Shandong Tianyue advanced technology Co., Ltd
Initial public offering and listing on the science and Innovation Board
Issuance arrangement and preliminary inquiry announcement
Co sponsor (co lead underwriter): Guotai Junan Securities Co.Ltd(601211)
Co sponsor (co lead underwriter): Haitong Securities Company Limited(600837)
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Important tips
Shandong Tianyue advanced technology Co., Ltd. (hereinafter referred to as “Tianyue advanced”, “issuer” or “company”) 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”) The measures for the administration of securities issuance and underwriting (CSRC order [No. 144]) (hereinafter referred to as the “measures”) and the 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]) are promulgated by Shanghai Stock Exchange (hereinafter referred to as the “Shanghai Stock Exchange”) 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”), 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 offerings in Shanghai market (SZF [2018] No. 40) (hereinafter referred to as “detailed rules for the implementation of online issuance”) and detailed rules for the implementation of offline issuance of initial public offerings in Shanghai market (SZF [2018] No. 41) (hereinafter referred to as “detailed rules for the implementation of offline issuance”), promulgated by China Securities Association The code for underwriting initial public offerings under the registration system (zxsf [2021] No. 213) (hereinafter referred to as the “underwriting code”), the detailed rules for the administration of offline investors in initial public offerings (zxsf [2018] No. 142), the rules for the administration of offline investors in initial public offerings under the registration system, and Relevant provisions such as the guidelines for the classification, evaluation and management of offline investors of initial public offering under the registration system (Zhong Zheng Xie Fa [2021] No. 212), as well as relevant provisions such as the stock issuance and listing rules and the latest operation guidelines of Shanghai Stock Exchange, initial public offering of shares and listing on the science and innovation board.
Guotai Junan Securities Co.Ltd(601211) (hereinafter referred to as ” Guotai Junan Securities Co.Ltd(601211) “) and Haitong Securities Company Limited(600837) (hereinafter referred to as ” Haitong Securities Company Limited(600837) “) ( Guotai Junan Securities Co.Ltd(601211) and Haitong Securities Company Limited(600837) hereinafter collectively referred to as “joint sponsor (joint lead underwriter)” or “joint lead underwriter”) serve as the joint sponsor (joint lead underwriter) for the initial public offering of shares of Shandong Tianyue advanced technology Co., Ltd. and listing on the science and innovation board.
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 the market value of non restricted A-Shares and non restricted depositary receipts in Shanghai market (hereinafter referred to as “online issuance”) ）Combined. The strategic placement, preliminary inquiry and online and offline issuance of this offering shall be organized and implemented by Haitong Securities Company Limited(600837) . The strategic placement of this offering is conducted at Haitong Securities Company Limited(600837) , The preliminary inquiry and offline subscription are conducted through the IPO offline subscription electronic platform of Shanghai Stock Exchange (hereinafter referred to as the “offline subscription platform”), and the online issuance is conducted through the trading system of Shanghai Stock Exchange. Please read this announcement carefully. For details of the preliminary inquiry and electronic offline issuance, please refer to the announcement published on the website of Shanghai Stock Exchange (www.sse. Com.. CN.) 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 Shandong Tianyue advanced technology securities, which is abbreviated as Tianyue advanced technology securities
limited company
Securities code / offline subscription 688234 online subscription code 787234
code
Offline subscription referred to as Tianyue advanced online subscription referred to as Tianyue subscription
Industry name computer, communication and other industry code C39
Electronic equipment manufacturing
Basic information of this offering
This issuance adopts directional placement to strategic investors (hereinafter referred to as “strategic placement”), inquiry placement to qualified investors under the mode of online issuance (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”) ）Combined.
Pricing method offline preliminary inquiry directly determines the issue price, and offline cumulative bid inquiry is no longer performed
Total share capital before issuance (RMB 38673.9939) number of shares to be issued (RMB 10000) 4297.1105
Shares)
The estimated number of new shares issued is 4297.1105 and the estimated number of old shares transferred is 0
(10000 shares) (10000 shares)
Total share capital after issuance (10000 shares of the number to be issued)
10.00) proportion of total share capital after 42971.1044
（%）
Initial online issuance 687.5000 initial offline issuance 2750.1884
(10000 shares) (10000 shares)
The number of proposed offline subscriptions is 1400, and the number of proposed offline subscriptions is 100
Upper limit (10000 shares) lower limit (10000 shares)
The number of initial strategic placements is 859.4221, accounting for 20% of the proposed initial strategic placements
(10000 shares) issued quantity ratio (%)
Initial follow-up shares of the company (3437688 shares subscribed by the asset management plan / / 74.97million yuan (including shares) amount limit (10000 shares / 10000 new share placement brokerage commission) yuan)
Is there any other strategy with a new share placement brokerage commission of 0.5
Selling arrangement rate (%)
Important date of this issuance
Preliminary inquiry date and date of publication of issuance announcement from December 28, 2021 to December 30, 2021 (9:30-15:00)
Offline Subscription Date and from to December 31, 2021 online subscription date and from to December 31, 2021 time (9:30-15:00) time (9:30-11:30,
13:00-15:00）
Offline payment date and deadline: January 5, 2022 online payment date and deadline: January 5, 2022 end at 16:00
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 China Securities Association before 12:00 noon on December 27 (T-4), 2021, and through Haitong Securities Issuance electronic platform (website: https://dzfx.htsec.com./ipoht/index.html#/app/Main ）Online submission of letter of commitment and relevant verification materials.
The co lead underwriters have 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 offline investor standard requirements determined by the issuer and the joint lead underwriters can participate in the preliminary inquiry of this offering. Those who participate in the preliminary inquiry of this offering without meeting the relevant standards shall bear all the consequences caused by this behavior. The joint lead underwriters will set their 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 pricing basis and recommended price or price range on the trading day (December 27, 2021, T-4) 13:00-14:30, 15:00-22:00 or the preliminary inquiry day before the preliminary inquiry day (December 28, 2021, T-3) 6:00-9:30, submit the pricing basis and the recommended 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, which shall not exceed the recommended price range of the research report in principle. They have not submitted the pricing basis before the inquiry And offline investors with suggested prices or price ranges shall not participate in the inquiry. If the offline investor fails to submit the pricing basis and recommended price or price range, the joint sponsor (joint lead underwriter) will deem the quotation of the offline investor 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 or capital scale specified in the asset certificate of asset scale (total assets) or capital scale provided to the joint lead underwriters: public funds, special fund accounts, asset management plans and private funds (including the asset management plan of the futures company and its asset management subsidiaries) and other products shall provide the effective proof materials of the total assets of the products on the fifth trading day before the preliminary inquiry date (December 21, 2021, T-8); the self operated investment account shall provide the explanation materials of the capital scale of the self operated account issued by the company (capital scale up to December 21, 2021, T-8). The above asset scale or capital scale certification materials shall be stamped with the official seal of the company or the official seal of an 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 promise the asset scale in the offline subscription platform, Offline investors are requested to make a preliminary inquiry according to “III. (V)” Follow the relevant steps in. If the joint lead underwriter finds that the investor does not comply with the industrial regulatory requirements 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 joint lead underwriters, the joint lead underwriters have 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 issuance and underwriting of 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, The details are as follows: (1) for the same sci tech Innovation Board IPO issue, the offline subscription platform shall record at most two preliminary inquiry and quotation records submitted by the same offline investor. After entering all quotation records for all placing objects to participate in the quotation, the offline investor shall submit them at one time. If two quotation records are submitted, the quotation records submitted at 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 price change, the logical calculation basis of price change range, and whether the previous quotation has insufficient pricing basis and incomplete quotation decision-making procedure, and file relevant materials for future reference The submitted contents and archived materials for future reference will be used as an important basis for subsequent regulators to verify offline investors’ quotation decisions and relevant internal control systems.
5. Upper limit of offline subscription: the upper limit of the number of subscription shares of each placement object issued offline this time is 14 million shares, accounting for
