GUOTAI JUNAN INTERNATIONAL HOLDINGS LIMITED (incorporated in Hong Kong with limited liability) (Stock Code: 1788)

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1 Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement. GUOTAI JUNAN INTERNATIONAL HOLDINGS LIMITED (incorporated in Hong Kong with limited liability) (Stock Code: 1788) INSIDE INFORMATION UNAUDITED FINANCIAL INFORMATION RELATING TO THE GROUP AS CONTAINED IN THE APPLICATION PROOF OF LISTING DOCUMENT RELATING TO H SHARE ISSUE OF THE CONTROLLING SHAREHOLDER OF THE COMPANY This announcement is made pursuant to Rule of the Listing Rules and the requirements of Part XIVA of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong). The Company understands that on 18 January 2017, GTJA, the controlling shareholder of the Company, has submitted a listing application form (Form A1) to the Hong Kong Stock Exchange for the listing of, and permission to deal in, the H Shares on the Main Board of the Hong Kong Stock Exchange. A redacted form of the Application Proof, containing, amongst others, the unaudited financial information of GTJA which consolidates the financial position and results of operations of the Group for the nine months ended 30 September 2016 and as at 30 November 2016 that has not been published by the Company previously, will be available for viewing and downloading on the website of the Hong Kong Stock Exchange ( To ensure timely release of relevant financial information to enable shareholders and the investing public to better understand the financial situation of the Group, the Board has resolved to publish certain of the Group s unaudited financial information for the nine months ended 30 September 2016 and as at 30 November 2016 through this announcement. 1

2 This announcement is made pursuant to Rule of the Listing Rules and the requirements of Part XIVA of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong). The Company understands that on 18 January 2017, GTJA, the controlling shareholder of the Company, has submitted to the Hong Kong Stock Exchange a listing application form (Form A1) for the listing of, and permission to deal in, the H Shares on the Main Board of the Hong Kong Stock Exchange. A redacted form of the Application Proof, containing, amongst others, the unaudited financial information of GTJA which consolidates the financial position and results of operations of the Group for the nine months ended 30 September 2016 and as at 30 November 2016 that has not been published by the Company previously, will be available for viewing and downloading on the website of the Hong Kong Stock Exchange ( The unaudited financial information of the international business segment of GTJA contained in the redacted Application Proof comprises those of the Group as well as other overseas subsidiaries of GTJA not within the Group. Please refer to the redacted Application Proof for details. Shareholders and the investing public should note that the Company has not published any financial information of the Group since the interim results announcement for the six months ended 30 June 2016 dated 19 August Therefore, for the purpose of Rule of the Listing Rules and the requirements of Part XIVA of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong), and to ensure timely release of those undisclosed financial information to enable shareholders and the investing public to understand the financial situation of the Group, the Board has resolved to publish certain of the Group s unaudited financial information for the nine months ended 30 September 2016 and as at 30 November 2016 through this announcement. 2

3 Set out below is the summary of the Group s unaudited financial information for the nine months ended 30 September Financial Information For the nine months ended 30 September 2016 (Unaudited) (Unaudited) HK$ 000 HK$ 000 Brokerage 310,116 Loans and financing 991,735 Corporate finance 265,999 Assets management Financial products, market making and investments 31, ,706 Revenue 1,850,426 Other income 1,862 Revenue and other income 1,852,288 Operating expenses (910,308) Including: Finance costs (257,928) Depreciation (25,700) Profit before tax 941,980 Income tax expense (144,367) Profit for the period 797,613 Total assets 46,997,864 Total liabilities (36,656,053) Total equity 10,341,811 In addition, as at 30 November 2016, the Group s bank borrowings amount was HK$8,716,066,000 and the Group s unutilized banking facilities amount was HK$8,710,951,500. 3

4 DEFINITIONS In this announcement, the following terms shall have the meanings set out below unless the context requires otherwise:- Application Proof Board Company GTJA Group HK$ Hong Kong Stock Exchange Hong Kong the application proof of the listing document of GTJA in relation to the proposed H Share Issue the board of directors of the Company Guotai Junan International Holdings Limited, a company incorporated in Hong Kong with limited liability, the shares of which are listed on the Main Board of the Hong Kong Stock Exchange (stock code: 1788) Guotai Junan Securities Company Limited, a joint stock company incorporated in the PRC with limited liability on 18 August 1999 and a controlling shareholder of the Company holding 64.97% equity interest in the Company as at the date of this announcement the Company and its subsidiaries Hong Kong dollars, the lawful currency of Hong Kong The Stock Exchange of Hong Kong Limited the Hong Kong Special Administrative Region of the PRC H Share(s) in the context of the share capital of GTJA, overseas listed foreign share(s) of GTJA with nominal value of RMB1.00 each, which are to be listed on the Hong Kong Stock Exchange and to be subscribed for and traded in Hong Kong dollars 4

5 H Share Issue the proposed initial public offering of H Shares by GTJA which will be listed on the Main Board of the Hong Kong Stock Exchange, details of which are set out in the announcement dated 26 September 2016 as published by GTJA on the website of the Shanghai Stock Exchange ( Listing Rules the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (as amended, supplemented or otherwise modified from time to time) PRC the People s Republic of China RMB Renminbi, the lawful currency of the PRC Hong Kong, 19 January 2017 By order of the Board Guotai Junan International Holdings Limited FENG Zheng Yao Helen Company Secretary As at the date of this announcement, the Board comprises four executive directors, being Dr. YIM Fung, Mr. WONG Tung Ching, Ms. QI Haiying and Mr. LI Guangjie; and three independent non-executive directors, being Dr. FU Tingmei, Dr. SONG Ming and Mr. TSANG Yiu Keung. 5