DR007M
THE STOCK EXCHANGE OF HONG KONG LIMITED
(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)
DOCUMENT CHECKLIST
ISSUE OF WARRANTS / CONVERTIBLE EQUITY SECURITIES
(MAIN BOARD)
Name of Issuer :
Case Number :
Description of Transaction :
/ Documents to be submitted / Rule1 / Checklist Ref. / Submission Date /Before publication of the announcement:
1. / Where the announcement contains a profit forecast:
(a) details of the principal assumptions, including commercial assumptions, upon which the forecast is based; / 13.52 note 4, 14.62 / -
(b) a letter from the listed issuer’s auditors or reporting accountants confirming that they have reviewed the accounting policies and calculations for the forecast and containing their report; and / 13.52 note 4, 14.62 / -
(c) a report from the listed issuer’s financial advisers confirming that they are satisfied that the forecast has been made by the directors after due and careful enquiry. If no financial advisers have been appointed in connection with the transaction, the listed issuer must provide a letter from the board of directors confirming they have made the forecast after due and careful enquiry / 13.52 note 4, 14.62 / -
Before publication of the circular (if any):
2. / A completed checklist “Circular for Issue of Warrants, Options or Similar Rights under Chapter 15” / 15.03 / CF026M
3. / Draft circular / 13.52(1)(e)(iv),PN4-4(c) / -
4. / For issue of new warrants to existing warrantholders:
(a) draft letter from the IFA; / PN4-4(e) / -
(b) a declaration submitted by the IFA in the prescribed form set out in Appendix 21 2; and / 13.85(1), Appendix 21 / -
(c) an undertaking from the IFA in the terms set out in Appendix 22 2 / 13.85(2), Appendix 22 / -
Before granting of the listing approval:
At least 4 clear business days prior to the proposed date for issuing the securities:
5. / A formal application for listing in the form set out in Form C1 in Appendix 5 signed by a duly authorised officer of the issuer / 9.18(2),
Appendix 5C1 / FFD001M
6. / For issue of new warrants to existing warrant holders:
- a legal opinion, from a lawyer of the relevant jurisdiction, confirming that the warrant proposal complies with the relevant provisions of the issuer’s constitutive documents and the terms of the existing warrant instrument / 9.19(4),
PN4-4(f) / -
Page 1 of 2
November 2009
DR007M
THE STOCK EXCHANGE OF HONG KONG LIMITED
(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)
/ Documents to be submitted / Rule1 / Checklist Ref. / Submission Date /By no later than 4:00 p.m. on the business day immediately preceding the commencement of dealings in the securities:
7. / A certified true copy of the board resolution authorising allotment and issue of the warrants and the new shares falling to be issued upon exercise of the subscription rights attaching to the warrants or the conversion rights attaching to the convertible equity securities / 9.23(1) / -
8. / A declaration substantially in the form set out in Form F in Appendix 5 duly signed by a director and the secretary of the issuer and any annual listing fee not previously paid / 9.23(6), Appendix 5F / FFD004M
Notes:-
1. Please refer to the applicable rule for full details of the documentary requirement where applicable.
2. These documents must be submitted no later than earlier of IFA agreeing its terms of engagement with the issuer and the IFA commencing work as IFA to the issuer (see Rule 13.85).
Page 1 of 2
November 2009