FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20180705E00184
1.
Date of relevant event
:
28/06/2018
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
02/07/2018
(dd/mm/yyyy)
3.
Stock code
:
01101
4.
Name of listed corporation
:
China Huarong Energy Co. Ltd.
5.
Class of shares
:
Ordinary Shares
6.
Number of issued shares in class
:
3,076,731,507
7.
Name of substantial shareholder
:
Credit Suisse Group AG
8.
Registered office
:
Paradeplatz 8 , Zurich , 8001, Switzerland
9.
Principal place of business in Hong Kong
:
N/A
15.
Exchange on which listed
:
Switzerland, ADS in New York
16.
Name of listed parent and exchange on which parent is listed
:
N/A
17.
Details of relevant event
:
Brief description of relevant event
Capacity in which shares were/are held
Number of shares bought/sold or involved
Currency of transaction
On Exchange
Off Exchange
Before relevant event
After relevant event
Highest price (per share)
Average price (per share)
Average consideration (per share)
Nature of consideration
Long position
1210
The percentage level of your interest in the shares has reduced because:
new shares were issued in a top-up placing
2201
Interest of corporation controlled by you
0
Short position
1503
You ceased to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares decreased because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
0
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
152,062,938
6.50
Short position
1,965,821
0.08
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
152,062,938
4.94
Short position
1,965,821
0.06
20.
Capacity in which interests disclosed in Box 19 are held
:
Capacity code
Number of shares
2201
Interest of corporation controlled by you
Long position
152,062,938
Short position
1,965,821
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4103
Listed derivatives - Convertible instruments
Long position
150,000,000
Short position
0
4106
Unlisted derivatives - Cash settled
Long position
88,000
Short position
89,100
22.
Further information in relation to interests of corporations controlled by substantial shareholder
:
Name of controlled corporation
Address and place of incorporation
Name of controlling person
% control
Direct interest (Y/N)
Number of shares
Credit Suisse AG
Paradeplatz 8, Zurich, 8001, Switzerland
Credit Suisse Group AG
100.00
N
Long position
150,089,100
Short position
0
Credit Suisse (Hong Kong) Limited
6th Floor, Alexandra House,18 Chater Road, Central,Hong Kong
Credit Suisse AG
100.00
Y
Long position
150,089,100
Short position
0
Credit Suisse AG
Paradeplatz 8, Zurich, 8001, Switzerland
Credit Suisse Group AG
100.00
N
Long position
516,721
Short position
516,721
Credit Suisse AG
Paradeplatz 8, Zurich, 8001, Switzerland
Credit Suisse Group AG
100.00
N
Long position
1,900
Credit Suisse International
One Cabot Square, London E14 4QJ, England
Credit Suisse Group AG
50.00
Y
Long position
1,900
Credit Suisse International
One Cabot Square, London E14 4QJ, England
Credit Suisse AG
50.00
Y
Long position
1,900
Credit Suisse AG
Paradeplatz 8, Zurich, 8001, Switzerland
Credit Suisse Group AG
100.00
N
Long position
1,455,217
Short position
1,449,100
Credit Suisse Investments (UK)
One Cabot Square, London E14 4QJ, England
Credit Suisse Group AG
31.00
N
Long position
1,455,217
Short position
1,449,100
Credit Suisse Investments (UK)
One Cabot Square, London E14 4QJ, England
Credit Suisse AG
69.00
N
Long position
1,455,217
Short position
1,449,100
Credit Suisse Investment Holdings (UK)
One Cabot Square, London E14 4QJ, England
Credit Suisse Investments (UK)
100.00
N
Long position
1,455,217
Short position
1,449,100
Credit Suisse Securities (Europe) Limited
One Cabot Square, London E14 4QJ, England
Credit Suisse Investments Holdings (UK)
100.00
Y
Long position
1,455,217
Short position
1,449,100
23.
Further information in relation to interests held by substantial shareholder jointly with another person
:
Name of joint shareholder
Address
Number of shares
24.
Further information from a trustee, a beneficiary of a trust, or a person who set up a discretionary trust
:
Names of trust
Address
Status code
Number of shares
25.
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
Total number of shares in which a substantial shareholder is interested under sections 317 and 318
26.
Details of person(s) in accordance with whose directions the substantial shareholder or its directors are accustomed to act
:
Names
Address
Relationship Code
Percentage (%)
27.
Supplementary information
:
The percentage level of our interest in the shares has reduced because new shares were issued in a top-up placing. Number of shares of 1101.HK per the Next Day Disclosure Return submitted on 27 Jun 2018 by the listed issuer and published on the Hong Kong Stock Exchange website is 3,076,731,507 (closing balance as at 27 June 2018) in comparison to 2,388,591,507 (opening balance as at 31 May 2018) before the top-up.
28.
Log/Serial Number of the previous form
:
29.
Number of concert party document(s) under section 317 attached/uploaded
:
Date of filing this Form 2
:
05/07/2018
(dd/mm/yyyy)