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Form Serial Number: |
DA20231025E00327
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| 1.
Date of relevant event: |
20/10/2023
(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: |
00665 |
| 4.
Name of listed corporation: |
海通國際證券集團有限公司 |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
8,438,024,077 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Sun |
| (Other names) |
Jianfeng |
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|
| 10.
Name of director (Chinese): |
孫劍峰 |
| 11.
Chinese Character Code as printed on HKID Card: |
132704941496 |
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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
|
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)
|
Average consideration (per share)
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Consideration code
|
| Long position |
| 1102 | The number of shares in which you are interested has increased because:
you were given the shares |
|
|
|
146,001 |
HKD |
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|
0.0000 |
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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 | 7,026,299 | 0.08 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 7,026,299 | 0.08 |
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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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| 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 |
| 28/05/2019 | 31/10/2023 | | | HKD | 2.614 | | | 1,333,543 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 27/12/2019 | 30/05/2024 | | | HKD | 2.304 | | | 666,770 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 25/12/2020 | 28/05/2025 | | | HKD | 1.558 | | | 665,247 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 17/02/2022 | 20/07/2026 | | | HKD | 2.163 | | | 665,246 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 03/04/2023 | 05/09/2027 | | | HKD | 0.928 | | | 403,180 |
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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 |
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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: |
根據海通國際證券集團有限公司於2014年12月19日採納的股份獎勵計劃（經不時修訂）， 孫先生獲歸屬及受讓146,001 該計劃下的獎勵股份。
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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: |
25/10/2023
(dd/mm/yyyy)
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