FORM 2 - Corporate Substantial Shareholder Notice
Form Serial Number
:
CS20190627E00155
(Amendment to CS20190114E00189)
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)
:
(dd/mm/yyyy)
3.
Stock code
:
01666
4.
Name of listed corporation
:
Tong Ren Tang Technologies Co. Ltd. - H Shares
5.
Class of shares
:
H Shares
6.
Number of issued shares in class
:
628,704,000
7.
Name of substantial shareholder
:
Citigroup Inc.
8.
Registered office
:
388 Greenwich Street, New York, 10013, USA
9.
Principal place of business in Hong Kong
:
50/F, Champion Tower, 3 Garden Road, Central, Hong Kong
15.
Exchange on which listed
:
NYSE
16.
Name of listed parent and exchange on which parent is listed
:
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
1316
There has been a change in nature of your interest in the shares because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
2201
Interest of corporation controlled by you
3,169,162
HKD
Short position
1403
You came to have a short position of 1% or more in the shares, or the percentage level of your short position in such shares increased because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
2201
Interest of corporation controlled by you
3,210,000
18.
Total shares immediately before the relevant event
:
Total number of shares
Percentage figure (%)
Long position
53,122,821
8.44
Short position
10,255,169
1.63
Lending Pool
25,771,775
4.09
19.
Total shares immediately after the relevant event
:
Total number of shares
Percentage figure (%)
Long position
56,289,903
8.95
Short position
13,465,169
2.14
Lending Pool
25,728,857
4.09
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
16,968,000
Short position
0
2201
Interest of corporation controlled by you
Long position
13,593,046
Short position
13,465,169
2502
Approved lending agent
Long position
25,728,857
Short position
0
21.
Further information in respect of derivative interests
:
Derivatives code
Number of shares
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
Citicorp LLC
388 Greenwich Street, New York, NY, 10013, United States
Citigroup Inc.
100.00
N
Long position
25,728,857
Short position
0
Citibank, N.A.
701 East 60th Street North, Sioux Falls, Minnehaha, SD, 57104, United States
Citicorp LLC
100.00
Y
Long position
25,728,857
Short position
0
Citigroup Global Markets Holdings Inc.
388 Greenwich Street, New York, NY, 10013, United States
Citigroup Inc.
100.00
N
Long position
30,561,046
Short position
13,465,169
Citigroup Financial Products Inc.
388 Greenwich Street, New York, NY, 10013, United States
Citigroup Global Markets Holdings Inc.
100.00
N
Long position
30,561,046
Short position
13,465,169
Citigroup Global Markets Inc.
388 Greenwich Street, New York, NY, 10013, United States
Citigroup Financial Products Inc.
100.00
Y
Long position
0
Short position
5,900,000
Citigroup Global Markets Holdings Bahamas Limited
Citibank Buliding, 110 Thompson Blvd., Nassau, New Providence, Bahamas
Citigroup Financial Products Inc.
90.00
N
Long position
30,561,046
Short position
7,565,169
Citigroup Global Markets Limited
Citigroup Centre, Canada Square, Canary Wharf, London, TBD, E14 5LB, England
Citigroup Global Markets Holdings Bahamas Limited
100.00
Y
Long position
30,561,046
Short position
7,565,169
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 Citigroup Inc.'s interest in the borrowed shares has increased. Hence, the percentage figure of shares in which our interest is unchanged passed through a percentage level. The increase in the short position was due to an increase in our obligation to return the borrowed shares under a Securities Borrowing and Lending agreement. This is a revised form, changes are made in Box 18, 19, 20 and 22.
28.
Log/Serial Number of the previous form
:
CS20190114E00189
29.
Number of concert party document(s) under section 317 attached/uploaded
:
Date of filing this Form 2
:
27/06/2019
(dd/mm/yyyy)