Nanjing Estun Automation Co., Ltd. Securities Investment Management System (June 2026)
Chapter 1 General Provisions
Article 1 To regulate the securities investment business of Nanjing Estun Automation Co., Ltd. (hereinafter referred to as the "Company"), prevent investment risks, and protect the rights and interests of investors, in accordance with the "Company Law of the People's Republic of China," "Securities Law of the People's Republic of China," "Shenzhen Stock Exchange Stock Listing Rules" (hereinafter referred to as the "SZSE Listing Rules"), "Hong Kong Stock Exchange Securities Listing Rules" (hereinafter referred to as the "HKEX Listing Rules"), "Shenzhen Stock Exchange Listed Company Self-Regulatory Supervision Guideline No. 1 - Standardized Operation of Main Board Listed Companies" (hereinafter referred to as the "Guideline No. 1"), "Shenzhen Stock Exchange Listed Company Self-Regulatory Supervision Guideline No. 7 - Transactions and Connected Transactions" (hereinafter referred to as the "Guideline No. 7"), and the "Articles of Association of Nanjing Estun Automation Co., Ltd." (hereinafter referred to as the "Articles of Association"), and in conjunction with the Company's actual situation, this System is hereby formulated.
Article 2 The term "securities investment" as used in this System includes new share placements or subscriptions, securities repurchases, investments in stocks and depositary receipts, bond investments, and other investment activities recognized by the Shenzhen Stock Exchange (hereinafter referred to as the "SZSE") and the Hong Kong Stock Exchange (hereinafter referred to as the "HKEX").
The following situations are not applicable to this System: (1) Securities investment activities that constitute the main business of the Company or its holding subsidiaries; (2) Investments with fixed income or guaranteed principal; (3) Participating in the rights issues of other listed companies or exercising preferential subscription rights; (4) Purchasing shares of other listed companies exceeding 10% of the total share capital, with the intention of holding for more than three years; (5) Investments made by the Company prior to its initial public offering and listing.
Article 3 The Company shall adhere to the following basic principles when conducting securities investments: (1) The Company's securities investments shall comply with relevant national laws, regulations, and normative documents; (2) The Company's securities investments shall follow the principles of legality, prudence, safety, and effectiveness, establish and improve internal control systems, control investment risks, and focus on investment returns; (3) The Company's securities investments shall be consistent with its asset structure, moderate in scale, and within its capabilities, and shall not affect the normal operation of its main business.
Article 4 The funds for the Company's securities investments shall come from the Company's own funds, and raised funds shall not be used directly or indirectly for securities investments. The Company shall not conduct securities investments within twelve months after using over-raised funds to supplement working capital.
Article 5 This System applies to the securities investment activities of the Company and its holding subsidiaries (hereinafter referred to as "Subsidiaries").
Article 6 When the Company and its holding subsidiaries conduct securities investments, they shall open securities accounts and fund accounts in their own names for securities investments, and shall not use accounts of other companies or individuals or provide funds to others for securities investments.
Chapter 2 Securities Investment Decision-Making Authority