Guohai Securities Co., Ltd.
Issuance and Underwriting Report for Chongqing Shunbo Aluminum Co., Ltd. Private Placement of Shares
Sponsor's Statement
Guohai Securities Co., Ltd. and its designated sponsors, in accordance with the "Company Law of the People's Republic of China" (hereinafter referred to as the "Company Law"), the "Securities Law of the People's Republic of China" (hereinafter referred to as the "Securities Law"), the "Administrative Measures for the Registration of Issuance of Securities by Listed Companies" (hereinafter referred to as the "Registration Measures"), and other relevant laws, regulations, and the regulations of the China Securities Regulatory Commission, hereby issue this issuance and underwriting report with honesty, trustworthiness, diligence, and responsibility, strictly in accordance with the legally formulated business rules, industry practice, and ethical standards, and guarantee the truthfulness, accuracy, and completeness of this issuance and underwriting report.
Table of Contents
Sponsor's Statement
Table of Contents
Chapter 1 Basic Information on This Securities Issuance
I. Sponsor Representative Information
II. Project Assistants and Other Project Team Members
III. Basic Information of the Issuer
IV. Description of the Relationship Between the Issuer and the Sponsor
V. Sponsor's Internal Review Procedures and Review Opinions
Sponsor's Commitment
Chapter 3 Recommendation Opinion on This Securities Issuance
I. Conclusion of Recommendation on This Securities Issuance
II. This Issuance Has Followed Statutory Decision-Making Procedures
III. This Issuance Meets the Conditions Stipulated in the "Company Law"
IV. This Issuance Meets the Conditions Stipulated in the "Securities Law"
V. This Issuance Meets the Conditions Stipulated in the "Registration Measures"
VI. Verification of Whether Third Parties Were Directly or Indirectly Hired for Remuneration in This Issuance
VII. Verification Opinion on the Issuer's Implementation of the "Guiding Opinions on Matters Concerning the Dilution of Immediate Returns from Initial Public Offerings, Refinancing, and Major Asset Restructuring"
VIII. Major Risks and Development Prospects Faced by the Issuer
Chapter 1 Basic Information on This Securities Issuance
I. Sponsor Representative Information
Mr. Luo Dawei, sponsor representative, has completed projects such as Chongqing Department Store's issuance of shares to purchase assets, Chongqing Tire's rights issue, Chongqing Tire's private placement of shares, Chuanheng Shares IPO, Shunbo Alloy IPO, Shunbo Alloy's public offering of convertible bonds, and Shunbo Alloy's private placement of shares.
Mr. Ye Hongjiang, a senior manager at Guohai Securities' Equity Business Department and a sponsor representative, holds qualifications as a certified public accountant and a legal professional. Since 2020, he has been engaged in investment banking business and has participated as a key member of the project team in projects such as Changjiang Materials IPO and Shunbo Alloy's public offering of convertible bonds.
II. Project Assistants and Other Project Team Members
(I) Project Assistant
Mr. Zeng Haifeng, a business manager at Guohai Securities' Equity Business Department, holds qualifications as a certified public accountant and a legal professional. Since 2022, he has been engaged in investment banking business and has participated in projects such as Ruifeng Precision IPO guidance.
(II) Other Project Team Members
Liu Miao, Guo Gang, Chen Youmo, Xie Yu.
III. Basic Information of the Issuer
(I) Basic Information
Company Name: Chongqing Shunbo Aluminum Co., Ltd. (hereinafter referred to as "Shunbo Alloy" or "the Issuer")
English Name: Chongqing Shunbo Aluminum Co., LTD.
Date of Establishment: March 21, 2003
Registered Capital: RMB 669,436,800
Legal Representative: Wang Zhenjian
Securities Abbreviation: Shunbo Alloy
Securities Code: 002996
Listing Location: Shenzhen Stock Exchange
Listing Date: August 28, 2020
Registered Address: Caojie Industrial Park, Hechuan District, Chongqing
Office Address: Caojie Industrial Park, Hechuan District, Chongqing