UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 6-K

 

 

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16

UNDER THE SECURITIES EXCHANGE ACT OF 1934

For the month of March 2024

Commission File Number 001-39654

 

 

Lufax Holding Ltd

(Registrant’s name)

 

 

Building No. 6

Lane 2777, Jinxiu East Road

Pudong New District, Shanghai

People’s Republic of China

(Address of principal executive office)

 

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. Form 20-F ☒ Form 40-F ☐

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

   

Lufax Holding Ltd

    By:  

/s/ David Siu Kam Choy

   

Name:

  

David Siu Kam Choy

   

Title:

  

Chief Financial Officer

Date: March 5, 2024

    

Exhibit 99.1

 

LOGO

Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities

 

For the month ended:    29 February 2024    Status:    New Submission
  

 

      

 

To : Hong Kong Exchanges and Clearing Limited      
Name of Issuer:    Lufax Holding Ltd
  

 

Date Submitted:    05 March 2024      
  

 

      

I. Movements in Authorised / Registered Share Capital

 

1. Class of shares     Ordinary shares   Type of shares    Not applicable    Listed on SEHK (Note 1)    Yes         

  

Stock code   06623   Description      
    Number of authorised/registered shares     Par value   Authorised/registered share capital        
Balance at close of preceding month   10,000,000,000    USD    0.00001    USD   100,000   
Increase / decrease (-)   0        USD   0   
Balance at close of the month   10,000,000,000    USD   0.00001    USD   100,000   

Total authorised/registered share capital at the end of the month:  USD        100,000        

 

Page 1 of 8

II. Movements in Issued Shares

 

1. Class of shares   Ordinary shares   Type of shares   Not applicable   Listed on SEHK (Note 1)   Yes           
Stock code   06623   Description        
Balance at close of preceding month   1,146,319,171                   
Increase / decrease (-)   0   
Balance at close of the month   1,146,319,171     

 

Remarks:

 

The ordinary shares of Lufax Holding Ltd (the “Company”) excludes the treasury shares held by the Company, which comprised the shares underlying the ADSs repurchased by the Company pursuant to the share repurchase programs and shares issued to the Depositary for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of options or awards granted under the Company’s share incentive plans.  

 

Page 2 of 8

III. Details of Movements in Issued Shares

(A). Share Options (under Share Option Schemes of the Issuer)

 

1. Class of shares issuable    Ordinary shares    Type of shares    Not applicable    Shares issuable to be listed on SEHK (Note 1)    Yes     
Stock code of shares issuable (if listed on SEHK) (Note 1)    06623                 
Particulars of share option 

scheme

   

Number of share

options outstanding at

close of preceding

month

    Movement during the month    

Number of share options 

outstanding at close of

the month

   

No. of new shares of

issuer issued during the 

month pursuant thereto 

(A)

   

No. of new shares of

issuer which may be

issued pursuant thereto 

as at close of the month 

   

The total number of

securities which may be

issued upon exercise of

all share options to be

granted under the

scheme at close of the

month

1).      2014 Share    13,394,025     Exercised     0     13,394,025    

0 

    13,394,025     12,303,973 
   Incentive Plan adopted in December 2014 - award of options (which is amended from time to time)              
                 
General Meeting approval

date (if applicable)              

 

Total A (Ordinary shares):              0                     
Total funds raised during the month from exercise of options: USD            0         
        

Remarks:

 

As of February 29, 2024, (i) 12,303,973 shares of the Company (equivalent to 6,151,986 ADSs of the Company) may be issued upon exercise of all share options to be granted under the 2014 Share Incentive Plan (adopted in December 2014 and amended from time to time) (the “2014 Share Incentive Plan”); and (ii) 24,410,829 shares of the Company (equivalent to 12,205,414 ADSs of the Company) are available for future grant under the aggregate scheme mandate limit under the 2014 Share Incentive Plan and the 2019 Performance Share Unit Plan (adopted in September 2019 and amended from time to time).

(B). Warrants to Issue Shares of the Issuer which are to be Listed Not applicable

 

Page 3 of 8

(C). Convertibles (i.e. Convertible into Issue Shares of the Issuer which are to be Listed)

 

1. Class of shares issuable    Ordinary shares   Type of shares   Not applicable   Shares issuable to be listed on SEHK (Note 1)    Yes         
Stock code of shares issuable (if listed on SEHK) (Note 1)    06623      
Description of the Convertibles   Currency   

Amount at close of 

preceding month

   Movement during the month   

Amount at close of the 

month

  

No. of new shares of

issuer issued during the 

month pursuant thereto 

(C)

   

No. of new shares of

issuer which may be

issued pursuant thereto

as at close of the month

1).   Ping An Convertible Promissory Notes   USD   976,900,000                                976,900,000         76,679,748 
       
Type of convertibles    

Bond/Notes

               
Stock code of the Convertibles (if listed on SEHK) (Note 1)                     
   
Subscription/Conversion price    

USD         12.74

               
   
General Meeting approval date (if applicable)      

 

                         

 

Total C (Ordinary shares):

  

 

  

   
                      

(D). Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be listed, including Options (other than Share Options Schemes) 

 

             
1. Class of shares issuable   Ordinary shares   Type of shares   Not applicable   Shares issuable to be listed on SEHK (Note 1)    Yes         
     
Stock code of shares issuable (if listed on SEHK) (Note 1)   06623                          
       

Description

  

General Meeting

approval date

(if applicable)

  

No. of new shares of issuer 

issued during the month pursuant thereto (D)

  

No. of new shares of issuer which may be issued pursuant thereto as at close of the month

           
1).    2019 Performance Share Unit plan, adopted in September 2019 - performance share units (which was amended from time to time)       0            656,531 
    Total D (Ordinary shares):   0       
           

 

      

 

Page 4 of 8

(E). Other Movements in Issued Share Not applicable

 

       Total increase / decrease (-) in Ordinary shares during the month (i.e. Total of A to E)            0          

 

Page 5 of 8

IV. Information about Hong Kong Depositary Receipt (HDR)  Not applicable

 

Page 6 of 8

V. Confirmations

 

We hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued by the issuer during the month as set out in Part III and IV which has not been previously disclosed in a return published under Main Board Rule 13.25A / GEM Rule 17.27A, it has been duly authorised by the board of directors of the listed issuer and, insofar as applicable:

(Note 2)

 

  (i)

all money due to the listed issuer in respect of the issue of securities has been received by it;

 

  (ii)

all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under “Qualifications of listing” have been fulfilled;

 

  (iii)

all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;

 

  (iv)

all the securities of each class are in all respects identical (Note 3);

 

  (v)

all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has been made with other legal requirements;

 

  (vi)

all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue;

 

  (vii)

completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase consideration for all such property has been duly satisfied; and

 

  (viii)

the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the Registrar of Companies.

 

Submitted by:

   

Yong Suk CHO

   

Title:

   

Chairman of the Board of Directors and Chief Executive Officer

   
    (Director, Secretary or other Duly Authorised Officer)   
           

 

Page 7 of 8

Notes

 

1.

SEHK refers to Stock Exchange of Hong Kong.

 

2.

Items (i) to (viii) are suggested forms of confirmation which may be amended to meet individual cases. Where the issuer has already made the relevant confirmations in a return published under Main Board Rule 13.25A / GEM Rule 17.27A in relation to the securities issued, no further confirmation is required to be made in this return.

 

3.

“Identical” means in this context:

 

  •  

the securities are of the same nominal value with the same amount called up or paid up;

 

  •  

they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to exactly the same sum (gross and net); and

 

  •  

they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

 

4.

If there is insufficient space, please submit additional document.

 

5.

In the context of repurchase of shares:

 

  •  

“shares issuable to be listed on SEHK” should be construed as “shares repurchased listed on SEHK”; and

 

  •  

“stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares repurchased (if listed on SEHK)”; and

 

  •  

“class of shares issuable” should be construed as “class of shares repurchased”; and

 

  •  

“issue and allotment date” should be construed as “cancellation date”

 

6.

In the context of redemption of shares:

 

  •  

“shares issuable to be listed on SEHK” should be construed as “shares redeemed listed on SEHK”; and

 

  •  

“stock code of shares issuable (if listed on SEHK)” should be construed as “stock code of shares redeemed (if listed on SEHK)”; and

 

  •  

“class of shares issuable” should be construed as “class of shares redeemed”; and

 

  •  

“issue and allotment date” should be construed as “redemption date”

 

Page 8 of 8

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