Guotai Haitong Securities Co., Ltd.
Regarding Shenzhen Uniconn Technology Co., Ltd.'s Issuance Sponsorship Report for Convertible Bonds to Unspecified Targets
Guotai Haitong Securities Co., Ltd. (hereinafter referred to as "Sponsor" or "Guotai Haitong") has accepted the entrustment of Shenzhen Uniconn Technology Co., Ltd. (hereinafter referred to as "Issuer" or "Company" or "Uniconn Technology") to act as the sponsor for Uniconn Technology's issuance of convertible bonds to unspecified targets (hereinafter referred to as "this Project"). Liu Yiping and Mo Junyan, as the responsible sponsoring representatives, hereby issue this issuance sponsorship report to the Shenzhen Stock Exchange (hereinafter referred to as "SZSE").
The Sponsor and the designated sponsoring representatives, in accordance with the "Company Law of the People's Republic of China," the "Securities Law of the People's Republic of China," and other relevant laws, regulations, and the relevant regulations of the China Securities Regulatory Commission and SZSE, have acted in good faith, diligently, and responsibly, and have strictly followed the business rules, industry practice norms, and ethical guidelines formulated in accordance with the law to issue this issuance sponsorship report, and guarantee that the information provided is true, accurate, and complete.
Unless otherwise specified, the terms used in this issuance sponsorship report have the same meaning as in the "Shenzhen Uniconn Technology Co., Ltd. Issuance of Convertible Bonds to Unspecified Targets Prospectus."
Table of Contents
Table of Contents
Section 1: Basic Information on This Securities Issuance
I. Sponsor Name II. Information on Designated Sponsoring Representatives III. Information on Designated Project Assistants and Other Project Team Members IV. Type of Securities Issuance by the Sponsor's Issuer V. Basic Information of the Issuer for This Sponsorship Issuance VI. Verification of Sponsor's Relationship with the Issuer VII. Sponsor's Internal Review Procedures and Internal Audit Opinions
Section 2: Sponsor's Commitment Matters
I. Sponsor's General Commitment to This Issuance Sponsorship II. Sponsor's Itemized Commitments to This Issuance Sponsorship
Section 3: Recommendation Opinion on This Securities Issuance
I. Sponsor's Conclusion on Recommendation for This Securities Issuance II. Issuer's Decision-Making Procedures for This Securities Issuance III. This Securities Issuance Meets the Issuance Conditions Stipulated by the "Securities Law" IV. This Securities Issuance Meets the Issuance Conditions Stipulated by the "Administrative Measures for the Registration of Securities Issuances by Listed Companies" V. Risks Related to the Company VI. Explanation and Verification Opinion on the Engagement of Third Parties in Investment Banking Business VII. Brief Evaluation of the Issuer's Development Prospects
Section 1: Basic Information on This Securities Issuance
I. Sponsor Name
Guotai Haitong Securities Co., Ltd.
II. Information on Designated Sponsoring Representatives
Guotai Haitong has designated Liu Yiping and Mo Junyan as the sponsoring representatives for Uniconn Technology's issuance of convertible bonds to unspecified targets.
Mr. Liu Yiping, Executive Director of Guotai Haitong Investment Banking Department, sponsoring representative, Chinese Certified Public Accountant, with a Master's degree in Management. He has participated in the operation and issuance of IPOs for Shouhang New Energy, Shengyuan Environmental Protection, Tianyuan Shares, Mingli Da, and Zhongfu Shenying, as well as the non-public offering project for Hualu Holdings and the listing guidance for numerous companies. Mr. Liu Yiping has strictly abided by the relevant regulations such as the "Administrative Measures for Securities Issuance and Listing Sponsorship Business" during his practice, and his professional record is good.