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Eleven natural persons bought and sold A shares during the self-inspection period.The results show that 11 related natural persons are involved in buying and selling A shares of Guotai Junan and Haitong Securities. Including Han Zhida, vice president of Guotai Junan, Zhao Hong, chief auditor, Xiong Xiaohua, the mother of supervisor Shen Yun, Huang Guan Tu, the father of employee Huang Wenxin, and Zhou Yang, the spouse of Lv Na, an overseas legal consultant of Haitong Securities and a consultant lawyer of Gao Weishen Law Firm.According to the information issued by the above-mentioned institutions, there is no correlation between the above stock trading behavior and this major asset restructuring, and it does not involve the use of insider information for trading.

[There is no silver here, three hundred and twenty! 】In addition to natural persons, the transactions of Guotai Junan A-shares and Haitong Securities A-shares by relevant institutions mainly involve self-operated accounts, asset management accounts and margin financing and securities lending accounts of institutions.According to the announcement, the self-examination period of insider information about the stock trading of this transaction is from six months before the merging parties first disclose this transaction or apply for stock suspension for this transaction (whichever is earlier) to the day before the first disclosure of "Guotai Junan Securities Co., Ltd. Share Exchange, Absorbing and Merging Haitong Securities Co., Ltd. and Raising Matching Funds and Related Party Transactions (Draft)", that is, from March 5, 2024 to November 21, 2024.

The results show that 11 related natural persons are involved in buying and selling A shares of Guotai Junan and Haitong Securities. Including Han Zhida, vice president of Guotai Junan, Zhao Hong, chief auditor, Xiong Xiaohua, the mother of supervisor Shen Yun, Huang Guan Tu, the father of employee Huang Wenxin, and Zhou Yang, the spouse of Lv Na, an overseas legal consultant of Haitong Securities and a consultant lawyer of Gao Weishen Law Firm.According to the announcement, according to the relevant documents, based on the verification scope of insider information of this transaction and the self-inspection of relevant institutions and personnel, and on the premise that the self-inspection report, relevant explanations and commitments and interview confirmation information issued by the insider information are true, accurate and complete, the buying and selling of A shares of Guotai Junan and/or Haitong Securities by the above-mentioned relevant institutions and personnel during the self-inspection period does not constitute insider trading, and their buying and selling of shares will not constitute a substantial legal obstacle to this transaction.On the evening of December 12th, the verification results of insider trading between Guotai Junan and Haitong Securities were officially released.