FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20210826E00315
1.
Date of relevant event
:
23/08/2021
(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
:
389,006,218
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
1013
You first acquire a notifiable interest because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2502
Approved lending agent
454,962
HKD
Short position
14014
You came to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares increased because:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you are under an obligation to pay another person an amount if the price of the underlying shares is above a certain level
2201
Interest of corporation controlled by you
57,500
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
19,136,952
4.91
Short position
6,877,419
1.76
Lending Pool
11,795,276
3.03
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
19,591,914
5.03
Short position
6,934,919
1.78
Lending Pool
12,201,738
3.13
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2106
Person having a security interest in shares
Long position
200
Short position
0
2201
Interest of corporation controlled by you
Long position
7,389,976
Short position
6,934,919
2502
Approved lending agent
Long position
12,201,738
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4103
Listed derivatives - Convertible instruments
Long position
3,579,938
Short position
3,579,938
4105
Unlisted derivatives - Physically settled
Long position
51,720
Short position
51,720
4106
Unlisted derivatives - Cash settled
Long position
0
Short position
94,936
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
12,442,354
Short position
51,720
Citibank, N.A.
701 East 60th Street North, Sioux Falls, SD 57104, USA
Citicorp LLC
100.00
Y
Long position
12,436,244
Short position
51,720
Citigroup Global Markets Holdings Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Inc.
100.00
N
Long position
7,073,242
Short position
6,883,199
Citigroup Financial Products Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Global Markets Holdings Inc.
100.00
N
Long position
7,073,242
Short position
6,883,199
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
37,000
Short position
0
Citigroup Global Markets Switzerland Holding GmbH
Baarerstrasse 14-16, 6300 Zug, Switzerland
Citigroup Global Markets Europe Finance Limited
100.00
N
Long position
37,000
Short position
0
Citigroup Global Markets (International) Finance GmbH
Hardstrasse 201, Hofstrasse, Zurich CH-8005, Switzerland
Citigroup Global Markets Europe Finance Limited
100.00
N
Long position
37,000
Short position
0
Citigroup Global Markets Overseas Finance Limited
Citi Tower, One Bay East, 83 Hoi Bun Road, Kwun Tong, Kowloon, Hong Kong, Hong Kong
Citigroup Global Markets (International) Finance GmbH
51.86
N
Long position
37,000
Short position
0
Citigroup Global Markets Overseas Finance Limited
Citi Tower, One Bay East, 83 Hoi Bun Road, Kwun Tong, Kowloon, Hong Kong, Hong Kong
Citigroup Global Markets Switzerland Holding GmbH
48.14
N
Long position
37,000
Short position
0
Citigroup Global Markets Hong Kong Holdings Limited
50/F, Champion Tower, Three Garden Road, Central, 3 Garden Road,Central, Hong Kong, Hong Kong, Hong Kong
Citigroup Global Markets Overseas Finance Limited
100.00
N
Long position
37,000
Short position
0
Citigroup Global Markets Asia Limited
50/F, Champion Tower, Three Garden Road, Central, 3 Garden Road,Central, Hong Kong, Hong Kong, Hong Kong
Citigroup Global Markets Hong Kong Holdings Limited
100.00
Y
Long position
37,000
Short position
0
Citigroup Global Markets Hong Kong Limited
50/F, Champion Tower, Three Garden Road, Central, Hong Kong
Citigroup Financial Products Inc.
100.00
Y
Long position
597
Short position
0
Citigroup Global Markets Inc.
388 Greenwich Street, New York, NY 10013, USA
Citigroup Financial Products Inc.
100.00
Y
Long position
0
Short position
80,394
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Financial Products Inc.
90.00
N
Long position
7,035,645
Short position
6,802,805
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
7,035,645
Short position
6,802,805
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
76,318
Short position
0
Citibank (Switzerland) AG
Hardstrasse 201, Zurich, 8005, Switzerland
Citicorp Banking Corporation
100.00
Y
Long position
76,318
Short position
0
Citibank, N.A.
701 East 60th Street North, Sioux Falls, SD 57104, USA
Citicorp LLC
100.00
N
Long position
6,110
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
2,584
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
2,584
Short position
0
Citi Overseas Holdings Bahamas Limited
14 University Drive, N-1576, Nassau, Bahamas
Citi Investments Bahamas Ltd.
100.00
N
Long position
2,584
Short position
0
Citibank Holdings Ireland Limited
1 North Wall Quay, Dublin, Ireland
Citi Overseas Holdings Bahamas Limited
100.00
N
Long position
2,584
Short position
0
Citibank Europe plc
1 North Wall Quay, Dublin, Ireland
Citibank Holdings Ireland Limited
100.00
Y
Long position
2,584
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
820
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
2,706
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
:
Percentage level of Citigroup Inc.'s interest in the shares held in the lending pool has increased.
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
:
26/08/2021
(dd/mm/yyyy)