SCHEDULE 13D
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(Rule 13d-101. Information to be Included in Statements Filed Pursuant to
§ 240.13d-1(a) and Amendments Thereto Filed
Pursuant to § 240.13d-2(a))
Under the Securities Exchange Act of 1934
(Amendment No. )
China Unicom (Hong Kong) Limited
(Name of Issuer)
Ordinary Shares, Par Value HK$0.10 Per Share
(Title of Class of Securities)
16945R 10 4
(CUSIP Number)
Chu Ka Yee
China Unicom (Hong Kong) Limited
75th Floor, The Center
99 Queens Road Central
Hong Kong
Telephone: (+852) 2121 3220
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
October 15, 2008
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the
acquisition which is the subject of this Schedule 13D and is filing this schedule because of §§
240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Page 1 of 24
TABLE OF CONTENTS
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON
CHINA UNITED TELECOMMUNICATIONS CORPORATION |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
PEOPLES REPUBLIC OF CHINA
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
16,773,353,135(1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
9,725,000,020 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
16,773,353,135(1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
70.4%(1) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON |
|
|
|
CO |
(1) Includes 7,008,353,115 Unicom Shares (as defined in Item 1) held by
China Netcom Group Corporation (BVI) Limited, a company incorporated in the British Virgin Islands (Netcom BVI), as to which the Reporting Person may be deemed to
be the beneficial owner due to its beneficial ownership interest in Unicom BVI and the formation of a group (as defined in Rule 13d-5(b)(1) under the Securities Exchange Act
of 1934, as amended (the Exchange Act)) between China Unicom (BVI) Limited, a company incorporated in the British Virgin Islands (Unicom BVI), and
Netcom BVI as a result of the Concert Party Agreement as described in Items 3 and 4. The Reporting Person disclaims such beneficial ownership.
Page 2 of 24
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON
CHINA UNITED TELECOMMUNICATIONS CORPORATION LIMITED |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
PEOPLES REPUBLIC OF CHINA
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
16,773,353,135(1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
9,725,000,020 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
16,773,353,135(1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
70.4%(1) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON |
|
|
|
CO |
(1) Includes 7,008,353,115
Unicom Shares (as defined in Item 1) held by Netcom BVI, as to which the Reporting Person may be deemed to be the beneficial owner due
to its beneficial ownership interest in Unicom BVI and the formation of a group (as defined in Rule 13d-5(b)(1) under the Exchange Act)
between Unicom BVI and Netcom BVI as a result of the Concert Party Agreement as described in Items 3 and 4.
The Reporting Person disclaims such beneficial ownership.
Page 3 of 24
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON
CHINA UNICOM (BVI) LIMITED |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
BRITISH VIRGIN ISLANDS
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
16,773,353,135(1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
9,725,000,020 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
16,773,353,135(1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
70.4%(1) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON |
|
|
|
CO |
(1) Includes 7,008,353,115 Unicom Shares (as defined in Item 1) held by Netcom BVI, as to which the Reporting Person may be deemed to have acquired beneficial ownership due to the formation of a group (as defined in Rule 13d-5(b)(1) under the Exchange Act) between the Reporting Person and Netcom BVI as a result of the Concert Party Agreement as described in Items 3 and 4.
Page 4 of 24
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON
CHINA NETWORK COMMUNICATIONS GROUP CORPORATION |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
(a) o |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
PEOPLES REPUBLIC OF CHINA
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
16,773,353,135(1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
7,008,353,115 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
16,773,353,135(1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
70.4%(1) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON |
|
|
|
CO |
(1) Includes 9,725,000,020 Unicom Shares (as defined in Item 1) held
by Unicom BVI as to which the Reporting Person may be deemed to be the beneficial owner due to its beneficial ownership interest in Netcom BVI and the formation of a
group (as defined in Rule 13d-5(b)(1) under the Exchange Act) between Unicom BVI and Netcom BVI as a result of the Concert Party Agreement as described in Items 3
and 4. The Reporting Person disclaims such beneficial ownership.
Page 5 of 24
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON
CHINA NETCOM GROUP CORPORATION (BVI) LIMITED |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
BRITISH VIRGIN ISLANDS
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
None |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
16,773,353,135(1) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
None |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
7,008,353,115 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
16,773,353,135(1) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
70.4%(1) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON |
|
|
|
CO |
(1) Includes 9,725,000,020 Unicom Shares (as defined in Item 1) held by Unicom BVI, as to which the Reporting Person may be deemed to have acquired beneficial ownership due to the formation of a group (as defined in Rule 13d-5(b)(1) under the Exchange Act) between Unicom BVI and the Reporting Person as a result of the Concert Party Agreement as described in Items 3 and 4.
Page 6 of 24
EXPLANATORY NOTE: The Unicom Reporting Persons (as defined below) have previously filed with the
Securities and Exchange Commission (SEC) a statement of beneficial ownership relating to the
Unicom Shares (as defined below), and an amendment thereto, on Schedule 13G pursuant to Section
13(g) of the Securities Exchange Act of 1934, as amended (the Exchange Act) and Rule 13d-1(d)
thereunder. As of October 15, 2008, the Unicom Reporting Persons may be deemed to have acquired
beneficial ownership of more than 2% of the Unicom Shares (as defined below) during the preceding
twelve months, and, accordingly, are now filing this Schedule 13D. Netcom Group (as defined
below) and Netcom BVI (as defined below) are filing this Schedule 13D due to their acquisition of
beneficial ownership of Unicom Shares upon effectiveness of the Scheme (as defined below).
|
|
|
ITEM 1. |
|
SECURITY AND ISSUER. |
This Schedule 13D relates to the ordinary shares, par value HK$0.10 per share (the Unicom
Shares), of China Unicom (Hong Kong) Limited (formerly known as China Unicom Limited), a
corporation organized under the laws of Hong Kong (China Unicom). The address of China Unicoms
principal executive offices is 75th Floor, The Center, 99 Queens Road Central, Hong
Kong, the Peoples Republic of China (the PRC).
|
|
|
ITEM 2. |
|
IDENTITY AND BACKGROUND. |
(a) - (c) This statement on Schedule 13D is jointly filed by China United Telecommunications
Corporation, a company incorporated in the PRC (Unicom Group); China United Telecommunications
Corporation Limited, a company incorporated in the PRC (the Unicom A Share Company); China Unicom
(BVI) Limited, a company incorporated in the British Virgin Islands (Unicom BVI and, collectively
with Unicom Group and the Unicom A Share Company, the Unicom Reporting Persons); China Network
Communications Group Corporation, a company incorporated in the PRC (Netcom Group) and China
Netcom Group Corporation (BVI) Limited, a company incorporated in the British Virgin Islands
(Netcom BVI) (collectively with the Unicom Reporting Persons, the Companies).
Page 7 of 24
Unicom Group is a telecommunications operator in the PRC. Unicom Group currently holds 61.0%
of the total equity interest in the Unicom A Share Company with the remaining 39.0% of the Unicom A
Share Company mostly owned by public shareholders. On September 24, 2008, Unicom Group announced
that it intends to acquire additional shares of the Unicom A Share Company, representing up to 2%
of the total issued share capital of the Unicom A Share Company, during a period of 12 months from
such date. The Unicom A Share Company in turn holds 82.1% of the total issued capital of Unicom
BVI with the remaining 17.9% of Unicom BVI being held directly by Unicom Group. Unicom BVI holds
40.9% of the outstanding Unicom Shares. The Unicom A Share Company and Unicom BVI are holding
companies whose subsidiaries are telecommunications operators in the PRC. The address of Unicom
Groups principal place of business is No. 133A, Xidan North Street, Xicheng District, Beijing
100032, the PRC. The address of the Unicom A Share Companys principal place of business is
29th Floor, Lian Tong Tower, 1033 Chang Ning Road, Shanghai 200050, the PRC. The
address of Unicom BVIs principal place of business is 75th Floor, the Center, 99
Queens Road Central, Hong Kong, the PRC.
Netcom Group is a telecommunications operator in the PRC. Netcom Group currently holds 100%
of the total issued capital of Netcom BVI. Netcom BVI currently holds 29.5% of the outstanding
Unicom Shares. Netcom BVI is a holding company whose subsidiaries are telecommunications
operators. The address of both Netcom Group and Netcom BVIs principal place of business is 21
Financial Street, Xicheng District, Beijing, the PRC.
The name, residence or business address, present principal occupation or employment of each of
the executive officers and directors of the Companies, and the name, principal business and address
of any corporation or other organization in which such employment is conducted, are set forth on
Schedule I hereto.
(d) - (e) During the last five years, none of the Companies nor, to the best knowledge of each
of the Companies, any of its respective executive officers and directors named on Schedule I has
(i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors)
or (ii) been a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
(f) The citizenship of each of the directors and executive officers of the Companies is set
forth in Schedule I.
Page 8 of 24
|
|
|
ITEM 3. |
|
SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. |
On October 15, 2008 (the Effective Date), a merger between China Unicom and China Netcom
Group Corporation (Hong Kong) Limited (China Netcom) by way of a scheme of arrangement of China
Netcom under Section 166 of the Hong
Kong Companies Ordinance (the Scheme) became effective and, as a result, China Netcom became a
wholly-owned subsidiary of China Unicom. Pursuant to the Scheme, all of the ordinary shares, par
value US$0.04 per share, of China Netcom (the Netcom Shares) outstanding before the Effective
Date were cancelled in exchange for newly issued Unicom Shares. Netcom BVI, which held
4,647,449,015 Netcom Shares before the Effective Date (including one Netcom Share held by CNC Cayman Limited, a wholly-owned subsidiary of Netcom BVI incorporated in the Cayman Islands (CNC Cayman)), received 7,008,353,115 Unicom Shares (including one Unicom Share received by CNC Cayman) in
exchange for the cancellation of its Netcom Shares, and thus owns 29.5% of the total outstanding
Unicom Shares. Unicom BVI has held, before and after the Effective Date, 9,725,000,020 Unicom
Shares, which it had acquired prior to the initial public offering of China Unicom and the
registration of the Unicom Shares under the Exchange Act in June 2000. The Unicom Shares held by
Unicom BVI represented 71.2% of the total outstanding Unicom Shares before the Effective Date and,
as a result of the issuance of new Unicom Shares to former holders of Netcom Shares pursuant to the
Scheme, now represent 40.9% of the total outstanding Unicom Shares.
On September 22, 2008, Unicom BVI and Netcom BVI entered into a concert party agreement (the
Concert Party Agreement) in respect of their respective shareholding interests in China Unicom
pursuant to which, conditional upon the Scheme becoming effective, they agreed to actively
cooperate to consolidate control of China Unicom following the completion of the Scheme. See Item
4 for more details regarding the Concert Party Agreement.
|
|
|
ITEM 4. |
|
PURPOSE OF THE TRANSACTION. |
As described in Item 3, Unicom BVI acquired the 9,725,000,020 Unicom Shares it holds prior to
the initial public offering of China Unicom and the registration of the Unicom Shares under the
Exchange Act in June 2000, and Netcom BVI acquired on the Effective Date 7,008,353,115 Unicom
Shares (including one Unicom Share acquired by CNC Cayman) in exchange for the cancellation of its Netcom Shares pursuant to the Scheme.
Page 9 of 24
Unicom BVI and Netcom BVI entered into the Concert Party Agreement with a view to actively
cooperating to consolidate control of China Unicom. In particular, pursuant to the Concert Party
Agreement, conditional upon the Scheme becoming effective, Unicom BVI and Netcom BVI agreed that,
with effect from the Effective Date: (i) Unicom BVI and Netcom BVI will be parties acting in
concert in respect of their voting rights in China Unicom and will actively cooperate to
consolidate control of China Unicom; (ii) Unicom BVI and Netcom BVI will cooperate on all matters
that require the approval of the shareholders of China Unicom, subject to the approval of the
relevant partys board of directors and/or shareholders if required; and (iii) neither Unicom BVI
nor Netcom BVI will sell any Unicom Shares if, as a result of such sale, the aggregate
shareholdings of Unicom BVI and Netcom BVI in China Unicom will fall below 50% of the then issued
share capital of Unicom, without first notifying and consulting with the other party.
Following the completion of the Scheme, Mr. Li Gang and Mr. Zhang Junan have resigned as
Executive Directors of China Unicom, Mr. Lu Jianguo and Mr. Lee Suk Hwan have resigned as
Non-Executive Directors of China Unicom and Mr. Shan Weijian has resigned as Independent
Non-Executive Director of China Unicom, each with effect from October 15, 2008. With effect from
such date, Mr. Lu Yimin, who previously held a senior management position with Netcom Group, and
Mr. Zuo Xunsheng, who previously served as chief executive officer and chairman of China Netcom,
have been appointed as Executive Directors of China Unicom, Mr. Cesareo Alierta Izuel and Mr. Kim
Shin Bae have been appointed as Non-Executive Directors of China Unicom, and Mr. John Lawson
Thornton and Mr. Timpson Chung Shui Ming have been appointed as Independent Non-Executive Directors
of China Unicom and members of the Companys audit committee and remuneration committee, each with
effect from October 15, 2008. In addition to these changes in the composition of the board of
directors and management of China Unicom, in order to realize synergies of the combined businesses
following the completion of the Scheme, the Companies intend to further integrate the management
teams of China Unicom and China Netcom, which may include making possible further changes to the
size and composition of the management team of China Unicom, as the Companies may deem appropriate.
The Companies intend to review their shareholding interests in China Unicom on a continuing
basis and, subject to the Concert Party Agreement and applicable laws, reserve the right to take
such actions in the future in connection with their shareholding interests in China Unicom as they
deem appropriate, including changing their intentions with respect to any or all matters referred
to in this Schedule 13D.
Except as set forth in this Schedule 13D, none of the Companies nor, to the best knowledge of
each of the Companies, any of its respective executive officers or directors named on Schedule I has any
present plans or proposals that relate to or would result in the occurrence of any of the events
specified in clauses (a) through (j) of the instruction to Item 4 of Schedule 13D.
Page 10 of 24
|
|
|
ITEM 5. |
|
INTEREST IN SECURITIES OF THE ISSUER. |
(a) Unicom BVI is the registered and beneficial owner of 9,725,000,020 Unicom Shares,
representing 40.9% of the total outstanding Unicom Shares. In addition, due to the Concert Party
Agreement and the acquisition by Netcom BVI of beneficial ownership of Unicom Shares upon the
occurrence of the Effective Date, Unicom BVI and Netcom BVI constitute a group within the meaning
of Section 13(d)(3) of the Exchange Act and Rule 13d-5(b) thereunder, and, accordingly, Unicom BVI
is deemed to have acquired on the Effective Date beneficial ownership of the 7,008,353,115 Unicom
Shares held by Netcom BVI (including the one Unicom Share held by CNC Cayman). Thus, Unicom BVI is deemed to beneficially own in the aggregate
16,773,353,135 Unicom Shares, representing 70.4% of the total outstanding Unicom Shares.
Unicom Group and the Unicom A Share Company, by virtue of their ownership interest in China
Unicom, each beneficially own the 9,725,000,020 Unicom Shares held by Unicom BVI, representing
40.9% of the total outstanding Unicom Shares, and may also be deemed to have acquired on the
Effective Date beneficial ownership of the 7,008,353,115 Unicom Shares that are held by Netcom BVI
and that are deemed to be beneficially owned by Unicom BVI as a result of the formation of the
above described group between Unicom BVI and Netcom BVI. Thus, Unicom Group and the Unicom A
Share Company may be deemed to each beneficially own in the aggregate 16,773,353,135 Unicom Shares,
representing 70.4% of the total outstanding Unicom Shares. Each of Unicom Group and the
Unicom A Share Company disclaims that it has agreed to act together with any of the parties to the
Concert Party Agreement as a group within the meaning of Section 13(d)(3) of the Exchange Act and
Rule 13d-5(b) thereunder, and disclaims beneficial ownership of the 7,008,353,115 Unicom Shares
held by Netcom BVI.
Netcom BVI and CNC Cayman are the registered and beneficial owner of 7,008,353,114 Unicom Shares and one Unicom Share, respectively, together representing
29.5% of the total outstanding Unicom Shares, which they received upon the Effective Date in exchange
for the cancellation of its Netcom Shares pursuant to the Scheme. In addition, due to the
formation of the above described group with Unicom BVI, Netcom BVI is deemed to have acquired on
the Effective Date beneficial ownership of the 9,725,000,020 Unicom Shares held by Unicom BVI.
Thus, Netcom BVI is deemed to beneficially own in the aggregate 16,773,353,135 Unicom Shares,
representing 70.4% of the total outstanding Unicom Shares.
Page 11 of 24
Netcom Group, by virtue of its ownership interest in Netcom BVI, beneficially owns the
7,008,353,115 Unicom Shares held by Netcom BVI, representing 29.5% of
the total outstanding Unicom Shares, and may also be deemed to have acquired on the Effective Date beneficial ownership of the
9,725,000,020 Unicom Shares that are held by Unicom BVI and that are deemed to be beneficially
owned by Netcom BVI as a result of the formation of the above described group between Unicom BVI
and Netcom BVI. Thus, Netcom Group may be deemed to beneficially own in the aggregate
16,773,353,135 Unicom Shares, representing 70.4% of the total outstanding Unicom Shares. Netcom Group disclaims that it has agreed to act together as a group with any of the parties to the
Concert Party Agreement and disclaims beneficial ownership of 9,725,000,020 Unicom Shares held by
Unicom BVI.
The aggregate numbers and percentages of Unicom Shares beneficially owned by each of the
executive officers and directors of each of the Companies are set forth in Schedule II.
(b) Each of Unicom BVI and Netcom BVI may be deemed to have the shared power to vote or to
direct the voting of the 16,773,353,135 Unicom Shares that are deemed to be beneficially owned by
each of them and that may be deemed to be beneficially owned by each of Unicom Group, the Unicom A
Share Company and Netcom Group.
Unicom Group and the Unicom A Share Company, by virtue of their ownership of Unicom BVI, may
be deemed to have the shared power to direct the voting of the 16,773,353,135 Unicom Shares deemed
to be beneficially owned by Unicom BVI and to direct the disposition of the 9,725,000,020 Unicom
Shares registered in the name of Unicom BVI. Similarly, Netcom Group, by virtue of its ownership
of Netcom BVI, may be deemed to have the shared power to direct the voting of the 16,773,353,135
Unicom Shares deemed to be beneficially owned by Netcom BVI and to direct the disposition of the
7,008,353,114 Unicom Shares registered in the name of Netcom BVI and the one Unicom Share registered in the name of CNC Cayman.
Unless otherwise indicated, each executive officer or director of each of the Companies listed
in Schedule II has the sole power to vote or dispose or to direct the vote or disposition of the
Unicom Shares that he or she beneficially owns or shares such powers with his or her spouse.
(c) Except as set forth in this Schedule 13D and Schedule II, neither any of the Companies
nor, to the best knowledge of each of the Companies, any of its respective executive officers and directors
listed on Schedule I, beneficially owns or has effected any transactions in the Unicom Shares
during the past 60 days.
Page 12 of 24
(d) Except as set forth in this Schedule 13D and Schedule II, neither any of the Companies
nor, to the best knowledge of each of the Companies, any of its
respective executive officers and directors listed on Schedule I, has the right to receive or the power
to direct the receipt of dividends from, or the proceeds of sale, of the Unicom Shares.
(e) Not applicable.
|
|
|
ITEM 6. |
|
CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE
ISSUER. |
The information set forth in Items 3 and 4 is incorporated herein by reference. A copy of the
Concert Party Agreement is included as Exhibit A and the description of Concert Party Agreement
contained herein is qualified in its entirety by reference to Exhibit A, which is incorporated
herein by reference.
Furthermore, the articles of association of the Unicom A Share Company and Unicom BVI
implement a mechanism whereby Unicom BVI is required to vote its Unicom Shares proportionately in
accordance with instructions from its shareholders, Unicom Group and the Unicom A Share Company.
For purpose of the discussion below, the portions of the Unicom Shares owned by Unicom BVI
corresponding to the proportionate interests of Unicom Group and the Unicom A Share Company are
referred to as Unicom Groups Attributable Shares and Unicom A Share Companys Attributable
Shares, respectively. Under this mechanism, before Unicom BVI is to vote on proposals at a
shareholders meeting of China Unicom, the Unicom A Share Company must first convene its own
shareholders meeting on the same proposals. The Unicom A Share Company is then required, and has
the right, to direct Unicom BVI to vote the Unicom A Share Companys Attributable Shares in the
same proportions of approval, objection and abstention as resulted from the voting at the
shareholders meeting of the Unicom A Share Company on such proposal. Unicom Group can similarly
direct Unicom BVIs voting of Unicom Groups Attributable Shares. This voting mechanism is
designed to allow public shareholders of the Unicom A Share Company to indirectly participate in
the shareholder voting of China Unicom. It would not apply to the approval process for any
connected transaction between China Unicom or its subsidiaries and Unicom Group or its subsidiaries
on which Unicom BVI is not permitted to vote under the Listing Rules of the Stock Exchange of Hong
Kong Limited. Such connected transactions may require separate approvals by the public
shareholders of both China Unicom and the Unicom A Share Company. The articles of association of
the Unicom A Share Company include provisions requiring the Unicom A Share Company to maintain
effective control of China Unicom and otherwise limiting the business scope and activities of the
Unicom A Share Company. These provisions require the consent of shareholders holding four-fifths
of the shares represented at a shareholders meeting of the Unicom A Share Company for amendment.
Page 13 of 24
Under a comprehensive services agreement, dated August 12, 2008 (the Comprehensive Services
Agreement), which replaced a comprehensive services agreement, dated October 26, 2006, between
Unicom Group and the Unicom A Share Company, Unicom Group agreed not to approve, perform or agree
to the occurrence or implementation of any acts in respect of the shareholdings it beneficially
owns in the
listed group that may lead to the possible loss of control of Unicom Group over its
operating subsidiary(ies). Unicom Group believes that due to the level of its beneficial ownership
interest in China Unicom and the Concert Party Agreement, it continues to control its operating
subsidiary(ies) within the meaning of the Comprehensive Services Agreement.
Except as described above and on Schedule II, neither any of the Companies nor, to the best
knowledge of each of the Companies, any of its respective executive officers and directors listed on Schedule
I, has any contract, arrangement, understanding or relationship (legal or otherwise) with any
person with respect to any securities of China Unicom, including but not limited to transfer or
voting of any such securities, finders fees, joint ventures, loan or option arrangements, puts or
calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies.
|
|
|
ITEM 7. |
|
MATERIAL TO BE FILED AS EXHIBITS. |
Exhibit A:
Concert Party Agreement, dated September 22, 2008, between Unicom BVI and Netcom BVI.
Exhibit B:
Joint Filing Agreement, dated October 27, 2008, among Unicom Group, Unicom A Share Company, Unicom
BVI, Netcom Group and Netcom BVI.
Page 14 of 24
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
China United Telecommunications Corporation
|
|
China United Telecommunications
Corporation Limited
|
|
By: |
/s/ Chang Xiaobing |
|
By: |
/s/ Chang Xiaobing |
|
|
Name: |
Chang Xiaobing |
|
|
Name: |
Chang Xiaobing |
|
|
Title: |
Chairman |
|
|
Title: |
Chairman |
|
|
Date: |
October 27, 2008 |
|
|
Date: |
October 27, 2008 |
|
|
China Unicom (BVI) Limited |
|
|
|
|
|
By: |
/s/ Chang Xiaobing |
|
|
|
|
|
|
Name: |
Chang Xiaobing |
|
|
|
|
|
|
Title: |
Director |
|
|
|
|
|
|
Date: |
October 27, 2008 |
|
|
|
|
|
|
China Network
Communications Group Corporation |
|
China Netcom Group Corporation (BVI) Limited
|
|
By: |
/s/ Zuo Xunsheng |
|
By: |
/s/ Zuo Xunsheng |
|
|
Name: |
Zuo Xunsheng |
|
|
Name: |
Zuo Xunsheng |
|
|
Title: |
Deputy General Manager |
|
|
Title: |
Director |
|
|
Date: |
October 26, 2008 |
|
|
Date: |
October 26, 2008 |
|
Page 15 of 24
Schedule I
Executive Officers and Directors of the Companies
The following is a list of all executive officers and directors of each of the Companies and
certain other information with respect to each executive officer and director. Unless otherwise
indicated, each of Unicom Groups executive officers and directors business address is No. 133A,
Xidan North Street, Xicheng District, Beijing 100032, the PRC; each of Unicom A Share Companys
executive officers or directors business address is 29th Floor, Lian Tong Tower, 1033
Chang Ning Road, Shanghai 200050, the PRC; each of Unicom BVIs executive officers or directors
business address is 75th Floor, the Center, 99 Queens Road Central, Hong Kong, the PRC;
each of Netcom Group and Netcom BVIs executive officers or directors business address is 21
Financial Street, Xicheng District, Beijing, the PRC.
Executive Officers and Directors of Unicom Group
|
|
|
|
|
|
|
Name |
|
Principal Occupation or Employment at the Companies |
|
Name and Address of Corporation or Employment/ Organization in Which Employed |
|
Citizenship |
Chang Xiaobing
|
|
Chairman
|
|
|
|
PRC |
Tong Jilu
|
|
Director and Vice
President
|
|
|
|
PRC |
Li Gang
|
|
Director and Vice
President
|
|
|
|
PRC |
Zhang Junan
|
|
Director and Vice
President
|
|
|
|
PRC |
Jiang Peihua
|
|
Director
|
|
General Manger China United
Telecommunications
Corporation Beijing Branch
No. 9-1, Road Yangfangdian,
Haidian District, Beijing
100036, the PRC
|
|
PRC |
Dong Qunke
|
|
Director
|
|
Director China Resources
Investment & Asset Management
Co., Ltd.
44th Floor, China Resources
Building, 26 Harbour Road,
Wanchai, Hong Kong
|
|
PRC |
Li Xiong
|
|
Director
|
|
General Manager CITIC Guoan
Communications Company Ltd.
4th Floor, Guoan Building,
No. 1, Guandongdian North
Street, Chaoyang District,
Beijing 100020, the PRC
|
|
PRC |
Zhang Dongchen
|
|
Director
|
|
Chairman China
Communications System Co.,
Ltd.
9#Building, Area 2, No.188,
Nansihuan West Rd., Fengtai
Dist., Beijing 100070, the
PRC
|
|
PRC |
Executive Officers and Directors of Unicom A Share Company
|
|
|
|
|
|
|
Name |
|
Principal Occupation or Employment at the Companies |
|
Name and Address of Corporation or Employment/ Organization in Which Employed |
|
Citizenship |
Chang Xiaobing
|
|
Chairman
|
|
|
|
PRC |
Tong Jilu
|
|
Director
|
|
|
|
PRC |
Lu Jianguo
|
|
Director
|
|
|
|
PRC |
Liu Yunjie
|
|
Director
|
|
|
|
PRC |
Zhang Jian
|
|
Director and Vice
President
|
|
|
|
PRC |
Gao Shangquan
|
|
Independent Director
|
|
President China Society of Economic Reform
4, Zhaojunmiao, Haidian District, Beijing
100081, the PRC
|
|
PRC |
Chen Xiaoyue
|
|
Independent Director
|
|
Professor Tsinghua University School of
Economics and Management
Tsinghua University, Haidian District,
Beijing 100084, the PRC
|
|
PRC |
Chen Junliang
|
|
Independent Director
|
|
Professor Beijing University of Post and
Telecommunications
Post 206, Beijing University of Post and
Telecommunications, Beijing 100088, the PRC
|
|
PRC |
Wang Chenguang
|
|
Independent Director
|
|
Dean Tsinghua University Law School
Tsinghua University, Haidian District,
Beijing 100084, the PRC
|
|
PRC |
Zhao Chuanli
|
|
Supervisor
|
|
|
|
PRC |
Tang Fuxin
|
|
Supervisor
|
|
|
|
PRC |
Lao Jianhua
|
|
Board Secretary
|
|
|
|
PRC |
Executive Officers and Directors of Unicom BVI
|
|
|
|
|
|
|
Name |
|
Principal Occupation or Employment at the Companies |
|
Name and Address of Corporation or Employment/ Organization in Which Employed |
|
Citizenship |
Chang Xiaobing
|
|
Director
|
|
|
|
PRC |
Li Qiuhong
|
|
Director
|
|
|
|
PRC |
Executive Officers and Directors of Netcom Group
|
|
|
|
|
|
|
Name |
|
Principal Occupation or Employment at the Companies |
|
Name and Address of Corporation or Employment/ Organization in Which Employed |
|
Citizenship |
Lu Yimin
|
|
Party Committee Vice
Secretary
|
|
|
|
PRC |
Zuo Xunsheng
|
|
Deputy General Manager
|
|
|
|
PRC |
Li Jianguo
|
|
Head of Discipline
Inspection Team
|
|
|
|
PRC |
Pei Aihua
|
|
Deputy General Manager
|
|
|
|
PRC |
Li Fushen
|
|
Chief Accountant
|
|
|
|
PRC |
Zhao Jidong
|
|
Deputy General Manager
|
|
|
|
PRC |
Jiang Zhengxin
|
|
Deputy General Manager
|
|
|
|
PRC |
Executive Officers and Directors of Netcom BVI
|
|
|
|
|
|
|
Name |
|
Principal Occupation or Employment at the Companies |
|
Name and Address of Corporation or Employment/ Organization in Which Employed |
|
Citizenship |
Zuo Xunsheng
|
|
Director
|
|
|
|
PRC |
Li Fushen
|
|
Director
|
|
|
|
PRC |
Schedule II
Beneficial Ownership of Executive Officers and Directors
The percentages of Unicom Shares outstanding provided in the tables below are based on
23,767,341,322 Unicom Shares outstanding as of October 15, 2008; provided that Unicom Shares
issuable upon exercise of options that are exercisable within 60 days of October 15, 2008 are
considered outstanding for the purpose of calculating the percentage of outstanding Unicom Shares
held by such individual, but not for the purpose of calculating the percentage of outstanding
Unicom Shares held by any other individual.
Beneficial Ownership of Unicom Shares of Executive Officers and Directors of Unicom Group
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2),(3) |
|
Date |
|
Price |
Chang Xiaobing |
|
|
928,000 |
|
|
|
0.0039 |
% |
|
|
526,000 |
|
|
|
December 20, 2010 |
|
|
|
HK$6.20 |
|
|
|
|
|
|
|
|
|
|
|
|
800,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,326,000 |
|
|
|
|
|
|
|
|
|
|
Tong Jilu |
|
|
686,000 |
(4) |
|
|
0.0029 |
% |
|
|
292,000 |
|
|
|
June 22, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
92,000 |
|
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
500,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
32,000 |
(5) |
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
40,000 |
(5) |
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
956,000 |
|
|
|
|
|
|
|
|
|
|
Li Gang |
|
|
250,000 |
|
|
|
0.0011 |
% |
|
|
500,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
Zhang Junan |
|
|
250,000 |
|
|
|
0.0011 |
% |
|
|
500,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
Jiang Peihua |
|
|
53,600 |
|
|
|
0.0002 |
% |
|
|
1,600 |
|
|
|
June 21, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
206,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
207,600 |
|
|
|
|
|
|
|
|
|
|
Dong Qunke |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Li Xiong |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Zhang Dongchen |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
(1) |
|
None of the executive officers and directors of Unicom Group owns any Unicom Shares.
The total number of Unicom Shares beneficially owned by such executive officers and directors
reflects Unicom Shares issuable upon exercise of options that are exercisable as of October
15, 2008 and will become exercisable within 60 days following October 15, 2008. |
|
|
|
(2) |
|
Each option gives the holder the right to purchase one Unicom Share. |
|
(3) |
|
Comprised of all Unicom Shares underlying options, including Unicom Shares issuable
upon exercise of options that are exercisable as of October 15, 2008 and will become
exercisable within 60 days following October 15, 2008 and which have also been reflected in the
column Aggregate Number of Unicom Shares. |
|
(4) |
|
Includes 52,000 Unicom Shares beneficially owned by his spouse, with whom he shares
the power to vote or dispose or to direct the vote or to direct the disposition. |
|
(5) |
|
Options of China Unicom beneficially owned by his spouse. |
Beneficial Ownership of Unicom Shares of Executive Officers and Directors of Unicom A Share Company
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2),(3) |
|
Date |
|
Price |
Chang Xiaobing |
|
|
928,000 |
|
|
|
0.0039 |
% |
|
|
526,000 |
|
|
|
December 20, 2010 |
|
|
|
HK$6.20 |
|
|
|
|
|
|
|
|
|
|
|
|
800,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,326,000 |
|
|
|
|
|
|
|
|
|
|
Tong Jilu |
|
|
686,000 |
(4) |
|
|
0.0029 |
% |
|
|
292,000 |
|
|
|
June 22, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
92,000 |
|
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
500,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
32,000 |
(5) |
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
40,000 |
(5) |
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
956,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2),(3) |
|
Date |
|
Price |
Lu Jianguo |
|
|
834,600 |
|
|
|
0.0035 |
% |
|
|
292,600 |
|
|
|
June 21, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
292,000 |
|
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
500,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,084,600 |
|
|
|
|
|
|
|
|
|
|
Liu Yunjie |
|
|
148,600 |
|
|
|
0.0006 |
% |
|
|
148,600 |
|
|
|
June 21, 2010 |
|
|
|
HK$15.42 |
|
|
Zhang Jian |
|
|
64,000 |
|
|
|
0.0003 |
% |
|
|
218,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
Gao Shangquan |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Chen Xiaoyue |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Chen Junliang |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Wang Chenguang |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
Zhao Chuanli |
|
|
94,400 |
|
|
|
0.0004 |
% |
|
|
24,400 |
|
|
|
June 21, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
210,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
234,400 |
|
|
|
|
|
|
|
|
|
|
Tang Fuxin |
|
|
38,000 |
|
|
|
0.0002 |
% |
|
|
178,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
Lao Jianhua |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
|
|
|
(1) |
|
None of the executive officers and directors of the Unicom A Share Company owns any
Unicom Shares. The total number of Unicom Shares beneficially owned by such executive officers
and directors reflects Unicom Shares issuable upon exercise of options that are exercisable as
of October 15, 2008 and will become exercisable within 60 days following October 15, 2008. |
|
(2) |
|
Each option gives the holder the right to purchase one Unicom Share. |
|
(3) |
|
Comprised of all Unicom Shares underlying options, including Unicom Shares issuable
upon exercise of options that are exercisable as of October 15, 2008 and will become
exercisable within 60 days following October 15, 2008 and which have also been reflected in
the column Aggregate Number of Unicom Shares. |
|
(4) |
|
Includes 52,000 Unicom Shares beneficially owned by his spouse, with whom he shares
the power to vote or dispose or to direct the vote or to direct the disposition. |
|
(5) |
|
Options of China Unicom beneficially owned by his spouse. |
Beneficial Ownership of Unicom Shares of Executive Officers and Directors of Unicom BVI
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2),(3) |
|
Date |
|
Price |
Chang Xiaobing |
|
|
928,000 |
|
|
|
0.0039 |
% |
|
|
526,000 |
|
|
|
December 20, 2010 |
|
|
|
HK$6.20 |
|
|
|
|
|
|
|
|
|
|
|
|
800,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,326,000 |
|
|
|
|
|
|
|
|
|
|
Li Qiuhong |
|
|
548,400 |
|
|
|
0.0023 |
% |
|
|
204,400 |
|
|
|
June 21, 2010 |
|
|
|
HK$15.42 |
|
|
|
|
|
|
|
|
|
|
|
|
204,000 |
|
|
|
July 19, 2010 |
|
|
|
HK$5.92 |
|
|
|
|
|
|
|
|
|
|
|
|
280,000 |
|
|
|
February 14, 2012 |
|
|
|
HK$6.35 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
688,400 |
|
|
|
|
|
|
|
|
|
|
|
|
|
(1) |
|
None of the executive officers and directors of Unicom BVI owns any Unicom Shares.
The total number of Unicom Shares beneficially owned by such executive officers and directors
reflects Unicom Shares issuable upon exercise of options that are exercisable as of October
15, 2008 and will become exercisable within 60 days following October 15, 2008. |
|
(2) |
|
Each option gives the holder the right to purchase one Unicom Share. |
|
(3) |
|
Comprised of all Unicom Shares underlying options, including Unicom Shares issuable
upon exercise of options that are exercisable as of October 15, 2008 and will become
exercisable within 60 days following October 15, 2008 and which have also been reflected in
the column Aggregate Number of Unicom Shares. |
Beneficial Ownership of Unicom Shares of Executive Officers and Directors of Netcom Group
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2), (3) |
|
Date |
|
Price |
Lu Yimin |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
Zuo Xunsheng |
|
|
0 |
|
|
|
0 |
|
|
|
686,894 |
|
|
November 16, 2010 |
|
HK$5.57 |
Li Jianguo |
|
|
602,000 |
|
|
|
0.0025 |
% |
|
|
0 |
|
|
|
|
|
|
|
|
|
Pei Aihua |
|
|
0 |
|
|
|
0 |
|
|
|
482,560 |
|
|
November 16, 2010 |
|
HK$5.57 |
Li Fushen |
|
|
0 |
|
|
|
0 |
|
|
|
723,840 |
|
|
November 16, 2010 |
|
HK$5.57 |
Zhao Jidong |
|
|
0 |
|
|
|
0 |
|
|
|
723,840 |
|
|
November 16, 2010 |
|
HK$5.57 |
Jiang Zhengxin |
|
|
0 |
|
|
|
0 |
|
|
|
0 |
|
|
|
|
|
|
|
|
|
|
|
|
(1) |
|
Except for Mr. Li Jianguo, none of the executive officers and directors of Netcom
Group owns any Unicom Shares. |
|
(2) |
|
Each option gives the holder the right to purchase one Unicom Share. |
|
(3) |
|
Comprised of all Unicom Shares underlying options. None of the options is exercisable as of October 15, 2008 or will become
exercisable within 60 days following October 15, 2008. |
Beneficial Ownership of Unicom Shares of Executive Officers and Directors of Netcom BVI
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Number |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
of Unicom |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares |
|
|
|
|
|
|
Unicom Shares Beneficially Owned |
|
Covered by |
|
|
|
|
|
|
Aggregate |
|
|
|
|
|
Options in |
|
|
|
Option |
|
|
Number of |
|
|
|
|
|
Unicom |
|
Option Expiration |
|
Exercise |
Name |
|
Unicom Shares(1) |
|
Percentage |
|
Shares(2), (3) |
|
Date |
|
Price |
Zuo Xunsheng |
|
|
0 |
|
|
|
0 |
|
|
|
686,894 |
|
|
November 16, 2010 |
|
HK$5.57 |
Li Fushen |
|
|
0 |
|
|
|
0 |
|
|
|
723,840 |
|
|
November 16, 2010 |
|
HK$5.57 |
|
|
|
(1) |
|
None of the executive officers and directors of Netcom BVI owns any Unicom Shares. |
|
(2) |
|
Each option gives the holder the right to purchase one Unicom Share. |
|
(3) |
|
Comprised of all Unicom Shares underlying options. None of the options is exercisable as of October 15, 2008 or will become
exercisable within 60 days following October 15, 2008. |