FORM 2 - Corporate Substantial Shareholder Notice
 
Form Serial Number: CS20260729E00438 
1. Date of relevant event: 27/07/2026
(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: 03958
4. Name of listed corporation: 东方证券股份有限公司 - H股 
5. Class of shares: A Shares 
6. Number of issued shares in class: 7,469,482,864
7. Name of substantial shareholder: 國泰海通證券股份有限公司 
8. Registered office: 中國（上海）自由貿易試驗區商城路618號，郵政編碼200120
9. Principal place of business in Hong Kong: 香港灣仔皇后大道東248號大新金融中心40樓 
15. Exchange on which listed: 上海交易所及香港交易所
16. Name of listed parent and exchange on which parent is listed: 無 
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
1001You first acquire a notifiable interest because:
you purchased the shares
2101Beneficial owner
 457,481,668 CNY
Short position 
 
 
 		            
18. Total shares immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position49,846,2710.67
19. Total shares immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position507,327,9396.79
20. Capacity in which interests disclosed in Box 19 are held:
Capacity codeNumber of shares
2101Beneficial owner
Long position458,751,408
2201Interest of corporation controlled by you
Long position48,576,531

21. Further information in respect of derivative interests:
Derivatives codeNumber of shares
  
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
華安基金管理有限公司中國（上海）自由貿易試驗區臨港新片區環湖西二路888號B樓2118室國泰海通證券股份有限公司51.00Y
Long position8,974,188
Short position0
海富通基金管理有限公司中國（上海）自由貿易試驗區陸家嘴環路479號18層1802-1803室以及19層1901-1908室國泰海通證券股份有限公司51.00Y
Long position39,468,015
Short position0
國泰海通金融控股有限公司香港皇后大道中181號新紀元廣場低座27樓國泰海通證券股份有限公司100.00N
Long position134,328
Short position0
国泰君安国际控股有限公司香港皇后大道中181號新紀元廣場低座27樓國泰海通金融控股有限公司73.92N
Long position134,328
Short position0
國泰君安金融產品有限公司香港皇后大道中181號新紀元廣場低座27樓国泰君安国际控股有限公司100.00Y
Long position134,328
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: 于2026年7月27日，國泰海通證券股份有限公司（“本公司”）及各其他賣方與東方證券股份有限公司（“東方證券”）簽署《發行股份及支付現金購買資産協議》，據此，東方證券擬以發行代價A股股份及支付現金代價的方式收購本公司及其他賣方合計持有的上海證券有限責任公司（“上海證券”）100%股權。其中，東方證券擬向本公司發行457,481,668股代價A股股份收購本公司持有的上海證券18.7400%股權，並支付現金代價人民幣1,570,000.0千元收購本公司持有的餘下上海證券 6.2500% 股權。 代價A股股份發行完成後，本公司將持有東方證券經擴大後A股發行股份總數（不包括任何東方證券庫存A股）的約4.27%。詳情請見本公司、東方證券日期爲2026年7月27日的公告。
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: 29/07/2026
(dd/mm/yyyy)