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  • [亚太] 上证指数 2319.12 (1.00%) 深证成指 9466.14 1.78% 恒生指数 19664.10 -1.06% 台北 7233.69 0.17% 韩国 1964.83 0.39%
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工商银行(601398)公告正文

工商银行:H股公告

公告日期 2017-02-07
股票简称:工商银行 股票代码:601398
股份發行人的證券變動月報表

截至月份(日/月/年):                31/1/2017

致:香港交易及結算所有限公司


公司名稱                   中國工商銀行股份有限公司
呈交日期                   2017 年 2 月 6 日


I. 法定股本變動
(由於本公司於中華人民共和國註冊成立,下述為本公司註冊股本及優先股變動(而非法
定股本的變動))

1. 普通股

(1) 股份代號:   1398        說明:             H股

                                                          面值          法定股本
                                       普通股數目       (人民幣)       (人民幣)

上月底結存                            86,794,044,550      1.00      86,794,044,550

增加/(減少)                              無                            無
(                 )
本月底結存                            86,794,044,550      1.00      86,794,044,550


(2) 股份代號     601398      說明:             A股

                                                          面值          法定股本
                                       普通股數目       (人民幣)       (人民幣)

上月底結存                            269,612,212,539     1.00      269,612,212,539
增加/(減少)                              無                            無
(                 )
本月底結存                            269,612,212,539     1.00      269,612,212,539




                                            1
2. 優先股
                                           2,940,000,000 美元、6.00 %票息、非累
                                           積、 非參與、永續境外優先股(「美元
(1) 股份代號:   4603     說明:           境外優先股」)

                                                      面值            法定股本
                                   優先股數目       (人民幣)     (美元)(見備註 1)

上月底結存                         147,000,000         100        2,940,000,000
增加/(減少)                         無               -               無
(                 )
本月底結存                         147,000,000         100        2,940,000,000

                                           600,000,000 歐元、6.00 %票息、非累積、
                                           非參與、永續境外優先股(「歐元境外優先
(2) 股份代號:   4604     說明:           股」)

                                                      面值            法定股本
                                   優先股數目       (人民幣)     (歐元)(見備註 1)

上月底結存                         40,000,000          100           600,000,000

增加/(減少)                         無               -                無
(                 )
本月底結存                         40,000,000          100           600,000,000

                                           12,000,000,000 人民幣、6.00 %票息、非累
                                           積、 非參與、永續境外優先股(「人民幣
(3) 股份代號:   84602    說明:           境外優先股」)

                                                      面值            法定股本
                                   優先股數目       (人民幣)    (人民幣)(見備註 1)

上月底結存                         120,000,000         100          12,000,000,000
增加/(減少)                         無               -                無
(                 )
本月底結存                         120,000,000         100          12,000,000,000

                                           45,000,000,000 人民幣、4.50 %票息、非累
                                           積、 非參與、永續境內優先股(「境內優
(4) 股份代號:   360011   說明:           先股」)

                                                      面值           法定股本
                                   優先股數目       (人民幣)    (人民幣)(見備註 2)

上月底結存                         450,000,000         100          45,000,000,000

增加/(減少)                         無               -                無
(                 )
本月底結存                         450,000,000         100          45,000,000,000


                                       2
3. 其他類別股份

 股份代號:       不適用   說明:          不適用

                                                     面值
                                    其他類別股份數 (請註明貨         法定股本
                                          目           幣)         (請註明貨幣)

上月底結存                               無          不適用             無

增加/(減少)                           無                             無
(                  )

本月底結存                               無          不適用             無



本月底法定股本總額(註冊股本和優先股總額)(人民幣)     435,955,547,089 (見備註 3)




                                              3
II. 已發行股本變動


                                普通股數目                           優先股數目
                                                          (1)      (2)         (3)          (4)
                          (1)               (2)       美元境外   歐元境外 人民幣境          境內      其他類別
                          H股               A股         優先股   優先股    外優先股       優先股      股份數目


上月底結存            86,794,044,550 269,612,212,539 147,000,000 40,000,000 120,000,000 450,000,000       無


本月增加/(減少)         無                無             無       無         無          無            無


本月底結存            86,794,044,550 269,612,212,539 147,000,000 40,000,000 120,000,000 450,000,000       無


III. 已發行股本變動詳情

股份期權(根據發行人的股份期權計劃) 本公司未授出任何股份期權
  股份期權計劃詳                                                    本月內因此發行的發 本月底因此可能發
  情,包括股東特                                                      行人新股份數目   行的發行人新股份
  別大會通過日期                                                                             數目
(日/月/年) 及可發                   本月內變動
    行股份類別      授出          行使         註銷    失效
 1.



  (   / /    )
                 股
 (註 1)

 2.



  (   / /    )
                 股
 (註 1)

 3.



  (   / /    )
                 股
 (註 1)
                                                  總數 A. (普通股) 無
                                                           (優先股) 無
                                                    (其他類別股份) 無
本月內因行使期權所得資金總額 (請註明貨幣)



                                                        4
承諾發行將予上市的發行人股份的權證 本公司未授出任何該等權證
                                                                                       本月內因此
                                                                                       發行的發行 本月底因此可
                                                                                       人新股份數 能發行的發行
權證說明                                                     本月內已行                    目     人新股份數目
(到期日 – 日/月/年)         面值貨幣       上月底面值           使       本月底面值
  1.



  (    / /      )
股份代號 (如已上市)
可發行股份類別
(註 1)
認購價
股東特別大會通過日期
(如適用)
(日/月/年)                      (   /   /    )
  2.



  (    / /      )
股份代號 (如已上市)
可發行股份類別
(註 1)
認購價
股東特別大會通過日期
(如適用)
(日/月/年)                      (   /   /    )
  3.



  (    / /      )
股份代號 (如已上市)
可發行股份類別
(註 1)
認購價
股東特別大會通過日期
(如適用)
(日/月/年)                      (   /   /    )
  4.



  (    / /      )
股份代號 (如已上市)
可發行股份類別
(註 1)
認購價
股東特別大會通過日期
(如適用)
(日/月/年)                      (   /   /    )

                                                               總數 B.   (普通股) 無
                                                                         (優先股) 無
                                                                  (其他類別股份) 無


                                                         5
可換股票據(即可轉換為將予上市的發行人股份)
                                                                                                 本月內   本月底因此
                                                                                             因此發行的發 可能發行的
                                              上月底        本月內已換股        本月底             行人   發行人新股
類別及說明                      發行貨幣    已發行總額          款額          已發行總額       新股份數目   份數目

  1. 根據美元境外優先股
  的條款與條件在發生觸發                                                                                  4,557,432,956
  事件時可被強制轉換的美元                                                                                股 H 股 (見
  境外優先股                      美元     2,940,000,000           -         2,940,000,000          -     備註 4)
股份代號 (如已上市)               4603
可發行股份類別
(註 1)                             H股
                         初始轉股價為 0.6451
認購價                   美元, 可調整
股東特別大會通過日期
(如適用)
(日/月/年)                   ( 19/09/2014)
  2. 根據歐元境外優先股
  的條款與條件在發生觸發                                                                                  1,251,825,578
  事件時可被強制轉換的歐元                                                                                股 H 股 (見
  境外優先股                      歐元      600,000,000            -          600,000,000           -     備註 4)
股份代號 (如已上市)               4604
可發行股份類別
(註 1)                             H股
                         初始轉股價為 0.4793
認購價                   歐元, 可調整
股東特別大會通過日期
(如適用)
(日/月/年)                   (19/09/2014)
  3. 根據人民幣境外優先股
  的條款與條件在發生觸發                                                                                  3,020,767,778
  事件時可被強制轉換的人民                                                                                股 H 股(見
  幣境外優先股                  人民幣    12,000,000,000           -        12,000,000,000          -     備註 4)
股份代號 (如已上市)               84602
可發行股份類別
(註 1)                             H股
                         初始轉股價為人民幣
認購價                   3.9725 元, 可調整
股東特別大會通過日期
(如適用)
(日/月/年)                   (19/09/2014)

  4. 根據境内優先股的條款與                                                                               13,081,395,348
  條件在發生觸發事件時可被                                                                                股 A 股(見
  強制轉換的境内優先股          人民幣     45,000,000,000          -        45,000,000,000          -     備註 5)
股份代號 (如已上市)              360011
可發行股份類別
(註 1)                            A股
                         初始轉股價為人民幣
認購價                   3.44 元,可調整
股東特別大會通過日期
(如適用)
(日/月/年)                    (19/09/2014)
                                                                 總數 C. (H 股普通股)          無
                                                                         (A 股普通股)          無
                                                             6
                                                                                          本月內   本月底因此
                                                                                      因此發行的發 可能發行的
                                           上月底      本月內已換股      本月底             行人   發行人新股
類別及說明                    發行貨幣   已發行總額        款額        已發行總額       新股份數目   份數目
                                                                  (境外優先股)            無
                                                                  (境內優先股)            無
                                                               (其他類別股份)             無


為發行將予上市的發行股份所訂立的任何其他協議或安排,包括期權(但不包括根據股份期權計劃發行的期權)
本公司未訂立任何發行股份的其他協議或安排
                                                                         本月內               本月底
                                                                       因此發行的         因此可能發行的
                                                                   發行人新股份數目     發行人新股份數目
 詳情,包括股東特別大會通過日期 (日/月/年)(如適用)及可發行股
 份類別
 1.


                                                  (   / /      )
                                                       股 (註 1)

 2.


                                                  (   / /      )
                                                       股 (註 1)

 3.


                                                  (   / /      )
                                                       股 (註 1)

                                            總數 D.   (普通股)     無
                                                      (優先股)     無
                                               (其他類別股份)      無

已發行股本的其他變動 本公司已發行股份未發生其他變動


                                                                                        本月內   本月底因此
                                                                                      因此發行     可能發行
                                                                                      的發行人     的發行人
                                                                                        新股份       新股份
                                                                                        數目         數目
      發行類別

                                                                         ________
                                               可發行股份類別 (註 1)

                                               發行及配發日期:         ( / /   )
1.    供股       價格:   請註明貨幣           (日/月/年)

                                               股東特別大會通過日       ( / /   )
                                               期:
                                               (日/月/年)




                                                        7
                                                                            本月內   本月底因此
                                                                          因此發行     可能發行
                                                                          的發行人     的發行人
                                                                            新股份       新股份
                                                                            數目         數目
     發行類別

                                      可發行股份類別 (註 1)   ________

                                      發行及配發日期:
                                                              ( / /   )
2.   公開招股   價格:   請註明貨幣   (日/月/年)

                                      股東特別大會通過日      ( / /   )
                                      期:
                                      (日/月/年)




                                      可發行股份類別 (註 1)   ________

                                      發行及配發日期:
                                                              ( / /   )
3.   配售       價格:   請註明貨幣   (日/月/年)

                                      股東特別大會通過日      ( / /   )
                                      期:
                                      (日/月/年)




                                      可發行股份類別 (註 1)   ________

                                      發行及配發日期:
4.   紅股發行                                                 ( / /   )
                                      (日/月/年)

                                      股東特別大會通過日      ( / /   )
                                      期:
                                      (日/月/年)




                                              8
                                  可發行股份類別 (註 1)   ________

                                  發行及配發日期:
                                                          ( / /   )
5.   以股代息   價格:   請註明   (日/月/年)
                         貨幣
                                  股東特別大會通過日      ( / /   )
                                  期:
                                  (日/月/年)




                                  所購回股份類別 (註 1)   ________

                                  註銷日期:
6.   購回股份                                             ( / /   )
                                  (日/月/年)

                                  股東特別大會通過日      ( / /   )
                                  期:
                                  (日/月/年)



                                  所贖回股份類別 (註 1)   ________

                                  贖回日期:
                                                          ( / /   )
7.   贖回股份                     (日/月/年)

                                  股東特別大會通過日      ( / /   )
                                  期:
                                  (日/月/年)




                                  可發行股份類別 (註 1)   ________

                                  發行及配發日期:
                         請註明                           ( / /   )
8.   代價發行   價格:            (日/月/年)
                         貨幣
                                  股東特別大會通過日      ( / /   )
                                  期:
                                  (日/月/年)




                                  可發行股份類別 (註 1)   ________

                                  發行及配發日期:
                                                          ( / /   )
9.   資本重組                     (日/月/年)

                                  股東特別大會通過日      ( / /   )
                                  期:
                                  (日/月/年)




                                          9
                                               可發行股份類別 (註 1)     ________

                                               發行及配發日期:
                                                                        ( / /     )
10. 其他                      請註明           (日/月/年)
                     價格:
        (請註明)              貨幣
                                               股東特別大會通過日       ( / /     )
                                               期:
                                               (日/月/年)



                                                                  總數 E.     (普通股) 無
                                                                              (優先股) 無
                                                                       (其他類別股份) 無




 本月普通股增加/(減少)總額(即 A 至 E 項的總和):                                 (1)   無
                                                                                      (2)   無
 本月優先股增加/(減少)總額(即 A 至 E 項的總和):                                 (1)   無
                                                                                      (2)   無
                                                                                      (3)   無
                                                                                      (4)   無
 本月其他類別股份增加/(減少)總額(即 A 至 E 項的總和):                                 無
 (此數目應相等於上文第 II 項(「已發行股本變動」)內的相關數字。)




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備註(如有):
1. 根據各幣種境外優先股數目和每股募集金額計算,美元優先股的每股募集金額為 20 美元,歐元優先
股的每股募集金額為 15 歐元,人民幣優先股的每股募集金額為人民幣 100 元。
2. 根據境內優先股數目和每股募集金額計算,境內優先股的每股募集金額為人民幣 100 元。
3. 根據普通股股本和境內優先股及各幣種境外優先股募集資金總額計算,美元或歐元優先股募集資金總
額根據 2014 年 12 月 10 日中國人民銀行公佈的美元或歐元的滙率中間價進行折算。其中,美元兌人民
幣的滙率中間價為 6.1195,歐元兌人民幣的滙率中間價為 7.5966。
4.境外優先股以 2014 年 7 月 25 日前二十個交易日公司 H 股普通股股票交易均價作為初始轉股價格,即
每股港幣 5.00 元,根據港幣和美元或歐元的套算滙率或港幣和人民幣的滙率(如適用)進行折算。其
中,美元兌人民幣的滙率中間價為 6.1579,歐元兌人民幣的滙率中間價為 8.2876,港幣兌人民幣的滙率
中間價為 0.79449。
5.境內優先股以 2014 年 7 月 25 日前二十個交易日公司 A 股普通股股票交易均價作為初始轉股價格,即
每股人民幣 3.44 元。



呈交者: 官學清

職銜:      公司秘書
           (董事、秘書或其他獲正式授權的人員)




註:


1.       請註明股份類別 (如普通股、優先股或其他類別股份) 。

2.       如空位不敷應用,請附加指定的續頁。




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