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Published: 2023-06-07 07:15:00 ET
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EX-99.1 2 d444050dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

 

LOGO

Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities

 

For the month ended:    31 May 2023    Status:    New Submission
  

 

      

 

To : Hong Kong Exchanges and Clearing Limited      
Name of Issuer:    Lufax Holding Ltd
  

 

Date Submitted:    06 June 2023      
  

 

      

I. Movements in Authorised / Registered Share Capital

 

1. Type of shares           Ordinary shares   Class of shares       Not applicable     Listed on SEHK (Note 1)       Yes                   
Stock code   06623   Description      
    Number of authorised/registered shares       Par value   Authorised/registered share capital
Balance at close of preceding month   10,000,000,000    USD       0.00001   USD   100,000
Increase / decrease (-)   0        USD   0
Balance at close of the month   10,000,000,000    USD   0.00001   USD   100,000

Total authorised/registered share capital at the end of the month:   USD                                100,000                     

 

Page 1 of 8

II. Movements in Issued Shares

 

1. Type of shares   Ordinary shares   Class of shares   Not applicable   Listed on SEHK (Note 1)   Yes                            
Stock code   06623   Description        
Balance at close of preceding month   1,146,108,643                 
Increase / decrease (-)   1,475   
Balance at close of the month   1,146,110,118     

Remarks:

 

The ordinary shares of Lufax Holding Ltd (the “Company”) excludes the treasury shares held by the Company, which comprised the shares underlying the ADSs repurchased by the Company pursuant to the share repurchase programs and shares issued to the Depositary for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of options or awards granted under the Company’s share incentive plans).

 

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III. Details of Movements in Issued Shares

(A). Share Options (under Share Option Schemes of the Issuer)

 

1. Type of shares issuable    Ordinary shares    Class of shares    Not applicable    Shares issuable to be listed on SEHK (Note 1)    Yes     
Stock code of shares issuable (if listed on SEHK) (Note 1)    06623                 
Particulars of share option scheme   

Number of share

options outstanding at

close of preceding

month

    Movement during the month     

Number of share options 

outstanding at close of

the month

   

No. of new shares of

issuer issued during the 

month pursuant thereto 

(A)

   

No. of new shares of

issuer which may be

issued pursuant thereto 

as at close of the month 

   

The total number of

securities which may be

issued upon exercise of

all share options to be

granted under the

scheme at close of the

month

1).       2014 Share Incentive Plan adopted in December 2014 - award of options (which is amended from time to time)    14,118,455         0    14,118,455         14,118,455    11,710,254
                 
                 
General Meeting approval

date (if applicable)                                                  

     
Total A (Ordinary shares):                                                  
Total funds raised during the month from exercise of options: USD                                                          

Remarks:

 

As of May 31, 2023, (i) 11,710,254 shares of the Company (equivalent to 23,420,508 ADSs of the Company) may be issued upon exercise of all share options to be granted under the 2014 Share Incentive Plan (adopted in December 2014 and amended from time to time) (the “2014 Share Incentive Plan”); and (ii) 23,714,710 shares of the Company (equivalent to 47,429,420 ADSs if the Company) are available for future grant under the aggregate scheme mandate limit under the 2014 Share Incentive Plan and the 2019 Performance Share Unit Plan (adopted in September 2019 and amended from time to time).

(B). Warrants to Issue Shares of the Issuer which are to be Listed Not applicable

 

Page 3 of 8

(C). Convertibles (i.e. Convertible into Issue Shares of the Issuer which are to be Listed)

 

1. Type of shares issuable   Ordinary shares   Class of shares   Not applicable   Shares issuable to be listed on SEHK (Note 1)   Yes    
Stock code of shares issuable (if listed on SEHK) (Note 1)    06623    
Description of the Convertibles    Currency   

Amount at close of 

preceding month

    Movement during the month    

Amount at close of the 

month

   

No. of new shares of

issuer issued during the 

month pursuant thereto 

(C)

   

No. of new shares of

issuer which may be

issued pursuant thereto

as at close of the month

1).     Ping An Convertible Promissory Notes    USD    976,900,000               976,900,000          74,402,132
    
Type of convertibles      

Bond/Notes

                 
Stock code of the Convertibles (if listed on SEHK) (Note 1)      

 

                 
Subscription/Conversion price      

USD                                 13.13

                 
General Meeting approval date (if applicable)        

 

                         
                                         
2).   C-Round Optionally Convertible Notes    USD    1,157,630,000               1,157,630,000          44,495,717
    
Type of convertibles      

Bond/Notes

                 
Stock code of the Convertibles (if listed on SEHK) (Note 1)      

 

                 
Subscription/Conversion price      

USD                                 26.02

                 
General Meeting approval date (if applicable)        

 

                         
                                         
Total C (Ordinary shares):   

 

   

 

Page 4 of 8

(D). Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be listed, including Options (other than Share Options Schemes)

 

             
1. Type of shares issuable   Ordinary shares   Class of shares   Not applicable   Shares issuable to be listed on SEHK (Note 1)    Yes                           
     
Stock code of shares issuable (if listed on SEHK) (Note 1)   06623                                
       

Description

  

General Meeting

approval date

(if applicable)

  

No. of new shares of issuer 

issued during the month pursuant thereto (D)

  

No. of new shares of issuer which may be issued pursuant thereto as at close of the month

           
1).     2019 Performance Share Unit plan, adopted in September 2019 - performance share units (which was amended from time to time)       1,475                           734,873
    Total D (Ordinary shares):   1,475       
           

 

      

(E). Other Movements in Issued Share Not applicable

 

                                Total increase / decrease (-) in Ordinary shares during the month (i.e. Total of A to E)                        1,475                                
      

 

    
        

 

    

 

Page 5 of 8

IV. Information about Hong Kong Depositary Receipt (HDR) Not applicable

 

 

Page 6 of 8

 

V. Confirmations

 

We hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued by the issuer during the month as set out in Part III and IV which has not been previously disclosed in a return published under Main Board Rule 13.25A / GEM Rule 17.27A, it has been duly authorised by the board of directors of the listed issuer and, insofar as applicable:

(Note 2)

 

  (i)

all money due to the listed issuer in respect of the issue of securities has been received by it;

 

 

  (ii)

all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under “Qualifications of listing” have been fulfilled;

 

 

  (iii)

all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;

 

 

  (iv)

all the securities of each class are in all respects identical (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 that compliance has been made with other legal requirements;

 

 

  (vi)

all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue;

 

 

  (vii)

completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and

 

 

  (viii)

the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.

 

 

Submitted by:   

Yong Suk CHO

   
Title:   

Chairman of the Board of Directors and Chief Executive Officer

   
       (Director, Secretary or other Duly Authorised Officer)   
              

Notes

 

1.

SEHK refers to Stock Exchange of Hong Kong.

 

2.

Items (i) to (viii) are suggested forms of confirmation which may be amended to meet individual cases. Where the issuer has already made the relevant confirmations in a return published under Main Board Rule 13.25A / GEM Rule 17.27A in relation to the securities issued, no further confirmation is required to be made in this return.

 

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3.

“Identical” means in this context:

 

  •  

the securities are of the same nominal value with the same amount called up or paid up;

 

  •  

they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to exactly the same sum (gross and net); and

 

  •  

they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

 

4.

If there is insufficient space, please submit additional document.

 

5.

In the context of repurchase of shares:

 

  •  

“shares issuable to be listed on SEHK” should be construed as “shares repurchased listed on SEHK”; and

 

  •  

“stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares repurchased (if listed on SEHK)”; and

 

  •  

“type of shares issuable” should be construed as “type of shares repurchased”; and

 

  •  

“issue and allotment date” should be construed as “cancellation date”

 

6.

In the context of redemption of shares:

 

  •  

“shares issuable to be listed on SEHK” should be construed as “shares redeemed listed on SEHK”; and

 

  •  

“stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares redeemed (if listed on SEHK)”; and

 

  •  

“type of shares issuable” should be construed as “type of shares redeemed”; and

 

  •  

“issue and allotment date” should be construed as “redemption date”

 

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