Statement
Great Wall Securities Co., Ltd. (hereinafter referred to as "Great Wall Securities" or "Custodian") is the custodian for the bonds issued by Northeast Securities Co., Ltd. (hereinafter referred to as "Northeast Securities" or "the Company" 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", "26 Northeast D6", and "26 Northeast Y1" (hereinafter referred to as "the Bonds"). In accordance with the bond prospectuses, the "Administrative Measures for the Issuance and Trading of Corporate Bonds", the "Code of Practice for Custodians of Corporate Bonds", and other relevant regulations, as well as the "Custodian Management Agreement for the 2024 Public Offering of Short-Term Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors", the "Custodian Management Agreement for the 2024 Public Offering of Subordinated Bonds by Northeast Securities Co., Ltd. to Professional Investors", the "Custodian Management Agreement for the 2025 Public Offering of Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors", the "Custodian Management Agreement for the 2026 Public Offering of Short-Term Corporate Bonds by Northeast Securities Co., Ltd. to Professional Investors", and the "Custodian Management Agreement for the 2026 Public Offering of Perpetual Subordinated Bonds by Northeast Securities Co., Ltd. to Professional Investors" (hereinafter collectively referred to as the "Custodian Agreements") signed with the issuer, as well as public information disclosure documents, professional opinions issued by third-party intermediaries, and relevant supporting documents and materials provided by the issuer, this temporary custodian management report has been compiled.
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 use any content in this report as a commitment or statement made by Great Wall Securities.
Next, Great Wall Securities will closely monitor the issuer's principal and interest payment status for all bonds and other matters that have a significant impact on the interests of bondholders, in accordance with relevant regulations, and will perform its duties as a custodian strictly in accordance with the "Administrative Measures for the Issuance and Trading of Corporate Bonds", the "Code of Practice for Custodians of Corporate Bonds", the "Prospectus", and the "Custodian Agreement".
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 by the issuer's Eleventh Board of Directors' Fourth Extraordinary Meeting in 2023 held on December 11, 2023, and the 2023 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 (Securities Regulatory Permit [2024]1732), the Company was authorized to publicly issue short-term corporate bonds to professional investors with a total face value not exceeding RMB 50 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 12.00 billion.
The outstanding status of this short-term bond issuance is as follows: