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Form Serial Number: |
CS20210322E00175 |
1.
Date of relevant event: |
18/03/2021 (dd/mm/yyyy)
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2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): |
(dd/mm/yyyy)
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3.
Stock code: |
02208 |
4.
Name of listed corporation: |
Xinjiang Goldwind Science & Technology Co., Ltd. - H Shares |
5.
Class of shares: |
Ordinary Shares |
6.
Number of issued shares in class: |
773,572,399 |
7.
Name of substantial shareholder: |
Bank of America Corporation |
8.
Registered office: |
Bank of America Corporate Center, 100 North Tryon Street, Charlotte, NC 28255, United States |
9.
Principal place of business in Hong Kong: |
19/F, Kowloon Commerce Centre, 51 Kwai Cheong Road, Kwai Chung, Hong Kong |
15.
Exchange on which listed: |
New York Stock Exchange |
16.
Name of listed parent and exchange on which parent is listed: |
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17.
Details of relevant event: |
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Brief description of relevant event
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Capacity in which shares were/are held
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Number of shares bought/sold or involved |
Currency of transaction |
On Exchange
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Off Exchange
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Before relevant event
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After relevant event
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Highest price (per share)
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Average price (per share)
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Average consideration (per share)
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Nature of consideration
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Long position |
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Short position |
1205 | The percentage level of your interest in the shares has reduced because: you ceased to have a security interest in the shares | |
2201 | Interest of corporation controlled by you | |
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1,927,204 |
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18.
Total shares immediately before the relevant event: |
| Total number of shares | Percentage figure (%) |
Long position | 65,165,805 | 8.42 |
Short position | 63,386,245 | 8.19 |
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19.
Total shares immediately after the relevant event: |
| Total number of shares | Percentage figure (%) |
Long position | 63,287,801 | 8.18 |
Short position | 61,459,041 | 7.94 |
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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 | 63,287,801 | Short position | 61,459,041 |
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21.
Further information in respect of derivative interests: |
Derivatives code | Number of shares |
4106 | Unlisted derivatives - Cash settled |
| Long position | 28,402,600 | Short position | 364,000 |
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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 |
NB Holdings Corporation | The Corporation Trust Company, Corporation Trust Center, 1209 Orange Street, Wilmington DE 19801, United States. Incorporated in: United States | Bank of America Corporation | 100.00 | N | Long position | 63,287,801 | Short position | 61,459,041 |
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BofAML Jersey Holdings Limited | Level 1, IFC1, The Esplanade, St Helier, JE2 3BX, Jersey. Incorporated in: Jersey | NB Holdings Corporation | 100.00 | N | Long position | 49,366,022 | Short position | 47,537,450 |
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BofAML EMEA Holdings 2 Limited | Level 1, IFC1, The Esplanade, St Helier, JE2 3BX, Jersey. Incorporated in: Jersey | BofAML Jersey Holdings Limited | 100.00 | N | Long position | 49,366,022 | Short position | 47,537,450 |
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ML UK Capital Holdings Limited | 2 King Edward Street, London, England, EC1A 1HQ, United Kingdom. Incorporated in: United Kingdom | BofAML EMEA Holdings 2 Limited | 80.10 | N | Long position | 49,366,022 | Short position | 47,537,450 |
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Merrill Lynch International | 2 King Edward Street, London, England, EC1A 1HQ, United Kingdom. Incorporated in: United Kingdom | ML UK Capital Holdings Limited | 100.00 | Y | Long position | 49,366,022 | Short position | 47,537,450 |
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BofA Securities Europe SA | 49-51 Rue La Boetie, PARIS, France. Incorporated in: France | NB Holdings Corporation | 99.90 | Y | Long position | 188 | Short position | 0 |
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BofA Securities, Inc. | One Bryant Park, New York NY 10036, United States. Incorporated in: United States | NB Holdings Corporation | 100.00 | Y | Long position | 13,921,591 | Short position | 13,921,591 |
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23.
Further information in relation to interests held by substantial shareholder jointly with another person: |
Name of joint shareholder | Address | Number of shares |
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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 |
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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 |
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Total number of shares in which a substantial shareholder is interested under sections 317 and 318 | |
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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 (%) |
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27.
Supplementary information: |
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28.
Log/Serial Number of the previous form: |
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29.
Number of concert party document(s) under section 317 attached/uploaded: |
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Date of filing this Form 2: |
22/03/2021 (dd/mm/yyyy)
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