3.3 “Holders Lists” Page

Issue Summary provides an overview on the selected instrument.

1. Number of Holders

   Number of registered holders with holding balance in the register of members will be displayed.

2. Issued Shares/Units

   Number of issued shares or units in the register of members will be displayed.

3. Par Value

   Par value of each share or unit will be displayed.

4. Trading Counter

   Trading currency of the shares or units listed on The Stock Exchange of Hong Kong Limited will be displayed.

5. eCorporate Communication: Registered Holders

   • If the issuer provides an option to its registered holders to receive the issuer’s corporate communications in printed form (with language options) and/or using electronic means pursuant to the Listing Rules, then “Yes” will be displayed. 

   • If the issuer does not provide eCorporate Communication option to its registered holders, you can click the “Contact us to activate” button, your Client Director will contact you directly and provide service support.
6. eCorporate Communication: HKSCC Non-Registered Holders
   • If the issuer provides an option to the HKSCC non-registered holders to receive the issuer’s corporate communications in printed form (with language options) and/or using electronic means pursuant to the Listing Rules, then “Yes” will be displayed. 
   • If the issuer does not provide eCorporate Communication option to its HKSCC non-registered holders, you can click the “Contact us to activate” button, your Client Director will contact you directly and provide service support.

The “ ” button on the top right corner of Issue Summary allows you to download holder list reports in excel format under two categories: (A.) Full Holder List and (B.) Top Holder List. After clicking the “” button, a window will pop up. You can choose to download either kind of reports with your preferred sorting.

1. Full Holders List

   You can download full holder list report sorting by (i) Balance, (ii) Account Number or (iii) Holder Name. To download the report, select “All” under Number of Holders and check the sorting factor(s), then click on “ ” button to download the excel report.

2. Top Holders List

   You download the top holders report by checking ‘‘ next to ‘’, inserting the number of top holders desired and then click on “” button to download the excel report.

You can view the holders information of the selected company online under “Holders List” on the ROM page. 

1. Customize Holders List

   You can quickly sort the data in ascending or descending order by using the “ ” buttons on the top right corner of the respective field. By clicking “” a dropdown list will be displayed. You can select a specific type or multi type of holders and filter the information required. Filters can be cleared by clicking ‘All’ in the dropdown list.

   
   

   To customize your holders list, click on the “ ” button next to the “” button and a pop-up list will then be displayed with various fields available. Select and check the box(es) (‘’) near the fields that you wish to see in the holders list. Then, click “ ” button and the selected field(s) will be displayed under the “Holders List” section.

   1. Country/Area

      The geographic location of the registered holders based on the country/area of the holders’ registered addresses is displayed.

   2. Permanent Election for Cash/Scrip Dividend
      If a registered holder has lodged its preference to receive dividend either in cash or in scrip form under the issuer’s scrip dividend scheme, then the holder’s preference will be displayed. If an issuer does not have any scrip dividend scheme, ‘No Instruction’ will be displayed for all its holders.

   3. Means of Receiving Cash Dividend

      The means to receive cash dividend via cheque or automatic payment by the registered holders are displayed. If a registered holder has provided his/her/its bank account to Tricor, the flag “Automatic Payment” will be displayed.  Otherwise, the flag “Cheque” will be displayed.

   4. Currency Selection for Cash Dividend
      The currency that the holders selected to receive for cash dividend is displayed. If an issuer has not provided any currency selection for cash dividend to its registered holders, “No Instruction” will be displayed.

   5. Means of Receiving Corporate Communications
      If an issuer offers its registered holders an option to receive its corporate communications via electronic means and/or with split language physical copies, then the holders’ preference will be displayed.

      
      

2. Holder Search

   To search particular holder in the Holders List section, type either the name, account number or certificate number of a particular holder   into the search box next to the “  ” button. The results returned will show the name, particulars and holdings information of the holder found under the searching criteria.  

   To drill down on a particular holder, click on the row of that particular holder and a pop-up window with the “Holder Information” of

   that holder will appear. ‘Holder Information’ provides an overview of the details for the holder selected.

   
   

3. Certificates Details

   To view the certificates details, click on “  ” under the “Certificates Details” column in the Holder List. ‘Certificates Details’ contains the number and denomination of the certificate(s) registered under the relevant holder.