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 This Application Form uses the same terms as defined in the prospectus of Guotai Junan Securities Co., Ltd. (the “Company”) dated March 28, 2017 (the “Prospectus”). 本申请表格使用国泰君安证券股份有限公司（「本公司」）於2017年3月28日刊发的招股章程（「招股章程」） 所界定的相同词语。 Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer here 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游说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. 在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（不论以任何方式，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 in Hong Kong and Available for Inspection”section in Appendix VIII to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by section 342C of Companies (Winding up and Miscellaneous Provisions) Ordinance. Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the“Hong Kong 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八「送呈香港公司注册处处长及备查文件」一节所述其他文 件已按《公司（清盘及杂项条文）条例》第342C条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（「香港联交所」）、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（「香港证监会」）及香港公司注册处处长对此等文件的内容概不负责。 国泰君安证券股份有限公司 Guotai Junan Securities Co., Ltd. (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 : 2611 股份代号: 2611 Offer Price : HK$15.84 per H Share, plus brokerage of 1.0%, SFC transaction levy of 0.0027%and Hong Kong Stock Exchange trading feeof 0.005% (payable in full on application in Hong Kong dollars and subject to refund) 发售价: 每股H股15.84港元，另加1.0%经纪佣金、 0.0027%香港证监会交易徵费及0.005%香港联 交所交易费（须於申请时以港元缴足，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程序的其他资料，本申请表格应与招股章程一并阅读。 Application Form 申请表格 Staple your payment here 请将股款 紧订在此 To: Guotai Junan Securities Co., Ltd. Joint Sponsors Joint Representatives Joint Global Coordinators Joint Bookrunners Hong Kong Underwriters Applicants’declaration 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. 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. 致： 国泰君安证券股份有限公司 联席保荐人 联席代表 联席全球协调人 联席账簿管理人 香港承销商 申请人声明 本人�u吾等同意本申请表格及招股章程的条款及 条件以及申请程序。见本申请表格「填交本申请 表格的效用」一节。 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。 Sample m am 券股份有限 an Securities Co rities C ed in the People d in ’s Republic of Ch s Republic of C 民共和国注册成立的股份有限公司 共和国注册成立的股份有限公 Stock Code de : 2611 股份代号: 2611 11 Offer Price r Pric : HK$15.84 per H HK$1 SFC transact SFC Stock Exch Sto in full o subjec 发售价: 每股 j 0. ead this Application Form in conju pplication Form in conju pp on the application procedures. cation procedures p 尚有关於申请程序的其他资料，本申 於申请程序的其他资 Applica Ap o: Guotai Junan Securities Co., Ltd. Guotai Junan Securities C Joint Sponsors Joint Representatives Joint Representati nt Global Coordinators oor Bookrunners Bookrunner ong Underwrit ong U laratio th 样版 任何香 任何 uced (in whole o d (in oduction is not permit ction is not per 法权区内概不得发送或派发 权区内概不得发送或 nts specified in the s specified in the “Documents Delivered Documents D section in Appendix VIII to the Prospectus, ection in Appendix VIII to the Prospectus, uired by section 342C of Companies (Winding by section 342C of Companies (Winding es and Clearing Limited, The Stock Exchange earing Limited, The Stock Ex ong Kong Securities Clearing Company Limite ng Kong Securities Clearing Company Kong (the ng (the“SFC”) and the Registrar of Companies d the Registrar of Comp uments. s. 呈香港公司注册处处长及备查文件」一节所述 呈香港公司注册处处长及备查文件」一节所述 定送呈香港公司注册处处长登记。香港交易及 送呈香港公司注册处处长登记。香港交易及 」）、香港中央结算有限公司（「香港结算」）、 香港中央结算有限公司（「香港结 司注册处处长对此等文件的内容概不负责。 司注册处处长对此等文件的内容概不负责 样 限公司 公司 Co., Ltd. ., Ltd. hina with limi h lim 司） Please use this form if you want the Hong Kong Offer Shares to be issued in your name 如 阁下欲以本身名义登记将获发行的香港发售股份，请使用本表格 Signed by (all) applicant(s) (all joint applicants must sign): 由（所有）申请人签署（所有联名申请人必须签署）： Date: 日期: �u �u D 日 M 月 Y 年 Number of Hong Kong Offer Shares applied for (not more than 26,000,000 shares) 申请香港发售股份数目（不超过26,000,000股股份） Total amount 总额 HK$ 港元 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） 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 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 请用正楷填写 阁下的姓名�u名 称及香港地址） For Internal use 此栏供内部使用 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） 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） 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) Sample Fo l any) 如有） pl p mpp mp English and telephone no. (joint applicants sh telephone no. (joint applicants sh 地址（以英文填写）及电话号码（联名申请人只 文填写）及电话号码（联名申请人只 m am Sam Nominees: You will be treated as applying Nominees: You will be treated a nefit if you do not complete this section. P fit if you do not complete this s ccount number or identification code for ea unt number or identification c er. 由代名人递交：代名人若不填写本 代名人递交：代名人若 作为阁下利益提出。请填写每名 阁下利益提出 码或识别编码。 SL地址标 Kl Hong Ko Registration istration 护照号码�u香 护照号码�u g le Hong Kong Identity Car Hong Kong Ide Registration No. of all Registration appropriate) appropri 所有其 码�u香港商业登记 码�u香港 pp p ) pp pp pl p1) 2) 3) 样版 name(s) s) 名字 样 orename(s) name(s) 名字 版 ber支票�u银行本票 支票�u银行本 版 样版 ch cheque/Banker h cheque/Banker’s cashier order is cashier o make your application ke your application”section)兑现支票 行名称（见「申请手续」一节） 见「申请手续」一节） ypp ng Identity Card No./Pass dentity Card No No.* (Please delete as o.* (Please delet 香港商业登记号码 港商业登记号 ( 样 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 *(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，而： 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。 Sample g in sec pany, made for your benefit our benef ；及及 制权， 利益提出。。 样版 法人团体须 人团体 证号码�u护照号码 号码�u护照 for joint applicants, the first-named or joint applicants, the first-named r may require verification of your Hong quire verification of your your refund cheque. ur refund cheque. 或（如属联名申请人）排名首位申请人 属联名申请人）排名首位申请人 支票前或会要求查证 票前或会要求查 阁下的香港身 下的香港身 curities; and ies; an This page is intentionally left blank 此乃白页 特意留空 Sample le ple page is intentionally left blank e is intentionally left blan 此乃白页页 特意留空 样版 样 Please use this form if you want the Hong Kong Offer Shares to be issued in your name 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 200 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected. NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS No. of Amount payable No. of Amount payable No. of Amount payable No. of Amount payable Hong Kong Offer on application Hong Kong Offer on application Hong Kong Offer on application Hong Kong Offer on application Shares applied for HK$ Shares applied for HK$ Shares applied for HK$ Shares applied for HK$ 200 3,199.93 7,000 111,997.33 300,000 4,799,885.90 8,000,000 127,996,957.44 400 6,399.85 8,000 127,996.96 400,000 6,399,847.87 9,000,000 143,996,577.12 600 9,599.78 9,000 143,996.58 500,000 7,999,809.84 10,000,000 159,996,196.80 800 12,799.69 10,000 159,996.20 600,000 9,599,771.81 15,000,000 239,994,295.20 1,000 15,999.62 20,000 319,992.39 700,000 11,199,733.78 20,000,000 319,992,393.60 1,200 19,199.54 30,000 479,988.59 800,000 12,799,695.74 26,000,000 (1) 415,990,111.68 1,400 22,399.47 40,000 639,984.79 900,000 14,399,657.71 1,600 25,599.39 50,000 799,980.98 1,000,000 15,999,619.68 1,800 28,799.32 60,000 959,977.18 2,000,000 31,999,239.36 2,000 31,999.24 70,000 1,119,973.38 3,000,000 47,998,859.04 3,000 47,998.86 80,000 1,279,969.57 4,000,000 63,998,478.72 4,000 63,998.48 90,000 1,439,965.77 5,000,000 79,998,098.40 5,000 79,998.10 100,000 1,599,961.97 6,000,000 95,997,718.08 (1) Maximum number of Hong Kong 6,000 95,997.72 200,000 3,199,923.94 7,000,000 111,997,337.76 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: r be in Hong Kong dollars; r not be post-dated; r be made payable to “BANK OF CHINA (HONG KONG) NOMINEES LIMITED �C GUOTAI JUNAN SECURITIES PUBLIC OFFER”; rbe crossed “Account Payee Only”; r be drawn on your Hong Kong dollar bank account in Hong Kong; and r show your account name, which must either be pre-printed on the cheque, or be endorsed on the back by a person authorized 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. r be issued by a licensed bank in Hong Kong, and have your name certified on the back by a person authorized 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 lle e 3 4,000, 5.77 5,000,000 99,961.97 ,961.9 6,000,000 000,0 9 3,199,923.94 9,923.94 7,000,000 7,000 111,99 1 and sign it. Only written signatures w it. Only written si banker’s cashier order to the form. Each er order to the f d by either one separate cheque or one s one separate cheque your cheque or banker que or banker’s cashier order d s cashier o mp m S ust: Hong Kong dollars; g dollars; t be post-dated; be post-dated; be made payable to “BANK OF CHIN BANK O “ SECURITIES PUBLIC OFFER SECURITIES PUBLIC OF ”; be crossed “Account Payee Onl Account Pa be drawn on your Hong be drawn on y ount in Hong Kong; a unt in Hong your account n your ac ed on the d pers 样版版 样版版 样版版 样版 样版 f Kong Offer g Off on a ares applied for s app HK 8,000,000 127,996,957.4 7,99 87 9,000,000 00,000 143,996,577.12 143,996, 9,809.84 84 10,000,000 159,996,196.80 996,196.80 9,599,771.81 , 15,000,000 0,00 239,994,295.20 239,994,2 11,199,733.78 11,199,733. 20,000,000 319,992,393.6 19,992,3 00 0 12,799,695.74 26,000,000 00,00 (1) 415,990, 415,990 900,000 14,399,657.71 1,000,000 15,999,619.68 5,999,619.68 2,000,000 ,000 31,999,239.36 ,000,000 000 000 47,998,859.04 000 63,998,478.72 79,998,098.40 98,098.40 95,997,718.0 80 7 Please use this form if you want the Hong Kong Offer Shares to be issued in your 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: Bank of China (Hong Kong) Limited District Branch Address Hong Kong Island Bank of China Tower Branch 3/F, 1 Garden Road Causeway Bay Branch 505 Hennessy Road, Causeway Bay, Hong Kong King’s Road Branch 131-133 King’s Road, North Point Kowloon Mong Kok Branch 589 Nathan Road, Mong Kok Telford Gardens Branch Shop P2 Telford Gardens, Kowloon Bay New Territories Metro City Branch Shop 209, Level 2, Metro City Phase 1, Tseung Kwan O Standard Chartered Bank (Hong Kong) Limited District Branch Address Hong Kong Island North Point Centre Branch Shop G, G/F, North Point Centre, 284 King’s Road, North Point Kowloon Kwun Tong Branch G/F, 414 Kwun Tong Road, Kowloon Lok Fu Shopping Centre Branch Shop G201, G/F., Lok Fu Shopping Centre San Po Kong Branch Shop A, G/F, Perfect Industrial Building, 31 Tai Yau Street, San Po Kong New Territories Tuen Mun Town Plaza Branch Shop No. G047-G052, Tuen Mun Town Plaza Phase I, Tuen Mun 5. Your Application Form can be lodged at these times: Tuesday, March 28, 2017 ―9:00 a.m. to 5:00 p.m. Wednesday, March 29, 2017―9:00 a.m. to 5:00 p.m. Thursday, March 30, 2017 ―9:00 a.m. to 5:00 p.m. Friday, March 31, 2017 ―9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Friday, March 31, 2017. 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 “Effect of Bad Weather on the Opening of the Application Lists”in the “How to Apply for the Hong Kong Offer Shares”section of the Prospectus. Sample Shop North P orth P h G/F, 414 Kwu G/F, 414 Kw ng h Shop G201, G/F., Shop G201, ong Branch ch Shop A, G/F, Per Shop 31 Tai Yau St 31 Ta uen Mun Town wn Plaza Branch anch Shop No Phase ation Form can be lodged at these times m can be lodged at these times Tuesday, March 28, 2017 Tuesday, March Wednesday, March 2 , Mar 9, 20 Thursday, March 30 Thursday, M Friday, March Friday . The latest time for lodging your The latest time for lodg lists will be open between 11:4 lists will be open escribed in “Effect of Bad ffe g Kong Offer Shares Kong Offer ” 样版 way Bay, Hong Kong ay Bay, Hong K orth Point Poin Mong Kok d Gardens, Kowloon Bay ens, Kowloon Bay , Level 2, Metro City Phase 1, vel 2, Metro City Phase 1, g Kwan O Kwan O Address ress G, G/F, North Point Cen G/F, North Point Cen oint nt un Tong 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 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200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。 可供申请认购股份数目及应缴款项 申请认购的 申请时 申请认购的 申请时 申请认购的 申请时 申请认购的 申请时 香港发售 应缴款项 香港发售 应缴款项 香港发售 应缴款项 香港发售 应缴款项 股份数目 港元 股份数目 港元 股份数目 港元 股份数目 港元 200 3,199.93 7,000 111,997.33 300,000 4,799,885.90 8,000,000 127,996,957.44 400 6,399.85 8,000 127,996.96 400,000 6,399,847.87 9,000,000 143,996,577.12 600 9,599.78 9,000 143,996.58 500,000 7,999,809.84 10,000,000 159,996,196.80 800 12,799.69 10,000 159,996.20 600,000 9,599,771.81 15,000,000 239,994,295.20 1,000 15,999.62 20,000 319,992.39 700,000 11,199,733.78 20,000,000 319,992,393.60 1,200 19,199.54 30,000 479,988.59 800,000 12,799,695.74 26,000,000 (1) 415,990,111.68 1,400 22,399.47 40,000 639,984.79 900,000 14,399,657.71 1,600 25,599.39 50,000 799,980.98 1,000,000 15,999,619.68 1,800 28,799.32 60,000 959,977.18 2,000,000 31,999,239.36 2,000 31,999.24 70,000 1,119,973.38 3,000,000 47,998,859.04 3,000 47,998.86 80,000 1,279,969.57 4,000,000 63,998,478.72 4,000 63,998.48 90,000 1,439,965.77 5,000,000 79,998,098.40 5,000 79,998.10 100,000 1,599,961.97 6,000,000 95,997,718.08 (1) 阁下可申请认购的香港发售 6,000 95,997.72 200,000 3,199,923.94 7,000,000 111,997,337.76 股份最高数目。 2. 以英文填妥及签署表格。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「中国银行（香港）代理人有限公司－国泰君安证券公开发售」； 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。 ppll pl plee 2,0 3,000,00 69.57 4,000,000 439,965.77 9,965.77 5,000,000 5,000 79 1,599,961.97 97 6,000,000 95,997, 3,199,923.94 7,000,000 0 000 111,997, 只接纳亲笔签名（不得以个人印章代 亲笔签名（不得以个 银行本票钉於表格上。每份香港发售 钉於表格上。每份香 票。支票或银行本票必须符合以下所 或银行本票必须符合以下 m am S 港元； 港 不得为期票； 注明抬头人为「 注明抬头人为中国银行（香港 中国银 划线注明「只准入抬头人 划线注明「只准 阁下在香港的港元 阁下在香 阁下的账户 阁 支票 样版版 样版版 样版 样版 请认购的 认购 申 香港发售 香港 应缴款项 应 股份数目 份数目 港元 港 85.90 .90 8,000,000 127,996,957.44 127,996,9 99,847.87 9,000,000 9 143,996,577.12 6,577.12 7,999,809.84 7,999,80 10,000,000 159,996,196.80 159,996,1 9,599,771.81 15,000,000 239,994,295 39,994, ,000 0 11,199,733.78 20,000,000 00,00 319,99 319,9 800,000 12,799,695.74 26,000,000 0 (1) 4 900,000 14,399,657.71 1,000,000 00,000 15,999,619.68 00,000 31,999,239.36 0 47,998,859.04 7,998,859.04 63,998,478.72 ,478.7 ,998,098 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 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： 中国银行（香港）有限公司 地区 分行 地址 港岛区 中银大厦分行 花园道1号3楼 铜锣湾分行 香港铜锣湾轩尼诗道505号 英皇道分行 北角英皇道131-133号 九龙区 旺角分行 旺角弥敦道589号 德福花园分行 九龙湾德福花园商场P2号 新界区 新都城分行 将军澳新都城一期二楼209号 渣打银行（香港）有限公司 地区 分行 地址 港岛区 北角中心分行 北角英皇道284号北角中心地下G�m 九龙区 观塘分行 九龙观塘道414号地下 乐富中心分行 乐富中心商场地下G201号�m 新蒲岗分行 新蒲岗大有街31号善美工业大厦 地下A号�m 新界区 屯门市广场分行 屯门屯门市广场第一期 地下G047-G052号�m 5. 阁下可於下列时间递交申请表格： 2017年3月28日（星期二）－ 上午九时正至下午五时正 2017年3月29日（星期三）－ 上午九时正至下午五时正 2017年3月30日（星期四）－ 上午九时正至下午五时正 2017年3月31日（星期五）－ 上午九时正至中午十二时正 6. 截止递交申请的时间为2017年3月31日（星期五）中午十二时正。本公司将於当日上午十一时 四十五分至中午十二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「恶劣天气对办理申请登记的影响」）。 Sample 地址 北角英皇 九龙观塘道 九龙观塘 4 心分行 乐富中心商场 乐富中 岗分行 新蒲岗大有 新 地下A 屯门市广场分行 市广场分行 屯 於下列时间递交申请表格： 递交申请表格： 2017年3月28日（星 2017年3月29日 2017年3月 2017年3 递交申请的时间 交申 至中午 样版 诗道505号 1-133 -13 号 敦道道589号 湾德福花园商场 福花园商场P22号 将军澳新都城一期二楼 澳新都城一期二楼209号 址 皇道 皇 2844号 Please use this form if you want the Hong Kong Offer Shares to be issued in your name 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 authorized 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 Hong Kong Listing Rules, you cannot apply for any Hong Kong Offer Shares if you are: an existing beneficial owner of shares in the Company; aDirector, a supervisor or the chief executive officer of the Company and/or any of its subsidiaries; an associate (as defined in the Hong Kong Listing Rules) of any of the above; a connected person of the Company or will become a 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 Offer Shares under the International Offering. B. If you are a nominee You, as 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 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 authorize the Company and/or the Joint Representatives (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, the PRC Company Law, the Special Regulations and the Articles of Association; 国泰君安证券股份有限公司 Guotai Junan Securities Co., Ltd. (A joint stock company incorporated in the People’s Republic of China with limited liability) GLOBAL OFFERING 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 Representatives, the Joint Global Coordinators, the Joint Bookrunners, the Joint Lead Managers, the Underwriters, their respective directors, officers, employees, partners, agents, advisors 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, our H Share Registrar, receiving banks, the Joint Sponsors, the Joint Representatives, the Joint Global Coordinators, the Joint Bookrunners, the Joint Lead Managers, the Underwriters and/or their respective advisors 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 Representatives, the Joint Global Coordinators, the Joint Bookrunners, the Joint Lead Managers, and the Underwriters nor any of their respective officers or advisors 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; Sample u are: in the ef executive executive /or any of its its he Hong Kong Listing ng Listi ; he Company or will become or will become of the Company immediately any immediately of the Global Offering; or l Offering; or llocated or have applied for or have applied for or n interest in any Offer Shares under the y Offer Shares under the onal Offering. g. minee ou, as a nominee, may make more than on inee, may make mo n for the Hong Kong Offer Shares by: (i) gi Kong Offer Shares onic instructions to HKSCC via Central C ctions to HKSCC via Settlement System (“CCASS CC ”) (if you are ) (if Participant); or (ii) using a WHITE or YELLOW articipant); or (ii) using a WHITE or Form, and lodge more than one application in Form, and lodge more than one app on behalf of different beneficial owners. on behalf of different beneficial Effect of completing and submitting t Effect of completing and su y completing and submitting this A y completing and sub u are joint applicants, each of plica f or as an agent or a n or as an ag you act: you ac ake to ex nd au i any underta under benefit yo nefi for or taken for or apply for or t app Shares und the Inte agre R 样版 ead the terms and conditio d the terms and co es set out in the Prospectus an t out in the Prospec orm and agree to be bound by them; rm and agree to be bound by t you have received and read the you have received and re and have only relied on the information d have only relied on the information resentations contained in the Prospectus in ns contained in the Prospe ng your application and will not rely on any othe g your application and will not rely on an formation or representations except those in mation or representations except those supplement to the Prospectus; ement to the Prospectus; confirm that you are aware of the restrictio confirm that you are aware of the restrict Global Offering in the Prospectus; agree that none of the Company, the Joi agree that none of the Company, the Joint Representatives, the Joint Gl Joint Representatives, the Join the Joint Bookrunners, the Jo the Joint Bookrunners, the the Underwriters, their respe the Underwriters, their r employees, partners, agents, a employees, partners, agents involved in the Global Off volved in the Glob nformation and repres ormation and rep supplement to i supplement t ake and co uh Please use this form if you want the Hong Kong Offer Shares to be issued in your name 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; authorize 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 H Share certificate(s) and/or any e-Refund payment instructions 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 are eligible to collect the H 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 Representatives 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 White Form eIPOService 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 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 authorized attorney, the Company and the Joint Representatives may accept or reject your application at their discretion, and on any conditions they think fit, including evidence of the attorney’s authority. Offer Price and Allocation of Hong Kong Offer Shares Applicants are required to pay the Offer Price of HK$15.84 for each Hong Kong Offer Share together with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee. 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 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 Offering on Monday, April 10, 2017 in the South China Morning Post (in English) and the Hong Kong Economic Times (in Chinese), and on the website of the Hong Kong Stock Exchange atwww.hkexnews.hk and the Company’s website at www.gtja. 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 refund cheque(s) and/or H Share certificate(s) in person from: Computershare Hong Kong Investor Services Limited at Shops 1712�C1716, 17th Floor, Hopewell Centre, 183 Queen’s Road East, Wan Chai, Hong Kong from 9:00 a.m. to 1:00 p.m. on Monday, April 10, 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 authorize any other person to collect for you. If you are a corporate applicant which is eligible for personal collection, your authorized representative must bear a letter of authorization from your corporation stamped with your corporation’s chop. Both individuals and authorized representatives must produce, at the time of collection, evidence of identity acceptable to Computershare Hong Kong Investor Services Limited. If you do not collect your refund cheque(s) and/or H 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 H Share certificate(s) will be sent to the address on the relevant Application Form on or before Monday, April 10, 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 or the appropriate portion thereof (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee) without interest. The refund procedures are stated in the “Despatch/Collection of H 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 the 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”. Sample on ns to vider by vid her person; r perso an agent for the the t that (i) no other de by you as agent for s agent f n or by that person or by person or by or that person on a n on aWHITE TE n Form or by giving electronic giving electronic to HKSCC and (ii) you have due and (ii) you hav e Application Form or give electronic Form or give electronic uctions on behalf of that other person as f of that other person as rney plication is made through an authorized attorney, e through an authorize ny and the Joint Representatives may accept or Joint Representatives may application at their discretion, and on any condit application at their discretion, and on ink fit, including evidence of the attorney k fit, including evidence of the attorn ’s author ffer Price and Allocation of Hong Kong Offer S r Price and Allocation of Hong Ko pplicants are required to pay the Offer Price o icants are required to pay the O g Kong Offer Share together with 1% b Kong Offer Share tog ion levy and 0.005% Hong Kong S on levy and 0.005% ns for Hong Kong Offer Sha Kong of any Hong Kong Of of any Hong close. lose. ects to ann ional ost Refund of If you do n you do n application is ac pplication is ac your application mo our application m the related 1% brokera e related 1% bro Hong Kong Stock Exchan g Kong Stock The refund procedures a The refund p Share Certificates and Share Ce Hong Kong Offer ng K Application Where t behal to to 样版 p.m in the new the n for personal co pers to collect for you. If y collect for you. ible for personal collection e for personal colle bear a letter of authorization from y ear a letter of authorization our corporation corporation’s chop. Both individuals s chop. Both in tives must produce, at the time of collection, ves must produce, at the time of collection, ceptable to Computershare Hong Kong Investor e to Computershare Hong Kong Investor collect your refund cheque(s) and/or H Sh ollect your refund cheque(s) and/or H personally within the time period specified for coll nally within the time period specified for co be dispatched promptly to the address as specifie e dispatched promptly to the address as spec cation Form by ordinary post at your own risk. If y Form by ordinary post at your own risk. If s than 1,000,000 Hong Kong Offer Shares, your r than 1,000,000 Hong Kong Offer Shares, yo and/or H Share certificate(s) will be sent to the add r H Share certificate(s) will be sent to the ad Application Form on or before Monday, April ion Form on or before Monday, Ap t and at your own risk. nd at your own risk. f your money ur money ot receive any Hon receive any H cepted only in cepted only onies or ge 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 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人士必须年满 18岁并有香港地址。 2. 如 阁下为商号，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. 除香港上市规则批准外，下列人士概不得申请认 购任何香港发售股份： 本公司股份的现有实益拥有人； 本公司及�u或其任何附属公司的董事、监 事或首席执行官； 上述任何人士的联系人（定义见香港上市规 则）； 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；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： 承诺签署所有相关文件，并指示及授权本公司及 �u或作为本公司代理的联席代表（或彼等的代理 或代名人），为 阁下签署任何文件及代表 阁 下办理一切必要事宜，以根据公司章程致使 阁 下所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、中国公司法、《特别规定》及公司章程； 国泰君安证券股份有限公司 Guotai Junan Securities Co., Ltd. （在中华人民共和国注册成立的股份有限公司） 全球发售 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程序，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、联席保荐人、联席代表、联席全球 协调人、联席账簿管理人、联席牵头经办人、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人士 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，亦无参与国际发售； 同意在本公司、H股证券登记处、收款银行、联 席保荐人、联席代表、联席全球协调人、联席账 簿管理人、联席牵头经办人、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 的人士的个人资料； 若如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、联席保荐人、联席代表、联席全 球协调人、联席账簿管理人、联席牵头经办人及 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责任所 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； Sample 事、监 事 见香港上市规 市规 随全球发售完成後成 完成後成 的人士；或 请或表示有意申请国际发 意申请国际发 售股份。 人可提交超过一份香港发售股份申请， 过一份香港发售股份申请， 透过中央结算及交收系统（「中央结算系 结算及交收系统（「中央结算系 香港结算发出电子认购指示（如 电子认购指示（如 阁下为中 系统参与者）；或 者）；或(ii)使用用白色或黄色申请 以自身名义代表不同的实益拥有人提交超 自身名义代表不同的实益拥有 请。 、填交本申请表格的效用 阁下填妥并递交本申请表格， 阁下填妥并递交本 申请人，即各人共同及个 各人 阁下代其行事的每 阁下代其 签署所有相 签署 为本公 何补 承诺及 诺 人士并无申 人士 请或接纳或 请 股份，亦 同意 席 样版 招股章程及本申请表格所 股章程及本申请表 申请程序，并同意受其约束； 申请程序，并同意受其约 已接获及细阅招股章程，提出申请时 已接获及细阅招股章程，提出 据招股章程载列的资料及陈述，而除招股 章程载列的资料及陈述，而除招股 任何补充文件外，不会依赖任何其他资料或 任何补充文件外，不会依赖任何其他 陈述； 确认 阁下知悉招股章程内有关全球发 制； 同意本公司、联席保荐人、联席代 同意本公司、联席保荐人、联席 协调人、联席账簿管理人、联席 协调人、联席账簿管理人、 销商、彼等各自的董事、高 销商、彼等各自的董事 人、代理、顾问及参与全 人、代理、顾问及参与 现时及日後均毋须对 时及日後均毋 补充文件）的任 补充文件）的 确认 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 保证 阁下提供的资料真实及准确； 同意接纳所申请数目或根据申请分配予 阁下但 数目较少的香港发售股份； 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H股股票及�u或任何电子退款 指示及�u或任何退款支票，邮误风险由 阁下承 担，除非 阁下已符合资格亲身领取H股股票及 �u或退款支票； 声明及表示此乃 阁下为本身或 阁下为其利益 提出申请的人士提出及拟提出的唯一申请； 明白本公司及联席代表将依据 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， 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 或向香港结算或白表eIPO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 授权作为该其他人士的代理代为签署本申请表格 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，本公司及联席代表 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。 发售价及香港发售股份的分配 申请人须缴付每股香港发售股份15.84港元的发售价，另 加1%经纪佣金、0.0027%香港证监会交易徵费及0.005% 香港联交所交易费。 截止登记认购申请前，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10日（星期一）在《南华早报》（以 英文）及《香港经济日报》（以中文），以及香港联交所网站 (www.hkexnews.hk)及本公司网站(www.gtja.com)公布国 际发售踊跃程度、香港公开发售的申请水平及香港公开发 售分配基准。香港公开发售的分配结果以及成功申请人的 香港身份证�u护照�u香港商业登记号码（如适用）亦同於上 述网站公布。 如 阁下成功申请认购香港发售股份（全部或部分） 如 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10日（星期一）或本公司在报章上公布的 其他日期上午九时正至下午一时正，亲身前往香港中央证 券登记有限公司（地址为香港湾仔皇后大道东183号合和中 心17楼1712-1716室）领取 阁下的退款支票及�u或H股股 票。 如 阁下为个人申请人并合资格亲身领取， 阁下不得授 权任何其他人士代领。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领取股票时均须出示香港中央 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 阁下的退款 支票及�u或H股股票，有关退款支票及�u或H股股票将立 刻以普通邮递方式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H股股票将於2017年4月10日 （星期一）或以前以普通邮递方式寄往相关申请表格所示地 址，邮误风险由 阁下承担。 退回款项 若 阁下未获分配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 阁下的申请股款或其中适当 部分（包括相关的1%经纪佣金、0.0027%香港证监会交易 徵费及0.005%香港联交所交易费）。 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，且以招股章程的条文为准。 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 结算代理人作本表格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」。 Sample 电子 提出申请） 出申请 人士利益）或该 理的人士不曾亦不 或向香港结算发出电子 算发出电子 请；及(ii) 阁下获正式 士的代理代为签署本申请表格 为签署本申请 指示。 过授权人士提出申请，本公司及联席代表 提出申请，本公司及联席代表 为合适的条件（包括出示获授权证明）酌情 件（包括出示获授权证 拒绝 阁下的申请。 下的申请。 价及香港发售股份的分配 请人须缴付每股香港发售股份15.84港元 1% %经纪佣金、0.0027%香港证监会交 香港 联交所交易费。 交所交 认购申请前，概不处理 购申请前， 售股份。 售股份 17年4月 址， 退回款项 若 阁下未 纳，本公司将不 部分（包括相关的 部分（包括相关 1 徵费及0.005%香港联 有关退款程序载於招 有关 「发送�u领取 发送�u H股 香港中央结 的申请 如本 请 样版 款支票 格亲身领取， 亲身 阁下 阁 阁下为公司申请人并合资 下为公司申请人并 表须携同盖上公司印监的授权书领 须携同盖上公司印监的授 权代表领取股票时均须出示香港中央 代表领取股票时均须出示香港中央 接纳的身份证明文件。 身份证明文 在指定领取时间内亲身领取 在指定领取时间内亲身领 阁下的退款 下的 或H股股票，有关退款支票及�u或 股票，有关退款支票及�u或H股股票 股股 通邮递方式寄往本申请表格所示地址，邮 邮递方式寄往本申请表格所示地址， 阁下承担。如 阁下申请认购 阁下申请 1,000,000 000 股 发售股份，退款支票及�u或 售股份，退款支票及�u或H股股票将於2 （星期一）或以前以普通邮递方式寄往相 一）或以前以普通邮递方式寄往 邮误风险由 阁下承担。 下承担 项 获分配任何香港 获分配任何香 不计利息退 息退 % Please use this form if you want the Hong Kong Offer Shares to be issued in your name 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’ holders 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 advisors, 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 Hong Kong 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 fulfill 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 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 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. Sample m the m diately of ately o ed. lders may be used, y be used whatever means) for means) for ation and refund cheque, fund ch rification of compliance with of compliance with plication procedures set out in ocedures set out in n Form and the Prospectus and and the Prospectus and esults of allocation of the Hong Kong llocation of the Hong Kong es; nce with applicable laws and regulatio licable laws and ong Kong and elsewhere; and elsewhere; gistering new issues or transfers into o tering new issues or transfe the names of securities he names of securities’holders includ holde applicable, HKSCC Nominees; applicable, HKSCC Nomine maintaining or updating the regis maintaining or updating holders of the Company; holders of the Compan erifying securities holders erifying securitie ’i blishing benefit enti ishing ben s of the Company of the C nus issues, nu comm ope the H any othe ny othe bodies or o bodies or regulations; an regulation any persons o any per securities’ho dealings, de accountan 4. Rete The Co pers fo f 样版版 lde its H Sha H S r achieving a achie btain or transfer (w n or transfer Kong) the personal data ng) the personal following: ollowing: appointed agents such as financial ppointed agents such as fin iving bankers and overseas principal ng bankers and overseas principal rar; pplicants for securities request a depos plicants for securities request a d CCASS, HKSCC or HKSCC Nomin ASS, HKSCC or HKSCC Nom o will use the personal data for the purpo will use the personal data for the purp operating CCASS; ting CCASS; any agents, contractors or th any agents, contractors or service providers who offer ad service providers who offer a telecommunications, computer, p elecommunications, computer services to the Company or th services to the Company o in connection with their onnection with thei eration; ion; Hong Kong Stock ng Kong St er statutory er statuto otherw 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 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。此举亦可能妨碍或延迟登 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以任何方式被采用、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 款和申请程序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 息、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股证券登记处会对所持有关证券持 有人的个人资料保密，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，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、承包商或第三方服务供 应商； 香港联交所、香港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 记处有权就处理有关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。 Sample 错误，须 误，须 任何方式被采用、持 被采用、持 以作下列用途： 用途： 请及退款支票（如适用）、核 支票（如适用）、核 申请表格及招股章程载列的条 格及招股章程载列的条 程序以及公布香港发售股份的分配 公布香港发售股份的分配 守香港及其他地区的适用法律及法规 其他地区的适用法律 以证券持有人（包括香港结算代理 以证券持有人（包括香港结 用））的名义登记新发行证券或转 用））的名义登记新发行证 券； 存置或更新本公司证券持 置或更新本公 证券持有人的身份 证券持有人 公司证券持 公司 红股 他 应商 香港联 管机关或政 管机关或 法规；及 证券持有人与 士或机构 士 或股票 4. 本 样版版 司及其 及其 目的之必要情 的之 获取或转交（无论在香 取或转交（无论 人资料： 资料 的代理，例如财务顾问、收款银 代理，例如财务顾问、收款银 海外股份过户登记处； 份过户登记处； 券申请人要求将证券存於中央结算 申请人要求将证券存於中央结 ）香港结算或香港结算代理人，彼等 就中央结算系统的运作使用有关个人 就中央结算系统的运作使用有 向本公司或H股证券登记处提供 股证券登记处提 务营运有关的行政、电讯、 务营运有关的行政、电讯 他服务的任何代理、承包 服务的任何代理、承 商； 交所、香港 交所、香 政府部