No. of ordinary shares

Transcription

1 Monthly Return of Equity Issuer on Movements in Securities For the ended : 30 / 09/ 2018 To : Hong Kong Exchanges and Clearing Limited Name of Issuer Date Submitted 05 / 10 / 2018 CRRC Corporation Limited I. Movements in Authorised Share Capital 1. Ordinary Shares (1) Stock code : 1766 Description : H Shares No. of ordinary Par value (State ) Authorised share capital (State ) Balance at close of preceding 4,371,066,040 RMB 1.00 RMB 4,371,066,040 Increase/(decrease) Nil Nil Balance at 4,371,066,040 RMB 1.00 RMB 4,371,066,040 (2) Stock code : Description : A Shares No. of ordinary Par value (State ) Authorised share capital (State ) Balance at close of preceding 24,327,798,048 RMB 1.00 RMB 24,327,798,048 Increase/(decrease) Nil Nil Balance at 24,327,798,048 RMB 1.00 RMB 24,327,798,048

2 2. Preference Shares (N/A) Stock code : Description : Balance at close of preceding No. of preference Par value (State ) Authorised share capital (State ) Increase/(decrease) Balance at 3. Other Classes of Shares (N/A) Stock code : Description : Balance at close of preceding No. of other classes of Par value (State ) Authorised share capital (State ) Increase/(decrease) Balance at Total authorised share capital at the end of the (State ) : RMB 28,698,864,088

3 II. Movements in Issued Share Capital No. of ordinary (1) (2) No of preference No. of other classes of Balance at close of preceding 4,371,066,040 (H Shares) 24,327,798,048 (A Shares) N/A N/A Increase/ (decrease) Nil Nil N/A N/A Balance at 4,371,066,040 (H Shares) 24,327,798,048 (A Shares) N/A N/A III. Details of Movements in Issued Share Capital Share Options (under Share Option Schemes of the Issuer) (N/A) Particulars of share option scheme including EGM approval date and Movement class of issuable Granted Exercised Cancelled Lapsed 1. of issuer issued during the of issuer which may be issued as at Total A. (Ordinary ) (Preference ) (Other class) Total funds raised from exercise of options (State )

4 Warrants to Issue Shares of the Issuer which are to be Listed (N/A) Description of warrants (Date of expiry - dd/mm/yyyy) 1. Currency of nominal value Nominal value at close of preceding Exercised Nominal value at of issuer issued of issuer which may be issued as at issuable 2. issuable 3. issuable 4. issuable Total B. (Ordinary ) (Preference ) (Other class)

5 Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) Class and description 1. Zero Coupon Convertible Bonds due 2021 that are convertible into the H Shares of the Company 2. issuable Currency of amount outstanding ) (30/10/2015) Amount at close of preceding Converted USD USD 600,000,000 Nil Listed on The Stock Exchange of Hong Kong Limited, convertible bond code: 5613 Ordinary Shares (H Shares) Adjusted conversion price of HK$9.15 per H Share, with effect from 13 June 2018 Amount at of issuer issued USD 600,000,000 Nil of issuer which may be issued as at 510,832,786 H Shares (assuming full conversion of the bonds at the adjusted conversion price of HK$9.15 per H Share) Conversion period commenced on 17 March issuable issuable 4.

6 Class and description Currency of amount outstanding Amount at close of preceding Converted of issuer issued Amount at of issuer which may be issued as at issuable Total C. (Ordinary ) (Preference ) (Other class) Nil N/A N/A Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes) (N/A) of issuer issued during the Full particulars including, if applicable, and class of issuable: 1. of issuer which may be issued as at ordinary Total D. (Ordinary ) (Preference ) (Other class)

7 Other Movements in Issued Share Capital (N/A) Type of Issue of issuer issued of issuer which may be issued as at 1. Rights issue At price : State issuable date : 2. Open offer At price : State issuable date : 3. Placing At price : State issuable date : 4. Bonus issue issuable date :

8 Type of Issue of of issuer issued issuer which may be issued as at issuable 5. Scrip dividend At price : State date : repurchased 6. Repurchase of Cancellation date : redeemed 7. Redemption of Redemption date : issuable 8. Consideration issue At price : State date : issuable 9. Capital reorganisation date :

9 Type of Issue of of issuer issued issuer which may be issued as at issuable 10. Other (Please specify) At price : State date : Total E. (Ordinary ) (Preference ) (Other class) Total increase / (decrease) in ordinary (i.e. Total of A to E): (1) Nil (2) Nil Total increase / (decrease) in preference (i.e. Total of A to E): N/A Total increase / (decrease) in other classes of (i.e. Total of A to E): N/A (These figures should be the same as the relevant figures under II above ( Movements in Issued Share Capital ).)

10 Remarks (if any): As the Company is incorporated in the PRC, the concept of authorised capital is not applicable. The information under section 1 is the issued share capital of the Company. Submitted by: Xie Jilong Title: Joint Company Secretary (Director, Secretary or other duly authorised officer) Notes : 1. State the class of (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.