Guotai Junan Securities Co.Ltd(601211)
About Loctek Ergonomic Technology Corp(300729)
2021 annual tracking report
Name of recommendation institution: Guotai Junan Securities Co.Ltd(601211) abbreviation of the recommended company: Loctek Ergonomic Technology Corp(300729)
Name of sponsor representative: Zhang Zhengyu Tel: (021) 38676499
Name of sponsor representative: he Huan Tel: (021) 38674630
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) The number of times that the company’s information disclosure documents are not reviewed in time is not applicable
2. Supervise the company to establish, improve and effectively implement rules and regulations
condition
(1) Whether to supervise the company to establish and improve rules and regulations (including but not limited to)
It is not limited to the system of preventing related parties from occupying the company’s resources
Fund management system, internal control system, internal audit system, customs
(joint transaction system)
(2) Whether the company effectively implements relevant rules and regulations is
3. Supervision of raised funds
(1) Query the number of special accounts for raised funds of the company, and query monthly
(2) Is the progress of the company’s fund-raising project consistent with the information disclosure document
Piece consistency
4. Corporate governance supervision
(1) The number of attendance at the general meeting of shareholders of the company is 0. If the sponsor representative fails to attend the third meeting as a nonvoting delegate, the board of directors of the company will notify the sponsor representative of (2) the number of times of attending the third meeting of the board of directors, the topics and contents of the third meeting, and the sponsor representative has reviewed the relevant documents, He gave special opinions on the proposal requiring the issuance of recommendation (3) the number of times of attending the board of supervisors of the company as nonvoting delegates, and fully communicated with the management of the company.
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) No major problems found and rectified on site
6. Expression of independent opinions
(1) Number of independent opinions 14 times
(2) Issues involved in issuing non consenting opinions and concluding comments are not applicable
7. Report to the Institute (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) Whether there are matters needing attention none
(2) The main contents of the concerns are not applicable
(3) The progress or rectification of concerns is not applicable
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 29, 2021
Combined with relevant cases, this training introduced to the trainees the regulatory system and main laws and regulations of China’s capital market, (3) the main contents of the training, and further explained the management norms of directors, supervisors and senior managers of listed companies, related party transactions, horizontal competition, insider trading Relevant provisions and precautions on the increase or decrease of shares held by major shareholders, directors, supervisors and senior management 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 is not applicable
2. The establishment and implementation of the company’s internal system are all applicable
3. The operation of the “three sessions” is applicable
4. Changes in controlling shareholders and actual controllers are applicable
5. The deposit and use of raised funds are applicable
6. Connected transactions are not applicable
7. All external guarantees are applicable
8. Acquisition and sale of assets are applicable
9. Other business categories and important matters (including external
Investment, venture capital, entrusted financial management and financial assets are all applicable
Assistance, hedging, etc.)
10. The allocation of the issuer or the intermediary agency it employs is not applicable
Co sponsor work
11. Others (including business environment, business development
Financial status, management status and core technology are all applicable
III. performance of commitments of the company and shareholders
Whether the commitments of the company and shareholders are fulfilled, the reasons for non fulfillment of commitments and Solutions
1. The commitment of relevant shareholders’ shareholding and reduction intention before the issuance is not applicable
2. The company, the controlling shareholder or actual controller of the company, the company
Directors and senior managers (excluding independent directors) are not applicable
Commitment to stabilize share price within three years after listing
3. Company, controlling shareholder, actual controller and company
The opinions of directors, supervisors and senior managers on issuance and listing are not applicable
Commitment to the authenticity of application documents
4. Controlling shareholders, actual controllers, directors
The of supervisors and senior managers on profit distribution policy is not applicable
promise
5. The distribution arrangement of the company’s accumulated profits before this issuance is not applicable
And commitment of dividend distribution policy after issuance
6. The company’s measures and commitments to fill the diluted immediate return are not applicable
Promise
7. Controlling shareholders, actual controllers and other holding issuers are not applicable
Shareholders with more than 5% shares on avoiding horizontal competition
Commitment to regulate related party transactions
8. Opinions of the actual controller on avoiding the occupation of major shareholders’ funds and social security
Insurance, provident fund and the re registration of individual foreign exchange are not applicable
Commitment to matters
9. Company, controlling shareholder, actual controller and company
It is not applicable for directors and senior managers to fulfill public commitments
IV. other matters
Description of report items
In October 2021, the company’s original continuous supervision and recommendation representative was changed from Mr. Zhang Zhengyu and Mr. Shui Yaodong of Guotai Junan Securities to Mr. Zhang Zhengyu and Ms. He Huan.
The reasons for the change are as follows:
1. Change of sponsor representative and its reasons. In October 2021, the company completed the issuance and listing of shares to specific objects, and Guotai Junan Securities Co.Ltd(601211) appointed Mr. Zhang Zhengyu and Ms. He Huan as the sponsor representative of the company’s project of issuing shares to specific objects. In order to facilitate the development of continuous supervision in the future, Guotai Junan Securities Co.Ltd(601211) decided to appoint Ms. He Huan to replace Mr. Shui Yaodong to continue to perform the continuous supervision of the company.
2. During the reporting period, the CSRC and the bourse did not apply to the recommendation institutions
Matters and rectification of supervision measures taken by the company recommended by it
3. Other major matters that need to be reported are not applicable
(no text below)
(there is no text on this page, which is the signature page of Guotai Junan Securities Co.Ltd(601211) on Loctek Ergonomic Technology Corp(300729) 2021 annual follow-up report) sponsor representative:
Zhang Zhengyu he Huan
Guotai Junan Securities Co.Ltd(601211) mm / DD / yyyy
