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 November 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/ Alston Peiqing Zhu
Name:   Alston Peiqing Zhu
Title:   Chief Financial Officer

 

Date: November 6, 2024

   

Exhibit 99.1

FF301

 

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:    31 October 2024    Status:    New Submission
  

 

      

 

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

 

Date Submitted:    06 November 2024      
  

 

      

I. Movements in Authorised / Registered Share Capital

 

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

  

Stock code (if listed)   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 10

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II. Movements in Issued Shares and/or Treasury Shares

 

1. Class of shares   Ordinary shares   Type of shares   Not applicable   Listed on the Exchange (Note 1)   Yes          
Stock code (if listed)    06623   Description        
   

Number of issued shares

(excluding treasury shares)

   Number of treasury shares        Total number of issued shares     
Balance at close of preceding month   1,733,321,278              1,733,321,278     
Increase / decrease (-)   30,992                 
Balance at close of the month   1,733,352,270        0     1,733,352,270   

 

Remarks:

 

The number of issued shares of Lufax Holding Ltd (the “Company”) excludes (i) the shares underlying the ADSs repurchased by the Company pursuant to the share repurchase programs and (ii) 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, which in aggregate amounted to 56,330,374 as of October 31, 2024. The Company has obtained a waiver from the Stock Exchange from strict compliance with the requirements in relation to the retention of the abovementioned shares during its Hong Kong listing process. For further details, please refer to the section headed “Waivers” in the Company’s listing document dated April 11, 2023.

 

Page 2 of 10

FF301

 

III. Details of Movements in Issued Shares and/or Treasury Shares 

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

 

1. Class of shares    Ordinary shares    Type of shares    Not applicable    Listed on the Exchange (Note 1)    Yes     
Stock code (if listed)    06623       Description                 
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

   

Number of new shares  issued during the month  pursuant thereto 

(A1) 

   

Number of treasury 

shares transferred out of 

treasury during the 

month pursuant thereto 

(A2) 

   

Number of shares which 

may be issued or 

transferred out of 

treasury pursuant 

thereto as at close of 

the month 

   

The total number of 

shares which may be 

issued or transferred out 

of treasury upon 

exercise of all share 

options to be granted 

under the scheme at 

close of the month 

1).      2014 Share Incentive Plan adopted in December 2014 - award of options (which is amended from time to time)    11,607,082      Exercised - new shares involved     -20,784      11,336,334     

20,784  

         11,336,334     14,128,850 
   Lapsed    -249,964                           
               
                   
General Meeting approval

date (if applicable)               

 

Increase in issued shares (excluding treasury shares):      20,784    Ordinary shares (AA1)            
Decrease in treasury shares:             Ordinary shares (AA2)      
Total funds raised during the month from exercise of options: USD  27,019.2         
        

Remarks: 

 

As of October 31, 2024, (i) 14,128,850 shares of the Company (equivalent to 7,064,425 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) 26,332,267 shares of the Company (equivalent to 13,166,133 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).

 

Page 3 of 10

FF301

 

(B). Warrants to Issue Shares of the Issuer  Not applicable

 

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FF301

 

(C). Convertibles (i.e. Convertible into Shares of the Issuer)

 

1. Class of shares    Ordinary shares    Type of shares    Not applicable   Listed on the Exchange (Note 1)    Yes         
Stock code (if listed)    06623   Description              
Description of the Convertibles    Currency   

Amount at close of 

preceding month

    Movement during  the month    Amount at close  of the month  

Number of new shares

issued during the month  pursuant thereto (C1)

  

Number of treasury shares transferred out of treasury during the month pursuant thereto (C2)

   Number of shares which may be issued or transferred out of treasury pursuant thereto as at close of the month
1).   Ping An Convertible Promissory Notes       USD   976,900,000            976,900,000            421,077,586 
Type of the Convertibles    

Bond/Notes

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

USD         2.32

              
   
General Meeting approval date (if applicable)      

 

                        
                 

 

Increase in issued shares (excluding treasury shares):

  

 

  

  

 

Ordinary shares (CC1)

  

 

Decrease in treasury shares:

  

 

  

  

 

Ordinary shares (CC2)

  

 

Page 5 of 10

FF301

 

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

 

             
1. Class of shares   Ordinary shares   Type of shares   Not applicable   Listed on the Exchange (Note 1)     Yes         
       
Stock code (if listed)   06623   Description                          
         
Description of other agreements or arrangements  

General Meeting

approval date

(if applicable)

   Number of new shares issued during the month pursuant thereto (D1)   Number of treasury shares transferred out of treasury during the month pursuant thereto (D2)   Number of shares which may be issued or transferred out of treasury 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)       10,208            201,597 
    Increase in issued shares (excluding treasury shares):   10,208    Ordinary shares (DD1)    
           

 

      
    Decrease in treasury shares:       Ordinary shares (DD2)    
           

 

      

 

Page 6 of 10

FF301

 

(E). Other Movements in Issued Shares and/or Treasury Shares Not applicable

 

Total increase/ decrease (-) in issued shares (excluding treasury shares) during the month (i.e. Total of AA1 to EE1):

      30,992   Ordinary shares 
    Total increase/ decrease (-) in treasury shares during the month (i.e. Total of AA2 to EE2):            Ordinary shares 

 

Page 7 of 10

FF301

 

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

 

Page 8 of 10

FF301

 

V. Confirmations

Pursuant to Main Board Rule 13.25C / GEM Rule 17.27C, we hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued, or the treasury shares sold or transferred by the issuer during the month as set out in Parts 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 carried out in compliance with all applicable listing rules, laws and other regulatory requirements and, insofar as applicable:

(Note 4)

 

  (i)

all money due to the listed issuer in respect of the issue of securities, or sale or transfer of treasury shares 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 5);

 

  (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 all 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, sale or transfer;

 

  (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 9 of 10

FF301

 

Notes

 

1.

The Exchange refers to The Stock Exchange of Hong Kong Limited.

 

2.

In the case of repurchase of shares (shares repurchased and cancelled) and redemption of shares (shares redeemed and cancelled), “date of event” should be construed as “cancellation date”.

In the case of repurchase of shares (shares held as treasury shares), “date of event” should be construed as “date on which shares were repurchased and held by the issuer in treasury”.

 

3.

The information is required in the case of repurchase of shares (shares repurchased for cancellation but not yet cancelled) and redemption of shares (shares redeemed but not yet cancelled). Please state the number of shares repurchased or redeemed during the month or in preceding month(s) but pending cancellation as at close of the month as a negative number.

 

4.

Items (i) to (viii) are suggested forms of confirmation. The listed issuer may amend the item(s) that is/are not applicable 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, or the treasury shares sold or transferred, no further confirmation is required to be made in this return.

 

5.

“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.

 

Page 10 of 10

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