Haitong Securities Company Limited(600837)
About 3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd
Verification opinions on the deposit and use of raised funds in 2021
Haitong Securities Company Limited(600837) (hereinafter referred to as ” Haitong Securities Company Limited(600837) ” or “sponsor”) as a continuous supervision sponsor of 3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd. (hereinafter referred to as ” 3Peak Incorporated(688536) ” or “company”) for initial public offering of shares and listing on the science and innovation board, in accordance with the administrative measures for securities issuance and listing sponsor business Measures for the continuous supervision of listed companies on the science and Innovation Board (for Trial Implementation), guidelines for the supervision of listed companies No. 2 – regulatory requirements for the management and use of raised funds by listed companies, rules for the listing of shares on the science and Innovation Board of Shanghai Stock Exchange The measures for the administration of funds raised by listed companies of Shanghai Stock Exchange and the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 – continuous supervision and other relevant provisions have verified the deposit and use of funds raised in 3Peak Incorporated(688536) 2021. The specific information is as follows: I. Basic Information of funds raised by initial public offering of shares
(I) actual amount of raised funds and receipt of funds
According to the reply on Approving the registration of initial public offering of 3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd. (zjxk [2020] No. 1824) issued by China Securities Regulatory Commission (hereinafter referred to as “CSRC”) on August 18, 2020, the company issued 20 million RMB common shares (a shares) to the public for the first time, The issue price per share is RMB 115.71, and the total amount of raised funds is RMB 2314.2 million. After deducting the underwriting and recommendation expenses (including value-added tax) of RMB 1619014 million, the actual amount of raised funds received is RMB 21522986 million. After deducting the total issuance expenses of RMB 1684534 million, the net amount of funds actually raised was RMB 21457466 million. On September 15, 2020, the amount received from the company’s raised capital account was 2152298600 yuan. The above funds have been verified by PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership) and a capital verification report (PWC Zhongtian Yan Zi (2020) No. 0818) has been issued. (II) use and balance of raised funds
As of December 31, 2021, the amount of raised funds used by the company in 2021 was 4381028 million yuan, and the accumulated amount of raised funds used was 4898898 million yuan. In 2021, the net amount of interest deducted from raised funds was 7506 thousand yuan, and the accumulated net amount of interest income deducted from raised funds was 11734 thousand yuan, In 2021, the investment income received from the purchase of financial products for cash management was 573413 million yuan, the cumulative investment income received from the purchase of financial products for cash management was 69.956 million yuan, and the balance of raised funds was 17335382 million yuan, including 17.30 million yuan for cash management.
As of December 31, 2021, the balance of the company’s special account for raised funds was RMB 3.5382 million (including the net handling fee deducted from the interest income of raised funds). The details are as follows:
Unit: 10000 yuan
Event amount
The actual amount of raised funds received is 21522986
Less: 4898898 yuan invested in the project of raising funds
Plus: net amount of interest income of raised funds minus handling charges 117.34
Income for cash management 699560
Less: 17300000 for cash management
Closing balance of special account for raised funds 353.82
2、 Deposit and management of raised funds
(I) management of raised funds
In order to standardize the management and use of the raised funds, the company implements a special account for the raised funds. In accordance with the company law of the people’s Republic of China (hereinafter referred to as the “company law”), the securities law of the people’s Republic of China (hereinafter referred to as the “Securities Law”), the guidelines for the supervision of listed companies No. 2 – regulatory requirements for the management and use of raised funds by listed companies, and the Listing Rules of shares on the science and Innovation Board of Shanghai Stock Exchange In accordance with the provisions of relevant laws, regulations and normative documents such as the measures for the administration of funds raised by listed companies of Shanghai Stock Exchange and the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 – continuous supervision, and in combination with the actual situation of the company, the management system for funds raised by 3Peak Incorporated(688536) microelectronics technology (Suzhou) Co., Ltd. is formulated, (hereinafter referred to as “raised funds management system”), a special account storage system is implemented for the raised funds, which stipulates the storage and use of raised funds, project implementation management, change of investment projects and supervision of use. The system has been deliberated and approved by the company’s second extraordinary general meeting of shareholders in 2020.
As of December 31, 2021, the balance of the company’s unused raised funds deposited in the special account is as follows: unit: 10000 yuan
Bank account closing date balance storage method
China Merchants Bank Co.Ltd(600036) Shang 512907605910318222.59 current deposit Hai branch
Shanghai Pudong Development Bank Co., Ltd. has 988400788130 Shanghai Yaoji Technology Co.Ltd(002605) 40.93 current deposit Co., Ltd. Jinqiao sub branch
Bank Of Suzhou Co.Ltd(002966) Gao 5129540 China High-Speed Railway Technology Co.Ltd(000008) 820.09 current deposit New Technology Industrial Development Zone sub branch
China Merchants Bank Co.Ltd(600036) Su 51290760591090129.01 current deposit Zhou Branch Park sub branch
Shanghai Pudong Development Bank Co., Ltd. has 961 Pku Healthcare Corp.Ltd(000788) 017 Shenzhen Quanxinhao Co.Ltd(000007) 9361.20 current deposit Co., Ltd. Jinqiao sub branch
Total 353.82
(II) three party and four party supervision agreements for raised funds
In September 2020, the company signed the tripartite supervision agreement on the storage of special account for raised funds with the sponsor Haitong Securities Company Limited(600837) and the supervision bank China Merchants Bank Co.Ltd(600036) Shanghai Branch, Shanghai Pudong Development Bank Co.Ltd(600000) Jinqiao branch, Bank Of Suzhou Co.Ltd(002966) high tech Industrial Development Zone Branch and China Merchants Bank Co.Ltd(600036) Suzhou Branch Park Branch.
Upon deliberation and approval of the 19th meeting of the second board of directors and the 14th meeting of the second board of supervisors held on June 21, 2021, the company agreed to increase the wholly-owned subsidiary 3Peak Incorporated(688536) microelectronics technology (Shanghai) Co., Ltd. (hereinafter referred to as ” 3Peak Incorporated(688536) Shanghai”) as the implementation subject of the raised investment project “analog integrated circuit product development and industrialization project”, It is also agreed that the company will use the raised fund of 150 million yuan to inject capital into 3Peak Incorporated(688536) Shanghai to implement the raised investment project. On October 13, 2021, 3Peak Incorporated(688536) Shanghai completed the opening of the special account for raised funds (hereinafter referred to as the “special account”), with an account number of 961 Pku Healthcare Corp.Ltd(000788) 017 Shenzhen Quanxinhao Co.Ltd(000007) 93. On October 15, 2021, the company completed the capital injection to 3Peak Incorporated(688536) Shanghai. On November 12, 2021, the company, its wholly-owned subsidiary 3Peak Incorporated(688536) Shanghai and the sponsor Haitong Securities Company Limited(600837) and Shanghai Pudong Development Bank Co.Ltd(600000) Jinqiao sub branch signed the four party supervision agreement on the storage of special account for raised funds.
The above three-party agreement and four party agreement clarify the rights and obligations of all parties, and there is no significant difference from the three-party supervision agreement (model) on special account storage of raised funds of Shanghai Stock Exchange. As of December 31, 2021, the company has deposited and used the raised funds in strict accordance with the provisions of the tripartite supervision agreement on the storage of raised funds and the quadripartite supervision agreement on the storage of raised funds.
(III) storage of raised funds in special account
As of December 31, 2021, the deposit balance of the special account for the deposit of raised funds is detailed in this section
“(I) management of raised funds”
3、 Actual use of raised funds in 2021
(I) comparison table of use of raised funds
Refer to “Annex 1 use of raised funds” for the comparison table of the actual use of raised funds of the company in 2021
According to the table.
(II) advance investment and replacement of raised investment projects
As of December 31, 2021, the company has no pre investment and replacement of raised investment projects.
(III) temporary replenishment of working capital with idle raised funds
In 2021, the company did not use idle raised funds to temporarily supplement working capital.
(IV) cash management of idle raised funds and investment in related products
On August 4, 2021, the 20th meeting of the second board of directors and the 15th meeting of the second board of supervisors of the company
The proposal on the company’s use of some idle raised funds for cash management was deliberated and adopted. Board of directors
It is intended to ensure the normal operation of the investment projects with raised funds and the safety of the raised funds, and the maximum use shall not exceed
Idle raised funds of more than 190 million yuan shall timely purchase low-risk insurance with high safety and good liquidity
The service life of this type of financial product shall not exceed 12 months. Within the above limit and term, the company can recycle
For rolling use, the above limit refers to the maximum balance of cash management on a single day, which does not exceed RMB 190 million (inclusive)
The independent directors of the company have issued consent opinions on the company’s use of idle raised funds for cash management. As of December 31, 2021, the company used idle raised funds for cash management as follows:
Unit: 10000 yuan
Trustee type amount start and end time income type annualized rate of return whether term income maturity (days)
Bank Of Suzhou Co.Ltd(002966) high structure 5 China Vanke Co.Ltd(000002) 020 / 09 / 29 – Principal Guaranteed floating 1.84% – 181 78.50 New Technology Industrial Development Zone sub branch deposit 2021 / 03 / 29 income 4.44%
Bank Of Suzhou Co.Ltd(002966) high structure 5 China Vanke Co.Ltd(000002) 020 / 09 / 29 – Principal Guaranteed floating 1.84% – 181 78.50 New Technology Industrial Development Zone sub branch deposit 2021 / 03 / 29 income 4.44%
Shanghai Pudong Development Bank Co., Ltd. has qitiantong 10 China Vanke Co.Ltd(000002) 020 / 10 / 21 – Principal Guaranteed Fixed 2.03%, which is the income from accumulated deposit of 42.75 limited company Jinqiao sub branch know deposit 2021 / 01 / 05
Shanghai Pudong Development Bank shares have structural 2020 / 12 / 29 – Principal Guaranteed floating 1.40% or
Limited company Jinqiao sub branch deposit 15 China Vanke Co.Ltd(000002) 021 / 03 / 29 income 3.25% or 90 121.88
