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Form Serial Number: |
CS20260814E00409 |
| 1.
Date of relevant event: |
14/08/2026
(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: |
01776 |
| 4.
Name of listed corporation: |
广发证券股份有限公司 - A股 |
| 5.
Class of shares: |
A Shares |
| 6.
Number of issued shares in class: |
5,904,049,311 |
| 7.
Name of substantial shareholder: |
辽宁成大股份有限公司 |
| 8.
Registered office: |
中国辽宁省大连市人民路71号 |
| 9.
Principal place of business in Hong Kong: |
无 |
| 15.
Exchange on which listed: |
上海证券交易所 |
| 16.
Name of listed parent and exchange on which parent is listed: |
无 |
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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 |
| 1305 | There has been a change in nature of your interest in the shares because:
you have provided an interest in the shares as security to a person other than a qualified lender |
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75,000,000 |
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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 | 1,045,154,088 | 17.70 |
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| 19.
Total shares immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 970,154,088 | 16.43 |
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| 20.
Capacity in which interests disclosed in Box 19 are held: |
| Capacity code | Number of shares |
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| 21.
Further information in respect of derivative interests: |
| Derivatives code | Number of shares |
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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 |
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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: |
2026年8月14日，辽宁成大股份有限公司（“本公司”）将持有的75,000,000股的广发证券股份有限公司的无限售流通A股股份划转至本公司与债券受托管理人中信建投证券股份有限公司开立的可交换公司债券担保及信托专用证券账户，用于本公司发行可交换公司债券换股和本息偿付提供担保。本次办理担保及信托登记的股份（包括股份信托登记期间产生的孳息），由债券受托管理人中信建投证券股份有限公司作为名义持有人，并以“辽宁成大-中信建投证券-26成大E1担保及信托财产专户”作为证券持有人登记在广发证券股份有限公司证券持有人名册上。在行使担保及信托登记的股份的表决权时，中信建投证券股份有限公司将根据本公司的意见办理。
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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: |
14/08/2026
(dd/mm/yyyy)
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