Shaanxi Sirui New Material Co., Ltd
Initial public offering and listing on the science and Innovation Board
Announcement of offline preliminary placement results and online Winning Results
Sponsor (lead underwriter): Haitong Securities Company Limited(600837)
hot tip
The application of Shaanxi Sri new materials Co., Ltd. (hereinafter referred to as "Sri new materials", "issuer" or "company") for the initial public offering of RMB common shares (A shares) (hereinafter referred to as "this offering") has been examined and approved by the stock listing committee of the science and Innovation Board of Shanghai Stock Exchange, It has been approved to register by China Securities Regulatory Commission (hereinafter referred to as "CSRC") (zjxk [2022] No. 162). 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 issuer and the recommendation institution (lead underwriter) (hereinafter referred to as " Haitong Securities Company Limited(600837) " and "recommendation institution (lead underwriter)") negotiated and determined that the number of shares issued this time was 40.01 million shares. The initial strategic placement issued 6.015 million shares, accounting for 15% of the total number of shares issued this time. The subscription funds promised by the strategic investors have been remitted to the bank account designated by the sponsor (lead underwriter) within the specified time. The final strategic placement of this issuance is 5418524 shares, accounting for 13.54% of the total issuance.
The difference between the number of strategic placements and the initial number of strategic placements is first transferred back to offline issuance. Before the online and offline callback mechanism is started, the number of offline issuance is 27789976 shares, accounting for 80.34% of the number issued after deducting the final number of strategic placements; The number of shares issued online was 6.815 million, accounting for 19.66% of the number issued after deducting the final strategic placement.
According to the announcement on IPO arrangement and preliminary inquiry of Shaanxi Sri new materials Co., Ltd. and the announcement on IPO of Shaanxi Sri new materials Co., Ltd. and listing on the science and Innovation Board (hereinafter referred to as the "announcement on issuance arrangement and preliminary inquiry") and the announcement on IPO of Shaanxi Sri NEW materials Co., Ltd. and listing on the science and Innovation Board (hereinafter referred to as the "announcement on issuance") According to the announced callback mechanism, since the initial effective subscription multiple of this online offering is 444342 times, more than 100 times, the issuer and the sponsor (lead underwriter) decided to start the callback mechanism to adjust the scale of offline and online issuance, and callback 3459500 shares from offline to online. After the callback mechanism was launched, the final number of shares issued offline was 2433047600, accounting for 70.34% of the number issued after deducting the number of strategic placements, and the final number of shares issued online was 10261000, accounting for 29.66% of the number issued after deducting the number of strategic placements. After the online issuance mechanism is launched, the success rate is 390315%. Major changes have taken place in the payment process of this offering. Please pay special attention to it. The main changes are as follows: 1 Offline allocated investors shall, in accordance with the announcement on offline preliminary placement results and online winning results of initial public offering of shares by Shaanxi Sirui new materials Co., Ltd. and listing on the science and Innovation Board (hereinafter referred to as the announcement on offline preliminary placement results and online winning results), Before 16:00 on March 9, 2022 (T + 2), timely and fully pay the new share subscription fund and the corresponding new share placement brokerage commission (rounded to the nearest cent). Offline allocated investors shall transfer the corresponding new share placement brokerage commission when paying the new share subscription fund. Offline investors are allocated multiple new shares every day. Please pay for each new share separately. In the case of multiple new shares allocated on the same day, if only one total amount is remitted, the consolidated payment will lead to the failure of accounting, and the resulting consequences shall be borne by the investors themselves.
After the online investors win the subscription of new shares, they shall fulfill the obligation of capital settlement according to the announcement of offline preliminary placement results and online winning results, so as to ensure that their capital account will have sufficient new share subscription funds on March 9 (T + 2) 2022. The transfer of investors' funds shall comply with the relevant provisions of the securities company where the investors are located. The shares that offline and online investors give up to subscribe for are underwritten by the sponsor (lead underwriter).
2. In this offline offering, securities investment funds and other partial share asset management products (hereinafter referred to as "public offering products"), National Social Security Fund (hereinafter referred to as "social security fund"), basic endowment insurance fund (hereinafter referred to as "pension") established by public offering Among the enterprise annuity fund (hereinafter referred to as "enterprise annuity fund") established in accordance with the measures for the administration of enterprise annuity fund, insurance funds (hereinafter referred to as "insurance funds") in accordance with the measures for the administration of the use of insurance funds and other relevant provisions, and qualified foreign institutional investors, 10% of the final allocated accounts (rounded up), It shall promise that the restricted period of the shares to be placed this time is 6 months from the date of the issuer's initial public offering and listing. The restricted account will be determined by lottery after the offline investors complete the payment. The lottery number of the online lower limit sale account will be allocated according to the placing object, and each placing object will be assigned a number. Once offline investors quote, they will be deemed to accept the online lower limit selling period arrangement of this offering.
3. When the total number of shares paid and subscribed by offline and online investors is less than 70% of the number of shares issued after deducting the final strategic placement, the sponsor (lead underwriter) will suspend the issuance of new shares and disclose the reasons for the suspension and subsequent arrangements.
4. If the offline investors with valid quotation fail to participate in the subscription or obtain the preliminary placement, and the offline investors fail to pay the subscription amount in time and in full, it will be deemed as a breach of contract and shall bear the liability for breach of contract. The recommendation institution (lead underwriter) shall report the breach of contract to the China Securities Association for the record.
If online investors fail to pay in full after winning the lottery three times in a row within 12 months, they shall not participate in the subscription of new shares, depositary receipts, convertible corporate bonds and exchangeable corporate bonds within 6 months (calculated as 180 natural days, including the next day) from the next day when CSDCC Shanghai branch receives the purchase abandonment declaration. The number of times of giving up subscription shall be calculated according to the number of times of investors actually giving up subscription of new shares, depositary receipts, convertible corporate bonds and exchangeable corporate bonds.
5. Once this announcement is published, it shall be deemed to have served the notice of allotment payment to the online investors who have participated in the online subscription and won the lot and all allotment objects who have obtained the allotment of offline issuance.
1、 Final result of strategic placement
(I) participants
The payment and placement of the strategic placement of this offering have been completed, and the strategic investors of this offering have participated in the strategic placement of this offering as promised. It is confirmed that the strategic placement of strategic investors participating in this issuance disclosed in the issuance announcement is effective.
The final strategic placement results of this offering are as follows:
Name of strategic investor number of allocated shares (shares) amount allocated (yuan) restricted period of new share placement brokerage
Commission (yuan)
Haitong innovation Securities Investment Co., Ltd. 20005 Hunan Nanling Industry Explosive Material Co.Ltd(002096) 524000 0 24 months
company
Haitong futures Sri new material staff
Participated in the strategic placement set of science and innovation board 3418024358208915217910446 for 12 months
Cooperative asset management plan
Total 5418524567861315217910446-
2、 Online lottery results
According to the issuance announcement, the issuer and the recommendation institution (lead underwriter) presided over the lottery winning ceremony for the online issuance of Sri new materials' initial public offering shares at the Haitang hall, the conference room on the fourth floor of Zijinshan Hotel, 778 Dongfang Road, Pudong, Shanghai on the morning of March 8 (T + 1), 2022. The lottery ceremony was conducted in accordance with the principles of openness, fairness and impartiality. The process and results of the lottery have been notarized by Shanghai Oriental notary office. The winning results are as follows:
Last digit winning lot number
Last "4" digit: 965646562554
Last "5" digits 947284472873181
The last "6" digits are 358752483752608752733752858752,
983752233752108752757106
Last "7" digits 314800445148004714800491480041148004
Last "8" digit 24894672036129510653191456949441
The number of shares issued by Shaanxi sifan online subscription Co., Ltd. is the same as the number of shares issued by Shaanxi sifan online subscription Co., Ltd. There are 20522 winning numbers in total, and each winning number can only subscribe for 500 A-Shares of Sri new material.
3、 Offline issuance and subscription and preliminary placement results
(I) offline issuance and subscription
According to the measures for the administration of securities issuance and underwriting (CSRC order [No. 144]), 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), the 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) The sponsor (lead underwriter) has verified and confirmed the qualification of investors participating in offline subscription in accordance with the relevant provisions such as the code for underwriting initial public offering of shares under the registration system (Zhong Zheng Xie Fa [2021] No. 213) and the detailed rules for the administration of offline investors of initial public offering of shares on the science and Innovation Board (Zhong Zheng Xie Fa [2019] No. 149). According to the effective subscription results finally received by the offline electronic subscription platform of Shanghai Stock Exchange, the sponsor (lead underwriter) makes the following statistics:
The offline subscription of this offering has been completed on March 7, 2022 (t day). After verification, it is confirmed that 6536 valid offer placement objects managed by 275 offline investors disclosed in the issuance announcement have made offline subscription in accordance with the requirements of the issuance announcement, and the number of offline valid subscription is 8852790 million shares.
(II) preliminary offline placement results
According to the offline placement principles and calculation methods published in the issuance arrangement and preliminary inquiry announcement and the issuance announcement, the issuer and the sponsor (lead underwriter) have made a preliminary placement of offline issued shares. The preliminary placement results are as follows:
Effective subscription accounts for the number of offline placements, and the number of allocated shares accounts for the number of shares of various investor categories (the number of 10000 effective subscriptions (shares) the proportion of total offline placement shares)
Class a investors 401115045.31% 1727752071.01% 004307373%
Class B investors 498200.56% 2145450.88% 004306403%
Class C investors 479182054.13% 683841128.11% 001427101%
Total 8852790100.00% 24330476100.00%-
Note: if the total number is inconsistent with the mantissa of the sum of the sub item values, it is caused by rounding.
Among them, 929 zero shares were placed to "Ruiyuan Wenjin configuration two-year holding hybrid securities investment fund" in accordance with the offline placement principle announced in the announcement on issuance arrangement and preliminary inquiry, which is the placement object with the largest number of subscription and the earliest time of subscription among class a investors (subject to the application time and subscription number displayed on the offline subscription platform of the Shanghai Stock Exchange), And the total amount allocated does not exceed the effective subscription amount of the placing object.
The above preliminary placement arrangements and results comply with the placement principles announced in the announcement of issuance arrangements and preliminary inquiry. See "attached table: details of offline investor placement" for the preliminary placement of each placement object.
4、 Lottery number under the distribution network
The issuer and the recommendation institution (lead underwriter) will conduct the lottery of the online lower limit sale account of this offering in Haitang hall, conference room on the fourth floor of Zijinshan Hotel, No. 778 Dongfang Road, Pudong, Shanghai on the morning of March 10 (T + 3), 2022, and will be published in Shanghai Securities News, China Securities News on March 11 (T + 4), 2022 The announcement on the results of the initial public offering and listing of Shaanxi Sirui new materials Co., Ltd. on the science and Innovation Board disclosed by the securities times and the Securities Daily announced the lottery results of the online lower limit sales account.
5、 Contact information of sponsor (lead underwriter)
If offline investors have any questions about the offline preliminary placement results announced in this announcement, please contact the sponsor (lead underwriter) of this offering. Specific contact information is as follows:
