Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]
October 08 2024 - 6:01AM
Edgar (US Regulatory)
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 October 2024
Commission
File Number: 001-34936
Noah Holdings Limited
(Registrant’s name)
No. 1226, South Shenbin Road, Minhang District,
Shanghai, People’s Republic of China
+86 (21) 8035-8292
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual
reports under cover Form 20-F or Form 40-F.
Form 20-F x Form 40-F o
EXPLANATORY NOTE
We
submitted to The Stock Exchange of Hong Kong Limited a monthly return form dated October 8, 2024 in relation to the movements
in our authorized share capital and issued shares in September 2024. For details, please refer to Exhibit 99.1 to this current report
on Form 6-K.
EXHIBIT INDEX
SIGNATURE
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.
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Noah Holdings Limited |
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By: |
/s/ Qing Pan |
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Name: |
Qing Pan |
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Title: |
Chief Financial Officer |
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Date: October 8, 2024 |
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Exhibit 99.1
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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: 30 September 2024 Status: New Submission
To : Hong Kong Exchanges and Clearing Limited
Name of Issuer: Noah Holdings Private Wealth and Asset Management Limited
Date Submitted: 08 October 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) 06686 Description
Number of authorised/registered shares Par value Authorised/registered share capital
Balance at close of preceding month 1,000,000,000 USD 0.00005 USD 50,000
Increase / decrease (-) USD
Balance at close of the month 1,000,000,000 USD 0.00005 USD 50,000
Total authorised/registered share capital at the end of the month: USD 50,000 |
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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) 06686 Description
Number of issued shares
(excluding treasury shares) Number of treasury shares Total number of issued shares
Balance at close of preceding month 330,726,723 0 330,726,723
Increase / decrease (-) 0
Balance at close of the month 330,726,723 0 330,726,723 |
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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) 06686 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). 2017 Share Incentive Plan -
share options
8,750 8,750 87,500 0
General Meeting approval date (if applicable)
2). 2022 Share Incentive Plan -
share options
0 0 0 18,345,305
General Meeting approval date (if applicable) 16 December 2022
Increase in issued shares (excluding treasury shares): Ordinary shares (AA1)
Decrease in treasury shares: Ordinary shares (AA2)
Total funds raised during the month from exercise of options:
Remarks:
(1) No further options will be granted under the 2017 Share Incentive Plan of the Company after December 23, 2022 (being the date on which the Primary Conversion became effective) as it has
been terminated. As no share options are outstanding under the 2010 Share Incentive Plan of the Company, which was also terminated on December 23, 2022, no new shares will be further
issued under such plan.
(2) The scheme mandate limit under the 2022 Share Incentive Plan is 3,000,000 ordinary shares (30,000,000 ordinary shares after share subdivision), which shall be applicable to options (as set
out above) and share appreciation rights and Other Awards (as set out in Section III(D) of this monthly return) of the Company. The information under "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" represents the maximum number of the shares may be issued upon
exercise of all share options to be granted under the 2022 Share Incentive Plan at close of the month. |
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(B). Warrants to Issue Shares of the Issuer Not applicable |
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(C). Convertibles (i.e. Convertible into Shares of the Issuer) Not applicable |
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(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) 06686 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). 2017 Share Incentive Plan - other than share options 0 0 0
2). 2022 Share Incentive Plan - other than share options 16 December 2022 0 0 7,528,580
3). RSU Plan 0 0 22,580,412
Increase in issued shares (excluding treasury shares): 0 Ordinary shares (DD1)
Decrease in treasury shares: 0 Ordinary shares (DD2)
Remarks:
(1) No further awards will be granted under the 2017 Share Incentive Plan of the Company after December 23, 2022 (being the date on which the Primary Conversion became effective) as the
2017 Share Incentive Plan has been terminated. Certain number of shares have been issued before the date on which Primary Conversion became effective. Such issued shares have been and
are expected to be utilized to satisfy the awards granted under the 2017 Share Incentive Plan upon vesting. As a result, no new shares will be issued to satisfy the awards granted under the 2017
Share Incentive Plan.
(2) Under the 2022 Share Incentive Plan, the option, share appreciation rights, restricted share unit award, restricted share award, dividend equivalent award, and share payment award are
collectively referred to as the “Awards”. The Awards other than the option and the share appreciation rights are collectively referred to as the “Other Awards”, the details of which may refer to the
circular of the Company dated November 14, 2022.
(3) The scheme mandate limit under the 2022 Share Incentive Plan is 3,000,000 ordinary shares (30,000,000 ordinary shares after share subdivision), which shall be applicable to options (as set
out in Section III(A) of this monthly return), share appreciation rights and Other Awards of the Company.
(4) RSU Plan refers to the restricted shares units that the Company has issued to certain clients who accepted settlement plans relating to Camsing Incident, the details of which may refer to the
Prospectus of the Company dated June 30, 2022. |
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(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): 0 Ordinary shares
Total increase/ decrease (-) in treasury shares during the month (i.e. Total of AA2 to EE2): 0 Ordinary shares |
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IV. Information about Hong Kong Depositary Receipt (HDR) Not applicable |
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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: Jingbo Wang
Title: Director
(Director, Secretary or other Duly Authorised Officer) |
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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. |
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