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Form Serial Number: |
CS20260710E00703 |
| 1.
Date of relevant event: |
07/07/2026
(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: |
06886 |
| 4.
Name of listed corporation: |
Huatai Securities Co., Ltd. - H Shares |
| 5.
Class of shares: |
H Shares |
| 6.
Number of issued shares in class: |
1,719,045,680 |
| 7.
Name of substantial shareholder: |
UBS Group AG |
| 8.
Registered office: |
BAHNHOFSTRASSE 45 8001 ZURICH SWITZERLAND |
| 9.
Principal place of business in Hong Kong: |
52/F TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG |
| 15.
Exchange on which listed: |
SIX Swiss Exchange AG |
| 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
|
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
|
After relevant event
|
Highest price (per share)
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Average price (per share)
|
Average consideration (per share)
|
Nature of consideration
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|
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) |
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| 2201 | Interest of corporation controlled by you |
|
5,216,257 |
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| Short position |
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| 18.
Total shares immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 134,491,455 | 7.82 |
| Short position | 85,758,464 | 4.99 |
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| 19.
Total shares immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 139,707,712 | 8.13 |
| Short position | 85,758,464 | 4.99 |
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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 | 139,707,712 | | Short position | 85,758,464 |
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| 21.
Further information in respect of derivative interests: |
| Derivatives code | Number of shares |
| 4103 | Listed derivatives - Convertible instruments |
| | Long position | 108,223,788 | | Short position | 62,961,109 |
|
| 4105 | Unlisted derivatives - Physically settled |
| | Long position | 463,544 | | Short position | 1,709,362 |
|
| 4106 | Unlisted derivatives - Cash settled |
| | Long position | 1,623,880 | | Short position | 1,030,858 |
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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 |
| UBS Asset Management (Americas) LLC | Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware, USA, 19808 | UBS Group AG | 100.00 | Y | | Long position | 33,200 | | Short position | 0 |
|
| UBS Asset Management (Hong Kong) Ltd | 45, 47-52 Floors Two International Finance Centre 8 Finance Street Central, Hong Kong, 000000 | UBS Group AG | 100.00 | Y | | Long position | 40,000 | | Short position | 0 |
|
| UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia, NSW 2000 | UBS Group AG | 100.00 | Y | | Long position | 84,300 | | Short position | 0 |
|
| UBS Asset Management (Europe) S.A. | 33A avenue J.F. Kennedy, Luxembourg, 1855 | UBS Group AG | 100.00 | Y | | Long position | 31,960,469 | | Short position | 0 |
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| UBS Fund Management (Switzerland) AG | Aeschenvorstadt 1, Basel, Switzerland, 4051 | UBS Group AG | 100.00 | Y | | Long position | 5,676,637 | | Short position | 0 |
|
| UBS Asset Management (UK) Limited | 5 Broadgate, London, United Kingdom, EC2M 2QS | UBS Group AG | 100.00 | Y | | Long position | 358,800 | | Short position | 0 |
|
| UBS Asset Management Life Ltd | 5 Broadgate, London, United Kingdom, EC2M 2QS | UBS Group AG | 100.00 | Y | | Long position | 51,037 | | Short position | 0 |
|
| UBS AG | Bahnhofstrasse 45, Zürich, Switzerland, 8001 | UBS Group AG | 100.00 | Y | | Long position | 97,972,895 | | Short position | 85,758,464 |
|
| UBS Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland, 8001 | UBS Group AG | 100.00 | Y | | Long position | 2,428,851 | | Short position | 0 |
|
| UBS Europe SE | Bockenheimer Landstrasse 2-4 OpernTurm, Frankfurt am Main Germany, 60306 | UBS Group AG | 100.00 | Y | | Long position | 1,000,000 | | Short position | 0 |
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| UBS Asset Management Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland, CH-8001 | UBS Group AG | 100.00 | Y | | Long position | 101,523 | | Short position | 0 |
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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 |
| | |
| 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: |
UBS borrowed shares under SBL agreement.
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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: |
10/07/2026
(dd/mm/yyyy)
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