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09/16/2021
YFH announces board resolution of Yuanta Securities (Hong Kong) Co., Ltd. approving acquisition of securities.
- Name and nature of the underlying assets (if preferred shares, the terms
and conditions of issuance shall also be indicated, e.g., dividend yield,
etc.):
- CBAAU 3.375 10/20/26 XS1506401568 (corporate bond)
- SHNHAN 3.875 12/07/26 XS1523140942 (corporate bond)
- NIPLIF 5 10/18/42 USJ54675AA13 (corporate bond)
- SJNKI 5.325 03/28/73 USJ7620TAB73 (corporate bond)
-
GRRIVH 0 01/25/22 ECB-XS1543666793 (convertible corporate bond)
2.Date of occurrence of the event: 2021/09/16
3.Amount, unit price, and total monetary amount of the transaction:- CBAAU 3.375 10/20/26 XS1506401568
denomination: 4,000,000 USD
unit price: 100.24
total monetary amount of the transaction: 4,065,850 USD 2. SHNHAN 3.875 12/07/26 XS1523140942 denomination: 7,000,000 USD
unit price: 100.621
total monetary amount of the transaction: 7,121,077.64 USD 3. NIPLIF 5 10/18/42 USJ54675AA13 denomination: 6,000,000 USD
unit price: 104.25
total monetary amount of the transaction: 6,381,666.67 USD 4. SJNKI 5.325 03/28/73 USJ7620TAB73 denomination: 6,000,000 USD
unit price: 106.375
total monetary amount of the transaction: 6,535,150 USD 5. GRRIVH 0 01/25/22 ECB-XS1543666793 denomination: 1,400,000 USD
unit price: 79.23
total monetary amount of the transaction: 1,109,220 USD 4.Trading counterparty and its relationship with the Company (if the trading counterparty is a natural person and furthermore is not a related party of the Company, the name of the trading counterparty is not required to be disclosed): Yuanta Investment Management (Cayman) Ltd., a subsidiary of Yuanta Securities (Hong Kong) Co., Ltd. 5.Where the trading counterparty is a related party, announcement shall also be made of the reason for choosing the related party as trading counterparty and the identity of the previous owner, its relationship with the Company and the trading counterparty, and the previous date and monetary amount of transfer: In order to coordinate with the subsequent liquidation plan of Yuanta Investment Management (Cayman) Ltd. and to ensure a smooth business operation.- BAAU 3.375 10/20/26 XS1506401568
previous owner: Yuanta Investment Management (Cayman) Ltd. acquired
in secondary market
its relationship with the Company and the trading counterparty: N/A
previous date of transfer: 2017/10/26
previous monetary amount of transfer: 3,736,810 USD 2.SHNHAN 3.875 12/07/26 XS1523140942 previous owner: Yuanta Investment Management (Cayman) Ltd. acquired in secondary market its relationship with the Company and the trading counterparty: N/A
previous date of transfer: 2017/09/18
previous monetary amount of transfer: 7,234,384.58 USD 3.NIPLIF 5 10/18/42 USJ54675AA13 previous owner: Yuanta Investment Management (Cayman) Ltd. acquired in secondary market its relationship with the Company and the trading counterparty: N/A
previous date of transfer: 2017/07/13
previous monetary amount of transfer: 6,499,638.9 USD 4.SJNKI 5.325 03/28/73 USJ7620TAB73 previous owner: Yuanta Investment Management (Cayman) Ltd. acquired in secondary market its relationship with the Company and the trading counterparty: N/A
previous date of transfer: 2017/12/22
previous monetary amount of transfer: 6,515,543.75USD 5.GRRIVH 0 01/25/22 ECB-XS1543666793 previous owner: Yuanta Securities (Hong Kong) Co., Ltd.
its relationship with the Company and the trading counterparty: Yuanta Investment Management (Cayman) Ltd.'s parent company previous date of transfer: 2018/03/28
previous monetary amount of transfer: 1,375,080USD
- BAAU 3.375 10/20/26 XS1506401568
previous owner: Yuanta Investment Management (Cayman) Ltd. acquired
in secondary market
its relationship with the Company and the trading counterparty: N/A
- Where an owner of the underlying assets within the past five years has
been a related party of the Company, the announcement shall also include the
date and price of acquisition and disposal by the related party, and its
relationship with the Company at the time of the transaction:
Yuanta Securities (Hong Kong) Co., Ltd. acquired
GRRIVH 0 01/25/22 ECB-XS1543666793 from the issuer in primary market
on 2017/01/25
denomination: 1,400,000 USD
unit price: 100 Yuanta Investment Management (Cayman) Ltd.'s parent company - Matters related to the current disposal of creditors' rights (including types of collaterals of the disposed creditor’s rights; if creditor's rights over a related party, announcement shall be made of the name of the related party and the book amount of the creditor's rights, currently being disposed of, over such related party): N/A
- Profit or loss from the disposal (not applicable in cases of acquisition of securities) (those with deferral should provide a table explaining recognition): N/A
- Terms of delivery or payment (including payment period and monetary amount), restrictive covenants in the contract, and other important terms and conditions: Delivery versus payment restrictive covenants in the contract, and other important terms and conditions: N/A
- The manner of deciding on this transaction (such as invitation to tender, price comparison, or price negotiation), the reference basis for the decision on price, and the decision-making unit: Approved by the board of Yuanta Securities (Hong Kong) Co., Ltd.
- Net worth per share of the Company's underlying securities acquired or disposed of: N/A
- Cumulative no.of shares held (including the current transaction), their
monetary amount, shareholding percentage, and status of any restriction of
rights (e.g., pledges), as of the present moment:
- CBAAU 3.375 10/20/26 XS1506401568
denomination: 4,000,000 USD
unit price: 100.24
total monetary amount of the transaction: 4,065,850 USD 2. SHNHAN 3.875 12/07/26 XS1523140942 denomination: 7,000,000 USD
unit price: 100.621
total monetary amount of the transaction: 7,121,077.64 USD 3. NIPLIF 5 10/18/42 USJ54675AA13 denomination: 6,000,000 USD
unit price: 104.25
total monetary amount of the transaction: 6,381,666.67 USD 4. SJNKI 5.325 03/28/73 USJ7620TAB73 denomination: 6,000,000 USD
unit price: 106.375
total monetary amount of the transaction: 6,535,150 USD 5. GRRIVH 0 01/25/22 ECB-XS1543666793 denomination: 1,400,000 USD
unit price: 79.23
total monetary amount of the transaction: 1,109,220 USD
- CBAAU 3.375 10/20/26 XS1506401568
denomination: 4,000,000 USD
- Current ratio of securities investment (including the current trade, as
listed in article 3 of Regulations Governing the Acquisition and Disposal of
Assets by Public Companies) to the total assets and equity attributable to
owners of the parent as shown in the most recent financial statement and
working capital as shown in the most recent financial statement as of the
present:
Total assets: 2.03%
Shareholder's equity: 9.05%
Operating capital: NTD 66,957,537,662 - Broker and broker's fee: N/A
- Concrete purpose or use of the acquisition or disposal: In order to coordinate with the subsequent liquidation plan of Yuanta Investment Management (Cayman) Ltd. and to ensure a smooth business operation.
- Any dissenting opinions of directors to the present transaction: No
- Whether the counterparty of the current transaction is a related party: Yes
- Date of the board of directors resolution: 2021/09/16
- Date of ratification by supervisors or approval by the Audit Committee: N/A
- Whether the CPA issued an unreasonable opinion regarding the current transaction: No
- Name of the CPA firm: Homing CPAs Firm
- Name of the CPA: Owen Yu
- Practice certificate number of the CPA: Taipei City Council Certificate No. 4105
- Whether the transaction involved in change of business model: Yes
- Details on change of business model: Yuanta Investment Management (Cayman) Ltd. will be liquidated.
- Details on transactions with the counterparty for the past year and the expected coming year: N/A
- Source of funds: N/A
- Any other matters that need to be specified: The approval of the authorities of Taiwan for the liquidation of Yuanta Investment Management (Cayman) Ltd. has been obtained on 2021/08/05.
- CBAAU 3.375 10/20/26 XS1506401568
denomination: 4,000,000 USD