Beijing Deheng (Kunming) law firm
About Hongta Securities Co.Ltd(601236)
Of the first extraordinary general meeting of shareholders in 2022
Legal opinion
Beijing Deheng (Kunming) law firm
Beijing DeHeng Law Offices (KunMing)
Floor 3 and 4, building B5, Rongcheng Youjun, No. 126, Xiyuan Road, Xishan District, Kunming, Yunnan
Tel (fax): 0871-63172192 post code: 650032
Beijing Deheng (Kunming) law firm
About Hongta Securities Co.Ltd(601236)
Of the first extraordinary general meeting of shareholders in 2022
Legal opinion
Hongta Securities Co.Ltd(601236) ：
Beijing Deheng (Kunming) law firm (hereinafter referred to as “the firm”), as the perennial legal counsel of your company, hereby appoints lawyer Feng Nan and lawyer Li Qingqian to attend the first extraordinary general meeting of shareholders of your company in 2022 (hereinafter referred to as “the general meeting of shareholders”), and in accordance with the business standards, ethics and diligence recognized by the lawyer industry, Having examined the documents and materials related to the general meeting of shareholders provided by your company, we hereby issue the following legal opinions on the relevant issues of the general meeting of shareholders of your company in accordance with the provisions of the company law, the securities law, the rules for the general meeting of shareholders of listed companies and the articles of association of your company:
1、 On the convening and convening procedures of this general meeting of shareholders
According to the relevant materials and publicly disclosed information provided by your company, your company has held a meeting of the board of directors on January 13, 2022 and made a resolution on convening this general meeting of shareholders, On January 14, 2022, the notice of convening the shareholders’ meeting was published in China Securities News, Shanghai Securities News, securities times, Securities Daily, the website of Shanghai Stock Exchange and other media.
The on-site meeting of the general meeting of shareholders was held at 9:30 on February 9, 2022 in the conference room on the 19th floor of Hongta building, No. 155-1, Beijing Road, Kunming, Yunnan Province. The time of the meeting was more than 15 days apart from the time of notice and announcement. The specific time, place and deliberations of the meeting were also consistent with the contents of the announcement.
This general meeting of shareholders is presided over by Mr. Li Shishan, chairman of your company, which complies with the provisions of laws, regulations and the articles of association of your company.
2、 On the qualifications of the personnel attending the general meeting of shareholders
A total of 22 shareholders and their proxies attended the general meeting, representing 4170662641 voting shares, accounting for 88.4216% of the total voting shares of your company. A total of 1 shareholder and shareholder agent attended the on-site meeting of the general meeting of shareholders, representing 1423110055 shares with voting rights, accounting for 30.1711% of the total voting shares of your company; A total of 21 shareholders attended the online voting, representing 2747552586 voting shares, accounting for 58.2505% of the total voting shares of your company; There are 13 minority shareholders and shareholder agents, representing 218500115 voting shares, accounting for 4.6323% of the total voting shares of your company, and their qualifications are legal and valid. In addition, the directors, supervisors and Secretary of the board of directors of your company attended the general meeting of shareholders, and the senior managers of your company attended the general meeting of shareholders as nonvoting delegates. 3、 Voting procedures and results of the general meeting of shareholders
The shareholders and their proxies attending the shareholders’ meeting considered a proposal on the election of directors of the company, and voted in the combination of on-site open ballot and online voting. As a result, they agreed to pass the above proposal with the number of votes in line with the provisions of the articles of association of your company.
4、 Concluding observations
Based on the above facts and documents, our lawyers believe that the convening and convening procedures of the company’s general meeting of shareholders comply with the provisions of laws, regulations and the articles of Association; The qualification of the convener of this general meeting of shareholders is legal and valid; The qualifications of those attending and attending the general meeting of shareholders as nonvoting delegates are legal and valid; The voting procedures and results of this general meeting of shareholders are legal and valid. (no text below this page)
