Box 1

State the date of the relevant event (explained in General Note 4) which gave rise to the notice.

Box 2

In the case of events (i) to (vi) in General Note 4, if you became aware of the relevant event on a date later than the date that it occurred, then state the date that you became aware of the event that triggers the reporting obligation in Box 2.

For an Initial Notification, if you were not aware that you had an interest, or a short position, at the date of the relevant event, then state the date that you became aware that you had such an interest in the shares in Box 2.

Box 3

State the stock code of the listed corporation in whose shares you are interested.  You can find the stock code on the HKEX website. Alternatively you can get it from the corporation itself.

If you file this Form to disclose your interests in any class of shares of the listed corporation which is not listed on the SEHK (e.g. “A” shares or domestic shares), state the stock code of the class of shares of the listed corporation which is listed on the SEHK.

Box 4

Complete the name of the listed corporation in whose shares you are interested.  The system will auto-fill the name of the listed corporation based on the date of relevant event in Box 1 and the stock code in Box 3.

Box 5

Select the class of shares in which you are interested.  Some corporations have more than one classes of share capital, each with voting rights (e.g. “A” and “H” shares).  If you have an interest in two classes of shares, complete a separate Form 3A for each class of shares. However, if you file this Form to disclose your interests in ordinary shares and preference shares as share stapled units of a listed corporation, you need not complete two separate Form 3A.

If you select “Other”, state the class of shares in which you are interested in Box 34.

Box 6

State the number of shares (in the class of shares in which you are interested) which have been issued at the date of the relevant event.  You can find the number of shares issued on the HKEX website by clicking the link to the HKEX website on the Form or you can ask the corporation.

Boxes 7 to 13

For individual director/chief executive, state your personal details as indicated.  State your name in full as it appears on your Hong Kong identity card (“HKID Card”).  If you have no HKID Card, state your name in full as it appears on your passport.  If you are a PRC resident who does not have a HKID Card or a passport, state your name as it appears on your PRC Resident Card.  For example, a director whose name appears on his HKID Card as “Wong Ging Teng Anthony” would complete Box 7 as follows :

Whereas a director who has no HKID Card and whose name appears in his passport as “Anthony James Hay Wood” would complete Box 7 as follows :

You need not fill in Boxes 10 and 11 if you do not have a Chinese name.  Equally you need not fill in Box 7 if you do not have an English name.  You must provide an email address in Box 13.  The data entered in Boxes 8, 12 and 13 (i.e. HKID Card/Passport/PRC Resident Card number, daytime telephone number and email address) will not be available for viewing by the public when searching the DI pages of the HKEX website.

If you have no HKID Card/passport/PRC Resident Card, select “Others” in Box 8 and provide details of your identification document under “HKID Card/Passport/PRC Resident Card number” column in Box 8.

Boxes 14 to 21

For corporate director/chief executive, state the details as indicated.  State your company name in full as it appears on the Certificate of Incorporation. You should only complete Box 17 if you have a Hong Kong business registration number. In Box 18 you should state the place where you were incorporated and give the number on the Certificate of Incorporation.  Please fill in “N/A” if there is no Certificate of Incorporation number. You must provide an email address in Box 21. The data entered in Boxes 17 to 21 will not be available for viewing by the public when searching the DI pages of the HKEX website.

Box 22

If you are a listed corporation, state the name of the exchange on which you are listed.

Box 23

If your parent company is a listed corporation, state the name of your listed parent and the exchange on which it is listed. If your parent company is listed on several exchanges, give the primary listing.

Box 24

State details of the relevant event (i.e. the event that triggers the notice).  In the case of relevant event (i) to (vi) in General Note 4 the details that you must give in Box 24 relate to the shares bought/sold or involved at that time – not the shares which you already have.

“Brief description of relevant event” column

State the description which best describes the relevant event either by entering the Code from Table 1 or selecting the Code from the menu.  If a person connected with you acquired an interest in shares, their interest may be treated as your interest (See General Note 8 above).  For example, if a company that you control acquired shares of the listed corporation, you should treat the acquisition as your acquisition and use the appropriate Code – in this case Code 1101.

Use the “short position” row if you are filing the notice because of a change in a short position.  The normal position is that either a long position or a short position will give rise to a duty of disclosure (not both simultaneously).

In the case of an Initial Notification in Box 24, you must give details relate to the shares bought by you in the 4 months immediately before the date of relevant event.

See Table 1 for the Codes of Relevant Events.

“Capacity in which shares were/are held” column

State the description which best describes the capacity in which the shares were/are held before and after the relevant event either by entering the Code from Table 2 or selecting the Code from the menu.  If you have disposed of an interest in shares, select the Code describing the capacity in which you held the shares immediately before the disposal and enter this Code in the “Before relevant event” column.  If you have acquired an interest in shares, select the Code describing the capacity in which you held the shares immediately after your acquisition and enter this Code in the “After relevant event” column.  If you are giving a notice of a change in the nature of your interest in shares, select the Codes describing the capacity in which you held your interest in those shares before and after the relevant event, i.e. complete both the “Before relevant event” and “After relevant event” columns.  If you are, or were, the beneficial owner but another Code also applies, please use the latter Code rather than 2101.

Use the “short position” row if you are filing because of a change in a short position.

See Table 2 for the Codes of Capacity.

“Number of shares bought/sold or involved” column

State the number of shares concerned (e.g. the number of shares you bought that triggered the notice).  For a change in the nature of an interest (e.g. on exercise of an option), state the number of shares affected by the change.

“Currency of transaction” column

Select the currency in which the price for the interest in shares described in the “Number of shares bought/sold or involved” column was paid or received.

“On Exchange” and “Off Exchange” columns

State the consideration per share paid or received for the interests in shares described in the “Number of shares bought/sold or involved” column in the “On Exchange” or “Off Exchange” columns as appropriate.  An acquisition or disposal is made “On-Exchange” when the transaction took place in the ordinary course of trading on a recognized exchange and “Off-Exchange” covers all other transactions.  For an on-exchange transaction, state the highest price per share in the “Highest price (per share)” column and the average price/consideration per share in the “Average price (per share)” column.  For an off-exchange transaction, state the average price/consideration per share in the “Average consideration (per share)” column and select a Code which best describes the nature of the consideration you paid or received in the “Nature of consideration” column. 

If no price or consideration has been paid or received, or if the consideration is services provided, the price or consideration should be stated as “0”.  If the transaction that prompts disclosure is a change in nature of your interest in shares (e.g. a securities borrowing and lending transaction), a transaction in derivatives, or a change in short position, the highest price per share and the average price per share (average consideration per share and nature of the consideration for off-exchange transactions) should be left blank in Box 24 but the consideration for derivatives may have to be disclosed in Box 28.

In the case of an Initial Notification, the details that must be given in the “Average price (per share)” or “Average consideration (per share)” columns of the average price/consideration paid for the interest in shares described in “Number of shares bought/sold or involved” column relate to the average price/consideration paid by you in the 4 months immediately before the date of relevant event. Similarly the nature of the consideration given in “Nature of consideration” column relates to the nature of consideration paid by you in the 4 months immediately before the date of relevant event.

See Table 3 for the Codes of Nature of Consideration.

Example of how to complete Box 24

The first example demonstrates for relevant events (i) to (vi) in General Note 4.  Assume that you already own 4,500,000 shares in the listed corporation or 4.5% of the shares in issue.  On 31 December 2003, you purchased (through the SEHK) 400,000 shares for HK$800,000 and 100,000 shares for HK$210,000 (all shares to be held beneficially). The date of the relevant event to be inserted in Box 1 would be “31.12.2003” and you should complete Box 24 in the following manner.

24. Details of relevant event

* Due to limited space in these Notes, the description of relevant event and capacity in which shares were/are held are not shown but will be displayed in the Form.

The second example demonstrates for the case of Initial Notification.  Assume that prior to 1 September 2003 you already own 4,500,000 shares in a listed corporation.  On 31 December 2003 you are appointed a director of the listed corporation.  On 15 September 2003 you had purchased (through the SEHK) 400,000 shares for HK$800,000 and 100,000 shares for HK$210,000 (all shares held as trustee).  The relevant date to be inserted in Box 1 would be “31.12.2003” and you should complete Box 24 in the following manner.

24. Details of relevant event

* Due to limited space in these Notes, the description of relevant event and capacity in which shares were/are held are not shown but will be displayed in the Form.

Box 25

State the total number of shares in which you were interested, and those in which you had a short position (if any), immediately before the relevant event in column 2.  This figure includes all joint interests, interests through equity derivatives and deemed interests (See General Note 8 above). 

State the percentage figure of your interest, your short position (if any), immediately before the relevant event in column 3.  General Note 7 above explains how you calculate the percentage figure.

In the case of an Initial Notification, you need not complete Box 25.

Box 26

State the total number of shares in which you were interested, and those in which you had a short position (if any), immediately after the relevant event in column 2.  This figures includes all joint interests, interests through equity derivatives and deemed interests (See General Note 8 above). 

State the percentage figure of your interest, your short position (if any), immediately after the relevant event in column 3.  General Note 7 above explains how you calculate the percentage figure.

Box 27

If the notification is an Initial Notification, you must complete Box 27. State the description which best describes the capacity in which you hold the shares or short position listed in Box 26 either by entering the Code from Table 2 or selecting the Code from the menu in column 1.  If you hold some of your interests in one capacity (e.g. as beneficial owner), and other interests in other capacity (e.g. as trustee), then use two Codes (on different rows) and the number of the interests in shares held in each capacity (on different rows) in column 2.

If the notification is not an Initial Notification you need not complete Box 27. However, a director who is also a substantial shareholder should read the Special Notes for completion of Boxes 27 to 32 on page 12.

Box 28

If this is an Initial Notification, you must give details in relation to all the shares in which you are interested through derivatives.

If this is not an Initial Notification, and you are not also a substantial shareholder, you must only give details in relation to the shares involved in the relevant event.

In either case, state the description which best describes those derivatives either by entering the Code from Table 4 or selecting the Code from the menu in column 2. 

If any party to a derivative can choose whether to settle in cash or by delivery, treat that derivative as physically settled.

If you have an option, state the first date that the option can be exercised in the “Begin of exercise period” column and the last date on which any option can be exercised in the “End of exercise period” column.  If you have another type of derivative, state the maturity date in the “End of exercise period” column.

State the number of shares in which you derive an interest (or a short position) from the derivatives in the “Number of Shares” column.  General Note 13 explains how to work this out. If you have more than one derivative of the same category, add them together and state the total number (in one row) in the “Number of Shares” column.  If you have more than one derivative but they are in different categories, use two or more Codes (on different rows) and state the number of shares for each category of derivative (on different rows) in the “Number of Shares” column.

See Table 4 for the Codes of Category of Derivatives. 

Derivatives granted by the listed corporation

If the derivatives have been granted to you by the listed corporation then you must give details of those equity derivatives on a separate row in Box 28 if the relevant event was :

(i)          the grant of derivatives or rights under the derivatives - then you should state the price per share paid or received, or the consideration per share given or received, for the grant of the derivatives or rights under the derivatives in the “Price for grant” column.

(ii)         the exercise of rights under the derivatives - then you should state the price per share paid or received, or the consideration per share given or received, on the exercise of rights under the derivatives in the “Exercise price” column.

(iii)        the assignment of the derivatives or of rights under the derivatives - then you should state the price per share paid or received, or the consideration per share given or received, on the assignment of the derivatives or rights under the derivatives in the “Price on assignment” column.

If no price was paid or received, and no consideration given or received, then you should insert the figure “0” in the column which applies to you.

If the derivatives were granted to any of the persons mentioned in General Note 8 by the listed corporation, and the relevant event is the grant, the exercise of rights under or the assignment of those derivatives, then you must give the details mentioned in the preceding paragraphs.

Box 29

If your spouse (or child under 18) is interested in shares in the same listed corporation, your spouse’s interest/your child’s interest is taken to be your interest. Details of that interest must also be taken into account in completing Boxes 25 and 26.

If this is an Initial Notification, you must complete Box 29 if your spouse/child has shares in the listed corporation. State the name of the spouse (or child under 18), his/her address and the number of shares in which you are interested through your spouse (or child under 18) in Box 29.  State the details of each additional family member who holds shares in the listed corporation.

If this is not an Initial Notification, you must only give details if your spouse (or child under 18) was interested in the shares involved in the relevant event. State the name of the spouse (or child under 18), his/her address and the number of shares in which he/she was interested. However, a director who is also a substantial shareholder should read the Special Notes for completion of Boxes 27 to 32 on page 12.

If your family member also has a short position, then the same principles apply.

The data entered in column 3 (i.e. address of spouse and/or children) will not be available for viewing by the public when searching the DI pages of the HKEX website.

Box 30

If you are entitled to exercise, or control the exercise of, one-third or more of the voting power at general meetings of a corporation, or the corporation or its directors are accustomed to act in accordance with your directions, and that corporation is interested in shares of the listed corporation concerned, the corporation’s interest will be taken to be your interest. Details of that interest must also be taken into account in completing Boxes 25 and 26.

If this is an Initial Notification, you must complete Box 30 if a corporation that you control (referred to in these Notes as a “controlled corporation”) has shares in the listed corporation. If there is more than one corporation that you control, then details of each controlled corporation must be stated separately in Box 30.

If this is not an Initial Notification, you must only give details if a controlled corporation was interested in the shares involved in the relevant event. State the name and address of the controlled corporation and the number of shares involved in the relevant event in which it was interested. However, a director who is also a substantial shareholder should read the Special Notes for completion of Boxes 27 to 32 on page 12.

If the controlled corporation also has a short position, then the same principles apply.

Box 30 should be completed as follows :

Example of how to complete Box 30

Assume that Mr. Wong Ging Teng Anthony is appointed a director of XYZ Ltd. (a listed corporation). He already owns 100% of the shares in a private corporation ABC (Hong Kong) Ltd. which owns 51% of the shares in DEF (Hong Kong) Ltd. which owns 35% of GHI (Hong Kong) Ltd. and 65% of Wong Industries Ltd. Wong Industries Ltd. in turn owns 100% of the shares in Wong Asset Management Ltd.

The group holdings in XYZ Ltd. are as follows : GHI (Hong Kong) Ltd. has a call option over 25,000,000 shares (physically settled) and has a short position in 10,000,000 shares under a cash settled equity derivative (details of these derivative interests will have been given in Box 28). Wong Industries Ltd. owns 10,000,000 shares and Wong Asset Management Ltd. owns 15,000,000 shares.

Group structure and holdings :

In this example, the entries in Box 30 would be as follows :

30. Further information in relation to interests of corporations controlled by director

Box 31

If you are interested in shares of the listed corporation concerned jointly with another person, you are both taken to be interested in all of the shares held jointly. Details of that interest must also be taken into account in completing Boxes 25 and 26.

If this is an Initial Notification, you must complete Box 31 if you are interested in shares of the listed corporation concerned jointly with another person. State the name of the person who owns the interest in the shares jointly with you, his/her/its address and the number of shares in which he/she/it is interested.

If this is not an Initial Notification, you must only give details if the shares in which you are interested jointly with another person were involved in the relevant event. State the name of the person who owns the interest in the shares jointly with you, his/her/its address and the number of shares involved in the relevant event in which he/she/it was interested. However, a director who is also a substantial shareholder should read the Special Notes for completion of Boxes 27 to 32 on page 12.

The same principles apply to short positions held jointly.

Box 32

If you are a trustee of a trust, a beneficiary of a trust, or if you are the “founder” of a discretionary trust (e.g. you had a discretionary trust set up or you put assets into it) and can influence how the trustee exercises his discretion, then you are taken to be interested in all the shares of the listed corporation in which the trust has an interest (or a short position). Details of that interest must also be taken into account when completing Boxes 25 and 26. Ignore an interest in reversion or remainder, an interest of a bare trustee.

If this is an Initial Notification, you must complete Box 32 if you are interested in shares of a listed corporation through a trust. You need not state the name of the trust which owns the interest in the shares and its address in columns 1 and 2 if you wish these to remain private. State the description which best describes your status in relation to the trust either by entering the Code from Table 5 or selecting the Code from the menu in column 3. State the number of shares in which the trust is interested (has a short position) in column 4 (and 5).

If this is not an Initial Notification, you must only give details if the shares in which you are interested through a trust were involved in the relevant event. State the name of the trust which owns the interest in the shares, its address and the number of shares involved in the relevant event in which the trust was interested. However, a director who is also a substantial shareholder should read the Special Notes for completion of Boxes 27 to 32 on page 12.

See Table 5 for Codes of Status in relation to a Trust.

Box 33

If you are a party to an agreement with other parties to acquire interests in shares in the listed corporation concerned in the circumstances set out in section 317(1)(a) or (b) of the SFO, then add any shares in which any other party to the agreement is interested to your own interests in working out whether (together) you are interested in 5% or more of the shares in a listed corporation and must file a notice. If (together) you are interested in 5% or more you will be a substantial shareholder in addition to being a director. Details of the interests of any other party must also be taken into account in completing Boxes 24 to 28.  You must state the name of each of the other parties to the agreement, his/her/its address and the number of shares in which he/she/it is interested “apart from the agreement” in Box 33. In the last row of Box 33, state the number of shares in which you are interested under sections 317 and 318 of the SFO. This will be the total of firstly all shares which have been purchased pursuant to the agreement by any of the parties to the agreement and secondly all shares in which the other parties to the agreement are interested “apart from the agreement” (defined in section 318(2) of the SFO).

Example of how to complete Box 33

Assume that Mr. Wong Ging Teng Anthony and 2 other persons agree to buy shares in XYZ Ltd. (a listed corporation). They are each already interested in a number of shares of XYZ Ltd. which they purchased before they entered into the s.317 agreement.  Under the s.317 agreement, Mr. Wong purchased 25,000,000 shares, Mr. A purchased 20,000,000 shares and Mr. B purchased 15,000,000 shares in XYZ Ltd. Their shareholdings are as follows –

Assume also that Mr. Wong is completing the notice. He will already have stated in Box 26 that he is interested in 116,000,000 shares. He has to state the number of shares in which the other parties are interested “apart from the agreement” and the total shares in which he is interested by the application of sections 317 and 318 (the 60,000,000 shares bought pursuant to the agreement and the further shares that the other parties are interested in “apart from the agreement”). Accordingly, Mr. Wong will then complete Box 33 as follows –

33. Further information from a party to an agreement under section 317 (Please see Notes for further information required)

You must also  -

(i)             attach a separate sheet to the notification stating that you are a party to an agreement to which section 317(1)(a) or (b) applies;

(ii)           include a copy of any written agreement, contract or other document which records any terms or details of the agreement; and

(iii)          if there are no such papers as are mentioned in (ii), or if such papers do not record the material terms of the agreement, include a written memorandum setting out the material terms of the agreement.

If the agreement or document required under (ii) records terms or details other than any arrangement to which section 317(1)(a) or (b) applies, you need to provide the extracts of the agreement or document which relates to any arrangement to which section 317(1)(a) or (b) applies.

The memorandum required under (iii) should include details of any cash or consideration involved and the identity of all persons between whom such cash or other consideration is passed or is intended to pass. If the parties are interested in any derivatives, the exercise or conversion price, expiration date and exercise period should be disclosed.  The memorandum must be signed by the director or his duly authorized agent.

A notification that a person has ceased to be a party to an agreement to which section 317(1)(a) or (b) applies shall also state that he or the other party (as the case may be) has ceased to be a party to the agreement  and, in the latter case, include the name and address of the other party.

Copies of any documents that are submitted to the SEHK by using the DION System will be available for inspection by the public on HKEX website.  If you wish to keep any personal information in private, redact such information before submitting the document.

Do not submit copies of any documents which are password-protected or otherwise encrypted so as to ensure the documents can be properly opened and displayed on the DI pages of the HKEX website.

Box 34

Provide any supplementary information, e.g. the class of shares if you select “Other” in Box 5; the description of the relevant event if you select Code 1113 (any other event), Code 1213 (any other event), Code 1316 (any other event), Code 1403 (any other event), Code 1503 (any other event), Code 1702 (Notice filed to remove outdated information), Code 1710 (Voluntary disclosure) or Code 1711 (Other); the capacity if you select Code 2501; the category of derivatives if you select Code 4104 or 4108.

The word limit of this Box is 500 characters of text and numbers.

Box 35

Tick this box if this Form 3A is a revision of a previously submitted Form and insert the log/serial number of the Form which you intend to revise.

Box 36

State the number of document stating that you are a party to an agreement to which section 317(a)(a) or (b) applies, concert party agreement or memorandum in relation to any agreement to which you are a party to acquire interests in shares listed in Box 33.

Do not send copies of share purchase agreements and other documents to the SEHK when filing this Form.  Attaching a document that explains the transaction in question does not discharge the duty to complete the prescribed form.

(110)

The number of shares in which you are interested has increased because:

(120)

The number of shares in which you are interested has reduced because:

(130)

There has been a change in nature of your interest in the shares because:

(140)

You came to have a short position in the shares or the number of shares in which you have a short position increased because:

(150)

You ceased to have a short position in the shares or the number of shares in which you have a short position decreased because:

(170)

Miscellaneous

(110)

The number of shares in which you are interested has increased because:

1101

you purchased the shares

1102

you were given the shares

(1103)

you became the holder of, wrote or issued equity derivatives under which (choose one):

11031

you have a right to take the underlying shares

11032

you are under an obligation to take the underlying shares

11033

you have a right to receive from another person an amount if the price of the underlying shares is above a certain level

11034

you are under an obligation to pay another person an amount if the price of the underlying shares is below a certain level

11035

you have any of the rights or obligations referred to in 11031 to 11034 above embedded in a contract or instrument

1104

you acquired a security interest in the shares

1105

you inherited the shares

1106

you became a beneficiary under a trust interested in the shares

1108

your spouse ceased to be a director or chief executive of the listed corporation

1109

you entered into an agreement for the exchange of an instrument for another instrument in respect of the same underlying shares

1110

you were placed the shares as a placee under a top-up placing

1111

new shares were issued to you after you have reduced your interest in shares by placing them to placee(s) under a top-up placing

1112

you became a member of a concert party group or a member of the concert party group acquired more of the shares

1113

any other event (you must briefly describe the relevant event in the Supplementary Information box)

(120)

The number of shares in which you are interested has reduced because:

1201

you completed a sale of the shares

1202

you made a gift of the shares

1203

you delivered the shares or an amount due under equity derivatives

(1204)

expiry or cancellation without exercise of equity derivatives under which (choose one):

12041

you had a right to take the underlying shares

12042

you were under an obligation to take the underlying shares

12043

you had a right to receive from another person an amount if the price of the underlying shares was above a certain level

12044

you were under an obligation to pay another person an amount if the price of the underlying shares was below a certain level

12045

you had any of the rights or obligations referred to in 12041 to 12044 above embedded in a contract or instrument

1205

you ceased to have a security interest in the shares

1206

you did not take up, or sold, rights in a rights issue

1207

your spouse became a director or chief executive of the listed corporation

1208

you entered into an agreement for the exchange of an instrument for another instrument in respect of the same underlying shares

1209

you placed the shares to placee(s) under a top-up placing

1210

new shares were issued in a top-up placing

1211

you have ceased to be a member of a concert party group or a member of the concert party group has disposed of some of the shares

1213

any other event (you must briefly describe the relevant event in the Supplementary Information box)

(130)

There has been a change in nature of your interest in the shares because:

1301

the shares have been delivered to you and you have not previously notified the purchase of the shares  

1302

you have entered into an agreement for the sale of shares in which you are interested

1303

you have exercised rights to the shares under equity derivatives

1304

rights to the shares under equity derivatives have been exercised against you

1305

you have provided an interest in the shares as security to a person other than a qualified lender

1306

an interest in the shares, that you provided as security to a person other than a qualified lender, has been released

1307

you have taken steps to enforce a security interest in the shares, or rights to such shares held as security, and you are not a qualified lender

1308

steps have been taken to enforce a security interest in the shares, or rights to such shares held as security, against you

1309

you are a beneficiary under a will and the shares have been transferred to you by an executor

1310

you are a beneficiary under a trust and the shares have been transferred to you by a trustee

1311

you have delivered the shares to a person who had agreed to borrow them

1312

the shares lent by you have been returned to you

1313

you have lent the shares under a securities borrowing and lending agreement

1314

you have recalled the shares under a securities borrowing and lending agreement

1315

you have declared a trust over shares that you continue to hold

1316

any other event (you must briefly describe the relevant event in the Supplementary Information box)

(140)

You came to have a short position in the shares or the number of shares in which you have a short position increased because:

(1401)

you became the holder of, wrote or issued equity derivatives under which (choose one):

14011

you have a right to require another person to take delivery of the underlying shares

14012

you are under an obligation to deliver the underlying shares

14013

you have a right to receive from another person an amount if the price of the underlying shares is below a certain level

14014

you are under an obligation to pay another person an amount if the price of the underlying shares is above a certain level

14015

you have any of the rights or obligations referred to in 14011 to 14014 above embedded in a contract or instrument

1402

you borrowed the shares under a securities borrowing and lending agreement

1403

any other event (you must briefly describe the relevant event in the Supplementary Information box)

(150)

You ceased to have a short position in the shares or the number of shares in which you have a short position decreased because:

(1501)

expiry or cancellation without exercise of equity derivatives under which (choose one):

15011

you have a right to require another person to take delivery of the underlying shares