FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20210108E00456
1.
Date of relevant event
:
05/01/2021
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
(dd/mm/yyyy)
3.
Stock code
:
02359
4.
Name of listed corporation
:
WuXi AppTec Co., Ltd. - H Shares
5.
Class of shares
:
H Shares
6.
Number of issued shares in class
:
306,924,384
7.
Name of substantial shareholder
:
Citigroup Inc.
8.
Registered office
:
388 Greenwich Street, New York, 10013, USA
9.
Principal place of business in Hong Kong
:
50/F, Champion Tower, 3 Garden Road, Central, Hong Kong
15.
Exchange on which listed
:
NYSE
16.
Name of listed parent and exchange on which parent is listed
:
17.
Details of relevant event
:
Brief description of relevant event
Capacity in which shares were/are held
Number of shares bought/sold or involved
Currency of transaction
On Exchange
Off Exchange
Before relevant event
After relevant event
Highest price (per share)
Average price (per share)
Average consideration (per share)
Nature of consideration
Long position
1113
The percentage level of your interest in the shares has increased because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
427,358
HKD
Short position
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
18,228,737
5.93
Short position
7,171,103
2.33
Lending Pool
10,938,196
3.56
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
18,656,095
6.07
Short position
7,808,569
2.54
Lending Pool
10,928,254
3.56
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2201
Interest of corporation controlled by you
Long position
7,727,841
Short position
7,808,569
2502
Approved lending agent
Long position
10,928,254
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4103
Listed derivatives - Convertible instruments
Long position
2,691,578
Short position
2,691,578
4106
Unlisted derivatives - Cash settled
Long position
14,940
Short position
780
22.
Further information in relation to interests of corporations controlled by substantial shareholder
:
Name of controlled corporation
Address and place of incorporation
Name of controlling person
% control
Direct interest (Y/N)
Number of shares
Citicorp LLC
388 Greenwich Street, New York, NY 10013, USA
Citigroup Inc.
100.00
N
Long position
11,086,838
Short position
0
Citibank, N.A.
701 East 60th Street North, Sioux Falls, SD 57104, USA
Citicorp LLC
100.00
Y
Long position
11,077,098
Short position
0
Citigroup Global Markets Holdings Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Inc.
100.00
N
Long position
7,550,463
Short position
7,808,569
Citigroup Financial Products Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Global Markets Holdings Inc.
100.00
N
Long position
7,550,463
Short position
7,808,569
Citigroup Global Markets Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Financial Products Inc.
100.00
Y
Long position
213,137
Short position
1,770,498
Citigroup Global Markets Europe Finance Limited
Citigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, England
Citigroup Financial Products Inc.
100.00
N
Long position
7,337,326
Short position
6,038,071
Citigroup Global Markets (International) Finance GmbH
Hardstrasse 201, Hofstrasse, Zurich CH-8005, Switzerland
Citigroup Global Markets Europe Finance Limited
100.00
N
Long position
7,337,326
Short position
6,038,071
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Global Markets (International) Finance GmbH
50.21
N
Long position
7,337,326
Short position
6,038,071
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Financial Products Inc.
49.62
N
Long position
7,337,326
Short position
6,038,071
Citigroup Global Markets Limited
Citigroup Centre, Canada Square, Canary Wharf, London E14 5LB, England
Citigroup Global Markets Holdings Bahamas Limited
100.00
Y
Long position
7,337,326
Short position
6,038,071
Citicorp Banking Corporation
New Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USA
Citigroup Inc.
100.00
N
Long position
18,794
Short position
0
Citibank (Switzerland) AG
Hardstrasse 201, Zurich, 8005, Switzerland
Citicorp Banking Corporation
100.00
Y
Long position
18,794
Short position
0
Citibank, N.A.
701 East 60th Street North, Sioux Falls, SD 57104, USA
Citicorp LLC
100.00
N
Long position
9,740
Short position
0
Citibank Overseas Investment Corporation
New Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USA
Citibank, N.A.
100.00
N
Long position
4,740
Short position
0
Citi Investments Bahamas Ltd.
14 University Drive, P.O. Box N-1576, Nassau, Bahamas
Citibank Overseas Investment Corporation
100.00
N
Long position
4,740
Short position
0
Citi Overseas Holdings Bahamas Limited
14 University Drive, N-1576, Nassau, Bahamas
Citi Investments Bahamas Ltd.
100.00
N
Long position
4,740
Short position
0
Citibank Holdings Ireland Limited
1 North Wall Quay, Dublin, Ireland
Citi Overseas Holdings Bahamas Limited
100.00
N
Long position
4,740
Short position
0
Citibank Europe plc
1 North Wall Quay, Dublin, Ireland
Citibank Holdings Ireland Limited
100.00
Y
Long position
4,740
Short position
0
Citicorp Trust Delaware, National Association
20 Montchanin Road, Suite 180, Greenville, DE 19807, USA
Citibank, N.A.
100.00
Y
Long position
500
Short position
0
Citicorp Trust South Dakota
701 East 60th Street North, Sioux Falls, SD 57104, USA
Citibank, N.A.
100.00
Y
Long position
4,500
Short position
0
23.
Further information in relation to interests held by substantial shareholder jointly with another person
:
Name of joint shareholder
Address
Number of shares
24.
Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust
:
Names of trust
Address
Status code
Number of shares
25.
Further information from a party to an agreement under Section 317 (Please see Notes for further information required)
:
Names of other parties
Address
Number of shares
Total number of shares in which a substantial shareholder is interested under sections 317 and 318
26.
Details of person(s) in accordance with whose directions the substantial shareholder or its directors are accustomed to act
:
Names
Address
Relationship Code
Percentage (%)
27.
Supplementary information
:
Citigroup Inc. has borrowed the shares under securities borrowing and lending agreement.
28.
Log/Serial Number of the previous form
:
29.
Number of concert party document(s) under section 317 attached/uploaded
:
Date of filing this Form 2
:
08/01/2021
(dd/mm/yyyy)