144: Filer Information
Filer CIK | 0001844421 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
Filer CIK | 0001844421 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Name of Issuer | Lufax Holding Limited |
SEC File Number | 001-39654 |
Address of Issuer | 15/F, No. 1333 Lujiazui Ring Road Pudong New District Shanghai CHINA 200000 |
Phone | 86-64 6308 0546 |
Name of Person for Whose Account the Securities are To Be Sold | Tun Kung Company Limited |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
| |
Relationship to Issuer | Owner |
Relationship to Issuer | Affiliate |
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
American Depository Shares ("ADS") each representing half Ordinary Share, par value US$0.00001 per share | Goldman Sachs & Co. LLC 200 West Street, New York, NY New York NY 10282 | 10000000 | 11400000.00 | 2292220236 | 09/27/2023 | NYSE |
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
American Depository Shares ("ADS") each representing half Ordinary Share, par value US$0.00001 per share | 12/02/2014 | Pre-IPO Investment | Lufax Holding Ltd | 960190000 | 12/02/2014 | Cash |
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
---|---|---|---|---|
Tun Kung Company Limited Commerce House, Wickham Cay 1, P.O. Box 3140 Road Town, Tortola D8 VG1110 | ADSs | 09/01/2023 | 1247852 | 1647414.21 |
Tun Kung Company Limited Commerce House, Wickham Cay 1, P.O. Box 3140 Road Town, Tortola D8 VG1110 | ADSs | 09/05/2023 | 15159 | 19251.93 |
Remarks | In accordance with the procedures described in the Commission's interpretive letter to Goldman Sachs & Co. dated December 20, 1999 and the Commission's interpretive letter to Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Inc., dated December 1, 2011, the 10,000,000 ADSs noticed in this Form 144 are subject to a covered call contract between Tun Kung Company Limited (TK) and Goldman Sachs International, an affiliate of the applicable broker named in this Form 144. The contract provides for an up-front cash payment to TK based upon the then-current market price of the shares. Upon the expiration or early termination of the contract, TK will be obligated to deliver the number of shares underlying the contract depending on the then-current market price of the shares. TK has pledged the shares subject to the contract to secure its obligations thereunder. Any initial hedging activity in connection with the contract will be conducted by the abovenamed broker |
Date of Notice | 09/27/2023 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | /s/ Jun Yao, Dongzhi Xu |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |