Sany Heavy Equipment International Holdings Company Limited. No. of ordinary shares. shares

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1 Monthly Return of Equity Issuer on Movements in Securities For the month ended : 30/09/2017 To : Hong Kong Exchanges and Clearing Limited Name of Issuer Date Submitted 03/10/2017 Sany Heavy Equipment International Holdings Company Limited I. Movements in Authorised Share Capital 1. Ordinary Shares (1) Stock code : 631 Description : Ordinary Shares No. of ordinary Par value (State ) Authorised share capital (State ) Balance at close of preceding month 4,461,067,880 HK$0.10 HK$446,106,788 Increase/(decrease) Balance at close of the month 4,461,067,880 HK$0.10 HK$446,106,788 (2) Stock code : Description : No. of ordinary Par value (State ) Authorised share capital (State ) Balance at close of preceding month -- Increase/(decrease) Balance at close of the month

2 2. Preference Shares For Main Board and GEM listed issuers Stock code : Description : Convertible Preference Shares No. of preference Par value (State ) Authorised share capital (State ) Balance at close of preceding month 538,932,120 HK$0.10 HK$53,893,212 Increase/(decrease) Balance at close of the month 538,932,120 HK$0.10 HK$53,893, Other Classes of Shares Stock code : Description : No. of other classes of Par value (State ) Authorised share capital (State ) Balance at close of preceding month Increase/(decrease) Balance at close of the month Total authorised share capital at the end of the month (State ) : HK$500,000,000

3 II. Movements in Issued Share Capital For Main Board and GEM listed issuers No. of ordinary No of preference No. of other classes (1) (2) of Balance at close of preceding month 3,041,025, ,781,034 Increase/ (decrease) during the month Balance at close of the month 3,041,025, ,781,034 III. Details of Movements in Issued Share Capital Share Options (under Share Option Schemes of the Issuer) Particulars of share No. of new of No. of new of option scheme issuer issued during issuer which may be including EGM the month pursuant issued pursuant thereto approval date Movement during the month thereto and as at close of the month class of issuable Granted Exercised Cancelled Lapsed 1. Share Option Scheme adopted on 16 February 2013 Date of grant: 26 February 2013 Exercise price: HK$4.18 Ordinary Shares Total A. (Ordinary ) (Preference ) (Other class) Total funds raised during the month from exercise of options (State )

4 Warrants to Issue Shares of the Issuer which are to be Listed No. of new No. of new of of issuer issued issuer which during the may be issued month pursuant pursuant thereto as at Currency of Nominal value at Exercised Nominal value thereto close of the Description of warrants nominal close of during the at close of the month (Date of expiry - dd/mm/yyyy) value preceding month month month 1. Stock code (if listed) Class of issuable Subscription price 2. Stock code (if listed) Class of issuable Subscription price 3. Stock code (if listed) Class of issuable Subscription price 4. Stock code (if listed) Class of issuable Subscription price Total B. (Ordinary ) (Preference ) (Other class)

5 Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) No. of new No. of new of of issuer issued issuer which during the may be issued month pursuant pursuant thereto as at Currency of Amount at close Converted Amount at thereto close of the amount of preceding during the close of the month Class and description outstanding month month month 1. Convertible Preference Shares HK$ 479,781, ,781,034 Stock code (if listed) Class of issuable Ordinary Shares Subscription price HK$ ) ( 19/12/2014) 2. Stock code (if listed) Class of issuable Subscription price 3. Stock code (if listed) Class of issuable Subscription price 4. Stock code (if listed) Class of issuable Subscription price Total C. (Ordinary ) (Preference ) (Other class) Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes) Full particulars including, No. of new of No. of new of

6 if applicable, and class of issuable: issuer issued during issuer which may be the month pursuant issued pursuant thereto thereto as at close of the month Total D. (Ordinary ) (Preference ) (Other class)

7 Other Movements in Issued Share Capital No. of new of issuer which may be No. of issued new pursuant of issuer issued thereto as during at close the month of the Type of Issue pursuant thereto month 1. Rights issue At price : Class of issuable State Issue and allotment date : : 2. Open offer At price : Class of issuable State Issue and allotment date : : 3. Placing At price : Class of issuable State Issue and allotment date : : Class of issuable 4. Bonus issue Issue and allotment date : :

8 No. of new of issuer which may be No. of issued new pursuant of issuer issued thereto as during at close the month of the Type of Issue pursuant thereto month 5. Scrip dividend At price : Class of issuable State Issue and allotment date : : Class of repurchased 6. Repurchase of Cancellation date : : Class of redeemed 7. Redemption of Redemption date : : Class of issuable State 8. Consideration issue At price : Issue and allotment date : :

9 No. of new of issuer which may be No. of issued new pursuant of issuer issued thereto as during at close the month of the Type of Issue pursuant thereto month Class of issuable 9. Capital Issue and allotment reorganisation date : : 10. Other: Exercise of Over- At price : Allotment Option State Class of issuable Issue and allotment date : : Total E. (Ordinary ) (Preference ) (Other class) Total increase / (decrease) in ordinary during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ( Movements in Issued Sh are Capital ).)

10 For Main Board and GEM listed issuers Remarks (if any): Submitted by: Zhu Xiangjun 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.