1. Confirm Securities Balance and Escrow Securities

Applied to customers who deposit securities at FPTS and need to register securities selling during a public offering

a. FPTS is not a public offering agent

If you want to sell your securities in a public offer, you must firstly take the Registration Application for Securities Selling at the Offering Agent and you then contact the FPTS Custody and Shareholding Management Counter for detailed instructions and procedures for determining securities balance and escrowing securities.

Documents include:

• Individual customers: Citizen identification card/Passport (valid original);
• Institutional customers: Business registration certificate (notarized copy) and Letter of appointment;
• Securities Selling Registration Form (provided by Offering Agent).

b. FPTS is a public offering agent

If you need to sell securities during a public offering where FPTS is an Offering Agent, please contact FPTS's Custody and Shareholding Management Department for instructions on registration procedures.

Documents include:

• Individual customers: Citizen identification card/Passport (valid original);
• Institutional customers: Business registration certificate (notarized copy) and Letter of appointment.

2. Releasing escrowed securities after cancelling sale registration

To cancel sale registration, customers must contact the Offering Agent to get the Sale Registration Cancellation Form with an official seal stamped by the Offering Agent. Based on customer’ request and the Sale Registration Cancellation Form, FPTS will perform unblock securities held in an escrow.

- Documents include

• Identity Card/Citizenship Card/Passport (valid original): Applicable to individual customer
• Business Registration Certificate (notarized copy) and Letter of Recommendation: Applicable to institutional customer

• Sale Registration Cancellation Form (verified by the Offering Agent).

3. Payment settlement for securities sold, payment of fees and taxes

The time for settling payment for securities sold and transferring securities ownership rights is ten days dating from the date of closing the bid offer. Proceeds will be transferred into the account of customers opened at FPTS.

FPTS shall withhold money from the customer’s account to pay for transaction fees and income tax according to the law before settling the final payment for customers. For fee payment, please refer to the FPTS Service Tariff for Underlying Securities.