Statement
As the trustee manager for Northeast Securities Co., Ltd. (hereinafter referred to as "Northeast Securities," "the Company," or "the Issuer") regarding the issuance of "23 Northeast 01," "24 Northeast C1," "24 Northeast C2," "24 Northeast 01," "24 Northeast 02," "24 Northeast 03," "24 Northeast 04," "24 Northeast 05," and "25 Northeast 01," Soochow Securities Co., Ltd. (hereinafter referred to as "Soochow Securities") has compiled this interim report on trustee management affairs in accordance with relevant regulations such as the "Administrative Measures for the Issuance and Trading of Corporate Bonds" and the "Code of Conduct for Trustees of Corporate Bonds," as well as the "Trustee Management Agreement for the Public Offering of Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors in 2023," the "Trustee Management Agreement for the Subordinated Bonds Publicly Offered by Northeast Securities Co., Ltd. to Professional Investors in 2024," and the "Trustee Management Agreement for the Corporate Bonds Publicly Offered by Northeast Securities Co., Ltd. to Professional Investors in 2025," along with public information 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 refrain from taking any action. Investors should make independent judgments on relevant matters and should not use any content in this report as a commitment or statement made by Soochow Securities. In any event, Soochow Securities shall not be liable for any action or inaction taken by investors based on this report.
I. Bond Basic Information
(I) 23 Northeast 01
| Item | Details |
|---|
| Bond Name | Northeast Securities Co., Ltd. 2023 Public Offering of Corporate Bonds to Professional Investors (Phase I) |
| Bond Abbreviation and Code | 23 Northeast 01 148512.SZ |
| Issuance Size and Interest Rate | RMB 23.80 billion, 3.40% |
| Bond Balance | RMB 23.80 billion |
| Bond Term | 3 years |
| Interest Accrual Date | November 17, 2023 |
| Listing Date | November 27, 2023 |
| Guarantee | This bond is not guaranteed |
(II) 24 Northeast C1
| Item | Details |
|---|
| Bond Name | Northeast Securities Co., Ltd. 2024 Public Offering of Subordinated Bonds to Professional Investors (Phase I) |
| Bond Abbreviation and Code | 24 Northeast C1 148572.SZ |
| Issuance Size and Interest Rate | RMB 15.00 billion, 3.30% |
| Bond Balance | RMB 15.00 billion |
| Bond Term | 3 years |
| Interest Accrual Date | January 19, 2024 |
| Listing Date | January 26, 2024 |
| Guarantee | This bond is not guaranteed |
(III) 24 Northeast C2
| Item | Details |
|---|
| Bond Name | Northeast Securities Co., Ltd. 2024 Public Offering of Subordinated Bonds to Professional Investors (Phase II) |
| Bond Abbreviation and Code | 24 Northeast C2 148658.SZ |
| Issuance Size and Interest Rate | RMB 9.40 billion, 2.95% |
| Bond Balance | RMB 9.40 billion |
| Bond Term | 3 years |
| Interest Accrual Date | March 22, 2024 |
| Listing Date | March 27, 2024 |
| Guarantee | This bond is not guaranteed |
(IV) 24 Northeast 01