Microsoft Word - e00020_monthly return

For Main Board and GEM listed issuers



Monthly Return of Equity Issuer on Movements in Securities


For the month ended (dd/mm/yyyy) : 30/9/2015


To : Hong Kong Exchanges and Clearing Limited


Name of Issuer Wheelock and Company Limited Date Submitted 6th October, 2015



  1. Movements in Authorised Share Capital


  2. Ordinary Shares


  3. Stock code : 00020 Description : N/A



    No. of ordinary shares

    Par value (State currency)

    Authorised share capital

    (State currency)


    Balance at close of preceding month Increase/(decrease)


    Balance at close of the month



  4. Stock code : N/A Description :



    5. No. of ordinary shares

    Par value (State currency)

    Authorised share capital

    (State currency)


    Balance at close of preceding month Increase/(decrease)


    Balance at close of the month

  5. Preference Shares


    Stock code :

    N/A Description :


    Par value

    No. of preference (State

    shares currency)

    Authorised share

    capital

    (State currency)


    Balance at close of preceding month


    Increase/(decrease)


    Balance at close of the month


  6. Other Classes of Shares


    Stock code :

    N/A Description :


    Par value

    No. of other (State

    classes of shares currency)

    Authorised share

    capital

    (State currency)


    Balance at close of preceding month


    Increase/(decrease)


    Balance at close of the month


    Total authorised share capital at the end of the month (State

    currency) : N/A

  7. Movements in Issued Share Capital



    Balance at close of preceding month


    Increase/ (decrease) during the month


    Balance at close of the month

    No. of ordinary shares (1) (2)

    No of preference No. of other classes shares of shares


    2,031,849,287


    Nil


    2,031,849,287


    N/A


    N/A


    N/A


    N/A


    N/A


    N/A


    N/A


    N/A


    N/A


  8. Details of Movements in Issued Share Capital


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

    Particulars of share No. of new shares of No. of new shares of

    option scheme issuer issued during issuer which may be

    including EGM the month pursuant issued pursuant thereto

    approval date Movement during the month thereto as at close of the month (dd/mm/yyyy) and

    class of shares

    issuable Granted Exercised Cancelled Lapsed

    1. Share Option Scheme adopted on 09/06/2011 (Exercise price: HK$39.98 per

    share)


    Ordinary shares Nil Nil Nil Nil Nil

    (Note 1)


    2. N/A




    ( / / )

    shares

    (Note 1)


    3. N/A




    ( / / )

    shares

    (Note 1)

    Total A. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A

    Total funds raised during the month from exercise of

    options (State currency) N/A


    7,500,000

    Warrants to Issue Shares of the Issuer which are to be Listed

    No. of new No. of new shares of shares of issuer issued issuer which

    during the may be issued month pursuant pursuant thereto as at

    Currency of Nominal value at Exercised Nominal value thereto close of the Description of warrants nominal close of during the at close of the month (Date of expiry - dd/mm/yyyy) value preceding month month month

    1. N/A



    ( / / )

    Stock code (if listed) Class of shares

    issuable (Note 1) Subscription price EGM approval date

    (if applicable)

    (dd/mm/yyyy) ( / / )

    2. N/A



    ( / / )

    Stock code (if listed) Class of shares

    issuable (Note 1) Subscription price EGM approval date

    (if applicable)

    (dd/mm/yyyy) ( / / )

    3. N/A



    ( / / )

    Stock code (if listed) Class of shares

    issuable (Note 1) Subscription price EGM approval date

    (if applicable)

    (dd/mm/yyyy) ( / / )

    4. N/A



    ( / / )

    Stock code (if listed) Class of shares

    issuable (Note 1) Subscription price EGM approval date

    (if applicable)

    (dd/mm/yyyy) ( / / )


    Total B. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A

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


    Class and description


    Currency of amount outstanding


    Amount at close of preceding month

    No. of new shares of issuer issued during the month pursuant

    Converted Amount at thereto during the close of the

    month month

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

    1. N/A




    (




    / / )




    ( / / )




    ( / / )




    ( / / )

    Total C. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A

    Stock code (if listed)

    Class of shares

    issuable (Note 1)

    Subscription price

    EGM approval date

    (if applicable)

    (dd/mm/yyyy))

    2. N/A

    Stock code (if listed)

    Class of shares

    issuable (Note 1)

    Subscription price

    EGM approval date

    (if applicable)

    (dd/mm/yyyy)

    3. N/A

    Stock code (if listed)

    Class of shares

    issuable (Note 1)

    Subscription price

    EGM approval date

    (if applicable)

    (dd/mm/yyyy)

    4. N/A

    Stock code (if listed)

    Class of shares

    issuable (Note 1)

    Subscription price

    EGM approval date

    (if applicable)

    (dd/mm/yyyy)

    For Main Board and GEM listed issuers Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)


    Full particulars including EGM approval date (dd/mm/yyyy), if applicable, and class of shares issuable:

    No. of new shares of issuer issued during the month pursuant thereto

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

    1.

    N/A

    (

    /

    /

    )


    2.

    shares (Note 1)


    N/A

    (

    /

    /

    )


    3.

    shares (Note 1)


    N/A

    (

    /

    /

    )

    shares (Note 1)


    N/A

    Total D. (Ordinary shares)

    (Preference shares)

    N/A

    (Other class)

    N/A

    Other Movements in Issued Share Capital


    Type of Issue

    No. of new No. of new shares of shares of issuer issued issuer which during the may be

    month issued

    pursuant pursuant

    thereto thereto as at close of the

    month


    1. Rights issue


    At price : State

    currency


    Class of shares issuable

    (Note 1)

    N/A Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /) (dd/mm/yyyy)




    2. Open offer


    At price : State

    currency


    Class of shares issuable

    (Note 1)

    N/A Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /) (dd/mm/yyyy)




    3. Placing


    At price : State

    currency


    Class of shares issuable

    (Note 1)

    N/A Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /) (dd/mm/yyyy)




    4. Bonus issue


    Class of shares issuable

    (Note 1)

    N/A

    Issue and allotment ( / /)

    date : (dd/mm/yyyy)

    EGM approval date: ( / /) (dd/mm/yyyy)





    Type of Issue

    No. of new No. of new shares of shares of issuer issued issuer which during the may be

    month issued

    pursuant pursuant

    thereto thereto as at close of the

    month


    5. Scrip dividend


    At price : State

    currency


    N/A


    Class of shares issuable

    (Note 1)


    Issue and allotment date : (dd/mm/yyyy)


    EGM approval date: (dd/mm/yyyy)


    ( / / )

    ( / / )





    6. Repurchase of shares


    N/A


    Class of shares


    repurchased (Note 1)

    Cancellation date : (dd/mm/yyyy)

    ( / / )

    EGM approval date:

    ( / / )



    (dd/mm/yyyy)


    7. Redemption of shares


    N/A


    Class of shares


    redeemed (Note 1)

    Redemption date : (dd/mm/yyyy)

    ( / / )

    EGM approval date:

    ( / / )



    (dd/mm/yyyy)


    8. Consideration issue At price : State

    currency


    Class of shares issuable

    (Note 1)

    N/A Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /) (dd/mm/yyyy)





    Type of Issue

    No. of new No. of new shares of shares of issuer issued issuer which during the may be

    month issued

    pursuant pursuant

    thereto thereto as at close of the

    month


    9. Capital reorganisation


    N/A


    Class of shares issuable

    (Note 1)

    Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /)

    (dd/mm/yyyy)




    10. Other

    (Please specify)


    At price : State

    currency


    N/A


    Class of shares issuable

    (Note 1)

    Issue and allotment ( / / ) date : (dd/mm/yyyy)

    EGM approval date: ( / /)

    (dd/mm/yyyy)

    Total E. (Ordinary shares) N/A (Preference shares) N/A (Other class) N/A



    Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1)

    (2)

    Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E):


    Nil

    N/A

    N/A

    N/A

    (These figures should be the same as the relevant figures under II above ('Movements in Issued Share Capital').)

    Remarks (if any):













    Submitted by: Wilson W. S. Chan


    Title: Company Secretary (Director, Secretary or other duly authorised officer)




    Notes :


    1. State the class of shares (e.g. ordinary, preference or other).


    2. If there is insufficient space, please append the prescribed continuation sheet.

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