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Form Serial Number: |
CS20190912E00322
(Amendment to CS20190910E00341) |
| 1.
Date of relevant event: |
05/09/2019
(dd/mm/yyyy)
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| 2.
Date when the substantial shareholder becomes aware of the relevant event / interest in the shares (if later): |
(dd/mm/yyyy)
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| 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: |
170,513,560 |
| 7.
Name of substantial shareholder: |
UBS Group AG |
| 8.
Registered office: |
BAHNHOFSTRASSE 45 8001 ZURICH SWITZERLAND |
| 9.
Principal place of business in Hong Kong: |
52/F TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG |
| 15.
Exchange on which listed: |
SIX Swiss Exchange AG |
| 16.
Name of listed parent and exchange on which parent is listed: |
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| 17.
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)
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Average consideration (per share)
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Nature of consideration
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Long position |
| 12041 | The percentage level of your interest in the shares has reduced because:
expiry or cancellation without exercise of equity derivatives under which (choose one):
you had a right to take the underlying shares |
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| 2106 | Person having a security interest in shares |
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210,480 |
HKD |
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| Short position |
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| 18.
Total shares immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 10,271,189 | 6.02 |
| Short position | 4,683,474 | 2.75 |
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| 19.
Total shares immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 10,060,709 | 5.90 |
| Short position | 4,683,474 | 2.75 |
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| 20.
Capacity in which interests disclosed in Box 19 are held: |
| Capacity code | Number of shares |
| 2106 | Person having a security interest in shares |
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| 2201 | Interest of corporation controlled by you |
| | Long position | 7,374,974 | | Short position | 4,683,474 |
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| 21.
Further information in respect of derivative interests: |
| Derivatives code | Number of shares |
| 4101 | Listed derivatives - Physically settled |
| | Long position | 4,627,059 | | Short position | 1,052,402 |
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| 4106 | Unlisted derivatives - Cash settled |
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| 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 |
| UBS AG | Bahnhofstrasse 45, Zürich, Switzerland | UBS Group AG | 100.00 | Y | | Long position | 4,431,672 | | Short position | 4,003,474 |
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| UBS Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland | UBS Group AG | 100.00 | Y | |
| UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney, Australia | UBS Group AG | 100.00 | Y | |
| UBS Asset Management (Deutschland) GmbH | Bockenheimer Landstrasse 2-4, Frankfurt am Main, Germany | UBS Group AG | 100.00 | Y | |
| UBS Asset Management Switzerland AG | Bahnhofstrasse 45, Zürich, Switzerland | UBS Group AG | 100.00 | Y | |
| UBS Asset Management Trust Company | Illinois Corporation Service Company 801 Adlai Stevenson Drive, Springfield, IL, USA | UBS Group AG | 100.00 | Y | |
| UBS Asset Management (UK) Limited | 5 Broadgate, London, United Kingdom | UBS Group AG | 100.00 | Y | |
| UBS Fund Management (Luxembourg) S.A. | 33A avenue J.F. Kennedy, Luxembourg | UBS Group AG | 100.00 | Y | |
| UBS Fund Management (Switzerland) AG | Aeschenplatz 6, Basel, Switzerland | UBS Group AG | 100.00 | Y | |
| UBS Securities LLC | Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware, USA | UBS Group AG | 100.00 | Y | | Long position | 680,000 | | Short position | 680,000 |
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| 23.
Further information in relation to interests held by substantial shareholder jointly with another person: |
| Name of joint shareholder | Address | Number of shares |
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| 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 |
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| 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 |
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| Total number of shares in which a substantial shareholder is interested under sections 317 and 318 | |
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| 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 (%) |
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| 27.
Supplementary information: |
The date for first acquire a notifiable interest revised from TD 5 Sep 2019 to TD 4 Sep 2019, and the percentage level of your interest in the shares has reduced on TD 5 Sep 2019.
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| 28.
Log/Serial Number of the previous form: |
CS20190910E00341
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| 29.
Number of concert party document(s) under section 317 attached/uploaded: |
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Date of filing this Form 2: |
12/09/2019
(dd/mm/yyyy)
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