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深圳证券交易所可转换公司债券上市协议

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<!DOCTYPE html PUBLIC "-//W3C//DTD XHTML 1.1//EN" "http://www.w3.org/TR/xhtml11/DTD/xhtml11.dtd"><html xmlns="http://www.w3.org/1999/xhtml"><head><meta http-equiv="Content-Type" content="application/xhtml+xml; charset=utf-8" /><title></title><style type="text/css">body{ font-family:'Times New Roman'; font-size:1em; } p {padding:0;margin-top:5pt;margin-right:0;margin-bottom:5pt;margin-left:0;} ul, ol{ margin-top: 0; margin-bottom: 0; } .Normal{page-break-inside:auto;page-break-after:auto;page-break-before:auto;margin-left:0.0pt;text-indent:0.0pt;border-top-style: none;border-left-style: none;border-right-style: none;border-bottom-style: none;font-size:11.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;} .Heading-1{page-break-inside:avoid;page-break-after:avoid;page-break-before:auto;margin-left:0.0pt;text-indent:0.0pt;border-top-style: none;border-left-style: none;border-right-style: none;border-bottom-style: none;color:#3B608D;font-size:14.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:'Times New Roman';font-weight:bold;} .Default-Paragraph-Font{font-size:11.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:Arial;lang:EN-US;mso-fareast-language:EN-US;mso-ansi-language:AR-SA;} .Normal-Table{} .Heading-1-Char{color:#3B608D;font-size:14.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:'Times New Roman';font-weight:bold;} .Table-Grid{} </style></head><body style="pagewidth:612.0pt;pageheight:792.0pt;"><div class="Section0"><div style="min-height:72pt" /> <p class="Heading-1" style="text-align:center;line-height:1.0;"><span style="color:#000000;font-size:18.0pt;font-family:SimSun;mso-fareast-font-family:宋体;mso-bidi-font-family:SimSun;font-weight:bold;">深圳证券交易所可转换公司债券上市协议</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">甲方:深圳证券交易所(以下简称“甲方”)</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定代表人:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定地址:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">联系电话:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">乙方(发行人):(以下简称“乙方”)</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定代表人:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定地址:</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">联系电话:</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第一条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">  </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">为规范可转换公司债券上市行为,明确双方的权利与义务,甲、乙双方根据</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">《合同法》</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">、《证券法》和甲方相关业务规则等的规定,经协商一致,签订本协议。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第二条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  甲方依据《证券法》、《深圳证券交易所股票上市规则》等有关规定,对乙方提交的可转换公司债券上市申请文件进行审查,认为乙方发行的可转换公司债券(代码:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">;简称:</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;text-decoration: underline;">        </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">)符合上市条件,接受其可转换公司债券上市。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第三条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  甲方依据有关法律、法规、规章、甲方相关业务规则、细则、通知、办法、指引等的规定,对乙方实施监管,乙方同意接受甲方的监管。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第四条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  乙方承诺并保证严格遵守相关法律、法规、规章和甲方现有或者将来新制定、修改的业务规则、细则、通知、办法、指引等。乙方在可转换公司债券上市前和上市后作出的各种承诺,作为本协议不可分割的一部分,应当履行。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第五条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  乙方应当向甲方缴纳可转换公司债券上市费,上市费分为上市初费和上市月费。上市初费按上市总金额的0.01%缴纳,最高不超过30,000元人民币;上市月费的收取以可转换公司债券总额为收费依据,可转换公司债券总额不超过1亿元的,每月交纳500元;超过1亿元的,每增加2,000万元,月费增加100元,最高不超过2,000元。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方应当在其发行的可转换公司债券上市交易的三个工作日前向甲方交纳上市初费,并自上市日的第二个月起至终止上市当月止,按年预交上市月费,每年在收到甲方交款通知后,划交甲方指定帐号。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方逾期交纳上市费用的,每逾期一天,应向甲方支付延期交纳金额的0.03%的违约金。乙方可转换公司债券被终止上市后,已经交纳的上市费不予返还。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">经有关主管机关批准,甲方可以对上述收费标准进行调整。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第六条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  乙方应根据相关法律、法规、规章、甲方业务规则、细则、通知、办法、指引及甲方的要求,履行相关信息披露义务。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方必须保证信息披露内容真实、准确、完整、及时、公平,没有虚假记载、误导性陈述或重大遗漏。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">甲方可视市场的需要,对乙方发行上市的可转换公司债券实施暂停交易。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第七条  </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">乙方对于债券评估机构对可转换公司债券信用等级的评定情况,以及可转换公司债券信用跟踪评级的变动情况应及时报告甲方。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第八条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">  </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">本协议的执行与解释适用中华人民共和国法律。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第九条  </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">凡因本合同引起的或与本合同有关的任何争议,均应提交华南国际经济贸易仲裁委员会仲裁。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第十条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">  </span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">本协议未约定的事宜,依照国家有关法律、法规、规章及甲方有关业务规则、细则、通知、办法、指引等执行。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第十一条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  本协议自双方签字盖章之日起生效。双方可以书面方式对本协议作出修改或补充,经双方签字盖章的有关本协议的修改协议和补充协议是本协议的组成部分,与本协议具有同等法律效力。</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">第十二条</span><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">  本协议一式四份,双方各执二份。</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">甲方(公章):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定代表人(或其授权代理人)(签字):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">年    月    日</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;font-weight:bold;">乙方(公章):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">法定代表人(或其授权代理人)(签字):</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">年    月    日</span></p> <p class="Normal" style="line-height:1.0;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">&#xa0;</span></p> <p class="Normal" style="line-height:1.0;"><span style="color:#000000;font-size:12.0pt;font-family:SimSun;mso-bidi-font-family:SimSun;">合同签订地点:</span></p> </div></body></html>

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