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Form Serial Number: |
DA20220926E00414
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| 1.
Date of relevant event: |
21/09/2022
(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: |
02137 |
| 4.
Name of listed corporation: |
Brii Biosciences Ltd. - B |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
723,675,683 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Hong |
| (Other names) |
Zhi |
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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 |
| 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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2,902,000 |
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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 | 49,450,514 | 6.84 |
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| |
| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 52,352,514 | 7.23 |
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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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| 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 |
| 31/10/2020 | 18/09/2030 | USD | 0 | USD | 0.680 | | | 5,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 31/10/2020 | 18/09/2030 | USD | 0 | USD | 0.680 | | | 3,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 18/09/2020 | 18/09/2030 | USD | 0 | USD | 0.680 | | | 4,000,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 17/09/2021 | 17/09/2031 | HKD | 1 | HKD | 47.600 | | | 3,890,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 17/09/2022 | 17/09/2031 | HKD | 1 | HKD | 47.600 | | | 262,500 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 20/01/2022 | | HKD | 0 | | | | | 729,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 17/09/2022 | | HKD | 0 | | | | | 136,500 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 21/09/2023 | 21/09/2032 | HKD | 1 | HKD | 6.454 | | | 2,562,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 21/09/2023 | | HKD | 0 | | | | | 340,000 |
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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 |
| Zhi Hong 2020 Revocable Trust | Addresses of individuals are not displayed. | | |
| Jingfan Huang 2020 Revocable Trust | Addresses of individuals are not displayed. | | |
| Hong Family 2020 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 2,562,000 shares represent the number of shares to be issued upon full exercise of the options granted to Zhi Hong under the Post-IPO Share Option Scheme of the Company on September 21, 2022, and the 340,000 shares represent the indicative number of shares upon full vesting of the restricted share units granted to Zhi Hong under the Post-IPO Share Award Scheme of the Company on September 21, 2022. Details are set out in the Company's announcement dated September 21, 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: |
26/09/2022
(dd/mm/yyyy)
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