ADR FAQs

FAQs on ADRs

What is the difference between an ADR and an ADS?

An ADR is a negotiable certificate issued by a depositary bank representing a specific number of shares of a non-U.S. company traded on a U.S. stock exchange. An American Depository Share (ADS) is the share issued under the ADR agreement which is actually traded.

What is the ratio of an ADR to an ordinary share?

One (1) Harmony ADR represents One (1) Harmony Ordinary share.

Where are Harmony’s ADRs traded?

Harmony’s ADRs in the US are traded on the NYSE under the ticker symbol HMY. The CUSIP Number is 413216300. To learn more about Harmony’s ADRs, please visit www.adr.db.com.

Who is Harmony’s depositary bank, transfer agent, registrar and exchange agent for ADR shares?

Deutsche Bank is the depositary bank for Harmony’s ADR programme. As Deutsche Bank’s sub-agent, American Stock Transfer & Trust Company acts as transfer agent, paying agent, and registrar.

What if I lose my ADR certificate, dividend check or tax voucher?

Please contact American Stock Transfer & Trust Company (AST) as soon as possible.
Toll Free Telephone Number for U.S. Callers: 1-866-243-9656
International line: +1-718-921-8124

What if I have more than one ADR certificate? Can they be combined?

Yes, please send your certificates with instructions to: Operations Centre
6201 15^th Avenue
Brooklyn
NY 11219

What if I need to change my home address?

You can change your address online at www.astfinancial.com.

Alternatively write to:

American Stock Transfer & Trust Company
Investor Services
6201 15^th Avenue
Brooklyn, NY 11219

Phone:
Toll Free in the U.S: 1-866-243-9656
International Callers: +1-718-921-8124
E-Mail: db@astfinancial.com

How can ADRs be purchased?

ADRs can be purchased through DB Global Direct, a Deutsche Bank sponsored dividend reinvestment and direct purchase programme for ADRs. Each participating company’s plan allows its existing shareholders to use dividends paid by the company to automatically purchase ADRs. The plans also allow first-time and existing investors to purchase ADRs of participating companies. All such investments are made through American Stock Transfer & Trust as transfer agent. As a participant in DB Global Direct, investors benefit from the direct ownership of their ADRs, the efficiency of receiving corporate communications directly from the ADR issuer, and the potential savings resulting from reduced brokerage and transaction costs.

Questions or correspondence about DB Global Direct should be addressed to:

American Stock Transfer & Trust Company Investor Services 6201 15th Avenue Brooklyn, NY 11219

To request plan brochures and enrollment forms for companies offering DB Global Direct, please call:

Toll Free Telephone for U.S. Global BuyDIRECT Participants: 1-866-243-9656
Telephone for International Callers: 1-718-921-8200
Website: www.adr.db.com
E-Mail: db@astfinancial.com

Investors can also purchase ADRs through their own full-service, discount, and on-line brokerage firms throughout the United States.

How do I convert my ordinary shares into ADRs?

Converting ordinary shares into ADRs must be done through a broker or an investment advisor.

What is an alternative to a physical certificate?

Book-entry registration is an electronic alternative to a physical certificate. It allows you to move your shares electronically via the DRS/Profile to a broker. This eliminates the physical movement of stock certificates at the time of sale or transfer of ownership. This method is beneficial due to immediate simplification of transaction processing and you as a shareholder will minimise associated expenses as well as be provided with more robust management reporting.

What is the difference between a registered holder and a beneficial ADR holder?

• A registered holder is one whose name appears on the books of the depositary. The registered holder is considered the owner of the record
• A beneficial holder is one whose holdings are registered in a name other than his or her own, such as the name of a broker, bank or nominee

What happens at the Annual General Meeting?

At the Annual General Meeting, shareholders gather to make some basic decisions about the management of the Company for the upcoming fiscal year.

Routine matters, such as the election of directors and auditors, are voted upon at every Annual General Meeting. Non-routine matters that require a shareholder vote can also be decided at an Annual General Meeting. At the meeting itself, the management will report the results of the prior year, discuss any pending matters, and then conduct a shareholder vote on any matter that requires approval.

Can ADR holders vote during Harmony’s Annual General Meeting?

The meeting itself is for local shares and it is not an entitlement. However, once voting rights have been extended to ADR holders all holders of ADRs are entitled to vote through Harmony’s Depositary Bank. Deutsche Bank will vote the ordinary shares in custody as per the instructions of the underlying holders of the ADRs at the shareholder meeting. Proxy and voting information will be provided to holders of record.

When is the next Annual General Meeting?

Please refer to our Calendar of events.