Form 4 - Listed Corporation Notice - Findings Of Investigation Report
 
Form Serial Number: IR20191206E00305 
1. Date specified in the s.329 notice for determining interests or short position in shares to be disclosed ("Specified Date"): 02/12/2019
(dd/mm/yyyy)
2. Stock code of listed corporation: 03883
3. Name of listed corporation filing this s.330/333 notice: China Aoyuan Group Ltd. 
4. Class of shares of listed corporation specified in the s.329 notice: Ordinary 
5. Threshold shareholding set in the s.329 notice for disclosure obligation (if any): 0
 
(i) PERSONS INTERESTED IN SHARES OR HAVING SHORT POSITION IN SHARES ON THE SPECIFIED DATE (EXCLUDING DERIVATIVE INTERESTS)
11. Information provided in response to the s.329 notice concerning persons interested in shares on the Specified Date (excluding derivative interests):
NameTotal number of shares
(long position)
Name of person interested in shares
Citibank, N.A. London Branch61,735,814Shares held on behalf of their clients
HSBC - Fund Services Clients Accounts11,660,950Shares held on behalf of their clients
HSBC Broking Securities (Asia) Limited401,000Shares held on behalf of their clients
JP Morgan Chase Bank London GTS Clients Account15,174,379Shares held on behalf of their clients
JPMorgan Chase Bank, National Association107,804,517Shares held on behalf of their clients
OCBC Wing Hang Bank Limited Hong Kong613,744Shares held on behalf of their clients
SEB4,918,314Shares held on behalf of their clients
Tai Fung Kuentai Securities Company Limited413,000Shares held on behalf of their clients
The Bank of New York Mellon Corporation120,824,760Shares held on behalf of their clients
The Hongkong and Shanghai Banking Corporation Limited225,015,020Shares held on behalf of their clients
UBS Securities Hong Kong Ltd1,068,922Shares held on behalf of their clients
UBS Switzerland AG1,068,922Shares held on behalf of their clients
 
12. Information provided in response to the s.329 notice concerning persons having short position in shares on the Specified Date (excluding derivative interests):
NameTotal number of shares
(short position)
Name of person having short position in shares
   
 
(ii) PERSONS INTERESTED IN SHARES ON THE SPECIFIED DATE (DERIVATIVE INTERESTS ONLY)
13. Information provided in response to the s.329 notice concerning persons interested in shares which are the underlying shares of equity derivatives on the Specified Date:
Name Total number of shares Name of person interested in shares
Long position Short position
    
 
(iii) PERSONS ACTING IN CONCERT OR SUBJECT TO AN AGREEMENT RELATING TO THE EXERCISE OF RIGHTS UNDER SHARES
14. Information of parties to an agreement to which section 317 of the SFO applies, or any agreement relating to the exercise of the rights in respect of shares, on the Specified Date:
Name of parties Total number of shares (excluding derivative interests) Total number of shares (derivative interests only) Name of person interested in shares
Long position Short position Long position Short position
      
 
15. Supplementary information:
16. Log/Serial Number of the previous form:
17. Number of investigation report(s) attached/uploaded: 1
18. Number of concert party document(s) under section 317 attached/uploaded: