Securities code: 600030 securities abbreviation: Citic Securities Company Limited(600030) Announcement No.: pro 2022-017 Citic Securities Company Limited(600030)
With regard to the announcement of signing the tripartite supervision agreement for the storage of raised funds in the special account, the board of directors and all directors of the company guarantee that the contents of this announcement are free from any false records, misleading statements or major omissions, and bear individual and joint liabilities for the authenticity, accuracy and integrity of its contents. 1、 Basic information of raised funds
Approved by the reply on approving Citic Securities Company Limited(600030) share allotment (zjxk [2021] No. 3729) of China Securities Regulatory Commission, Citic Securities Company Limited(600030) (hereinafter referred to as “the company” or ” Citic Securities Company Limited(600030) “) has completed A-share allotment and issued 1552021645 shares of securities to the public, with an issue price of 14.43 yuan per share and a total raised capital of 22395672337.35 yuan. After deducting the issuance related expenses, The net amount of funds actually raised was RMB 22318195731.58. The above payment was received on January 27, 2022. PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership) verified the availability of funds raised by Citic Securities Company Limited(600030) A-share allotment, and issued the capital verification report on Citic Securities Company Limited(600030) public offering of RMB common shares (A-share) (PWC Zhongtian Yan Zi (2022) No. 0111) on January 28, 2022.
2、 Signing of the tripartite supervision agreement on the storage of raised funds and the opening of the special account for raised funds
In order to standardize the management of the company’s raised funds and protect the rights and interests of investors, according to the relevant provisions of the guidelines for the supervision of listed companies No. 2 – regulatory requirements for the management and use of the raised funds of listed companies and the guidelines for the self discipline supervision of listed companies on Shanghai Stock Exchange No. 1 – standardized operation, recently, the company, together with Tianfeng Securities Co.Ltd(601162) (hereinafter referred to as ” Tianfeng Securities Co.Ltd(601162) “) China Post Securities Co., Ltd. (hereinafter referred to as “China Post securities”) (hereinafter collectively referred to as “sponsor”) signed the tripartite supervision agreement on the storage of special account for raised funds (hereinafter referred to as “tripartite supervision agreement”) with China Citic Bank Corporation Limited(601998) Beijing Branch and Hua Xia Bank Co.Limited(600015) Beijing Dongdan sub branch (hereinafter collectively referred to as “deposit bank”), There is no significant difference between the content of the agreement and the tripartite supervision agreement (model) for the storage of raised funds.
As of January 27, 2022, the opening and storage of the company’s raised capital account are as follows:
Account name deposit bank account number deposit amount (yuan)
Citic Securities Company Limited(600030) China Citic Bank Corporation Limited(601998) Co., Ltd. 8110701013202216616 12353672337.35 Si Beijing Ruicheng central sub branch
Citic Securities Company Limited(600030) Hua Xia Bank Co.Limited(600015) Co., Ltd. 10257000000879564 1000000000.00 Si Beijing Dongdan sub branch
Note 1: the difference between the amount deposited in the above special account for raised funds and the net amount of raised funds is the unpaid part of the issuance expenses; Note 2: China Citic Bank Corporation Limited(601998) Beijing Ruicheng central branch is a subordinate branch of China Citic Bank Corporation Limited(601998) Beijing Branch.
3、 Main contents of the tripartite supervision agreement
The main contents of the agreement are as follows:
1. The company has opened a special account for raising funds in the above-mentioned banks, which is only used for the storage and use of the company’s A-share allotment funds invested in developing capital intermediary business, increasing investment in subsidiaries, strengthening information system construction, supplementing working capital, etc., and shall not be used for other purposes.
As of the date of signing the agreement, the company has not stored the raised funds in the form of certificates of deposit. If the raised funds are stored in the form of certificates of deposit in the future, the company promises to transfer the certificates of deposit to the special account for raised funds agreed in the agreement for management or renew them in the form of certificates of deposit, and notify the recommendation institution. The certificate of deposit of the company shall not be pledged.
2. The company and the deposit bank shall jointly abide by the bill law of the people’s Republic of China, the measures for payment and settlement, the measures for the administration of RMB bank settlement accounts and other laws, regulations and rules.
3. Tianfeng Securities Co.Ltd(601162) . As the company’s recommendation institution, China Post securities shall appoint a recommendation representative or other staff to supervise the use of the company’s raised funds in accordance with relevant regulations.
The recommendation institution promises to perform its recommendation duties and conduct continuous supervision on the management and use of the company’s raised funds in accordance with the administrative measures for the recommendation business of securities issuance and listing, the administrative measures for the raised funds of listed companies of Shanghai Stock Exchange and the raised funds management system formulated by the company.
A recommendation institution may exercise its supervisory power by means of on-site investigation, written inquiry, etc. The company and the Bank of deposit shall cooperate with the investigation and inquiry of the recommendation institution. The recommendation institution shall check the storage of the special account at the same time when conducting on-site investigation of the company every half a year.
4. The recommendation representative designated by the company’s authorized recommendation institution can inquire and copy the information of the company’s special account at the deposit bank at any time; The opening bank shall timely, accurately and completely provide it with the necessary information about the special account.
When inquiring about the company’s special account from the opening bank, the recommendation representative shall issue his own legal identity certificate; When other staff members designated by the recommendation institution inquire about the company’s special account from the deposit bank, they shall issue their own legal identity certificate and unit introduction letter.
5. The deposit bank shall issue a true, accurate and complete special account statement to the company on a monthly basis (before the 10th of each month) and copy it to the recommendation institution.
6. If the company withdraws more than 50 million yuan from the special account in one time or within 12 months and reaches 20% of the net amount of the total amount of funds raised after deducting the issuance expenses (hereinafter referred to as the “net amount of funds raised”), the company shall timely notify the recommendation institution by fax / e-mail and provide the expenditure list of the special account. 7. The recommendation institution has the right to change the designated recommendation representative in accordance with relevant regulations. Where a recommendation institution changes its recommendation representative, it shall notify the deposit bank of relevant supporting documents in writing, and notify the contact information of the changed recommendation representative in writing in accordance with the requirements of Article 12 of the agreement. The replacement of the recommendation representative does not affect the effectiveness of the agreement. The company’s authorization to the recommendation representative of the recommendation institution as agreed in Article 4 of the agreement shall be enjoyed by the replaced recommendation representative.
8. If the deposit bank fails to issue a statement of account to the company in time for three consecutive times, or fails to cooperate with the sponsor to investigate the special account, the company may voluntarily or unilaterally terminate this Agreement and cancel the special account for raised funds at the request of the sponsor.
9. If the recommendation institution finds that the company and the deposit bank fail to perform this Agreement as agreed, it shall timely report in writing to the Shanghai Stock Exchange after knowing the relevant facts.
10. The agreement shall come into force from the date when the legal representatives or principals of the company, the deposit bank and the recommendation institution or their authorized representatives sign and affix the official seals of their respective units, and shall become invalid from the date when all the funds in the special account are paid out and the account is closed according to law / all the funds in the special account are paid out and the account is closed according to law or the agreement is terminated and the account is closed by consensus among the three parties. It is hereby announced.
Citic Securities Company Limited(600030) board of directors February 7, 2022
