Southwest Securities Co., Ltd.
Regarding the Issuance Sponsorship Report of Suzhou Sunmoon Technology Co., Ltd. for the 2024 Private Placement of Shares and Listing on the ChiNext Market
Southwest Securities Co., Ltd. (hereinafter referred to as "Southwest Securities," "Sponsor," or "this Sponsor") has been entrusted by Suzhou Sunmoon Technology Co., Ltd. (hereinafter referred to as "Sunmoon Technology," "the Issuer") to act as the sponsor for its private placement of shares and listing on the ChiNext market. Jiang Liangjun and Lou Hangchong are the designated sponsoring representatives responsible for this issuance, and they hereby issue this Issuance Sponsorship Report.
This Sponsor and the sponsoring representatives, 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," and other relevant laws and regulations, as well as the regulations of the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") and the Shenzhen Stock Exchange (hereinafter referred to as the "SZSE"), have acted with honesty, trustworthiness, diligence, and responsibility. They have strictly adhered to the legally established business rules, industry practice standards, and ethical codes in issuing this Issuance Sponsorship Report, and they guarantee the truthfulness, accuracy, and completeness of the information contained herein.
Unless otherwise specified, the abbreviations used in this Issuance Sponsorship Report are consistent with those in the "Prospectus for the 2024 Private Placement of Shares by Suzhou Sunmoon Technology Co., Ltd. to Specific Objects."
Table of Contents
Section 1 Basic Information of This Securities Issuance
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Sponsoring Representatives Responsible for This Securities Issuance
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Project Assistants and Other Members of the Project Team for This Securities Issuance
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Information on the Issuer
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Statement on the Absence of Relationship Between the Issuer and the Sponsor
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Internal Review Procedures and Review Opinions of the Sponsor
Section 2 Sponsor's Commitment Matters
Section 3 Verification of Paid Engagement of Third-Party Institutions and Individuals
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Verification of Sponsor's Paid Engagement of Third Parties
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Verification of Issuer's Paid Engagement of Third Parties
Section 4 Recommendation Opinion on This Securities Issuance
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The Issuer Has Fulfilled Necessary Decision-Making Procedures for This Issuance
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This Securities Issuance Complies with the Issuance Conditions Stipulated by the Company Law and the Securities Law
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The Issuer Complies with the Issuance Conditions Stipulated in Chapter Two of the Administrative Measures for the Registration of Issuance of Securities by Listed Companies and Other Relevant Regulations
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Major Risks Faced by the Issuer
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Evaluation of the Issuer's Development Prospects
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Conclusion of Recommendation for This Securities Issuance
Section 1 Basic Information of This Securities Issuance
1. Sponsoring Representatives Responsible for This Securities Issuance
The sponsoring representatives responsible for this issuance are Jiang Liangjun and Lou Hangchong. Their professional track records are as follows:
Jiang Liangjun, male, sponsoring representative, certified public accountant, currently serves as the General Manager of the Mergers and Acquisitions Finance Department II of Southwest Securities Co., Ltd. He has previously been responsible for or participated in projects including major asset restructurings of listed companies such as Keda Machinery & Electrical, Shengda Mining, ST Liyang, *ST Taiguang, Xinhua Medical, Fucheng Wufeng, Solar, Dinglong Co., Ltd., and Guanghuan New Network; refinancing projects of listed companies such as Hongfa Holdings, Redsun Pharmaceutical, and Shenzhou Information; financial advisory projects such as the bankruptcy reorganization of Tsinghua Unigroup; and new third board listing recommendation and IPO guidance projects such as Huaxia Electric Power and Ruineng Semiconductor.