Southwest Securities Co.Ltd(600369)
About Citic Offshore Helicopter Co.Ltd(000099)
Verification opinions on the listing and circulation of non-public offering of some restricted shares
Southwest Securities Co.Ltd(600369) (hereinafter referred to as " Southwest Securities Co.Ltd(600369) " and "co sponsor") is one of the co sponsors of Citic Offshore Helicopter Co.Ltd(000099) (hereinafter referred to as " Citic Offshore Helicopter Co.Ltd(000099) " and "the company") for non-public offering of shares (hereinafter referred to as "this offering"), According to the company law of the people's Republic of China, the securities law of the people's Republic of China, the measures for the administration of securities issuance and listing recommendation business, the stock listing rules of Shenzhen Stock Exchange, and the self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 - standardized operation of companies listed on the main board In accordance with the provisions of relevant laws, regulations and normative documents such as the guidelines for information disclosure of listed companies of Shenzhen Stock Exchange No. 6 - recommendation business, the lifting of restrictions on the sale of Citic Offshore Helicopter Co.Ltd(000099) this non-public offering of shares has been verified. The specific verification is as follows:
1、 Basic information on the acquisition of restricted shares from non-public offering this time
On January 6, 2021, Citic Offshore Helicopter Co.Ltd(000099) (hereinafter referred to as " Citic Offshore Helicopter Co.Ltd(000099) ", "the company" or "the issuer") received the approval document on approving Citic Offshore Helicopter Co.Ltd(000099) non-public development of shares issued by China Securities Regulatory Commission (zjxk [2020] No. 3419), which approved the non-public offering of no more than 169699717 shares by the company, The above reply shall be valid within 12 months from the date of approval of issuance. According to the subscription of investors and in strict accordance with the issuance price, issuance object and the number of allocated shares determined in the issuance plan and the invitation for subscription, the company determines that the issuance price is 6.50 yuan / share, the number of shares issued is 169699717, and the total amount of raised funds is 110304816050 yuan.
The object of this issuance is finally determined as 16. The placement of this issuance is as follows:
Serial number name of issuing object number of allocated shares (shares) amount of allocated shares (yuan) lock up period
(month)
1 CITIC Investment Holding Co., Ltd. 6555500142610750650 36
2 Zhang Shilong 30769231999999950 6
3 Wu Xiaofeng 46153842999999600 6
4 Jinan Wenjing investment partnership (107692306999999500)
Limited partnership)
Serial number name of issuing object number of allocated shares (shares) amount of allocated shares (yuan) lock up period
(month)
5 Nord Fund Management Co., Ltd. 41538462699999900 6
6 Jiashu balance No. 3 private securities investment 5538461359999650 6
fund
7 kangmand dingzeng No. 7 private securities investment 5384615349999750 6
Endowment Fund
8 Jiashu balance No. 2 private securities investment 52307693399999850 6
fund
9 kangmand 105 investment fund 30769231999999950 6
10 kangmand 003 active management private 30769231999999950 6
Raised securities investment fund
11 Shu Yuqiang 30769231999999950 6
12 CAITONG Fund Management Co., Ltd. 9076923589999950 6
13 Zhang Qizhi 46153842999999600 6
14 Wang Shichun 30769231999999950 6
15 Qingdao huazi Shengtong equity investment fund 3846153824999999700 6
Partnership (limited partnership)
Nanchang high tech Industrial Development Zone
16 King aviation industry investment partnership 913951594068150 6
(limited partnership)
Total 169699717110304816050-
The nature of the above-mentioned new shares due to non-public offering of shares is tradable shares with limited sales conditions, and the new shares were listed on Shenzhen Stock Exchange on September 9, 2021.
In accordance with the relevant provisions of the measures for the administration of securities issuance by listed companies and the detailed rules for the implementation of non-public offering of shares by listed companies, except that the lock-in period of CITIC investment holding's subscription shares is 36 months, the sales restriction period of the shares held by other subscribers in this non-public offering is 6 months, which will be listed and traded on the Shenzhen Stock Exchange from the next trading day after the expiration of the sales restriction period, In case of legal holidays or rest days, it shall be postponed to the first trading day thereafter.
2、 Changes in the number of share capital of the company since the non-public offering and the listing of restricted shares
After the completion of this offering, the company added 169699717 non-public shares and tradable shares with limited sales conditions, and the total share capital increased from 606070420 shares to 775770137 shares. After the listing of restricted shares, the company has not changed the number of share capital due to distribution and conversion of accumulation fund, and the total number of share capital of the company has not changed.
3、 Listing and circulation of restricted shares in this non-public offering
1. The listing and circulation date of the restricted shares is Wednesday, March 9, 2022;
2. The number of restricted shares that can be listed and circulated this time is 104144716 shares, accounting for 134247% of the total share capital of the company;
3. A total of 41 shareholders of restricted shares lifted this time;
4. The details of the restricted shares lifted this time and the listing and circulation are shown in the following table (the proportion is retained two decimal places)
Bits):
Unit: shares
This release
The name of the holder of the restricted shares and the restricted share capital held by the holder of the restricted shares were released for the second time Frozen securities account name number of shares sold in proportion to the company's total share capital (%)
1 Zhang Shilong 307692330769230.40 0
2 Wu Xiaofeng Wu Xiaofeng 461538446153840.59 0
3 Wang Shichun Wang Shichun 30769230.40 0
4 Shu Yuqiang Shu Yuqiang 30769230.40 0
5 Zhang Qizhi Zhang Qizhi 461538446153840.594615384
6 Jinan Wenjing investment partnership Jinan Wenjing investment partnership (107692 Sino-High (China) Co.Ltd(301076) 92301.39 0 enterprise (limited partnership)
Qingdao huazi Shengtong equity Qingdao Technology Venture Capital Co., Ltd
7 investment fund partnership - Qingdao huazi Shengtong equity investment fund 38461538384615384.96 0 (limited partnership) partnership (limited partnership)
Nanchang high tech industry Nanchang high tech Industry Development Zone Huajing
8 Development Zone Huajing aviation industry investment partnership (limited 9139519139510.12 0 industry investment partnership)
(limited partnership)
Shenzhen kangmande Capital Management Co., Ltd
9 managed private equity securities investment division - No. 003 active managed 307692330769230.40 0 private equity securities investment fund
10 kangmand 105 investment Shenzhen kangmand Capital Management Co., Ltd. 307692330769230.40 0 Fund Department - kangmand 105 investment fund
Shenzhen kangmand Capital Management Co., Ltd
11 raised Securities Investment Fund Department - kangmand dingzeng No. 7 private securities 538461553846150.69 0 investment fund
Jiashu balance No. 2 private placement of Beijing Jiashu Asset Management Co., Ltd. --
12 securities investment fund jiashuping No. 2 private securities investment fund 52307690.67 0 gold
Jiashu balance No. 3 private placement of Beijing Jiashu Asset Management Co., Ltd. --
13. Securities investment fund Jiashu balance No. 3 private securities investment fund 553846155384610.71 0
14 CAITONG Fund Management Co., Ltd. CAITONG Fund - China Everbright Bank Company Limited Co.Ltd(601818) - Bank of China 7692317692310.10 0 company River Securities Co., Ltd
CAITONG Fund Bank Of Shanghai Co.Ltd(601229) - CAITONG foundation 461538461538
