1. Index Name and Code

Name: NEEQ INNOVATION COMPONENT INDEX (NEEQ ICI)

Code: 899003

2. Base Date and Base Index

The base date of NEEQ Innovation Component Index is December 20th, 2018. The base divisor of the index are the adjusted market cap of all constituents as of close of the base date. The base index is 1000.

3. Index Constituent Weightings

3.1 Index Universe

The index universe of NEEQ Innovation Component Index includes all the board listed companies satisfying the following conditions:

□    The company is innovation company

□    The company has transaction since listing

□    The float shares of company is not zero

□    The company is not special treatment

3.2 Selection Criteria

The NEEQ Innovation Component Index constituents are selected as follows:

First Step: Rank all the companies in the universe by daily average trading values and daily average total market capitalization of the latest six months respectively in descending order and sum up the two ranks to get the overall rank.

Second Step: According to the overall rank, determine the number of index component by covering 85% total market capitalization of index universe.

4. Index Calculation

NEEQ Innovation Component Index is calculated using a Paasche     weighted composite price index formula, the formula is:

Current index= (Current adjusted market cap of constituents/ Base period)* 1000

Adjusted market cap= ∑(Price×Adjusted No. of shares×weight adjusted factor)

The weight cap of individual constituent is 5%.

5. Constituents Adjustment

NEEQ Innovation Component Index will be rebalanced every half year. The constituents and weight adjustment are implemented after market close on the first Friday of January and July. Temporary adjustment can be made under certain circumstances if necessary.