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Form Serial Number: |
DA20200813E00356
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| 1.
Date of relevant event: |
10/08/2020
(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: |
01672 |
| 4.
Name of listed corporation: |
Ascletis Pharma Inc. - B |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,106,336,000 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
WU |
| (Other names) |
Jinzi Jason |
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|
| 10.
Name of director (Chinese): |
吳勁梓 |
| 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 |
| 1316 | There has been a change in nature of your interest in the shares because:
any other event (you must briefly describe the relevant event in the Supplementary Information box) |
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| 2202 | Interest of your spouse |
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| 2201 | Interest of corporation controlled by you |
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44,827,414 |
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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 | 599,532,078 | 54.19 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 599,532,078 | 54.19 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| 2201 | Interest of corporation controlled by you |
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| 2103 | Interests held jointly with another person |
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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 | |
| | | | | | | | | | | |
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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 |
| Spouse | Judy Hejingdao WU | |
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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 |
| JJW12 Limited | Vistra Corporate Services Centre, Wickhams Cay II, Road Town, Tortola, VG1110, British Virgin Islands | Jinzi Jason WU | 100.00 | Y | |
| Lakemont Holding LLC | The Corporation Trust Company, Corporation Trust Center, 1209 Orange Street, Delaware, United States | Jinzi Jason WU | 43.45 | Y | |
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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 |
| Judy Hejingdao WU | Addresses of individuals are not displayed. | |
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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 |
| Lakemont Remainder 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: |
For Boxes 24, 30 and 32, on July 14, 2020, Lakemont 2018 GRAT ("GRAT") entered into an agreement with Jinzi Jason WU ("Dr. Wu"), pursuant to which GRAT transferred 29.92% interest in Lakemont Holding LLC ("Lakemont") to Dr. Wu. Such interest transfer was completed on August 10, 2020. Upon completion of the transfer, GRAT and Dr. Wu holds 56.55% and 43.45% of Lakemont, respectively. The remaining interest held by GRAT has been transferred to Lakemont Remainder 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: |
13/08/2020
(dd/mm/yyyy)
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