China Securities Co.Ltd(601066)
About Bank Of Chengdu Co.Ltd(601838)
The verification opinions on lifting the ban on the listing and circulation of some restricted shares in the initial public offering China Securities Co.Ltd(601066) (hereinafter referred to as ” China Securities Co.Ltd(601066) ” securities “and” recommendation institution “) serve as the continuous supervision organization of the initial public offering of Bank Of Chengdu Co.Ltd(601838) (hereinafter referred to as” Bank Of Chengdu Co.Ltd(601838) “) The Listing Rules of Shanghai Stock Exchange and the self regulatory guidelines for listed companies of Shanghai Stock Exchange No. 11 – continuous supervision and other relevant provisions have verified the lifting of the ban on the listing and circulation of some restricted shares in the initial public offering of Bank Of Chengdu Co.Ltd(601838) . The verification opinions are as follows:
1、 Bank Of Chengdu Co.Ltd(601838) IPO and share capital
In December 2017, approved by the reply on approving Bank Of Chengdu Co.Ltd(601838) initial public offering of shares (zjxk [2017] No. 2339) of China Securities Regulatory Commission (hereinafter referred to as “CSRC”), Bank Of Chengdu Co.Ltd(601838) initially issued 361225134 RMB common shares (A shares) and was listed on Shanghai Stock Exchange on January 31, 2018. Bank Of Chengdu Co.Ltd(601838) after the initial public offering, the total share capital is 3612251334 shares, including 3251026200 shares with limited sales conditions and 361225134 shares with unlimited sales conditions.
The restricted shares in circulation this time are Bank Of Chengdu Co.Ltd(601838) IPO restricted shares, with a total of 2213146 shares, involving 167 shareholders. The lock-in period is 48 months from the date of Bank Of Chengdu Co.Ltd(601838) stock listing. This part of restricted shares will expire on January 31, 2022 and be listed and circulated on February 7, 2022. Before the initial public offering of Bank Of Chengdu Co.Ltd(601838) A shares, some shareholders were directors, supervisors, senior managers and their close relatives at that time, and other employees holding more than 50000 Bank Of Chengdu Co.Ltd(601838) shares, who promised not to transfer their Bank Of Chengdu Co.Ltd(601838) shares within 3 years from the date of listing and trading of Bank Of Chengdu Co.Ltd(601838) shares on the stock exchange; After the expiration of the above-mentioned three-year period, the number of shares transferred each year shall not exceed 15% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds, and the total number of shares transferred within five years shall not exceed 50% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds.
2、 Relevant commitments and performance of shareholders applying for lifting share restrictions this time
(I) application for lifting the commitment of shareholders with restricted shares
Prior to the initial public offering of Bank Of Chengdu Co.Ltd(601838) A shares, the then directors, supervisors and senior managers holding Bank Of Chengdu Co.Ltd(601838) shares promised not to transfer their Bank Of Chengdu Co.Ltd(601838) shares within 3 years from the date of listing and trading of Bank Of Chengdu Co.Ltd(601838) shares in the stock exchange; After the expiration of the above-mentioned three-year period, the number of shares transferred each year shall not exceed 15% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds, and the total number of shares transferred within five years shall not exceed 50% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds; Do not transfer the Bank Of Chengdu Co.Ltd(601838) shares held by him within half a year after his resignation.
Before the initial public offering of Bank Of Chengdu Co.Ltd(601838) A shares, the close relatives of the then directors, supervisors and senior managers who held Bank Of Chengdu Co.Ltd(601838) shares and other employees who held more than 50000 Bank Of Chengdu Co.Ltd(601838) shares promised not to transfer their Bank Of Chengdu Co.Ltd(601838) shares within 3 years from the date of listing and trading of Bank Of Chengdu Co.Ltd(601838) shares on the stock exchange; After the expiration of the above-mentioned three-year period, the number of shares transferred each year shall not exceed 15% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds, and the total number of shares transferred within five years shall not exceed 50% of the total number of Bank Of Chengdu Co.Ltd(601838) shares it holds.
(II) performance of share locking commitment
As of the date of issuance of this verification opinion, the holders of restricted shares applying for listing have not fulfilled relevant commitments and affected the listing and circulation of restricted shares.
3、 The listing and circulation arrangement of restricted shares is lifted this time
The number of restricted shares listed and circulated this time: 2213146 shares;
The listing and circulation date of restricted shares: February 7, 2022;
Listing and circulation details of initial restricted shares:
Unit: shares
Name of shareholder number of shares held with limited sales proportion of shares held with limited sales to the company’s remaining number of shares held with limited sales in this listing proportion to the total share capital of the company
Bank Of Chengdu Co.Ltd(601838) before the initial public offering of a shares, he was a director, supervisor
Senior managers and their close relatives, 12541170 0.35% 2213146 10328024 other employees holding more than 50000 shares of Bank Of Chengdu Co.Ltd(601838) . Note: Bank Of Chengdu Co.Ltd(601838) before the initial public offering of a shares, there were a large number of directors, supervisors, senior managers and their close relatives, and other employees holding more than 50000 shares of Bank Of Chengdu Co.Ltd(601838) . In order to facilitate investors to read the announcement, Not listed one by one. 4、 Statement of changes in share capital structure
Unit: shares
Changes before and after the listing
Limited sales conditions 1 Shares held by state-owned legal person 0
Outstanding shares 2 Shares held by other domestic legal persons 0
Changes before and after the listing
3. Shares held by domestic natural persons 12541170 – 2213146 10328024
4. Shares held by overseas legal persons 0
The total number of tradable shares with limited sales conditions is 12541170 – 2213146 10328024
No sale conditions A-Shares 3599710164 2213146 3601923310
The total number of tradable shares with unlimited sales conditions is 3599710164 2213146 3601923310
Total shares 3612251334 0 3612251334
5、 Verification opinions of the recommendation institution
After verification, China Securities Co.Ltd(601066) Securities believes that: Bank Of Chengdu Co.Ltd(601838) the listing and circulation of restricted shares meets the requirements of relevant laws, regulations and normative documents such as the stock listing rules of Shanghai Stock Exchange and the guidelines for self discipline supervision of listed companies of Shanghai Stock Exchange No. 11 – continuous supervision; The number of restricted shares lifted and the listing and circulation time of the restricted shares comply with relevant laws, administrative regulations, departmental rules, relevant rules and shareholders’ commitments; The shareholders who lifted the restrictions on the sale of shares strictly fulfilled their share locking commitments made in the initial public offering of shares; As of the date of issuance of this verification opinion, Bank Of Chengdu Co.Ltd(601838) the information disclosure related to the restricted shares is true, accurate and complete.
China Securities Co.Ltd(601066) securities has no objection to the lifting of the ban on the listing and circulation of Bank Of Chengdu Co.Ltd(601838) restricted shares.
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(there is no text on this page, which is the signature and seal page of China Securities Co.Ltd(601066) verification opinions on lifting the ban on the listing and circulation of some restricted shares in Bank Of Chengdu Co.Ltd(601838) initial public offering)
Sponsor representative: Guo Yingying, he Xingqiang
China Securities Co.Ltd(601066) mm / DD / yy
