Lufax : Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities Form 6 K

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Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities

I. Movements in Authorised / Registered Share Capital

Total authorised/registered share capital at the end of the month:  USD        100,000

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II. Movements in Issued Shares and/or Treasury Shares

Number of issued shares

(excluding treasury shares)

Remarks:

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III. Details of Movements in Issued Shares and/or Treasury Shares

(A). Share Options (under Share Option Schemes of the Issuer)

scheme

Number of share

options outstanding at

close of preceding

month

Number of share options

outstanding at

close of the month

Number of new shares  issued during the month  pursuant thereto

(A1)

Number of treasury

shares transferred out of

treasury during the

month pursuant thereto

(A2)

Number of shares which

may be issued or

transferred out of

treasury pursuant

thereto as at close of

the month

The total number of

shares which may be

issued or transferred out

of treasury upon

exercise of all share

options to be granted

under the scheme at

close of the month

20,784

date (if applicable)

Remarks:

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(B). Warrants to Issue Shares of the Issuer  Not applicable

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(C). Convertibles (i.e. Convertible into Shares of the Issuer)

Amount at close of

preceding month

Number of new shares

issued during the month  pursuant thereto (C1)

Number of treasury shares transferred out of treasury during the month pursuant thereto (C2)

Bond/Notes

USD         2.32

Increase in issued shares (excluding treasury shares):

Ordinary shares (CC1)

Decrease in treasury shares:

Ordinary shares (CC2)

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(D). Any other Agreements or Arrangements to Issue Shares of the Issuer, including Options (other than Share Option Schemes)

General Meeting

approval date

(if applicable)

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(E). Other Movements in Issued Shares and/or Treasury Shares Not applicable

Total increase/ decrease (-) in issued shares (excluding treasury shares) during the month (i.e. Total of AA1 to EE1):

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IV. Information about Hong Kong Depositary Receipt (HDR)  Not applicable

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V. Confirmations

Pursuant to Main Board Rule 13.25C / GEM Rule 17.27C, we hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued, or the treasury shares sold or transferred by the issuer during the month as set out in Parts III and IV which has not been previously disclosed in a return published under Main Board Rule 13.25A / GEM Rule 17.27A, it has been duly authorised by the board of directors of the listed issuer and carried out in compliance with all applicable listing rules, laws and other regulatory requirements and, insofar as applicable:

(Note 4)

all money due to the listed issuer in respect of the issue of securities, or sale or transfer of treasury shares has been received by it;

all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under "Qualifications of listing" have been fulfilled; (iii) all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled; (iv) all the securities of each class are in all respects identical (Note 5);

all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has been made with all other legal requirements;

all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue, sale or transfer;

completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and

the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.

Submitted by:

Yong Suk CHO

Title:

Chairman of the Board of Directors and Chief Executive Officer

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Notes

The Exchange refers to The Stock Exchange of Hong Kong Limited.

In the case of repurchase of shares (shares repurchased and cancelled) and redemption of shares (shares redeemed and cancelled), "date of event" should be construed as "cancellation date".

In the case of repurchase of shares (shares held as treasury shares), "date of event" should be construed as "date on which shares were repurchased and held by the issuer in treasury".

The information is required in the case of repurchase of shares (shares repurchased for cancellation but not yet cancelled) and redemption of shares (shares redeemed but not yet cancelled). Please state the number of shares repurchased or redeemed during the month or in preceding month(s) but pending cancellation as at close of the month as a negative number.

Items (i) to (viii) are suggested forms of confirmation. The listed issuer may amend the item(s) that is/are not applicable to meet individual cases. Where the issuer has already made the relevant confirmations in a return published under Main Board Rule 13.25A / GEM Rule 17.27A in relation to the securities issued, or the treasury shares sold or transferred, no further confirmation is required to be made in this return.

"Identical" means in this context:

the securities are of the same nominal value with the same amount called up or paid up;

they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to exactly the same sum (gross and net); and

they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

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Disclaimer

Lufax Holding Ltd. published this content on November 06, 2024, and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on November 06, 2024 at 13:07:52.752.