陆金所控股向港交所提交2026年8月例行月度证券变动申报表（FF301），无实质资本变动

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6-K
1
d389323d6k.htm
FORM 6-K
Form 6-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 6-K
REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE
13a-16
OR
15d-16
UNDER
THE SECURITIES EXCHANGE ACT OF 1934
For the month of September 2026
Commission File Number
001-39654
Lufax Holding Ltd
(Registrant’s name)
18th Floor, No. 1333
Lujiazui Ring Road
Pudong New District, Shanghai
People’s Republic of China
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of
Form 20-F
or
Form 40-F. Form 20-F ☒
Form 40-F ☐
Exhibit Index
Exhibit 99.1—
Monthly Return with The Stock Exchange of Hong Kong Limited—Monthly Return for Equity Issuer and Hong Kong Depositary
Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
Lufax Holding Ltd
By:
/s/ Xiang Ji
Name:
Xiang Ji
Title:
Chief Executive Officer
Date: September 4, 2026

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Exhibit 99.1
FF301

Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in
Securities
For the month ended:

31 August 2026

Status: New Submission

To : Hong Kong Exchanges and Clearing Limited
Name of Issuer:

Lufax Holding Ltd

Date Submitted:

04 September 2026

I. Movements in Authorised / Registered Share Capital
1. Class of shares

Ordinary shares

Type of shares

Stock code (if listed)

06623

Description

Not applicable

Number of authorised/registered shares
Balance at close of preceding month

Listed on the Exchange (Note 1)

Par value

10,000,000,000 USD

Increase / decrease (-)
Balance at close of the month

Yes

Authorised/registered share capital
0.00001 USD

100,000

USD
10,000,000,000 USD
Total authorised/registered share capital at the end of the month: USD

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0.00001 USD

100,000
100,000

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FF301

II. Movements in Issued Shares and/or Treasury Shares and Public Float Sufficiency Confirmation
1. Class of shares

Ordinary shares

Type of shares

Stock code (if listed)

06623

Description

Not applicable

Number of issued shares
(excluding treasury shares)
Balance at close of preceding month

Listed on the Exchange (Note 1)

Number of treasury shares

Yes

Total number of issued shares

1,733,377,784

0

1,733,377,784

1,733,377,784

0

1,733,377,784

Increase / decrease (-)
Balance at close of the month
Public float sufficiency confirmation (Note 4)
Pursuant to Main Board Rule 13.32D(1) or 19A.28D(1) / GEM Rule 17.37D(1) or 25.21D(1), we hereby confirm that, in relation to the class of shares as set out above, as at the close of the
month:
O
the applicable public float requirement (see below) has been complied with
the applicable public float requirement (see below) has not been complied with
The applicable minimum public float requirement for the class of shares as set out above pursuant to Main Board Rule 13.32B or 19A.28B / GEM Rule 17.37B or 25.21B (as the case may be) is:
Applicable public float threshold

Initial Prescribed Threshold - 25% of the total number of issued shares in the class to which the listed shares belong
(excluding treasury shares)

Additional information

Remarks:
The number of issued shares of Lufax Holding Ltd (the “Company”) excludes (i) the shares underlying the ADSs repurchased by the Company pursuant to the share repurchase programs and (ii)
shares issued to the Depositary for bulk issuance of ADSs reserved for future issuances upon the exercise or vesting of options or awards granted under the Company's share incentive plans,
which in aggregate amounted to 56,304,860 as of August 31, 2026. The Company has obtained a waiver from the Stock Exchange from strict compliance with the requirements in relation to the
retention of the above mentioned shares during its Hong Kong listing process. For further details, please refer to the section headed "Waivers" in the Company’s listing document dated April 11,
2023.

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FF301

III. Details of Movements in Issued Shares and/or Treasury Shares
(A). Share Options (under Share Option Schemes of the Issuer)
1. Class of shares

Ordinary shares

Type of shares

Stock code (if listed)

06623

Description

Particulars of share option scheme

1).

Number of share
options outstanding at
close of preceding
month

2014 Share Incentive
Plan adopted in
December 2014 - award
of options (which is
amended from time to
time)

Not applicable

Number of share
options outstanding at
close of the month

Movement during the month

7,236,248 Lapsed

Listed on the Exchange (Note 1)

Yes

Number of treasury
Number of new shares shares transferred out of
issued during the month
treasury during the
pursuant thereto (A1) month pursuant thereto
(A2)

The total number of
Number of shares which shares which may be
may be issued or
issued or transferred out
of treasury upon
transferred out of
treasury pursuant
exercise of all share
thereto as at close of
options to be granted
the month
under the scheme at
close of the month

3,301,668

-3,934,580

3,301,668

0

General Meeting approval date (if applicable)

Increase in issued shares (excluding treasury shares):

Ordinary shares (AA1)

Decrease in treasury shares:

Ordinary shares (AA2)

Total funds raised during the month from exercise of options: USD

0

Remarks:
As of August 31, 2026, 12,998,396 shares of the Company (equivalent to 6,499,198 ADSs of the Company) are available for future grant under the scheme mandate limit under the 2019
Performance Share Unit Plan (adopted in September 2019 and amended from time to time). The 2014 Share Incentive Plan has expired in December 2024.

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FF301
(B). Warrants to Issue Shares of the Issuer

Not applicable

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FF301
(C). Convertibles (i.e. Convertible into Shares of the Issuer)
1. Class of shares

Ordinary shares

Type of shares

Stock code (if listed)

06623

Description

Description of the Convertibles

1).

Currency

Ping An Convertible
Promissory Notes

Type of the Convertibles

USD

Amount at close of
preceding month

Not applicable

Movement during the month

976,900,000

Listed on the Exchange (Note 1)

Amount at close of the
month

Number of new shares
issued during the month
pursuant thereto (C1)

Yes

Number of shares which
Number of treasury
may be issued or
shares transferred out of
transferred out of treasury
treasury during the month
pursuant thereto as at
pursuant thereto (C2)
close of the month

976,900,000

421,077,586

Bond/Notes

Stock code of the Convertibles
(if listed on the Exchange) (Note 1)
Subscription/Conversion price

USD

2.32

General Meeting approval date
(if applicable)

Increase in issued shares (excluding treasury shares):

Ordinary shares (CC1)

Decrease in treasury shares:

Ordinary shares (CC2)

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FF301
(D). Any other Agreements or Arrangements to Issue Shares of the Issuer, including Options (other than Share Option Schemes)
1. Class of shares

Ordinary shares

Type of shares

Stock code (if listed)

06623

Description

Description of other agreements or arrangements

Not applicable

General Meeting
approval date
(if applicable)

Listed on the Exchange (Note 1)

Number of new shares issued during
the month pursuant thereto (D1)

Yes

Number of treasury shares transferred Number of shares which may be issued
out of treasury during the month
or transferred out of treasury pursuant
pursuant thereto (D2)
thereto as at close of the month

2019 Performance Share Unit plan, adopted in September 2019 - performance

1). share units (which was amended from time to time)

183,833

Increase in issued shares (excluding treasury shares):

Ordinary shares (DD1)

Decrease in treasury shares:

Ordinary shares (DD2)

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FF301
(E). Other Movements in Issued Shares and/or Treasury Shares

Not applicable

Total increase/ decrease (-) in issued shares (excluding treasury shares) during the month (i.e. Total of AA1 to EE1):

Ordinary shares

Total increase/ decrease (-) in treasury shares during the month (i.e. Total of AA2 to EE2):

Ordinary shares

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FF301

IV. Information about Hong Kong Depositary Receipt (HDR)

Not applicable

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FF301

V. Confirmations
Pursuant to Main Board Rule 13.25C / GEM Rule 17.27C, we hereby confirm to the best knowledge, information and belief that, in relation to each of the securities issued, or the treasury shares
sold or transferred by the issuer during the month as set out in Parts III and IV which has not been previously disclosed in a return published under Main Board Rule 13.25A / GEM Rule 17.27A, it
has been duly authorised by the board of directors of the listed issuer and carried out in compliance with all applicable listing rules, laws and other regulatory requirements and, insofar as
applicable:
(Note 5)
(i) all money due to the listed issuer in respect of the issue of securities, or sale or transfer of treasury shares has been received by it;
(ii) all pre-conditions for listing imposed by the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited under "Qualifications of listing" have been fulfilled;
(iii) all (if any) conditions contained in the formal letter granting listing of and permission to deal in the securities have been fulfilled;
(iv) all the securities of each class are in all respects identical (Note 6);
(v) all documents required by the Companies (Winding Up and Miscellaneous Provisions) Ordinance to be filed with the Registrar of Companies have been duly filed and that compliance has
been made with all other legal requirements;
(vi) all the definitive documents of title have been delivered/are ready to be delivered/are being prepared and will be delivered in accordance with the terms of issue, sale or transfer;
(vii) completion has taken place of the purchase by the issuer of all property shown in the listing document to have been purchased or agreed to be purchased by it and the purchase
consideration for all such property has been duly satisfied; and
(viii) the trust deed/deed poll relating to the debenture, loan stock, notes or bonds has been completed and executed, and particulars thereof, if so required by law, have been filed with the
Registrar of Companies.

Submitted by:

Xiang JI

Title:

Executive Director
(Director, Secretary or other Duly Authorised Officer)

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Notes
1.

The Exchange refers to The Stock Exchange of Hong Kong Limited.

2.

In the case of repurchase of shares (shares repurchased and cancelled) and redemption of shares (shares redeemed and cancelled), "date of event" should be construed as
"cancellation date".
In the case of repurchase of shares (shares held as treasury shares), "date of event" should be construed as "date on which shares were repurchased and held by the issuer in
treasury".

3.

The information is required in the case of repurchase of shares (shares repurchased for cancellation but not yet cancelled) and redemption of shares (shares redeemed but not yet
cancelled). Please state the number of shares repurchased or redeemed during the month or in preceding month(s) but pending cancellation as at close of the month as a negative
number.

4.

"Initial Prescribed Threshold”, "Alternative Threshold” and "market value" have the meanings ascribed thereto under Main Board Rule 13.32A or 19A.28A / GEM Rule 17.37A or
25.21A. See also Main Board Rule 13.32D(4) or 19A.28D(4) / GEM Rule 17.37D(4) or 25.21D(4) on the basis of the public float disclosure.

5.

Items (i) to (viii) are suggested forms of confirmation. The listed issuer may amend the item(s) that is/are not applicable to meet individual cases. Where the issuer has already
made the relevant confirmations in a return published under Main Board Rule 13.25A / GEM Rule 17.27A in relation to the securities issued, or the treasury shares sold or
transferred, no further confirmation is required to be made in this return.

6.

“Identical” means in this context:
．

the securities are of the same nominal value with the same amount called up or paid up;

．

they are entitled to dividend/interest at the same rate and for the same period, so that at the next ensuing distribution, the dividend/interest payable per unit will amount to
exactly the same sum (gross and net); and

．

they carry the same rights as to unrestricted transfer, attendance and voting at meetings and rank pari passu in all other respects.

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