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Substantial Shareholders THIS DOCUMENT IS IN DRAFT FORM, INCOMPLETE AND SUBJECT TO CHANGE AND THE INFORMATION MUST BE READ IN CONJUNCTION WITH THE SECTION HEADED “WARNING” ON THE COVER OF THIS DOCUMENT. SUBSTANTIAL SHAREHOLDERS So far as our Directors are aware, as of the date of the submission of the application proof of this document, the following persons had an interest or a short position in our Shares or underlying Shares which would be required to be disclosed to us and the Hong Kong Stock Exchange under the provisions of Divisions 2 and 3 of Part XV of the SFO or are, directly or indirectly, interested in 10% or more of the nominal value of any class of share capital carrying rights to vote in all circumstances at our general meetings (as if the H Shares are [REDACTED] on the Hong Kong Stock Exchange): Number of Shares directly Approximate or indirectly % of interest Name of Shareholder Nature of interest Class of Shares held in our Bank Henan Investment Group Co., Ltd.(1) (河南投資集團有限公司) (“Henan Investment Group”) .... Beneficiary owner Domestic Shares 1,500,000,000 9.02% Yongcheng Coal and Electricity Holding Group Co., Ltd.(2) (永城煤電控股集團有限公司) (“Yongcheng Coal and Electricity”) .............................. Beneficiary owner Domestic Shares 1,232,960,305 7.42% Interest in controlled corporation Domestic Shares 56,876,624 0.34% Henan Energy and Chemical Engineering Group Co., Ltd.(3) (河南能源化工集團有限公司) (“Henan Energy and Interest in controlled Chemical”)................................. corporation Domestic Shares 1,383,827,049 8.32% So far as our Directors are aware, immediately following the completion of the [REDACTED] assuming the [REDACTED] is not exercised, the following persons will have an interest or a short position in our Shares or underlying Shares which would be required to be disclosed to us and the Hong Kong Stock Exchange under the provisions of Divisions 2 and 3 of Part XV of the SFO or will, directly or indirectly, be interested in 10% or more of the nominal value of any class of share capital carrying rights to vote in all circumstances at our general meetings: Immediately following the completion of Immediately following the completion of the [REDACTED] (assuming no exercise the [REDACTED] (assuming full exercise of the [REDACTED]) of the [REDACTED]) Number of Approximate Number of Approximate Shares %ofthe Shares %ofthe directly or Approximate relevant directly or Approximate relevant Nature of indirectly % of interest class of indirectly % of interest class of Name of Shareholder interest Class of Shares held in our Bank Shares held in our Bank Shares Henan Investment Group(1) .............. Beneficial owner Domestic Shares [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] Yongcheng Coal and Electricity(2) ... Beneficial owner Domestic Shares [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] Interest in controlled corporation Domestic Shares [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] Interest in controlled Henan Energy and Chemical(3) ........ corporation Domestic Shares [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] [REDACTED] — 329 — THIS DOCUMENT IS IN DRAFT FORM, INCOMPLETE AND SUBJECT TO CHANGE AND THE INFORMATION MUST BE READ IN CONJUNCTION WITH THE SECTION HEADED “WARNING” ON THE COVER OF THIS DOCUMENT. SUBSTANTIAL SHAREHOLDERS Notes: (1) Henan Investment Group is our largest Shareholder and one of our state-owned Shareholders. It is wholly-owned by The Henan Provincial Development and Reform Commission (河南省發展和改革委員會). (2) Immediately following the completion of the [REDACTED] (assuming the [REDACTED] is not exercised), Yongcheng Coal and Electricity will directly hold [REDACTED] Domestic Shares and indirectly hold [REDACTED] Domestic Shares through its controlled corporations, including [REDACTED] Domestic Shares to be directly held by Yongcheng Jingchuang Industry Co., Ltd. (永城精創實業有限公司)(“Yongcheng Jingchuang”), [REDACTED] Domestic Shares to be directly held by Kaifeng Tieta Rubber (Group) Co., Ltd. (開封鐵塔橡膠（集團）有限公司)(“Kaifeng Tieta”) and [REDACTED] Domestic Shares to be directly held by Shangqiu Tianlong Investment Co., Ltd. (商丘天龍投資有限公 司）(“Shangqiu Tianlong”), respectively. By virtue of the SFO, Yongcheng Coal and Electricity is deemed to be interested in the Domestic Shares held by Yongcheng Jingchuang, Kaifeng Tieta and Shangqiu Tianlong. (3) Immediately following the completion of the [REDACTED] (assuming the [REDACTED] is not exercised), Henan Energy and Chemical will indirectly hold [REDACTED] Domestic Shares through its controlled corporations, including [REDACTED] Domestic Shares to be directly held by Yongcheng Coal and Electricity, [REDACTED] Domestic Shares to be directly held by Shangqiu Tianlong, [REDACTED] Domestic Shares to be directly held by Yongcheng Jingchuang, [REDACTED] Domestic Shares to be directly held by Kaifeng Tieta, [REDACTED] Domestic Shares to be directly held by Anyang Chemical Engineering Group Co., Ltd.(安陽化學工業集團有限責任公司)(“Anyang Chemical and Engineering”), [REDACTED] Domestic Shares to be directly held by Henan Energy and Chemical Engineering Group Finance Co., Ltd. (河南能源化工集團財務有限公司)(“Henan Finance”), and [REDACTED] Domestic Shares to be directly held by Henan Guolong Mineral Construction Co., Ltd. (河南國龍礦業建設有限公司)(“Henan Guolong”), respectively. By virtue of the SFO, Henan Energy and Chemical is deemed to be interested in the Domestic Shares held by Yongcheng Coal and Electricity, Shangqiu Tianlong, Yongcheng Jingchuang, Kaifeng Tieta, Anyang Chemical & Engineering, Henan Finance and Henan Guolong. — 330 —.
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