[HK]康寧杰瑞:黃色申請表格

時間:2019年12月02日 10:56:10 中財網
原標題:康寧杰瑞:黃色申請表格
Sample 樣版
.


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 Alphamab Oncology (the “Company”) dated December 2,
2019 (the “Prospectus”).
本申請表格使用康寧傑瑞生物製藥(「本公司」)於
2019年12月2日刊發的招股章程(「招股章程」)所界定的相同詞彙。

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管轄區出售或要約購買任何香港發售股份的要約或游說。若無根據美國
《證券法》登記或獲豁免登記,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 law 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管轄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 VI to the Prospectus, have been registered by the
Registrar of Companies in Hong Kong as required by section 342C of the Companies (Winding Up and Miscellaneous Provisions)
Ordinance (Chapter 32 of the Laws of Hong Kong). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong
Kong Limited (the “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六「送呈公司註冊處處長及備查文件」一節所述其他文件已按香港法例第
32章

《公司(清盤及雜項條文)條例》第
342C條規定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(「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。




ALPHAMAB ONCOLOGY

康寧傑瑞生物製藥


(Incorporated in the Cayman Islands with limited liability)

(於開曼群島註冊成立的有限公司)


Stock Code : 9966
股份代號
: 9966

Maximum Offer Price : HK$10.20 per Share, plus brokerage of 1.0%, SFC
transaction levy of 0.0027% and 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
:每股股份10.20港元,另加
1.0%經紀傭金、
0.0027%
證監會交易徵費及0.005%聯交所交易費(須於申請
時以港元繳足,多繳款項可予退還)


You should read this Application Form in conjunction with the Prospectus, which contains further
information on the application procedures.

招股章程尚有其他關於申請程序的資料,本申請表格應與招股章程一併閱讀。



Application Form 申請表格


To:
Alphamab Oncology 致:康寧傑瑞生物製藥
Joint Sponsors 聯席保薦人
Joint Global Coordinators 聯席全球協調人
Joint Bookrunners 聯席賬簿管理人
Joint Lead Managers 聯席牽頭經辦人
Hong Kong Underwriters香港包銷商


Applicants’ declaration申請人聲明
I/We agree to the terms and conditions and application 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
procedures in this Application Form and the Prospectus. 請程序。請參閱本申請表格「填寫及遞交本申請表格的效用」
Please refer to the “Effect of completing and submitting this 一節。

Application Form” section of this Application Form.

Warning: Only one application may be made for the benefit 警告:任何人士只限作出一次為其利益而進行的認購申請。

of any person. Please refer to the last four bullets of “Effect 請參閱「填寫及遞交本申請表格的效用」一節最後四點。

of completing and submitting this Application Form” section.


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):


Date 日期: / /
D日
M月
Y年


Number of Hong Kong Offer Shares applied for (not more than
8,971,000 shares)
申請香港發售股份數目(不超過
8,971,000股股份)


For Broker use 此欄供經紀填寫Lodged by 遞交申請的經紀
Broker No. 經紀號碼Broker’s Chop 經紀印章
Cheque/banker’s cashier order number 支票
╱銀行本票號碼


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(見「申請手續」一節)


Total amount 總額


HK$港元


Name in English (in BLOCK letters) 英文姓名
╱名稱(正楷)


Family name or company name 姓氏或公司名稱
Forename(s) 名字


Name in Chinese 中文姓名
╱名稱


Family name or company name 姓氏或公司名稱
Forename(s) 名字


Occupation in English 職業(以英文填寫)


Names of all other joint applicants in English (if any, in BLOCK
letters) 所有其他聯名申請人的英文姓名
╱名稱(如有,正楷)


1)
2)
3)

Sample 樣版
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
*(請刪去不適用者)


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
*(請刪去不適用者)


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, in BLOCK letters) 香港地址(以英文正楷填寫)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)


Telephone No. 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
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 請用正楷填寫閣下姓名╱名稱及香港地址)

For internal use
此欄供內部使用


THIS BOX MUST BE DULY COMPLETED
必須填妥此欄
Participant I.D. of the CCASS Investor Participant or designated
CCASS Participant 中央結算系統投資者戶口持有人或指定中央結算
系統參與者的參與者編號
For designated CCASS Participant or corporate CCASS Investor
Participant, please also affix the company chop bearing its company name
指定中央結算系統參與者或公司中央結算系統投資者戶口持有人,請
加蓋顯示公司名稱的公司印章
(See paragraph 2 in the section “How to make your application”)
(請參閱「申請手續」一節第
2段)


Sample 樣版
* (1) If you
are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are
an individual) or a Hong Kong Business Registration number (if you are a body corporate) will
be accepted for this application, please see paragraph 2 under the section “How to make your
application”.
如閣下為中央結算系統投資者戶口持有人,是項申請僅接納香港身份證號碼(如屬個別人士)或
香港商業登記號碼(如屬法人團體);請參閱「申請手續」一節第
2段。



(2) If you
are applying through a designated CCASS Participant (other than a CCASS Investor
Participant): For an individual, you must provide your Hong Kong Identity Card number or passport
number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a
Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide
your Hong Kong Business Registration number.
如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請:如屬個
別人士,必須填寫閣下的香港身份證號碼或護照號碼(持有香港身份證者請填寫香港身份證號
碼,否則請填寫護照號碼);如屬法人團體,請填寫香港商業登記號碼。



(3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the firstnamed
applicant may be printed on your refund cheque (if any). Such data will be used for checking
the validity of Application Form and such data would also be transferred to a third party for such
purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card
number/passport number before you can cash your refund cheque.
退款支票(如有)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
照號碼一部分。有關資料將用於核實申請表格的有效性,亦會轉交第三方作資料核實和退款。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。



(4) 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.
如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。

(5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or,
where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business
Registration numbers.
所有聯名申請人必須提供(如屬個別人士)其香港身份證號碼或(如適用)護照號碼,或(如屬法人
團體)其香港商業登記號碼。



Sample 樣版
This page is intentionally left blank

此乃白頁特意留空


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
1,000 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will
be rejected.
ALPHAMAB ONCOLOGY
(Stock Code: 9966)
(HK$10.20 per Hong Kong Offer Share)
NUMBER OF HONG KONG OFFER SHARES THAT MAY BE APPLIED FOR AND PAYMENTS
No. of Amount No. of Amount No. of Amount No. of Amount
Hong Kong payable Hong Kong payable Hong Kong payable Hong Kong payable
Offer Shares on application Offer Shares on application Offer Shares on application Offer Shares on application
applied for HK$ applied for HK$ applied for HK$ applied for HK$
1,000 10,302.79 20,000 206,055.71 100,000 1,030,278.54 3,000,000 30,908,356.20
2,000 20,605.57 25,000 257,569.64 200,000 2,060,557.08 4,000,000 41,211,141.60
3,000 30,908.36 30,000 309,083.56 300,000 3,090,835.62 5,000,000 51,513,927.00
4,000 41,211.14 35,000 360,597.49 400,000 4,121,114.16 6,000,000 61,816,712.40
5,000 51,513.93 40,000 412,111.42 500,000 5,151,392.70 7,000,000 72,119,497.80
6,000 61,816.71 45,000 463,625.34 600,000 6,181,671.24 8,000,000 82,422,283.20
7,000 72,119.50 50,000 515,139.27 700,000 7,211,949.78 8,971,000(1) 92,426,287.82
8,000 82,422.28 60,000 618,167.12 800,000 8,242,228.32
9,000 92,725.07 70,000 721,194.98 900,000 9,272,506.86
10,000 103,027.85 80,000 824,222.83 1,000,000 10,302,785.40
15,000 154,541.78 90,000 927,250.69 2,000,000 20,605,570.80

Sample 樣版
(1)
Maximum number of Hong Kong Offer Shares you may apply for.
2.
You, as the applicant(s), must complete the form in English in BLOCK letters as indicated below and
sign on the second page of the Application Form. Only written signatures will be accepted (and not by
way of personal chop).
If you are applying through a designated CCASS Participant (other than a CCASS Investor
Participant):
.
the designated CCASS Participant must endorse the form with its company chop (bearing its
company name) and insert its participant I.D. in the appropriate box.
If you are applying as an individual CCASS Investor Participant:


.
the form must contain your NAME and Hong Kong I.D. Card number;
. your participant I.D. must be inserted in the appropriate box.
If you are applying as a joint individual CCASS Investor Participant:
.
the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card
numbers of all joint investor participants;
. your participant I.D. must be inserted in the appropriate box.
If you are applying as a corporate CCASS Investor Participant:
.
the form must contain your company NAME and Hong Kong Business Registration number;
.
your participant I.D. and your company chop (bearing your company name) must be inserted in
the appropriate box.
Incorrect or omission of details of the CCASS Participant including participant I.D. and/or company
chop bearing its company name or other similar matters may render your application invalid.


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:
The cheque must: Banker’s cashier order must:
. be in Hong Kong dollars;
. not be post-dated;
. be made payable to “HORSFORD NOMINEES LIMITED–Alphamab Oncology PUBLIC
OFFER”;
. be crossed “Account Payee Only”;
. be drawn on your Hong Kong dollar bank
account in Hong Kong; and
. show your account name, which must
either be pre-printed 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 first-named applicant’s name.

Sample 樣版

4.
Tear off the 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
the receiving bank, Standard Chartered Bank (Hong Kong) Limited:
Region Branch Name
Address

Hong Kong Island Des Voeux Road Branch
Standard Chartered Bank Building, 4-4A,
Des Voeux Road Central, Central

Aberdeen Branch
Shop 4A, G/F and Shop 1, 1/F,
Aberdeen Centre Site 5,
No.6-12 Nam Ning Street, Aberdeen

Kowloon Telford Gardens Branch
Shop P9-12, Telford Centre,
Telford Gardens, Tai Yip Street, Kowloon Bay

Lok Fu Shopping Centre Shop G201, G/F., Lok Fu Shopping Centre
Branch

New Territories Maritime Square Branch Shop 308E, Level 3, Maritime Square, Tsing Yi

5.
Your Application Form can be lodged at these times:
Monday, December 2, 2019 — 9:00 a.m. to 5:00 p.m.
Tuesday, December 3, 2019 — 9:00 a.m. to 5:00 p.m.
Wednesday, December 4, 2019 — 9:00 a.m. to 5:00 p.m.

Thursday, December 5, 2019 — 9:00 a.m. to 12:00 noon

6.
The latest time for lodging your application is 12:00 noon on Thursday, December 5, 2019. The
application lists will be open between 11:45 a.m. to 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.
Sample 樣版

申請手續


1.
請使用下表計算閣下應付的款項。閣下申請認購的股數須至少為1,000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。

康寧傑瑞生物製藥
(股份代號:9966)
(每股香港發售股份10.20港元)
可供申請認購香港發售股份數目及應繳款項
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
15,000
10,302.79
20,605.57
30,908.36
41,211.14
51,513.93
61,816.71
72,119.50
82,422.28
92,725.07
103,027.85
154,541.78
20,000
25,000
30,000
35,000
40,000
45,000
50,000
60,000
70,000
80,000
90,000
206,055.71
257,569.64
309,083.56
360,597.49
412,111.42
463,625.34
515,139.27
618,167.12
721,194.98
824,222.83
927,250.69
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
1,000,000
2,000,000
1,030,278.54
2,060,557.08
3,090,835.62
4,121,114.16
5,151,392.70
6,181,671.24
7,211,949.78
8,242,228.32
9,272,506.86
10,302,785.40
20,605,570.80
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
8,971,000(1)
30,908,356.20
41,211,141.60
51,513,927.00
61,816,712.40
72,119,497.80
82,422,283.20
92,426,287.82

Sample 樣版
(1)
閣下可申請認購的香港發售股份最高數目。

2.
閣下作為申請人,必須按照下列指示以英文正楷填寫表格,並於申請表格第二頁簽署,僅接納親
筆簽名(不得以個人印章代替)。

如閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請:
.該指定中央結算系統參與者必須於表格蓋上公司印章(顯示公司名稱),並在適當方格內填寫
參與者編號。



閣下以個人中央結算系統投資者戶口持有人名義提出申請:


.
表格須載有閣下的姓名及香港身份證號碼;


.
須在適當方格內填寫閣下的參與者編號。



閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請:


.
表格須載有所有聯名投資者戶口持有人的姓名及所有聯名投資者戶口持有人的香港身份證號

碼;
.須在適當方格內填寫閣下的參與者編號。

如閣下以公司中央結算系統投資者戶口持有人名義提出申請:
.表格須載有閣下的公司名稱及香港商業登記號碼;
.須在適當方格內填寫閣下的參與者編號並蓋上公司印章(顯示公司名稱)。

中央結算系統參與者的資料(包括參與者編號及
╱或顯示公司名稱的公司印章)或其他類似事項如
有錯誤或遺漏,均可能導致申請無效。



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必須附有一張獨立開出支票或一張
獨立開出銀行本票。閣下的支票或銀行本票必須符合以下所有規定,否則認購申請將不獲接納:
支票必須:銀行本票必須:
. 為港元;
. 不得為期票;
. 註明抬頭人為「浩豐代理人有限公司-康寧傑瑞生物製藥公開發售」;
. 劃線註明「只準入抬頭人賬戶」;
. 從閣下在香港的港元銀行賬戶開出;

. 顯示閣下的賬戶名稱,而該賬戶名稱
必須已預印在支票上,或由有關銀行授
權的人士在支票背書。賬戶名稱必須
與閣下姓名
╱名稱相同。如屬聯名申
請,賬戶名稱必須與排名首位申請人的
姓名
╱名稱相同。

.須由香港持牌銀行開出,並由有關銀
行授權的人士在銀行本票背面簽署核
證閣下姓名
╱名稱。銀行本票所示
姓名
╱名稱須與閣下姓名
╱名稱相
同。如屬聯名申請,銀行本票背面所示
姓名
╱名稱必須與排名首位申請人的姓

╱名稱相同。


Sample 樣版

4. 請撕下申請表格,對摺一次,然後將填妥的申請表格(連同隨附的支票或銀行本票)投入收款銀行
渣打銀行(香港)有限公司的下列任何一家分行的收集箱:
地區分行名稱
港島區德輔道分行
香港仔分行


九龍區德福花園分行
樂富中心分行
新界區青衣城分行

5.
閣下可於下列時間遞交申請表格:
2019年12月2日(星期一)

2019年12月3日(星期二)

2019年12月4日(星期三)

2019年12月5日(星期四)


Sample 樣版
地址

中環德輔道中4-4A號渣打銀行大廈

香港仔南寧街6-12號香港仔中心第五期
地下4A舖及一樓1號舖
九龍灣大業街德福花園德福中心商場P9-12號舖
樂富中心商場地下G201號舖
青衣青衣城3樓308E號舖


上午九時正至下午五時正
上午九時正至下午五時正
上午九時正至下午五時正
上午九時正至中午十二時正


6.
截止遞交申請的時間為2019年12月5日(星期四)中午十二時正。本公司將於當日上午十一時四十
五分至中午十二時正期間開始辦理申請登記,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」)。


ALPHAMAB ONCOLOGY

康寧傑瑞生物製藥


(Incorporated in the Cayman Islands with limited liability)

GLOBAL OFFERING

Conditions of your application

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 or her 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) or a person
described in paragraph (h)(3) of Rule 902 of 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 and guidance letters issued by the
Stock Exchange, or any relevant waivers that have been granted by the
Stock Exchange, you cannot apply for any Hong Kong Offer Shares if
you:
.
are an existing beneficial owner of Shares in the Company and/or
any of its subsidiaries;
.
are a director or chief executive officer of the Company and/or
any of its subsidiaries;
.
are a close associate (as defined in the Listing Rules) of any of the
above;
.
are a core connected person (as defined in the Listing Rules)
of the Company or will become a core connected person of the
Company immediately upon completion of the Global Offering; or
.
have been allocated or have applied for or indicated an interest
in any International Offer Shares or otherwise participate in the
International Offering.
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 application 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 Global Coordinators (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 the name of HKSCC Nominees as
required by the Articles of Association;
.
agree to comply with the Companies Ordinance, the Companies
(Winding up and Miscellaneous Provisions) Ordinance 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
agree to be bound by them;
.
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 Joint Sponsors, the Joint Global
Coordinators, the Joint Bookrunners, the Joint Lead Managers, the
Sample 樣版
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 Hong Kong Share Registrar, the
receiving bank, the Joint Sponsors, the Joint Global Coordinators, the
Joint Bookrunners, the Joint Lead Managers, the 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 Hong Kong apply to your application,
agree and warrant that you have complied with all such laws and none
of the Company, the Joint Sponsors, the Joint Global Coordinators, the
Joint Bookrunners, the Joint Lead Managers and the Underwriters nor
any of their respective officers or advisers will breach any law outside
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 the name of the HKSCC Nominees 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
deposit any share certificate(s) into CCASS and/or to send 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 are eligible to collect refund cheque(s) in person;
.
agree that the shares to be allotted shall be issued in the name of HKSCC
Nominees and deposited directly into CCASS for credit to your investor
participant stock account or the stock account of your designated CCASS
Participant;
.
agree that each of HKSCC and HKSCC Nominees reserves the right (1)
not to accept any or part of such allotted shares issued in the name of
HKSCC Nominees or not to accept such allotted shares for deposit into
CCASS; (2) to cause such allotted shares to be withdrawn from CCASS
and issued in your name at your own risk and costs; and (3) to cause
such allotted shares to be issued in your name (or, if you are a joint
applicant, to the first-named applicant) and in such a case, to post the
certificates for such allotted shares at your own risk to the address on
your application form by ordinary post or to make available the same for
your collection;
.
agree that each of HKSCC and HKSCC Nominees may adjust the
number of allotted shares issued in the name of HKSCC Nominees;
.
agree that neither HKSCC nor HKSCC Nominees shall have any
liability for the information and representations not so contained in the
Prospectus and this Application Form;
.
agree that neither HKSCC nor HKSCC Nominees shall be liable to you
in any way;

.
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 Global Coordinators 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 the Application Form or
give electronic application instructions on behalf of that other person
as their agent.
D.
Power of attorney
If your application is made through an authorised attorney, the Company and
the Joint Global Coordinators may accept or reject your application at their
discretion, and on any conditions they think fit, including evidence of the
attorney’s authority.

Determination of Offer Price and Allocation of Hong Kong Offer Shares

The Offer Price is expected to be fixed on or around Thursday, December 5,
2019. Applicants are required to pay the maximum Offer Price of HK$10.20
for each Offer Share together with 1.0% brokerage, 0.0027% SFC transaction
levy and 0.005% Stock Exchange trading fee. If the Offer Price is not agreed
between the Company and the Joint Global Coordinators (for themselves and
on behalf of the Underwriters) on or before Monday, December 9, 2019, 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 allocation of the Offer Shares between the Hong Kong Public Offering
and the International Offering will be subject to reallocation as described
in the section headed “Structure of the Global Offering” in the Prospectus.
In accordance with Guidance Letter HKEX-GL91-18 issued by the Stock
Exchange, if such reallocation is done in the circumstance that the International
Offering is undersubscribed or other than pursuant to the clawback mechanism
as described in the section headed “Structure of the Global Offering – The
Hong Kong Public Offering – Reallocation”, the total number of Offer Shares
available under the Hong Kong Public Offering following such reallocation
shall be not more than 35,884,000 Offer Shares (representing approximately
20% of the total number of Offer Shares initially available under the Global
Offering).
The Company expects to announce the fixed 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 Offer
Shares on Wednesday, December 11, 2019 in the South China Morning Post
(in English) and the Hong Kong Economic Times (in Chinese), the website
of the Stock Exchange at www.hkexnews.hk and the Company’s website at
www.alphamabonc.com. 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.

Sample 樣版
If your application for Hong Kong Offer Shares is successful (in whole or
in part)

If your application is wholly or partially successful, your Share certificate(s)
(subject to their becoming valid certificates of title provided that the Hong
Kong Public Offering has become unconditional and not having been
terminated at 8:00 a.m. on Thursday, December 12, 2019) will be issued in the
name of HKSCC Nominees and deposited directly into CCASS for credit to
your CCASS Investor Participant stock account or the stock account of your
designated CCASS Participant as instructed by you in your Application Form
on Wednesday, December 11, 2019 or, in the event of a contingency, on any
other date as shall be determined by HKSCC or HKSCC Nominees.

.
If you are applying through a designated CCASS Participant (other than
a CCASS Investor Participant): For Hong Kong Offer Shares credited to
the stock account of your designated CCASS Participant (other than a
CCASS Investor Participant), you can check the number of Hong Kong
Offer Shares allotted to you with that CCASS Participant.
.
If you are applying as a CCASS Investor Participant: The Company
expects to publish the results of CCASS Investor Participants’
applications together with the results of the Hong Kong Public Offering
in the South China Morning Post (in English) and the Hong Kong
Economic Times (in Chinese) on Wednesday, December 11, 2019. You
should check the announcement published by the Company and report
any discrepancies to HKSCC before 5:00 p.m. on Wednesday, December
11, 2019 or such other date as shall be determined by HKSCC or
HKSCC Nominees. Immediately after the credit of the Hong Kong Offer
Shares to your stock account you can check your new account balance
via the CCASS Phone System and CCASS Internet System (under the
procedures contained in HKSCC’s “An Operating Guide for Investor
Participants” in effect from time to time). HKSCC will also make
available to you an activity statement showing the number of Hong Kong
Offer Shares credited to your stock account.
No receipt will be issued for application money paid. The Company will not
issue temporary documents of title.

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 1.0% brokerage, 0.0027% SFC transaction levy and
0.005% 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 1.0% brokerage, 0.0027% SFC
transaction levy and 0.005% Stock Exchange trading fee) without interest.
The refund procedures are stated in the “14. Despatch/Collection of Share
Certificates and Refund Monies” in the “How to Apply for Hong Kong Offer
Shares” section of the Prospectus.

Effect of the Information You Give to Computershare Hong Kong Investor
Services Limited

Computershare Hong Kong Investor Services Limited and its related bodies’
corporate, directors, officers, employees and agents (“Representatives”)
expressly disclaim and exclude to the maximum extent permitted by law any
liability for any loss or damage suffered or incurred by the applicant or any
other person or entity however caused relating in any way to, or connected with,
any information provided by or on behalf of the applicant on or in connection
with this document or any services provided hereunder, or any other written
or oral communication provided by or on behalf of the applicant in connection
with this document or any services provided hereunder. This includes, without
limitation, any errors or omissions in such information however caused, or
the Representatives or any other person or entity placing any reliance on such
information or any documentation, image, recording or reproduction of such
information, or its accuracy, completeness, currency or reliability.


ALPHAMAB ONCOLOGY

康寧傑瑞生物製藥

(於開曼群島註冊成立的有限公司)

全球發售

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,申請必須以個別成員名義提出。

3.
聯名申請人不得超過四名。

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章。

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)或美國《證券法》
S規例第902條第(h)
(3)段所述人士,亦非中國法人或自然人。

6.
除非為《上市規則》及聯交所發出的指引信所容許,或
聯交所已授出任何相關豁免,否則下列人士不得申請認
購任何香港發售股份:
.
本公司及╱或其任何附屬公司股份的現有實益擁
有人;
.
本公司及╱或其任何附屬公司的董事或首席執行
官;
.
上述任何人士的緊密聯繫人(定義見《上市規
則》);
.
本公司核心關連人士(定義見《上市規則》)或緊隨
全球發售完成後將成為本公司核心關連人士的人
士;或
.
已獲分配或已申請或表示有意申請任何國際發售股
份或以其他方式參與國際發售的人士。

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本身名義代表不同的實益擁
有人提交超過一份申請。


丙.
填寫及遞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:


.
承諾簽立所有相關文件,並指示及授權本公司及
╱或
作為本公司代理的聯席全球協調人(或其代理或代名
人),為按照組織章程細則的規定將閣下獲分配的任
何香港發售股份以香港結算代理人名義登記而代表閣
下簽立任何文件及代閣下進行一切必需事宜;
.
同意遵守《公司條例》、《公司(清盤及雜項條文)條例》
及組織章程細則;
.
確認閣下已閱讀招股章程及本申請表格所載條款及條
件以及申請程序,並同意受其約束;
.
確認閣下已收到及閱讀招股章程,且閣下提出申請
時僅依賴招股章程所載資料及陳述而不會依賴任何其他
資料或陳述(招股章程任何補充文件所載者除外);
.
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、聯席保薦人、聯席全球協調人、聯席賬簿
管理人、聯席牽頭經辦人、包銷商、其各自的董事、高
級人員、僱員、合夥人、代理、顧問及參與全球發售的
Sample 樣版
任何其他各方現時及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,亦無參與
國際發售;
.
同意應本公司、香港股份過戶登記處、收款銀行、聯席
保薦人、聯席全球協調人、聯席賬簿管理人、聯席牽頭
經辦人、包銷商及
╱或其各自的顧問及代理的要求,
向其披露所要求提供有關閣下及閣下為其利益提出
申請的人士的任何個人資料;
.
若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、聯席
保薦人、聯席全球協調人、聯席賬簿管理人、聯席牽頭
經辦人及包銷商及其各自的高級人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;
.
同意閣下的申請一經接納,即不得因無意的失實陳述
而撤銷;
.
同意閣下的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任何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任何根據申請分配予閣下但數
目較少的香港發售股份;
.
授權本公司將香港結算代理人的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╱或其代理將任何股票存入中央結算
系統及╱或以普通郵遞方式按申請所示地址向閣下
或聯名申請的排名首位申請人寄發任何退款支票,郵誤
風險由閣下承擔,除非閣下合資格親身領取退款支
票;
.
同意獲配發的股份是以香港結算代理人的名義發行,並
直接存入中央結算系統,以記存於閣下的投資者戶口
持有人股份戶口或閣下指定的中央結算系統參與者股
份戶口;
.
同意香港結算及香港結算代理人各自保留權利
(1)不接納
以香港結算代理人名義發行的該等獲配發的任何或部分
股份,或不接納該等獲配發的股份存入中央結算系統;
(2)促使該等獲配發的股份從中央結算系統提取,並轉
入閣下名下,有關風險及成本概由閣下自行承擔;
及(3)促使該等獲配發的股份以閣下名義發行(或如屬
聯名申請人,則以排名首位申請人的名義發行),而在
此情況下,會以普通郵遞方式將該等獲配發股份的股票
寄往閣下在申請表格上所示地址(郵誤風險概由閣
下自行承擔)或提供該等股票讓閣下領取;
.
同意香港結算及香港結算代理人均可調整以香港結算代
理人名義發行的獲配發的股份數目;
.
同意香港結算及香港結算代理人對招股章程及本申請表
格未有載列的資料及陳述概不負責;
.
同意香港結算及香港結算代理人概不以任何方式對閣
下負責;

.
聲明及陳述此乃閣下為本身或閣下為其利益提出申
請的人士提出及擬提出的唯一申請;
.
明白本公司及聯席全球協調人將依賴閣下的聲明及陳
述以決定是否向閣下配發任何香港發售股份,閣下
如作出虛假聲明,可能會被檢控;
.
(倘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
為閣下利益而以白色或黃色申請表格或向香港結算或
透過白表eIPO服務供應商發出電子認購指示而提出其
他申請;及
. (倘閣下作為代理為另一人士的利益提出申請)保證
(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其他人士的代理代
為簽署申請表格或發出電子認購指示。

丁.
授權書

如閣下透過授權人士提出申請,本公司及聯席全球協調人
可按其認為合適的條件(包括出示獲授權證明)酌情接納或
拒絕閣下的申請。


釐定發售價及分配香港發售股份

預期發售價將於2019年12月5日(星期四)或前後釐定。申請
人須繳付每股發售股份最高發售價
10.20港元,另加
1.0%經
紀傭金、
0.0027%證監會交易徵費及0.005%聯交所交易費。

倘若本公司與聯席全球協調人(為其本身及代表包銷商)並
無於2019年12月9日(星期一)或之前協定發售價,全球發售
將不會進行。

截止辦理申請登記前,概不處理香港發售股份的申請及配發
任何香港發售股份。

香港公開發售與國際發售之間的發售股份分配將按招股章
程「全球發售的架構」一節所述予以重新分配。根據聯交所
發出的指引信HKEX-GL91-18,倘上述重新分配在國際發售
認購不足的情況下或並非根據「全球發售的架構-香港公開
發售-重新分配」一節所載回補機制作出,則有關重新分
配後香港公開發售項下可供認購的發售股份總數不得超過
35,884,000股發售股份(佔全球發售項下初步可供認購發售股
份總數的約20%)。

本公司預期於2019年12月11日(星期三)在《南華早報》(以英文)
及《香港經濟日報》(以中文)、聯交所網站www.hkexnews.hk
及本公司網站www.alphamabonc.com公佈協定發售價、國際
發售踴躍程度、香港公開發售申請水平及香港發售股份分配
基準。香港公開發售的分配結果及獲接納申請人的香港身份

╱護照
╱香港商業登記號碼(如適用)亦將於上述網站公
佈。


Sample 樣版

閣下成功申請認購香港發售股份(全部或部分)

如閣下的申請全部或部分獲接納,閣下的股票(前提是
2019年12月12日(星期四)上午八時正香港公開發售成為無
條件且並無被終止,股票成為有效的所有權證明)將以香港
結算代理人名義發出,並按閣下在申請表格的指示於2019
年12月11日(星期三)或在特別情況下由香港結算或香港結
算代理人指定的任何其他日期直接存入中央結算系統,記
入閣下的中央結算系統投資者戶口持有人股份戶口或閣
下指定的中央結算系統參與者股份戶口。



.
如閣下透過中央結算系統投資者戶口持有人以外的指
定中央結算系統參與者提出申請:香港發售股份將存
入閣下指定的中央結算系統參與者(非中央結算系統
投資者戶口持有人)股份戶口,閣下可向該中央結算
系統參與者查詢閣下獲配發的香港發售股份數目。

.
如閣下以中央結算系統投資者戶口持有人身份提出申
請:本公司預期將於
2019年12月11日(星期三)在《南華
早報》(以英文)及《香港經濟日報》(以中文)刊登中央
結算系統投資者戶口持有人的申請結果及香港公開發售
的結果。閣下應查閱本公司刊發的公告,如有任何
資料不符,請於
2019年12月11日(星期三)下午五時正
前或香港結算或香港結算代理人釐定的任何其他日期知
會香港結算。緊隨香港發售股份存入閣下的股份戶口
後,閣下即可透過「結算通」電話系統及中央結算系統
互聯網系統(根據香港結算不時生效的「投資者戶口操
作簡介」所載程序)查詢閣下的新戶口結餘。香港結
算亦將向閣下提供一份活動結單,列出存入閣下股
份戶口的香港發售股份數目。

本公司不會就申請時繳付的款項發出收據,亦不會發出臨時
所有權文件。


退回款項


閣下未獲分配任何香港發售股份或申請僅部分獲接納,

本公司將不計利息退回閣下的申請股款(包括相關的
1.0%

經紀傭金、
0.0027%證監會交易徵費及0.005%聯交所交易

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
1.0%經紀傭金、
0.0027%

證監會交易徵費及0.005%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. 發送
╱領取股票及退回股款」。


閣下提供給香港中央證券登記有限公司的資料的有關影響

香港中央證券登記有限公司及其關聯法人團體、董事、高級
人員、僱員及代理人(「代表」)在法律所容許的最大限度內
明確卸棄及免除在任何方面與申請人或代表申請人於本文件
所提供或與本文件或在本文件下提供的任何服務相關的任何
資料,或任何申請人或代表申請人提供與本文件或在本文件
下提供的任何服務相關的任何其他書面或口頭通訊,有關或
相關由申請人或任何其他人士或實體所遭受或招致不論如何
造成的任何損失或損害的任何法律責任。此包括但不限於該
等資料中不論如何造成的任何錯誤或遺漏,或代表或任何其
他人士或實體對該等資料或任何該等資料的文件記錄、影
像、記錄或複製品作出的任何依據,或其準確性、完整性、
合時性或可靠性。



Sample 樣版
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 Hong Kong Share
Registrar in relation to personal data and the Personal Data
(Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong)
(the “Ordinance”).

1.
Reasons for the collection of your personal data
It is necessary for applicants and registered holders of

3.
securities to supply correct personal data to the Company
or its agents and the Hong Kong Share Registrar when
applying for securities or transferring securities into or out
of their names or in procuring the services of the Hong
Kong Share Registrar.

Failure to supply the requested data may result in your
application for securities being rejected, or in delay or the
inability of the Company or its Hong Kong 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 share certificate(s) and/or refund
cheque(s) to which you are entitled.

It is important that securities holders inform the Company
and the Hong Kong Share Registrar immediately of any
inaccuracies in the personal data supplied.

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 of your application and e-Refund payment
instructions/refund cheque, where applicable, and
verification of compliance with the terms and
application procedures set out in this form and the
Prospectus and announcing results of allocation of
4.
the Hong Kong Offer Shares;

.
enabling compliance with all applicable laws and
regulations in Hong Kong and elsewhere;
.
registering new issues or transfers into or out of
the names of holders of securities including, where
applicable, in the name of HKSCC Nominees;
.
maintaining or updating the registers of holders of
5.
securities of the Company;

.
conducting or assisting to conduct signature
verifications, any other verification or exchange of
information;
.
establishing benefit entitlements of holders of
securities of the Company, such as dividends, rights
issues and bonus issues, etc;
.
distributing communications from the Company and
its subsidiaries;
.
compiling statistical information and Shareholder
profiles;
.
making disclosures as required by laws, rules or
regulations;
.
disclosing relevant information to facilitate claims on
entitlements; and
.
any other incidental or associated purposes relating
to the above and/or to enable the Company and
the Hong Kong Share Registrar to discharge their
obligations to holders of securities and/or regulators
and/or any other purpose to which the holders of
securities may from time to time agree.
Transfer of personal data

Personal data held by the Company and its Hong Kong
Share Registrar relating to the securities holders will be
kept confidential but the Company and its Hong Kong
Share Registrar may, to the extent necessary for achieving
any of the above purposes, disclose, obtain or transfer
(whether within or outside Hong Kong) the personal data
to, from or with any of the following:

.
the Company’s appointed agents such as financial
advisers, receiving bankers 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 Hong Kong Share Registrar in connection with
their respective business operation;
.
the 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.
Retention of personal data

The Company and its Hong Kong Share Registrar will
keep the personal data of the applicants and holders of
securities for as long as necessary to fulfil 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.

Access to and correction of personal data

Securities holders have the right to ascertain whether the
Company or the Hong Kong 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 Hong
Kong 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 Hong Kong Share Registrar for
the attention of the privacy compliance officer.

. disclosing identities of successful applicants by way
of press announcement(s) or otherwise;
By signing an Application Form or by giving electronic
application instructions to HKSCC, you agree to all of the
above.


個人資料
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
人和持有人說明本公司及其香港股份過戶登記處
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香港股份過戶
登記處的服務時,必須向本公司或其代理及
香港股份過戶登記處提供準確個人資料。


未能提供所要求的資料可能導致閣下的證
券申請被拒或延遲,或本公司或其香港股份
過戶登記處無法落實轉讓或提供服務。此舉
亦可能妨礙或延遲登記或轉讓閣下成功申
請的香港發售股份及
╱或寄發閣下應得的
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香港股份過戶登記處。



2.
目的
證券持有人的個人資料可以任何方式被採用、
持有、處理及
╱或保存,以作下列用途:


.
處理閣下的申請及電子退款指示
╱退
款支票(如適用)、核實是否符合本表格
及招股章程所載條款及申請程序及公佈
香港發售股份的分配結果;
.
遵守香港及其他地區的所有適用法律法
規;
.
以證券持有人(包括香港結算代理人(如
適用))的名義登記新發行證券或轉讓或
受讓證券;
.
存置或更新本公司證券持有人的名冊;
.
進行或協助進行簽名核對、任何其他核
對或交換資料;
.
確定本公司證券持有人的受益權利,如
股息、供股及紅股等;
.
分發本公司及其附屬公司的通訊;
.
編製統計資料及股東資料;
.
遵照法律、規則或法規的要求作出披
露;
.
透過報章公告或其他方式披露獲接納申
請人的身份;
Sample 樣版
.
披露有關資料以便就權益提出申索;及
.
與上述者有關的任何其他附帶或相關目
的及
╱或使本公司及香港股份過戶登記
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。

3.
轉交個人資料
本公司及其香港股份過戶登記處所持有關證
券持有人的個人資料將會保密,但本公司及
其香港股份過戶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、獲取或轉交(無論在香港境內或境外)
有關個人資料:


.
本公司委任的代理,如財務顧問、收款
銀行及海外主要股份過戶登記處;
.
(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;其
將會就中央結算系統的運作使用有關個
人資料;
.
向本公司或香港股份過戶登記處提供與
其各自業務運作有關的行政、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;
.
聯交所、證監會及任何其他法定監管機
關或政府部門或遵照其他法例、規則或
規例;及
.
證券持有人與其進行或擬進行交易的任
何人士或機構,如其銀行、律師、會計
師或股票經紀等。

4.
保留個人資料
本公司及其香港股份過戶登記處將按收集個
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。



5.
查閱和更正個人資料
證券持有人有權確定本公司或香港股份過戶
登記處是否持有其個人資料,並有權索取有
關該資料的副本並更正任何不準確資料。本
公司及香港股份過戶登記處有權就處理任何
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「公司資料」一節所披露或不時通知的本
公司註冊地址送交公司秘書,或向我們的香
港股份過戶登記處的私隱事務主任提出。


閣下簽署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。



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