Prospectus for Listing Issued by the Sponsor
Sponsor and Sponsor Representatives' Statement
CITIC Securities Co., Ltd. and the sponsor representatives for this project, Wang Tong and Fu Jiangping, have, in accordance with the "Company Law of the People's Republic of China," the "Securities Law of the People's Republic of China," and relevant regulations from the China Securities Regulatory Commission and the Shenzhen Stock Exchange, acted with honesty, trustworthiness, diligence, and responsibility. They have strictly adhered to legally established business rules and industry self-regulatory norms in issuing this prospectus for listing, and guarantee that the information provided is true, accurate, and complete.
Table of Contents
I. Basic Information of the Issuer
II. Information on the Issuer's Current Offering
III. Information on the Sponsor Representatives, Coordinators, and Other Project Team Members for this Securities Offering and Listing
IV. Statement on Whether the Sponsor Has Any Circumstances That May Affect the Impartial Performance of Its Sponsorship Duties
V. Matters the Sponsor is Required to Undertake in Accordance with Relevant Regulations
VI. Statement from the Sponsor Regarding Whether the Issuer Has Fulfilled the Decision-Making Procedures Stipulated by the "Company Law," "Securities Law," and Regulations of the CSRC and SZSE for this Securities Offering and Listing
VII. Sponsor's Professional Judgment on Whether the Issuer Meets the Sector Positioning and National Industrial Policy Requirements, Along with Corresponding Reasons and Basis, and the Sponsor's Review Content and Process
VIII. Work Arrangements During the Continuous Supervision Period
IX. Sponsor's Recommendation Conclusion for this Project
Glossary
In this Prospectus for Listing, unless otherwise specified, the following terms have the following specific meanings:
| Term | Meaning | | :--- | : | | CITIC Securities, Sponsor, Sponsor (Lead Underwriter) | CITIC Securities Co., Ltd. | | Shenling Environment, Company, Listed Company, Joint Stock Company, Issuer | Guangdong Shenling Environmental Systems Co., Ltd. | | Current Offering / Offering of Convertible Bonds to Unspecified Targets | The act of Shenling Environment offering convertible corporate bonds to unspecified targets | | Convertible Bonds | Convertible corporate bonds | | Prospectus | "Prospectus for Guangdong Shenling Environmental Systems Co., Ltd.'s Offering of Convertible Corporate Bonds to Unspecified Targets" | | Prospectus for Listing | "Prospectus for Listing Issued by CITIC Securities Co., Ltd. for Guangdong Shenling Environmental Systems Co., Ltd.'s Offering of Convertible Corporate Bonds to Unspecified Targets" | | Articles of Association | "Articles of Association of Guangdong Shenling Environmental Systems Co., Ltd." | | Company Law | "Company Law of the People's Republic of China" | | Securities Law | "Securities Law of the People's Republic of China" | | "Administrative Measures for the Registration of Issuance of Securities by Listed Companies" / "Administrative Measures" | "Administrative Measures for the Registration of Issuance of Securities by Listed Companies" | | Listing Rules | "Shenzhen Stock Exchange GEM Stock Listing Rules" | | CSRC | China Securities Regulatory Commission | | SZSE, Exchange | Shenzhen Stock Exchange | | Rating Agency, Pengyuan Credit Rating | Pengyuan Credit Rating Co., Ltd. | | Reporting Period, Most Recent Three Years | 2023, 2024, 2025 | | As of Reporting Date | December 31, 2025 | | RMB, Ten Thousand RMB, Hundred Million RMB | RMB, Ten Thousand RMB, Hundred Million RMB |
Note 1: Unless otherwise specified, the definitions in this Prospectus for Listing are consistent with those in the "Prospectus for Guangdong Shenling Environmental Systems Co., Ltd.'s Offering of Convertible Corporate Bonds to Unspecified Targets."
Note 2: If there is a discrepancy between the sum of individual items and the total, or a difference in the decimal places compared to the original data, it may be due to rounding or the number of significant digits.