Securities code: Caitong Securities Co.Ltd(601108) securities abbreviation: Caitong Securities Co.Ltd(601108) Announcement No.: 2022015 convertible bond Code: 113043 convertible bond abbreviation: CAITONG convertible bond
Caitong Securities Co.Ltd(601108)
Allotment announcement
Sponsor (lead underwriter): Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting and recommendation Co., Ltd
Co lead underwriter: China International Capital Corporation Limited(601995)
Huatai United Securities Co., Ltd
The company and all members of the board of directors guarantee that the information disclosed is true, accurate and complete without false records, misleading statements or major omissions.
Important tips
1. Caitong Securities Co.Ltd(601108) (hereinafter referred to as “the issuer”, ” Caitong Securities Co.Ltd(601108) ” or “the company”) share allotment plan was reviewed and approved by the 10th meeting of the third board of directors held on April 27, 2021 and the 2020 annual general meeting held on May 19, 2021. The resolution of this share allotment shall be effective within 12 months from the date of deliberation and approval of the general meeting of shareholders. The application for share allotment was approved by the issuance Review Committee of China Securities Regulatory Commission (hereinafter referred to as “CSRC”) on December 20, 2021, and was approved by the official reply of CSRC on approving Caitong Securities Co.Ltd(601108) share allotment (zjxk [2022] No. 178).
2. This allotment is based on 3589016653 shares of the company’s total share capital after the closing of Shanghai Stock Exchange (hereinafter referred to as “Shanghai Stock Exchange”) on the equity registration date March 30, 2022 (t day), and shares are allotted to all shareholders in the proportion of 3 shares per 10 shares.
The total number of shares that can be allotted this time is 1076704995 shares, all of which are tradable shares with unlimited sales conditions. They are issued by online pricing. The allotment code is “760108”, and the allotment is referred to as “CAITONG allotment”, which is carried out through the system of Shanghai Stock Exchange. The total amount of funds raised in this allotment is expected to be no more than 800 million yuan (including issuance expenses).
Caitong Securities Co.Ltd(601108) now has 3589016653 A shares, all of which have the right to participate in the issuance of a shares.
The issuer is the subject company of the interconnection between the mainland and Hong Kong stock markets and needs to arrange the allotment of shares to Hong Kong investors through the transaction interconnection mechanism between the mainland and Hong Kong stock markets. There may be differences in the treatment of fractional shares between the mainland and Hong Kong. Investors are reminded to pay attention.
3. The price of this allotment is 6.80 yuan / share.
4. The allotment was made to Caitong Securities Co.Ltd(601108) all shareholders registered in Shanghai Branch of China Securities Depository and Clearing Co., Ltd. after the closing of Shanghai Stock Exchange on March 30, 2022 (t day).
Zhejiang Financial Holding Co., Ltd., the controlling shareholder of the company, has issued a commitment to fully subscribe for the placeable shares of the allotment in cash according to the shareholding ratio according to the allotment plan.
5. The result of this share allotment will be published in Shanghai Securities Journal and the website of Shanghai Stock Exchange on April 12, 2022 (T + 7)（ http://www.sse.com.cn. ）Make an announcement on the Internet.
6. If this allotment fails, according to the provisions of the securities trading business department designated by the shareholder, if there is interest on frozen funds, it will be returned to the subscribed shareholders after deducting the interest income tax (if any) according to the amount of allotment payment plus the bank deposit interest (if any) in the same period.
7. According to relevant regulations of Shanghai Stock Exchange, during the payment period and online clearing date of this allotment, i.e. from March 31, 2022 (T + 1) to April 11, 2022 (T + 6), Caitong Securities Co.Ltd(601108) shares and “CAITONG convertible bonds” stopped trading, and the “CAITONG convertible bonds” stopped converting shares during the period from T-3 to t + 6, i.e. from March 25, 2022 to April 11, 2022.
8. This issuance announcement only explains the matters related to the issuer’s share allotment to all shareholders, and does not constitute any investment suggestions for this share allotment. Before making the decision of subscription and allotment, shareholders should carefully read the summary of Caitong Securities Co.Ltd(601108) allotment instructions published in Shanghai Securities News on March 28, 2022 (T-2) and the website of Shanghai Stock Exchange（ http://www.sse.com.cn. ）Full text of Caitong Securities Co.Ltd(601108) share allotment instructions and other relevant materials.
For other matters related to this offering, the issuer and the joint lead underwriters will make timely announcements on the above media as necessary. Please pay attention to them.
interpretation
Unless otherwise specified, the following words have the following meanings in this issuance announcement: issuer / Caitong Securities Co.Ltd(601108) / company / company Caitong Securities Co.Ltd(601108)
Zhejiang Financial Holding Co., Ltd
China Securities Regulatory Commission
Shanghai Stock Exchange Shanghai Stock Exchange
China Securities Depository and Clearing Co., Ltd. Shanghai Branch
Recommendation institution (lead underwriter) Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting recommendation Co., Ltd
The joint lead underwriter Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting sponsor Co., Ltd., China International Finance Corporation and Huatai United Securities Co., Ltd
Shenwan Hongyuan Group Co.Ltd(000166) underwriting sponsor Shenwan Hongyuan Group Co.Ltd(000166) securities underwriting sponsor Co., Ltd
China International Capital Corporation Limited(601995) China International Capital Corporation Limited(601995)
Huatai United Securities Co., Ltd
The issuance / allotment of shares by the issuer to all shareholders in the ratio of 10:3 in accordance with Caitong Securities Co.Ltd(601108) allotment instructions
Equity registration date (t date) March 30, 2022
All A-share shareholders registered in the company after the closing of the Shanghai Stock Exchange on the equity registration date
Stock exchange of Hong Kong Limited
RMB yuan
Working day / normal trading day (excluding legal holidays)
When shareholders subscribe for allotment shares, the part that can be subscribed for less than 1 share shall be handled according to the principle of accurate algorithm.
That is, first calculate the integer part of the recognizable purchase quantity according to the placing proportion and the number of shares in each account. For the part less than 1 share calculated (the mantissa retains three decimal places), carry all accounts in the order of mantissa from large to small (if the mantissa is the same, then sort randomly), Until the total number of distributable shares obtained by each account is consistent with the total number of distributable shares.
1、 Basic information of this allotment
1. Type of issued shares: RMB ordinary shares (A shares).
2. Par value per share: 1.00 yuan.
3. Allotment proportion and quantity: Based on the total number of 3589016653 shares of the company’s share capital after the closing of the Shanghai Stock Exchange on March 30, 2022 (t day) on the registration date of this issuance, the shares are allotted to all shareholders in the proportion of 3 shares per 10 shares. The total number of shares that can be allotted this time is 1076704995 shares, all of which are tradable shares with unlimited sales conditions. Investors are requested to carefully check the balance of securities available for “CAITONG allotment” in their securities accounts after the closing of the stock market on the equity registration date, and make corresponding capital arrangements.
4. Purpose of raised funds: the total amount of funds to be raised in this allotment is no more than 8 billion yuan (the specific scale depends on the market conditions at the time of issuance). After deducting the issuance expenses, it will be used to increase the company’s capital, supplement the company’s working capital, support business development, improve the risk resistance ability and enhance the company’s comprehensive competitiveness, so as to achieve the company’s strategic development goals. The details are as follows:
Proposed investment amount of raised funds
The development of investment and trading business shall not exceed 4.5 billion yuan
The development of capital intermediary business shall not exceed 2 billion yuan
The development of investment banking business shall not exceed 300 million yuan
Increase the investment in information technology and risk control compliance to no more than 500 million yuan
Supplement other working capital of no more than 700 million yuan
Total no more than 8 billion yuan
5. Allotment price: the allotment price is 6.80 yuan / share.
6. Commitment of major shareholders to subscribe for this Allotment: Zhejiang Financial Holding, the controlling shareholder of the company, has issued a commitment and will
According to the share allotment plan, fully subscribe the placeable shares of the share allotment in cash according to the shareholding ratio.
7. Issuing object: as of the date of equity registration, after the closing of Shanghai Stock Exchange on March 30, 2022 (t day),
All shareholders of Caitong Securities Co.Ltd(601108) registered in Shanghai Branch of China Securities Depository and Clearing Corporation Limited.
8. Issuing method: online pricing issuing method is adopted, which is carried out through the trading system of Shanghai Stock Exchange.
9. Underwriting method: consignment.
10. Main dates and suspension arrangements of this Allotment:
Trading day date allotment arrangement suspension arrangement
Caitong Securities Co.Ltd(601108) Caitong Securities Co.Ltd(601108) CAITONG convertible bond 113043
T-2 on March 28, 2022, the prospectus and abstract of share allotment and share allotment were published
Bank announcement, online roadshow announcement, normal trading all day
T-1 on March 29, 2022, the normal trading of online roadshow was stopped
T date: March 30, 2022 equity registration date
From March 31, 2022 to the start and end date of allotment payment (payment ends at
From t + 1 to t + 5 (at 15:00 on T + 5, April 8, 2022), the trading was suspended all day, the trading was suspended all day, and the suggestive announcement of allotment was published all day (5 times) to stop the conversion of shares
T + 6 April 11, 2022 registered company online clearing
Publish the announcement of the issuance results, the benchmark date for the delisting of successful issuance in the whole day of normal trading, or the date on which the issuance fails to stop the conversion of shares (T + 7, the resumption trading date of failure on April 12, 2022 and the return of failed issuance to normal trading success) / the positive payment date
