China catalyst new materials Co., Ltd
Initial public offering and listing on the science and Innovation Board
Announcement of offline preliminary placement results and online Winning Results
Recommendation institution (lead underwriter): Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting recommendation Co., Ltd
hot tip
The application of China catalyst new materials Co., Ltd. (hereinafter referred to as the "issuer") for initial public offering of RMB common shares (A shares) and listing on the science and Innovation Board (hereinafter referred to as the "issuance") was examined and approved by the members of the stock listing committee of the science and Innovation Board of Shanghai Stock Exchange (hereinafter referred to as the "Shanghai Stock Exchange") on November 4, 2021, And registered with the consent of China Securities Regulatory Commission (zjxk (2022) No. 10).
This offering is conducted by a combination of directional placement to strategic investors (hereinafter referred to as "strategic placement"), offline inquiry placement to qualified investors (hereinafter referred to as "offline issuance") and online pricing issuance to social public investors holding the market value of non restricted A-Shares and non restricted depositary receipts in Shanghai market (hereinafter referred to as "online issuance").
The issuer negotiated with the recommendation institution (lead underwriter) Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting recommendation Co., Ltd. (hereinafter referred to as "recommendation institution (lead underwriter)" or " Shenwan Hongyuan Group Co.Ltd(000166) underwriting recommendation") to determine that the number of shares in this public offering is 44.05 million. Among them, the initial strategic placement issued 6607500 shares, accounting for 15.00% of this issuance. The subscription funds promised by the strategic investors and the brokerage commission for the placement of new shares have been fully remitted to the bank account designated by the lead underwriter within the specified time. The final number of strategic placement shares in this issuance is 5647180 shares, accounting for 12.82% of the total number of issuance. The difference between the initial number of strategic placement shares and the final number of strategic placement shares is 960320 shares, which are transferred back to the offline issuance. After the adjustment of strategic placement and before the launch of online and offline call back mechanism, the number of offline issuance was adjusted to 27170320 shares, accounting for 70.75% of the number issued after deducting the final strategic placement; The number of shares issued online was 11.2325 million, accounting for 29.25% of the number issued after deducting the final strategic placement. The issue price is 41.90 yuan / share. According to the callback mechanism announced in the announcement on the issuance arrangement and preliminary inquiry of China catalyst new materials Co., Ltd. for initial public offering of shares and listing on the science and Innovation Board (hereinafter referred to as the announcement on issuance arrangement and preliminary inquiry), the initial effective subscription multiple on the Internet is 4300.32 times, higher than 100 times, The issuer and the recommendation institution (lead underwriter) decided to start the callback mechanism, and 10% (rounded up to an integral multiple of 500 shares, i.e. 3840500 shares) of the number of shares in this public offering after deducting the final strategic placement part will be callback from offline to online.
After the online and offline call back mechanism was launched, the final number of shares issued offline was 23329820, accounting for 60.75% of the total number of shares issued after deducting the final strategic placement and 52.96% of the total number of shares issued this time; The final number of shares issued online is 15073000, accounting for 39.25% of the number issued after deducting the final strategic placement, and 34.22% of the total number of shares issued this time. After the callback mechanism was launched, the final winning rate of online issuance was 0.03120491%.
Investors are kindly requested to focus on the payment process of this offering and fulfill their payment obligations on February 9, 2022 (T + 2):
1. Offline allocated investors shall timely and fully pay the new share subscription funds and the corresponding new share placement brokerage commission (rounded to the nearest cent) in accordance with this announcement. Offline allocated investors shall transfer the corresponding new share placement brokerage commission when paying the new share subscription funds, and the funds shall arrive before 16:00 on February 9 (T + 2) 2022, Offline investors are allocated multiple new shares every day. Please pay for each new share separately. In the case of multiple new shares allocated on the same day, if only one total amount is remitted, the consolidated payment will lead to the failure of accounting, and the resulting consequences shall be borne by the investors themselves.
The brokerage commission rate for the placement of new shares by offline investors participating in this offering is 0.5% of their allocated amount. The amount of brokerage commission for placing new shares of the placing object = the final amount allocated to the placing object × 0.5% (rounded to the nearest cent). After online investors win the bid for new shares, they shall fulfill the obligation of capital delivery in accordance with this announcement to ensure that their capital account will have sufficient capital for new shares on February 9 (T + 2) 2022. The insufficient part shall be deemed to have given up the subscription, and the consequences and relevant legal liabilities arising therefrom shall be borne by the investors themselves. The transfer of investors' funds shall comply with the relevant provisions of the securities company where the investors are located.
The shares that offline and online investors give up to subscribe for are underwritten by the sponsor (lead underwriter).
2. For the offline issuance part, the allocated securities investment funds and other partial share asset management products established by public offering (hereinafter referred to as "public offering products"), the National Social Security Fund (hereinafter referred to as "social security fund"), the basic old-age insurance fund (hereinafter referred to as "pension") Among the enterprise annuity fund (hereinafter referred to as "enterprise annuity fund") established in accordance with the measures for the administration of enterprise annuity fund, insurance funds (hereinafter referred to as "insurance funds") in accordance with the measures for the administration of the use of insurance funds and other relevant provisions, and qualified overseas institutional investors, The 10% account (rounded up) shall promise that the holding period of the shares to be placed this time is 6 months from the date of the issuer's initial public offering and listing. The aforesaid placing object account will be determined by lottery on February 10, 2022 (T + 3) (hereinafter referred to as "online placing lottery"). If the shares of the investors who have not been allotted to the trading account under the arrangement can be circulated on the exchange from the date when the shares are not allotted to the trading account under the management of the exchange. The online placement lottery adopts the method of allocating numbers according to the allocated objects, and the numbers are allocated according to the number of households finally allocated to offline investors. Each allocated object is allocated a number. Once offline investors quote, they will be deemed to accept the online lower limit selling period arrangement of this offering.
All investors participating in this offline offering have recommended the IPO offline investor management system through Shenwan Hongyuan Group Co.Ltd(000166) underwriting（ https://ipo-kcb.swhysc.com. ）Sign the commitment letter online and submit the verification materials. According to the letter of commitment, once offline investors quote, they will be deemed to have accepted the arrangement of online minimum selling period of this offering. Participate in the initial inquiry of this offering and finally obtain the funds of public offering products, pensions, social security funds, enterprise annuity funds, insurance funds and qualified foreign institutional investors placed offline, and promise that if the account of the placing object managed by it is selected in the lottery stage of online placing, The holding period of the shares allocated to the placing object is 6 months from the date of the issuer's initial public offering and listing.
3. When the total number of shares paid and subscribed by offline and online investors is less than 70% of the number of shares issued after deducting the final strategic placement, the issuer and the lead underwriter will suspend the issuance of new shares and disclose the reasons for the suspension and subsequent arrangements.
4. If an offline investor with a valid quotation fails to participate in the subscription, fails to subscribe in full, or fails to pay the new share subscription fund and the corresponding new share placement brokerage commission in time and in full, it will be deemed as a breach of contract and shall bear the liability for breach of contract. The recommendation institution (lead underwriter) shall report the breach of contract to the China Securities Association for the record.
If an online investor has won the lottery for 3 times but failed to pay in full within 12 consecutive months, it shall not participate in the online subscription of new shares, depositary receipts, convertible corporate bonds and exchangeable corporate bonds within 6 months (calculated as 180 natural days, including the next day) from the next day of the settlement participant's latest declaration of abandonment of subscription. The number of times of giving up subscription shall be calculated according to the number of times of investors actually giving up subscription of new shares, depositary receipts, convertible corporate bonds and exchangeable corporate bonds.
5. Once this announcement is published, it shall be deemed to have served the notice of allotment payment to the online investors who have participated in the online subscription and won the lot and all allotment objects who have obtained the allotment of offline issuance. 1、 Final result of strategic placement
(I) participants
In this offering, the selection of strategic placement investors is comprehensively determined after considering the qualification of investors and market conditions. It is Shenyin Wanguo innovation Securities Investment Co., Ltd. (an alternative investment subsidiary established by the parent company of the sponsor participating in the follow-up investment, hereinafter referred to as "Shenwan innovation investment") The senior managers and core employees of the issuer participated in the special asset management plan established by this strategic placement ( Shenwan Hongyuan Group Co.Ltd(000166) medium catalyst employees participated in the No. 1 collective asset management plan of the strategic placement on the science and innovation board, hereinafter referred to as "medium catalyst No. 1 asset management plan").
The above strategic investors have signed a placement agreement with the issuer. For the verification of this strategic investor, see the special verification report of Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting and recommendation Co., Ltd. on the strategic placement of shares in the initial public offering of China catalyst new materials Co., Ltd. announced on January 28, 2022 (t-1) and Legal opinion of Beijing BOC law firm on the verification of strategic investors of China catalyst new materials Co., Ltd. in its initial public offering and listing on the science and innovation board.
(II) matching results
According to the preliminary inquiry results, the issuer and the recommendation institution (lead underwriter) negotiated and determined that the issuance price is 41.90 yuan / share, the total number of shares issued this time is 44.05 million, and the total scale of issuance is 1845.695 million yuan.
According to the provisions of the guidelines for the application of the issuance and underwriting rules of the science and Innovation Board of Shanghai Stock Exchange No. 1 - initial public offering of shares, the scale of this issuance is more than 1 billion yuan and less than 2 billion yuan, and the follow-up investment proportion of relevant subsidiaries of the sponsor is 4% of the scale of this issuance, but not more than 60 million yuan. Shenwan innovation investment has paid 100 million yuan of subscription fund for strategic placement in full, 1431980 shares have been allocated this time, and the allocated amount is 59996962.00 yuan. If the initial payment amount exceeds the amount corresponding to the final allocated shares, the sponsor (lead underwriter) will return it according to the original payment path of Shenwan innovation investment before February 11 (T + 4) 2022.
China catalyst No. 1 asset management plan has paid 177.5 million yuan of subscription capital for strategic placement in full. 4215200 shares have been allocated this time. The total amount allocated and the corresponding brokerage commission for new share placement are 177499964.40 yuan (including
The amount corresponding to the number of shares allotted is 176616880.00 yuan, and the corresponding brokerage commission for the placement of new shares is 883084.40 yuan). If the initial payment amount exceeds the amount corresponding to the final number of allocated shares, the sponsor (lead underwriter) will return the excess amount according to the original payment path of China catalyst No. 1 asset management plan before February 11, 2022 (T + 4).
The final strategic placement results of this offering are as follows:
Allotment of new shares
Proportion of allocated shares in principal selling brokerage
No. number of types of investors (10000 yuan of the total amount of commission allocated to 10000 issues (10000 shares in the restricted period))
Proportion (10000)
(%) (yuan)
1 Shenwan innovation recommendation institution 143.1980 3.25% 5999.9962 - 5999.9962 24 months to invest in subsidiaries
Issuer's high
Level management
Medium catalyst 1 and core employees
No. 2 asset management plan participated in this war 421.5200 9.57% 17661.6880 88.3084 17749.9964 12-month strategic placement establishment
Special assets
management plan
Total - 564.718 12.82% 23661.6842 88.3084 23749.9926-
2、 Online lottery results
According to the announcement of China catalyst new materials Co., Ltd. on initial public offering and listing on the science and Innovation Board (hereinafter referred to as the "issuance announcement"), On the morning of February 8, 2022 (T + 1), the issuer and the sponsor (lead underwriter) presided over the lottery ceremony for the online issuance of China catalyst's initial public offering of shares at Haitang hall, the conference room on the fourth floor of Zijinshan Hotel, 778 Dongfang Road, Pudong New Area, Shanghai. The lottery ceremony was conducted in accordance with the principles of openness, fairness and impartiality. The process and results of the lottery have been notarized by Shanghai Oriental notary office. The winning results are as follows:
Last digit winning lot number
Last "4" digit 061156114962
Last "5" digits 19465
Last "6" digits
