Annual Report 2020

舜宇光學科技（集團）有限公司 • 2020 年報 113 Directors’ Report 董事會報告 (9) Mr. Sun Yang is a beneficiary under the Sunny Group Employee Offshore Trust, under which he is entitled to 1.56% of the beneficial interests. As a beneficiary of the trust, he is deemed to be interested in all the equity interest that Sunny Group Employee Offshore Trust owns under the SFO. Sun Ji owns 100.00% equity interest in Sun Xu, which in turn owns 389,091,927 shares of the Company. As a controlling shareholder, Sun Ji is deemed to be interested in all the shares that Sun Xu owns under the SFO. Accordingly, Mr. Sun Yang is deemed to be interested in 389,091,927 shares under the SFO. (10) Mr. Wang Wenjie is taken to be interested as a grantee of 1,563,290 shares granted under the Restricted Share Award Scheme. (11) Mr. Wang Wenjie is a beneficiary under the Sunny Group Employee Offshore Trust, under which he is entitled to 5.01% of the beneficial interests. As a beneficiary of the trust, he is deemed to be interested in all the equity interest that Sunny Group Employee Offshore Trust owns under the SFO. Sun Ji owns 100.00% equity interest in Sun Xu, which in turn owns 389,091,927 shares of the Company. As a controlling shareholder, Sun Ji is deemed to be interested in all the shares that Sun Xu owns under the SFO. Accordingly, Mr. Wang Wenjie is deemed to be interested in 389,091,927 shares under the SFO. (12) JPMorgan Chase & Co., through various subsidiaries, is indirectly interested in (a) 63,867,856 shares of the Company (long position), of which (i) 9,408,906 shares (long position) were held in the capacity as interest of controlled corporation; (ii) 38,193,526 shares (long position) were held in the capacity as investment manager; (iii) 1,037,832 shares (long position) were held in the capacity as person having a security interest in shares; and (iv) 15,227,592 shares (long position) in the lending pool as described in the SFO in the capacity as approved lending agent; and (b) 7,777,205 shares of the Company (short position) held in the capacity as interest of controlled corporation. Among them include (i) physically settled listed derivatives in respect of 931,000 underlying shares (long position) and 1,985,000 underlying shares (short position); (ii) cash settled listed derivatives in respect of 8,100 underlying shares (long position) and 101,800 underlying shares (short position); (iii) physically settled unlisted derivatives in respect of 77,636 underlying shares (long position) and 2,956,318 underlying shares (short position); and (iv) cash settled unlisted derivatives in respect of 1,238,112 underlying shares (long position) and 835,177 underlying shares (short position). * The Chinese translation of Sun Guang Trust (“ 舜光信託 ”) is for identification purpose only. (9) 孫泱先生為舜宇集團僱員海外信託的受益人， 實益擁有當中 1.56% 權益。根據《證券及期貨條 例》，彼作為信託受益人，被視為於舜宇集團僱 員海外信託所持全部股權中擁有權益。舜基擁有 舜旭 100.00% 股權，而舜旭擁有 389,091,927 股 本公司股份。因此，根據《證券及期貨條例》， 舜基作為控股股東被視為於舜旭所擁有的全部 股份中擁有權益。因此，根據《證券及期貨條 例》，孫泱先生被視為於 389,091,927 股股份中 擁有權益。 (10) 王文杰先生作為承授人被視為於根據限制性股份 獎勵計劃授出的 1,563,290 股股份中擁有權益。 (11) 王文杰先生為舜宇集團僱員海外信託的受益人， 實益擁有當中 5.01% 權益。根據《證券及期貨條 例》，彼作為信託受益人，被視為於舜宇集團僱 員海外信託所持全部股權中擁有權益。舜基擁有 舜旭 100.00% 股權，而舜旭擁有 389,091,927 股 本公司股份。因此，根據《證券及期貨條例》， 舜基作為控股股東被視為於舜旭所擁有的全部 股份中擁有權益。因此，根據《證券及期貨條 例》，王文杰先生被視為於 389,091,927 股股份 中擁有權益。 (12) JPMorgan Chase & Co. 透過多間附屬公司間 接擁有 (a)63,867,856 股本公司股份（好倉），當 中 (i)9,408,906 股股份（好倉）以於受控法團之權 益的身份持有； (ii)38,193,526 股股份（好倉）以 投資經理的身份持有； (iii)1,037,832 股股份（好 倉）以持有股份的保證權益的人的身份持有；及 (iv)15,227,592 股股份（好倉）於證券及期貨條例 所界定之可供借出之股份以核准借出代理人的 身份持有；及 (b)7,777,205 股股份（淡倉）以於 受控法團之權益的身份持有。其中包括 (i) 實物 結算上市衍生工具下的 931,000 股相關股份（好 倉）及 1,985,000 股相關股份（淡倉）； (ii) 現金結 算上市衍生工具下的 8,100 股相關股份（好倉） 及 101,800 股相關股份（淡倉）； (iii) 實物結算非 上市衍生工具下的 77,636 股相關股份（好倉）及 2,956,318 股相關股份（淡倉）；及 (iv) 現金結算非 上市衍生工具下的 1,238,112 股相關股份（好倉） 及 835,177 股相關股份（淡倉）。 * Sun Guang Trust 的中文翻譯（「 舜光信託 」）僅供 識別之用。