Public Information on Securities Trading of Shenzhen Stock Exchange (SESE) Trading Rules (2006)

5.4.1 In case any of the following occurs to trading in stocks or open-end funds that are subject to a daily price limit, the Exchange will disclose the names of the top five stock brokerage departments or seat numbers of the member firms in terms of intra-day purchase and sales value of relevant securities, and their respective traded value:

1. the top three securities whose closingprice deviation reaches 7%;
   the closingprice deviation is calculated as follows:
   closingprice deviation = change in price of a single stock or fund – change in corresponding sector index
2. top three securities whose intra-day price volatility reaches 15 %;
   the price volatility is calculated as follows:
   price volatility = (intra-day highest price – intra-day lowest price) / intra-day lowest price × 100%
3. top three securities whose turnover rate reaches 20%;
   the turnover rate is calculated as follows:
   turnover rate = trading volume / free-float volume × 100%

In case closing price deviation, price volatility or turnover rate are identical, trading value and trading volume are considered in sequence.

A-shares (exclusive of SME Board stocks), SME Board stocks, B-shares and open-end funds are tracked respectively by SSE A-share Index, SSE SME Composite Index, SSE B-share Index and SSE Fund Index.

5.4.2 With respect to the stocks that are subject to no daily price limit as enumerated in Section 3.3.14, the Exchange will disclose the names of the top five stock brokerage departments or seat numbers of the member firms in terms of intra-day purchase value and sale value of such stocks, and their respective traded value.

5.4.3 Any of the following circumstances during auction trading of stocks or open-end funds is deemed as abnormal. Under any of such circumstances, the Exchange will disclose the names of the top five stock brokerage departments or seat number of the member firms in terms of total purchase value and sale value of relevant securities during the abnormal period, and their respective traded value:

1. the accumulated closingprice deviation in three consecutive trading days reaches 20%;
2. the accumulated closing price deviation of ST stocks or *ST stocks in three consecutive trading days reaches 15%;
3. the average daily turnover rate of three consecutive trading days reaches 30 times that of the previous 5 consecutive trading days, and the accumulated turnover rate of the relevant stocks or mutual funds in the same period reaches 20%; or
4. other circumstances deemed as abnormal by the Exchange or the CSRC.

The indicators of unusual movement are recalculated as from the date of trade resumption.

The stocks that are subject to no daily price limit as enumerated in Section 3.3.14 are excluded from calculation of unusual movement.

5.4.4 Where the public information on securities trading involves institutional special seats, it is put under the name of "Institutional Special".