FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20190114E00073
1.
Date of relevant event
:
09/01/2019
(dd/mm/yyyy)
2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later)
:
10/01/2019
(dd/mm/yyyy)
3.
Stock code
:
02359
4.
Name of listed corporation
:
WUXI APPTEC CO., LTD. - H SHARES
5.
Class of shares
:
H Shares
6.
Number of issued shares in class
:
121,795,400
7.
Name of substantial shareholder
:
Morgan Stanley
8.
Registered office
:
1585 Broadway, New York 10036, New York, USA
9.
Principal place of business in Hong Kong
:
No place of business in Hong Kong
15.
Exchange on which listed
:
New York Stock Exchange
16.
Name of listed parent and exchange on which parent is listed
:
Not applicable
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
1704
Miscellaneous
Notice filed because you ceased to have a notifiable interest in the shares of the listed corporation (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
17,742,600
HKD
68.6852
3101
Cash
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
17,747,800
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
19,543,400
16.77
Short position
17,750,000
15.23
Lending Pool
0
0.00
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
1,800,800
1.47
Short position
2,200
0.00
Lending Pool
0
0.00
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
1,800,800
Short position
2,200
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
4106
Unlisted derivatives - Cash settled
Long position
0
Short position
2,200
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
Morgan Stanley Capital Management, LLC
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley
100.00
N
Long position
1,800,800
Short position
2,200
Morgan Stanley Domestic Holdings, Inc.
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley Capital Management, LLC
100.00
N
Long position
1,800,800
Short position
2,200
Morgan Stanley International Incorporated
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley
90.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Incorporated
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley Domestic Holdings, Inc.
10.00
N
Long position
1,800,800
Short position
0
MSDW Investment Holdings (US) LLC
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley International Incorporated
100.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Holdings Inc.
1585 Broadway, New York, New York, 10036, New York. Place of incorporation: USA
Morgan Stanley
72.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Holdings Inc.
1585 Broadway, New York, New York, 10036, New York. Place of incorporation: USA
Morgan Stanley Domestic Holdings, Inc.
10.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Holdings Inc.
1585 Broadway, New York, New York, 10036, New York. Place of incorporation: USA
Morgan Stanley International Incorporated
18.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Holdings Inc.
1585 Broadway, New York, New York, 10036, New York. Place of incorporation: USA
MSDW Investment Holdings (US) LLC
0.00
N
Long position
1,800,800
Short position
0
Morgan Stanley International Limited
25 Cabot Square, Canary Wharf, London, E14 4QA, Place of incorporation: UNITED KINGDOM
Morgan Stanley International Holdings Inc.
100.00
N
Long position
1,800,800
Short position
0
Morgan Stanley Investments (UK)
20 Bank Street, Canary Wharf, London, E14 4AD, Place of incorporation: UNITED KINGDOM
Morgan Stanley International Limited
100.00
N
Long position
1,800,800
Short position
0
Morgan Stanley & Co. International plc
Legal & Compliance Department, 25 Cabot Square, Canary Wharf, London, E14 4QA, Place of incorporation: UNITED KINGDOM
Morgan Stanley Investments (UK)
100.00
Y
Long position
1,800,800
Short position
0
Morgan Stanley Capital Services LLC
1585 Broadway, New York, 10036, Place of incorporation: USA
Morgan Stanley Domestic Holdings, Inc.
100.00
Y
Long position
0
Short position
2,200
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
0
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
:
Long interest decreased because the shares under over-allotment have settled. Short interest decreased because the shares, which MS was under obligation to deliver as an underwriter of the IPO and were on a deferred settlement basis, also settled.
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
:
14/01/2019
(dd/mm/yyyy)