1、FF004MAppendix 5THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)Page 1 of 5 January 2007Form A1APPENDIX 5FORMS RELATING TO APPLICATIONS FOR LISTINGADVANCE BOOKING FORMS(FOR EQUITY AND DEBT SECURITIES)FORM A1Case Number: (To be typed or co
2、pied under the letter-head of the sponsor, who is arranging for the application to be submitted)To:The Head of the Listing Division,The Listing Division,The Stock Exchange of Hong Kong LimitedDate: Dear Sir,Re: (Name of the issuer which is the subject of the listing application)We are instructed by
3、the issuer named above to make an advance booking of an application for listing of and permission to deal in .(state the securities to which the advance booking relates) of the issuer.Particulars of the proposed listing are:1. Name of issuer: (in English) .(in Chinese).2. Place and date of incorpora
4、tionor other establishment:3. History and nature of businessand, in the case of aninvestment company, a briefdescription of investmentpolicy and objectives: .4. List of proposed directors:(in English) (in Chinese). .FF004MAppendix 5THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of
5、 Hong Kong Exchanges and Clearing Limited)Page 2 of 5 January 2007Form A1. . . .5. Type of security for which listing is sought: (Note 1(4)6. Estimated size of offer: .7. (A) Estimated market value (equity)/total capitalisation (debt) of issuer:(B) Estimated market capitalisation (equity)/nominal am
6、ount (debt) of securities forwhich listing is sought: (Note 2)8. Method of Listing: 9. Turnover and profit after tax and minority interests but before extraordinary items for the three preceding years:Year endingTurnover Profit1st Year: 2nd Year:. 3rd Year: (Note 3)10. Details and amount of extraord
7、inary items in 9 above:1st Year: 2nd Year:.3rd Year: .(Note 3)11. Proposed timetable for the listing (please specify dates) (Note 1):(A) first draft of listing document available for Exchange: .(B) Exchange hearing:(C) bulk print date: (D) listing document date:(Note 1(4)(E) application lists close:
8、FF004MAppendix 5THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)Page 3 of 5 January 2007Form A1(F) announcement of results: .(G) refund cheques despatched: .(H) documents of title despatched:.(I) dealings commence:.12. In the case of an i
9、nvestment company, the names of the proposed custodian, management company and investment adviser, if any:13. Proposed authorised representatives: A cheque numbered (cheque number) drawn on.(bank) for $ is enclosed being payment of the initial listing fee payable in advance. If there is any delay in
10、 the proposed timetable as set out above, or if there is any change in that timetable or in any of the other particulars without the approval of the Exchange or if the proposed application for listing is withdrawn, cancelled or rejected by the Exchange, we acknowledge your right to forfeit this amou
11、nt.We shall keep the Exchange informed of the progress of this application at the earliest opportunity and at least on a fortnightly basis.Yours faithfully.Name:for and on behalf ofSponsors nameIssuers Undertaking (for equity)We, . (Name of the issuer which is the subject of the listing application)
12、, the issuer, hereby undertake:-(a) for so long as any of our securities are listed on the Main Board, to comply at all times with all of the requirements of the Exchange Listing Rules from time to time in force;(b) to advise the Exchange if any change of circumstance arises prior to the hearing dat
13、e of the application by the Listing Committee that would render any information contained in this application form or the draft listing document submitted herewith misleading in any material respect;(c) to lodge with the Exchange, before dealings in the securities commence, the declaration (Form F o
14、f Appendix 5) required by rule 9.16(12) of the Exchange Listing Rules; and(d) to comply with the requirements of the procedures and format for publication and communication published by the Exchange from time to time.Please attach a certified extract from the board minutes of the issuer authorising
15、the submission of this form and approving the undertaking set out herein.Issuers authorisation for filing with the CommissionWe are required to file copies of our application with the Securities and Futures Commission (“SFC”) under FF004MAppendix 5THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-own
16、ed subsidiary of Hong Kong Exchanges and Clearing Limited)Page 4 of 5 January 2007Form A1section 5(1) of the Securities and Futures (Stock Market Listing) Rules (“Rules”). Pursuant to section 5(2) of the Rules, we hereby authorise the Exchange to file all such materials with the SFC on our behalf as
17、 and when we file them with the Exchange.If our securities become listed on the Exchange, we will be required to file copies of certain announcements, statements, circulars, or other documents made or issued by us or on our behalf to the public or to holders of our securities with the SFC under sect
18、ions 7(1) and (2) of the Rules. Pursuant to section 7(3) of the Rules, we hereby authorise the Exchange to file all such documents with the SFC on our behalf as and when we file them with the Exchange. All documents aforementioned shall be filed with the Exchange in such manner and number of copies
19、as the Exchange may from time to time prescribe.In this letter, “application” has the meaning ascribed to it under section 2 of the Rules.The authorisation aforementioned shall not be altered or revoked in any way unless prior written approval has been obtained from the Exchange and the Exchange sha
20、ll have the absolute discretion to grant such approval. In addition, we undertake to execute such documents in favour of the Exchange perfecting the above authorisation as the Exchange may require.Yours faithfully.Director for and on Behalf of insert nameof applicant as authorisedby resolution of th
21、e board of directors datedinsert dateNOTESNote 1: All applicants should note that:(1) this advance booking form must be submitted to the Exchange not less than 40 clear days (for equity) or 14 clear days (for debt) prior to the date on which the listing document is to be bulk printed;(2) the applica
22、nt is not guaranteed an exclusive timetable. In other words the applicants timetable may coincide with or overlap another issuers timetable;(3) the applicant will be informed of the estimated size of issue and the current date on which it is proposed that the application lists will close of every ot
23、her issuer whose timetable will coincide with or overlap the applicants proposed timetable;(4) future applicants whose proposed timetable coincides with or overlaps the applicants timetable will be informed of the estimated size of issue and current date on which it is proposed that the application
24、lists will close of the applicant as disclosed in this form (all other details will be retained in strict confidence);(5) applicants will normally only be permitted to delay their timetable as the result of circumstances which were not anticipated at the time of submission of the advance booking for
25、m, on a maximum of three occasions and, if such delays are made before the submission of a draft listing document, for a maximum of twelve months on each occasion. After the draft listing document has been submitted to the Exchange the three delays must not exceed six months, in total;FF004MAppendix
26、 5THE STOCK EXCHANGE OF HONG KONG LIMITED(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)Page 5 of 5 January 2007Form A1(6) if there is any change in the applicants proposed timetable without the approval of the Exchange, or if the advance booking or listing application is wit
27、hdrawn, cancelled or rejected then the deposit paid will be forfeited by the Exchange; and(7) the submission of an advance booking form shall be deemed to confer authority upon the Exchange to notify to:(a) any subsequent applicants whose proposed timetable coincides or overlaps with the applicants,
28、 the estimated size of the applicants issue and the current date on which it is proposed that the application lists will close; and(b) the Securities and Futures Commission and the Monetary Affairs Branch, Hong Kong Government, the details of the application.Note 2: In the case of an introduction, t
29、his application must state the names and holdings (if known) of the ten largest beneficial holders of the securities, the total number of holders and particulars of the holdings of the directors and their families.Note 3: This section need not be completed by a bank.Note 4: If insufficient space is
30、provided for completion of any paragraph, additional information may be entered on a separate sheet of paper, duly signed and attached.Note 5:To the extent that this form is required to be signed on behalf of the sponsor, the Exchange expects that it would usually be signed by the Principal/s who ha
31、s/have been most actively involved in the work undertaken by the sponsor. However, notwithstanding who signs this form on behalf of the sponsor, the Management (as defined in the Commissions Guidelines for Sponsors and Compliance Advisers) of the sponsor will be ultimately responsible for supervisio
32、n of the work carried out by the sponsor firm and quality assurance in respect of that work. The Exchange reminds sponsors of their obligations to have effective internal systems and controls and proper supervision and oversight including but not limited to those obligations under the Commissions Guidelines for Sponsors and Compliance Advisers.IMPORTANTNote 6: In order to maintain an orderly new issues market the Exchange reserves the right to refuse an advance booking if there are too many existing reservations in the relevant period.
