Appendix 4A Pre-Admission Notification

Cross-referenced from Appendix 4F

Part I Initial Public Offering

1. A sponsor must submit to the Exchange a pre-admission notification for an initial public offering that includes the following information:
(a) Summary information on the listing applicant, including:
(i) Name and registration number
(ii) Address
(iii) Country of incorporation
(iv) Principal place of business
(v) Description of its business
(vi) Number and type of securities to be quoted
(vii) Description of the terms of the securities
(viii) Expected date of admission
(ix) Sponsorship details
(x) Reporting auditor and ongoing auditor.
2.
(a) Declaration by each of the listing applicant's director, executive officer, controlling shareholder, and officer occupying a managerial position and above who is a relative of such director or controlling shareholder, in the form set out in paragraph 8, Part 7 of the Fifth Schedule, Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018, as amended from time to time.
(b) Resumes and particulars of each of the listing applicant's director, executive officer and controlling shareholder, and if the controlling shareholder is a company or partnership, resumes and particulars of each of its director, executive officer, controlling shareholder and partner. In the case where such entity is listed on a stock exchange and the relevant information relating to each relevant person is publicly available, this requirement is not applicable, but the sponsor must inform the Exchange of any material changes.
3. Details of any other listing application made by the listing applicant to any exchange or market in the last 5 years, and to any exchange or market on which the listing applicant is currently listed.
4. Whether the listing applicant has approached or engaged a sponsor or issue manager to sponsor a listing application in the last 5 years.
5. Details of any conditions that the sponsor intends to require the listing applicant to fulfil after admission.
6. Confirmation that the sponsor holds a proper mandate for introducing and continuing activities on behalf of the listing applicant.
7. Confirmation by the Board of Directors and the sponsor pursuant to Rule 225(1)(f) that, in relation to the appointment of auditors, the listing applicant is in compliance with Rule 712 and Rule 715 or 716.

Part II Very Substantial Acquisition / Reverse Takeover

1. A sponsor must submit to the Exchange a pre-admission notification for very substantial acquisitions or reverse takeovers that includes the following information, where applicable:
2. Summary information on the enlarged group, including:
(a) Any change to the name and registration number
(b) Any change of address
(c) Any change of country of incorporation
(d) Any change of principal place of business
(e) Description of its new business
(f) Number and type of additional securities to be quoted
(g) Description of the terms of the additional securities
(h) Expected date of listing and quotation of additional securities
(i) Any change of sponsorship details
(j) Reporting auditor and ongoing auditor.
3.
(a) For reverse takeovers, declaration by each of the enlarged group's director, executive officer, controlling shareholder, and officer occupying a managerial position and above who is a relative of such director or controlling shareholder, in the form set out in paragraph 8, Part 7 of the Fifth Schedule, Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018, as amended from time to time. For very substantial acquisitions, this requirement applies only to each new relevant person.
(b) For reverse takeovers, resumes and particulars of each of the enlarged group's director, executive officer and controlling shareholder, and if the controlling shareholder is a company or partnership, resumes and particulars of each of its director, executive officer, controlling shareholder and partner. In the case where such entity is listed on a stock exchange and the relevant information relating to each relevant person is publicly available, this requirement is not applicable, but the sponsor must inform the Exchange of any material changes.
4. Details of any other listing application made in respect of the assets/business/company that is being injected into the enlarged group, to any exchange or market in the last 5 years and to any exchange or market on which the assets/business/company is currently listed.
5. Whether the listing applicant has approached or engaged a sponsor or issue manager to sponsor a listing application in the last 5 years.
6. Details of any conditions that the sponsor intends to require the enlarged group to fulfil after re-quotation of the securities.
7. Confirmation that the sponsor holds a proper mandate for introducing and continuing activities on behalf of the enlarged group.
8. Confirmation by the Board of Directors and the sponsor pursuant to Rule 225(1)(f) that, in relation to the appointment of auditors, the listing applicant is in compliance with Rule 712 and Rule 715 or 716.

Amended on 29 September 201129 September 2011 and 7 February 20207 February 2020.