offer Shares If you do not receive any Hong Kong Offer Shares or if your The Offer Price is expected to be fixed on or around Friday, 30 application is accepted in part only or if the conditions of the Hong September 2016. Applicants are required to pay the maximum Kong Public Offer are not fulfilled in accordance with the section Offer Price of HK$2.39 for each Hong Kong Offer Share together “Structure of the Global Offering — Conditions of the Global with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Offering” in the Prospectus or if your application is revoked, the Stock Exchange trading fee. If the Offer Price is not agreed Company will refund to you your application monies (including between the Company and DBS (for itself and on behalf of the the related 1% brokerage, 0.0027% SFC transaction levy and Underwriters) at or before 12:00 noon on Wednesday, 5 October 0.005% Stock Exchange trading fee) without interest. If the Offer 2016, the Global Offering will not proceed and will lapse. Price is less than the maximum Offer Price, the Company will Applications for Hong Kong Offer Shares will not be processed refund to you the surplus application monies (including the related and no allotment of any Hong Kong Offer Shares will be made 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock until the application lists close.

  • announcement published by the Company and report any discrepancies to HKSCC before 5:00 p.m. on Thursday, 6 October 2016 or such other date as shall be determined by HKSCC or HKSCC Nominees. Immediately after the credit of the Hong Kong Offer Shares to your stock account, you can check your new account balance via the CCASS Phone System and CCASS Internet System (under the procedures contained in HKSCC’s “An Operating Guide for Investor Participants” in effect from time to time). HKSCC will also make available to you an activity statement showing the number of Hong Kong Offer Shares credited to your stock account.

D. Power of attorney

If you do not receive any Hong Kong Offer Shares or if your application is accepted in part only or if the conditions of the Hong Kong Public Offer are not fulfilled in accordance with the section “Structure of the Global Offering — Conditions of the Global Offering” in the Prospectus or if your application is revoked, 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 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 Company expects to announce the fixed Offer Price, the indication of the level of interest in the International Placing, the level of applications under the Hong Kong Public Offer and the

The refund procedures are stated in the sections “How to Apply for Hong Kong Offer Shares — 14. Despatch/Collection of Share Certificates and Refund Monies” in the Prospectus.

  • 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。 SMART-CORE HOLDINGS LIMITED 芯智控股有限公司 （於開曼群島註冊成立的有限公司） 全球發售

  • 申請條件 • 確認 閣下知悉招股章程內有關全球發售的限 制；

  • 甲. 可提出申請的人士 • 同意本公司、聯席全球協調人、獨家保薦人、聯 1. 閣下及 閣下為其利益提出申請的人士必須年滿 席賬簿管理人、聯席牽頭經辦人、承銷商、彼等 18歲並有香港地址。 各自的董事、高級職員、僱員、合夥人、代理、

    1. 如 閣下為商號，申請須以個別成員名義提出。 顧問及參與全球發售的任何其他人士現時及日後 3. 聯名申請人不得超過四名。 均毋須對並非載於招股章程（及其任何補充文件） 4. 如 閣下為法人團體，申請須經獲正式授權人員 的任何資料及陳述負責； 簽署，並註明其所屬代表身份及蓋上公司印鑑。 • 承諾及確認 閣下或 閣下為其利益提出申請的
    1. 閣下必須身處美國境外，並非美國籍人士（定義 人士並無申請或接納或表示有意認購（亦不會申 見美國《證券法》S規例），亦非中國法人或自然 請或接納或表示有意認購）國際配售的任何發售 人。 股份，也沒有參與國際配售；
    1. 除《上市規則》批准外，下列人士概不得申請認購 • 同意在本公司、香港證券登記處、收款銀行、聯 任何香港發售股份： 席全球協調人、獨家保薦人、聯席賬簿管理人、 • 本公司及╱或其任何附屬公司股份的現有實 聯席牽頭經辦人、承銷商及╱或彼等各自的顧問 益擁有人； 及代理提出要求時，向彼等披露其所要求提供有

  • • 本公司及╱或其任何附屬公司之董事或最高 關 閣下及 閣下為其利益提出申請的人士的個 行政人員； 人資料；

  • • 本公司核心關連人士或緊隨全球發售完成後 • 若香港境外任何地方的法例適用於 閣下的申 成為本公司核心關連人士的人士； 請，則同意及保證 閣下已遵守所有有關法例，

  • • 上述任何人士的緊密聯繫人；或 且本公司、聯席全球協調人、獨家保薦人、聯席 • 已獲分配或已申請或表示有意申請國際配售 賬簿管理人、聯席牽頭經辦人及承銷商和彼等各 股份或以其他方式參與國際配售的人士。 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

  • 乙. 如 閣下為代名人 條款及條件項下的權利及責任所引致的任何行 閣下作為代名人可提交超過一份香港發售股份申請， 動，而違反香港境外的任何法例； 方法是：(i)透過中央結算及交收系統（「中央結算系 • 同意 閣下的申請一經接納，即不得因無意的失 統」）向香港結算發出電子認購指示（如 閣下為中央 實陳述而撤銷； 結算系統參與者）；或(ii)使用 白色 或 黃色 申請表格以 • 同意 閣下的申請受香港法例規管； 自身名義代表不同的實益擁有人提交超過一份申請。 • 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

  • 丙. 填交本申請表格的效用 及 閣下為其利益申請香港發售股份的人士均身 閣下填妥並遞交本申請表格，即表示 閣下（如屬聯 處美國境外（定義見S規例），或屬S規例第902條 名申請人，即各人共同及個別）代表 閣下本身，或 第(h)(3)段所述的人士； 作為 閣下代其行事的每位人士的代理或代名人： • 保證 閣下提供的資料真實及準確； • 承諾促使所有相關文件生效，並指示及授權本公 • 同意接納所申請數目或根據申請分配予 閣下但 司及╱或作為本公司代理的聯席全球協調人（或 數目較少的香港發售股份； 彼等的代理或代名人），代表 閣下促使任何文 • 授權本公司將香港結算代理人的名稱列入本公司 件生效，並為按照組織章程細則的規定將 閣下 股東名冊，作為 閣下獲分配的任何香港發售 獲分配的任何香港發售股份以香港結算代理人的 股份的持有人，並授權本公司及╱或其代理將任 名義登記； 何股票存入中央結算系統及╱或以平郵方式按申

  • • 同意遵守公司條例、公司（清盤及雜項條文）條例 請所示地址向 閣下或聯名申請的首名申請人發 及組織章程細則； 送任何退款支票，郵誤風險由 閣下承擔，除

  • • 確認 閣下已細閱招股章程及本申請表格所載的 非 閣下已符合招股章程內「親身領取」一節中的 條款及條件以及申請程序，並同意受其約束； 條件而親身領取退款支票；

  • 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；

  • 同意獲配發的股份是以香港結算代理人的名義發 行，並直接存入中央結算系統，以便記存於 閣 下的中央結算系統投資者戶口持有人股份戶口 或 閣下的指定中央結算系統參與者股份戶口；

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。 • 同意香港結算及香港結算代理人各自保留權利(1) ( www.hkexnews.hk )及本公司網站（ www.smart-core.com.hk ） 不接納以香港結算代理人名義發行的該等獲配發 公佈協定發售價、國際配售踴躍程度、香港公開發售 的任何或部分股份，或不接納該等獲配發的股份 認購水平及香港公開發售分配基準。香港公開發售的 存入中央結算系統；(2)促使該等獲配發的股份從 分配結果及成功申請人的香港身份證╱護照╱香港商 中央結算系統提取，並轉入 閣下名下，有關風 業登記號碼（如適用）亦同於上述網站公佈。 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 如 閣下成功申請認購香港發售股份（全部或部分） 人，則以排名首位申請人的名義發行），而在此 如 閣下的申請全部或部分獲接納， 閣下的股票（前 情況下，會以平郵方式將該等獲配發股份的股票 提是於2016年10月7日（星期五）上午八時正香港公開 寄往 閣下在申請表格上所示地址（郵誤風險概 發售成為無條件而並無終止，股票方成為有效的所有 由 閣下自行承擔）或提供該等股票予 閣下領 權證明）將以香港結算代理人名義發出，並按 閣下 取； 在申請表格的指示於2016年10月6日（星期四）或在特 • 同意香港結算及香港結算代理人均可調整獲配發 別情況下由香港結算或香港結算代理人指定的任何其 以香港結算代理人名義發行的股份數目； 他日期直接存入中央結算系統，記入 閣下的中央結 • 同意香港結算及香港結算代理人對招股章程及本 算系統投資者戶口持有人股份戶口或 閣下指定的中 申請表格未有載列的資料及陳述概不負責； 央結算系統參與者股份戶口。 • 同意香港結算及香港結算代理人概不以任何方式 • 如 閣下透過中央結算系統投資者戶口持有人以 對 閣下負責； 外的指定中央結算系統參與者提出申請：香港 • 聲明及表示此乃本人╱吾等為本身或本人╱吾等 發售股份將存入 閣下指定的中央結算系統參 為其利益提出申請的人士提出及擬提出的唯一申 與者（非中央結算系統投資者戶口持有人）股份戶 請； 口， 閣下可向該中央結算系統參與者查詢 閣 • 明白本公司及聯席全球協調人將依據 閣下的聲 下獲配發的香港發售股份數目。 明及陳述而決定是否向 閣下分配任何香港發售 • 如 閣下以中央結算系統投資者戶口持有人身 股份， 閣下如作出虛假聲明，可能會被檢控； 份提出申請：本公司預期於2016年10月6日（星 • （如本申請是為 閣下本身利益提出）保證 閣下 期四）在南華早報（英文）、香港經濟日報（中 或作為 閣下代理的任何人士或任何其他人士不 文）、聯交所網站( www.hkexnews.hk )及本公司網 曾亦不會為 閣下利益而以 白色 或 黃色 申請表格 站（ www.smart-core.com.hk ）刊登中央結算系統投資 或向香港結算或 白表eIPO 服務供應商發出 電子認 者戶口持有人的申請結果及香港公開發售的結 購指示 而提出其他申請；及 果。 閣下應查閱本公司刊發的公佈，如有任 • （如 閣下作為代理為另一人士的利益提出申請） 何資料不符，請於2016年10月6日（星期四）或香 保證(i) 閣下（作為代理或為該人士利益）或該人 港結算或香港結算代理人釐定的任何其他日期 士或任何其他作為該人士代理的人士不曾亦不會 下午五時正前知會香港結算。在香港發售股份 以 白色 或 黃色 申請表格或向香港結算發出 電子認 存入 閣下的股份戶口後， 閣下即可透過「結算 購指示 而提出其他申請；及(ii) 閣下獲正式授權 通」電話系統及中央結算系統互聯網系統（根據香 作為該人士的代理代為簽署申請表格或發出 電子 認購指示 。 港結算不時生效的《投資者戶口持有人操作簡介》 所載程序）查詢 閣下的新戶口結餘。香港結算 丁. . 授權書 亦將向 閣下提供一份活動結單，列出存入 閣 如 閣下透過授權人士提出申請，本公司及聯席全球 下股份戶口的香港發售股份數目。 協調人可按其認為合適的條件（包括出示獲授權證明） 本公司不會就申請時繳付的款項發出收據，亦不會發 酌情接納或拒絕 閣下的申請。 出臨時所有權文件。 釐定發售價及香港發售股份的分配 退回款項 預期發售價於2016年9月30日（星期五）或前後釐定。 若 閣下未獲分配任何香港發售股份或申請僅部分獲 申請人須繳付每股香港發售股份2.39港元的最高發售 接納或倘香港公開發售的條件並未根據招股章程「全 價，另加1%經紀佣金、0.0027%證監會交易徵費及 球發售的架構 ─ 全球發售的條件」一節達成或 閣下 0.005%聯交所交易費。倘若本公司與星展（為其本身 的申請遭撤銷，本公司將不計利息退回 閣下的申請 及代表承銷商）並無於2016年10月5日（星期三）中午12 股款（包括相關的1%經紀佣金、0.0027%證監會交易1%經紀佣金、0.0027%證監會交易經紀佣金、0.0027%證監會交易0.0027%證監會交易證監會交易 時正或之前協定發售價，全球發售將不會進行並將告 徵費及0.005%聯交所交易費）。如發售價低於最高發0.005%聯交所交易費）。如發售價低於最高發聯交所交易費）。如發售價低於最高發 失效。 售價，本公司將不計利息退回多收申請股款（包括相

丁. . 授權書

若 閣下未獲分配任何香港發售股份或申請僅部分獲 接納或倘香港公開發售的條件並未根據招股章程「全 ─ 球發售的架構 全球發售的條件」一節達成或 閣下 的申請遭撤銷，本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1%經紀佣金、0.0027%證監會交易經紀佣金、0.0027%證監會交易0.0027%證監會交易證監會交易 徵費及0.005%聯交所交易費）。如發售價低於最高發0.005%聯交所交易費）。如發售價低於最高發聯交所交易費）。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）。

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 2016 年 10 月 6 日（星期四）在南華早 報（英文）、香港經濟日報（中文）、聯交所網站

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

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.

3. Transfer of personal data

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

Personal Information Collection Statement

This Personal Information Collection Statement informs the applicant for, and holder of, Hong Kong Offer Shares, of the confidential but the Company and its Hong Kong Share policies and practices of the Company and its Hong Kong Share Registrar may, to the extent necessary for achieving any of the Registrar in relation to personal data and the Personal Data above purposes, disclose, obtain or transfer (whether within or (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the outside Hong Kong) the personal data to, from or with any of “Ordinance”). 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 share securities to supply correct personal data to the Company or registrar; its agents and the Hong Kong Share Registrar when applying • where applicants for securities request a deposit into for securities or transferring securities into or out of their names or in procuring the services of the Hong Kong Share CCASS, HKSCC or HKSCC Nominees, who will use Registrar. the personal data for the purposes of operating CCASS; Failure to supply the requested data may result in your • any agents, contractors or third-party service providers application for securities being rejected, or in delay or the who offer administrative, telecommunications, computer, inability of the Company or its Hong Kong Share Registrar to payment or other services to the Company or the Hong effect transfers or otherwise render their services. It may also prevent or delay registration or transfers of the Hong Kong Kong Share Registrar in connection with their respective Offer Shares which you have successfully applied for and/ business operation; or the dispatch of share certificate(s) and/or refund cheque(s) • the Stock Exchange, the SFC and any other statutory and/or e-Refund Payment instruction(s) to which you are regulatory or governmental bodies or otherwise as entitled. required by laws, rules or regulations; and It is important that securities holders inform the Company • any persons or institutions with which the securities’ and the Hong Kong Share Registrar immediately of any inaccuracies in the personal data supplied. holders have or propose to have dealings, such as their bankers, solicitors, accountants or stockbrokers etc. 2. Purposes The personal data of the securities holders may be used, held, processed, and/or stored (by whatever means) for the 4. Retention of personal data following purposes: The Company and its Hong Kong Share Registrar will keep • processing your application and/or refund cheque and/ the personal data of the applicants and holders of securities or e-Refund Payment instruction(s), where applicable, for as long as necessary to fulfil the purposes for which the verification of compliance with the terms and application personal data were collected. Personal data which is no longer procedures set out in this Application Form and the Prospectus and announcing results of allocation of the required will be destroyed or dealt with in accordance with the Hong Kong Offer Shares; Ordinance. • compliance with applicable laws and regulations in Hong Kong and elsewhere; 5. Access to and correction of personal data • registering new issues or transfers into or out of the Securities holders have the right to ascertain whether the names of securities’ holders including, where applicable, Company or the Hong Kong Share Registrar hold their HKSCC Nominees; • maintaining or updating the register of securities’ holders personal data, to obtain a copy of that data, and to correct any of the Company; data that is inaccurate. The Company and the Hong Kong • verifying securities holders’ identities; Share Registrar have the right to charge a reasonable fee for • establishing benefit entitlements of securities’ holders the processing of such requests. of the Company, such as dividends, rights issues, bonus All requests for access to data or correction of data should issues, etc.; • distributing communications from the Company and its be addressed to us, at our registered address disclosed in subsidiaries; the section “Corporate Information” in the Prospectus or as • compiling statistical information and securities’ holders notified from time to time, for the attention of the company profiles; secretary(ies), or its Hong Kong Share Registrar for the • disclosing relevant information to facilitate claims on attention of the privacy compliance officer. entitlements; and

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.

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

  • 個人資料 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

  • 個人資料收集聲明 人的個人資料將會保密，但本公司及其香港證 此項個人資料收集聲明是向香港發售股份的申請人 券登記處可以在為達到上述任何目的之必要情 和持有人說明有關本公司及其香港證券登記處有 況下，向下列任何人士披露，獲取或轉交（無論 關個人資料和香港法例第486章《個人資料（私隱）條486章《個人資料（私隱）條章《個人資料（私隱）條 在香港境內或境外）有關個人資料： 例》（「《條例》」）方面的政策和慣例。（「《條例》」）方面的政策和慣例。 • 本公司委任的代理人，例如財務顧問、收款 銀行和主要海外股份過戶登記處；

  • 收集 閣下個人資料的原因 • （如證券申請人要求將證券存於中央結算系 證券申請人及登記持有人以本身名義申請證券 統）香港結算或香港結算代理人；彼等將會 或轉讓或受讓證券時或尋求香港證券登記處的 就中央結算系統的運作使用有關個人資料； 服務時，必須向本公司或其代理人及香港證券 • 向本公司或香港證券登記處提供與其各自業 登記處提供準確個人資料。 務營運有關的行政、電訊、電腦、付款或其 未能提供所要求的資料可能導致 閣下申請證 他服務的任何代理人、承包商或第三方服務 券被拒或延遲，或本公司或其香港證券登記處 供應商； 無法落實轉讓或提供服務。此舉也可能妨礙或 • 聯交所、證監會及任何其他法定監管機關或 延遲登記或轉讓 閣下成功申請的香港發售股 政府部門或遵照其他法例、規則或法規；及 份及╱或發送 閣下應得的股票及╱或退款支 • 證券持有人與其進行或擬進行交易的任何人 票及╱或電子退款指示。 士或機構，例如彼等的銀行、律師、會計師 證券持有人所提供的個人資料如有任何錯誤， 或股票經紀等。 須立即通知本公司及香港證券登記處。 4. 個人資料的保留

  • 目的 本公司及其香港證券登記處將按收集個人資料 證券持有人的個人資料可被採用及以任何方式 所需的用途保留證券申請人及持有人的個人資 持有、處理及╱或保存，以作下列用途： 料。無需保留的個人資料將會根據《條例》銷毀 • 處理 閣下的申請及╱或退款支票及╱或電 或處理。 子退款指示（如適用）、核實是否符合本申請 表格及招股章程載列的條款和申請程序以及 5. 查閱和更正個人資料 公佈香港發售股份的分配結果； 證券持有人有權確定本公司或香港證券登記處

  • • 遵守香港及其他地區的適用法律及法規； 是否持有其個人資料，並有權索取有關資料的 • 以證券持有人（包括香港結算代理人（如適 副本並更正任何不準確資料。本公司和香港證 用））的名義登記新發行證券或轉讓或受讓證 券登記處有權就處理任何查閱資料的要求收取 券； 合理費用。

  • • 存置或更新本公司證券持有人的名冊； 所有查閱資料或更正資料的要求應按招股章程 • 核實證券持有人的身份； 「公司資料」一節所披露或不時通知的本公司註 • 確定本公司證券持有人的受益權利，例如股 冊地址送交公司秘書，或向其香港證券登記處 息、供股和紅股等； 的個人資料私隱事務主任提出。

  • • 分發本公司及其附屬公司的通訊； • 編製統計數據和證券持有人資料； 閣下簽署申請表格或向香港結算發出電子認購指 • 披露有關資料以便就權益索償；及 示，即表示同意上述各項。 • 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 和持有人說明有關本公司及其香港證券登記處有 關個人資料和香港法例第486章《個人資料（私隱）條486章《個人資料（私隱）條章《個人資料（私隱）條 例》（「《條例》」）方面的政策和慣例。（「《條例》」）方面的政策和慣例。

1. 收集 閣下個人資料的原因

2. 目的

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