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Form Serial Number: |
DA20180620E00003
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| 1.
Date of relevant event: |
15/06/2018
(dd/mm/yyyy)
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| 2.
Date when director became aware of the relevant event/ interest in the shares (if later): |
(dd/mm/yyyy)
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| 3.
Stock code: |
01520 |
| 4.
Name of listed corporation: |
CEFC Hong Kong Financial Investment Co. Ltd. |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,690,000,000 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Guo |
| (Other names) |
Lin |
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| 10.
Name of director (Chinese): |
郭林 |
| 11.
Chinese Character Code as printed on HKID Card: |
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| 24.
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
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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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Consideration code
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| Long position |
| 1213 | The number of shares in which you are interested has reduced because:
any other event (you must briefly describe the relevant event in the Supplementary Information box) |
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| 2201 | Interest of corporation controlled by you |
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| 2201 | Interest of corporation controlled by you |
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860,120,000 |
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| Short position |
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| 25.
Total shares in listed corporation immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 860,120,000 | 50.89 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 860,120,000 | 50.89 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| 2201 | Interest of corporation controlled by you |
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| 28.
Further information in derivative interests in listed corporation : |
| Derivatives code |
Exercise period (dd/mm/yyyy) |
Consideration - if derivatives granted by listed corporation |
Number of shares |
| | | Begins | Ends | Currency | Price for grant | Currency | Exercise price | Currency | Price on assignment | |
| | | | | | | | | | | |
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| 29.
Further information in relation to interests of children under 18 and/or spouse: |
| Child/Spouse | Name of child/spouse | Number of shares |
| Spouse | Yi Qianru | |
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| 30.
Further information in relation to interests of corporations controlled by Director: |
| Name of controlled corporation | Address and place of incorporation | Name of controlling person | % control | Direct interest (Y/N) | Number of shares |
| 新絲綢之路投資有限公司 | 中國(上海)自由貿易試驗區棲霞路120號5層525-526室(中國) | 郭林 | 40.00 | N | |
| New Seres International Asset Management (Cayman) Limited | 89 Nexus Way, Camana bay, Grand Cayman KY1-9007, Cayman Islands (Cayman Islands) | 新絲綢之路投資有限公司 | 50.00 | N | |
| New Seres CEFC Investment Fund LP | 89 Nexus Way, Camana bay, Grand Cayman KY1-9007, Cayman Islands (Cayman Islands) | New Seres International Asset Management (Cayman) Limited | 50.00 | Y | |
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| 31.
Further information in relation to interests held by Director jointly with another person: |
| Name of joint shareholder | Address | Number of shares |
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| 32.
Further information from a director who is a trustee, or beneficiary of a trust, or a person who has set up a Discretionary Trust: |
| Names of Trust | Address | Status code | Number of shares |
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| 33.
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 director is interested under sections 317 and 318 | |
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| 34.
Supplementary information: |
On 15 June 2018, New Seres International Asset Management (Cayman) Limited became 50% held by 上海華信金融服務有限公司 and 50% held by 新絲綢之路投資有限公司. Prior to 15 June 2018, New Seres International Asset Management (Cayman) Limited was 100%held by 新絲綢之路投資有限公司.
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| 35.
Log/Serial Number of the previous form: |
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| 36.
Number of concert party document(s) under section 317 attached/uploaded: |
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Date of filing this Form 3A: |
20/06/2018
(dd/mm/yyyy)
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