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Zhao Hong has been the chief auditor of Guotai Junan since October 30, 2024. The stock source of Guotai Junan is the restricted stock incentive plan. Trading Guotai Junan shares occurred before he became the chief auditor of Guotai Junan. During the above-mentioned self-inspection, he bought and sold Guotai Junan shares, which was based on his own and his family's financial needs, and had nothing to do with this major asset restructuring. There was no case of using the inside information of this major asset restructuring to buy and sell Guotai Junan shares. Zhao Hong sold 20,000 shares of Guotai Junan A shares on October 16, 2024 and 52,700 shares of Guotai Junan A shares on October 17, 2024.On the evening of December 12th, the verification results of insider trading between Guotai Junan and Haitong Securities were officially released.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.

Eleven natural persons bought and sold A shares during the self-inspection period.According to the announcement, for the above-mentioned behavior of buying and selling stocks during the self-inspection, the insiders of relevant insider information have issued self-inspection reports or explanations and commitments respectively, all of which indicate that the relevant operations are entirely based on the open market and personal independent judgment, and are purely personal investment behaviors, which have nothing to do with this major asset restructuring, and there is no situation of using the insider information of this major asset restructuring for trading.Eleven natural persons bought and sold A shares during the self-inspection period.

On the evening of the 12th, Guotai Junan and Haitong Securities both announced that they had checked the transactions of insiders involved in this transaction in A shares of Guotai Junan and Haitong Securities, involving 11 related natural persons.On the evening of the 12th, Guotai Junan and Haitong Securities both announced that they had checked the transactions of insiders involved in this transaction in A shares of Guotai Junan and Haitong Securities, involving 11 related natural persons.