白色申請表格 - HKExnews

Please use this form if you want the Hong Kong Offer Shares to be issued in your name
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
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Staple your
payment here
請將股款
緊釘在此
This Application Form uses the same terms as defined in the prospectus of Zuoli Kechuang Micro-finance Company Limited* (the“Company”
)
dated 30 December 2014 (the“Prospectus”).
本申請表格使用佐力科創小額貸款股份有限公司(
「本公司」
)於2014年12月30 日刊發的招股章程(
「招股章程」
)所界定的詞語。
Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer Shares
in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in the United States without registration or
an exemption from registration under the U.S. Securities Act.
本申請表格及招股章程概不構成在香港以外任何司法權區要約出售或招攬要約購買香港發售股份。若無根據美國證券法登記或豁
免登記,香港發售股份不得在美國提呈發售或出售。
This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever
in any jurisdiction where such forwarding, distribution or reproduction is not permitted under the laws of that jurisdiction.
在任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法權區內概不得發送或派發或複製(不論方式,也不論全
部或部分)本申請表格及招股章程。
Copies of the Prospectus, all related Application Forms and the other documents specified in the“Documents Delivered to the Registrar of
Companies and Available for Inspection”section in Appendix VII to the Prospectus, have been registered by the Registrar of Companies in
Hong Kong. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the“Hong Kong Stock Exchange”),
Hong Kong Securities Clearing Company Limited “
( HKSCC”), the Securities and Futures Commission of Hong Kong (the“SFC”) and the
Registrar of Companies in Hong Kong take no responsibility for the contents of these documents.
招股章程、所有相關申請表格及招股章程附錄七「送呈公司註冊處處長及備查文件」一節所述其他文件已送呈香港公司註冊處處
長登記。香港交易及結算所有限公司、香港聯合交易所有限公司(「香港聯交所」
)、香港中央結算有限公司(「香港結算」)、香港
證券及期貨事務監察委員會(「證監會」)及香港公司註冊處處長對此等文件的內容概不負責。
Zuoli Kechuang Micro-finance Company Limited*
佐力科創小額貸款股份有限公司
(A joint stock company incorporated in the People’s Republic of China with limited liability)
(於中華人民共和國註冊成立的股份有限公司)
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Stock code : 6866
股份代號 : 6866
Maximum Offer Price : HK$1.39 per H Shares, plus brokerage of 1%, SFC
transaction levy of 0.0027%, and Hong Kong Stock
Exchange trading fee of 0.005% (payable in full on
application in Hong Kong dollars and subject to
refund)
最高發售價 : 每股H股1.39港元,另加1% 經紀佣金,0.0027%證
監會交易徵費及 0.005%香港聯交所交易費(須於申
請時以港元繳足,多繳股款將可退還)
You should read this Application Form in conjunction with the Prospectus, which contains further information on the
application procedures. 招股章程尚有關於申請程序的其他資料,本申請表格應與招股章程一併閱讀。
Application Form 申請表格
To: Zuoli Kechuang Micro-finance Company Limited
China Galaxy International Securities (Hong Kong)
Co., Limited
Convoy Investment Services Limited
Guangdong Securities Limited
(in alphabetical order)
The Hong Kong Underwriters
致: 佐力科創小額貸款股份有限公司
中國銀河國際證券(香港)有限公司
Applicants’ declaration
I/We agree to the terms and conditions and application
procedures in this Application Form and the Prospectus.
Please refer to the “Effect of completing and submitting
this Application Form” section of this Application Form.
申請人聲明
本人╱吾等同意本申請表格及招股章程的條款及條件以
及申請程序。見本申請表格「填交本申請表格的效用」一
節。
Warning: Only one application may be made for the
benefit of any person. Please refer to the last four bullets
of “Effect of completing and submitting this Application
Form” section.
警告:任何人士只限作出一次為其利益而進行的認購申
請。請參閱「填交本申請表格的效用」一節最後四點。
*
For identification purposes only
康宏証券投資服務有限公司
粵海證券有限公司
(按英文首字母順序排序)
香港包銷商
* 僅供識別
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
Signed by (all) applicant(s) (all joint applicants must sign):
由(所有)申請人簽署(所有聯名申請人必須簽署):
For Broker use 此欄供經紀填寫
Broker no.經紀號碼
Lodged by 遞交申請的經紀
Broker’s chop 經紀印鑒
............................................................................................................
Date: 日期:................ / ................ / ..................
D日
M月
Y年
Total amount 總額
港元
HK$
Cheque/banker’s cashier order number 支票╱銀行本票號碼
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Number of Hong Kong Offer Shares applied for (not more than
15,000,000 H Shares) 申請香港發售股份數目(不超過 15,000,000
股H股)
Name of bank on which cheque/Banker’s cashier order is drawn
(see “How to make your application” section) 兌現支票╱銀行
本票的銀行名稱(請參閱「申請手續」一節)
Name in English 英文姓名╱名稱
Name in Chinese 中文姓名╱名稱
Family name or company name 姓氏或公司名稱
Names of all other joint applicants in English (if any)
所有其他聯名申請人的英文姓名╱名稱(如有)
1)
2)
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Forename(s) 名字
Hong Kong Identity Card No./Passport No./Hong Kong Business
Registration No.* (Please delete as appropriate) 香港身份證號碼╱
護照號碼╱香港商業登記號碼*(請刪除不適用者)
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Occupation in English 職業(以英文填寫)
Forename(s) 名字
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Family name or company name 姓氏或公司名稱
Hong Kong Identity Card No./Passport No./Hong Kong Business
Registration No. of all other joint applicants* (Please delete as
appropriate) 所有其他聯名申請人的香港身份證號碼╱護照號
碼╱香港商業登記號碼*(請刪除不適用者)
1)
2)
3)
Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant
only) 香港地址(以英文填寫)及電話號碼(聯名申請人只須填寫排名首位申請人的地址及電話號碼)
For Nominees: You will be treated as applying for your own benefit if
you do not complete this section. Please provide an account number or
identification code for each (joint) beneficial owner. 由代名人遞交:
代名人若不填寫本節, 是項認購申請將視作為 閣下利益提
出。請填寫每名(聯名)實益擁有人的賬戶號碼或識別編碼。
ADDRESS LABEL 地址標貼 (Your name(s) and address in Hong
Kong in BLOCK letters 請用英文正楷填寫姓名╱名稱及香港
地址)
For Internal use
此欄供內部使用
Telephone No. 電話號碼
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
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* (1) An individual must provide his Hong Kong Identity Card number or, if he does not hold a Hong Kong Identity
Card, his passport number. A body corporate must provide its Hong Kong Business Registration number. Each
joint applicant must provide its or his relevant number. The Hong Kong Identity Card number(s)/passport
number(s)/Hong Kong Business Registration number(s) will be transferred to a third party for checking this
Application Form’ s validity.
個別人士須填寫其香港身份證號碼或(如非香港身份證持有人)護照號碼。法人團體須填寫其香港商
業登記號碼。每名聯名申請人均須提供其相關號碼。該等香港身份證號碼╱ 護照號碼╱ 香港商業登
記號碼將轉交第三方以核實本申請表格的有效性。
Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named
applicant may be printed on your refund cheque (if any). Your banker may require verification of your Hong
Kong Identity Card number/passport number before you can cash your refund cheque.
日後如需退回申請股款,退款支票上或會印有 閣下或(如屬聯名申請人)排名首位申請人的香港身
份證號碼╱ 護照號碼的一部分。銀行兌現退款支票前或會要求查證 閣下的香港身份證號碼╱ 護照
號碼。
(3)
If an application is made by an unlisted company and:
•
the principal business of that company is dealing in securities; and
•
you exercise statutory control over that company,
then the application will be treated as being made for your benefit.
倘若申請人是一家非上市公司,而:
•
該公司主要從事證券買賣業務;及
•
閣下對該公司可行使法定控制權,
是項申請將視作為 閣下的利益提出。
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(2)
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This page is intentionally left blank
此乃白頁 特意留空
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
How to make your application
1.
Use the table below to calculate how much you must pay. Your application must be for a minimum of 2,000
Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS
2,808.02
5,616.03
8,424.05
11,232.06
14,040.08
16,848.08
19,656.10
22,464.11
25,272.13
28,080.14
42,120.22
56,160.28
70,200.36
84,240.42
98,280.50
112,320.56
126,360.64
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
1,000,000
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
Amount payable
on application
HK$
140,400.70
280,801.41
421,202.11
561,602.81
702,003.52
842,404.22
982,804.92
1,123,205.62
1,263,606.33
1,404,007.03
2,808,014.06
4,212,021.09
5,616,028.12
7,020,035.15
8,424,042.18
9,828,049.21
11,232,056.24
No. of
Hong Kong Offer
Shares applied for
9,000,000
10,000,000
11,000,000
12,000,000
13,000,000
14,000,000
15,000,000(1)
Amount payable
on application
HK$
12,636,063.27
14,040,070.30
15,444,077.33
16,848,084.36
18,252,091.39
19,656,098.42
21,060,105.45
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No. of
Hong Kong Offer
Shares applied for
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2,000
4,000
6,000
8,000
10,000
12,000
14,000
16,000
18,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
Amount payable
on application
HK$
樣
No. of
Hong Kong Offer
Shares applied for
Maximum number of Hong Kong Offer Shares you may apply for.
2.
Complete the form in English and sign it. Only written signatures will be accepted (and not by way of personal
chop).
3.
Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares
must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application
will be rejected if your cheque or banker’s cashier order does not meet all the following requirements:
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The cheque must:
Banker’s cashier order must:
•
•
•
•
be in Hong Kong dollars;
not be post-dated;
be made payable to “Bank of Communications (Nominee) Co. Ltd. — Zuoli Kechuang Public Offer”;
be crossed “Account Payee Only”;
•
be drawn on your Hong Kong dollar bank account •
with a licensed bank in Hong Kong; and
•
show your account name, which must either be preprinted on the cheque, or be endorsed on the back
by a person authorised by the bank. This account
name must correspond with your name. If it is a
joint application, the account name must be the
same as the first-named applicant’s name.
•
be issued by a licensed bank in Hong Kong; and
have your name certified on the back by a person
authorised by the bank. The name on the banker’s
cashier order must correspond with your name. If it
is a joint application, the name on the back of the
banker’s cashier order must be the same as the firstnamed applicant’s name.
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
4.
Tear off this Application Form, fold it once and lodge your completed Application Form (with cheque or
banker’s cashier order attached) to one of the collection boxes at any of the following branches of:
Bank of Communications Co., Ltd. Hong Kong Branch
District
Branch
Address
Hong Kong Island
Central District Sub-Branch
G/F., Far East Consortium Building,
125A Des Voeux Road C., Central
G/F., 981C King’s Road, Quarry Bay
Quarry Bay Sub-Branch
Cheung Sha Wan Plaza Sub-Branch Unit G04, Cheung Sha Wan Plaza,
833 Cheung Sha Wan Road
Hunghom Sub-Branch
Flat/Rm A6, G/F., Wing Kwai Building,
1–3 Tak Man Street, Whampoa Estate
New Territories
Tseung Kwan O Sub-Branch
5.
Your Application Form can be lodged at these times:
—
—
—
—
—
9:00 a.m. to 5:00 p.m.
9:00 a.m. to 5:00 p.m.
9:00 a.m. to 5:00 p.m.
9:00 a.m. to 1:00 p.m.
9:00 a.m. to 12:00 noon
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Tuesday, 30 December 2014
Wednesday, 31 December 2014
Friday, 2 January 2015
Saturday, 3 January 2015
Monday, 5 January 2015
The latest time for lodging your application is 12:00 noon on Monday, 5 January 2015. The application lists
will be open between 11:45 a.m. and 12:00 noon on that day, subject only to the weather conditions, as
described in “10. Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for
Hong Kong Offer Shares” section of the Prospectus.
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Shop 253–255, Metro City Shopping Arcade,
Phase I, Tseung Kwan O
Shop No.1, G/F., Wing Fai Plaza,
29–35 Ting Kok Road, Tai Po
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Tai Po Sub-Branch
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Kowloon
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請的股數須至少為 2,000 股香港發售股份,並為下表所列
的其中一個數目,否則恕不受理。
可供申請認購股份數目及應繳款項
2,808.02
5,616.03
8,424.05
11,232.06
14,040.08
16,848.08
19,656.10
22,464.11
25,272.13
28,080.14
42,120.22
56,160.28
70,200.36
84,240.42
98,280.50
112,320.56
126,360.64
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
1,000,000
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
申請時
應繳款項
港元
140,400.70
280,801.41
421,202.11
561,602.81
702,003.52
842,404.22
982,804.92
1,123,205.62
1,263,606.33
1,404,007.03
2,808,014.06
4,212,021.09
5,616,028.12
7,020,035.15
8,424,042.18
9,828,049.21
11,232,056.24
申請認購的
香港發售
股份數目
9,000,000
10,000,000
11,000,000
12,000,000
13,000,000
14,000,000
15,000,000(1)
申請時
應繳款項
港元
12,636,063.27
14,040,070.30
15,444,077.33
16,848,084.36
18,252,091.39
19,656,098.42
21,060,105.45
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申請認購的
香港發售
股份數目
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2,000
4,000
6,000
8,000
10,000
12,000
14,000
16,000
18,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
申請時
應繳款項
港元
樣
申請認購的
香港發售
股份數目
閣下可申請認購的香港發售股份最高數目。
2.
以英文填妥及簽署申請表格。只接納親筆簽名(不得以個人印章代替)。
3.
閣下須將支票或銀行本票釘於表格上。每份香港發售股份申請須附一張獨立開出支票或一張獨立開出
銀行本票。支票或銀行本票必須符合以下所有規定,否則有關的認購申請不獲接納:
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支票必須:
•
•
•
•
銀行本票必須:
為港元;
不得為期票;
註明抬頭人為「交通銀行(代理人)有限公司 — 佐力科創公開發售」;
劃線註明「只准入抬頭人賬戶」;
• 從 閣下在香港的持牌銀行開設的港元銀行賬 • 須由香港持牌銀行開出;及
戶中開出;及
• 由有關銀行授權的人士在銀行本票背面簽署核
• 顯示 閣下的賬戶名稱, 而該賬戶名稱必須已
證 閣下姓名╱名稱。 銀行本票所示姓名╱名
預印在支票上, 或由有關銀行授權的人士在支
稱 須 與 閣 下 姓 名╱名 稱 相 同。 如 屬 聯 名 申
票背書。 賬戶名稱必須與 閣下姓名╱名稱相
請, 銀行本票背面所示姓名╱名稱必須與排名
同。 如屬聯名申請, 賬戶名稱必須與排名首位
首位申請人的姓名╱名稱相同。
申請人的姓名╱名稱相同。
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
4.
請撕下本申請表格,對摺一次,然後將填妥的申請表格(連同支票或銀行本票)投入下列任何一家分行
特設的收集箱:
交通銀行股份有限公司香港分行
地址
港島區
中區支行
鰂魚涌支行
中環德輔道中125 號A遠東發展大廈地下
鰂魚涌英皇道 981號 C地下
九龍區
長沙灣廣場支行
紅磡支行
長沙灣道833 號長沙灣廣場G04 號舖
黃埔新邨德民街 1–3號永貴大廈地下A6 號舖
新界區
將軍澳支行
大埔支行
將軍澳新都城商場一期 253–255號舖
大埔汀角路29–35 號榮暉花園地下 1號舖
閣下可於下列時間遞交申請表格:
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分行
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5.
地區
2014 年12月30日(星期二)—
2014年12 月 31日(星期三)—
2015年 1月2日(星期五)—
2015年1 月3 日(星期六)—
2015年 1月5 日(星期一)—
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截止遞交申請的時間為 2015 年 1 月 5 日(星期一)中午 12 時正。本公司將於當日上午 11 時 45 分至中午
12 時正期間登記認購申請,唯一會影響此時間的變化因素為當日的天氣情況(詳見招股章程「如何申請
香港發售股份」一節「10.惡劣天氣對開始辦理申請登記的影響」)。
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上午 9時正至下午5 時正
上午9 時正至下午 5時正
上午 9 時正至下午5時正
上午 9時正至下午1 時正
上午9時正至中午 12 時正
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
Zuoli Kechuang Micro-finance Company Limited*
佐力科創小額貸款股份有限公司
(A joint stock company incorporated in the People’s Republic of China with limited liability)
Conditions of your application
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confirm that you have received and read the Prospectus and
have only relied on the information and representations
contained in the Prospectus in making your application and will
not rely on any other information or representations except
those in any supplement to the Prospectus;
confirm that you are aware of the restrictions on the Global
Offering in the Prospectus;
agree that none of the Company, the Sole Sponsor, the Joint
Bookrunners, the Joint Lead Managers and the Hong Kong
Underwriters, their respective directors, officers, employees,
partners, agents, advisers and any other parties involved in the
Global Offering is or will be liable for any information and
representations not in the Prospectus (and any supplement to it);
undertake and confirm that you or the person(s) for whose
benefit you have made the application have not applied for or
taken up, or indicated an interest for, and will not apply for or
take up, or indicate an interest for, any International Offer
Shares under the International Offering nor participated in the
International Offering;
agree to disclose to the Company, our H Share Registrar, the
receiving bank, the Sole Sponsor, the Joint Bookrunners, the
Joint Lead Managers and the Hong Kong Underwriters and/or
their respective advisers and agents any personal data which
they may require about you and the person(s) for whose benefit
you have made the application;
if the laws of any place outside of Hong Kong apply to your
application, agree and warrant that you have complied with all
such laws and none of the Company, the Sole Sponsor, the Joint
Bookrunners, the Joint Lead Managers and the Hong Kong
Underwriters nor any of their respective officers or advisers will
breach any laws outside of Hong Kong as a result of the
acceptance of your offer to purchase, or any action arising from
your rights and obligations under the terms and conditions
contained in the Prospectus and this Application Form;
agree that once your application has been accepted, you may not
rescind it because of an innocent misrepresentation;
agree that your application will be governed by the laws of
Hong Kong;
represent, warrant and undertake that: (i) you understand that
the Hong Kong Offer Shares have not been and will not be
registered under the U.S. Securities Act; and (ii) you and any
person for whose benefit you are applying for the Hong Kong
Offer Shares are outside the United States (as defined in
Regulation S) or are a person described in paragraph (h)(3) of
Rule 902 of Regulation S;
warrant that the information you have provided is true and
accurate;
agree to accept the Hong Kong Offer Shares applied for, or any
lesser number allocated to you under the application;
authorise the Company to place your name(s) on the Company’s
register of members as the holder(s) of any Hong Kong Offer
Shares allocated to you, and the Company and/or its agents to
send any H Share certificate(s) and/or any refund cheque(s) to
you or the first-named applicant for joint application by
ordinary post at your own risk to the address stated on the
application, unless you have chosen to collect the H Share
certificate(s) and/or refund cheque(s) in person;
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A. Who can apply
1. You and any person(s) for whose benefit you are applying must
be 18 years of age or older and must have a Hong Kong address.
2. If you are a firm, the application must be in the individual
members’ names.
3. The number of joint applicants may not exceed 4.
4. If you are a body corporate, the application must be signed by a
duly authorised officer, who must state his representative
capacity, and stamped with your corporation’s chop.
5. You must be outside the United States, not be a United States
person (as defined in Regulation S under the U.S. Securities
Act) and not be a legal or natural person of the PRC.
6. Unless permitted by the Listing Rules, you cannot apply for any
Hong Kong Offer Shares if you:
• are an existing beneficial owner of Shares in the Company;
• are a director or chief executive officer of the Company;
• are a connected person (as defined in the Listing Rules) of
the Company or will become a connected person of the
Company immediately upon completion of the Global
Offering;
• are an associate (as defined in the Listing Rules) of any of
the above; and
• have been allocated or have applied for or indicated an
interest in any International Offer Shares under the
International Offering.
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GLOBAL OFFERING
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B. If you are a nominee
You, as a nominee, may make more than one application for the
Hong Kong Offer Shares by: (i) giving electronic instructions to
HKSCC via Central Clearing and Settlement System (“CCASS”) (if
you are a CCASS Participant); or (ii) using a WHITE or
YELLOW Application Form, and lodge more than one application
in your own name on behalf of different beneficial owners.
C. Effect of completing and submitting this Application Form
By completing and submitting this Application Form, you (and if
you are joint applicants, each of you jointly and severally) for
yourself or as an agent or a nominee on behalf of each person for
whom you act:
• undertake to execute all relevant documents and instruct and
authorise the Company and/or the Joint Bookrunners (or their
agents or nominees), as agents of the Company, to execute any
documents for you and to do on your behalf all things necessary
to register any Hong Kong Offer Shares allocated to you in your
name as required by the Articles of Association;
• agree to comply with the Hong Kong Companies (Winding Up
and Miscellaneous Provisions) Ordinance, the PRC Company
Law, the Special Regulations and the Articles of Association;
• confirm that you have read the terms and conditions and
application procedures set out in the Prospectus and in this
Application Form and agreed to be bound by them;
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For identification purposes only
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Please use this form if you want the Hong Kong Offer Shares to be issued in your name
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If you are an individual who is eligible for personal collection, you
must not authorise any other person to collect for you. If you are a
corporate applicant which is eligible for personal collection, your
authorised representative must bear a letter of authorisation from
your corporation stamped with your corporation’s chop. Both
individuals and authorised representatives must produce, at the time
of collection, evidence of identity acceptable to the H Share
Registrar.
If you do not collect your H Share certificate(s) personally within
the time period specified for collection, they will be dispatched
promptly to the address as specified on this Application Form by
ordinary post at your own risk.
If you apply for less than 1,000,000 Hong Kong Offer Shares, your
refund cheque(s) and/or H Share certificate(s) will be sent to the
address on the relevant Application Form on or before Monday, 12
January 2015 by ordinary post and at your own risk.
Refund of your money
If you do not receive any Hong Kong Offer Shares or if your
application is accepted only in part, the Company will refund to
you your application monies (including the related 1% brokerage,
0.0027% SFC transaction levy and 0.005% Hong Kong Stock
Exchange trading fee) without interest. If the offer price is less than
the maximum Offer Price, the Company will refund to you the
surplus application monies (including the related 1% brokerage,
0.0027% SFC transaction levy and 0.005% Hong Kong Stock
Exchange trading fee) without interest.
The refund procedures are stated in the “14. Dispatch/Collection of
H Share certificates and refund monies” in the “How to Apply for
Hong Kong Offer Shares” section of the Prospectus.
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declare and represent that this is the only application made and
the only application intended by you to be made to benefit you
or the person for whose benefit you are applying;
understand that the Company and the Joint Bookrunners will
rely on your declarations and representations in deciding
whether or not to make any allotment of any of the Hong Kong
Offer Shares to you and that you may be prosecuted for making
a false declaration;
(if the application is made for your own benefit) warrant that no
other application has been or will be made for your benefit on a
WHITE or YELLOW Application Form or by giving
electronic application instructions to HKSCC or to the White
Form eIPO Service Provider by you or by any one as your
agent or by any other person; and
(if you are making the application as an agent for the benefit of
another person) warrant that: (i) no other application has been
or will be made by you as agent for or for the benefit of that
person or by that person or by any other person as agent for that
person on a WHITE or YELLOW Application Form or by
giving electronic application instructions to HKSCC; and (ii)
you have due authority to sign this Application Form or give
electronic application instructions on behalf of that other person
as his/her agent.
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D. Power of attorney
If your application is made through an authorised attorney, the
Company and the Joint Bookrunners may accept or reject your
application at their discretion, and on any conditions they think fit,
including evidence of the attorney’s authority.
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Determination of Offer Price and Allocation of Hong Kong
Offer Shares
The Offer Price is expected to be fixed on or around Thursday,
8 January 2015. Applicants are required to pay the maximum Offer
Price of HK$1.39 for each Hong Kong Offer Share together with 1%
brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong
Stock Exchange trading fee. If the Offer Price is not agreed
between the Company and the Joint Bookrunners (on behalf of the
Underwriters) on or before Sunday, 11 January 2015, the Global
Offering will not proceed. Applications for Hong Kong Offer
Shares will not be processed and no allotment of any Hong Kong
Offer Shares will be made until the application lists close. The
Company expects to announce the final Offer Price, the indication
of the level of interest in the International Offering, the level of
applications under the Hong Kong Public Offering and the basis of
allocation of the Hong Kong Public Offering on Monday,
12 January 2015 in the South China Morning Post (in English), the
Hong Kong Economic Times (in Chinese), the Company’s website
at www.zlkcxd.cn and the website of the Hong Kong Stock
Exchange at www.hkexnews.hk. Results of allocations in Hong
Kong Public Offering, and the Hong Kong Identity Card/passport/
Hong Kong business registration numbers of successful applicants
(where applicable) will be available on the above websites.
If your application for Hong Kong Offer Shares is successful (in
whole or in part)
If you apply for 1,000,000 or more Hong Kong Offer Shares, you
may collect your share certificate(s) in person from: Computershare
Hong Kong Investor Services Limited at Shop 1712–1716, 17th
Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong
Kong on Monday, 12 January 2015 or such other date as notified
by us in the newspapers.
Application by HKSCC Nominees Limited (“HKSCC
Nominees”)
Where this Application Form is signed by HKSCC Nominees on
behalf of persons who have given electronic application instructions
to apply for the Hong Kong Offer Shares, the provisions of this
Application Form which are inconsistent with those set out in the
Prospectus shall not apply and provisions in the Prospectus shall
prevail.
Without limiting the generality of this paragraph, the following
sections of this Application Form are inapplicable where this form
is signed by HKSCC Nominees:
• “Applicants’ declaration” on the first page;
• “Warning” on the first page;
• “If you are a nominee”;
• All representations and warranties under the “Effect of
completing and submitting this Application Form” section,
except the first one regarding registration of Hong Kong Offer
Shares in the applicant’s name and the signing of documents to
enable the applicant to be registered as the holder of the Hong
Kong Offer Shares;
• “If your application for Hong Kong Offer Shares is successful (in
whole or in part)”; and
• “Refund of your money”.
The following sections in the “How to Apply for Hong Kong Offer
Share” section of the Prospectus are inapplicable where this form is
signed by HKSCC Nominees:
• “How many applications can you make”; and
• “Circumstances in which you will not be allotted Offer Shares”.
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
Zuoli Kechuang Micro-finance Company Limited*
佐力科創小額貸款股份有限公司
(於中華人民共和國註冊成立的股份有限公司)
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確認 閣下已接獲及細閱招股章程,提出申請時也僅依據
招股章程載列的資料及陳述, 而除招股章程任何補充文件
外,不會倚賴任何其他資料或陳述;
確認 閣下知悉招股章程內有關全球發售的限制;
同意本公司、獨家保薦人、聯席賬簿管理人、聯席牽頭經
辦人、香港包銷商、彼等各自的董事、高級職員、僱員、
合夥人、 代理、 顧問及參與全球發售的任何其他人士現時
或日後均毋須對並非載於招股章程(及其任何補充文件)的
任何資料及陳述負責;
承諾及確認 閣下或 閣下為其利益提出申請的人士並無
申請或接納或表示有意認購(亦不會申請或接納或表示有意
認購 )國際發售的任何國際發售股份, 也沒有參與國際發
售;
同意在本公司、H股證券登記處、收款銀行、獨家保薦人、
聯席賬簿管理人、 聯席牽頭經辦人、 香港包銷商及╱或彼
等各自的顧問及代理提出要求時, 向彼等披露其所要求提
供有關 閣下及 閣下為其利益提出申請的人士的個人資
料;
若如香港境外任何地方的法例適用於 閣下的申請,則同
意及保證 閣下已遵守所有有關法例,且本公司、獨家保
薦人、 聯席賬簿管理人、 聯席牽頭經辦人及香港包銷商和
彼等各自的高級職員或顧問概不會因接納 閣下的購買要
約,或 閣下在招股章程及本申請表格所載的條款及條件
項下的權利及責任所引致的任何行動, 而違反香港境外的
任何法例;
同意 閣下之申請一經接納,即不得因無意作出的失實陳
述而撤銷;
同意 閣下之申請受香港法例規管;
聲明、 保證及承諾:(i) 閣下明白香港發售股份不曾亦不
會根據美國證券法登記;及(ii) 閣下及 閣下為其利益申
請香港發售股份的人士均身處美國境外( 定義見 S 規例 ),
或屬S規例第902條第(h)(3) 段所述的人士;
保證 閣下提供的資料真實及準確;
同意接納所申請數目或根據申請分配予 閣下但數目較少
的香港發售股份;
授權本公司將 閣下的姓名╱名稱列入本公司股東名冊,
作為 閣下獲分配的任何香港發售股份的持有人,並授權
本公司及╱或其代理以普通郵遞方式按申請所示地址向 閣下或聯名申請的首名申請人發送任何 H 股股票及╱或退
款支票,郵誤風險由 閣下承擔,除非 閣下已選擇親身
領取H股股票及╱或退款支票;
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申請條件
甲. 可提出申請的人士
1. 閣下及 閣下為其利益提出申請的任何人士必須年滿 18 歲
並有香港地址。
2. 如 閣下為商號,申請須以個別成員名義提出。
3. 聯名申請人不得超過4名。
4. 如 閣下為法人團體,申請須經獲正式授權人員簽署,並
註明其所屬代表身份及蓋上公司印鑑。
5. 閣下必須身處美國境外,並非美籍人士(定義見美國證券法
S規例),亦非中國法人或自然人。
6. 如 閣下屬下列人士,除非獲上市規則批准,否則 閣下
不得申請認購任何香港發售股份:
• 本公司股份的現有實益擁有人;
• 本公司的董事或主要行政人員;
• 本公司的關連人士(定義見上市規則)或緊隨全球發售完
成後將成為本公司關連人士的人士;
• 上述任何人士的聯繫人(定義見上市規則);及
• 已獲分配或已申請或表示有意申請國際發售的任何國際
發售股份。
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全球發售
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乙. 如 閣下為代名人
閣下作為代名人可提交超過一份香港發售股份申請,方法是:
(i) 透過中央結算及交收系統(「 中央結算系統 」
)向香港結算發
出電子認購指示(如 閣下為中央結算系統參與者);或 (ii) 使
用白色或黃色申請表格,以自身名義代表不同的實益擁有人提
交超過一份申請。
丙. 填交本申請表格的效用
閣下填妥並遞交本申請表格, 即表示 閣下( 如屬聯名申請
人,即各人共同及個別)代表 閣下本身,或作為 閣下代其
行事的每位人士的代理或代名人:
• 承諾促使所有相關文件生效, 並指示及授權本公司及╱
或作為本公司代理的聯席賬簿管理人( 或彼等的代理或代
名人 ), 按照章程細則的規定為 閣下簽立任何文件及代
表 閣下辦理一切必要事宜以將 閣下獲分配的任何香港
發售股份以 閣下名義登記;
• 同意遵守香港公司(清盤及雜項條文)條例、中國公司法、
特別規定及章程細則;
• 確認 閣下已細閱招股章程及本申請表格所載的條款及條
件以及申請程序,並同意受其約束;
* 僅供識別
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如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
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聲明及表示此乃 閣下為本身或 閣下為其利益提出申請
如 閣下為個人申請人並合資格親身領取,
閣下不得授權任
的人士提出及擬提出的唯一申請;
何其他人士代為領取。 如 閣下為公司申請人並合資格派人
明白本公司及聯席賬簿管理人將依據 閣下的聲明及陳述
領取,
閣下的授權代表須攜同蓋上公司印鑑的公司授權書領
而決定是否向 閣下配發任何香港發售股份,而倘 閣下
取。個人及授權代表領取股票時均須出示 H 股證券登記處接納
作出虛假聲明,可能會被檢控;
的身份證明文件。
• (如本申請為 閣下本身的利益提出)保證 閣下或作為 閣下代理的任何人士或任何其他人士不曾亦不會為 閣下
如 閣下並無在指定領取時間內親身領取H股股票, 有關股
的利益以白色或黃色申請表格或向香港結算或向白表 eIPO
票將會立刻以普通郵遞方式寄往本申請表格所示地址,郵誤風
服務供應商發出電子認購指示而提出其他申請;及
險概由 閣下承擔。
(i)
閣下(作為代理或為該人士利益)或該人士或任何其他
作為該人士代理的人士不曾亦不會以白色或黃色申請表格
或向香港結算發出電子認購指示而提出其他申請;及 (ii) 閣下獲正式授權作為該人士的代理代為簽署本申請表格或
票及╱或H股股票將於 2015 年 1 月 12 日( 星期一 )或之前以普
通郵遞方式寄往相關申請表格所示地址, 郵誤風險由 閣下
承擔。
退回款項
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發出電子認購指示。
如 閣下申請 1,000,000 股以下香港發售股份, 閣下的退款支
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• ( 如 閣下作為代理為另一人士的利益提出申請 )保證:
若 閣下未獲分配任何香港發售股份或申請僅部分獲接納,
丁. 授權書
如 閣下透過獲授權人士提出申請, 本公司及聯席賬簿管理
本公司將不計利息退回 閣下的申請股款( 包括相關的 1% 經
人可按其認為合適的任何條件( 包括出示獲授權證明 )酌情接
紀佣金、0.0027% 證監會交易徵費及 0.005% 香港聯交所交易
納或拒絕 閣下的申請。
費)。如發售價低於最高發售價,本公司將不計利息向
閣下
退回多收申請股款(包括相關的 1% 經紀佣金、0.0027% 證監會
釐定發售價及香港發售股份的分配
交易徵費及0.005%香港聯交所交易費)。
有關退款程序載於招股章程「如何申請香港發售股份」一節「14.
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預期發售價於 2015 年 1 月 8 日( 星期四 )或前後協定。 申請人
須繳付每股香港發售股份 1.39 港元的最高發售價,另加 1% 經
紀佣金、0.0027% 證監會交易徵費及 0.005% 香港聯交所交易
費。倘若本公司與聯席賬簿管理人(代表包銷商)並無於 2015
年 1 月 11 日( 星期日 )或之前協定發售價, 全球發售將不會進
行。截止登記認購申請前,概不處理香港發售股份的申請亦不
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會配發任何香港發售股份。 本公司預期於2015年1 月12 日(星
期一)在南華早報(英文)、香港經濟日報(中文)、本公司網站
www.zlkcxd.cn 及香港聯交所網站 www.hkexnews.hk 公佈最終
發售價、國際發售認購踴躍程度、香港公開發售申請水平及香
港公開發售分配基準。香港公開發售的分配結果以及成功申請
發送╱領取H股股票及退回股款」一段。
香港中央結算(代理人)有限公司(「香港結算代理人」)提出的
申請
如本申請表格由香港結算代理人代表發出電子認購指示申請香
港發售股份的人士簽署,本申請表格與招股章程不符的條文將
不適用,且以招股章程所述者為準。
在不限制此段一般應用的前提下,本申請表格的以下部分在香
港結算代理人作簽署人的情況下並不適用:
人的香港身份證號碼╱護照號碼╱香港商業登記號碼(如適用) •
•
亦同於上述網站公佈。
如 閣下成功申請認購香港發售股份(全部或部分)
第一頁的「申請人聲明」;
第一頁的「警告」;
• 「如 閣下為代名人」;
• 「填交本申請表格的效用」一節項下的所有陳述及保證,惟
如 閣下申請認購 1,000,000 股或以上香港發售股份, 閣下可
首項有關以申請人名義登記香港發售股份及簽署使申請人
於 2015 年 1 月 12 日( 星期一 )或本公司在報章上公佈的其他日
登記成為香港發售股份持有人的文件除外;
期,親身前往香港中央證券登記有限公司領取股票,地址為香
港灣仔皇后大道東183號合和中心17樓1712–1716室。
• 「如 閣下成功申請認購香港發售股份(全部或部分)」;及
• 「退回款項」。
招股章程「 如何申請香港發售股份 」一節的以下部分在香港結
算代理人作簽署人的情況下並不適用:
• 「閣下可提交的申請數目」;及
• 「閣下將不獲配發發售股份的情況」。
Please use this form if you want the Hong Kong Offer Shares to be issued in your name
3. Transfer of personal data
Personal data held by the Company and its H Share
Registrar relating to the securities’ holders will be kept
confidential but the Company and its H Share Registrar
may, to the extent necessary for achieving any of the
above purposes, disclose, obtain or transfer (whether
within or outside of Hong Kong) the personal data to,
from or with any of the following:
• the Company’s appointed agents such as financial
advisers, receiving bank and overseas principal
share registrar;
• where applicants for securities request a deposit into
CCASS, HKSCC or HKSCC Nominees, who will
use the personal data for the purposes of operating
CCASS;
• any agents, contractors or third-party service providers
who offer administrative, telecommunications,
computer, payment or other services to the
Company or the H Share Registrar in connection
with their respective business operation;
• the Hong Kong Stock Exchange, the SFC and any
other statutory regulatory or governmental bodies or
otherwise as required by laws, rules or regulations;
and
• any persons or institutions with which the securities’
holders have or propose to have dealings, such as
their bankers, solicitors, accountants or stockbrokers
etc.
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1. Reasons for the collection of your personal data
It is necessary for applicants and registered holders of
securities to supply correct personal data to the
Company or its agents and the H Share Registrar when
applying for securities or transferring securities into or
out of their names or in procuring the services of the H
Share Registrar.
Failure to supply the requested data may result in your
application for Hong Kong Offer Shares being rejected,
or in delay or the inability of the Company or its H
Share Registrar to effect transfers or otherwise render
their services. It may also prevent or delay registration
or transfers of the Hong Kong Offer Shares which you
have successfully applied for and/ or the dispatch of H
Share certificate(s) and/or refund cheque(s) to which
you are entitled.
It is important that securities’ holders inform the
Company and the H Share Registrar immediately of
any inaccuracies in the personal data supplied.
• any other incidental or associated purposes relating
to the above and/or to enable the Company and the
H Share Registrar to discharge their obligations to
securities’ holders and/or regulators and/or any
other purposes to which the securities’ holders may
from time to time agree.
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Personal Data
Personal Information Collection Statement
This Personal Information Collection Statement
informs the applicant for, and holder of, Hong Kong
Offer Shares, of the policies and practices of the
Company and its H Share Registrar in relation to
personal data and the Personal Data (Privacy)
Ordinance (Chapter 486 of the Laws of Hong Kong) (the
“Ordinance”).
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2. Purposes
The personal data of the securities’ holders may be
used, held, processed, and/or stored (by whatever
means), for the following purposes:
• processing your application and refund cheque,
where applicable, verification of compliance with
the terms and application procedures set out in this
Application Form and the Prospectus and
announcing results of allocation of the Hong Kong
Offer Shares;
• compliance with applicable laws and regulations in
Hong Kong and elsewhere;
• registering new issues or transfers into or out of the
names of securities’ holders including, where
applicable, HKSCC Nominees;
• maintaining or updating the register of securities’
holders of the Company;
• verifying securities’ holders’ identities;
• establishing benefit entitlements of securities’
holders of the Company, such as dividends, rights
issues and bonus issues;
• distributing communications from the Company;
• compiling statistical information and securities’
holders’ profiles;
• disclosing relevant information to facilitate claims
on entitlements; and
4. Retention of personal data
The Company and its H Share Registrar will keep the
personal data of the applicants and holders of securities
for as long as necessary to fulfill the purposes for
which the personal data were collected. Personal data
which is no longer required will be destroyed or dealt
with in accordance with the Ordinance.
5. Access to and correction of personal data
Securities’ holders have the right to ascertain whether
the Company or the H Share Registrar hold their
personal data, to obtain a copy of that data, and to
correct any data that is inaccurate. The Company and
the H Share Registrar have the right to charge a
reasonable fee for the processing of such requests.
All requests for access to data or correction of data
should be addressed to us, at our registered address
disclosed in the “Corporate Information” section of the
Prospectus or as notified from time to time, for the
attention of the company secretary, or our H Share
Registrar for the attention of the privacy compliance
officer.
By signing this Application Form or by giving
electronic application instructions to HKSCC, you
agree to all of the above.
如 閣下欲以本身名義登記將獲發行的香港發售股份,請使用本表格
個人資料收集聲明
此項個人資料收集聲明是向香港發售股份的申請人
和持有人說明有關本公司及其 H 股證券登記處有關
個人資料和香港法例第 486 章個人資料(私隱)條例
(「《條例》」)方面的政策和慣例。
1. 收集 閣下個人資料的原因
證券申請人及登記持有人以本身名義申請證券或轉
讓或受讓證券時或尋求 H 股證券登記處的服務時,
必須向本公司或其代理及 H 股證券登記處提供準確
未能提供所要求的資料可能導致 閣下申請香港
發售股份被拒或延遲,或本公司或其 H 股證券登記
處無法落實轉讓或提供服務。 此舉也可能妨礙或
延遲登記或轉讓 閣下成功申請的香港發售股份
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及╱或寄發 閣下應得的 H 股股票及╱或退款支
票。
證券持有人所提供的個人資料如有任何錯誤,須立
即通知本公司及H 股證券登記處。
2. 目的
3. 轉交個人資料
本公司及其 H 股證券登記處所持有關證券持有人的
個人資料將會保密,但本公司及其 H 股證券登記處
可以在為達到上述任何目的之必要情況下,向下列
任何人士披露、索取或轉交(無論在香港境內或境
外)有關個人資料:
• 本公司委任的代理人, 例如財務顧問、 收款銀
行和主要海外股份過戶登記處;
• ( 如證券申請人要求將證券存於中央結算系統 )
香港結算或香港結算代理人, 彼等將會就中央
結算系統的運作使用有關個人資料;
• 向本公司或 H 股證券登記處提供與其各自業務營
運有關的行政、 電訊、 電腦、 付款或其他服務
的任何代理、承包商或第三方服務供應商;
• 香港聯交所、 證監會及任何其他法定監管機關
或政府部門或法例、 規則或法規所規定的其他
機構;及
• 證券持有人與其進行或擬進行交易的任何人士
或機構, 例如彼等的銀行、 律師、 會計師或股
票經紀等。
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的個人資料。
• 與上述有關的任何其他附帶或相關目的及╱或
使本公司及 H 股證券登記處能履行對證券持有人
及╱或監管機構承擔的責任及╱或證券持有人
不時同意的任何其他目的。
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個人資料
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證券持有人的個人資料可被採用及以任何方式持
有、處理及╱或保存,以作下列用途:
• 處理 閣下的申請及退款支票( 如適用 )、 核實
4. 個人資料的保留
本公司及其 H 股證券登記處將按收集個人資料所需
的用途保留證券申請人及持有人的個人資料。無需
保留的個人資料將會根據《條例》銷毀或處理。
是否符合本申請表格及招股章程載列的條款和
5. 查閱和更正個人資料
證券持有人有權確定本公司或 H 股證券登記處是否
遵守香港及其他地區的適用法律及法規;
持有其個人資料,並有權索取有關資料並更正任何
以證券持有人( 包括香港結算代理人( 如適用 )) 不準確資料。本公司和 H 股證券登記處有權就處理
的名義登記新發行證券或轉讓或受讓證券;
任何查閱資料的要求收取合理費用。
所有查閱資料或更正資料的要求應按招股章程「公
存置或更新本公司證券持有人的名冊;
司資料」一節所披露或不時通知的本公司註冊地址
核實證券持有人的身份;
送交公司秘書,或向本公司的 H 股證券登記處的個
確定本公司證券持有人的受益權利,例如股息、
人資料私隱事務主任提出。
供股和紅股;
申請手續以及公佈香港發售股份的分配結果;
•
•
•
•
•
• 分發本公司的通訊;
• 編製統計數據和證券持有人資料;
• 披露有關資料以便就權益索償;及
閣下簽署本申請表格或向香港結算發出電子認購指
示,即表示同意上述各項。