Haitong Securities Company Limited(600837)
About Hvsen Biotechnology Co.Ltd(300871)
2021 continuous supervision and tracking report
Name of recommendation institution: Haitong Securities Company Limited(600837) abbreviation of the recommended company: Hvsen Biotechnology Co.Ltd(300871)
Name of sponsor representative: Chen Yuan Tel.: 02123219000
Name of sponsor representative: Han Chao Tel: 02123219000
1、 Overview of sponsor work
Project work content
1. Review of information disclosure of the company
(1) Whether the company's information disclosure documents are reviewed in time
(2) Failing to review the company's information disclosure documents in time
Times 2. Supervise the company to establish, improve and effectively implement rules and regulations (1) whether supervise the company to establish and improve rules and regulations (including but not limited to preventing related parties from occupying the company)
Resource management system, fund-raising management system, internal
Control degree, internal audit system and related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Query the company's special account for raised funds twice
(2) Is the progress of the company's fund-raising project consistent with the letter
Consistency of interest disclosure documents 4. Corporate governance supervision
(1) 2 times of attending the general meeting of shareholders of the company as nonvoting delegates
(2) 2 times of attending the board of directors of the company as nonvoting delegates
(3) 2 times of attending the board of supervisors of the company as nonvoting delegates
5. On site inspection
(1) Number of on-site inspections: 1
(2) Whether the on-site inspection report is in accordance with the provisions of the exchange
Submitted
Liang Dongguo negligently reduced his holdings, and the transaction price was lower than the adjusted issue price. It has submitted to Shenzhen Stock Exchange (3) the description of the main problems found in the on-site inspection and the rectification, and promised that similar situations will not occur again. The sponsor will continue to pay attention to the above matters and urge the original shareholders of the company to reduce their holdings in strict accordance with their commitments made in the prospectus for initial public offering and listing on GEM before listing.
6. Independent opinions
(1) 8 times of expressing independent opinions
(2) The issues and conclusions involved in expressing non consenting opinions are not applicable
Opinion 7. Report to the exchange (except for the on-site inspection report)
(1) 0 times reported to the exchange
(2) The main contents of the report are not applicable
(3) The progress or rectification of the reported items is not applicable
8. Pay attention to the performance of duties
(1) Are there any matters needing attention? No
(2) The main contents of the concerns are not applicable
(3) The progress or rectification of concerns is not applicable
9. Is the recommendation business record kept
Compliance 10. Training of listed companies
(1) Training times: 1 time
(2) Training date: December 20, 2021
(3) The main contents of the training are the management and use of raised funds of listed companies
11. Other sponsor work that needs to be explained none
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. Information disclosure is not applicable
2. The establishment and implementation of the company's internal system are all applicable
that 's ok
3. The operation of the "three sessions" is applicable
4. The change of controlling shareholders and actual controllers is applicable
move
5. The deposit and use of raised funds are applicable
6. Related party transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are not applicable
9. Other business categories and important matters
(including foreign investment, venture capital, none is not applicable)
Entrusted financial management, financial assistance, hedging, etc.)
10. None of the issuer's or its employees is not applicable
Cooperation of intermediary institutions with recommendation 11. Others (including business environment
Business development, financial status and management certificate are all applicable
Major changes in technology, core technology, etc.)
3、 Performance of commitments of the company and shareholders
Reasons for whether the company and shareholders have not fulfilled their commitments and measures to solve them
1. It is not applicable to avoid, reduce and standardize related transactions
Yi's commitment
2. The avoidance of controlling shareholders and actual controllers is not applicable
Commitment to avoid horizontal competition
3. The assumption of social security and housing reserve is not applicable
Commitment of supplementary payment obligation
4. It is not applicable to undertake the demolition of some auxiliary facilities
Except for the commitment of relocation cost obligation
5. Chengliang Dongguo, who has the intention of share locking and reduction, negligently promised to reduce its holdings. Whether the transaction price is lower than the adjusted issue price.
It has submitted to Shenzhen Securities
The exchange shall submit the information statement and promise that similar situations will not occur again.
6. The commitment to stabilize the stock price is not applicable
7. Share repurchase and legal compensation are not applicable
Or commitment of compensation liability
8. The commitment to fill the diluted immediate return is not applicable
Promise
9. The commitment of profit distribution policy is not applicable
10. Equity incentive commitment is not applicable
4、 Other matters
Description of report items
The convertible corporate bonds issued by the company to unspecified objects were listed on Shenzhen Stock Exchange on January 7, 2022. The sponsor representatives were changed from Kong Linghai and Jin Tao 1. The sponsor representative and its reasons were changed to Chen Yu'an and Wu Yi.
Mr. Wu Yi, the original sponsor representative, left for personal reasons
Haitong Securities appointed Han Chao to replace Wu Yi to continue to perform the continuous supervision work
Supervise the work.
2. During the reporting period, the CSRC and the bourse did not take regulatory measures against the institution or the company recommended by the CSRC and the Shenzhen stock exchange during the reporting period
Matters and rectification of management measures.
3. Other major matters to be reported none
(no text below)
(there is no text on this page, which is the signature and seal page of Haitong Securities Company Limited(600837) on Hvsen Biotechnology Co.Ltd(300871) 2021 annual continuous supervision and tracking report) signature of the sponsor representative:
Chen Yuan, Han Chao
Sponsor: Haitong Securities Company Limited(600837) March 10, 2022
