{"id":230820,"date":"2020-05-12T10:57:20","date_gmt":"2020-05-12T02:57:20","guid":{"rendered":"http:\/\/charltonsnaturalresources.com\/capital-raising\/listing-debt-securities-in-hong-kong\/options-warrants-and-similar-rights\/"},"modified":"2020-05-29T17:52:40","modified_gmt":"2020-05-29T09:52:40","slug":"options-warrants-and-similar-rights","status":"publish","type":"page","link":"https:\/\/charltonsnaturalresources.com\/zh-hans\/capital-raising\/listing-debt-securities-in-hong-kong\/options-warrants-and-similar-rights\/","title":{"rendered":"\u671f\u6743\u3001\u8ba4\u80a1\u6743\u8bc1\u6216\u7c7b\u4f3c\u6743\u5229"},"content":{"rendered":"[et_pb_section fb_built=&#8221;1&#8243; admin_label=&#8221;ContentWrapper5&#8243; module_class=&#8221;content-wrapper5&#8243; _builder_version=&#8221;4.4.3&#8243;][et_pb_row admin_label=&#8221;Banner Top 5&#8243; module_class=&#8221;top-banner5&#8243; _builder_version=&#8221;4.4.3&#8243; background_enable_color=&#8221;off&#8221; background_image=&#8221;\/legal\/capital_raising\/capital_raising_banner.jpg&#8221;][et_pb_column type=&#8221;4_4&#8243; _builder_version=&#8221;4.4.3&#8243;][et_pb_text admin_label=&#8221;Banner 5&#8243; _builder_version=&#8221;4.4.3&#8243; hover_enabled=&#8221;0&#8243;]<div class=\"banner5\">\r\n<h1>\u878d\u8d44<\/h1>\r\n<\/div>[\/et_pb_text][\/et_pb_column][\/et_pb_row][et_pb_row admin_label=&#8221;Breadcrumbs&#8221; _builder_version=&#8221;4.4.3&#8243;][et_pb_column type=&#8221;4_4&#8243; _builder_version=&#8221;3.25.3&#8243;][et_pb_text admin_label=&#8221;Breadcrumbs&#8221; _builder_version=&#8221;4.4.3&#8243;]<div class=\"breadcrumb no-bottom-border\">\r\n<ul><li><a href=\"\/\">\u4e3b\u9801<\/a><\/li><li><a href='https:\/\/charltonsnaturalresources.com\/zh-hans\/capital-raising\/' title='\u878d\u8d44'>\u878d\u8d44<\/a><\/li><li><a href='https:\/\/charltonsnaturalresources.com\/zh-hans\/capital-raising\/listing-debt-securities-in-hong-kong\/' title='\u9999\u6e2f\u4e0a\u5e02\u503a\u5238'>\u9999\u6e2f\u4e0a\u5e02\u503a\u5238<\/a><\/li><li><span>\u671f\u6743\u3001\u8ba4\u80a1\u6743\u8bc1\u6216\u7c7b\u4f3c\u6743\u5229<\/span><\/li><\/ul>\r\n<\/div>[\/et_pb_text][\/et_pb_column][\/et_pb_row][et_pb_row column_structure=&#8221;1_4,3_4&#8243; module_class=&#8221;main-content5&#8243; _builder_version=&#8221;4.4.3&#8243;][et_pb_column type=&#8221;1_4&#8243; _builder_version=&#8221;4.4.3&#8243;][et_pb_text admin_label=&#8221;SideMenu&#8221; _builder_version=&#8221;4.4.3&#8243;]<div class=\"side-menu\">\r\n<div class=\"side-menu-panel\">\r\n<h3>Capital Raising<\/h3>\r\n<p><span class=\"hamburger\"><\/span>\r\n<\/div>\r\n<ul class=\"cm-parent\"><\/ul><\/div>[\/et_pb_text][et_pb_text admin_label=&#8221;SideNews5&#8243; _builder_version=&#8221;4.4.3&#8243;]<div class=\"side-news5\">\r\n<h2>Latest news<\/h2>\r\n\t\t\n\t\t<div class=\"rtc-image\">\n\t\t<a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/mosaic-to-sell-brazilian-phosphate-mine-in-125-million-deal\/\"><img decoding=\"async\" src=\"https:\/\/charltonsnaturalresources.com\/wp-content\/uploads\/mosaic-to-sell-brazilian-phosphate-mine-in-125-million-deal.jpg\" \/><\/a>\t\t\t\t\n\t\t<h3 class=\"rtc-caption\"><a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/mosaic-to-sell-brazilian-phosphate-mine-in-125-million-deal\/\">Mosaic to sell Brazilian phosphate mine in $125 million deal<\/a><\/h3>\n\t\t<\/div>\t\t\n\t\t\t\t\n\t\t<div class=\"rtc-image\">\n\t\t<a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/mali-to-get-1-2bn-from-miners-after-talks\/\"><img decoding=\"async\" src=\"https:\/\/charltonsnaturalresources.com\/wp-content\/uploads\/mali-to-get-1-2bn-from-miners-after-talks-1.jpg\" \/><\/a>\t\t\t\t\n\t\t<h3 class=\"rtc-caption\"><a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/mali-to-get-1-2bn-from-miners-after-talks\/\">Mali to get $1.2bn from miners after talks<\/a><\/h3>\n\t\t<\/div>\t\t\n\t\t\t\t\n\t\t<div class=\"rtc-image\">\n\t\t<a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/friedland-considers-floating-african-iron-ore-company-on-asx\/\"><img decoding=\"async\" src=\"http:\/\/charltonsnaturalresources.com\/wp-content\/uploads\/friedland-considers-floating-african-iron-ore-company-on-asx.jpg\" \/><\/a>\t\t\t\t\n\t\t<h3 class=\"rtc-caption\"><a href=\"https:\/\/charltonsnaturalresources.com\/zh-hans\/friedland-considers-floating-african-iron-ore-company-on-asx\/\">Friedland considers floating African iron ore company on ASX<\/a><\/h3>\n\t\t<\/div>\t\t\n\t\t<h4 class=\"view-all-toggle\"><\/h4><\/div>[\/et_pb_text][\/et_pb_column][et_pb_column type=&#8221;3_4&#8243; _builder_version=&#8221;4.4.3&#8243;][et_pb_text admin_label=&#8221;ContentMenuBar1&#8243; _builder_version=&#8221;4.4.3&#8243;]<div class=\"content-menubar\">\r\n<div class=\"page-menu-panel\">\r\n<h3>Friedland considers floating African iron ore company on ASX<\/h3>\r\n<p><span class=\"hamburger\"><\/span>\r\n<\/div>\r\n<ul class=\"cm-parent\"><\/ul><\/div>[\/et_pb_text][et_pb_text admin_label=&#8221;banner content&#8221; _builder_version=&#8221;4.4.3&#8243;]<img decoding=\"async\" src=\"\/legal\/capital_raising\/listing_debt_securities_in_hong_kong.jpg\" \/>[\/et_pb_text][et_pb_text admin_label=&#8221;Content&#8221; _builder_version=&#8221;4.4.3&#8243; background_size=&#8221;initial&#8221; background_position=&#8221;top_left&#8221; background_repeat=&#8221;repeat&#8221;]<h1>Friedland considers floating African iron ore company on ASX<\/h1>\r\n<p>\u5982\u7533\u8bf7\u8ba4\u80a1\u6743\u8bc1\u4e0a\u5e02\uff0c\u8054\u4ea4\u6240\u4e00\u822c\u4f1a\u5b9e\u65bd\u9002\u7528\u4e8e\u5176\u53ef\u4e88\u8ba4\u8d2d\u6216\u8d2d\u4e70\u7684\u6307\u5b9a\u8bc1\u5238\u7684\u76f8\u540c\u89c4\u5b9a\u3002\u4f46\u5982\u62df\u8fdb\u884c\u8be5\u7b49\u7533\u8bf7\uff0c\u5e94\u5c3d\u65e9\u5c31\u9002\u7528\u7684\u89c4\u5b9a\u54a8\u8be2\u8054\u4ea4\u6240\u3002<\/p>\r\n<p>\u5982\u62df\u7533\u8bf7\u8ba4\u80a1\u6743\u8bc1\u4e0a\u5e02\uff0c\u5219\u53ef\u4e88\u8ba4\u8d2d\u6216\u8d2d\u4e70\u7684\u6307\u5b9a\u8bc1\u5238\u987b\u4e3a\uff08\u6216\u540c\u65f6\u5c06\u4f1a\u6210\u4e3a\uff09\uff1a<\/p>\r\n<ol>\r\n<li>\u4e00\u7c7b\u4e0a\u5e02\u503a\u52a1\u8bc1\u5238\uff1b\u6216<\/li>\r\n<li>\u4e00\u7c7b\u5728\u8054\u4ea4\u6240\u627f\u8ba4\u800c\u53d7\u9002\u5f53\u7ba1\u5236\u53ca\u6b63\u5e38\u8fd0\u4f5c\u7684\u53e6\u4e00\u4e2a\u516c\u5f00\u8bc1\u5238\u5e02\u573a\u4e0a\u5e02\u6216\u4e70\u5356\u7684\u503a\u52a1\u8bc1\u5238\u3002<\/li>\r\n<\/ol>\r\n<p>\u60df\u8054\u4ea4\u6240\u4f1a\u5728\u5176\u4ed6\u60c5\u51b5\u4e0b\u6279\u51c6\u8ba4\u80a1\u6743\u8bc1\u4e0a\u5e02\uff0c\u53ea\u8981\u5176\u786e\u4fe1\u6301\u6709\u4eba\u83b7\u63d0\u4f9b\u6240\u9700\u7684\u8d44\u6599\uff0c\u53ef\u85c9\u7531\u8bc4\u4f30\u4e0e\u8be5\u7b49\u8ba4\u80a1\u6743\u8bc1\u6709\u5173\u7684\u6307\u5b9a\u503a\u52a1\u8bc1\u5238\u7684\u4ef7\u503c\u3002\u6b64\u89c4\u5219\u4e0d\u9002\u7528\u4e8e\u56fd\u5bb6\u673a\u6784\u6216\u8d85\u56fd\u5bb6\u673a\u6784\u53d1\u884c\u7684\u671f\u6743\u3001\u8ba4\u80a1\u6743\u8bc1\u6216\u7c7b\u4f3c\u6743\u5229\u3002<\/p>\r\n<p>\u8ba4\u80a1\u6743\u8bc1\u7684\u6761\u6b3e\u4e8e\u53d1\u884c\u6216\u6388\u51fa\u540e\u5982\u6709\u4efb\u4f55\u66f4\u6539\uff0c\u5fc5\u987b\u7ecf\u8054\u4ea4\u6240\u6279\u51c6\uff0c\u60df\u82e5\u6709\u5173\u66f4\u6539\u4e43\u6309\u7167\u8be5\u7b49\u8ba4\u80a1\u6743\u8bc1\u7684\u6761\u6b3e\u81ea\u52a8\u751f\u6548\u5219\u5f53\u522b\u8bba\u3002\u5c24\u5176\u5f53\u53d1\u884c\u4eba\u5efa\u8bae\u66f4\u6539\u884c\u4f7f\u671f\u8d27\u884c\u4f7f\u4ef7\u65f6\uff0c\u5219\u5e94\u5c3d\u65e9\u54a8\u8be2\u8054\u4ea4\u6240\u3002<\/p>\r\n\u53ef\u8f6c\u6362\u503a\u52a1\u8bc1\u5238<h2>\r\n<p>\u6240\u6709\u53ef\u8f6c\u6362\u53d1\u884c\u4eba\u6216\u4e0e\u53d1\u884c\u4eba\u540c\u96c6\u56e2\u7684\u516c\u53f8\u8bc1\u5238\u7684\u53ef\u8f6c\u6362\u503a\u52a1\u8bc1\u5238\uff0c\u5fc5\u987b\u7b26\u5408\u9002\u7528\u4e8e\u6b63\u5bfb\u6c42\u4e0a\u5e02\u7684\u503a\u52a1\u8bc1\u5238\u7684\u89c4\u5b9a\uff0c\u4ee5\u53ca\u9002\u7528\u4e8e\u4e0e\u8be5\u7b49\u53ef\u8f6c\u6362\u503a\u52a1\u8bc1\u5238\u6709\u5173\u7684\u6307\u5b9a\u80a1\u672c\u8bc1\u5238\u7684\u89c4\u5b9a\u3002\u5982\u5404\u79cd\u89c4\u5b9a\u6709\u4efb\u4f55\u77db\u76fe\u6216\u51fa\u5165\uff0c\u5219\u4ee5\u9002\u7528\u4e8e\u8be5\u7b49\u80a1\u672c\u8bc1\u5238\u7684\u89c4\u5b9a\u4e3a\u51c6\u3002<\/p>[\/et_pb_text][et_pb_text admin_label=&#8221;SubpageMenu&#8221; 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However, where such an application is contemplated, the Exchange should be consulted at the earliest opportunity as to the requirements which will apply.<\/p>\r\n<!-- \/wp:paragraph -->\r\n\r\n<!-- wp:paragraph -->\r\n<p>Warrants may be listed only if the underlying securities to be subscribed or purchased are (or will become at the same time):<\/p>\r\n<!-- \/wp:paragraph -->\r\n\r\n<!-- wp:list {\"ordered\":true} -->\r\n<ol><li>A class of listed debt securities; or<\/li><li>A class of debt securities listed or dealt in on another regulated, regularly operating, open stock market recognised by the Exchange.<\/li><\/ol>\r\n<!-- \/wp:list -->\r\n\r\n<!-- wp:paragraph -->\r\n<p>However, the Exchange may list warrants in other circumstances if it is satisfied that holders have the necessary information available to form an opinion concerning the value of the underlying debt securities to which such warrants relate. This rule does not apply to an issue of options, warrants or similar rights by a state or specified supranational institutions.<\/p>\r\n<!-- \/wp:paragraph -->\r\n\r\n<!-- wp:paragraph -->\r\n<p>Any alterations in the terms of warrants after issue or grant must be approved by the Exchange, except where the alterations take effect automatically under the terms of such warrants. In particular the Exchange should be consulted at the earliest opportunity where the issuer proposes to alter the exercise period or the exercise price.<\/p>\r\n<!-- \/wp:paragraph -->\r\n\r\n<!-- wp:heading -->\r\n<h2><em>Convertible Debt Securities<\/em><\/h2>\r\n<!-- \/wp:heading -->\r\n\r\n<!-- wp:paragraph -->\r\n<p>All convertible debt securities which are convertible into new equity securities of the issuer or a company in the same group as the issuer for which a listing is to be sought must comply both with the requirements applicable to the debt securities for which listing is sought and with the requirements applicable to the underlying equity securities to which such convertible debt securities relate.<\/p>\r\n<!-- \/wp:paragraph -->","_et_gb_content_width":"","inline_featured_image":false,"footnotes":""},"categories":[42],"class_list":["post-230820","page","type-page","status-publish","hentry","category-capital-raising-zh-hans","cat-23-id"],"_links":{"self":[{"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/pages\/230820","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/comments?post=230820"}],"version-history":[{"count":5,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/pages\/230820\/revisions"}],"predecessor-version":[{"id":232524,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/pages\/230820\/revisions\/232524"}],"up":[{"embeddable":true,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/pages\/230809"}],"wp:attachment":[{"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/media?parent=230820"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/charltonsnaturalresources.com\/zh-hans\/wp-json\/wp\/v2\/categories?post=230820"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}