[HK]康寧杰瑞:白色申請表格

時間:2019年12月02日 10:56:11 中財網
原標題:康寧杰瑞:白色申請表格
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
procedures in this Application Form and the Prospectus. 及申請程序。請參閱本申請表格「填寫及遞交本申請表格
Please refer to the “Effect of completing and submitting 的效用」一節。

this Application Form” section of this Application Form.

Warning: Only one application may be made for the 警告:任何人士只限作出一次為其利益而進行的認購申
benefit of any person. Please refer to the last four bullets 請。請參閱「填寫及遞交本申請表格的效用」一節最後四
of “Effect of completing and submitting this Application 點。

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
Total amount 總額


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)


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


Hong Kong Identity Card No./Passport No./Hong Kong Business Occupation in English 職業(以英文填寫)
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. Names of all other joint applicants in English (if any, in BLOCK
of all other joint applicants* (Please delete as appropriate) 所有其他聯名申請人

letters) 所有其他聯名申請人的英文姓名
╱名稱(如有,正楷)
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)

Sample 樣版
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 請以正楷填寫閣下姓名╱名稱及香港地址)

For internal use

此欄供內部使用


* (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 the Application Form’s validity.
個別人士必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。法人團體必須填寫其
香港商業登記號碼。每名聯名申請人均必須提供其相關號碼。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申請表格的有效性。



(2) 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). 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。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.
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。

Sample 樣版

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

(1)
Maximum number of Hong Kong Offer Shares you may apply for.
2.
Complete the form in English in BLOCK letters 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:
Sample 樣版
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.


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

(1)
閣下可申請認購的香港發售股份最高數目。

2.
請以英文正楷填寫及簽署申請表格。僅接納親筆簽名(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:
Sample 樣版
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。

.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
╱名稱相
同。



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)


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」)。

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



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 your name
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;
Sample 樣版
.
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 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 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
share certificate(s) and/or any refund cheque(s) to you or the firstnamed
applicant for joint application by ordinary post at your own
risk to the address stated on this application, unless you are eligible
to collect the share certificate(s) and/or refund cheque(s) in person;
.
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 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 Offer Shares on Wednesday, December 11, 2019 in South
China Morning Post (in English), 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.

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) and/or refund cheque(s) in person from:
Computershare Hong Kong Investor Services Limited at Shops 17121716,
17th Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai,
Hong Kong from 9:00 a.m. to 1:00 p.m. on Wednesday, December 11,
2019 or such other date as notified by us in the newspapers.

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 Computershare Hong Kong Investor Services Limited.

Sample 樣版
If you do not collect your refund cheque(s) and/or 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 share certificate(s) will be sent to the address on the
relevant Application Form on or before Wednesday, December 11, 2019,
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 1.0% 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.

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 sub-sections in the “How to Apply for Hong Kong Offer
Shares” section of the Prospectus are inapplicable where this form is
signed by HKSCC Nominees:

.
“8. How many applications can you make”; and
.
“12. Circumstances in which you will not be allotted Offer Shares”.
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
何香港發售股份以閣下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
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;


Sample 樣版
.
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)國際發售中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;
.
同意接納所申請的香港發售股份或根據申請向閣下所
分配任何較少數目的股份;
.
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本申請
所示地址向閣下或聯名申請的排名首位申請人寄發
任何股票及╱或任何退款支票,郵誤風險由閣下承
擔,除非閣下合資格親身領取股票及
╱或退款支票;
.
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或配發任
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)、《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公佈最終發售價、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。



閣下成功申請認購香港發售股份(全部或部分)

如閣下申請認購1,000,000股或以上香港發售股份,閣下
可於2019年12月11日(星期三)上午九時正至下午一時正或
我們於報章通知的其他日期,親臨香港中央證券登記有限
公司(地址為香港灣仔皇后大道東
183號合和中心17樓17121716
號舖)領取股票及
╱或退款支票。

如閣下為個人申請人並合資格親身領取,閣下不得授權
任何其他人士代為領取。如閣下為公司申請人並合資格派
人領取,閣下的授權代表須攜同蓋上公司印章的公司授權
書方可領取。個人及授權代表均須於領取時出示香港中央證
券登記有限公司接納的身份證明文件。


Sample 樣版
如閣下並未在指定領取期間內親身領取退款支票及
╱或股
票,有關退款支票及
╱或股票將即時以普通郵遞方式寄往本
申請表格所示地址,郵誤風險由閣下承擔。

如閣下申請認購1,000,000股以下香港發售股份,閣下的
退款支票及╱或股票將於
2019年12月11日(星期三)或之
前以普通郵遞方式寄往有關申請表格所示地址,郵誤風險
由閣下承擔。


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」。


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所載不一

致的條文將不適用而以招股章程所述者為準。


在不限制此段一般性的原則下,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:


.
第一頁的「申請人聲明」;
.
第一頁的「警告」;
. 「如閣下為代名人」;
.
「填寫及遞交本申請表格的效用」一節下的所有陳述及
保證,惟首項有關以申請人名義登記香港發售股份及簽
署使申請人登記成為香港發售股份持有人的文件除外;
.
「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」一節的以下分節在香港
結算代理人作簽署人的情況下並不適用:
. 「8. 閣下可提交的申請數目」;及
. 「12. 閣下不獲配發發售股份的情況」。

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。



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 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 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
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 identities of successful applicants by
way of press announcement(s) or otherwise;
. 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.
3. 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 banker 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.
4. 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.
5. 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.
By signing an Application Form or by giving electronic
application instructions to HKSCC, you agree to all of the
above.
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 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 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
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 identities of successful applicants by
way of press announcement(s) or otherwise;
. 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.
3. 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 banker 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.
4. 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.
5. 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.
By signing an Application Form or by giving electronic
application instructions to HKSCC, you agree to all of the
above.
Sample 樣版

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;
. 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。

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;
. 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。

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