Monthly statement of changes in securities of share issuers and issuers of Hong Kong depositary securities listed in accordance with chapter 19b of the Listing Rules
As of January 31, 2022 status: newly submitted
To: Hong Kong Exchanges and Clearing Limited
Company name: Guolian Securities Co.Ltd(601456)
Date of submission: February 8, 2022
1. Changes in authorized / registered share capital
1. Class of shares ordinary shares class of shares H shares listed on the stock exchange of Hong Kong (Note 1) yes
Description of securities code 01456
Number of authorized / registered shares par value authorized / registered share capital
Balance at the end of last month: 442640000 RMB 1 increase / decrease (-) RMB
Balance at the end of this month: 442640000 RMB 1.4426400002 Class of shares common stock class of shares A-Shares listed on the stock exchange of Hong Kong (Note 1) no
Description of stock code 601456 Shanghai Stock Exchange
Number of authorized / registered shares par value authorized / registered share capital
Balance at the end of last month 2389133168 RMB 1 increase / decrease (-) RMB
Balance at the end of the month: RMB 2389133168 1 RMB 2389133168 total legal / registered share capital at the end of the month: RMB 2831773168
II. Changes in issued shares
1. Class of shares ordinary shares class of shares H shares listed on the stock exchange of Hong Kong (Note 1) yes
Description of securities code 01456
Balance at the end of last month: 442640000
Increase / decrease (-)
Balance at the end of this month: 442640000
2. Class of shares common stock class A shares listed on the stock exchange of Hong Kong (Note 1) no
Description of stock code 601456 Shanghai Stock Exchange
Balance at the end of last month 2389133168
Increase / decrease (-)
Balance at the end of this month: 2389133168
3. Details of changes in issued shares (a) Share options (under the issuer’s share option plan) do not apply (b) Warrants promising to issue shares of issuers to be listed do not apply (c) Convertible notes (i.e. converted into shares of the issuer to be listed) do not apply (d) Options to be issued under the share listing plan (excluding options to be issued under other listing arrangements) do not apply
(E). Other changes in issued shares are not applicable
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4. Information about Hong Kong depositary securities (ADSS) is not applicable
Page 4 of 6 V 1.0.1v Confirmation we hereby confirm that, to the best of our knowledge and belief, each security issued by the issuer in this month (as described in Parts III and IV but not disclosed in the statement published in accordance with rule 13.25a of the main board rules / rule 17.27a of the gem rules) has been duly authorized and approved by the board of directors of the issuer, And where applicable: (Note 2) (I) the listed issuer has received all the funds due in this offering; (II) all prerequisites for listing under the “listing qualification” of the Securities Listing Rules of the stock exchange of Hong Kong Limited have been fully fulfilled; (III) all conditions, if any, contained in the official letter approving the listing and trading of securities have been fulfilled; (IV) each class of securities is identical in all respects (Note 3); (v) All documents required by the companies (winding up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of companies have been duly filed and all other legal requirements have been complied with; (VI) confirm that the ownership documents have been sent / are being sent / are being prepared and will be sent in accordance with the terms of issue; (VII) the transaction of all properties purchased or agreed to be purchased by the issuer as indicated in the listing documents has been completed; The purchase consideration for all such properties has been paid; And (VIII) the trust deed / flat edge deed relating to the bonds, loan shares, notes or corporate bonds has been prepared and signed, and the relevant details have been filed with the Registrar of companies (if so required by law).
Submitted by: Lin Fanyu
Title: Company Secretary
(director, secretary or other duly authorized officer)
notes
1. The stock exchange of Hong Kong means the stock exchange of Hong Kong.
2. Subparagraphs (I) to (VIII) are the proposed form of confirmation, which may be revised on a case by case basis. If the issuer has previously made relevant confirmation on the issuance of certain securities in the statement published in accordance with article 13.25a of the main board rules / article 17.27a of the gem rules, it is not necessary to make further confirmation in this statement.
3. “Same” herein refers to:
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·The par value of the securities is the same and the amount payable or paid up is the same;
·Securities are entitled to receive dividends / interest calculated at the same interest rate in the same period, and the amount of dividends / interest payable to each unit at the next dividend payment is also exactly the same (total and net); and
·Securities have the same interest, such as unrestricted transfer, attendance and voting at meetings, and have the same interest in all other respects.
4. If there is insufficient space, please submit additional documents.
5. If shares are repurchased:
·”The issuable shares will be listed on the stock exchange of Hong Kong” shall be understood as “the repurchased shares will be listed on the stock exchange of Hong Kong”; and
·”Securities code of issuable shares (if listed on the stock exchange of Hong Kong)” shall be understood as “securities code of repurchased shares (if listed on the stock exchange of Hong Kong)”; and
·”Class of issuable shares” shall be understood as “class of shares repurchased”; and
·”Issue and allotment date” shall be understood as “cancellation date”
6. If shares are redeemed:
·”The issuable shares will be listed on the stock exchange of Hong Kong” shall be understood as “the redeemed shares will be listed on the stock exchange of Hong Kong”; and
·”Securities code of issuable shares (if listed on the stock exchange of Hong Kong)” shall be understood as “securities code of redeemed shares (if listed on the stock exchange of Hong Kong)”; and
·”Class of issuable shares” shall be understood as “class of redeemed shares”; and
