表格 4 - 上市法團通知 - 調查報告的結果
 
表格序號: IR20220812E00115 
1. 第329條通知內就決定將予披露的股份的權益或淡倉而指明的日期（“指明日期”）: 09/08/2022
(日 / 月 / 年)
2. 上巿法團的股份代號: 00998
3. 將本第330／333條通知送交存檔的上市法團的名稱: China CITIC Bank Corporation Ltd - H Shares 
4. 第329條通知內指明的上市法團的類份類別: Ordinary 
5. 第329條通知內就披露責任設定的持股量界線（如有）:
 
(i) 在指明日期持有股份的權益或淡倉的人士（不包括衍生權益）
11. 因應第329條通知而提供、有關在指明日期持有股份權益的人士的資料（不包括衍生權益）:
姓名或名稱股份總數 (好倉)持有股份權益的人士的姓名或名稱
The Bank of New York Mellon (Brussels)445,525,033Shares held on behalf of their investors
CACEIS Bank8,231,320Shares held on behalf of their investors
CACEIS Bank Luxembourg8,402,000Shares held on behalf of their investors
The Bank of New York Mellon (New York)35,414,099Shares held on behalf of their investors
National Nominees Limited [Foreign]4,676,000Shares held on behalf of their investors
Morgan Stanley & Co LLC, Morgan Stanley & Co International plc107,577,962Shares held on behalf of their investors
RBC Investor Services Bank S.A.3,823,158Shares held on behalf of their investors
RBC Investor Services Limited8,834,471Shares held on behalf of their investors
JPMorgan Chase Bank (London)55,323,050Shares held on behalf of their investors
Skandinaviska E Banken AB16,324,000Shares held on behalf of their investors
JPMorgan Chase Bank, National Association839,091,862Shares held on behalf of their investors
SIX SIS AG3,547,706Shares held on behalf of their investors
BNP Paribas Securities Services Singapore Branch [BP2S Global]7,017,572Shares held on behalf of their investors
HSBC International Trustee, The Hong Kong & Shanghai Banking Corporation Limited & HSBC Institutional Trust Services (Asia) Limited161,383,556Shares held on behalf of their investors
Deutsche Bank AG, Singapore A/C Clients567,400Shares held on behalf of their investors
KBC Bank NV6,610,666Shares held on behalf of their investors
Northern Trust Company316,202,635Shares held on behalf of their investors
JPMorgan Chase Bank, National Association - Hong Kong901,645,319Shares held on behalf of their investors
 
12. 因應第329條通知而提供、有關在指明日期持有股份淡倉的人士的資料（不包括衍生權益）:
姓名或名稱股份總數 (淡倉)持有股份淡倉的人士的姓名或名稱
   
 
(ii) 在指明日期持有股份權益的人士（僅包括衍生權益）
13. 因應第329條通知而提供、有關在指明日期持有屬股本衍生工具相關股份的股份的權益的人士的資料:
姓名或名稱 股份總數 持有股份權益的人士的姓名或名稱
好倉 淡倉
    
 
(iii) 一致行動或受與行使股份權利有關的協議規限的人士
14. 有關在指明日期為該條例第317條適用的協議或任何與行使股份權利有關的協議的一方的人士的資料:
有關人士的姓名或名稱 股份總數（不包括衍生權益） 股份總數（僅包括衍生權益） 持有股份權益的人士的姓名或名稱
好倉 淡倉 好倉 淡倉
      
 
15. 補充資料:
16. 過往的表格的編號／序號:
17. 夾附／上載調查報告數目: 1
18. 夾附／上載第317條所指的一致行動人士文件的數目: