2012 Annual Report - ZTE

ZTE CORPORATIONChanges in Shareholdings and Information of Shareholders5. Interests of substantial shareholders of the Company in shares and underlying sharesAs at 31 December 2012, the following shareholders held interests or short positions in 5% or more in anyclass of the issued share capital of the Company, as shown in the share register maintained by the Company inaccordance with Section 336 of the SFO:Name Capacity Number of shareholdingApproximateshareholding as apercentage (%) of:Total sharecapitalRelevantclass ofsharesZhongxingxin Beneficial owner 1,058,191,944 A shares (L) 30.76(L) 37.65(L)Zhongxing WXT Interest of controlled corporation 1,058,191,944 A shares (L) 30.76(L) 37.65(L)Xi’an Microelectronics Interest of controlled corporation 1,058,191,944 A shares (L) 30.76(L) 37.65(L)China Aerospace ElectronicsTechnology Research InstituteInterest of controlled corporation 1,058,191,944 A shares (L) 30.76(L) 37.65(L)CASC Interest of controlled corporation 1,058,191,944 A shares (L) 30.76(L) 37.65(L)Wellington Management Company, LLP Investment manager 52,971,105 H shares (L) 1.54(L) 8.41(L)The Capital Group Companies, Inc. Interest of controlled corporation 52,924,400 H shares (L) 1.54(L) 8.41(L)Deutsche Bank AktiengesellschaftJPMorgan Chase & Co.Beneficial owner, investment managerand person holding interest ofguarantee on sharesBeneficial owner and person holdinginterest of guarantee on sharesBeneficial owner, investment managerand approved lending agent52,821,356 H shares (L) 1.54(L) 8.38(L)44,238,772 H shares (S) 1.29(S) 7.02(S)51,548,770 H shares (L) 1.50(L) 8.19(L)Beneficial owner 12,341,208 H shares (S) 0.36(S) 1.96(S)Approved lending agent 38,256,948 H shares (P) 1.11(P) 6.08(P)Aranda Investments (Mauritius) Pte Ltd Interest of controlled corporation 11,141,800 H shares (L) 1.16(L) Note 6.96(L) NoteCapital Research and ManagementCompanyMassachusetts Financial ServicesCompany (“MFS”)Investment manager 38,410,000 H shares (L) 1.12(L) 6.10(L)Investment manager 8,428,100 H shares (L) 0.88(L) Note 5.26(L) NoteSun Life Financial, Inc. Interest of controlled corporation 8,428,100 H shares (L) 0.88(L) Note 5.26(L) NoteBlackRock, Inc. Interest of controlled corporation 31,965,480 H shares (L) 0.93(L) 5.07(L)Interest of controlled corporation 7,049,233 H shares (S) 0.20(S) 1.12(S)(L) — long position, (S) — short position, (P) — lending poolNote: Shareholdings as percentage of total share capital and relevant class of shares was calculated on the basis of the Company’s total sharecapital (959,521,650 shares) and total number of H shares (160,151,040 shares) before the capitalisation of capital reserves on 10 July2008.Save as disclosed above, as at 31 December 2012, so far as the Directors, Supervisors and senior managementof the Company are aware, no person had an interest or short position in the shares and underlying shares ofthe Company that was required to be recorded in the register maintained pursuant to Section 336 of the SFO.6. Purchase, sale or redemption of securitiesNeither the Company nor any of its subsidiaries purchased, sold or redeemed any listed securities of the Companyduring the year.7. Public floatOn the basis of publicly available information known to the Board of Directors, the Company’s public float is incompliance with the minimum public float requirement of Hong Kong Listing Rules as at the latest practicabledate prior to the publication of this report.102