Guangdong Transtek Medical Electronics Co.Ltd(300562) 2021 annual tracking report
Name of recommendation institution: Haitong Securities Company Limited(600837) abbreviation of the recommended company: Guangdong Transtek Medical Electronics Co.Ltd(300562)
Name of sponsor representative: Sang Jichun Tel: 0755 – 25869881
Name of sponsor representative: Wang Tan Tel: 0755 – 25860660
1、 Overview of sponsor work
Project work content
1. Review of the company’s information disclosure
(1) Whether the company’s information disclosure documents are reviewed in time
(2) Failure to review the company’s information disclosure documents in time
nothing
2. Supervise the establishment, improvement and effective implementation of rules and regulations of the company
(1) Whether to supervise the company to establish and improve rules and regulations (yes)
Including but not limited to the system of preventing related parties from occupying the company’s resources, the management system of raised funds, the internal control system, the internal audit system and the related party transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Number of times to query the company’s special account for raised funds 2
(2) Is the progress of the company’s fund-raising projects consistent with the information
yes
Consistency of disclosure documents 4 Corporate governance supervision
(1) Number of attending the general meeting of shareholders 1
(2) Times of attending the board of directors of the company 1
(3) Times of attending the board of supervisors of the company as nonvoting delegates 1
5. On site inspection
(1) Number of on-site inspections 1
(2) Whether the on-site inspection report is submitted in accordance with the provisions of the exchange
yes
(3) main problems found in on-site inspection and rectification
nothing
Situation 6 Independent opinions
(1) Number of independent opinions 5
(2) Issues involved in expressing non consenting opinions and the meaning of conclusions
nothing
See 7 Report the situation to the Institute (except for the on-site inspection report)
(1) Number of reports to the exchange 2
(2) Main contents of the report Haitong Securities Company Limited(600837) on Guangdong Transtek Medical Electronics Co.Ltd(300562) 2021 semi annual tracking report and 2021 continuous supervision and training report.
(3) Progress or rectification of reported matters –
8. Pay attention to the performance of duties
(1) Whether there are matters needing attention none
(2) Main contents of concerns –
(3) Progress or rectification of concerns –
9. Whether the records and custody of the working papers of the recommendation business are in compliance
10. Training for listed companies
(1) Training times: 1 time
(2) Training date: December 16, 2021
(3) The main content of the training is to explain the relevant rules for the management and use of raised funds of listed companies
11. There is no other recommendation work that needs to be explained
2、 Problems found by the sponsor and measures taken
Problems and measures taken
1. Information disclosure: None–
2. Establishment and implementation of the company’s internal system–
implement
3. The operation of the “three sessions” has no–
4. Controlling shareholder and actual controller: None–
change
5. Deposit and use of raised funds–
6. Related party transactions none–
7. No external guarantee–
8. Acquisition and sale of assets none–
9. Other business categories and important matters
(including foreign investment and venture capital)–
Capital, entrusted financial management, financial assistance, hedging, etc.) 10. The issuer or the medium-sized issuer it employs or the intermediary it employs
All agencies that cooperate with the recommendation work actively cooperate with the recommendation agency–
Continuous supervision of the situation
11. Others (including business environment
Business development, financial status and management none–
Major changes in status, core technology, etc.) III. performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders have not been fulfilled, the reasons and Solutions
1、 During the initial public offering, pan Weichao, the controlling shareholder and actual controller of the company, made a commitment on the reduction of shares: after the expiration of the promised lock-in period, the shares of the company before the issuance can be reduced only if the following conditions are met: 1. Under the relevant circumstances that the above lock-in period expires and the lock-in period is not extended, if there is an extension of the lock-in period, it will be postponed; 2. If I need to compensate the investor, I have assumed the liability for compensation; The shares of the company held by me before this public offering are reduced after the expiration of the promised lock-in period,
The company will submit the reasons for the reduction, the number of reductions, the future reduction plan, and yes three trading days in advance–
The impact of the reduction on the corporate governance structure and sustainable operation shall be announced by the company three trading days before the reduction.
For the shares of the company held by me before this public offering, I will strictly abide by the commitments made on the circulation restrictions and voluntary locking of the shares of the company held by me, and will not sell them during the locking period; If I reduce my holding of the company’s shares before this public offering within two years after the expiration of the above lock-in period, the shares transferred each year shall not exceed 15% of the company’s shares held by me, and the reduction price shall not be lower than the issue price of this offering. If the company has paid dividends from the initial public offering of shares to the date of the above reduction announcement
In case of ex right and ex interest matters such as share distribution, conversion of capital reserve into share capital, the issue price shall be adjusted accordingly; 3. When I reduce the shares of the company, I will implement it in accordance with the company law, the securities law, the relevant provisions of the CSRC and the Shenzhen Stock Exchange; I will not give up fulfilling the above commitments due to job change, resignation and other reasons. 2、 During the initial public offering, the company’s commitment on Share Repurchase: bear individual and joint legal liabilities for the authenticity, accuracy, integrity and timeliness of the application documents for this offering. If there are false records, misleading statements or major omissions in the company’s prospectus, which has a significant and substantial impact on judging whether the company meets the issuance conditions stipulated by law, the company will repurchase all new shares issued by the initial public offering according to law. The board of directors of the company shall formulate a share repurchase plan (including the number of shares repurchased, price range, completion time and other information) within 5 days after the aforesaid acts are recognized according to law, and submit it to the general meeting of shareholders for deliberation and approval. If the company has issued but not yet listed, the repurchase price shall be the issue price plus the bank deposit interest for the same period;
If the company has been listed, the repurchase price shall be calculated according to the issuing price of the company’s shares plus the demand of the bank in the same period–
The higher of deposit interest and market price shall be determined. If the company has ex rights and ex interests matters such as dividend distribution, share distribution, conversion of capital reserve into share capital during this period, the issue price shall be ex rights and ex interests accordingly; The obligation of share repurchase shall be completed within 3 months from the date of the resolution made by the general meeting of shareholders. When implementing the above share repurchase, if there are other provisions in laws, regulations and the articles of association, such provisions shall prevail. If there are false records, misleading statements or major omissions in the prospectus of the company’s public offering of shares, resulting in losses to investors in securities trading, the losses of investors will be compensated according to law. 3、 Commitment of each specific issuing object on share restriction during non-public offering: the shares subscribed by the issuing object shall not be transferred within six months from the date of listing of the new shares. After the end of this offering, the company’s shares increased due to the company’s share offering and the conversion of capital reserve to share capital shall also comply with the above arrangement of the restricted sale period. After the end of the restricted sale period, it shall be implemented in accordance with the relevant provisions of the CSRC and Shenzhen Stock Exchange. 4、 The company’s commitment not to provide guarantee and financial assistance for the incentive object during the duration of the stock option and restricted stock incentive plan in 2018 and 2020: the company will not provide loans and other forms of financial assistance for any incentive object to obtain relevant rights and interests according to the incentive plan, including providing guarantee for its loans. 4、 Other matters
Description of report items
1. Change of sponsor representative and its reasons on January 19, 2022, the original sponsor representative Chen Yu resigned due to personal reasons, and Haitong Securities Company Limited(600837) appointed the sponsor representative Ms. Wang Tan to continue to perform continuous supervision in place of Chen Yu. The current sponsor representatives of the issuer are sang Jichun Wang Tan.
2. During the reporting period, China Securities Regulatory Commission and the bourse had no on the recommendation machine
Matters and rectification of regulatory measures taken by the company or its sponsor
3. Other major matters to be reported none
(there is no text on this page, which is the signature and seal page of Haitong Securities Company Limited(600837) about Guangdong Transtek Medical Electronics Co.Ltd(300562) 2021 annual follow-up report) signature of the sponsor representative:
Sang Jichun, Wang Tan
Haitong Securities Company Limited(600837)
Mm / DD / 2022
