About Zte Corporation(000063)
Recommendation summary report of non-public offering of a shares
China Securities Co.Ltd(601066) (hereinafter referred to as ” China Securities Co.Ltd(601066) securities” or “sponsor”) is the sponsor of Zte Corporation(000063) (hereinafter referred to as ” Zte Corporation(000063) ” or “company”) non-public offering of a shares. As of December 31, 2021, the continuous supervision period of Zte Corporation(000063) non-public offering of A-Shares has expired, and the recommendation institution has issued this recommendation summary report in accordance with the requirements of relevant regulations and normative documents. 1、 Commitment of recommendation institution and recommendation representative
1. There are no false records, misleading statements or major omissions in the contents of the recommendation summary report, supporting documents and relevant materials, and the recommendation institution and the recommendation representative shall bear legal responsibility for its authenticity, accuracy and completeness.
2. The institution and I voluntarily accept any inquiry and investigation conducted by the CSRC on matters related to the recommendation summary report.
3. This institution and myself voluntarily accept the regulatory measures taken by the CSRC in accordance with the relevant provisions of the measures for the administration of securities issuance and listing recommendation business. 2、 Basic information of the sponsor
Name of recommendation institution China Securities Co.Ltd(601066)
Registered address: Building 4, No. 66 Anli Road, Chaoyang District, Beijing
Main office address: 22 / F, block B, Rongchao business center, 6003 Yitian Road, Futian District, Shenzhen
Legal representative: Wang Changqing
The sponsor representatives of the project are Wu Chunlei and Qiu Ronghui
Project contact: Wu Chunlei
Tel: 075523953869
Whether to change the sponsor or other circumstances
3、 Basic information of listed companies
Name of issuer Zte Corporation(000063)
Date of establishment: November 11, 1997
Securities code: Zte Corporation(000063)
Listing time: November 11, 1997
Registered capital: 4613434898 yuan
Registered address Zte Corporation(000063) building, Keji South Road, high tech Industrial Park, Nanshan District, Shenzhen
Main office address Zte Corporation(000063) building, Keji South Road, high tech Industrial Park, Nanshan District, Shenzhen
Legal representative: Li Zixue
Ding Jianzhong, Secretary of the board of directors
Tel: 86-75526770282
The type of securities issuance is non-public issuance of a shares
The securities were listed on February 4, 2020
The listing place of the securities is Shenzhen Stock Exchange
4、 Overview of sponsor work
(I) due diligence recommendation stage
China Securities Co.Ltd(601066) securities shall, in accordance with the provisions of relevant laws and regulations, conduct due diligence on the issuer, organize various intermediaries to prepare application documents and issue recommendation documents; After submitting the application documents to the CSRC, actively cooperate with the examination of the CSRC, organize the issuer and various intermediaries to reply to the feedback of the CSRC and maintain communication; After being approved by the CSRC, the issuance of shares shall be handled in accordance with the measures for the administration of securities issuance of listed companies and the stock listing rules of Shenzhen Stock Exchange, and reported to the CSRC for the record.
(II) supervise the company to fulfill the obligation of information disclosure
1. Supervise the company and its directors, supervisors and senior managers to abide by various laws and regulations and earnestly fulfill their commitments. Pay attention to the implementation of various corporate governance systems, internal control systems and information disclosure systems of the company, improve the system to prevent major shareholders and other related parties from illegally occupying the funds of the listed company and prevent senior managers from damaging the interests of the listed company by taking advantage of their positions, and supervise the legal and compliant operation of the company.
2. Supervise the company to store and manage the raised funds in accordance with the relevant laws and regulations of China Securities Regulatory Commission and Shenzhen Stock Exchange, continuously pay attention to the use of the raised funds and the progress of the raised investment projects, as well as the construction of the company’s raised funds management system, and assist the company in formulating relevant systems.
3. Supervise the company to fulfill the obligation of information disclosure in strict accordance with the company law, securities law and other relevant laws and regulations. Review the company’s periodic reports and other public information disclosure documents in advance; Those that have not been reviewed in advance have been reviewed in time after the company’s relevant announcement.
4. Supervise the company to operate and manage related party transactions in strict accordance with relevant laws and regulations and the articles of association, and implement the internal approval procedures, information disclosure system and pricing mechanism of related party transactions. 5. Conduct regular or irregular on-site inspection on the company, interview with relevant departments and personnel of the issuer, and timely submit the special inspection report on raised funds, on-site inspection report on continuous supervision, annual report and other materials to China Securities Regulatory Commission and Shenzhen Stock Exchange.
6. Continue to pay attention to the performance of relevant commitments of the company’s controlling shareholders. 5、 Major events and handling during the performance of recommendation duties
During the period when the recommendation institution performs its recommendation duties, the company has no major events that need to be handled by the recommendation institution. 6、 Explanation and evaluation of listed companies’ cooperation with sponsors
The company has actively cooperated with the recommendation institution and the recommendation representative in the due diligence, on-site inspection, oral or written inquiry and other work in the recommendation, and there is no situation affecting the recommendation work. 7、 Description and evaluation of the securities service institutions’ participation in the work related to securities issuance and listing. The securities service institutions employed by the company are diligent and dutiful in performing their respective duties. In the process of due diligence recommendation of the recommendation institution, the securities service institution hired by the company can issue professional opinions in accordance with the provisions of relevant laws and regulations, and actively cooperate with the coordination and verification of the recommendation institution. During the continuous supervision of the sponsor on the company, the securities service institution hired by the company can issue relevant professional opinions in time according to the requirements of the exchange. 8、 Concluding comments on the review of information disclosure of listed companies
For the important information disclosure documents related to the recommendation work of the issuer, the recommendation institution adopts the combination of pre review and post review to supervise the issuer to strictly perform the relevant procedures of information disclosure, standardize the operation, and continuously improve the level of corporate governance and the transparency of information disclosure. After verification, the recommendation institution believes that: Zte Corporation(000063) during the continuous supervision, the information disclosure meets the requirements of the measures for the administration of information disclosure of listed companies and relevant laws and regulations, the content and format are legal and compliant, the information disclosure archives are complete, and there are no false records, misleading statements or major omissions. 9、 Concluding comments on the review of the use of raised funds of listed companies
After the funds raised in this offering are in place, the company, the sponsor and the deposit bank of the raised funds have timely signed the supervision agreement on the raised funds; The company shall use the raised funds in strict accordance with the regulatory agreement Zte Corporation(000063) raised funds shall be used in accordance with the purposes promised in the documents approved by the regulatory authorities and publicly disclosed; There are no circumstances such as changing the purpose of the raised funds without performing the review procedures. The recommendation institution has followed the principles of diligence and good faith, earnestly performed the obligation of due diligence, and paid continuous and necessary attention to whether major events have occurred to the issuer. 10、 Other declaration items required by the CSRC and the exchange
Other matters not required by Shenzhen Stock Exchange and China Securities Regulatory Commission.
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