GEM

Headline Categories

(GEM)

The following documents are submitted by issuers for publication on our website as listed companies information:–

Equity

1.	Headline Categories for Announcements and Notices (as set out in Schedule 1)

2.	Headline Categories for Circulars (as set out in Schedule 2)

3.	Headline Categories for Listing Documents (as set out in Schedule 3)

4.	Headline Categories for Financial Statements/ESG Information (as set out in Schedule 4)

5.	Headline Category – Next Day Disclosure Returns (as set out in Schedule 4A)

5A.	Headline Category – Monthly Returns

6.	Headline Category – Proxy Forms

7.	Headline Category – Company Information Sheet

8.	Headline Category – Trading Information of Exchange Traded Funds

9.	Headline Category – Trading Information of Leveraged and Inverse Products

10.	Headline Category – Constitutional Documents

11.	Headline Category – Documents on Display

Debt

12.	Headline Categories for Debt (as set out in Schedule 5)

13.	Headline Category – Documents on Display (Debt Issuance Programmes)

14.	Headline Category – Documents on Display (Debt Securities)

Application Proofs, OC Announcements and Post Hearing Information Packs or PHIPs

15.	Headline Category for Application Proofs, OC Announcements and Post Hearing Information Packs or PHIPs (as set out in Schedule 6)

Schedule 1 Headline Categories for Announcements and Notices

Connected Transactions

Auditors or INEDs Unable to Confirm Matters relating to Continuing Connected Transaction
Connected Transaction
Continuing Connected Transaction
Guaranteed Net Tangible Assets or Profits
Waiver in respect of Connected Transaction Requirements

Corporate Positions and Committees/Corporate Changes

Amendment of Constitutional Documents
Change in a Director’s or Supervisor’s Biographical Details
Change in Auditors
Change in Class Rights
Change in Company Secretary
Change in Company Website
Change in Compliance Adviser
Change in Compliance Officer
Change in Directors or of Important Executive Functions or Responsibilities
Change in Financial Year End
Change in Registered Address or Office, Registered Place of Business in HK or Agent for Service of Process in HK
Change in Share Registrar/Transfer Agent
Change in Supervisors
Change in Chief Executive
Change of Audit Committee Member
Change of Remuneration Committee Member
Change of Company Name
List of Directors and their Role and Function
Non-compliance with Audit Committee Requirements
Non-compliance with Remuneration Committee Requirements
Non-compliance with Compliance Officer Requirements
Non-compliance with INED Requirements or INED Failing to Meet Independence Guidelines
Terms of Reference of the Audit Committee
Terms of Reference of the Remuneration Committee
Terms of Reference of the Nomination Committee
Terms of Reference of Other Board Committees

Financial Information

Advance to an Entity Date of Board Meeting Delay in Results Announcement Dividend or Distribution Dividend or Distribution (Announcement Form) Final Results Financial Assistance and/or Guarantee to Affiliated Company Interim Results Modified Report by Auditors Net Asset Value Profit Warning Prior Period Adjustments due to Correction of Material Errors Quarterly Results Results of a Subsidiary Revision of Information in Published Preliminary Results Revision of Published Financial Statements and Reports

Meetings/Voting

Change of Voting Intention Material Information after Issue of Circular Nomination of Director by Shareholder Notice of AGM Notice of EGM/SGM Re-election or Appointment of Director subject to Shareholders’ Approval Results of AGM Results of EGM/SGM Change in Auditors subject to Shareholders’ Approval

New Listings (Listed Issuers/New Applicants)

Allotment Results Formal Notice Listing of Securities by way of Introduction Striking Price on Offer for Subscription or for Sale by Tender Supplemental Information regarding IPO Transfer of listing from GEM to Main Board Mixed Media Offer

Notifiable Transactions

Delay in Completion Discloseable Transaction Major Transaction Reverse Takeover Share Transaction Termination of Transaction Variation to Terms Very Substantial Acquisition Very Substantial Disposal

Reorganisation/Change in Shareholding/Major Changes/Public Float/Listing Status

Announcement by Offeree Company under the Takeovers Code Announcement by Offeror Company under the Takeovers Code Change in Principal Business Activities Change in Shareholding Charging or Pledging of Shares by Shareholder Concentration of Shareholdings Dealing in Securities by Director where Otherwise Prohibited under Model Code Group Restructuring or Scheme of Arrangement Lack of Open Market in Securities Listing on Overseas Exchange or Securities Market Privatisation/Withdrawal or Cancellation of Listing of Securities Resumption Spin-off Sufficiency of Assets and/or Operations and/or Issuer becoming Cash Company Sufficiency of Public Float Suspension Trading Halt Winding Up and Liquidation of Issuer, its Holding Company or Major Subsidiary

Securities/Share Capital

Announcement pursuant to Code on Share Buy-backs Bonus Issue (Announcement Form) Capital Reorganisation Capitalisation Issue Change in Board Lot Size Change in Terms of Securities or Rights attaching to Securities Change of Dividend Payment Date Closure of Books or Change of Book Closure Period Consideration Issue Conversion of Securities Intention to Sell Shares of Untraceable Member Issue of Convertible Securities Issue of Debt Securities Issue of Preference Shares Issue of Securities by Major Subsidiary Issue of Shares under a General Mandate Issue of Shares under a Specific Mandate Issue of Warrants Movements in Issued Share Capital Open Offer Placing Rights Issue Share Scheme Sale or Transfer of Treasury Shares under a General Mandate Sale or Transfer of Treasury Shares under a Specific Mandate Trading Arrangements (other than Change in Board Lot Size)

Miscellaneous

Breach of Loan Agreement Clarification of News or Reports – Qualified Clarification of News or Reports – Standard or Super Delay in Dispatch of Circular or other Document Loan Agreement with Specific Performance Covenant Matters relating to Collective Investment Schemes Matters relating to Options Mining Activities Undertaken by Listed Issuers Other – Business Update Other – Corporate Governance Related Matters Other – Litigation Other – Miscellaneous Other – Trading Update Overseas Regulatory Announcement – Board/Supervisory Board Resolutions Overseas Regulatory Announcement – Business Update Overseas Regulatory Announcement – Corporate Governance Related Matters Overseas Regulatory Announcement – Issue of Securities and Related Matters Overseas Regulatory Announcement – Other Overseas Regulatory Announcement – Sale or Transfer of Treasury Shares and Related Matters Overseas Regulatory Announcement – Trading Update Inside Information Unusual Price/Turnover Movements – Qualified Unusual Price/Turnover Movements – Standard or Super

Schedule 2 Headline Categories for Circulars

Connected Transaction

Connected Transaction Continuing Connected Transaction

Corporate Positions and Committees/Corporate Changes

Amendment of Constitutional Documents

Meetings/Voting

Change of Voting Intention Material Information after Issue of Circular Nomination of Director by Shareholder Re-election or Appointment of Director subject to Shareholders’ Approval Change in Auditors subject to Shareholders’ Approval

Notifiable Transactions

Major Transaction Reverse Takeover Very Substantial Acquisition Very Substantial Disposal

Reorganisation/Change in Shareholding/Major Changes/Public Float/Listing Status

Document issued by Offeree Company under the Takeovers Code Document issued by Offeror Company under the Takeovers Code Fundamental Change in Principal Business Activities Privatisation/Withdrawal of Listing of Securities Proposal of Mineral Company to Explore for Natural Resources as Extension to or Change from Existing Activities Spin-off

Securities/Share Capital

Capitalisation Issue Change in Terms of Securities or Rights attaching to Securities Document issued pursuant to Code on Share Buy-backs Exchange or Substitution of Securities Explanatory Statement for Repurchase of Shares General Mandate Issue of Convertible Securities Issue of Debt Securities Issue of Preference Shares Issue of Securities by Major Subsidiary Issue of Securities within 6 Months of Listing Issue of Shares Issue of Warrants Open Offer Rights Issue Sale or Transfer of Treasury Shares Sale or Transfer of Treasury Shares within 6 Months of Listing Share Scheme

Miscellaneous

Matters relating to Collective Investment Schemes Other

Schedule 3 Headline Categories for Listing Documents

Authorised Collective Investment Scheme Capitalisation Issue Deemed New Listing under the Listing Rules Exchange or Substitution of Securities Introduction Offer for Sale Offer for Subscription Open Offer Other Placing of Securities of a Class New to Listing Rights Issue Supplementary Listing Document

Schedule 4 Headline Categories for Financial Statements/ESG Information

Annual Report Interim/Half-Year Report Quarterly Report Environmental, Social and Governance Information/Report

Schedule 4A Headline Categories for Next Day Disclosure Returns

On-market Sale of Treasury Shares Others Share Buyback

Schedule 5 Headline Categories for Debt


Debt Issuance Programmes

Financial Report – Debt Issuance Programmes Formal Notice – Debt Issuance Programmes Inside Information – Debt Issuance Programmes Issuer-Specific Report – Debt Issuance Programmes Offering Circular – Debt Issuance Programmes Other – Debt Issuance Programmes Overseas Regulatory Announcement – Debt Issuance Programmes

Debt Securities

Adjustment to Terms and Conditions – Debt Securities Financial Report – Debt Securities Formal Notice – Debt Securities Inside Information – Debt Securities Interest Payment (Announcement Form) – Debt Securities Issuer–Specific Report – Debt Securities Offering Circular and Pricing Supplement – Debt Securities Other – Debt Securities Overseas Regulatory Announcement – Debt Securities Prospectus – Debt Securities Redemption or Repurchase – Debt Securities Resumption – Debt Securities Suspension – Debt Securities Trading Halt – Debt Securities Withdrawal of Listing – Debt Securities

Schedule 6 Headline Categories for Application Proofs, OC Announcements and Post Hearing Information Packs or PHIPs

Application Proofs or related materials OC Announcements or related materials Post Hearing Information Packs or PHIPs or related materials

Updated 07 Jun 2024