Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行 的香港发售股份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投 资者户口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，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 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. 请将股款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紧订在此记或豁免登记，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 紧钉在此 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。 Sam m ample e 安证券股份有限公 份有限 Junan Securities Co., L unan Securities Co., porated in the People ed in the Pe ’s Republic of China w s Republic of Ch 华人民共和国注册成立的股份有限公司） 国注册成立的股份有限公 Stock Code : 2611 2 股份代号 份代号：2611 Offer Price : HK$15.84 p HK$ SFC trans SF Stock E in fu sub 发售价：每 d read this Application Form in co s Application Form on on the application procedures. e application procedu pp p 程尚有关於申请程序的其他资料， 程尚有关於申请程序的其他 Appli o: Guotai Junan Securities Co., Ltd. Guotai Junan Securities C Joint Sponsors int Representatives ati Global Coordinators Global Coo ookrunners ookrunn ng Underw g arati 样版 （「招 of an offer to n off ay not be offered o not b Act.t. 或游说要约购买任何香港 游说要约购买任何 国提呈发售或出售。 呈发售或出售。 reproduced (in whole or in part) in an reproduced (in whole or in pa roduction is not permitted under the law of uction is not permitted under th 的司法权区内概不得发送或派发或复制（不 法权区内概不得发送或派发或复制（不 cuments specified in the ents specified in “Documents Delivered to the Documents Delivere section in Appendix VIII to the Prospectus, have be section in Appendix VIII to the Prospectus, ha y section 342C of Companies (Winding up and Miscella on 342C of Companies (Winding up and Misc d, The Stock Exchange of Hong Kong Limited (the Stock Exchange of Hong Kong Limited (the“Ho H mited ( ed (“HKSCC”), the Securities and Futures Commissio ), the Securities and Futures Commis ng take no responsibility for the contents of these docum no responsibility for the contents of these docu 送呈香港公司注册处处长及备查文件」一节所述 送呈香港公司注册处处长及备查文件」一节 gpypy 呈香港公司注册处处长登记。香港交易及结算所 呈香港公司注册处处长登记。香港交易及结 中央结算有限公司（「香港结算」）、香港证券及期 结算有限公司（「香港结算」）、香港证券及 等文件的内容概不负责。 的内容概不负责。 公司 Ltd. with Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 阁下欲以香港中央结算（代理人）有限公 司（「香港结算代理人」）的名义登记将获发行的香港发售股份，并直接存入中央结算及交收系统（「中 央结算系统」），以记存於 阁下的中央结算系统投资者户口持有人股份户口或 阁下指定的中央结 算系统参与者股份户口，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 Identity Card No./Passport No./Hong Kong Business Registration No. of all other joint applicants* (Please delete as appropriate)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 identifi cation 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 address in English and telephone no. (joint applicants should give the address and the telephone number of fi rst-named applicant only) 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) THIS BOX MUST BE DULY COMPLETED 必须填妥此栏 Participant I.D. of the CCASS Investor Participant or designated CCASS Participant 中央结算系统投资者户口持有人或指定的中央 结算系统参与者的参与者编号 For designated CCASS Participant or Corporate CCASS Investor Participant, please also affix the company chop bearing its company name指定的中央结算系统参与者或中央结算系统公司投资者户口 持有人，请加盖显示公司名称的公司印监 (See paragraph 2 in the section“How to make your application”) （请参阅「申请手续」一节第2段） Sample le Forename rename l pl ish (if any) 名称（如有） p mpp mpp mp ity Card No./Passport No./Hong Kong Busin /Passport No./Hong K 港地址（以英文填写）及电话号码（联名申请人 填写）及电话号码（联 am Sam Sa or Nominees: You will be treated as apply Nominees: You will be treate nefit if you do not complete this section fit if you do not complete th unt number or identifi cation code for unt number or identifi 由代名人递交：代名人若不填 代 为阁下利益提出。请填写 提出 或识别编码。 识别编码。 S地址 Hong Kong Ident ong Kong Iden Registration No.* (Pl egistration No.* 护照号码�u香港商业登 照号码�u香港 g( g le ple plHong Kong addres Hong K should give the ould applicant only 号码�u香港 pp p1) 2 样版 样 Forename(s) me(s) 名字 样 (s) 名字 版 rs Chop s Ch 版 样版 er order number order number 支票�u银行本票号码 样版 ank on which cheque/Banker on which cheque/Banker’s cashier order s cashier or e “How to make your application w to make your applicatio”section) 兑现 行本票的银行名称（见「申请手续」一节） 本票的银行名称（见「申请手续」一 ypp ity Card N d ease Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 阁下欲以香港中央结算（代理人）有限公 司（「香港结算代理人」）的名义登记将获发行的香港发售股份，并直接存入中央结算及交收系统（「中 央结算系统」），以记存於 阁下的中央结算系统投资者户口持有人股份户口或 阁下指定的中央结 算系统参与者股份户口，请使用本表格 *(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual) or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this application, please see paragraph 2 under the section “How to make your application”. 如 阁下为中央结算系统投资者户口持有人，是项申请仅接纳香港身份证号码（如属个别人士） 或香港商业登记号码（如属法人团体）；请参阅「申请手续」一节第2段。 (2) If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide your Hong Kong Business Registration number. 如 阁下透过中央结算系统投资者户口持有人以外的指定中央结算系统参与者提出申请：如属 个别人士，必须填写 阁下的香港身份证号码或护照号码（持有香港身份证者请填写香港身份证 号码，否则请填写护照号码）；如属法人团体，请填写香港商业登记号码。 (3) 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). Such data will be used for checking the validity of Application Form and such data would also be transferred to a third party for such purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque. 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。有关资料将用於核实申请表格的有效性，亦会转交第三方 作资料核实和退款。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。 (4) If an application is made by an unlisted company and: the principal business of that company is dealing in securities; and you exercise statutory control over that company, then the application will be treated as being made for your benefit. 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。 (5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration numbers. 所有联名申请人必须提供（如属个别人士）其香港身份证号码或（如适用）护照号码，或（如属法人 团体）其香港商业登记号码。 Sample 请填 passport number o umber o cheque (if any). Such da heque (if any). Such da uld also be transferred to a thi also be transferred to a verification of your Hong Kong Iden of your Hong Kon cheque. 退款支票上或会印有 上或会印有 阁下或（如属 阁下 码的一部分。有关资料将用於核实 分。有关资料将用 银行兑现退款支票前或会要求查证 现退款支票前或会要 is made by an unlisted company and: by an unlisted company and: cipal business of that company is dealing ness of that company is dealing exercise statutory control over that comp utory control over t he application will be treated as being m tion will be treated as 若申请人是一家非上市公司，而： 若申请人是一家非上市公司 该公司主要从事证券买卖业务 该公司主要从事证券买 阁下对该公司可行使法定控 司可行 是项申请将视作为 阁下的利 阁 oint applicants must int applica le, passport n le, p 请 样版 are be accept acc . 份证号码（如属个别人 证号码（如属个 。 an a CCASS Investor Participant): For CASS Investor Participant): For umber or passport number. If you hold a umber or passport number. If you o not hold a Hong Kong Identity Card, pl hold a Hong Kong Identity Card, provide your Hong Kong Business Regi rovide your Hong Kong Business Re 以外的指定中央结算系统参与者提出 外的指定中央结算系统参与者提 或护照号码（持有香港身份证者请填 照号码（持有香港身份证者请 填写香港商业登记号码。 写香港商业登记号码。 f you or, for join you or, for jo ata will be lbe ird p 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 the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 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. You, as the applicant(s), must complete the form in English as indicated below and sign on the second page of the Application Form. Only written signatures will be accepted (and not by way of personal chop). If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): the designated CCASS Participant must endorse the form with its company chop (bearing its company name) and insert its participant I.D. in the appropriate box. If you are applying as an individual CCASS Investor Participant: the form must contain your NAME and Hong Kong I.D. Card number; your participant I.D. must be inserted in the appropriate box. If you are applying as a joint individual CCASS Investor Participant: the form must contain all joint investor participants’NAMES and the Hong Kong I.D. Card number of all joint investor participants; your participant I.D. must be inserted in the appropriate box. If you are applying as a corporate CCASS Investor Participant: the form must contain your company NAME and Hong Kong Business Registration number; your participant I.D. and your company chop (bearing your company name) must be inserted in theappropriate box. Incorrect or omission of details of the CCASS Participant including participant I.D. and/or company chop bearing its company name or other similar matters may render your application invalid. 3. Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application will be rejected if your cheque or banker’s cashier order does not meet all the following requirements: Sample pl pll pl p 90 8 1,000,00 , 977.18 2,000,000 119,973.38 9,973.38 3,000,000 3,000 47 1,279,969.57 57 4,000,000 63,998, 0 1,439,965.77 5,000,000 000 79,998, 0,000 1,599,961.97 599,961.97 6,000,000 6,000, 95 200,000 3,199,923.94 7,000,000 7 nt(s), must complete the form in English complete the form in n Form. Only written signatures will be Only written signatures will b hrough a designated CCASS Participant signated CCASS Participant signated CCASS Participant must endor CASS Participant must endor me) and insert its participant I.D. in the a its participant I.D f you are applying as an individual CCA applying as an individ the form must contain your NAME an the form must contain your N your participant I.D. must be inser your participant I.D. must If you are applying as a joint in If you are applying as a the form must contain all jo the form must conta all joint investor participa all joint inves your participant I.D. m cipa f you are applying you are a form must co orm articip 样版 mi on will be wil 版 样版 样版 样版版 样版版 e No. of Amount payable oun cation tion Hong Kong Offer on application on appli HK$ Shares applied for HK$ HK 4,799,885.90 4,799,88 8,000,000 00,000 127,996,957.44 127,996,9 6,399,847.87 9,000,000 143,996,57 43,996, 0,000 0 7,999,809.84 10,000,000 00,00 159,99 159,9 600,000 9,599,771.81 15,000,000 00 2 700,000 11,199,733.78 20,000,000 20,000 800,000 00,000 12,799,695.74 26,000,0 00,000 14,399,657.71 0 15,999,619.68 5,999,619.68 31,999,239.36 ,239.3 998,859 Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant The cheque must: Banker’s cashier order must: be in Hong Kong dollars; not be post-dated; be made payable to “BANK OF CHINA (HONG KONG) NOMINEES LIMITED �C GUOTAI JUNAN SECURITIES PUBLIC OFFER”; be crossed “Account Payee Only”; be drawn on your Hong Kong dollar bank accountin Hong Kong; and show your account name, which must either bepre-printed on the cheque, or be endorsed on theback by a person authorised by the bank. Thisaccount 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 bya person authorised by the bank. The name onthe banker’s cashier order must correspondwith your name. If it is a joint application, thename on the back of the banker’s cashier order must be the same as the first-named applicant’s name. 4. Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or banker’s cashier order attached) to one of the collection boxes at any of the following branches of: 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 Add ranch 3/F, 1 Gar /F, 1 Ga ch h 505 Henness 505 Hennes ch 131-133 King 131-133 Kin ranch 589 Nathan Road, M 89 Nathan rdens Branch Shop P2 Telford G Shop P2 City Branch nch Shop 209, Le Shop Tseung Kw Ts Bank (Hong Kong) Limited ong Kong) Limited Branch Ad Island North Point Centre Branch North Point Centre Br on Kwun Tong Branch wun Tong B Lok Fu Shopping Lok Fu Sho Centre Branch Centre B San Po Kong B an P New Territories Tuen M Plaza Application Form Applicatio 样版版 样版 GUOTA UO d bank in Hong Kong,a bank in Hong K tified on the back bya person ified on the back bya bank. The name onthe banker bank. The name onthe ban ’s must correspondwith your name. If st correspondwith your name. If application, thename on the back of ation, thename on the back of rs cashier order must be the same as cashier order must be the sam t-named applicant amed applicant’s name. your completed Application Form (wit your completed Application Form on boxes at any of the following branches oxes at any of the following branche ress rden Road den Road sy Road, C s Roa 如 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行的香港发售 股份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投资者 户口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，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. 阁下作为申请人，必须按照下列指示以英文填妥表格，并於申请表格次页签署，只接纳亲笔签 名（不得以个人印章代替）。如 阁下透过中央结算系统投资者户口持有人以外的指定中央结算 系统参与者提出申请： 该指定中央结算系统参与者必须於表格盖上公司印监（附有公司名称），并在适当方格内填写 参与者编号。 如 阁下以个人中央结算系统投资者户口持有人名义提出申请： 表格须载有 阁下的姓名和香港身份证号码； 须在适当方格内填写 阁下的参与者编号。 如 阁下以联名个人中央结算系统投资者户口持有人名义提出申请： 表格须载有所有联名投资者户口持有人的姓名和所有联名投资者户口持有人的香港身份证号 码； 须在适当方格内填写 阁下的参与者编号。 如 阁下以公司中央结算系统投资者户口持有人名义提出申请： 表格须载有 阁下的公司名称和香港商业登记号码； 须在适当方格内填写 阁下的参与者编号并盖上公司印监（附有 阁下的公司名称）。 中央结算系统参与者的资料（包括参与者编号及�u或显示公司名称之公司印监）或其他类似事项 如有不确或遗漏，均可能导致 阁下的申请无效。 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： Sample pl pll pl p 9 1,000,00 77.18 2,000,000 119,973.38 9,973.38 3,000,000 3,000 47 1,279,969.57 .57 4,000,000 63,998, 1,439,965.77 5,000,000 0 000 79,998,0 0,000 1,599,961.97 599,961.97 6,000,000 6,000, 95, 200,000 3,199,923.94 7,000,000 7 必须按照下列指示以英文填妥表格 下列指示以英文填 印章代替）。如如 阁下透过中央结算 阁下透过中 提出申请： 定中央结算系统参与者必须於表格盖 算系统参与者必须於表格盖 与者编号。 如 阁下以个人中央结算系统投资者 下以个人中央结算系 表格须载有 阁下的姓名和香港 须在适当方格内填写 阁下的 如 阁下以联名个人中央结 阁下以联名个 表格须载有所有联名投 表格须载有 码； 须在适当方格内填 须在适当方 阁下以公 阁 载有 样版 售 版 样版 样样版版 样版版 申请认购的 请认购的 申请时 申 项 香港发售 港发售 应缴款项 应缴款 港元 股份数目 股份 港元 4,799,885.90 4,799,88 8,000,000 0,000 127,996,957.44 127,996,9 6,399,847.87 9,000,000 143,996,577 43,996,5 ,000 0 7,999,809.84 10,000,000 00,00 159,99 159,9 600,000 9,599,771.81 15,000,000 00 23 700,000 11,199,733.78 20,000,000 20,000, 800,000 00,000 12,799,695.74 26,000,0 00,000 14,399,657.71 00 15,999,619.68 5,999,619.68 31,999,239.36 9,239.36 ,998,859 如 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行的香港发售 股份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投资者 户口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，请使用本表格 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。 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 花园道 香港铜锣湾 香港铜锣 行 北角英皇道 北角英皇 13 行 旺角弥敦道5 福花园分行 九龙湾德福 九 新都城分行行 将军澳 限公司 分行 北角中心分行 区 观塘分行 乐富中心分行 富中心 新蒲岗分行 新蒲岗 新界区 屯门市 可於下列时间递交 可於下列 样版版 样版 ； 行开出，并由有关银行授权 行开出，并由有关银行 本票背面签署核证阁下姓名 银行本票所示姓名�u名称须与 票所示姓名�u名称须与阁 �u名称相同。如属联名申请，银行本 �u名称相同。如属联名申请，银 面所示姓名�u名称必须与排名首位申 示姓名�u名称必须与排名首位 的姓名�u名称相同。 的姓名�u名称相 表格（连同支票或银行本票）投入下列 表格（连同支票或银行本票）投入 址 1号3楼 湾轩尼 Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 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 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; a Director, a supervisor or the chief 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 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 WHITEor 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 thisApplication 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 Representative (or their agents or nominees), as agents of the Company, to execute any documents for you and to do on your behalf all things necessary to register any Hong Kong Offer Shares allocated to you in the name of HKSCC Nominees as required by the Articles of Association; agree to comply with the Companies Ordinance, the Companies (Winding Up and Miscellaneous Provisions) Ordinance, 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, 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, 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 JointLead 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 ties ules, you les, you are: u are: n the Company; pany; hief officer of the he diaries; the Hong Kong Listing Kong Listing ; the Company or will become a or will become a f the Company immediately upon immediate e Global Offering; or ering; or located or have applied for or indicated e applied for or indicated in any Offer Shares under the International r Shares under the International g. ominee nominee, may make more than one application for ake more than one app ong Offer Shares by: (i) giving electronic instruct hares by: (i) giving electro CC via Central Clearing and Settlement System ( C via Central Clearing and Settlemen “ f you are a CCASS Participant); or (ii) using a you are a CCASS Participant); or ( YELLOWApplication Form, and lodge more than Application Form, and lod in your own name on behalf of different benefic in your own name on behalf of dif Effect of completing and submitting this Effect of completing and subm By completing and submitting this A By completing and sub ou are joint applicants, each of lica f or as an agent or a nom or as an agen u act: act: ake to execu ke rise the ag a Glob represen res it); undertake and under benefit you ha ben taken up, o or take the I O 样版 ability) ility) you have read the terms and conditions and u have read the terms and conditions and procedures set out in the Prospectus and in this ures set out in the Prospectus and in this tion Form and agree to be bound by them; Form and agree to be bound by th irm that you have received and read the Prospec m that you have received and read the Pr nd have only relied on the information and represent e only relied on the information and repres contained in the Prospectus in making your applic will not rely on any other information or rep ill not rely on any other information or r except those in any supplement to the Prospec except those in any supplement to the P confirm that you are aware of the restrict confirm that you are aware of the restr Offering in the prospectus; agree that none of the Company, the agree that none of the Com Representatives, the Joint Glob Representatives, the Joint Bookrunners, the Joint Lead ookrunners, the Joint Lea their respective director eir respective dir gents, advisers and nts, advisers a al Offering is o al Offering i tations n Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 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 the name of the HKSCC Nominees on the Company’s register of members as the holder(s) of any Hong Kong Offer Shares allocated to you, and the Company and/or its agents to deposit any H Share certificate(s) and/or any e-Refund payment instructions and/ or to send any refund cheque(s) to you or the first-named applicant for joint application by ordinary post at your own risk to the address stated on the application, unless you are eligible to collect the H Share certificate(s) and/or refund cheque(s) in person; agree that the shares to be allotted shall be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your investor participant stock account or the stock account of your designated CCASS Participant; agree that each of HKSCC and HKSCC Nominees reserves the right (1) not to accept any or part of such allotted shares issued in the name of HKSCC Nominees or not to accept such allotted shares for deposit into CCASS; (2) to cause such allotted shares to be withdrawn from CCASS and issued in your name at your own risk and costs; and (3) to cause such allotted shares to be issued in your name (or, if you are a joint applicant, to the first-named applicant) and in such a case, to post the certificates for such allotted shares at your own risk to the address on your application form by ordinary post or to make available the same for your collection; agree that each of HKSCC and HKSCC Nominees may adjust the number of allotted shares issued in the name of HKSCC Nominees; agree that neither HKSCC nor HKSCC Nominees shall have any liability for the information and representations not so contained in the Prospectus and this application form; agree that neither HKSCC nor HKSCC Nominees shall be liable to you in any way; declare and represent that this is the only application made and the only application intended by you to be made to benefit you or the person for whose benefit you are applying; understand that the Company and the Joint 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 eIPO Service Provider by you or by any one as your agent or by any other person; and (if you are making the application as an agent for the benefit of another person) warrant that (i) no other application has been or will be made by you as agent for or for the benefit of that person or by that person or by any other person as agent for that person on a 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 throughan 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 level of indications 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 at www.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 Sharesis successful (in whole or in part) If your application is wholly or partially successful, your H Share certificate(s) (subject to their becoming valid certificates of title provided that the Hong Kong Public Offering has become unconditional and not having been terminated at 8:00 a.m. on Tuesday, April 11, 2017) will be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant as instructed by you in your Application Form on Monday, April 10, 2017 or, in the event of a contingency, on any other date as shall be determined by HKSCC or HKSCC Nominees. If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For Hong Kong Offer Shares credited to the stock account of your designated CCASS Participant (other than a CCASS Investor Participant), you can check the number of Hong Kong Offer Shares allotted to you with that CCASS Participant. If you are applying as a CCASS Investor Participant: The Company expects to publish the results of CCASS Investor Participants’ applications together with the results of the Hong Kong Public Offering in the South China Morning Post (in English) and the Hong Kong Economic Times (in Chinese) on Monday, April 10, 2017. You should check the announcement published by the Company and reportany discrepancies to HKSCC before 5:00 p.m. on Monday, April 10, 2017 or such other date as shall be determined by HKSCC or HKSCC Nominees. Immediately after the credit of the Hong Kong Offer Shares to your stock account you can check your new account balance via the CCASS Phone System and CCASS Internet System (under the procedures contained in HKSCC’s “An Operating Guide for Investor Participants”in effect from time to time). HKSCC will also make available to you an activity statement showing the number of Hong Kong Offer Shares credited to your stock account. No receipt will be issued for application money paid. The Company will not issue temporary documents of title. Refund of your money If you do not receive any Hong Kong Offer Shares or if your application is accepted only in part, the Company will refund to you your application monies 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. Sample e ch a at your y ordinary ordin ection; on; Nominees may may ed in the name of of CC Nominees shall have es shall hav and representations not so ntations not so d this application form; ion fo C nor HKSCC Nominees shall be Nominees ; t that this is the only application made he only application made plication intended by you to be made to ded by you to be made to the person for whose benefit you are applying; whose benefit you are applying; that the Company and the Joint Representatives mpany and the Joint Representatives on your declarations and representations in deciding rations and representations in deciding er or not to make any allotment of any of the H ke any allotment of an ng Offer Shares to you and that you may be pros ares to you and that you m for making a false declaration; false declara (if the application is made for your own bene (if the application is made for you that no other application has been or will be that no other application has been benefit on a fit WHITE TEor YELLOW YELL Appli giving electronic application instruction g electronic applicatio White Form eIPO Service Provider White Form eIPO Service your agent or by any other person your agent or by a (if you are making the applica kin of another person) warrant another perso en or will be made by n or will b erson or by that erso person o yg hat having be issued i CCASS for cr ASS for cr the stock account e stock account you in your Applicat ou in your Applic of a contingency, on an a contingency, o HKSCC Nominees. SCC Nominees If you are applying t If you are than a CCASS In a credited to the cre (other than number CCA If 样版版 样版 radin cessed and sed a until the applicatio il the level of indications of i el of indications of applications under the Hong applications under the f allocation of the Hong Kong Pub allocation of the Hong Ko 0, 2017 in the South China Morning Post 2017 in the South China Mor Kong Economic Times (in Chinese) and on ng Kong Stock Exchange at g Stock Exchange at www.hkexnews.hk website at www.gtja.com ww.gtja g . Results of allocations in lts of alloca c Offering, and the Hong Kong Identity Card/passpo Offering, and the Hong Kong Identity Card/p usiness registration numbers of successful applicants ( s registration numbers of successful applican will be available on the above websites. will be available on the above websit our application for Hong Kong Offer Shares is ur application for HongKong Offer Sha hole or in part) ole or in part) If your application is wholly or partially succe r application is wholly or partially s ertificate(s) (subject to their becoming valid cer te(s) (subject to their becoming va the Hong Kong Public Offering has bec e Hong Kong Public Offering has been terminated at 8:00 a.m. on terminated at 8:00 a.m. on n the name of HKSCC Nom e name of HKSCC edit to your CCASS it to your CCA of your design of your desi ion Form yo 如 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行的香港发售 股份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投资者 户口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，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香港结算代理 人名义登记； 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 请认 司董事、监事 监事 （定义见香港上市规 香港上市规 或紧随全球发售完成後成 发售完成後成 人士的人士；或 士；或 或已申请或表示有意申请国际发 表示有意申请国际发 何发售股份。 份。 代名人 代名人可提交超过一份香港发售股份申请 交超过一份香港发售 是：(i)透过中央结算及交收系统（「中央结 过中央结算及交收系统 ）向香港结算发出电子认购指示（如 向香港结算发出电子认购指示 阁下 结算系统参与者）；或 结算系统参与者）；或(ii))使用白色 白 或黄色 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 填交本申请表格的效用 阁下填妥并递交本申请表格， 下填妥并递交本 请人，即各人共同及个 人，即各人 阁下代其行事的每 阁下代其 签署所有相 本公 人 现时及 时 何补充文 何补 承诺及确认 承诺 人士并无 请或接 股份 样版 下已细阅招股章程及本申请表格所载的 已细阅招股章程及本申请表格所载的 条件以及申请程序，并同意受其约束； 申请程序，并同意受其约束 认 阁下已接获及细阅招股章程，提出申请 阁下已接获及细阅招股章程，提出 也仅依据招股章程载列的资料及陈述，而除 依据招股章程载列的资料及陈述，而 章程任何补充文件外，不会依赖任何其他 章程任何补充文件外，不会依赖任何其 陈述； 确认 阁下知悉招股章程内有关 阁下知悉招股章程内有 制； 制 同意本公司、联席保荐人、 同意本公司、联席保荐 协调人、联席账簿管理人 协调人、联席账簿管理 销商、彼等各自的董 商、彼等各自 、代理、顾问及 代理、顾问 及日後均均 件 如 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行的香港发售 股份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投资者 户口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，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； 授权本公司将香港结算代理人的名称列入本公司 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 的首名申请人存入任何H股股票及�u或任何电子 退款指示及�u或发送任何退款支票，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； 同意获配发的股份是以香港结算代理人的名义发 行，并直接存入中央结算系统，以便记存於 阁 下的投资者户口持有人股份户口或 阁下的指定 中央结算系统参与者股份户口； 同意香港结算及香港结算代理人各自保留权利 (1)不接纳以香港结算代理人名义发行的该等获 配发的任何或部分股份，或不接纳该等获配发 的股份存入中央结算系统；(2)促使该等获配发 的股份从中央结算系统提取，并转入 阁下名 下，有关风险及费用概由 阁下自行承担；及 (3)促使该等获配发的股份以 阁下名义发行（或 如属联名申请人，则以排名首位申请人的名义发 行），而在此情况下，会以普通邮递方式将该等 获配发股份的股票寄往 阁下在申请表格上所示 地址（邮误风险概由 阁下自行承担）或提供该等 股票予 阁下领取； 同意香港结算及香港结算代理人均可调整获配发 以香港结算代理人名义发行的股份数目； 同意香港结算及香港结算代理人对招股章程及本 申请表格未有载列的资料及陈述概不负责； 同意香港结算及香港结算代理人概不以任何方式 对 阁下负责； 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 阁下配发任何香港发售股 份， 阁下如作出虚假声明，可能会被检控； （如本申请是为 阁下本身利益提出）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 阁下利益而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 阁下的申请全部或部分获接纳， 阁下的H股股票（前 提是到2017年4月11日（星期二）上午八时正香港公开发售 成为无条件而并无终止，股票成为有效的所有权证明）将以 香港结算代理人名义发出，并按 阁下在申请表格的指示 於2017年4月10日（星期一）或在特别情况下由香港结算或 香港结算代理人指定的任何其他日期直接存入中央结算系 统，记入 阁下的中央结算系统投资者户口持有人股份户 口或 阁下指定的中央结算系统参与者股份户口。 如 阁下透过中央结算系统投资者户口持有人以外的 指定中央结算系统参与者提出申请：香港发售股份将 存入 阁下指定的中央结算系统参与者（非中央结算 系统投资者户口持有人）股份户口， 阁下可向该中央 结算系统参与者查询 阁下获配发的香港发售股份数 目。 如 阁下以中央结算系统投资者户口持有人身份提出 申请：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）刊登中 央结算系统投资者户口持有人的申请结果及香港公开 发售的结果。 阁下应查阅本公司刊发的公告，如有 任何资料不符，请於2017年4月10日（星期一）下午 五时正或香港结算或香港结算代理人厘定的任何其他 日期前知会香港结算。在香港发售股份存入 阁下的 股份户口後， 阁下即可透过「结算通」电话系统及中 央结算系统互联网系统（根据香港结算不时生效的「投 资者户口操作简介」所载程序）查询 阁下的新户口结 余。香港结算亦将向 阁下提供一份活动结单，列出 存入 阁下股份户口的香港发售股份数目。 本公司不会就申请时缴付的款项发出收据，亦不会发出临 时所有权文件。 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」。 Sample 及 行（或 名义发 名义 方式将该等 式将该等 请表格上所示 所示 承担）或提供该等等 代理人均可调整获配发 调整获配发 发行的股份数目； 数目 结算代理人对招股章程及本 对招股章程 的资料及陈述概不负责； 陈述概不负责； 及香港结算代理人概不以任何方式 理人概不以任何方式 责； 示此乃 阁下为本身或 阁下为其利益 下为其利益 请的人士提出及拟提出的唯一申请； 出及拟提出的唯一申 白本公司及联席代表将依据 席代表将 阁下的声明 阁 陈述而决定是否向 定是否向 阁下配发任何香港发 阁下配发任 份， 份 阁下如作出虚假声明，可能会被检 下如作出虚假声明，可 （如本申请是为 阁下本身利益提出 阁下本身利 或作为 阁下代理的任何人士或任 代理的任何 曾亦不会为 阁下利益而以 阁下利 白 或向香港结算或白表 或向香港结算 eIPO服 认购指示而提出其他申请 提 （如如 阁下作为代理为 下作 证(i) 阁下（作为 或任何其他 或任 或黄 於2 香港结 统，记入 记入 口或 阁下指 阁下 如 阁下透 下透 指定中央结算系 指定中央结 存入 阁下指定 阁 系统投资者户 系统 结算系统参 结 目。 如 申 样版版 交易 请前概不 请前概 售股份。本公 股份 南华早报》（以英文）及 华早报》（以英文 港联交所网站 交所网站(www.hkexne www.hk w.gtja.com gtja.c j )公布国际发售踊跃程 公布国际发售 申请水平及香港公开发售分配基准。 请水平及香港公开发售分配基准。 分配结果以及成功申请人的香港身份证�u 以及成功申请人的香港身 业登记号码（如适用）亦同於上述网站公布。 业登记号码（如适用）亦同於上述网站公 成功申请认购香港发售股份（全部或部分） 申请认购香港发售股份（全部或部分） 下的申请全部或部分获接纳， 的申请全部或部分获接纳，阁下的H股 是到2017 17年4月11日（星期二）上午八时正香 日（星期二）上午八时 成为无条件而并无终止，股票成为有效的所 为无条件而并无终止，股票成为有效的 香港结算代理人名义发出，并按 算代理人名义发出，并按 阁下 阁 017 17年4月10日（星期一）或在特别 星期一）或在 算代理人指定的任何其他 理人指定的任何其他 阁下的中央结算系 阁下的中央结算 定的中央结算 定的中央结 过中央 Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 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 ly te(s) d. . nform the rm the mediately of of pplied. s holders may be used, may be used, (by whatever means) for er means) for plication and refund cheque, nd refund cheque, verification of compliance with of compliance with application procedures set out in n procedures set out in tion Form and the Prospectus and m and the Prospectus and g results of allocation of the Hong Kong allocation of the Hong Kong ares; liance with applicable laws and regula th applicable laws an Hong Kong and elsewhere; ong Kong and elsewhere; egistering new issues or transfers into egistering new issues or trans the names of securities the names of securi ’holders inclu hol applicable, HKSCC Nominees; applicable, HKSCC Nom maintaining or updating the reg maintaining or updating holders of the Company; holders of the Com rifying securities holders itie ’ lishing benefit en ishing ben of the Compan of the nus issues comm te serv in con in co operation peration the Hong the Hong any other sta any othe bodies or other bodies or regulations; an l any person an securitie s dealin acco 4. R The T 样版版 mpany and its any rities holders will b es holders w ny and its H Share Regi and its H Share ssary for achieving any of th sary for achieving any ose, obtain or transfer (whether ose, obtain or transfer (w Hong Kong) the personal data to, ong Kong) the personal data to, of the following: following any’s appointed agents such as financial s appointed agents such as fin s, receiving bankers and overseas princip receiving bankers and overseas pri e registrar; strar; here applicants for securities request a re applicants for securities request into CCASS, HKSCC or HKSCC N CCASS, HKSCC or HKSCC who will use the personal data for the who will use the personal data for operating CCASS; any agents, contractors ny agents, contractors service providers who off service providers who elecommunications, compu ommunications, comp vices to the Company es to the Com nnection with nection wit n; Kong t 阁下欲以香港中央结算（代理人）有限公司（「香港结算代理人」）的名义登记将获发行的香港发售股 份，并直接存入中央结算及交收系统（「中央结算系统」），以记存於 阁下的中央结算系统投资者户 口持有人股份户口或 阁下指定的中央结算系统参与者股份户口，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 �u或 何错误，须 误，须 。 以任何方式被采用、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 本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 守香港及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 券； 置或更新本公司证券持 公 证券持有人的身份 证券持有人 公司证券持 公司 红股 务 他服务 应商； 应商 香港联交所 香港联交 管机关或政府 管机关 法规；及 法 证券持有 士或 或 4 样版版 会对所持有关 对所 但本公司及其 本公司及其H股证 股 述任何目的之必要情况下， 述任何目的之必要情 披露、获取或转交（无论在香港 露、获取或转交（无论在香港 有关个人资料： 人资料： 委任的代理，例如财务顾问、收款银 委任的代理，例如财务顾问、收 和主要海外股份过户登记处； 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 证券申请人要求将证券存於中 统）香港结算或香港结算代理人 统）香港结算或香港结算代理 就中央结算系统的运作使用有 就中央结算系统的运作使用 向本公司或H股证券登记处 股证券登 营运有关的行政、电 运有关的行政、电 务的任何代理 的任何代理