FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20260714E00533 
1. Date of relevant event: 09/07/2026
(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: 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:  
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
Short position 
1502You ceased to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares decreased because:
you returned the shares borrowed under a securities borrowing and lending agreement
 
2201Interest of corporation controlled by you
 
 		 770,200           
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position141,791,5398.25
Short position86,245,1165.02
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position141,791,5398.25
Short position85,474,9164.97
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2201Interest of corporation controlled by you
Long position141,791,539
Short position85,474,916

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
4103Listed derivatives - Convertible instruments
Long position108,071,504
Short position60,727,607
4105Unlisted derivatives - Physically settled
Long position463,544
Short position1,709,362
4106Unlisted derivatives - Cash settled
Long position1,623,894
Short position1,147,058
22. Further information in relation to interests of corporations controlled by substantial shareholder:
Name of controlled corporationAddress and place of incorporationName of controlling person% controlDirect interest (Y/N)Number of shares
UBS Asset Management (Americas) LLCCorporation Service Company, 251 Little Falls Drive, Wilmington, Delaware, USA, 19808UBS Group AG100.00Y
Long position33,200
Short position0
UBS Asset Management (Hong Kong) Ltd45, 47-52 Floors Two International Finance Centre 8 Finance Street Central, Hong Kong, 000000UBS Group AG100.00Y
Long position40,000
Short position0
UBS Asset Management (Australia) LtdLevel 16, Chifley Tower, 2 Chifley Square, Sydney, Australia, NSW 2000UBS Group AG100.00Y
Long position84,300
Short position0
UBS Asset Management (Europe) S.A.33A avenue J.F. Kennedy, Luxembourg, 1855UBS Group AG100.00Y
Long position31,960,469
Short position0
UBS Fund Management (Switzerland) AGAeschenvorstadt 1, Basel, Switzerland, 4051UBS Group AG100.00Y
Long position5,975,637
Short position0
UBS Asset Management (UK) Limited5 Broadgate, London, United Kingdom, EC2M 2QSUBS Group AG100.00Y
Long position358,800
Short position0
UBS Asset Management Life Ltd5 Broadgate, London, United Kingdom, EC2M 2QSUBS Group AG100.00Y
Long position51,037
Short position0
UBS AGBahnhofstrasse 45, Zürich, Switzerland, 8001UBS Group AG100.00Y
Long position100,056,722
Short position85,474,916
UBS Switzerland AGBahnhofstrasse 45, Zürich, Switzerland, 8001UBS Group AG100.00Y
Long position2,129,851
Short position0
UBS Europe SEBockenheimer Landstrasse 2-4 OpernTurm, Frankfurt am Main Germany, 60306UBS Group AG100.00Y
Long position1,000,000
Short position0
UBS Asset Management Switzerland AGBahnhofstrasse 45, Zürich, Switzerland, CH-8001UBS Group AG100.00Y
Long position101,523
Short position0

23. Further information in relation to interests held by substantial shareholder jointly with another person:
Name of joint shareholderAddressNumber of shares
 
24. Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust:
Names of trustAddressStatus codeNumber of shares
  
25. Further information from a party to an agreement under Section 317 (Please see Notes for further information required):
Names of other partiesAddressNumber 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:
NamesAddressRelationship CodePercentage (%)
  
 
27. Supplementary information:
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: 14/07/2026
(dd/mm/yyyy)