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Form Serial Number: |
DA20191003E00257
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| 1.
Date of relevant event: |
30/09/2019
(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: |
03377 |
| 4.
Name of listed corporation: |
Sino-Ocean Group Holding Ltd. |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
7,616,095,657 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Li |
| (Other names) |
Ming |
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| 10.
Name of director (Chinese): |
李明 |
| 11.
Chinese Character Code as printed on HKID Card: |
26212494 |
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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 |
| 1310 | There has been a change in nature of your interest in the shares because:
you are a beneficiary under a trust and the shares have been transferred to you by a trustee |
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| 2305 | Beneficiary of a trust (other than a discretionary interest) |
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171,000 |
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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 | 242,792,378 | 3.18 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 242,792,378 | 3.18 |
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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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| 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 |
| 13/04/2017 | 12/04/2021 | HKD | 1 | HKD | 3.800 | | | 6,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 27/08/2016 | 26/08/2020 | HKD | 1 | HKD | 4.040 | | | 540,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 04/09/2019 | 03/09/2023 | HKD | 1 | HKD | 3.960 | | | 25,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 27/03/2020 | 26/03/2024 | HKD | 1 | HKD | 3.370 | | | 50,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 31/03/2018 | 31/03/2020 | HKD | 0 | | | | | 342,000 |
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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 |
| The Sunrise Settlement | Addresses of individuals are not displayed. | | 5103 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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| SOL Executive Trust (Plan A) (Note) | 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: |
Note: SOL Executive Trust (Plan A) is a discretionary trust.
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| 35.
Log/Serial Number of the previous form: |
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| 36.
Number of concert party document(s) under section 317 attached/uploaded: |
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Date of filing this Form 3A: |
03/10/2019
(dd/mm/yyyy)
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