Securities & Futures Commission of Hong Kong

Forms and Notes for Filing Disclosure of Interests Notices

On 5 May 2017, the SFC published new prescribed forms for disclosure of interests notifications. These new forms will replace the existing forms when filing of Part XV notifications must be done electronically from 3 July 2017 onwards. That is to say, substantial shareholders, directors and chief executives of listed corporations must submit Part XV notifications electronically with respect to their interests in securities of listed corporations.

For events triggering disclosure requirements which occur on or after 3 July 2017, filers must use the new prescribed forms (as set out in the column headed "Forms and directions effective from 3 July 2017" below) and submit them through a new Disclosure of Interests Online System (DION System) to be introduced by Hong Kong Exchanges and Clearing Limited (HKEX). From 3 July 2017, notifications and reports under Part XV of the Securities and Futures Ordinance must be filed electronically through the DION System and can no longer be submitted by hand, post, fax or email.

 

   

Forms and directions
effective from
3 July 2017

Item

Name of the forms

Forms

1 Form 1 - Individual Substantial Shareholder Notice PDF
Form 1 - Individual Substantial Shareholder Notice Excel
Directions and instructions for completion of Form 1 PDF
2 Form 2 - Corporate Substantial Shareholder Notice PDF
Form 2 - Corporate Substantial Shareholder Notice Excel
Directions and instructions for completion of Form 2 PDF
3A Form 3A - Director/Chief Executive Notice - Interests in Shares of Listed Corporation PDF
Form 3A - Director/Chief Executive Notice - Interests in Shares of Listed Corporation Excel
Directions and instructions for completion of Form 3A PDF
3B Form 3B - Director/Chief Executive Notice - Interests in Shares of Associated Corporation PDF
Form 3B - Director/Chief Executive Notice - Interests in Shares of Associated Corporation Excel
Directions and instructions for completion of Form 3B PDF
3C Form 3C - Director/Chief Executive Notice - Interests in Debentures of Listed Corporation PDF
Form 3C - Director/Chief Executive Notice - Interests in Debentures of Listed Corporation Excel
Directions and instructions for completion of Form 3C PDF
3D   Form 3D - Director/Chief Executive Notice - Interests in Debentures of Associated Corporation PDF
Form 3D - Director/Chief Executive Notice - Interests in Debentures of Associated Corporation Excel
Directions and instructions for completion of Form 3D  PDF
4   Form 4 - Listed Corporation Notice - Findings of Investigation Report PDF
Form 4 - Listed Corporation Notice - Findings of Investigation Report Excel
Directions and instructions for completion of Form 4 PDF

From 3 July 2017, new codes will be introduced.  A full list of the codes can be found within the forms and in the directions and instructions for completion of the relevant form.  You may also click here for a complete list of the new codes.

3.7776 s