List of Standard Codes
 
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 íV 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