Statement
Great Wall Securities Co., Ltd. (hereinafter referred to as "Great Wall Securities" or "Trustee") is the trustee for the bonds issued by Northeast Securities Co., Ltd. (hereinafter referred to as "Northeast Securities" or "the Issuer"), including "25 Northeast D6", "25 Northeast C1", "25 Northeast C2", "25 Northeast KC01", "25 Northeast C3", "25 Northeast C4", "25 Northeast C5", "25 Northeast C6", "25 Northeast C7", "26 Northeast 01", "26 Northeast D1", "26 Northeast 02", "26 Northeast D2", "26 Northeast D3", "26 Northeast D4", "26 Northeast 03", "26 Northeast D5", and "26 Northeast D6" (hereinafter referred to as "the Bonds"). This report is prepared in accordance with the bond prospectuses, the "Administrative Measures for the Issuance and Trading of Corporate Bonds", the "Code of Conduct for Trustees of Corporate Bonds", and other relevant regulations, as well as the "Trustee Management Agreement for the 2024 Public Offering of Short-Term Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors", the "Trustee Management Agreement for the 2024 Public Offering of Subordinated Bonds by Northeast Securities Co., Ltd. to Professional Investors", the "Trustee Management Agreement for the 2025 Public Offering of Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors", and the "Trustee Management Agreement for the 2026 Private Offering of Short-Term Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors" (hereinafter collectively referred to as the "Trustee Agreements") signed with the Issuer, as well as public disclosure documents, professional opinions issued by third-party intermediaries, and relevant explanatory documents and materials provided by the Issuer.
This report does not constitute a recommendation for investors to take or not take any action. Investors should make independent judgments on relevant matters and should not rely on any content in this report as a commitment or statement made by Great Wall Securities.
Going forward, Great Wall Securities will closely monitor the principal and interest repayment status of the Bonds by the Issuer and other matters that have a significant impact on the interests of bondholders, in accordance with relevant regulations. Great Wall Securities will strictly fulfill its duties as the bond trustee in accordance with the "Administrative Measures for the Issuance and Trading of Corporate Bonds", the "Code of Conduct for Trustees of Corporate Bonds", the prospectuses, and the Trustee Agreements.
I. Basic Information of the Company Bonds
(I) "25 Northeast D6", "26 Northeast D1", "26 Northeast D4", "26 Northeast D6"
The issuance of "25 Northeast D6", "26 Northeast D1", "26 Northeast D4", and "26 Northeast D6" bonds was approved at the Eleventh Board of Directors' Fourth Extraordinary Meeting held on December 11, 2023, and the Third Extraordinary Shareholders' Meeting held on December 27, 2023.
After review and approval by the Shenzhen Stock Exchange and registration with the China Securities Regulatory Commission (SCSC Approval [2024] No. 1732), the Company was authorized to publicly offer short-term corporate bonds to professional investors with a total face value not exceeding RMB 5 billion. The short-term corporate bonds are issued in tranches. As of the date of this report, nine tranches have been issued, with a cumulative issuance size of RMB 12 billion.
The outstanding status of these short-term bonds is as follows:
| Bond Name | Bond Code | Issued Amount (RMB Billion) | Bond Term (Days) | Coupon Rate (%) | Record Date | Maturity Date |
|---|---|---|---|---|---|---|
| 25 Northeast D6 | 524413.SZ | 15.00 | 345 | 1.77 | 2025/08/27 | 2026/08/07 |
| 26 Northeast D1 | 524720.SZ | 15.00 | 365 | 1.62 | 2026/03/19 | 2027/03/19 |
| 26 Northeast D4 | 524838.SZ | 10.00 | 359 | 1.52 | 2026/06/10 | 2027/06/04 |
| 26 Northeast D6 | 524891.SZ | 10.00 | 365 | 1.55 | 2026/07/14 | 2027/07/14 |