UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
AssetMark Financial Holdings, Inc.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.001 PER SHARE
(Title of Class of Securities)
04546L106
(CUSIP Number)
Ted Angus
Executive Vice President and General Counsel
AssetMark Financial Holdings, Inc.
1655 Grant Street, 10th Floor
Concord, California 94520
(925) 521-2200
with a copy to:
Alan F. Denenberg, Esq.
Davis Polk & Wardwell
1600 El Camino Real
Menlo Park, California 94025
(650) 752-2000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 5, 2024
(Date of Event which Requires Filing of this
Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
| * | The remainder of this cover page
shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall
not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
CUSIP No. 04546L106
| (1) |
|
Names of reporting persons
Huatai Securities Co., Ltd. |
| (2) |
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐
(b) ☐ |
| (3) |
|
SEC use only |
| (4) |
|
Source of funds (see instructions)
OO |
| (5) |
|
Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e)
☐ |
| (6) |
|
Citizenship or place of organization
People’s Republic of China |
|
Number of
shares
beneficially
owned by
each
reporting
person
with: |
(7) |
|
Sole voting power
0 |
| (8) |
|
Shared voting power
0 |
| (9) |
|
Sole dispositive power
0 |
| (10) |
|
Shared dispositive power
0 |
| (11) |
|
Aggregate amount beneficially owned by each reporting person
0* |
| (12) |
|
Check if the aggregate amount in Row (11) excludes certain shares
☐ |
| (13) |
|
Percent of class represented by amount in Row (11)
0%* |
| (14) |
|
Type of reporting person
HC, BD, IA, CO |
* On September 5, 2024, AssetMark Financial Holdings, Inc., a Delaware
corporation (“AssetMark”), announced in a Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission
on September 5, 2024 (the “AssetMark Closing Form 8-K”) that it completed the previously announced merger of GTCR Everest
Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of GTCR Everest Borrower, LLC, a Delaware limited liability
company (“Parent”), with and into AssetMark (the “Merger”), with AssetMark surviving the Merger
as a wholly owned subsidiary of Parent. As reported in the AssetMark Closing Form 8-K, at the effective time of the Merger (the “Effective
Time”), each of the issued and outstanding shares of AssetMark’s common stock, par value $0.001 per share (each, an “AssetMark
Share”), other than certain AssetMark Shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the
right to receive $35.25 per AssetMark Share in cash (the “Merger Consideration”), without interest and less applicable
withholding taxes. Accordingly, at the Effective Time, each AssetMark Share beneficially owned by the Reporting Person was canceled and
converted into the right to receive the Merger Consideration.
CUSIP No. 04546L106
| (1) |
|
Names of reporting persons
Huatai International Financial Holdings Company Limited |
| (2) |
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐
(b) ☐ |
| (3) |
|
SEC use only |
| (4) |
|
Source of funds (see instructions)
OO |
| (5) |
|
Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e)
☐ |
| (6) |
|
Citizenship or place of organization
Hong Kong Special Administrative Region of the People’s
Republic of China |
|
Number of
shares
beneficially
owned by
each
reporting
person
with: |
(7) |
|
Sole voting power
0 |
| (8) |
|
Shared voting power
0 |
| (9) |
|
Sole dispositive power
0 |
| (10) |
|
Shared dispositive power
0 |
| (11) |
|
Aggregate amount beneficially owned by each reporting person
0* |
| (12) |
|
Check if the aggregate amount in Row (11) excludes certain shares
☐ |
| (13) |
|
Percent of class represented by amount in Row (11)
0%* |
| (14) |
|
Type of reporting person
HC, CO |
* On September 5, 2024, AssetMark Financial Holdings, Inc., a Delaware
corporation (“AssetMark”), announced in a Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission
on September 5, 2024 (the “AssetMark Closing Form 8-K”) that it completed the previously announced merger of GTCR Everest
Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of GTCR Everest Borrower, LLC, a Delaware limited liability
company (“Parent”), with and into AssetMark (the “Merger”), with AssetMark surviving the Merger
as a wholly owned subsidiary of Parent. As reported in the AssetMark Closing Form 8-K, at the effective time of the Merger (the “Effective
Time”), each of the issued and outstanding shares of AssetMark’s common stock, par value $0.0001 per share (each, an “AssetMark
Share”), other than certain AssetMark Shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the
right to receive $35.25 per AssetMark Share in cash (the “Merger Consideration”), without interest and less applicable
withholding taxes. Accordingly, at the Effective Time, each AssetMark Share beneficially owned by the Reporting Person was canceled and
converted into the right to receive the Merger Consideration.
CUSIP No. 04546L106
| (1) |
|
Names of reporting persons
Huatai Financial Holdings (Hong Kong) Limited |
| (2) |
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐
(b) ☐ |
| (3) |
|
SEC use only |
| (4) |
|
Source of funds (see instructions)
OO |
| (5) |
|
Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e)
☐ |
| (6) |
|
Citizenship or place of organization
Hong Kong Special Administrative Region of the People’s
Republic of China |
|
Number of
shares
beneficially
owned by
each
reporting
person
with: |
(7) |
|
Sole voting power
0 |
| (8) |
|
Shared voting power
0 |
| (9) |
|
Sole dispositive power
0 |
| (10) |
|
Shared dispositive power
0 |
| (11) |
|
Aggregate amount beneficially owned by each reporting person
0* |
| (12) |
|
Check if the aggregate amount in Row (11) excludes certain shares
☐ |
| (13) |
|
Percent of class represented by amount in Row (11)
0%* |
| (14) |
|
Type of reporting person
HC, BD |
* On September 5, 2024, AssetMark Financial Holdings, Inc., a Delaware
corporation (“AssetMark”), announced in a Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission
on September 5, 2024 (the “AssetMark Closing Form 8-K”) that it completed the previously announced merger of GTCR Everest
Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of GTCR Everest Borrower, LLC, a Delaware limited liability
company (“Parent”), with and into AssetMark (the “Merger”), with AssetMark surviving the Merger
as a wholly owned subsidiary of Parent. As reported in the AssetMark Closing Form 8-K, at the effective time of the Merger (the “Effective
Time”), each of the issued and outstanding shares of AssetMark’s common stock, par value $0.001 per share (each, an “AssetMark
Share”), other than certain AssetMark Shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the
right to receive $35.25 per AssetMark Share in cash (the “Merger Consideration”), without interest and less applicable
withholding taxes. Accordingly, at the Effective Time, each AssetMark Share beneficially owned by the Reporting Person was canceled and
converted into the right to receive the Merger Consideration.
CUSIP No. 04546L106
| (1) |
|
Names of reporting persons
Huatai International Finance Limited |
| (2) |
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐
(b) ☐ |
| (3) |
|
SEC use only |
| (4) |
|
Source of funds (see instructions)
OO |
| (5) |
|
Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e)
☐ |
| (6) |
|
Citizenship or place of organization
British Virgin Islands |
|
Number of
shares
beneficially
owned by
each
reporting
person
with: |
(7) |
|
Sole voting power
0 |
| (8) |
|
Shared voting power
0 |
| (9) |
|
Sole dispositive power
0 |
| (10) |
|
Shared dispositive power
0 |
| (11) |
|
Aggregate amount beneficially owned by each reporting person
0* |
| (12) |
|
Check if the aggregate amount in Row (11) excludes certain shares
☐ |
| (13) |
|
Percent of class represented by amount in Row (11)
0%* |
| (14) |
|
Type of reporting person
HC, CO |
* On September 5, 2024, AssetMark Financial Holdings, Inc., a Delaware
corporation (“AssetMark”), announced in a Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission
on September 5, 2024 (the “AssetMark Closing Form 8-K”) that it completed the previously announced merger of GTCR Everest
Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of GTCR Everest Borrower, LLC, a Delaware limited liability
company (“Parent”), with and into AssetMark (the “Merger”), with AssetMark surviving the Merger
as a wholly owned subsidiary of Parent. As reported in the AssetMark Closing Form 8-K, at the effective time of the Merger (the “Effective
Time”), each of the issued and outstanding shares of AssetMark’s common stock, par value $0.001 per share (each, an “AssetMark
Share”), other than certain AssetMark Shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the
right to receive $35.25 per AssetMark Share in cash (the “Merger Consideration”), without interest and less applicable
withholding taxes. Accordingly, at the Effective Time, each AssetMark Share beneficially owned by the Reporting Person was canceled and
converted into the right to receive the Merger Consideration.
CUSIP No. 04546L106
| (1) |
|
Names of reporting persons
Huatai International Investment Holdings Limited |
| (2) |
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐
(b) ☐
|
| (3) |
|
SEC use only |
| (4) |
|
Source of funds (see instructions)
OO |
| (5) |
|
Check if disclosure of legal proceedings is required pursuant to Items
2(d) or 2(e)
☐
|
| (6) |
|
Citizenship or place of organization
Cayman Islands
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with: |
(7) |
|
Sole voting power
0
|
| (8) |
|
Shared voting power
0
|
| (9) |
|
Sole dispositive power
0
|
| (10) |
|
Shared dispositive power
0 |
| (11) |
|
Aggregate amount beneficially owned by each reporting person
0*
|
| (12) |
|
Check if the aggregate amount in Row (11) excludes certain shares
☐
|
| (13) |
|
Percent of class represented by amount in Row (11)
0%*
|
| (14) |
|
Type of reporting person
HC, CO |
* On September 5, 2024, AssetMark Financial Holdings, Inc., a Delaware
corporation (“AssetMark”), announced in a Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission
on September 5, 2024 (the “AssetMark Closing Form 8-K”) that it completed the previously announced merger of GTCR Everest
Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary of GTCR Everest Borrower, LLC, a Delaware limited liability
company (“Parent”), with and into AssetMark (the “Merger”), with AssetMark surviving the Merger
as a wholly owned subsidiary of Parent. As reported in the AssetMark Closing Form 8-K, at the effective time of the Merger (the “Effective
Time”), each of the issued and outstanding shares of AssetMark’s common stock, par value $0.001 per share (each, an “AssetMark
Share”), other than certain AssetMark Shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the
right to receive $35.25 per AssetMark Share in cash (the “Merger Consideration”), without interest and less applicable
withholding taxes. Accordingly, at the Effective Time, each AssetMark Share beneficially owned by the Reporting Person was canceled and
converted into the right to receive the Merger Consideration.
Responses to each item of this statement on Schedule
13D are incorporated by reference into the
response to each other item, as applicable.
Item 1. Security and Issuer.
This Amendment No. 2 (“Amendment No. 2”)
to the statement on Schedule 13D originally filed with the U.S. Securities and Exchange Commission (the “Commission”)
on July 26, 2019, as amended by Amendment No. 1 filed with the Commission on July 31, 2019 (as amended, the “Statement”),
relates to the common stock, par value $0.001 per share (the “Common Stock”), of AssetMark Financial Holdings, Inc.,
a Delaware corporation (the “Issuer”). The Issuer’s principal executive offices are located at 1655 Grant Street,
10th Floor, Concord, California 94520. As discussed below, the Issuer’s shares of Common Stock ceased to trade on The New York Stock
Exchange (“NYSE”) under the ticker symbol “AMK” on September 5, 2024. The filing of this Amendment No.
2 represents the final amendment to the Schedule 13D and constitutes an “exit filing” for the Reporting Persons.
Except as specifically provided herein, this Amendment
No. 2 does not modify any of the information previously reported in the Statement. Capitalized terms used but not otherwise defined in
this Amendment No. 2 shall have the meanings ascribed to them in the Statement.
Item 2. Identity and Background.
The response set forth in Item 2 of the Statement is hereby amended
by deleting Schedule A in its entirety and replacing it with Schedule A attached.
(d) - (e) During the last five years, neither the Reporting Person
nor any person named in Schedule A has been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors)
or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject
to, federal or state securities laws or finding any violation with respect to such laws.
(f) The citizenship of each of the individuals referred to in Schedule
A is set forth on Schedule A.
Item 4. Purpose of Transaction.
Item 4 of the Statement is hereby amended and supplemented to include
the following:
As previously disclosed in the Current Report on Form 8-K filed with
the Commission on April 25, 2024 (the “AssetMark Closing Form 8-K”), the Issuer entered into an Agreement and Plan
of Merger, dated as of April 25, 2024 (the “Merger Agreement”) with GTCR Everest Borrower, LLC, a Delaware limited
liability company (“Parent”) and GTCR Everest Merger Sub, Inc., a Delaware corporation and a direct, wholly owned subsidiary
of Parent (“Merger Sub”). On September 5, 2024, upon the terms and subject to the conditions set forth in the Merger
Agreement and in accordance with the applicable provisions of the Delaware General Corporation Law, Merger Sub merged with and into the
Issuer (the “Merger”), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.
At the effective time of the Merger (the “Effective Time”), each of the issued and outstanding share of the Common
Stock, other than certain shares specified in the AssetMark Closing Form 8-K, was canceled and converted into the right to receive $35.25
per share, in cash (the “Merger Consideration”), without interest and less applicable withholding taxes.
Accordingly, at the Effective Time, each share of Common Stock owned
by the Reporting Persons immediately prior to the Effective Time was converted into the right to receive the Merger Consideration. As
a result of the Merger, the Reporting Persons no longer beneficially own any Common Stock.
In connection with the consummation of the Merger, the NYSE filed with
the Commission a Notification of Removal from Listing and Registration on Form 25 delisting all Common Stock from NYSE and deregistering
the Common Stock under Section 12(b) of the Securities Exchange Act of 1934, as amended.
Item 5. Interest in Securities of the Issuer.
Items 5(a) – (c) of the Statement are hereby amended and restated
in their entirety as follows:
(a) – (c). On September 5, 2024, the NYSE filed a Form
25 and the shares of Common Stock were canceled pursuant to the transactions discussed in Item 4. The Issuer expects to file a Form 15
in order to delist and deregister all shares of Common Stock. Pursuant to the transactions discussed in Item 4, all Reporting Persons
ceased to own any equity securities of the Issuer. Other than as described herein and elsewhere in the Statement, the Reporting Persons
have not affected any transactions in the Common Stock during the past 60 days.
Item 5(e) of the Statement is hereby amended and restated in its entirety
as follows:
(e) As of the Effective Time, the Reporting Persons ceased
to be the beneficial owners of more than five percent of the Common Stock.
Item 6. Contracts, Arrangements, Understandings or Relationships
with Respect to Securities of the Issuer.
Item 6 of the Statement is hereby amended and supplemented by adding
the following information:
The information set forth or incorporated in Item 4 is hereby incorporated
by reference into this Item 6.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this Statement is true, complete and correct.
Date: September 5, 2024
| |
|
|
|
| |
HUATAI SECURITIES CO., LTD. |
| |
|
|
| |
By: |
|
/s/ Yi Zhou |
| |
|
|
Name: Yi Zhou |
| |
|
|
Title: Chairman and President |
| |
|
| |
HUATAI INTERNATIONAL FINANCIAL HOLDINGS COMPANY LIMITED |
| |
|
|
| |
By: |
|
/s/ Lei Wang |
| |
|
|
Name: Lei Wang |
| |
|
|
Title: Director |
| |
|
| |
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED |
| |
|
|
| |
By: |
|
/s/ Yi Zhou |
| |
|
|
Name: Yi Zhou |
| |
|
|
Title: Chairman |
| |
|
| |
HUATAI INTERNATIONAL FINANCE LIMITED |
| |
|
|
| |
By: |
|
/s/ Lei Wang |
| |
|
|
Name: Lei Wang |
| |
|
|
Title: Director |
| |
|
| |
HUATAI INTERNATIONAL INVESTMENT HOLDINGS LIMITED |
| |
|
|
| |
By: |
|
/s/ Yi Zhou |
| |
|
|
Name: Yi Zhou |
| |
|
|
Title: Authorized Person |
Schedule A
Directors and Executive Officers of
Huatai Securities Co., Ltd.
The following table sets forth certain information with respect to
the directors and executive officers of Huatai Securities Co., Ltd. The business address of each director and executive officer of Huatai
Securities Co., Ltd. is No. 228 Middle Jiangdong Road, Nanjing, Jiangsu Province, F12, 210019.
| |
|
|
|
|
| Name |
|
Present Principal Occupation or Employment |
|
Citizenship |
|
Wei Zhang
(Chairman) |
|
Chairman, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
| Yi Zhou (Director and Chief Executive Officer) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Feng Ding
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Zhoangyang Chen
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Xiang Ke
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Changchun Liu
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Jinxin Zhang
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Lihong Yin
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Jianwen Wang
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Quansheng Wang
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Bing Peng
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Bing Wang
(Director) |
|
Director, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Kin Wing Terry Lo
(Director) |
|
Director, Huatai Securities Co., Ltd.
Hong Kong
|
|
The People’s Republic of China, Hong Kong |
| Zhencong Han (Chief Information Officer) |
|
Chief Information Officer, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Xiaoning Jiao
(Chief Financial Officer) |
|
Chief Financial Officer, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Kai Jiao (Chief Compliance Officer
and General Counsel) |
|
Chief Compliance Officer and General Counsel, Huatai Securities Co.,
Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Hui Zhang
(Secretary to the Board of Directors) |
|
Secretary to the Board of Directors, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Chong Wang
(Chief Risk Officer) |
|
Chief Risk Officer, Huatai Securities Co., Ltd.
Hong Kong |
|
The People’s Republic of China, Hong Kong |
| Yan Sun (Director of Human Resources) |
|
Director of Human Resources, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
Directors and Executive Officers of
Huatai International Financial Holdings Company
Limited
The following table sets forth certain information with respect to
the directors and executive officers of Huatai International Financial Holdings Company Limited. The business address of each director
and executive officer of Huatai International Financial Holdings Company Limited is 62/F., The Center, 99 Queen’s Road Central,
Hong Kong.
| |
|
|
|
|
| Name |
|
Present Principal Occupation or Employment |
|
Citizenship |
|
Lei Wang
(Director) |
|
Director, Huatai International Financial Holdings Company Limited |
|
The People’s Republic of China, Hong Kong |
| |
|
Hong Kong |
|
|
|
Chong Wang
(Director) |
|
Director, Huatai International Financial Holdings Company Limited |
|
The People’s Republic of China, Hong Kong |
| |
|
Hong Kong |
|
|
|
Li Chen
(Director) |
|
Director, Huatai International Financial Holdings Company Limited |
|
The People’s Republic of China |
| |
|
Hong Kong |
|
|
|
Xisha Hu
(Director) |
|
Director, Huatai International Financial Holdings Company Limited |
|
The People’s Republic of China, Hong Kong |
| |
|
Hong Kong |
|
|
Directors and Executive Officers of
Huatai Financial Holdings (Hong Kong) Limited
The following table sets forth certain information with respect to
the directors and executive officers of Huatai Financial Holdings (Hong Kong) Limited. The business address of each director and executive
officer of Huatai Financial Holdings (Hong Kong) Limited is 62/F., The Center, 99 Queen’s Road Central, Hong Kong.
| |
|
|
|
|
| Name |
|
Present Principal Occupation or Employment |
|
Citizenship |
|
Yi Zhou
(Director) |
|
Chairman and President, Huatai Securities Co., Ltd.
Nanjing, The People’s Republic of China
|
|
The People’s Republic of China |
|
Lei Wang
(Director)
|
|
Director, Huatai Financial Holdings (Hong Kong) Limited
Hong Kong
|
|
The People’s Republic of China, Hong Kong
|
| Wei Qiao
(Director) |
|
Director, Huatai Financial Holdings (Hong Kong) Limited
Hong Kong |
|
The People’s Republic of China, Hong Kong
|
Directors and Executive Officers of
Huatai International Finance Limited
The following table sets forth certain information with respect to
the directors and executive officers of Huatai International Finance Limited. The business address of each director and executive officer
of Huatai International Finance Limited is 62/F., The Center, 99 Queen’s Road Central, Hong Kong.
| |
|
|
|
|
| Name |
|
Present Principal Occupation or Employment |
|
Citizenship |
|
Lei Wang
(Director) |
|
Director, Huatai International Finance Limited
Hong Kong |
|
The People’s Republic of China, Hong Kong |
Directors and Executive Officers of
Huatai International Investment Holdings Limited
The following table sets forth certain information with respect to
the directors and executive officers of Huatai International Investment Holdings Limited. The business address of each director and executive
officer of Huatai International Investment Holdings Limited is 62/F., The Center, 99 Queen’s Road Central, Hong Kong.
| |
|
|
|
|
| Name |
|
Present Principal Occupation or Employment |
|
Citizenship |
|
Ying Sun
(Director)
|
|
Managing Director and Head of Corporate Development, Huatai Securities
Co., Ltd.
Nanjing, The People’s Republic of China |
|
The People’s Republic of China |
|
Lei Wang
(Director) |
|
Director, Huatai International Investment Holdings Limited
Hong Kong |
|
The People’s Republic of China, Hong Kong |
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