COL Financial : Change in Shareholdings of Directors and Principal Officers
February 11, 2022 at 08:58 am IST
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SECURITIES AND EXCHANGE COMMISSIONSEC FORM 17-C
CURRENT REPORT UNDER SECTION 17
OF THE SECURITIES REGULATION CODE
AND SRC RULE 17.2(c) THEREUNDER
1. Date of Report (Date of earliest event reported) Feb 11, 20222. SEC Identification Number A1999100653. BIR Tax Identification No. 203-523-208-0004. Exact name of issuer as specified in its charter COL Financial Group, Inc.5. Province, country or other jurisdiction of incorporation Manila, Philippines6. Industry Classification Code(SEC Use Only) 7. Address of principal office 24/F East Tower, Tektite Towers, Exchange Road, Ortigas Center, Pasig CityPostal Code16058. Issuer's telephone number, including area code (02) 8636-54119. Former name or former address, if changed since last report Not applicable10. Securities registered pursuant to Sections 8 and 12 of the SRC or Sections 4 and 8 of the RSA
Title of Each Class
Number of Shares of Common Stock Outstanding and Amount of Debt Outstanding
Common Shares
4,760,000,000
11. Indicate the item numbers reported herein Item #9
The Exchange does not warrant and holds no responsibility for the veracity of the facts and representations contained in all corporate disclosures, including financial reports. All data contained herein are prepared and submitted by the disclosing party to the Exchange, and are disseminated solely for purposes of information. Any questions on the data contained herein should be addressed directly to the Corporate Information Officer of the disclosing party.
COL Financial Group, Inc.COL
PSE Disclosure Form 13-1 - Change in Shareholdings of
Directors and Principal Officers References: SRC Rule 23 (SEC Form 23-B) and
Section 13 of the Revised Disclosure Rules
Subject of the Disclosure
Changes in Shareholdings of a Director
Background/Description of the Disclosure
Reporting the changes in shareholdings of a Director
Name of Person
Alexander C. Yu
Position/Designation
Vice Chairman
For Equity Securities
Type of Security / Stock Symbol
Date of Transaction
Securities Acquired (A) or Disposed (D)
Ownership Form Direct (D) or Indirect (I)
Nature of Indirect Beneficial Ownership
Number of Shares
(A) or (D)
Price per Share
Common Shares / COL
Feb 7, 2022
1,000
A
3.99
D
N/A
Common Shares / COL
Feb 9, 2022
1,000
A
3.99
D
N/A
Number of Shares Owned after the Transaction
Direct
536,498,250
Indirect
126,151,000
Filed on behalf by:
Name
Stephanie Faye Reyes
Designation
Assistant Corporate Secretary
Attachments
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Original Document
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Disclaimer
COL Financial Group Inc. published this content on 11 February 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 11 February 2022 03:27:01 UTC.
COL Financial Group, Inc. (COL) is a Philippines-based company that provides online financial services. The Company is engaged in offering stock brokerage and fund distribution services. The Company is also engaged in providing financial advice, in the gathering and distribution of financial and investment information and statistics and in acting as financial, commercial or business representative. The Company provides an online trading platform, which offers real-time market information and direct market access, while providing the comprehensive stock market research and analysis necessary for its clients. The Company operates through two segments: Stockbrokerage services and Others. The Stockbrokerage services segment includes the Companyâs stockbrokerage companies, mainly the Parent Company and COL Securities (HK) Limited (COLHK). The Others pertaining to the Companyâs subsidiaries other than COLHK. COL owns asset management firm, COL Investment Management, Inc. (CIMI).