Shaanxi Sirui New Material Co., Ltd
Initial public offering and listing on the science and Innovation Board
Issuance arrangement and preliminary inquiry announcement
Sponsor (lead underwriter): Haitong Securities Company Limited(600837)
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Important tips
Shaanxi Sri New Material Co., Ltd. (hereinafter referred to as "Sri new material", "issuer" or "company") is in accordance with the implementation opinions on establishing a science and innovation board and pilot registration system in Shanghai Stock Exchange (CSRC announcement [2019] No. 2) issued by China Securities Regulatory Commission (hereinafter referred to as "CSRC" and "CSRC") Measures for the administration of securities issuance and underwriting (CSRC order [No. 144]) (hereinafter referred to as the "administrative measures"), measures for the administration of the registration of initial public offering of shares on the science and Innovation Board (for Trial Implementation) (CSRC order [No. 174]), The measures for the implementation of the issuance and underwriting of shares on the science and Innovation Board of Shanghai Stock Exchange (SZF [2021] No. 76) (hereinafter referred to as the "implementation measures") promulgated by the Shanghai Stock Exchange (hereinafter referred to as the "Shanghai Stock Exchange") 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 (SZF [2021] No. 77) (hereinafter referred to as the "underwriting guidelines"), detailed rules for the implementation of online issuance of initial public offering shares in Shanghai market (SZF [2018] No. 40) (hereinafter referred to as the "detailed rules for the implementation of online issuance") The detailed rules for the implementation of offline issuance of initial public offerings in Shanghai market (SZF [2018] No. 41) (hereinafter referred to as the "detailed rules for the implementation of offline issuance"), the code for the underwriting of initial public offerings under the registration system (zsxf [2021] No. 213) (hereinafter referred to as the "underwriting code") issued by the China Securities Association Detailed rules for the administration of offline investors in initial public offerings (zxsf [2018] No. 142), rules for the administration of offline investors in initial public offerings under the registration system and guidelines for the classification, evaluation and management of offline investors in initial public offerings under the registration system (zxsf [2021] No. 212), etc, And the relevant provisions of the Shanghai Stock Exchange on stock issuance and listing rules and the latest operating guidelines, such as initial public offering of shares and listing on the science and innovation board.
Haitong Securities Company Limited(600837) (hereinafter referred to as " Haitong Securities Company Limited(600837) " or "sponsor (lead underwriter)") serves as the sponsor (lead underwriter) of this offering.
This issuance adopts directional placement to strategic investors (hereinafter referred to as "strategic placement") Offline inquiry placement to qualified offline investors (hereinafter referred to as "offline issuance") and online pricing issuance to social public investors holding non restricted A-Shares and non restricted depositary receipts market value in Shanghai market (hereinafter referred to as "online issuance"). The sponsor (lead underwriter) Haitong Securities Company Limited(600837) is responsible for organizing and implementing the strategic placement, preliminary inquiry and online and offline issuance of this offering. The strategic placement of this offering is carried out at Haitong Securities Company Limited(600837) . The preliminary inquiry and offline subscription are carried out through the IPO offline subscription electronic platform of Shanghai Stock Exchange (hereinafter referred to as "offline subscription platform"), and the online offering is carried out through the trading system of Shanghai Stock Exchange. Please read this announcement carefully. Please refer to the website of Shanghai Stock Exchange (www.sse. Com. CN.) for details of preliminary inquiry and electronic offline issuance The detailed rules for the implementation of offline issuance and other relevant provisions.
Investors can visit the following website（ http://www.sse.com.cn./disclosure/listedinfo/listing/ 、 http://www.sse.com.cn./ipo/home/ ）Check the full text of the announcement.
Basic information of the issuer
The full name of the company is Shaanxi Sirui New Material Co., Ltd. and the securities is referred to as Sirui new material
company
Securities code / offline 688102 online subscription code 787102
Subscription code
Offline subscription referred to as Sri new material online subscription referred to as Sri subscription
Industry name non ferrous metal smelting and calendering industry code C32
trade
Basic information of this offering
This issuance adopts directional placement to strategic investors (hereinafter referred to as "strategic placement") The offline issuance is conducted through the combination of inquiry placement to qualified investors (hereinafter referred to as "offline issuance") and online pricing issuance to social public investors holding non restricted A-Shares and the market value of non restricted depositary receipts in Shanghai market (hereinafter referred to as "online issuance").
Pricing method offline preliminary inquiry will directly determine the issue price, and offline cumulative bidding inquiry will not be conducted
The total share capital before issuance is 36000.0000 and the number of shares to be issued (10000 shares) is 4001.0000
(10000 shares)
It is estimated that 4001.0000 new shares will be issued, and the estimated number of old shares transferred is 0
Quantity (10000 shares) (10000 shares)
The total share capital after issuance is 40001.0000, and the number to be issued accounts for 10.00 after issuance
(10000 shares) proportion of total share capital (%)
Initial online distribution 680.1500 initial offline distribution 2720.7000
Quantity (10000 shares) (10000 shares)
Each proposed offline subscription is 1400, and each proposed offline subscription is 100
Upper limit (10000 shares) and lower limit (10000 shares)
Shares)
The initial strategic placement is 600.1500 yuan, accounting for 15% of the proposed issuance
Number of rows (10000 shares) ratio (%)
The sponsor's relevant senior executives and core employees have a special capital of 4001000 shares
The number of shares / Fund / 36 million yuan (including the maximum amount of new shares (10000 shares) (10000 shares / 10000 yuan) and the share placement brokerage commission)
Is there any other war? Is there any new share placement brokerage fee of 0.50
Slightly placing arrangement rate (%)
Important date of this issuance
Preliminary inquiry date and March 2, 2022 issue announcement publication date March 4, 2022
Start and end time (9:30-15:00)
Offline Subscription Date and March 7, 2022 online subscription date and start and end date March 7, 2022
Starting and ending time (9:30-15:00) (9:30-11:30,
13:00-15:00）
Offline payment date and 16:00 on March 9, 2022 online payment date and deadline between the deadline of March 9, 2022
Remarks: None
Please pay attention to the following key contents:
1. Verification of inquiry qualification of offline investors: the "offline investors" mentioned in this announcement refer to institutional investors participating in offline issuance, and the "placing object" refers to offline investors or securities investment products managed by them.
Offline investors shall complete the registration of placing objects in the China Securities Association before 12:00 noon on March 1, 2022 (T-4), and issue an electronic platform through the sponsor (lead underwriter) Haitong Securities Company Limited(600837) (website: https://dzfx.htsec.com./ipoht/index.html#/app/Main ）Submit the letter of commitment and relevant verification materials online.
The recommendation institution (lead underwriter) has formulated the standards for offline investors according to relevant systems and rules. See "III. (I) participation conditions and quotation requirements of offline investors" in this announcement for specific standards and arrangements. Only investors who meet the standards for offline investors determined by the issuer and the sponsor (lead underwriter) can participate in the preliminary inquiry of this offering. Those who participate in the preliminary inquiry of this issuance without meeting the relevant standards shall bear all the consequences caused by this behavior. The sponsor (lead underwriter) will set its quotation as invalid on the offline subscription platform and disclose the relevant information in the issuance announcement.
2. Requirements for offline investors to submit pricing basis and suggested price or price range: offline investors must submit the price range from 13:00 to 14:30, 15:00 to 22:00 on the trading day before the preliminary inquiry day (March 1, 2022, T-4) or 6:00 to 9:30 on the preliminary inquiry day (March 2, 2022, T-3), Submit the pricing basis and the suggested price or price range given in the internal research report through the offline subscription platform of Shanghai Stock Exchange. Offline investors shall quote according to the recommended price or price range given in the internal research report. In principle, they shall not exceed the recommended price range in the research report. Offline investors who fail to submit the pricing basis and suggested price or price range before the inquiry shall not participate in the inquiry. If the offline investor fails to submit the pricing basis and suggested price or price range, the recommendation institution (lead underwriter) will deem the offline investor's quotation invalid.
3. Verification requirements for the asset scale of offline investors: the subscription amount of each product under the investor's own funds or management participating in the offline inquiry shall not exceed the asset scale (total assets) or capital scale specified in the asset certificate of the asset scale or capital scale provided to the sponsor (lead underwriter): among them, public funds, special fund accounts, asset management plans Private equity funds (including asset management plans of futures companies and their asset management subsidiaries) and other products shall provide valid proof materials of the total assets of the products on the fifth trading day before the preliminary inquiry date (February 23, 2022, T-8); The self operated investment account shall provide the explanatory materials on the capital scale of the self operated account issued by the company (the capital scale is up to February 23, 2022, T-8). The above-mentioned proof materials of asset scale or capital scale shall be stamped with the official seal of the company or the official seal of external certification agency.
In particular, offline investors are reminded that in order to promote the prudent quotation of offline investors and facilitate the verification of the asset scale of offline investors on the science and innovation board, the Shanghai stock exchange requires offline investors to make a commitment to the asset scale in the offline subscription platform, and invites offline investors to operate according to the relevant steps in "III. (V) preliminary inquiry". If the sponsor (lead underwriter) finds that the investor does not comply with the regulatory requirements of the industry and applies for purchase beyond the corresponding asset scale or capital scale, the subscription of the placing object is invalid; If the asset scale or capital scale filled in by the investor on the offline subscription platform is inconsistent with the asset scale or capital scale in the asset certification materials of the placing object submitted to the sponsor (lead underwriter), the sponsor (lead underwriter) has the right to determine that the quotation of the placing object is invalid. 4. Prudent quotation requirements for offline investors: in order to further standardize the order of issuing and underwriting new shares on the science and innovation board, offline investors are required to participate in offline inquiry in strict accordance with the principles of science, independence, objectivity and prudence, as follows:
(1) For the same IPO issue of the science and innovation board, the offline subscription platform can record at most two preliminary inquiry and quotation records submitted by investors under the same network. After entering all quotation records for all placing objects to be quoted, offline investors shall submit them at one time. If two quotation records are submitted, the quotation records submitted for the second time shall prevail.
(2) After submitting the quotation record for the first time, offline investors shall not modify it in principle. If it is necessary to modify it, they shall re perform the quotation decision-making procedure. They shall fill in the reason for the price change, the logical calculation basis of the price change range, and whether the previous quotation has insufficient pricing basis and incomplete quotation decision-making procedure, and archive the relevant materials for future reference. The submitted contents and archived materials for future reference will serve as an important basis for the subsequent regulatory authorities to verify the offline investors' quotation decision and relevant internal control systems.
5. Upper limit of offline subscription: the upper limit of the number of shares subscribed by each placing object in this offline issuance is 14 million shares, accounting for 51.46% of the initial offline issuance. Offline investors and their managed placing objects shall strictly comply with the regulatory requirements of the industry, strengthen risk control and compliance management, and prudently and reasonably determine the price and quantity to be purchased. 6. High price rejection mechanism: according to the preliminary inquiry results after excluding the quotations of unqualified investors, the issuer and the recommendation institution (lead underwriter) offer all qualified placing objects from high to low according to the proposed purchase price, and from small to large according to the proposed purchase quantity of placing objects at the same proposed purchase price For the same proposed purchase price and the same proposed purchase quantity, the application time (the application time shall be subject to the records of the offline purchase platform of the Shanghai Stock Exchange) shall be from last to first, and the same proposed purchase price shall be the same
