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Form Serial Number: |
DA20200109E00457
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| 1.
Date of relevant event: |
28/12/2019
(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: |
01801 |
| 4.
Name of listed corporation: |
Innovent Biologics, Inc. - B |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,262,562,210 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Yu |
| (Other names) |
De-Chao Michael |
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| 10.
Name of director (Chinese): |
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| 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 |
| 1711 | Miscellaneous
Other (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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371,747 |
HKD |
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| Short position |
| 1403 | You came to have a short position in the shares or the number of shares in which you have a short position increased because:
any other event (you must briefly describe the relevant event in the Supplementary Information box) |
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371,747 |
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| 25.
Total shares in listed corporation immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 131,683,843 | 10.43 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 131,683,843 | 10.43 |
| Short position | 371,747 | 0.03 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| | Long position | 116,183,843 | | Short position | 371,747 |
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| 2201 | Interest of corporation controlled by you |
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| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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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 |
| | | HKD | 0 | | | | | 6,901,796 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 15/03/2019 | 15/03/2029 | HKD | 1.00 | HKD | 28.300 | | | 4,142,857 |
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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 |
| Great Biono Fortune LP | P.O. Box 2075, #31 The Strand, 46 Canal Point Drive, Grand Cayman, KY1-1105, Cayman Islands | Great Biono Fortune Limited | 0.00 | Y | |
| Great Biono Fortune Limited | P.O. Box 2075, #31 The Strand, 46 Canal Point Drive, Grand Cayman, KY1-1105, Cayman Islands | De-Chao Michael Yu | 100.00 | N | |
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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 |
| Yu Tong Family Irrevocable Trust | 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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| 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: |
In Box 24, the relevant event refers to a donation agreement entered into by De-Chao Michael Yu, pursuant to which he agreed to sell HK$10,000,000 worth of his shares (approximately 371,747 shares based on the closing price of HK$26.90 on 27 December 2019, the closest trading day to the date of the agreement) and to transfer the proceeds remaining (after tax and relevant fees) to the beneficiary within 2 years of the date of the agreement.
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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: |
09/01/2020
(dd/mm/yyyy)
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