Xinte Energy Co., Ltd. — Share Issue/Capital Change 2015

Dec 17, 2015

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 Xinte Energy Co., Ltd. (the “Company”) Staple your dated December 17, 2015 (the “Prospectus”). 本申請表格使用新特能源股份有限公司（「本公司」）於2015年12月 17日刊發的招股章程（「招股章程」）所界定的相同詞語。 payment here Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any 請將股款 Hong Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or 緊釘在此 sold in the United States without registration or an exemption from registration under the U.S. Securities Act. 本申請表本申請表 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. 任何根據當地法例任何根據當地法例 不得轉發、派發或複製本申請表格及招股章程的司法權區內概不得以任何方式轉發或派發或複製（全部或部分）本申請表格 及招股章程。 Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of “Documents Delivered to the Registrar of Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection” section in Appendix VII to the Prospectus, have been registered by the Registrar ” section in Appendix VII to the Prospectus, have been registered by the Registrar section in Appendix VII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “Stock “Stock Stock Exchange”), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the ”), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the ), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the “HKSCC”), the Securities and Futures Commission of Hong Kong (the HKSCC”), the Securities and Futures Commission of Hong Kong (the ”), the Securities and Futures Commission of Hong Kong (the ), 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”) 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) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相關申招股章程、所有相關申 請表格及招股章程附錄七「送呈香港公司註冊處處長及備查文件」一節所述其他文件已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。 XINTE ENERGY CO., LTD. 新特能源股份有限公司 (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 : 1799 股份代號 ： 1799 Maximum Offer Price : HK$9.28 per H Share, plus 1.0% brokerage, 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 on final pricing 最高發售價 ： 每股H股9.28港元，另加1.0%經紀佣金、 0.0027%證監會交易徵費及0.005%聯交所交易費 （股款須於申請時以港元繳足及視乎最終定價而可予退還） You should read this Application Form in conjunction with the Prospectus, which contains further information on ， 一 。 the application procedures. 招股章程尚有關於申請程序的其他資料 本申請表格應與招股章程 併閱讀 Application Form 申請表格 To: Xinte Energy Co., Ltd. 致： 新特能源股份有限公司 Joint Global Coordinators 聯席全球協調人 Joint Bookrunners 聯席賬簿管理人 Joint Lead Managers 聯席牽頭經辦人 The Hong Kong Underwriters 香港包銷商 Applicants’ declaration 申請人聲明 I/We agree to the terms and conditions and 本人╱吾等同意本申請表格及招股章程的條款 application procedures in this Application Form 及條件以及申請程序。請參閱本申請表格「填交 and the Prospectus. Please refer to the “Effect of 本申請表格的效用」一節。 completing and submitting this Application Form” section of this Application Form.

Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any 請將股款 Hong Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or 緊釘在此 sold in the United States without registration or an exemption from registration under the U.S. Securities Act. 本申請表本申請表 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. 任何根據當地法例任何根據當地法例 不得轉發、派發或複製本申請表格及招股章程的司法權區內概不得以任何方式轉發或派發或複製（全部或部分）本申請表格 及招股章程。 Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of “Documents Delivered to the Registrar of Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection” section in Appendix VII to the Prospectus, have been registered by the Registrar ” section in Appendix VII to the Prospectus, have been registered by the Registrar section in Appendix VII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “Stock “Stock Stock Exchange”), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the ”), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the ), Hong Kong Securities Clearing Company Limited (“HKSCC”), the Securities and Futures Commission of Hong Kong (the “HKSCC”), the Securities and Futures Commission of Hong Kong (the HKSCC”), the Securities and Futures Commission of Hong Kong (the ”), the Securities and Futures Commission of Hong Kong (the ), 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”) 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) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相關申招股章程、所有相關申 請表格及招股章程附錄七「送呈香港公司註冊處處長及備查文件」一節所述其他文件已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。

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 。

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.

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 7,324,800 shares) 申請香港發售股份數目（不超過7,324,800 股股 Cheque/banker’s cashier order number 支票╱銀行本票號碼 份） Name of bank on which cheque/Banker’s cashier order is drawn (see Total amount 總額 “How to make your application” section) 兌現支票╱銀行本票的 銀行名稱（見「申請手續」一節） 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 所有其他聯名申請人的英文姓名╱名稱（如有） Registration No. of all other joint applicants (Please delete as appropriate) 所有其他聯名申請人的香港身份證號碼╱護照號碼╱ (1) 香港商業登記號碼（請刪除不適用者） (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 THIS BOX MUST BE DULY COMPLETED if you do not complete this section. Please provide an account 必須填妥此欄 number or identification code for each (joint) beneficial owner. 由 代名人遞交： 閣下若不填寫本節，是項認購申請將視作 Participant I.D. of the CCASS Investor Participant or designated 為 閣下利益提出。請填寫每名（聯名）實益擁有人的賬戶號碼 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投資者戶口持有人或指定的 或識別編碼。 中央結算 系統參與者的參與者編號 ADDRESS LABEL 地址標貼 （Your name(s) and address in For designated CCASS Participant or Corporate CCASS Investor Hong Kong in BLOCK letters 請用英文 正楷 填寫 姓名╱名稱 及 Participant , please also affix the company chop bearing its company 香港 地址 ） name 指定的中央結算系統參與者或中央結算系統公司投資指定的中央結算系統參與者或中央結算系統公司投資

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 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

• (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

1. Use the table below to calculate how much you must pay. Your application must be for a minimum of 400 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 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$ 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 3,749.41 7,498.81 11,248.22 14,997.62 18,747.03 22,496.43 26,245.84 29,995.24 33,744.65 37,494.06 56,241.08 8,000 10,000 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 74,988.11 93,735.15 112,482.18 131,229.21 149,976.23 168,723.26 187,470.29 281,205.44 374,940.58 468,675.73 562,410.87 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 600,000 700,000 800,000 656,146.02 749,881.16 843,616.31 937,351.46 1,874,702.91 2,812,054.37 3,749,405.82 4,686,757.28 5,624,108.74 6,561,460.19 7,498,811.65 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 6,000,000 7,324,800 (1) 8,436,163.10 9,373,514.56 18,747,029.12 28,120,543.68 37,494,058.24 46,867,572.80 56,241,087.36 68,659,119.45 (1) Maximum number of Hong Kong Offer Shares you may apply for. 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: The cheque must: Banker’s cashier order must: • be in Hong Kong dollars; • not be post-dated; • be made payable to “Bank of China (Hong Kong) Nominees Limited — Xinte Energy Public Offer”; • be crossed “Account Payee Only”; Sample樣版	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$ 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 3,749.41 7,498.81 11,248.22 14,997.62 18,747.03 22,496.43 26,245.84 29,995.24 33,744.65 37,494.06 56,241.08 8,000 10,000 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 74,988.11 93,735.15 112,482.18 131,229.21 149,976.23 168,723.26 187,470.29 281,205.44 374,940.58 468,675.73 562,410.87 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 600,000 700,000 800,000 656,146.02 749,881.16 843,616.31 937,351.46 1,874,702.91 2,812,054.37 3,749,405.82 4,686,757.28 5,624,108.74 6,561,460.19 7,498,811.65 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 6,000,000 7,324,800 (1) 8,436,163.10 9,373,514.56 18,747,029.12 28,120,543.68 37,494,058.24 46,867,572.80 56,241,087.36 68,659,119.45 (1) Maximum number of Hong Kong Offer Shares you may apply for. 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: The cheque must: Banker’s cashier order must: • be in Hong Kong dollars; • not be post-dated; • be made payable to “Bank of China (Hong Kong) Nominees Limited — Xinte Energy Public Offer”; • be crossed “Account Payee Only”; Sample樣版
• be drawn on your Hong Kong dollar bank • be issued by a licensed bank in Hong Kong,
account in Hong Kong; and and have your name certified on the back by
• show your account name, which must either be a person authorized by the bank. The name on
pre-printed on the cheque, or be endorsed on the the banker’s cashier order must correspond with
back by a person authorized by the bank. This your name. If it is a joint application, the name
account name must correspond with your name. on the back of the banker’s cashier order must
If it is a joint application, the account name must be the same as the first-named applicant’s name.
be the same as the first-named applicant’s name.

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. 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: • Bank of China (Hong Kong) Limited District Branch name Branch Address Hong Kong Island Bank of China Tower Branch 3/F, 1 Garden Road King’s Road Branch 131–133 King’s Road, North Point Chai Wan Branch Block B, Walton Estate, 341–343 Chai Wan Road, Chai Wan Kowloon Mong Kok Branch 589 Nathan Road, Mong Kok Kowloon Plaza Branch Unit 1, Kowloon Plaza, 485 Castle Peak Road Lam Tin Branch Shop 12, 49 Kai Tin Road, Lam Tin New Territories City One Sha Tin Branch Shop Nos. 24–25, G/F, Fortune City One Plus, No. 2 Ngan Shing Street, Sha Tin Tuen Mun Town Plaza Branch Shop 2, Tuen Mun Town Plaza Phase II 5. Your Application Form can be lodged at these times: Thursday, December 17, 2015 — 9:00 a.m. to 5:00 p.m. Friday, December 18, 2015 — 9:00 a.m. to 5:00 p.m. Saturday, December 19, 2015 — 9:00 a.m. to 1:00 p.m. Monday, December 21, 2015 — 9:00 a.m. to 5:00 p.m. Tuesday, December 22, 2015 — 9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Tuesday, December 22, 2015. The application lists will be open between 11:45 a.m. to 12:00 noon on that day, subject only to the weather conditions, as described in “10. Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for the Hong Kong Offer Shares” section of 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400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。 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 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 3,749.41 7,498.81 11,248.22 14,997.62 18,747.03 22,496.43 26,245.84 29,995.24 33,744.65 37,494.06 56,241.08 8,000 10,000 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 74,988.11 93,735.15 112,482.18 131,229.21 149,976.23 168,723.26 187,470.29 281,205.44 374,940.58 468,675.73 562,410.87 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 600,000 700,000 800,000 656,146.02 749,881.16 843,616.31 937,351.46 1,874,702.91 2,812,054.37 3,749,405.82 4,686,757.28 5,624,108.74 6,561,460.19 7,498,811.65 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 6,000,000 7,324,800 (1) 8,436,163.10 9,373,514.56 18,747,029.12 28,120,543.68 37,494,058.24 46,867,572.80 56,241,087.36 68,659,119.45 (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。 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： 支票必須： 銀行本票必須： • 為港元； • 不得為期票； • 註明抬頭人為「中國銀行（香港）代理人有限公司 — 新特能源公開發售」； • 劃線註明「只准入抬頭人賬戶」； • 從 閣下在香港的港元銀行賬戶中開出；及 • 顯示 閣下的賬戶名稱，而該賬戶名稱必 須已預印在支票上， 或由有關銀行授權的人 士在支票背書。賬戶名稱必須與 閣下姓 名╱名稱相同。如屬聯名申請，賬戶名稱必 須與排名首位申請人的姓名╱名稱相同。 • 須由香港持牌銀行開出，並由有關銀行授 權的人士在銀行本票背面簽署核證 閣 下姓名╱名稱。銀行本票所示姓名╱名稱 須與 閣下姓名╱名稱相同。如屬聯名申 請，銀行本票背面所示姓名╱名稱必須與 排名首位申請人的姓名╱名稱相同。 Sample樣版	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400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。 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 400 800 1,200 1,600 2,000 2,400 2,800 3,200 3,600 4,000 6,000 3,749.41 7,498.81 11,248.22 14,997.62 18,747.03 22,496.43 26,245.84 29,995.24 33,744.65 37,494.06 56,241.08 8,000 10,000 12,000 14,000 16,000 18,000 20,000 30,000 40,000 50,000 60,000 74,988.11 93,735.15 112,482.18 131,229.21 149,976.23 168,723.26 187,470.29 281,205.44 374,940.58 468,675.73 562,410.87 70,000 80,000 90,000 100,000 200,000 300,000 400,000 500,000 600,000 700,000 800,000 656,146.02 749,881.16 843,616.31 937,351.46 1,874,702.91 2,812,054.37 3,749,405.82 4,686,757.28 5,624,108.74 6,561,460.19 7,498,811.65 900,000 1,000,000 2,000,000 3,000,000 4,000,000 5,000,000 6,000,000 7,324,800 (1) 8,436,163.10 9,373,514.56 18,747,029.12 28,120,543.68 37,494,058.24 46,867,572.80 56,241,087.36 68,659,119.45 (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。 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： 支票必須： 銀行本票必須： • 為港元； • 不得為期票； • 註明抬頭人為「中國銀行（香港）代理人有限公司 — 新特能源公開發售」； • 劃線註明「只准入抬頭人賬戶」； • 從 閣下在香港的港元銀行賬戶中開出；及 • 顯示 閣下的賬戶名稱，而該賬戶名稱必 須已預印在支票上， 或由有關銀行授權的人 士在支票背書。賬戶名稱必須與 閣下姓 名╱名稱相同。如屬聯名申請，賬戶名稱必 須與排名首位申請人的姓名╱名稱相同。 • 須由香港持牌銀行開出，並由有關銀行授 權的人士在銀行本票背面簽署核證 閣 下姓名╱名稱。銀行本票所示姓名╱名稱 須與 閣下姓名╱名稱相同。如屬聯名申 請，銀行本票背面所示姓名╱名稱必須與 排名首位申請人的姓名╱名稱相同。 Sample樣版
支票必須：	銀行本票必須：
• 為港元； • 不得為期票； • 註明抬頭人為「中國銀行（香港）代理人有限公司 — 新特能源公開發售」； • 劃線註明「只准入抬頭人賬戶」；
• 從 閣下在香港的港元銀行賬戶中開出；及 • 顯示 閣下的賬戶名稱，而該賬戶名稱必 須已預印在支票上， 或由有關銀行授權的人 士在支票背書。賬戶名稱必須與 閣下姓 名╱名稱相同。如屬聯名申請，賬戶名稱必 須與排名首位申請人的姓名╱名稱相同。	• 須由香港持牌銀行開出，並由有關銀行授 權的人士在銀行本票背面簽署核證 閣 下姓名╱名稱。銀行本票所示姓名╱名稱 須與 閣下姓名╱名稱相同。如屬聯名申 請，銀行本票背面所示姓名╱名稱必須與 排名首位申請人的姓名╱名稱相同。

如 閣下欲以香港中央結算（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. 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 家分行特備的收集箱： • 中國銀行（香港）有限公司 地區 分行名稱 分行地址 香港島 中銀大廈分行 花園道1號3樓 英皇道分行 北角英皇道131–133號 柴灣分行 柴灣道341–343號宏德居B座 九龍 旺角分行 旺角彌敦道589號 九龍廣場分行 青山道485號九龍廣場1號 藍田分行 藍田啟田道49號12號鋪 新界 沙田第一城分行 沙田銀城街2號置富第一城樂薈地下24–25號 屯門市廣場分行 屯門市廣場第二期商場2號 5. 閣下可於下列時間遞交申請表格： — 2015年12月17日（星期四） 上午9時正至下午5時正 — 2015年12月18日（星期五） 上午9時正至下午5時正 — 2015年12月19日（星期六） 上午9時正至下午1時正 — 2015年12月21日（星期一） 上午9時正至下午5時正 — 2015年12月22日（星期二） 上午9時正至中午12時正 6. 截止遞交申請的時間為2015年12月22日（星期二）中午12時正。本公司將於當日上午11時45分 至中午12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」一節「10.惡劣天氣對辦理申請登記的影響」）。

2. 閣下可於下列時間遞交申請表格：

3. 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 XINTE ENERGY CO., LTD. 新特能源股份有限公司

4. (A joint stock company incorporated in the People’s Republic of China with limited liability) GLOBAL OFFERING

5. Conditions of your application • confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this

6. A. Who can apply Application Form and agree to be bound by them; 1. You and any person(s) for whose benefit you are applying must be • confirm that you have received and read the Prospectus and have 18 years of age or older and must have a Hong Kong address. only relied on the information and representations contained in

7. 1. If you are a firm, the application must be in the individual the Prospectus in making your application and will not rely on members’ names. any other information or representations except those in any
8. 1. The number of joint applicants may not exceed 4. supplement to the Prospectus; 4. If you are a body corporate, the application must be signed by a • confirm that you are aware of the restrictions on the Global duly authorized officer, who must state his representative capacity, Offering in the prospectus; and stamped with your corporation’s chop. • agree that none of the Company, the Joint Sponsors, the Joint
9. 1. You must be outside the United States, not be a United States Global Coordinators, the Joint Bookrunners, the Joint Lead person (as defined in Regulation S under the U.S. Securities Act) Managers, the Underwriters, their respective directors, officers, and not be a legal or natural person of the PRC. employees, partners, agents, advisers and any other parties
10. 1. Unless permitted by the Listing Rules, you cannot apply for any involved in the Global Offering is or will be liable for any information and representations not in the Prospectus (and any

11. Hong Kong Offer Shares if you are: • an existing beneficial owner of shares in the Company and/or supplement to it); • undertake and confirm that you or the person(s) for whose benefit

12. any of its subsidiaries;

13. • a director, supervisor or chief executive officer of the Company you have made the application have not applied for or taken up, or indicated an interest for, and will not apply for or take up, or

14. and/or any of its subsidiaries;

15. • a connected person or a core connected person (as respectively indicate an interest for, any Offer Shares under the International Offering nor participated in the International Offering;

16. defined in the Listing Rules) of the Company or will become a • agree to disclose to the Company, the H Share Registrar, the

17. connected person or a core connected person of the Company receiving bank, the Joint Sponsors, the Joint Global Coordinators,

18. immediately upon completion of the Global Offering;

19. • an associate or a close associate (as respectively defined in the the Joint Bookrunners, the Joint Lead Managers, the Underwriters and/or their respective advisers and agents any personal data which

20. Listing Rules) of any of the above; or

21. • have been allocated or have applied for any International Offer they may require about you and the person(s) for whose benefit you have made the application;

22. Shares or otherwise participate in the International Offering. • if the laws of any place outside Hong Kong apply to your application, agree and warrant that you have complied with all

23. B. If you are a nominee such laws and none of the Company, the Joint Sponsors, the

24. You, as a nominee, may make more than one application for the Hong Joint Global Coordinators, the Joint Bookrunners, the Joint Lead

25. Kong Offer Shares by: (i) giving electronic instructions to HKSCC Managers and the Underwriters nor any of their respective officers

26. via Central Clearing and Settlement System (“CCASS”) (if you are a or advisers will breach any law outside Hong Kong as a result

27. CCASS Participant); or (ii) using a WHITE or YELLOW Application of the acceptance of your offer to purchase, or any action arising

28. Form, and lodge more than one application in your own name on from your rights and obligations under the terms and conditions

29. behalf of different beneficial owners. contained in the Prospectus and this Application Form;

30. • agree that once your application has been accepted, you may not

31. C. Effect of completing and submitting this Application Form rescind it because of an innocent misrepresentation;

32. By completing and submitting this Application Form, you (and if you • agree that your application will be governed by the laws of Hong are joint applicants, each of you jointly and severally) for yourself or Kong;

33. as an agent or a nominee on behalf of each person for whom you act: • represent, warrant and undertake that (i) you understand that the • undertake to execute all relevant documents and instruct and Hong Kong Offer Shares have not been and will not be registered

34. authorize the Company and/or the Joint Global Coordinators (or under the U.S. Securities Act; and (ii) you and any person for

35. their agents or nominees), as agents of the Company, to execute whose benefit you are applying for the Hong Kong Offer Shares any documents for you and to do on your behalf all things are outside the United States (as defined in Regulation S) or are a necessary to register any Hong Kong Offer Shares allocated to you person described in paragraph (h)(3) of Rule 902 of Regulation S; in the name of HKSCC Nominees as required by the Articles of • warrant that the information you have provided is true and Association;

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

37. agree to comply with the Companies Ordinance, the Companies (Winding Up and Miscellaneous Provisions) Ordinance, the PRC Company Law, the Special Regulations and the Articles of Association;

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

39. authorize the Company to place the name of the HKSCC Nominees on the Company’s register of members as the holder(s) of any

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

Hong Kong Offer Shares allocated to you, and the Company and/ Kong Underwriters) on or before Sunday, December 27, 2015, the or its agents to deposit any H Share certificate(s) into CCASS and/ Global Offering will not proceed. Applications for Hong Kong Offer or to send any refund cheque(s) to you or the first-named applicant Shares will not be processed and no allotment of any Hong Kong Offer for joint application by ordinary post at your own risk to the Shares will be made until the application lists close. address stated on the application, unless you have chosen to collect The Company expects to announce the fixed offer price, the level of refund cheque(s) in person; indication of interest in the International Offering, the level of applications • agree that the shares to be allotted shall be issued in the name of under the Hong Kong Public Offering and the basis of allocation of HKSCC Nominees and deposited directly into CCASS for credit to the Hong Kong Public Offer Shares on Tuesday, December 29, 2015 your investor participant stock account or the stock account of your in the South China Morning Post (in English) and the Hong Kong designated CCASS participant; Economic Times (in Chinese), the website of the Stock Exchange at • agree that each of HKSCC and HKSCC Nominees reserves the www.hkexnews.hk and the Company’s website at www.xtnysolar.com . right (1) not to accept any or part of such allotted shares issued Results of allocations in Hong Kong Public Offering, and the Hong in the name of HKSCC Nominees or not to accept such allotted Kong Identity Card/passport/Hong Kong business registration numbers shares for deposit into CCASS; (2) to cause such allotted shares to of successful applicants (where applicable) will be available on the above be withdrawn from CCASS and issued in your name at your own websites. 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 If your application for Hong Kong Offer Shares is successful (in applicant) and in such a case, to post the certificates for such whole or in part) allotted shares at your own risk to the address on your application If your application is wholly or partially successful, your H form by ordinary post or to make available the same for your Share certificate(s) (subject to their becoming valid certificates collection; of title provided that the Hong Kong Public Offering has become • agree that each of HKSCC and HKSCC Nominees may adjust the unconditional and not having been terminated at 8:00 a.m. on number of allotted shares issued in the name of HKSCC Nominees; Wednesday, December 30, 2015) will be issued in the name of • agree that neither HKSCC nor HKSCC Nominees shall have any HKSCC Nominees and deposited directly into CCASS for credit to liability for the information and representations not so contained in your CCASS Investor Participant stock account or the stock account the Prospectus and this application form; of your designated CCASS Participant as instructed by you in your • agree that neither HKSCC nor HKSCC Nominees shall be liable to Application Form on Tuesday, December 29, 2015 or, in the event of you in any way; a contingency, on any other date as shall be determined by HKSCC or • declare and represent that this is the only application made and the HKSCC Nominees. only application intended by you to be made to benefit you or the • If you are applying through a designated CCASS Participant person for whose benefit you are applying; (other than a CCASS Investor Participant): For Hong Kong Offer • understand that the Company and the Joint Global Coordinators Shares credited to the stock account of your designated CCASS will rely on your declarations and representations in deciding Participant (other than a CCASS Investor Participant), you can whether or not to make any allotment of any of the Hong Kong check the number of Hong Kong Offer Shares allotted to you with Offer Shares to you and that you may be prosecuted for making a that CCASS Participant. false declaration; • If you are applying as a CCASS Investor Participant: The • (if the application is made for your own benefit) warrant that no Company expects to publish the results of CCASS Investor other application has been or will be made for your benefit on a Participants’ applications together with the results of the Hong WHITE or YELLOW Application Form or by giving electronic Kong Public Offering in (South China Morning Post) (in English) application instructions to HKSCC or to the White Form eIPO and Hong Kong Economic Times (in Chinese) on Tuesday, Service Provider by you or by any one as your agent or by any December 29, 2015. You should check the announcement other person; and published by the Company and report any discrepancies to HKSCC • (if you are making the application as an agent for the benefit of before 5:00 p.m. on Tuesday, December 29, 2015 or such other another person) warrant that (i) no other application has been or date as shall be determined by HKSCC or HKSCC Nominees. will be made by you as agent for or for the benefit of that person Immediately after the credit of the Hong Kong Offer Shares to or by that person or by any other person as agent for that person on your stock account you can check your new account balance via a WHITE or YELLOW Application Form or by giving electronic the CCASS Phone System and CCASS Internet System (under application instructions to HKSCC; and (ii) you have due authority the procedures contained in HKSCC’s “An Operating Guide for to sign the Application Form or give electronic application Investor Participants” in effect from time to time). HKSCC will instructions on behalf of that other person as their agent. 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 No receipt will be issued for application money paid. The Company If your application is made through an authorized 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 think fit, Refund of your money including evidence of the attorney’s authority. If you do not receive any Hong Kong Offer Shares or if your application is accepted only in part, the Company will refund to you Determination of Offer Price and Allocation of Hong Kong Offer your application monies (including the related 1% brokerage, 0.0027% Shares SFC transaction levy and 0.005% Stock Exchange trading fee) without The Offer Price is expected to be fixed on or around Tuesday, interest. If the offer price is less than the maximum Offer Price, the December 22, 2015. Applicants are required to pay the maximum Company will refund to you the surplus application monies (including Offer Price of HK$9.28 for each Hong Kong Offer Share together the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Stock Exchange trading fee) without interest.

The Offer Price is expected to be fixed on or around Tuesday, December 22, 2015. Applicants are required to pay the maximum Offer Price of HK$9.28 for each Hong Kong Offer Share together with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee. If the Offer Price is not agreed between the Company and the Joint Global Coordinators (on behalf of the Hong

The refund procedures are stated in the “14. Dispatch/Collection of H Share Certificates and Refund Monies” in the “How to Apply for the Hong Kong Offer Shares” section of 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 XINTE ENERGY CO., LTD. 新特能源股份有限公司

• （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 確認 閣下已細閱招股章程及本申請表格所 載的條款及條件以及申請程序，並同意受其

• 甲、可提出申請的人士 約束； 1. 閣下及 閣下為其利益提出申請的人士必須年 ‧ 確認 閣下已接獲及細閱招股章程，且於申請 滿18歲並有香港地址。 時僅依賴招股章程所載資料及陳述，除招股章

• 1. 如 閣下為商號，申請須以個別成員名義 程任何補充文件外，不會依賴任何其他資料或 提出。 陳述；
• 1. 聯名申請人不得超過四名。 ‧ 確認 閣下知悉招股章程有關全球發售的 4. 如 閣下為法人團體，申請須經獲正式授權人 限制； ‧

• 員簽署，並註明其所屬代表身份及蓋上公司 同意本公司、聯席保薦人、聯席全球協調人、 印鑑。 聯席賬簿管理人、聯席牽頭經辦人、包銷商、

• 1. 閣下必須身處美國境外，非美國籍人士（定義見 彼等各自的董事、高級職員、僱員、合夥人、 美國證券法S規例），亦非中國法人或自然人。 代理、顧問及參與全球發售的任何其他各方現
• 1. 除上市規則批准外，下列人士概不得申請認購 時及日後均毋須對並非載於招股章程（及其任 任何香港發售股份： 何補充文件）的任何資料及陳述負責； ‧ ‧ 本公司及╱或其任何附屬公司股份的現有 承諾及確認 閣下或 閣下為其利益提出申請 實益擁有人； 的人士並無亦不會申請或接納或表示有意認

• ‧ 本公司及╱或其任何附屬公司的董事、監 購國際發售的任何發售股份，亦不會參與國際 事或行政總裁； 發售；

• ‧ 本公司關連人士或核心關連人士（各自定義 ‧ 同意在本公司、H股證券登記處、收款銀行、 見上市規則）或緊隨全球發售完成後將成為 聯席保薦人、聯席全球協調人、聯席賬簿管理 本公司關連人士或核心關連人士的人士； 人、聯席牽頭經辦人、包銷商及╱或彼等各自

• ‧ 上述任何人士的聯繫人或緊密聯繫人（各自 的顧問及代理提出要求時，向彼等披露所要求 定義見上市規則）；或 提供有關 閣下及 閣下為其利益提出申請之

• ‧ 已獲分配或已申請任何國際發售股份或參 人士的個人資料； ‧

• 與國際發售的人士。 倘香港境外任何地方的法例適用於 閣下的 申請，則同意及保證 閣下已遵守所有有關

• 乙、如 閣下為代名人 法例，且本公司、聯席保薦人、聯席全球協調 閣下作為代名人可提交超過一份香港發售股份申 人、聯席賬簿管理人、聯席牽頭經辦人及包銷 請，方法是：(i)透過中央結算及交收系統（「中央結 商與彼等各自的高級職員或顧問概不會因接 算系統」）向香港結算發出電子認購指示（如 閣下 納 閣下的購買要約，或 閣下根據招股章程 為中央結算系統參與者）；或(ii)使用 白色 或 黃色 申 及本申請表格所載條款及條件行使權利及履行 請表格，以自身名義代表不同的實益擁有人提交超 責任所引致的任何行動，而違反香港境外的任 過一份申請。 何法例； ‧ 同意 閣下的申請一經接納，即不得因無意的

• 丙、填交本申請表格的效用 失實陳述而撤銷； ‧

• 閣下填妥並遞交本申請表格，即表示 閣下（如屬聯 同意 閣下的申請受香港法例規管； ‧

• 名申請人，即各人共同及個別）代表 閣下本身，或 聲明、保證及承諾：(i)閣下明白香港發售股份 作為 閣下代其行事的每位人士的代理或代名人： 並無亦不會根據美國證券法登記；及(ii) 閣下 ‧ 承諾簽署所有相關文件，並指示及授權本公司 及 閣下為其利益申請香港發售股份的人士均 及╱或聯席全球協調人（或彼等的代理或代名 身處美國境外（定義見S規例），或屬S規例第902 人）（作為本公司的代理）為按照組織章程細則 條第(h)(3)段所述的人士； ‧

• 的規定將 閣下獲配發的任何香港發售股份以 保證 閣下提供的資料真實準確； ‧

• 香港結算代理人名義登記而為 閣下簽署任何 同意接納所申請認購或根據申請分配予 閣下 文件及代表 閣下進行一切必要事宜； 的較少數目的香港發售股份；

• ‧ 同意遵守公司條例、公司（清盤及雜項條文）條 例、中國公司法、特別規定及組織章程細則；

• ‧ 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，並授權本公司及╱或其代理

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

將任何H股股票存入中央結算系統及╱或以普 （星期日）或之前協定發售價，全球發售將不會進 通郵遞方式按申請所示地址向 閣下或聯名申 行。截止登記認購申請前概不處理香港發售股份的 請中排名首位申請人寄發任何退款支票，郵誤 申請或配發任何香港發售股份。 風險由 閣下承擔，惟 閣下已選擇親身領取 本公司預期於 2015 年 12 月 29 日（星期二）在南華早 退款支票則除外； 報（英文）、香港經濟日報（中文）、聯交所網站 ‧ 同意獲配發的股份是以香港結算代理人的名 www.hkexnews.hk 及 本公司網 站 www.xtnysolar.com 公 義發行，並直接存入中央結算系統，以便記存 佈協定發售價、國際發售踴躍程度、香港公開發售 於 閣下的中央結算系統投資者戶口持有人股 的申請水平及香港公開發售股份分配基準。香港公 份戶口或 閣下的指定中央結算系統參與者股 開發售的分配結果以及成功申請人的香港身份證╱ 份戶口； 護照╱香港商業登記號碼（如適用）亦同於上述網站 ‧ 同意香港結算及香港結算代理人各自保留權利 公佈。 (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 如 閣下成功申請認購香港發售股份（全部或部分） 發的股份存入中央結算系統；(2)促使該等獲配 如 閣下的申請全部或部分獲接納， 閣下的H股 發的股份從中央結算系統提取，並轉入 閣下 股票（前提是於2015年12月30日（星期三）上午8時正 名下，有關風險及費用概由 閣下自行承擔； 香港公開發售成為無條件而並無終止，股票成為有 及(3)促使該等獲配發的股份以 閣下名義發行 效的所有權證明）將以香港結算代理人名義發出，並 （或如屬聯名申請人，則以排名首位申請人的 於2015年12月29日（星期二）或在特別情況下由香港 名義發行），而在此情況下，會以普通郵遞方式 結算或香港結算代理人指定的任何其他日期按 閣 將該等獲配發股份的股票寄往 閣下在申請表 下在申請表格的指示直接存入中央結算系統，記 格上所示地址（郵誤風險概由 閣下自行承擔） 入 閣下的中央結算系統投資者戶口持有人股份戶 或提供該等股票予 閣下領取； 口或 閣下指定的中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各自均可調整 如 閣下透過中央結算系統投資者戶口持有人 以香港結算代理人名義發行的獲配發股份數 以外的指定中央結算系統參與者提出申請：香 目； 港發售股份將存入 閣下指定的中央結算系統 ‧ 同意香港結算及香港結算代理人對招股章程及 參與者（非中央結算系統投資者戶口持有人）股 本申請表格未有載列的資料及陳述概不負責； 份戶口， 閣下可向該中央結算系統參與者查 ‧ 同意香港結算及香港結算代理人概不以任何方 詢 閣下獲配發的香港發售股份數目。 ‧ 式對 閣下負責； 如 閣下以中央結算系統投資者戶口持有人身 ‧ 聲明及表示此乃 閣下為本身或 閣下為其利 份提出申請：本公司預期於2015年12月29日（星 益提出申請的人士提出及擬提出的唯一申請； 期二）在南華早報（英文）、香港經濟日報（中 ‧ 明白本公司及聯席全球協調人在決定是否 文）刊登中央結算系統投資者戶口持有人的申 向 閣下分配任何香港發售股份時將依賴 閣 請結果及香港公開發售的結果。 閣下應查閱 下的聲明及陳述， 閣下如作出虛假聲明，或 本公司刊發的公告，如有任何資料不符，請於 會遭檢控； 2015年12月29日（星期二）或香港結算或香港結 ‧ （倘為 閣下本身的利益提出申請）保證 閣下 算代理人釐定的任何其他日期下午5時正前知會 或作為 閣下代理的任何人士或任何其他人士 香港結算。在香港發售股份記存於 閣下的股 並無亦不會為 閣下的利益以 白色 或 黃色 申請 份戶口後， 閣下即可透過「結算通」電話系統 表格或向香港結算或 白表eIPOeIPO 服務供應商發出 及中央結算系統互聯網系統（根據香港結算不 電子認購指示而提出其他申請；及 時生效的《投資者戶口操作簡介》所載程序）查 ‧ （倘 閣下作為代理為他人利益提出申請）保證 詢 閣下的新戶口結餘。香港結算亦將向 閣 (i) 閣下（作為代理或為該人士利益）或該人士 閣下（作為代理或為該人士利益）或該人士 下提供一份活動結單，列出記存於 閣下股份 或任何其他作為該人士代理的人士並無亦不會 戶口的香港發售股份數目。 以 白色 或 黃色 申請表格或向香港結算發出電子 本公司不會就申請時繳付的款項發出收據，亦不會 認購指示提出其他申請；及(ii) 閣下獲正式授(ii) 閣下獲正式授 閣下獲正式授 發出臨時所有權文件。 權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。 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 丁、授權書 獲接納，本公司將不計利息退回 閣下的申請股款 如 閣下透過授權人士提出申請，本公司及聯席全 （包括相關的1%經紀佣金、0.0027%證監會交易徵費1%經紀佣金、0.0027%證監會交易徵費經紀佣金、0.0027%證監會交易徵費0.0027%證監會交易徵費證監會交易徵費 球協調人可按其認為合適的條件（包括出示獲授權 及0.005%聯交所交易費）。如發售價低於最高發售0.005%聯交所交易費）。如發售價低於最高發售聯交所交易費）。如發售價低於最高發售 證明）酌情接納或拒絕 閣下的申請。 價，本公司將不計利息退回多收申請股款（包括相關

‧ 聲明及表示此乃 閣下為本身或 閣下為其利 益提出申請的人士提出及擬提出的唯一申請； ‧ 明白本公司及聯席全球協調人在決定是否 向 閣下分配任何香港發售股份時將依賴 閣 下的聲明及陳述， 閣下如作出虛假聲明，或 會遭檢控； ‧ （倘為 閣下本身的利益提出申請）保證 閣下 或作為 閣下代理的任何人士或任何其他人士 並無亦不會為 閣下的利益以 白色 或 黃色 申請 表格或向香港結算或 白表eIPOeIPO 服務供應商發出 電子認購指示而提出其他申請；及 ‧ （倘 閣下作為代理為他人利益提出申請）保證 (i) 閣下（作為代理或為該人士利益）或該人士 閣下（作為代理或為該人士利益）或該人士 或任何其他作為該人士代理的人士並無亦不會 以 白色 或 黃色 申請表格或向香港結算發出電子 認購指示提出其他申請；及(ii) 閣下獲正式授(ii) 閣下獲正式授 閣下獲正式授 權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。

若 閣下未獲分配任何香港發售股份或申請僅部分 獲接納，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%證監會交易徵費1%經紀佣金、0.0027%證監會交易徵費經紀佣金、0.0027%證監會交易徵費0.0027%證監會交易徵費證監會交易徵費 及0.005%聯交所交易費）。如發售價低於最高發售0.005%聯交所交易費）。如發售價低於最高發售聯交所交易費）。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）。

釐定發售價及香港發售股份的分配

預期發售價於 2015 年 12 月 22 日（星期二）或前後釐 定。申請人須繳付每股香港發售股份9.28港元的最 高發售價，另加1%經紀佣金、0.0027%證監會交易 徵費及0.005%聯交所交易費。倘若本公司與聯席全 球協調人（代表香港包銷商）並無於2015年12月27日

有關退款程序載於招股章程「如何申請香港發售股 份」一節「14.發送╱領取H股股票及退回股款」一段。

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

Personal Data

Personal Information Collection Statement

• This Personal Information Collection Statement informs 3. Transfer of personal data the applicant for, and holder of, Hong Kong Offer Shares, Personal data held by the Company and its H Share of the policies and practices of the Company and its Registrar relating to the securities holders will be H Share Registrar in relation to personal data and the kept confidential but the Company and its H Share Personal Data (Privacy) Ordinance (Chapter 486 of the Registrar may, to the extent necessary for achieving Laws of Hong Kong) (the “Ordinance”). any of the above purposes, disclose, obtain or transfer (whether within or outside Hong Kong) the personal

• 1. Reasons for the collection of your personal data data to, from or with any of the following:

• It is necessary for applicants and registered holders • the Company’s appointed agents such as of securities to supply correct personal data to the financial advisers, receiving bankers and Company or its agents and the H Share Registrar overseas principal share registrar;

• when applying for securities or transferring securities • where applicants for securities request a deposit

• into or out of their names or in procuring the services into CCASS, HKSCC or HKSCC Nominees,

• of the H Share Registrar. who will use the personal data for the purposes

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

• your application for securities being rejected, or in • any agents, contractors or third-party

• delay or the inability of the Company or its H Share service providers who offer administrative,

• Registrar to effect transfers or otherwise render their services. It may also prevent or delay registration or telecommunications, computer, payment or transfers of the Hong Kong Offer Shares which you other services to the Company or the H Share have successfully applied for and/or the dispatch of Registrar in connection with their respective share certificate(s) and/or refund cheque(s) to which business operation; you are entitled. • the Stock Exchange, the SFC and any other It is important that securities holders inform the statutory regulatory or governmental bodies Company and the H Share Registrar immediately of any or otherwise as required by laws, rules or inaccuracies in the personal data supplied. regulations; and • any persons or institutions with which the

• 2. Purposes securities’ holders have or propose to have The personal data of the securities holders may be dealings, such as their bankers, solicitors, used, held, processed, and/or stored (by whatever accountants or stockbrokers etc. means) for the following purposes: • processing your application and refund cheque, 4. Retention of personal data where applicable, verification of compliance The Company and its H Share Registrar will keep

• with the terms and application procedures set the personal data of the applicants and holders

• out in this Application Form and the Prospectus of securities for as long as necessary to fulfil the

• and announcing results of allocation of the Hong purposes for which the personal data were collected.

• Kong Offer Shares;

• • compliance with applicable laws and regulations Personal data which is no longer required will be destroyed or dealt with in accordance with the

• in Hong Kong and elsewhere; 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;

• • maintaining or updating the register of securities’ Securities holders have the right to ascertain whether holders of the Company; the Company or the H Share Registrar hold their

• • verifying securities holders’ identities; personal data, to obtain a copy of that data, and to • establishing benefit entitlements of securities’ correct any data that is inaccurate. The Company holders of the Company, such as dividends, and the H Share Registrar have the right to charge a rights issues and bonus issues, etc.; reasonable fee for the processing of such requests.

• • distributing communications from the Company All requests for access to data or correction of data and its subsidiaries; should be addressed to us, at our registered address

• • compiling statistical information and securities’ disclosed in the “Corporate Information” section of holders profiles; the Prospectus or as notified from time to time, for

• • disclosing identities of successful applicants by the attention of the company secretary, or our H Share way of press announcement(s) or otherwise; Registrar for the attention of the privacy compliance

• • disclosing relevant information to facilitate officer. claims on entitlements; and

2. Purposes The personal data of the securities holders may be used, held, processed, and/or stored (by whatever

• 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

個人資料收集聲明

3. 轉交個人資料

• 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H股證券登記H股證券登記股證券登記 處有關個人資料和香港法例第486章《個人資料486章《個人資料章《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。

• 請人和持有人說明有關本公司及其H股證券登記H股證券登記股證券登記 本公司及其H股證券登記處所持有關證券持 處有關個人資料和香港法例第486章《個人資料486章《個人資料章《個人資料 有人的個人資料將會保密，但本公司及其H

• （私隱）條例》（「《條例》」）方面的政策和慣例。（「《條例》」）方面的政策和慣例。 股證券登記處可以在為達到上述任何目的 之必要情況下，向下列任何人士披露、獲取

• 1. 收集 閣下個人資料的原因 或轉交（無論在香港境內或境外）有關個人 證券申請人及登記持有人以本身名義申請證 資料： 券或轉讓或受讓證券時或尋求H股證券登記 ‧ 本公司委任的代理人，例如財務顧問、 處的服務時，必須向本公司或其代理人及H 收款銀行和主要海外股份過戶登記處； ‧

• 股證券登記處提供準確個人資料。 （如證券申請人要求將證券存於中央結 未能提供所要求的資料可能導致 閣下申 算系統）香港結算或香港結算代理人； 請證券被拒或延遲，或本公司或其H股證券 彼等將會就中央結算系統的運作使用有 登記處無法落實轉讓或提供服務。此舉也 關個人資料； 可能妨礙或延遲登記或轉讓 閣下成功申 ‧ 向本公司或H股證券登記處提供與其各 請的香港發售股份及╱或寄發 閣下應得 自業務營運有關的行政、電訊、電腦、 的股票及╱或退款支票。 付款或其他服務的任何代理人、承包商 證券持有人所提供的個人資料如有任何錯 或第三方服務供應商； 誤，須立即通知本公司及H股證券登記處。 ‧ 聯交所、證監會及任何其他法定監管機 關或政府部門或法例、規則或法規所規

• 2. 目的 定的其他機構；及 ‧

• 證券持有人的個人資料可作以下目的被採 證券持有人與其進行或擬進行交易的 用及以任何方式持有、處理及╱或保存： 任何人士或機構，例如彼等的銀行、律 ‧ 處理 閣下的申請及退款支票（如適 師、會計師或股票經紀等。 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公佈香 4. 個人資料的保留 港發售股份的分配結果； 本公司及其H股證券登記處將按收集個人資

• ‧ 遵守香港及其他地區的適用法律及 料所需的用途保留證券申請人及持有人的 法規； 個人資料。無需保留的個人資料將會根據

• ‧ 以證券持有人（包括香港結算代理人（如 條例銷毀或處理。 適用））的名義登記新發行證券或轉讓或 受讓證券； 5. 查閱和更正個人資料

• ‧ 存置或更新本公司證券持有人的名冊； 證券持有人有權確定本公司或H股證券登記 ‧ 核實證券持有人的身份； 處是否持有其個人資料，並有權索取有關 ‧ 確定本公司證券持有人的受益權利，例 該資料的副本並更正任何不準確資料。本 如股息、供股和紅股等； 公司和H股證券登記處有權就處理任何查閱

• ‧ 分發本公司及其附屬公司的通訊； 資料的要求收取合理費用。 ‧ 編製統計數據和證券持有人資料； 所有查閱資料或更正資料的要求應按招股 ‧ 透過報章公佈或其他方式披露成功申請 章程「公司資料」一節所披露或不時通知的 人士的身份； 本公司註冊地址送交公司秘書，或向本公

• ‧ 披露有關資料以便就權益索償；及 司的H股證券登記處的個人資料私隱事務主 ‧ 與上述有關的任何其他附帶或相關目的 任提出。 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 閣下簽署申請表格或向香港結算發出電子認購 責任及╱或證券持有人不時同意的任何 指示，即表示同意上述各項。 其他目的。