This Application Form uses the same terms as defined in the prospectus of Kunming Dianchi Water Treatment Co., Ltd. (the “Company”) dated Friday, March 24, 2017 (the “Prospectus”). 本申请表格使用昆明滇池水务股份有限公司（「本公司」）於2017年3月24日（星期五）刊发的招股章程（「招股章 程」）所界定的词语。 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. 本申请表格及招股章程概不构成在香港以外任何司法权区要约出售或招揽要约购买任何香港发售股份。若无 根据美国《证券法》登记或豁免登记，香港发售股份不得在美国提呈发售或出售。 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. 任何根据当地法例不得发送、派发或复制本申请表格及招股章程的司法权区内概不得发送或派发或复制（不 论方式，也不论全部或部分）本申请表格及招股章程。 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 VII to the Prospectus, have been registered by the Registrar of Companies as required by Section 342C of the Companies (Winding Up and Miscellaneous Provisions) Ordinance 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 of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相关申请表格及招股章程附录七「送呈公司注册处处长及备查文件」一节所述其他文件的副本 已遵照香港公司（清盘及杂项条文）条例第342C条的规定，送呈香港公司注册处处长登记。香港交易及结算 所有限公司、香港联合交易所有限公司（「联交所」）、香港中央结算有限公司（「香港结算」）、香港证券及期货 事务监察委员会（「证监会」）及香港公司注册处处长对此等文件的内容概不负责。 Kunming Dianchi Water Treatment Co., Ltd. 昆明滇池水务股份有限公司 (A joint stock company incorporated in the People’s Republic of China with limited liability) （於中华人民共和国注册成立的股份有限公司） Stock code : 3768 股份代号: 3768 Maximum Offer Price: HK$4.70 per H Share, plus brokerage of 1.0%, SFC transaction levy of 0.0027% and Hong Kong Stock Exchange trading fee of 0.005% (payable in full on application in Hong Kong dollars and subject to refund) 最高发售价： 每股H股4.70港元，另加1.0%经纪佣金、0.0027% 证监会交易徵费及0.005%香港联交所交易费（须於 申请时以港元缴足，多缴股款可予退还） You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. 招股章程尚有关於申请手续的其他资料，本申请表格应与招股章程一并阅读。 Application Form 申请表格 To: Kunming Dianchi Water Treatment Co., Ltd. 致：昆明滇池水务股份有限公司 Joint Global Coordinators 联席全球协调人 Joint Bookrunners 联席账簿管理人 The Hong Kong Underwriters 香港承销商 Applicants’ declaration 申请人声明 I/We agree to the terms and conditions and application procedures in this Application Form and the Prospectus. Please refer to the “Effect of completing and submitting this Application Form” section of this Application Form. 本人�u吾等同意本申请表格及招股章程的条款及条 件以及申请手续。请参阅本申请表格「填交本申请表 格的效用」一节。 Warning: Only one application may be made for the benefit of any person.Please refer to the last four bullets of “Effect of completing and submitting this Application Form” section. 警告：任何人士只限作出一次为其利益而进行的认 购申请。请参阅「填交本申请表格的效用」一节最後 四点。 Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Staple your payment here 请将股款 紧钉在此 Sample 样板 Signed by (all) applicant(s) (all joint applicants must sign): 由（所有）申请人签署（所有联名申请人必须签署）： Date 日期： / / D日 M月 Y年 Number of Hong Kong Offer Shares applied for (not more than 16,971,000 shares) 申请香港发售股份数目（不超过16,971,000股） Total amount 总额 HK$ 港元 For Broker use 此栏供经纪填写 Lodged by 递交申请的经纪 Broker No. 经纪号码 Broker’s Chop 经纪印章 Cheque/banker’s cashier order number 支票�u银行本票号码 Name of bank on which cheque/banker’s cashier order is drawn (see “How to make your application” section) 兑现支票�u银行本票的银行名称（见「申请手续」一节） Name in English 英文姓名�u名称 Family name or company name 姓氏或公司名称 Forename(s) 名字 Name in Chinese 中文姓名�u名称 Family name or company name 姓氏或公司名称 Forename(s) 名字 Occupation in English 职业（以英文填写） Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No.* (Please delete as appropriate) 香港身份证号码�u护照号码�u香港商业登记号码* （请删除不适用者） Names of all other joint applicants in English (if any) 所有其他联名申请人的英文姓名�u名称（如有） 1) 2) 3) Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. of all other joint applicants* (Please delete as appropriate) 所有其他联名申请人 的香港身份证号码�u护照号码�u香港商业登记号码* （请删除不适用者） 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) 香港地址（以英文填写）及电话号码（联名申请人只须填写排名首位申请人的地址及电话号码） Telephone No. 电话号码 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. 由代名人递交：代名人若不填写本节，是项认购申请将视作为 阁下 利益提出。请填写每名（联名）实益拥有人的账户号码或识别编码。 ADDRESS LABEL 地址标贴（Your name(s)and addressin Hong Kong in BLOCK letters 请用英文正楷填写姓名�u名称及香港地址） For Internal use 此栏供内部使用 Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 * (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. 个别人士须填写其香港身份证号码或（如非香港身份证持有人）护照号码。法人团体须填写其香港商 业登记号码。每名联名申请人均须提供其相关号码。该等香港身份证号码�u护照号码�u香港商业登 记号码将转交第三方以核实申请表格的有效性。 (2) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named 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. 日後如需退回申请股款，退款支票上或会印有 阁下或（如属联名申请人）排名首位申请人的香港身 份证号码�u护照号码的一部分。银行兑现退款支票前或会要求查证 阁下的香港身份证号码�u护照 号码。 (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. 倘若申请人是一家非上市公司，且： 该公司主要从事证券买卖业务；及 阁下对该公司可行使法定控制权， 是项申请将视作为 阁下的利益提出。 Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 This page is intentionally left blank 此乃白页 特意留空 Sample 样板 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. NUMBER OF HONG KONG OFFER SHARES THAT MAY BE APPLIED FOR AND PAYMENTS No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ No. of Hong Kong Offer Shares applied for Amount payable on application HK$ 1,000 4,747.37 60,000 284,841.71 2,000,000 9,494,723.80 16,000,000 75,957,790.40 2,000 9,494.72 70,000 332,315.33 3,000,000 14,242,085.70 16,971,000 (1) 80,567,478.81 3,000 14,242.09 80,000 379,788.95 4,000,000 18,989,447.60 4,000 18,989.45 90,000 427,262.57 5,000,000 23,736,809.50 5,000 23,736.81 100,000 474,736.19 6,000,000 28,484,171.40 6,000 28,484.17 200,000 949,472.38 7,000,000 33,231,533.30 7,000 33,231.54 300,000 1,424,208.57 8,000,000 37,978,895.20 8,000 37,978.90 400,000 1,898,944.76 9,000,000 42,726,257.10 9,000 42,726.26 500,000 2,373,680.95 10,000,000 47,473,619.00 10,000 47,473.62 600,000 2,848,417.14 11,000,000 52,220,980.90 20,000 94,947.24 700,000 3,323,153.33 12,000,000 56,968,342.80 30,000 142,420.86 800,000 3,797,889.52 13,000,000 61,715,704.70 40,000 189,894.48 900,000 4,272,625.71 14,000,000 66,463,066.60 50,000 237,368.10 1,000,000 4,747,361.90 15,000,000 71,210,428.50 (1) Maximum number of Hong Kong Offer Shares you may apply for. 2. Complete the form in English 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: The cheque must: Banker’s cashier order must: be in Hong Kong dollars; not be post-dated; be made payable to “Bank of Communications (Nominee) Co. Ltd. ― Kunming Dianchi 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 preprinted 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 firstnamed applicant’s name. Please use this form if you want the Hong Kong Offer Shares to be issued in your name Sample 样板 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: Bank of Communications Co., Ltd. Hong Kong Branch District Branch Name Address Hong Kong Island Hong Kong Branch 20 Pedder Street, Central Kowloon Hunghom Sub-Branch Shop A6, G/F., Whampoa Estate Planet Square, 1�C3 Tak Man Street Lam Tin Sub-Branch Shop No. 5 & 9, G/F., Kai Tin Towers, 51�C67C Kai Tin Road, Lam Tin New Territories Tseung Kwan O Sub-Branch Shop Nos. 252A, 252B & 253 on Level 2, Metro City Phase I, Tseung Kwan O Market Street Sub-Branch G/F., 49�C55 Tsuen Wan Market Street, Tsuen Wan The Bank of East Asia, Limited District Branch Address Hong Kong Island Hennessy Road Branch G/F, Eastern Commercial Centre, 395�C399 Hennessy Road, Wanchai King’s Road Branch Shop 2, G/F, S U P Tower, 75�C83 King’s Road, Quarry Bay Kowloon Mongkok Branch 638�C640 Nathan Road, Mongkok Tsim Sha Tsui Branch Shop A & B, Milton Mansion, 96 Nathan Road, Tsim Sha Tsui New Territories Tai Po Plaza Branch Units 49�C52, Level 1, Tai Po Plaza, Tai Po Shatin Plaza Branch Shop 3�C4, Level 1, Shatin Plaza, Shatin 5. Your Application Form can be lodged at these times: Friday, March 24, 2017 �C 9:00 a.m. to 5:00 p.m. Saturday, March 25, 2017 �C 9:00 a.m. to 1:00 p.m. Monday, March 27, 2017�C 9:00 a.m. to 5:00 p.m. Tuesday, March 28, 2017 �C 9:00 a.m. to 5:00 p.m. Wednesday, March 29, 2017�C 9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Wednesday, March 29, 2017. The application lists will be open between 11:45 a.m. and 12:00 noon on that day, subject only to the weather conditions, as described in “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. Please use this form if you want the Hong Kong Offer Shares to be issued in your name Sample 样板 申请手续 1. 使用下表计算　阁下应付的款项。　阁下申请认购的股数须至少为1,000股香港发售股份，并为下表所列的其中 一个数目，否则恕不受理。 可供申请认购的香港发售股份数目及应缴款项 申请认购的 香港发售 股份数目 申请时 应缴款项 港元 申请认购的 香港发售 股份数目 申请时 应缴款项 港元 申请认购的 香港发售 股份数目 申请时 应缴款项 港元 申请认购的 香港发售 股份数目 申请时 应缴款项 港元 1,000 4,747.37 60,000 284,841.71 2,000,000 9,494,723.80 16,000,000 75,957,790.40 2,000 9,494.72 70,000 332,315.33 3,000,000 14,242,085.70 16,971,000 (1) 80,567,478.81 3,000 14,242.09 80,000 379,788.95 4,000,000 18,989,447.60 4,000 18,989.45 90,000 427,262.57 5,000,000 23,736,809.50 5,000 23,736.81 100,000 474,736.19 6,000,000 28,484,171.40 6,000 28,484.17 200,000 949,472.38 7,000,000 33,231,533.30 7,000 33,231.54 300,000 1,424,208.57 8,000,000 37,978,895.20 8,000 37,978.90 400,000 1,898,944.76 9,000,000 42,726,257.10 9,000 42,726.26 500,000 2,373,680.95 10,000,000 47,473,619.00 10,000 47,473.62 600,000 2,848,417.14 11,000,000 52,220,980.90 20,000 94,947.24 700,000 3,323,153.33 12,000,000 56,968,342.80 30,000 142,420.86 800,000 3,797,889.52 13,000,000 61,715,704.70 40,000 189,894.48 900,000 4,272,625.71 14,000,000 66,463,066.60 50,000 237,368.10 1,000,000 4,747,361.90 15,000,000 71,210,428.50 (1) 阁下可申请认购的香港发售股份最高数目。 2. 以英文填妥及签署申请表格。只接纳亲笔签名（不得以个人印章代替）。 3. 阁下须将支票或银行本票钉於表格上。每份香港发售股份申请须附一张独立开出支票或一张独立开出银行本票。 支票或银行本票必须符合以下所有规定，否则有关的认购申请不获接纳： 支票必须： 银行本票必须： 为港元； 不得为期票； 注明抬头人为「交通银行（代理人）有限公司 ― 昆明滇池公开发售」； 划线注明「只准入抬头人账户」； 从 阁下在香港的港元银行账户中开出；及 显示　阁下的账户名称，而该账户名称必须已预 印在支票上，或由有关银行授权的人士在支票背 书。账户名称必须与　阁下姓名�u名称相同。如 属联名申请，账户名称必须与排名首位申请人的 姓名�u名称相同。 须由香港持牌银行开出，并由有关银行授权的 人士在银行本票背面签署核证　阁下姓名�u名 称。银行本票所示姓名�u名称须与　阁下姓 名�u名称相同。如属联名申请，银行本票背面 所示姓名�u名称必须与排名首位申请人的姓 名�u名称相同。 如　阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 4. 请撕下申请表格，对摺一次，然後将填妥的申请表格（连同支票或银行本票）投入下列任何一家分行特设 的收集箱： 交通银行股份有限公司香港分行 地区 分行 地址 港岛区 香港分行 中环毕打街20号 九龙区 红�|支行 黄埔新�德民街1-3号地下A6号�m 蓝田支行 蓝田启田道51-67C号启田大厦地下5号及9号�m 新界区 将军澳支行 将军澳新都城商场一期252A、252B及253号�m 街市街支行 荃湾荃湾街市街49-55号地下 东亚银行有限公司 地区 分行 地址 港岛区 轩尼诗道分行 湾仔轩尼诗道395�C399号东区商业大厦地下 英皇道分行 �f鱼涌英皇道75�C83号联合出版 大厦地下2号 九龙区 旺角分行 旺角弥敦道638�C640号 尖沙咀分行 尖沙咀弥敦道96号美敦大厦A及B号 新界区 大埔广场分行 大埔大埔广场地下商场49�C52号 沙田广场分行 沙田沙田广场地下3�C4号 5. 阁下可於下列时间递交申请表格： 2017年3月24日（星期五）－上午9时正至下午5时正 2017年3月25日（星期六）－上午9时正至下午1时正 2017年3月27日（星期一）－上午9时正至下午5时正 2017年3月28日（星期二）－上午9时正至下午5时正 2017年3月29日（星期三）－上午9时正至中午12时正 6. 截止递交申请的时间为2017年3月29日（星期三）中午12时正。本公司将於当日上午11时45分至中午12时 正期间登记认购申请，唯一会影响此时间的变化因素为当日的天气情况（详见招股章程「如何申请香港发 售股份」一节「恶劣天气对开始办理申请登记的影响」）。 如　阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 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 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) and not be a legal or natural person of the PRC. 6. Unless permitted by the Listing Rules, 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; a Director or chief executive officer of the Company and/or any of its subsidiaries; a connected person of the Company or will become a connected person of the Company immediately upon completion of the Global Offering; an associate of any of the above; or have been allocated or have applied for or indicated an interest in any Offer Shares under 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 instructions to HKSCC via Central Clearing and Settlement System (“CCASS”) (if you are a CCASS Participant); or (ii) using a WHITE or YELLOWApplication 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 its 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; confirm that you are aware of the restrictions on the Global Offering in the Prospectus; agree that none of the Company, the Joint Global Coordinators, 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 Offer Shares under the International Offering nor participated in the International Offering; agree to disclose to the Company, the H Share Registrar, the receiving banks, the Joint Global Coordinators, 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 Global Coordinators 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; Kunming Dianchi Water Treatment Co., Ltd. 昆明滇池水务股份有限公司 (A joint stock company incorporated in the People’s Republic of China with limited liability) GLOBAL OFFERING Please use this form if you want the Hong Kong Offer Shares to be issued in your name Sample 样板 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 first-named applicant for joint application by ordinary post at your own risk to the address stated on the application, unless you fulfill the criteria mentioned in “Personal Collection” section in the Prospectus to collect share certificate(s) and/or refund cheque(s); 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 WHITEor YELLOWApplication Form or by giving electronic application instructions to HKSCC or to the HK eIPO White FormService 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 WHITEor YELLOWApplication 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 Wednesday, March 29, 2017. Applicants are required to pay the maximum Offer Price of HK$4.70 for each Hong Kong Offer Share together with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee. If the Offer Price is not agreed between the Company (on behalf of itself and the Selling Shareholders) and the Joint Global Coordinators (on behalf of the Underwriters) on or before Friday, March 31, 2017, 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 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 Public Offer Shares on Wednesday, April 5, 2017 in the South China Morning Post (in English), the Hong Kong Economic Times (in Chinese), the website of the Stock Exchange at www.hkexnews.hkand the Company’s website at www.kmdcwt.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: Tricor Investor Services Limited at Level 22, Hopewell Centre, 183 Queen’s Road East, Hong Kong from 9:00 a.m. to 1:00 p.m. on Wednesday, April 5, 2017 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 Tricor Investor Services Limited. If you do not collect your Share certificate(s) and/or refund cheque(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, April 5, 2017, 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% 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% brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange trading fee) without interest. The refund procedures are stated in the “Despatch/Collection of Share Certificates and Refund Monies” in the “How to Apply for the 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 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: “How many applications can you make”; and “Circumstances in which you will not be allotted offer shares”. Please use this form if you want the Hong Kong Offer Shares to be issued in your name Sample 样板 申请条件 甲. 可提出申请的人士 1. 阁下及 阁下为其利益提出申请的任何人士必须 年满18岁并有香港地址。 2. 如 阁下为商号，则申请须以个别成员名义提 出。 3. 联名申请人不得超过四名。 4. 如 阁下为法人团体，申请须经获正式授权人员 签署，并注明其所属代表身份及盖上公司印监。 5. 阁下必须身处美国境外，并非美国籍人士（定义 见美国《证券法》S规例），亦非中国法人或自然 人。 6. 除上市规则允许外，下列人士概不得申请认购任 何香港发售股份： 本公司及�u或其任何附属公司股份的现有实 益拥有人； 本公司及�u或其任何附属公司之董事或行政 总裁； 本公司关连人士或紧随全球发售完成後成为 本公司关连人士的人士； 上述任何人士的联系人；或 已获分配或已申请或表示有意申请国际发售 的任何发售股份。 乙. 如 阁下为代名人 阁下作为代名人可提交超过一份香港发售股份申 请，方法是：(i)透过中央结算及交收系统（「中央结 算系统」）向香港结算发出电子认购指示（如 阁下为 中央结算系统参与者）；或(ii)使用白色或黄色申请表 格，以自身名义代表不同的实益拥有人提交超过一 份申请。 丙. 填交本申请表格的效用 阁下填妥并递交本申请表格，即表示 阁下（如属联 名申请人，即各人共同及个别）代表 阁下本身，或 作为 阁下代其行事的每位人士的代理或代名人： 承诺签订所有相关文件，并指示及授权本公司 及�u或作为本公司代理的联席全球协调人（或其 代理或代名人），代表 阁下签立任何文件，并 按照公司章程的规定代表 阁下办理一切必要 事宜，以将 阁下获分配的任何香港发售股份 以 阁下名义登记； 同意遵守《公司条例》、《公司（清盘及杂项条文） 条例》及公司章程； 确认 阁下已细阅招股章程及本申请表格所载的 条款及条件以及申请手续，并同意受其约束； 确认 阁下已接获及细阅招股章程，提出申请时 也仅依据招股章程载列的资料及陈述，而除招股 章程任何补充文件外，不会依赖任何其他资料或 陈述； 确认 阁下知悉招股章程内有关全球发售的限 制； 同意本公司、联席全球协调人、承销商、彼等各 自的董事、高级职员、雇员、合夥人、代理、顾 问及参与全球发售的任何其他方现时及日後均毋 须对并非载於招股章程（及其任何补充文件）的任 何资料及陈述负责； 承诺及确认 阁下或 阁下为其利益提出申请的 人士并无申请或接纳或表示有意认购（亦不会申 请或接纳或表示有意认购）国际发售的任何发售 股份，亦不会参与国际发售； 同意在本公司、H股证券登记处、收款银行、联 席全球协调人、承销商及�u或彼等各自的顾问及 代理提出要求时，向彼等披露其所要求提供有 关 阁下及 阁下为其利益提出申请的人士的任 何个人资料； 若香港境外任何地方的法例适用於 阁下的申 请，则同意及保证 阁下已遵守所有有关法 例，且本公司、联席全球协调人及承销商和彼等 各自的高级职员或顾问概不会因接纳 阁下的购 买要约，或 阁下在招股章程及本申请表格所载 的条款及条件项下的权利及义务所引致的任何行 动，而违反香港境外的任何法例； 同意 阁下的申请一经接纳，即不得因无意的失 实陈述而撤销； 同意 阁下的申请受香港法例规管； 声明、保证及承诺：(i) 阁下明白香港发售股份 不曾亦不会根据美国《证券法》登记；及(ii) 阁 下及 阁下为其利益申请香港发售股份的人士均 身处美国境外（定义见S规例），或属S规例第902 条第(h)(3)段所述的人士； 保证 阁下提供的资料真实及准确； 同意接纳所申请的香港发售股份或根据申请 阁 下获分配的较少数目的香港发售股份； Kunming Dianchi Water Treatment Co., Ltd. 昆明滇池水务股份有限公司 （於中华人民共和国注册成立的股份有限公司） 全球发售 如　阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 授权本公司将 阁下的姓名�u名称列入本公司股 东名册，作为 阁下获分配的任何香港发售股份 的持有人，并授权本公司及�u或其代理以普通邮 递方式按申请所示地址向 阁下或联名申请的首 名申请人发送任何股票及�u或任何退款支票，邮 误风险由 阁下承担，除非 阁下符合招股章程 内「亲身领取」章节的条件领取股票及�u或退款支 票； 声明及表示此乃 阁下为本身或为其利益提出申 请的人士提出及拟提出的唯一申请； 明白本公司及联席全球协调人将依据 阁下的声 明及陈述而决定是否向 阁下分配任何香港发售 股份，而 阁下如作出虚假声明，可能会被检 控； （如本申请为 阁下本身的利益提出）保证 阁下 或作为 阁下代理的任何人士或任何其他人士不 曾亦不会为 阁下的利益以白色或黄色申请表 格或向香港结算或网上白表服务供应商发出电子 认购指示而提出其他申请；及 （如 阁下作为代理为另一人士的利益提出申请） 保证(i) 阁下（作为代理或为该人士利益）或该人 士或任何其他作为该人士代理的人士不曾亦不会 以白色或黄色申请表格或向香港结算发出电子认 购指示而提出其他申请；及(ii) 阁下获正式授 权作为该人士的代理代为签署申请表格或发出电 子认购指示。 丁. 授权书 如 阁下透过授权人士提出申请，本公司及联席全 球协调人可按其认为合适的条件（包括出示获授权证 明）酌情接纳或拒绝 阁下的申请。 厘定发售价及香港发售股份的分配 发售价预期於2017年3月29日（星期三）或前後厘定。申请 人须缴付最高发售价每股香港发售股份4.70港元，另加 1%经纪佣金、0.0027%证监会交易徵费及0.005%联交所 交易费。倘若本公司（本身及代表售股股东）与联席全球 协调人（代表承销商）并无於2017年3月31日（星期五）或之 前协定发售价，全球发售将不会进行。 截止办理申请登记前，概不处理香港发售股份的申请或 配发任何香港发售股份。 本公司预期於2017年4月5日（星期三）在南华早报 （以英文）、香港经济日报（以中文）、联交所网站 www.hkexnews.hk及本公司网站www.kmdcwt.com公布厘 定发售价、国际发售的踊跃程度、香港公开发售项下的 认购申请水平及香港公开发售股份的分配基准。香港公 开发售的分配结果以及成功申请人的香港身份证号码�u 护照号码�u香港商业登记号码（如适用）亦於上述网站公 布。 倘 阁下成功申请认购香港发售股份（全部或部分） 倘 阁下申请认购1,000,000股或以上香港发售股份， 阁 下可於2017年4月5日（星期三）上午9时正至下午1时正或 本公司在报章上通知的其他日期，亲临卓佳证券登记有 限公司，地址为香港皇后大道东183号合和中心22楼领取 股票及�u或退款支票。 如 阁下为个人申请人并合资格亲身领取， 阁下不得授 权任何其他人士代为领取。如 阁下为公司申请人并合 资格派人领取， 阁下的授权代表须携同盖上公司印监的 授权书领取。个人申请人及授权代表均须於领取时出示 卓佳证券登记有限公司接纳的身份证明文件。 如 阁下并无在指定领取时间内亲身领取股票及�u或退 款支票，有关股票及�u或退款支票将会以普通邮递方式 立刻寄往本申请表格所示地址，邮误风险由 阁下承担。 如 阁下申请认购1,000,000股以下香港发售股份，退款 支票及�u或股票将於2017年4月5日（星期三）或之前以 普通邮递方式寄往有关申请表格所示地址，邮误风险 由 阁下承担。 退回款项 若 阁下未获任何香港发售股份或申请仅部分获接纳， 本公司将不计利息退回 阁下的申请股款（包括相关的 1%经纪佣金、0.0027%证监会交易徵费及0.005%联交所 交易费）。如发售价低於最高发售价，本公司将不计利息 退回多收申请股款（包括相关的1%经纪佣金、0.0027%证 监会交易徵费及0.005%联交所交易费）。 有关退款程序载於招股章程「如何申请香港发售股份」一 节「发送�u领取H股股票及退回股款」。 香港中央结算（代理人）有限公司（「香港结算代理人」）提 出的申请 如本申请表格由香港结算代理人代表发出电子认购指示 申请香港发售股份的人士签署，本申请表格与招股章程 不符的条文将不适用，且以招股章程所述者为准。 在不限制此段一般应用的前提下，本申请表格的以下部 分在香港结算代理人作签署人的情况下并不适用： 第一页的「申请人声明」； 第一页的「警告」； 「如 阁下为代名人」； 「填交本申请表格的效用」一节项下的所有陈述及保 证，惟首项有关以申请人名义登记香港发售股份及 签署使申请人登记成为香港发售股份持有人的文件 除外； 「如 阁下成功申请认购香港发售股份（全部或部 分 ）」； 及 「退回款项」。 招股章程「如何申请香港发售股份」一节的以下部分在香 港结算代理人作签署人的情况下并不适用： 「阁下可提交的申请数目」；及 「阁下不获配发发售股份的情况」。 如　阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 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 H 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 H Share Registrar when applying for securities or transferring securities into or out of their names or in procuring the services of the H 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 H 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 H 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 your application and refund cheque, where applicable, verification of compliance with the terms and application procedures set out in this Application Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares; compliance with applicable laws and regulations in Hong Kong and elsewhere; registering new issues or transfers into or out of the names of securities’ holders including, where applicable, HKSCC Nominees; maintaining or updating the register of securities holders of the Company; verifying securities holders’ identities; establishing benefit entitlements of securities holders of the Company, such as dividends, rights issues, bonus issues, etc.; distributing communications from the Company and its subsidiaries; compiling statistical information and securities holder profiles; 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 H Share Registrar to discharge their obligations to securities holders and/or regulators and/or any other purposes to which the securities’ holders may from time to time agree. 3. Transfer of personal data Personal data held by the Company and its H Share Registrar relating to the securities holders will be kept confidential but the Company and its H 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 H 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 H 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 H 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 H Share Registrar have the right to charge a reasonable fee for 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 H 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. Please use this form if you want the Hong Kong Offer Shares to be issued in your name Sample 样板 个人资料 个人资料收集声明 此项个人资料收集声明是向香港发售股份的申请 人和持有人说明有关本公司及其H股证券登记处有 关个人资料和香港法例第486章《个人资料（私隐）条 例》（「《条例》」方面的政策和惯例。 1. 收集 阁下个人资料的原因 证券申请人及登记持有人以本身名义申请证券 或转让或受让证券时或寻求H股证券登记处的服 务时，必须向本公司或其代理人及H股证券登记 处提供准确个人资料。 未能提供所要求的资料可能导致 阁下申请证 券被拒或延迟，或本公司或其H股证券登记处无 法落实转让或提供服务。此举也可能妨碍或延 迟登记或转让 阁下成功申请的香港发售股份 及�u或寄发 阁下应得的股票及�u或退款支票。 证券持有人所提供的个人资料如有任何错误， 须立即通知本公司及H股证券登记处。 2. 目的 证券持有人的个人资料可被采用及以任何方式 持有、处理及�u或保存，以作下列用途： 处理 阁下的申请及退款支票（如适用）、核 实是否符合本申请表格及招股章程载列的条 款和申请手续以及公布香港发售股份的分配 结果； 遵守香港及其他地区的适用法律及法规； 以证券持有人（包括香港结算代理人（如适 用））的名义登记新发行证券或转让或受让证 券； 存置或更新本公司证券持有人的名册； 核实证券持有人的身份； 确定本公司证券持有人的受益权利，例如股 利、供股和红股等； 分发本公司及其附属公司的通讯； 编制统计数据和证券持有人资料； 披露有关资料以便就权益索偿；及 与上述有关的任何其他附带或相关目的及�u 或使本公司及H股证券登记处能履行对证券 持有人及�u或监管机构承担的责任及�u或证 券持有人不时同意的任何其他目的。 3. 转交个人资料 本公司及其H股证券登记处所持有关证券持有人 的个人资料将会保密，但本公司及其H股证券 登记处可以在为达到上述任何目的之必要情况 下，向下列任何人士披露、获取或转交（无论在 香港境内或境外）有关个人资料： 本公司委任的代理人，例如财务顾问、收款 银行和主要海外股份过户登记处； （如证券申请人要求将证券存於中央结算系 统）香港结算或香港结算代理人，彼等将会 就中央结算系统的运作使用有关个人资料； 向本公司或H股证券登记处提供与其各自业 务营运有关的行政、电讯、电脑、付款或其 他服务的任何代理人、承包商或第三方服务 供应商； 联交所、证监会及任何其他法定监管机关或 政府部门或遵照其他法例、规则或法规；及 证券持有人与其进行或拟进行交易的任何人 士或机构，例如彼等的银行、律师、会计师 或股票经纪等。 4. 个人资料的保留 本公司及其H股证券登记处将按收集个人资料 所需的用途保留证券申请人及持有人的个人资 料。无需保留的个人资料将会根据条例销毁或 处理。 5. 查阅和更正个人资料 证券持有人有权确定本公司或H股证券登记处是 否持有其个人资料，并有权索取有关该资料的 副本并更正任何不准确资料。本公司和H股证券 登记处有权就处理任何查阅资料的要求收取合 理费用。 所有查阅资料或更正资料的要求应按招股章程 「公司资料」一节所披露或不时通知的本公司注 册地址送交公司秘书，或向本公司的H股证券登 记处的个人资料私隐事务主任提出。 阁下签署申请表格或向香港结算发出电子认购指 示，即表示同意上述各项。 如　阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Sample 样板 This page is intentionally left blank 此乃白页 特意留空 Sample 样板 This page is intentionally left blank 此乃白页 特意留空 Sample 样板