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Form Serial Number: |
DA20190626E00327
(Amendment to DA20190605E00212)
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| 1.
Date of relevant event: |
04/06/2019
(dd/mm/yyyy)
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| 2.
Date when director became aware of the relevant event/ interest in the shares (if later): |
(dd/mm/yyyy)
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| 3.
Stock code: |
01873 |
| 4.
Name of listed corporation: |
Viva Biotech Holdings |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,507,281,000 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Mao |
| (Other names) |
Chen Cheney |
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| 10.
Name of director (Chinese): |
毛晨 |
| 11.
Chinese Character Code as printed on HKID Card: |
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| 24.
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
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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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Consideration code
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| Long position |
| 1213 | The number of shares in which you are interested has reduced because:
any other event (you must briefly describe the relevant event in the Supplementary Information box) |
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| 2501 | Other (you must describe the capacity in the Supplementary Information box) |
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| 2501 | Other (you must describe the capacity in the Supplementary Information box) |
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481,118,527 |
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| Short position |
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| 25.
Total shares in listed corporation immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 481,118,527 | 32.07 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 481,118,527 | 31.92 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
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| 2305 | Beneficiary of a trust (other than a discretionary interest) |
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| 28.
Further information in derivative interests in listed corporation : |
| Derivatives code |
Exercise period (dd/mm/yyyy) |
Consideration - if derivatives granted by listed corporation |
Number of shares |
| | | Begins | Ends | Currency | Price for grant | Currency | Exercise price | Currency | Price on assignment | |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 01/07/2013 | 06/09/2019 | USD | 0 | USD | 0.011 | | | 17,556,437 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 02/01/2020 | 01/01/2022 | USD | 0 | USD | 0.123 | | | 2,194,555 |
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| 29.
Further information in relation to interests of children under 18 and/or spouse: |
| Child/Spouse | Name of child/spouse | Number of shares |
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| 30.
Further information in relation to interests of corporations controlled by Director: |
| 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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| 31.
Further information in relation to interests held by Director jointly with another person: |
| Name of joint shareholder | Address | Number of shares |
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| 32.
Further information from a director who is a trustee, or beneficiary of a trust, or a person who has set up a Discretionary Trust: |
| Names of Trust | Address | Status code | Number of shares |
| Mao Investment Trust | Addresses of individuals are not displayed. | | |
| Min Zhou 2018 Family Trust | Addresses of individuals are not displayed. | | 5102 | Beneficiary of a trust (other than a discretionary interest) |
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| Vivastar Trust Scheme | Addresses of individuals are not displayed. | | 5102 | Beneficiary of a trust (other than a discretionary interest) |
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| 33.
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 director is interested under sections 317 and 318 | |
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| 34.
Supplementary information: |
For Box 24, Mr. MAO's interest in Viva Biotech Holdings ("Viva") decreased by 0.15% due to the dilutive effect as a result of the partial exercise of the over-allotment option pursuant to which Viva issued 7,281,000 ordinary shares. For details, please refer to the announcement of Viva dated May 30, 2019. The information of boxes 27 and 32 have been amended.
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| 35.
Log/Serial Number of the previous form: |
DA20190605E00212
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| 36.
Number of concert party document(s) under section 317 attached/uploaded: |
0
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Date of filing this Form 3A: |
26/06/2019
(dd/mm/yyyy)
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