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Form Serial Number: |
CS20191004E00192 |
1.
Date of relevant event: |
30/09/2019 (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: |
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: |
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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 |
1004 | You first acquire a notifiable interest because: you acquired a security interest in the shares |
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2106 | Person having a security interest in shares |
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317,727 |
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 | 8,294,337 | 4.86 |
Short position | 1,036,611 | 0.60 |
Lending Pool | 6,853,589 | 4.01 |
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19.
Total shares immediately after the relevant event: |
| Total number of shares | Percentage figure (%) |
Long position | 8,612,064 | 5.05 |
Short position | 902,906 | 0.52 |
Lending Pool | 6,844,580 | 4.01 |
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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 | 420,961 | Short position | 0 |
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2201 | Interest of corporation controlled by you |
| Long position | 1,346,523 | Short position | 902,906 |
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2502 | Approved lending agent |
| Long position | 6,844,580 | Short position | 0 |
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21.
Further information in respect of derivative interests: |
Derivatives code | Number of shares |
4103 | Listed derivatives - Convertible instruments |
| Long position | 610,393 | Short position | 0 |
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4106 | Unlisted derivatives - Cash settled |
| Long position | 49,500 | Short position | 0 |
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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 |
Citicorp LLC | 388 Greenwich Street, New York, NY 10013, USA | Citigroup Inc. | 100.00 | N | Long position | 7,033,729 | Short position | 0 |
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Citibank, N.A. | 701 East 60th Street North, Sioux Falls, SD 57104, USA | Citicorp LLC | 100.00 | Y | Long position | 7,033,729 | Short position | 0 |
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Citigroup Global Markets Holdings Inc. | 388 Greenwich Street, New York, NY 10013, USA | Citigroup Inc. | 100.00 | N | Long position | 1,558,425 | Short position | 902,906 |
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Citigroup Financial Products Inc. | 388 Greenwich Street, New York, NY 10013, USA | Citigroup Global Markets Holdings Inc. | 100.00 | N | Long position | 1,558,425 | Short position | 902,906 |
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Citigroup Global Markets Inc. | 388 Greenwich Street, New York, NY 10013, USA | Citigroup Financial Products Inc. | 100.00 | Y | Long position | 0 | Short position | 775,000 |
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Citigroup Global Markets Holdings Bahamas Limited | Citibank Building, 110 Thompson Blvd., Nassau, Bahamas | Citigroup Financial Products Inc. | 90.00 | N | Long position | 1,558,425 | Short position | 127,906 |
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Citigroup Global Markets Limited | Citigroup Centre, Canada Square, Canary Wharf, London E14 5LB, England | Citigroup Global Markets Holdings Bahamas Limited | 100.00 | Y | Long position | 1,558,425 | Short position | 127,906 |
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Citicorp Banking Corporation | New Castle Corporate Commons, Operations One Bldg., One Penn's Way, New Castle, DE 19720, USA | Citigroup Inc. | 100.00 | N | Long position | 19,910 | Short position | 0 |
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Citibank (Switzerland) AG | Hardstrasse 201, Zurich, 8005, Switzerland | Citicorp Banking Corporation | 100.00 | Y | Long position | 19,910 | 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: |
04/10/2019 (dd/mm/yyyy)
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