| |
|
Form Serial Number: |
DA20220118E00429
|
| 1.
Date of relevant event: |
13/01/2022
(dd/mm/yyyy)
|
| 2.
Date when director became aware of the relevant event/ interest in the shares (if later): |
13/01/2022
(dd/mm/yyyy)
|
| 3.
Stock code: |
02616 |
| 4.
Name of listed corporation: |
CStone Pharmaceuticals - B |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,187,774,437 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Jiang |
| (Other names) |
Frank Ningjun |
|
|
|
| 10.
Name of director (Chinese): |
|
| 11.
Chinese Character Code as printed on HKID Card: |
|
| |
| 24.
Details of relevant event: |
|
|
Brief description of relevant event
|
Capacity in which shares were/are held
|
Number of shares bought/sold or involved
|
Currency of transaction |
On Exchange
|
Off Exchange
|
|
Before relevant event
|
After relevant event
|
Highest price (per share)
|
Average price (per share)
|
Average consideration (per share)
|
Consideration code
|
| Long position |
| 1201 | The number of shares in which you are interested has reduced because:
you completed a sale of the shares |
|
| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
|
|
628,000 |
HKD |
7.7200 |
7.5258 |
|
|
| Short position |
|
|
|
|
|
|
|
|
|
| |
|
| 25.
Total shares in listed corporation immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 93,746,808 | 7.89 |
|
| |
| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 93,118,808 | 7.84 |
|
| |
| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| |
| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
| |
|
| |
| 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 | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 01/07/2017 | 01/07/2030 | HKD | 1.00 | USD | 0.025 | | | 2,803,336 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 01/07/2017 | 01/07/2030 | HKD | 1.00 | USD | 0.050 | | | 5,750,000 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 16/01/2020 | 16/01/2033 | HKD | 1.00 | | | | | 6,078,902 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2020 | 15/07/2030 | HKD | 1.00 | HKD | 10.690 | | | 4,048,042 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2021 | 15/07/2031 | HKD | 1.00 | HKD | 10.690 | | | 8,096,084 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2022 | 15/07/2032 | HKD | 1.00 | HKD | 10.690 | | | 8,096,084 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2023 | 15/07/2033 | HKD | 1.00 | HKD | 10.690 | | | 16,192,169 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2020 | 15/07/2030 | HKD | 1.00 | | | | | 412,304 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2021 | 15/07/2031 | HKD | 1.00 | | | | | 654,286 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2022 | 15/07/2032 | HKD | 1.00 | | | | | 0 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 15/07/2023 | 15/07/2033 | HKD | 1.00 | | | | | 0 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 09/11/2020 | 09/11/2022 | HKD | 1.00 | | | | | 500,000 |
|
| |
| 29.
Further information in relation to interests of children under 18 and/or spouse: |
| Child/Spouse | Name of child/spouse | Number of shares |
| Spouse | Yanni Xiao | |
|
| |
| 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 |
| | | | | |
|
| |
| 31.
Further information in relation to interests held by Director jointly with another person: |
| Name of joint shareholder | Address | Number of shares |
| | |
|
| |
| 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 |
| JIANG IRREVOCABLE GIFTING TRUST FBO: YANNI XIAO, Dated November 21, 2018, | Addresses of individuals are not displayed. | | 5103 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
| |
|
| |
| 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 |
| | |
| Total number of shares in which a director is interested under sections 317 and 318 | |
|
| |
| 34.
Supplementary information: |
Under the Pre-IPO Share Incentivization Plan, an aggregate of 628,000 RSUs were disposed and settled solely for the purpose of satisfying applicable tax obligation for the exercise.
|
| 35.
Log/Serial Number of the previous form: |
|
| 36.
Number of concert party document(s) under section 317 attached/uploaded: |
|
|
Date of filing this Form 3A: |
18/01/2022
(dd/mm/yyyy)
|
| |