Securities code: 601236 securities abbreviation: Hongta Securities Co.Ltd(601236) Announcement No.: 2022-012
Hongta Securities Co.Ltd(601236) announcement of shareholders' share reduction plan
The board of directors, all directors and relevant shareholders of the company guarantee that there are no false records, misleading statements or major omissions in the contents of this announcement, and bear individual and joint liabilities for the authenticity, accuracy and completeness of its contents. Important content tips:
Basic information of shareholders' shareholding: as of the date of disclosure of this announcement, Yunnan Investment Holding Group Co., Ltd
The company (hereinafter referred to as "cloud investment group") holds 850255839 tradable shares of Hongta Securities Co.Ltd(601236) (hereinafter referred to as "the company" and " Hongta Securities Co.Ltd(601236) "), accounting for 18.03% of the total share capital of the company, The sources of the aforesaid shares are 654042953 shares held by the company before its initial public offering and listing, and 196212886 shares allotted by the company's public offering securities. Among them, cloud investment group holds
Before the initial public offering, the shares of the company will be listed and circulated from July 6, 2020, and the allotment shares held by the company will be developed by the public
The shares allocated to the bank's securities will be listed and circulated from August 25, 2021.
Main contents of the reduction plan: due to the needs of business development, the total number of shares to be reduced by cloud investment group shall not exceed
More than 188671500 shares, accounting for no more than 4.00% of the total shares of the company. Among them, it is planned to start from March 4, 2022
During the period from August 31, 2022 to August 31, 2022, no more than 188671500 shares were reduced through block trading,
Accounting for no more than 4.00% of the total shares of the company, or from March 22, 2022 to September 18, 2022
At the same time, no more than 94335750 shares are reduced through centralized bidding trading, accounting for no more than 2.00% of the total shares of the company. The reduction price shall be determined according to the market price. During the implementation of the reduction plan, if Hongta Securities Co.Ltd(601236) there are ex rights issues of share capital such as share distribution, conversion to share capital, issuance of new shares or allotment of shares, the reduction plan will be adjusted accordingly.
Recently, Hongta Securities Co.Ltd(601236) received the notification letter of Yunnan Investment Holding Group Co., Ltd. on the reduction plan issued by the company's shareholder cloud investment group. Now the relevant information is announced as follows: I. Basic information of the reduction subject
Shareholder name shareholder identity shareholding number (shares) shareholding proportion current shareholding source
More than 5% of cloud Investment Group's non 850255839 18.03% acquired before IPO:
A major shareholder 654042953 shares
Obtained by other means:
196212886 shares
The above reduction subjects have no concerted action.
Cloud Investment Group has not reduced its shares of the company since Hongta Securities Co.Ltd(601236) was listed.
2、 Main contents of share reduction plan
Reduction and combination
Shareholders plan to reduce their holdings, plan to reduce their holdings, auction transactions, reduce their holdings, plan to reduce their holdings, and adjust the price of the original reduction method
Name, quantity (share) proportion, holding period, share source
section
The reduction of block trading shall not exceed that obtained before IPO
47,167,800
Over: 188671500 shares
Cloud investment set no more than: March 22, 2022 ~ share allotment and public development according to the market price
No more than: 4.00% reduction in competitive trading, no more than 188671500 shares obtained by gehang securities on September 18, 2022
Over: 94335750 shares 141503700
Shares.
Note:
1. During the implementation of the reduction plan, if Hongta Securities Co.Ltd(601236) there are bonus shares, conversion to share capital, additional issuance of new shares or allotment of shares
In case of equity ex rights, the reduction plan will be adjusted accordingly;
2. The reduction period of block trading is from March 4, 2022 to August 31, 2022;
3. The total number of shares to be reduced shall not exceed 188671500, accounting for no more than 4.00% of the total number of shares of the company.
Among them, the reduction of block transactions shall not exceed 188671500 shares, accounting for no more than 4.00% of the total shares of the company;
Or at the same time, the number of shares reduced through competitive trading shall not exceed 94335750, accounting for no more than 100% of the total shares of the company
2.00%；
4. If the shares are reduced through block trading, the total number of shares shall be reduced within any continuous 90 natural days
Not more than 2% of the total share capital of Hongta Securities Co.Ltd(601236) , and the total reduction in the reduction period shall not exceed the total share capital of Hongta Securities Co.Ltd(601236)
4% of the number, i.e. not more than 188671500 shares;
5. If the shares are reduced through centralized bidding trading, the shares shall be reduced within any continuous 90 natural days
The total amount shall not exceed 1% of the total share capital of Hongta Securities Co.Ltd(601236) . During the reduction period, the total reduction shall not exceed 2% of the total share capital of Hongta Securities Co.Ltd(601236) , i.e. no more than 94335750 shares
（1） Whether the relevant shareholders have other arrangements □ yes √ no
（2） Whether the major shareholders and the directors, supervisors and senior executives have previously made commitments on the shareholding ratio, number of shares held, shareholding period, reduction method, number of shares reduced, reduction price, etc. √ yes □ no
Cloud investment group promised in the prospectus for initial public offering of shares of Hongta Securities Co.Ltd(601236) :
1. Within 12 months from the date of Hongta Securities Co.Ltd(601236) initial public offering and listing, the company will not transfer or entrust others to manage the Hongta Securities Co.Ltd(601236) shares directly or indirectly held by the company before Hongta Securities Co.Ltd(601236) initial public offering, nor will Hongta Securities Co.Ltd(601236) repurchase these shares.
2. For the Hongta Securities Co.Ltd(601236) shares held by the company through capital increase within three years before Hongta Securities Co.Ltd(601236) submitting the regulatory opinion on application for IPO listing, the company promises not to transfer or entrust others to manage such shares or repurchase such shares by Hongta Securities Co.Ltd(601236) within 36 months from the date of holding shares or 12 months from the date of Hongta Securities Co.Ltd(601236) listing (whichever is longer). The shareholding date shall be confirmed according to the date when the equity change is approved by the CSRC or reported to the CSRC for filing.
3. For the Hongta Securities Co.Ltd(601236) shares held by the company before the initial public offering of Hongta Securities Co.Ltd(601236) shares, within two years after the expiration of the stock lock-in period, the company may reduce the shares on the premise of complying with the provisions of relevant laws, regulations and normative documents and meeting the following conditions at the same time:
(1) Premise of reduction: there is no violation of the relevant commitments made by the company when applying for IPO and listing in Hongta Securities Co.Ltd(601236) ;
(2) Reduction price: comply with laws, regulations and relevant provisions of China Securities Regulatory Commission and Shanghai Stock Exchange;
(3) Reduction methods: through block trading, centralized bidding and other methods in accordance with relevant laws, regulations and normative documents;
(4) Number of shares reduced: the number of shares reduced each year shall not exceed 1% of the total number of Hongta Securities Co.Ltd(601236) shares;
(5) Announcement: when the reduction is implemented, it will be announced through Hongta Securities Co.Ltd(601236) three trading days in advance. If the regulatory authorities issue more stringent regulations on the reduction of shares, the company shall comply with the requirements of the regulatory authorities at that time.
The company will actively take legal measures to fulfill all relevant commitments made on Hongta Securities Co.Ltd(601236) application for IPO and listing, voluntarily accept the supervision of supervision authorities, the public and investors, and bear corresponding responsibilities according to law.
The company will strictly abide by the provisions of Chinese laws and regulations on shareholders' shareholding and share changes, and perform the obligations of shareholders in good faith. If the company reduces its holdings in violation of this letter of commitment, 20% of each reduction shall be owned by Hongta Securities Co.Ltd(601236) .
Whether the proposed reduction is consistent with the previously disclosed commitments √ yes □ no
（3） No other matters required by the exchange. 3、 Relevant risk tips (I) uncertain risks of the implementation of the reduction plan, such as the preconditions and restrictive conditions for the implementation of the plan, as well as the specific conditions for the achievement or elimination of relevant conditions, etc
Cloud Investment Group will decide whether to implement the share reduction plan according to the market and the company's share price. Therefore, the implementation of the share reduction plan is uncertain about the reduction time, reduction quantity and reduction price. Please pay attention to the investment risk. （2） Whether the implementation of the share reduction plan may lead to the risk of change in the control of the listed company □ yes √ no (III) other risk tips
Cloud Investment Group will strictly abide by relevant laws and regulations and corresponding commitment requirements, and timely fulfill the obligation of information disclosure. It is hereby announced.
Hongta Securities Co.Ltd(601236) board of directors February 25, 2022
