Annual Report 2024

Directors’ Report 董事會報告 127 舜宇光學科技（集團）有限公司 • 2024 年報 Name Long position/ short position/ lending pool Type of interest Number of share Approximate percentage of shareholding (Note 8) 名稱 好倉╱淡倉╱ 可供借出的股份 權益類別 股份數目 持股概約 百分比 （附註 8 ） JPMorgan Chase & Co. Long position Beneficial owner/Investment manager/Person having a security interest in shares/Trustee (Note 6) 56,053,084 5.11% JPMorgan Chase & Co. 好倉 實益擁有人╱投資經理╱持有股份的 保證權益的人╱受託人（附註 6 ） Short position Beneficial owner (Note 6) 19,591,979 1.78% 淡倉 實益擁有人（附註 6 ） Lending pool Approved lending agent (Note 6) 27,420,089 2.50% 可供借出的股份 核准借出代理人（附註 6 ） Notes: (1) Sun Xu entered into an equity collar option transaction with UBS AG London Branch (“ UBS ”) in respect of which Sun Xu (i) entered into certain call and put options referencing 44,568,861 Shares and (ii) has delivered 44,568,861 Shares to UBS under a Credit Support Annex with a return obligation to Sun Xu. (2) As Sun Ji owns more than one-third of the voting power of general meetings of Sun Xu, Sun Ji is deemed to be interested in the Shares held by Sun Xu under the SFO. (3) As TMF Trust (HK) Limited is one of the two trustees (together with Mr. Wang Wenjian) of the Sunny Group Employee Offshore Trust, TMF Trust (HK) Limited is deemed to be interested in the Shares held by Sun Xu under the SFO. (4) In respect of derivative interests, 88,800 Shares (long position) were settled by listed derivatives – convertible instruments, 61,041,671 Shares (long position) were settled by unlisted derivatives – physically, and 39,226 Shares (long position) were settled by unlisted derivatives – cash. 附註： (1) 舜旭與 UBS AG London Branch （「 UBS 」） 訂立股權上下限期權交易，就此，舜旭 ( i ) 就 44,568,861 股股份訂立若干認購及認沽期權； 及 (ii) 根據附有對舜旭具有退還責任的信用支持附 件向 UBS 交付 44,568,861 股股份。 (2) 由於舜基持有超過三分之一的舜旭股東大會投票 權，因此根據《證券及期貨條例》，舜基被視為 於舜旭所持股份中擁有權益。 (3) 由於達盟信託服務（香港）有限公司連同王文鑒 先生為舜宇集團僱員海外信託的兩位受託人其中 之一，故此根據《證券及期貨條例》，達盟信託 服務（香港）有限公司被視為於舜旭所持股份中 擁有權益。 (4) 有關衍生權益，其中 88,800 股股份（好倉）以上 市衍生工具－可轉換文書交收， 61,041,671 股 股份（好倉）以非上市衍生工具－實物交收，以 及 39,226 股股份（好倉）以非上市衍生工具－現 金交收。