EX-99.(C) 4 a12-16405_1ex99dc.htm EX-99.(C)

Exhibit (c)

 

The Stock Exchange of Hong Kong Limited, Hong Kong Exchanges and Clearing Limited, Hong Kong Securities Clearing Company Limited and the Hong Kong Securities and Futures Commission take no responsibility for the contents of this redemption form, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this redemption form.

 

Unless the context otherwise requires, terms used in this form shall bear the same meanings as those defined in the CIRCULAR TO UNITHOLDERS IN RELATION TO (1) CHANGE OF INVESTMENT OBJECTIVE AND POLICIES, (2) ONE-OFF REDEMPTION OFFER, (3) AMENDMENTS TO THE TRUST DEED BY THE SUPPLEMENTAL TRUST DEED AND (4) NOTICE OF GENERAL MEETING dated 20 July 2012 (“Unitholder Circular”) issued by HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED as manager of HSBC CHINA DRAGON FUND.

 

REDEMPTION FORM — FOR USE IF YOU WANT TO ACCEPT THE ONE-OFF REDEMPTION OFFER UNDER THE UNITHOLDER CIRCULAR.

 

HSBC CHINA DRAGON FUND

a Hong Kong unit trust authorised under section 104 of the Securities and Futures Ordinance

(Chapter 571 of the Laws of Hong Kong)

(Stock Code: 820)

 

Receiving Agent

 

FOR THE CONSIDERATION stated below, the holder(s) (“Unitholder(s)”) of unit(s) (“Units”) of the Fund named below hereby participate in the One-Off Redemption Offer subject to the terms and conditions contained herein and in the Unitholder Circular.

 

 

 

 

 

 

 

Computershare Hong Kong Investor Services Limited, Shops 1712—1716,
17th Floor,
Hopewell Centre,
183 Queen’s Road East,
Wanchai,
Hong Kong

 

Number of Unit(s) (Note)

 

FIGURE

 

 

WORDS

 

 

 

 

 

 

 

 

Certificate number(s)

 

 

 

 

 

 

 

 

 

 

 

Unitholder(s)
name(s) and address(es) in full

(EITHER TYPEWRITTEN OR WRITTEN IN BLOCK CAPITALS)

 

Family name(s) or company name(s):

 

Forename(s):

Registered Address:

Telephone number:

 

 

 

 

 

 

 

 

 

CONSIDERATION

 

The net asset value per Unit of the HSBC CHINA DRAGON FUND as at the Redemption Date less the Redemption Levy (i.e. up to 2% of the net asset value of the Units being redeemed)

 

 

 

 

 

 

 

Signed by the Unitholder(s) in the presence of:

 

 

 

 

 

ALL JOINT REGISTERED UNITHOLDERS MUST SIGN HERE

 

 

 

 

 

 

 

 

 

SIGNED by the Unitholder(s), this                         day of                     , 2012

 

 

 

 

 

                                                   

 

SIGNATURE OF WITNESS

 

 

 

 

 

NAME OF WITNESS

 

 

 

 

 

Address of Witness

 

 

 

 

 

Occupation

 

 

 

 

Note: Insert the total number of Units for which the One-off Redemption Offer is accepted.

 


 

THIS REDEMPTION FORM IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt as to any aspect of this redemption form or as to the action to be taken, you should consult your licensed securities dealer or registered institution in securities, bank manager, solicitor, professional accountant or other professional adviser.

 

If you have sold or transferred all your Units, you should at once hand this redemption form and the accompanying Unitholder Circular to the purchaser(s) or the transferee(s) or to the bank or the licensed securities dealer or registered institution in securities or other agent through whom the sale or transfer was effected for transmission to the purchaser(s) or transferee(s).

 

The making of the One-Off Redemption Offer to certain persons resident in jurisdictions outside Hong Kong may be affected by the laws of the relevant jurisdictions. If you are a citizen or resident or national of a jurisdiction outside Hong Kong, you should inform yourself about or obtain appropriate legal advice regarding the implications of the One-Off Redemption Offer in the relevant jurisdictions and observe any applicable regulatory or legal requirements. It is your responsibility if you wish to accept the One-Off Redemption Offer to satisfy yourself as to the full observance of the laws of the relevant jurisdiction in connection therewith, including the obtaining of any governmental, exchange control or other consents which may be required or the compliance with other necessary formalities, regulatory or legal requirements and the payment of any transfer or cancellation or other taxes due in respect of such jurisdiction.

 

HOW TO COMPLETE THIS FORM

 

This redemption form should be read in conjunction with the Unitholder Circular. The defined terms under the section “Definitions” in the Unitholder Circular are incorporated into and form part of this redemption form.

 

To accept the One-off Redemption Offer made by the Fund, you should duly complete and sign this redemption form and forward this form, together with the relevant certificate(s) representing the Units and/or any other document(s) of title (and/or any satisfactory indemnity or indemnities required in respect thereof) in respect of the Units which is/are in your name which you intend to accept the One-off Redemption Offer, by post or by hand, marked “HSBC CHINA DRAGON FUND — One-off Redemption Offer” on the envelope, to the Receiving Agent, Computershare Hong Kong Investor Services Limited at Shops 1712—1716, 17th Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong as soon as possible, but in any event so as to reach the Receiving Agent no later than 4:30 p.m. on 4 September 2012 (or such later time and/or date(s) as the Fund may determine and announce with the consent of the Trustee of the Fund and HSBC Global Asset Management (Hong Kong) Limited).

 

If the number of Units to be redeemed is not indicated on this redemption form or is not indicated in a legible manner, the relevant Unitholder shall be deemed to have accepted the One-off Redemption Offer in regard to such number of Units as supported by the certificate(s) of Units given.

 

If the number of Units to be redeemed as indicated on this redemption form is greater than the number of Units as supported by the certificate(s) of Units given, the relevant Unitholder shall be deemed to have accepted the One-off Redemption Offer in regard to such number of Units as supported by the certificate(s) of Units given.

 

FORM OF ACCEPTANCE OF THE ONE-OFF REDEMPTION OFFER

 

To: The HSBC China Dragon Fund and HSBC Global Asset Management (Hong Kong) Limited

 

1.     My/Our execution of this redemption form (whether or not such form is dated), which shall be binding on my/our successors and assignees, shall constitute:

 

(a)  my/our irrevocable acceptance of the One-off Redemption Offer made by HSBC Global Asset Management (Hong Kong) Limited as manager of the Fund, as contained in the Unitholder Circular, for the consideration and subject to the terms and conditions therein and herein mentioned, in respect of the number of Units specified in this redemption form;

 

(b)  my/our irrevocable instruction and authority to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund, the Receiving Agent and/or their respective agent(s) to send (i) with respect to the portion of my/our Units redeemed under the One-off Redemption Offer, a cheque crossed “Not negotiable — account payee only” drawn in my/our favour for the cash consideration to which I/we shall have become entitled under the terms of the One-off Redemption Offer, by ordinary post at my/our risk to the person and the address stated below or, if no name and address is stated below, to me or the first-named of us (in the case of joint registered Unitholders) at the registered address shown in the register of Unitholders within 10 Business Days after the Value Day and (ii) with respect to the portion of my/our Units NOT redeemed under the One-off Redemption Offer, the relevant certificate(s) representing such number of Units which is/are in my/our name, by ordinary post at my/our risk to the person and the address stated below or, if no name and address is stated below, to me or the first-named of us (in the case of joint registered Unitholders) at the registered address shown in the register of Unitholders within 10 Business Days after the Value Day:

 

(Insert name and address of the person to whom the cheque is to be sent if different from the registered Unitholder or the first-named of joint registered Unitholders.)

 

Name: (in block capitals)

 

 

Address: (in block capitals)

 

 

(c)  my/our irrevocable instruction and authority to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund or such person or persons as they may direct to complete, amend and execute any document on my/our behalf including without limitation to insert a date in this redemption form or, if I/we or any other person shall have inserted a date, to delete such date and insert another date in this redemption form and to do any other act that may be necessary or expedient for the purpose of vesting in the Fund or such person or persons as they may direct my/our Unit(s) tendered for acceptance of the One-off Redemption Offer;

 

(d)  my/our undertaking to execute such further documents and to do such acts and things by way of further assurance as may be necessary or desirable to redeem my/our Unit(s) tendered for acceptance under the One-off Redemption Offer to the Fund, HSBC Global Asset Management (Hong Kong) Limited or such person or persons as they may direct free from all third party rights, liens, charges, equities, adverse interests and encumbrances whatsoever and together with all rights attaching thereto as at the date of the May 2012 Announcement or subsequently becoming attached to them;

 

(e)  my/our agreement to ratify each and every act or thing which may be done or effected by HSBC Global Asset Management (Hong Kong) Limited and/ or the Fund or their respective agents or such person or persons as it/they may direct on the exercise of any of the authorities contained herein;

 

(f)  my/our irrevocable instruction and authority to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund or their respective agent(s) to collect from HSBC Global Asset Management (Hong Kong) Limited or the Fund or the Receiving Agent on my/our behalf the certificate(s) in respect of the Units due to be issued to me/us in accordance with, and against surrender of, the enclosed other document(s) of title (if any) (and/or any satisfactory indemnity or indemnities required in respect thereof), which has/have been duly signed by me/us, and to deliver the same to the Receiving Agent and to authorise and instruct the Receiving Agent to hold such certificate(s) subject to the terms and conditions of the One-off Redemption Offer as if it/they were certificate(s) delivered to the Receiving Agent together with this Redemption Form; and

 

(g)  my/our appointment of HSBC Global Asset Management (Hong Kong) Limited and/or the Fund as my/our attorney in respect of all the Unit(s) to which this redemption form relates, such power of attorney to take effect from the date and time on which the One-off Redemption Offer becomes unconditional in all respects and thereafter be irrevocable.

 

2.    I/We understand that acceptance of the One-off Redemption Offer by me/us will constitute a warranty by me/us to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund that (i) the number of Unit(s) specified in this redemption form will be redeemed free from all third party rights, liens, charges, equities, adverse interests and encumbrances whatsoever and together with all rights attaching thereto as at the date of the May 2012 Announcement or subsequently becoming attached to them; and (ii) if my/our registered address is located in a jurisdiction outside Hong Kong, I/we have fully observed the laws of all relevant jurisdictions, obtained all requisite governmental, exchange control or other consents, complied with all necessary regulatory formalities or legal requirements and paid any transfer or other taxes by whomsoever payable, that I/we have not taken or omitted to take any action which will or may result in HSBC Global Asset Management (Hong Kong) Limited and/or the Fund or any other person acting in breach of the legal or regulatory requirements of any jurisdiction in connection with the One-off Redemption Offer or my/our acceptance thereof, and am/are permitted under all applicable laws to receive and accept the One-off Redemption Offer, and any revision thereof, and that such acceptance is valid and binding in accordance with all applicable laws.

 

3.    In the event that my/our acceptance is not valid, or is treated as invalid, in accordance with the terms of the One-off Redemption Offer, all instructions, authorisations and undertakings contained in paragraph 1 above shall cease and in which event, I/we authorise and request you to return to me/us my/our certificate(s) representing the number of Units which is/are in my/our name and/or any other document(s) of title (and/or any satisfactory indemnity or indemnities required in respect thereof), together with this redemption form duly cancelled, by ordinary post at my/our risk to the person and address stated in paragraph 1(b) above or, if no name and address is stated, to me or the first-named of us (in the case of joint registered Unitholders) at the registered address shown in the register of Unitholders.

 

4.   I/We enclose the relevant certificate(s) and/or other document(s) of title (and/or any satisfactory indemnity or indemnities required in respect thereof) for the whole or part of my/our holding of Unit(s) which are to be held by you on the terms and conditions of the One-off Redemption Offer. I/We understand that no acknowledgement of receipt of any redemption form, certificate(s) representing the Units and/or other document(s) of title (and/ or satisfactory indemnity or indemnities required in respect thereof) will be given. I/we further understand that all documents will be sent at my/our own risk.

 

5.   I/We warrant that I/we are the registered holder(s) of the number of Units specified in this redemption form and I/we have the full right, power and authority to sell and pass the title and ownership of such Units to the Fund by way of acceptance of the One-off Redemption Offer.

 

6.   I/We warrant to HSBC Global Asset Management (Hong Kong) Limited and the Fund that I/we have satisfied the laws of the jurisdiction where my/our address is stated in the register of Unitholders in connection with my/our acceptance of the One-off Redemption Offer, including the obtaining of any governmental, exchange control or other consents which may be required and the compliance with necessary formalities, regulatory or legal requirements.

 

7.   I/We warrant to HSBC Global Asset Management (Hong Kong) Limited and the Fund that I/we shall be fully responsible for payment of any transfer or cancellation or other taxes or duties payable in respect of the relevant jurisdiction where my/our address is stated in the register of Unitholders in connection with my/our acceptance of the One-off Redemption Offer.

 

8.   I/We acknowledge that, save as expressly provided in the Unitholder Circular and this redemption form, all acceptances, instructions, authorities and undertakings hereby given shall be irrevocable and unconditional.

 

9.   I/We acknowledge that my/our Units redeemed pursuant to the One-off Redemption Offer will be cancelled after the redemption.

 

10. I/We irrevocably undertake, represent, warrant and agree to and with HSBC Global Asset Management (Hong Kong) Limited and the Fund (so as to bind my/our successors and assigns) that in respect of the Units which are accepted or deemed to have been accepted under the One-off Redemption Offer, which acceptance has not been validly withdrawn, and which have not been cancelled, to give an authority to the Fund and/or its agents from me/us to send any notice, circular, warrant or other document or communication which may be required to be sent to me/us as a Unitholder (including any relevant certificate(s) representing my/our Units) to the attention of “HSBC China Dragon Fund” at Computershare Hong Kong Investor Services Limited, Shops 1712–1716, 17th Floor, Hopewell Centre, 183 Queen’s Road East, Wanchai, Hong Kong.

 

11. The Fund reserves the right to treat as valid any acceptance of the One-off Redemption Offer which is not entirely in order or which is not accompanied by the relevant certificate(s) of the Units and/or other document(s) of title (and/or any satisfactory indemnity or indemnities in respect thereof), but, in such cases, the consideration due will not be despatched until the relevant certificate(s) and/ other document(s) of title (and/or any satisfactory indemnity or indemnities in respect thereof) has/have been received by the Receiving Agent.

 

If you have questions in relation to the One-off Redemption Offer, please telephone the Unitholder Helpline at (852) 2862 8646. The Unitholder Helpline is available from 9:00 a.m. to 6:00 p.m. Monday to Friday (other than public holidays) and will remain open until 4 September 2012. Please note that, the Unitholder Helpline will only be able to provide information contained in this document and information relating to the Fund’s register of Unitholders and will be unable to give advice on the merits of the One-off Redemption Offer or to provide financial, legal, tax or investment advice.

 


 

 


 

PERSONAL DATA

 

Personal Information Collection Statement

 

The main provisions of the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the “Privacy Ordinance”) came into effect in Hong Kong on 20 December 1996. This personal information collection statement informs you of the policies and practices of HSBC Global Asset Management (Hong Kong) Limited and/or the Fund, and the Receiving Agent in relation to personal data and the Privacy Ordinance.

 

1.   Reasons for the collection of your personal data

 

To accept the One-off Redemption Offer for your Units, you must provide the personal data requested. Failure to supply the requested data may result in the processing of your acceptance being rejected or delayed.

 

It is important that you inform HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent immediately of any inaccuracies in the data supplied.

 

2.   Purposes

 

The personal data which you provide on this form may be used, held and/or stored (by whatever means) for the following purposes:

 

·    processing your acceptance and verification or compliance with the terms and application procedures set out in this redemption form and the Unitholder Circular;

 

·    cancelling the Unit(s) registered in your name;

 

·    maintaining or updating the relevant register of holders of the Unit(s);

 

·    conducting or assisting to conduct signature verifications, and any other verification or exchange of information;

 

·    establishing your entitlements under the One-off Redemption Offer;

 

·    distributing communication from HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/ or their respective agents, such as the Receiving Agent;

 

·    compiling statistical information and profiles of the Unitholders;

 

·    making disclosures as required by laws, rules or regulations (whether statutory or otherwise);

 

·    disclosing relevant information to facilitate claims or entitlements;

 

·    any other purpose in connection with the business of HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent; and

 

·    any other incidental or associated purposes relating to the above and/or to enable HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent to discharge their obligations to the Unitholders and/or regulators and any other purpose to which the Unitholders may from time to time agree to or be informed of.

 

3.   Transfer of personal data

 

The personal data provided in this form will be kept confidential but HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and the Receiving Agent may, to the extent necessary for achieving the purposes above or any of them, make such enquiries as they consider necessary to confirm the accuracy of the personal data and, in particular, they may disclose, obtain, transfer (whether within or outside Hong Kong) such personal data to, from or with any and all of the following persons and entities:

 

·    HSBC Global Asset Management (Hong Kong) Limited’s and/or the Fund’s advisers and/or agent(s), such as financial advisers, legal advisers and the Receiving Agent;

 

·    any agents, contractors or third party service providers who offer administrate, telecommunications, computer, payment or other services to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/ or the Receiving Agent in connection with the operation of its business;

 

·    the Stock Exchange, the SFC and any other regulatory or governmental bodies;

 

·    any other persons or institutions with which you have or propose to have dealings, such as your bankers, solicitors, accountants, licensed securities dealers or registered institutions in securities; and

 

·    any other persons or institutions whom HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent consider(s) to be necessary or desirable in the circumstances.

 

4.   Access to and correction of personal data

 

The Privacy Ordinance provides you with rights to ascertain whether HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent holds your personal data, to obtain a copy of that data, and to correct any data that is incorrect.

 

In accordance with the Privacy Ordinance, HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent have the right to charge a reasonable fee for the processing of any data access request. All requests for access to data or correction of data or for information regarding policies and practices and the kinds of data held should be addressed to HSBC Global Asset Management (Hong Kong) Limited and/or the Fund and/or the Receiving Agent (as the case may be).

 

BY SIGNING THIS REDEMPTION FORM YOU AGREE TO ALL OF THE ABOVE