Issuance and Sponsorship Statement of CITIC Securities Co., Ltd.
Table of Contents
Foreword
Section 1: Basic Information on This Securities Issuance
I. Sponsor Representatives Responsible for This Securities Issuance
II. Co-Sponsors and Other Project Team Members for This Securities Issuance
III. Issuer Basic Information
IV. Explanation of Sponsor's Relationship with the Issuer
Section 2: Sponsor's Commitments
Section 3: Recommendation for This Issuance
I. Issuer's Decision-Making Procedures for This Issuance Are Legal
II. This Issuance Complies with Relevant Laws and Regulations
III. Major Risks Faced by the Issuer
IV. Evaluation of the Issuer's Development Prospects
V. Review of the Sponsor Institution's Profit Distribution Policy
VI. Review of the Sponsor's Private Fund Filing Status
VII. Review of Paid Engagement of Third-Party Institutions and Individuals
VIII. Sponsor's Internal Review Procedures and Internal Audit Opinion
IX. Sponsor's Recommendation Conclusion for This Securities Issuance
This issuance and sponsorship statement is issued by CITIC Securities Co., Ltd. (hereinafter referred to as "CITIC Securities" or "the Sponsor") for the private placement of shares by Chongqing Changan Automobile Co., Ltd. (hereinafter referred to as "Changan Automobile," "the Issuer," or "the Company") to specific objects.
Section 1: Basic Information on This Securities Issuance
I. Sponsor Representatives Responsible for This Securities Issuance
CITIC Securities has appointed Hao Zhiwei and Wang Jian as the sponsor representatives responsible for recommending Changan Automobile's private placement to specific objects.
The professional qualifications of the two sponsor representatives are as follows:
Mr. Hao Zhiwei: Sponsor representative, Master's degree holder, currently Senior Vice President of the Investment Banking Business Management Committee of CITIC Securities. He has hosted or participated in projects including: Kehua Blue Sky Sci-Tech Innovation Board IPO, Honglian Technology Sci-Tech Innovation Board IPO, Caida Securities IPO, Yubang Electric Power IPO, Topstar Public Offering Convertible Bonds, Lingyun Shares Private Placement, TsuenYin High-Tech Public Offering, Northern International Major Asset Restructuring, Xiyi Shares Major Asset Restructuring, YuanDa Environmental Protection Stock Purchase and Asset Restructuring, Financial Advisor for China Changan Automobile Group's Acquisition of Changan Automobile, Financial Advisor for China National Chemical Corporation's Acquisition of TsuenYin High-Tech, Financial Advisor for China Ordnance Equipment Group's Acquisition of Great Wall Military Industry, and Guozhou Dam Public Offering Project Income Special Corporate Bonds. As a sponsor representative, he currently has no overdue projects. Mr. Hao Zhiwei strictly adheres to the "Administrative Measures for Securities Issuance and Listing Sponsorship Business" and other relevant regulations in his sponsorship practice, and his professional record is good.
Mr. Wang Jian: Sponsor representative, Master's degree holder, currently Executive General Manager of the Investment Banking Business Management Committee of CITIC Securities. He has hosted or participated in projects including: Beijing-Shanghai High-Speed Railway IPO, China Telecom IPO, Honglian Technology Sci-Tech Innovation Board IPO, Xingyuan Filtration IPO, COSCO SHIPPING Holdings Private Placement, Lingyun Shares Private Placement, Jiangshan Chemical Public Offering, AVIC Capital Public Offering, Northern International Public Offering, Hengbao Shares Public Offering, TsuenYin High-Tech Public Offering, Northern International Convertible Bonds, Northern International Major Asset Restructuring, *ST Jichai Major Asset Restructuring, AVIC Black Panther Major Asset Restructuring, Xiyi Shares Major Asset Restructuring, AVIC Jonhon Merger and Acquisition of AVIC JONHON, Xingyuan Filtration Major Asset Restructuring, Chuling Information Major Asset Restructuring, and Orchid Technology Corporate Bonds. As a sponsor representative, he currently has no overdue projects. Mr. Wang Jian strictly adheres to the "Administrative Measures for Securities Issuance and Listing Sponsorship Business" and other relevant regulations in his sponsorship practice, and his professional record is good.
II. Co-Sponsors and Other Project Team Members for This Securities Issuance
(I) Co-Sponsor for This Securities Issuance