| Code |
Descriptions |
| Event or change |
| 101 |
First becoming interested in 5% or more of the shares
of the listed corporation. This includes all acquisitions whether by purchase
or gift and taking steps to enforce rights in respect of shares held by way of
security |
| 102 |
Ceasing to have an interest in at least 5% of the
shares of the listed corporation |
| 103 |
Acquisition or disposal resulting in the percentage
level of your interest in shares of the listed corporation crossing over a
whole percentage number (e.g. your interest increases from 6.8 % to 7.1 % -
crossing over 7 %) |
| 104 |
Event (other than an acquisition or disposal) resulting
in the percentage level of your interest in shares of the listed corporation
crossing over a whole percentage number (e.g. there is a change in the issued
share capital of a listed corporation so that your interest reduces from 7.1 %
to 6.8 % - crossing over 7 %) |
| 105 |
Exercise of a right or an option if you have 5% or more
of the shares of the listed corporation |
| 106 |
Lending of shares of the listed corporation under a
securities borrowing and lending agreement if you have 5% or more of the shares
of the listed corporation |
| 107 |
Return of shares of the listed corporation lent under a
securities borrowing and lending agreement if you have (or had immediately
before the return of the shares) 5% or more of the shares of the listed
corporation |
| 108 |
On listing of the corporation if you have 5% or more of
the shares of the listed corporation |
| 109 |
On listing of a class of shares of a listed corporation
if you have 5% or more of the shares of that class |
| 110 |
On commencement of the Ordinance if you have 5% or more
of the shares of a listed corporation and such interest was not disclosed under
the Securities (Disclosure of Interests) Ordinance (Cap.396) before its repeal |
| 111 |
Coming to have a short position of 1% (if you also have
5% or more of the shares of the listed corporation). This includes a short
position through holding derivatives and borrowing shares under a securities
borrowing and lending agreement |
| 112 |
Ceasing to have a short position of 1% (if you also
have 5% or more of the shares of the listed corporation) |
| 113 |
Acquisition or disposal or other event resulting in the
percentage level of your short position crossing over a whole percentage number
which is above 1% (if you also have 5% or more of the shares of the listed
corporation) e.g. your short position increases from 1.9% to 2.1% - crossing
over 2% |
| 114 |
On commencement of the Ordinance if you have a short
position in the shares of a listed corporation of 1% or more (if you also have
5% or more of the shares of the listed corporation)
|
| 115 |
Voluntary disclosure |
| 116 |
Notice under section 5(4) of the Securities and Futures
(Disclosure of Interests – Securities Borrowing and Lending) Rules (L.N. 219 of
2002) |
| 117 |
Other |
| 121 |
Becoming interested in shares of the listed
corporation. This includes all acquisitions whether by purchase or gift, or by
rights/bonus issue or taking a security interest in shares |
| 122 |
Ceasing to have an interest in shares of the listed
corporation |
| 123 |
Entering into a contract to sell shares of the listed
corporation |
| 124 |
Exercising a right or an option in respect of shares of
the listed corporation |
| 125 |
Lending of shares of the listed corporation under a
securities borrowing and lending agreement |
| 126 |
Return of shares of the listed corporation lent under a
securities borrowing and lending agreement
|
| 127 |
Assigning a right granted by the listed corporation to
subscribe for shares of the listed corporation |
| 128 |
On listing of the corporation if you have an interest
in shares of the listed corporation |
| 129 |
On commencement of the Ordinance if you have an
interest in shares of the corporation |
| 130 |
On becoming a director or chief executive if you have
an interest in shares of the corporation |
| 131 |
Coming to have a short position in shares of the listed
corporation. This includes a short position through holding derivatives and
borrowing shares under a securities borrowing and lending agreement
|
| 132 |
Ceasing to have a short position in shares of the
listed corporation |
| 133 |
On listing of the corporation if you have a short
position in shares of the corporation |
| 134 |
On commencement of the Ordinance if you have a short
position in the shares of the listed corporation |
| 135 |
On becoming a director or chief executive if you have a
short position in shares of the corporation |
| 136 |
Other |
| 141 |
Becoming interested in shares of the associated
corporation. This includes all acquisitions whether by purchase or gift, or by
rights/bonus issue or taking a security interest in shares |
| 142 |
Ceasing to have an interest in shares of the associated
corporation |
| 143 |
Entering into a contract to sell shares of the
associated corporation |
| 144 |
Exercising a right or an option in respect of shares of
the associated corporation |
| 145 |
Lending of shares of the associated corporation under a
securities borrowing and lending agreement |
| 146 |
Return of shares of the associated corporation lent
under a securities borrowing and lending agreement |
| 147 |
Granting by the associated corporation of a right to
subscribe for shares in that associated corporation, the exercise of such a
right and the assignment of such a right |
| 148 |
On listing of the listed corporation of which you are a
director or chief executive if you have an interest in shares of the associated
corporation |
| 149 |
On commencement of the Ordinance if you have an
interest in shares of the associated corporation |
| 150 |
On becoming a director or chief executive of the listed
corporation if you have an interest in shares of the associated corporation |
| 151 |
On a corporation becoming an associated corporation if
you have an interest in shares of the associated corporation |
| 152 |
Coming to have a short position in shares of the
associated corporation. This includes a short position through holding
derivatives and borrowing shares under a securities borrowing and lending
agreement
|
| 153 |
Ceasing to have a short position in shares of the
associated corporation |
| 154 |
On listing of the corporation if you have a short
position in shares of the associated corporation |
| 155 |
On commencement of the Ordinance if you have a short
position in the shares of the associated corporation |
| 156 |
On becoming a director or chief executive if you have a
short position in shares of the associated corporation |
| 157 |
Other |
| 160 |
Becoming interested in debentures of the listed
corporation. This includes all acquisitions whether by purchase or gift, or by
rights/bonus issue or taking a security interest in debentures |
| 161 |
Ceasing to have an interest in debentures of the listed
corporation |
| 162 |
Entering into a contract to sell debentures of the
listed corporation |
| 163 |
Exercising a right or an option in respect of
debentures of the listed corporation |
| 164 |
Assigning a right granted by the listed corporation to
subscribe for debentures of the listed corporation |
| 165 |
On listing of the listed corporation of which you are a
director or chief executive if you have an interest in debentures of the
corporation |
| 166 |
On commencement of the Ordinance if you have an
interest in debentures of the listed corporation |
| 167 |
On becoming a director or chief executive if you have
an interest in debentures of the listed corporation |
| 168 |
Other |
| 170 |
Becoming interested in debentures of the associated
corporation. This includes all acquisitions whether by purchase or gift, or by
rights/bonus issue or taking a security interest in debentures |
| 171 |
Ceasing to have an interest in debentures of the
associated corporation |
| 172 |
Entering into a contract to sell debentures of the
associated corporation |
| 173 |
Exercising a right or an option in respect of
debentures of the associated corporation |
| 174 |
On listing of the listed corporation of which you are a
director or chief executive if you have an interest in debentures of the
associated corporation |
| 175 |
On commencement of the Ordinance if you have an
interest in debentures of the associated corporation |
| 176 |
On becoming a director or chief executive of the listed
corporation if you have an interest in debentures of the associated corporation |
| 177 |
On a corporation becoming an associated corporation if
you have an interest in debentures of the associated corporation |
| 178 |
Other |
| Capacity |
| 201 |
Beneficial owner |
| 202 |
Investment manager
|
| 203 |
Person having a security interest in shares
|
| 204 |
Interest of your child under 18 or spouse
|
| 205 |
Interest of corporation controlled by you |
| 206 |
Nominee for another person (other than a bare trustee) |
| 207 |
Trustee (other than a bare trustee) |
| 208 |
Custodian
|
| 209 |
Person who set up a discretionary trust |
| 210 |
Beneficiary of a trust
|
| 211 |
Interests of any parties to an agreement to acquire
interests in a particular listed corporation required to be disclosed under s.
317 (1)(a) and s. 318 |
| 212 |
Interests of any parties to an agreement to acquire
interests in a particular listed corporation required to be disclosed under s.
317 (1)(b) and s. 318 (controlling shareholder providing cash/making a loan to
other parties to such an agreement)
|
| 213 |
Interests held jointly with another person |
| 214 |
Other |
| Nature of consideration |
| 301 |
Cash |
| 302 |
Assets other than cash |
| 303 |
Surrender of rights to shares |
| 304 |
Services |
| Category of derivatives |
| 401 |
Physically settled (On exchange) |
| 402 |
Cash settled (On exchange) |
| 403 |
Physically settled (Off exchange) |
| 404 |
Cash settled (Off exchange) |
| 405 |
Physically settled options |
| 406 |
Cash settled options |
|
407 |
Cash settled futures |
| 408 |
Other |
| 409 |
Physically settled options |
| 410 |
Cash settled options |
| 411 |
Other |
| Status in relation to a trust |
| 501 |
Trustee of a trust |
| 502 |
Beneficiary of a trust |
| 503 |
Founder of a discretionary trust |
| Relationship with controller |
| 601 |
Controller is your immediate holding company |
| 602 |
Controller is your intermediate holding company |
| 603 |
Controller is your ultimate holding company |
| 604 |
Controller is a director |
| 605 |
Controller is a shadow director |
| 606 |
Other |
| Category of debentures |
| 701 |
Freely transferable and convertible into shares of the
listed corporation
|
| 702 |
Freely transferable and convertible into shares of a
corporation other than the listed corporation |
| 703 |
Not freely transferable but convertible into shares of
the listed corporation |
| 704 |
Not freely transferable but convertible into shares of
a corporation other than the listed corporation |
| 705 |
Not freely transferable and not convertible into shares
of a corporation |
| 706 |
Other |
| 707 |
Freely transferable and convertible into shares of the
associated corporation
|
| 708 |
Freely transferable and convertible into shares of a
corporation other than the associated corporation |
| 709 |
Not freely transferable but convertible into shares of
the associated corporation |
| 710 |
Not freely transferable but convertible into shares of
a corporation other than the associated corporation |
| 711 |
Not freely transferable and not convertible into shares
of a corporation |