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Form Serial Number: |
DA20220720E00475
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| 1.
Date of relevant event: |
08/06/2022
(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: |
01821 |
| 4.
Name of listed corporation: |
ESR Cayman Ltd. |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
4,455,771,666 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Shen |
| (Other names) |
Jinchu |
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|
| 10.
Name of director (Chinese): |
沈晉初 |
| 11.
Chinese Character Code as printed on HKID Card: |
308825160443 |
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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 |
| 11031 | The number of shares in which you are interested has increased because:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you have a right to take the underlying shares |
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1,171,500 |
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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 | 319,658,645 | 7.17 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 320,830,145 | 7.20 |
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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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| 2201 | Interest of corporation controlled by you |
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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 |
| 08/06/2022 | 08/06/2023 | | | HKD | 22.780 | | | 192,000 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 01/04/2023 | 01/04/2026 | | | | | | | 979,500 |
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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 |
| Rosy Fortune Limited | Tricor Services (BVI) Limited, P.O. Box 3340, Road Town, Tortola, British Virgin Islands | Jinchu Shen | 100.00 | N | | Short position | 319,658,645 |
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| Laurels Capital Investments Limited | P.O. Box 3340, Road Town, Tortola, British Virgin Islands | Rosy Fortune Limited | 100.00 | Y | | Short position | 319,658,645 |
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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 |
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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: |
Box 28: The Company granted 979,500 Shares underlying the performance share units to Mr. Shen pursuant to the Long Term Incentive Scheme adopted by the Company on April 20, 2021. For the details please refer to the announcement dated June 8, 2022.
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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: |
20/07/2022
(dd/mm/yyyy)
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