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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.Institutional trading situation

Eleven natural persons bought and sold A shares during the self-inspection period.Insider verification of Guotai Junan and Haitong Securities: 11 natural persons bought and sold A shares during the self-inspection period.

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.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 September 5 this year, Guotai Junan and Haitong Securities announced at the same time that Guotai Junan and Haitong Securities are planning to merge Haitong Securities with Guotai Junan and issue shares to raise matching funds. This merger case has attracted much attention from the market.