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Form Serial Number: |
CS20180502E00335 |
1.
Date of relevant event: |
26/04/2018 (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: |
00763 |
4.
Name of listed corporation: |
ZTE Corporation - H Shares |
5.
Class of shares: |
H Shares |
6.
Number of issued shares in class: |
755,502,534 |
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 |
1001 | You first acquire a notifiable interest because: you purchased the shares |
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2201 | Interest of corporation controlled by you |
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2,650,000 |
HKD |
16.0000 |
15.7486 |
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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 | 37,536,037 | 4.97 |
Short position | 24,762,674 | 3.28 |
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19.
Total shares immediately after the relevant event: |
| Total number of shares | Percentage figure (%) |
Long position | 40,186,037 | 5.32 |
Short position | 24,762,674 | 3.28 |
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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 |
| Long position | 6,400,530 | Short position | 0 |
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2201 | Interest of corporation controlled by you |
| Long position | 33,785,507 | Short position | 24,762,674 |
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21.
Further information in respect of derivative interests: |
Derivatives code | Number of shares |
4102 | Listed derivatives - Cash settled |
| Long position | 903,600 | Short position | 1,608,000 |
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4105 | Unlisted derivatives - Physically settled |
| Long position | 8,125,417 | Short position | 15,242,174 |
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4106 | Unlisted derivatives - Cash settled |
| Long position | 5,884,203 | Short position | 1,808,500 |
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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, 8001 Zürich, Switzerland | UBS Group AG | 100.00 | Y | Long position | 30,506,220 | Short position | 23,513,074 |
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UBS Asset Management (Americas) Inc. | Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, 19808 DE, USA | UBS Group AG | 100.00 | Y | Long position | 4,600 | Short position | 0 |
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UBS Asset Management (Australia) Ltd | Level 16, Chifley Tower, 2 Chifley Square, Sydney NSW 2000, Australia | UBS Group AG | 100.00 | Y | Long position | 63,280 | Short position | 0 |
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UBS Asset Management (Deutschland) GmbH | Bockenheimer Landstrasse 2-4, 60306 Frankfurt am Main, Germany | UBS Group AG | 100.00 | Y | Long position | 11,288 | Short position | 0 |
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UBS Asset Management (Hong Kong) Ltd | 45-52 Floors, Two International Finance Centre, 8 Finance Street, Central, Hong Kong | UBS Group AG | 100.00 | Y | Long position | 550,600 | Short position | 849,600 |
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UBS Asset Management Trust Company | Illinois Corporation Service Company 801 Adlai Stevenson Drive, Springfield 62703, USA | UBS Group AG | 100.00 | Y | Long position | 29,400 | Short position | 0 |
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UBS Asset Management (UK) Limited | 21 Lombard Street, London EC3V9AH, United Kingdom | UBS Group AG | 100.00 | Y | Long position | 975,131 | Short position | 0 |
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UBS Fund Management (Luxembourg) S.A. | 33A avenue J.F. Kennedy, Luxembourg | UBS Group AG | 100.00 | Y | Long position | 315,996 | Short position | 0 |
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UBS Fund Management (Switzerland) AG | Brunngässlein 12, 4052 Basel, Switzerland | UBS Group AG | 100.00 | Y | Long position | 888,632 | Short position | 0 |
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UBS Securities LLC | Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington DE 19808, Delaware, USA | UBS Group AG | 100.00 | Y | Long position | 400,000 | Short position | 400,000 |
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UBS Switzerland AG | Bahnhofstrasse 45, 8001 Zürich, Switzerland | UBS Group AG | 100.00 | Y | Long position | 40,360 | Short position | 0 |
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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: |
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28.
Log/Serial Number of the previous form: |
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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: |
02/05/2018 (dd/mm/yyyy)
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