Form C2 Formal Application (For Debt Securities)
Form C2
This form must be lodged duly completed (by reference to the Notes), in the case of a new applicant, at least THREE CLEAR BUSINESS DAYS before the hearing of the application by the Exchange, and in every other case, at least TWO CLEAR BUSINESS DAYS before the date on which the listing document is to be bulk printed. An issuer which is not a company should adapt this form as necessary to change references that apply only to companies.
To: The Head of the Listing Division,
The Listing Division
The Stock Exchange of Hong Kong Limited.
............ 19 ...
Dear Sir,
Authorised $ | Issued (and paid up) inclusive of present issue |
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................................in | ..........................Stock/Shares of | ................................ |
................................in | ..........................Stock/Shares of | ................................ |
................................in | ..........................Stock/Shares of | ................................ |
................................in | ..........................Stock/Shares of | ................................ |
___________________ $ ___________________ |
___________________ $ ___________________ |
(Note 2)
All or part of the issued share capital is or is to be listed on the following stock exchange(s) ..........................................................................
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(Note 3)
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(Note 4)
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(Note 4)
(If the securities are not identical now, but will become so in the future, a statement as to when they will become identical must be added to (a) or (b) above.)
(Delete as appropriate)
Name | Address | Extent of holding and which company |
The particulars of the qualifications, if any, and experience of the directors and secretary of the issuer (Note 6) are:
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The proceeds (if any) of the issue or sale of the securities for which application is now made, or the portion of them to be received by the issuer, are intended to be used by the issuer for the following purpose(s)
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The following qualifications of the undermentioned person(s) whose opinion(s) as (an) expert(s) is/are referred to in any document included in this application are:—
Name | Qualifications | Document |
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We, ...................... Limited, undertake to comply with the Listing Rules from time to time so far as they apply to the issuer.
We are required to file copies of our application with the Securities and Futures Commission ("SFC") under section 5(1) of the Securities and Futures (Stock Market Listing) Rules ("Rules").
Under section 5(2) of the Rules, we hereby authorise the Exchange to file all materials with the SFC on our behalf as 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 sections 7(1) and (2) of the Rules. Under 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 shall be filed with the Exchange in such manner and number of copies as the Exchange may from time to time prescribe.
In this letter, "application" has its meaning under section 2 of the Rules.
This authorisation shall not be altered or revoked in any way unless prior written approval has been obtained from the Exchange and the Exchange shall have the absolute discretion to grant the approval. In addition, we undertake to execute any documents in favour of the Exchange perfecting this authorisation that the Exchange may require.
Yours faithfully, |
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Signed .................................. Name: Director, Secretary or other duly authorised officer for and on behalf of [Issuer's Name] |
NOTES
Note 1 Insert name of issuer of securities. If it is an overseas issuer, the place of incorporation or establishment and the law under which it is incorporated or established must be stated.
Note 2 This paragraph does not apply to States, Supranationals, issues of debt securities which are or are to be uniform in all respects with debt securities of the issuer of a class already listed or debt issues to professional investors only.
Note 3 Give particulars of the proposed method of listing of the securities, i.e., whether by offer for subscription, offer for sale, placing, exchange, substitution, conversion, exercise of option or warrant, or otherwise.
Note 4 "Identical" means:—
Note 5 This paragraph does not apply to States, Supranationals, State Corporations, or debt issues to professional investors only; and "substantial shareholder" means a person entitled to exercise, or control the exercise of, ten per cent. or more of the voting power at any general meeting of the issuer.
Note 6 This paragraph does not apply to States, debt issues to professional investors only or, in the case of details in relation to its secretary, to Supranationals.
Note 7 This paragraph does not apply to States, Supranationals or debt issues to professional investors only.