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深圳证券交易所证券上市协议(2018年修订版)

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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; } ul, ol{ margin-top: 0; margin-bottom: 0; } ins{color:#2E97D3;} del{color:#FF0000;} .Normal{page-break-inside:auto;page-break-after:auto;page-break-before:auto;margin-top:0.0pt;margin-bottom:0.0pt;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:12.0pt;font-family:'Times New Roman';mso-fareast-font-family:'Times New Roman';mso-bidi-font-family:'Times New Roman';} .Default-Paragraph-Font{font-family:'Times New Roman';mso-fareast-font-family:宋体;mso-bidi-font-family:'Times New Roman';} .Normal-Table{} .Table-Grid{} .Table-Normal{} </style></head><body style="pagewidth:595.3pt;pageheight:841.9pt;"><div class="Section0"><div style="min-height:72pt" /> <p class="Normal" style="text-align:center;line-height:22.0pt;"><span style="color:#4E555B;font-size:13.5pt;font-family:Normal;mso-fareast-font-family:Normal;mso-bidi-font-family:Normal;background-color:#FFFFFF;text-transform:none;font-weight:bold;font-style:normal;">&nbsp;</span><a id="_GoBack" /><span style="color:#4E555B;font-size:13.5pt;font-family:Normal;mso-fareast-font-family:Normal;mso-bidi-font-family:Normal;background-color:#FFFFFF;text-transform:none;font-weight:bold;font-style:normal;">深圳证券交易所证券上市协议 </span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;font-size: 12pt;"><span style="color:#000000;font-size:12.0pt;font-family:'Times New Roman';mso-fareast-font-family:'Times New Roman';mso-bidi-font-family:'Times New Roman';">&#xa0;</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲 方:深圳证券交易所</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  法定代表人:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  住所地:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙 方:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  法定代表人:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  住所地:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲方是为证券集中交易提供场所和设施,组织和监督证券交易,实行自律管理的法人,是市场的组织者、运营者和自律管理者。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方自愿向甲方申请其股票、可转换公司债券、公司债券等证券及其衍生品种(以下统称证券)上市,并已获甲方审核同意。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲乙双方在自愿平等、协商一致的基础上,订立本协议。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第一条 乙方在甲方上市证券的基本情况为:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  证券品种:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  证券简称:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  证券代码:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  上市日期(股票上市首日日期):</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  上市证券基本情况发生变更的,乙方应当按照甲方要求提交相关申请书等文件,除双方一致认为需要另行签订修改协议或补充协议外,上述文件经甲方认可后,作为本协议的一部分。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方非公开发行的证券在甲方挂牌转让的,相关权利义务比照适用本协议,除双方一致认为另有需要外,不再另行签订协议。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方同意,未经甲方认可,上述证券不在其他场所上市交易或转让,也不以其为基础证券发行衍生品种并在其他场所上市交易或转让。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第二条 甲方根据乙方申请,以及甲方发布的规则、细则、办法、指引、通知等业务规则和备忘录、业务指南、流程等其他相关规定,为乙方证券的发行、上市交易、停复牌办理及乙方信息披露、并购重组等业务提供设施、咨询以及培训等服务便利。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第三条 甲乙双方共同遵守有关法律、行政法规、部门规章、规范性文件(以下统称法律法规)、甲方业务规则及其他相关规定。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第四条 乙方在上市时及上市后作出的各种承诺,作为本协议的一部分,应当遵守。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方应当督促其董事、监事、高级管理人员、控股股东、实际控制人以及为乙方提供服务的证券服务机构等(以下统称相关方)遵守甲方业务规则及其他相关规定,按照甲方要求签署并遵守承诺及声明,接受甲方的自律监管。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第五条 乙方同意接受并积极配合甲方依据法律法规、业务规则及其他相关规定和本协议,或基于维护公共利益、市场秩序及投资者合法权益等监管需要,对乙方实施的自律监管。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第六条 乙方应当诚实守信、规范运作,按照法律法规、甲方业务规则及其他相关规定,建立规范的公司治理结构和健全的内部控制制度,履行信息披露及其他相关义务,并保证信息披露内容的真实、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="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方同意接受甲方对其信息披露和规范运作的监管。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第七条 甲方根据业务规则及其他相关规定和监管需要,对乙方证券实施停复牌、风险警示,作出暂停、恢复或终止其上市交易的决定。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第八条 甲方根据业务规则及其他相关规定和监管需要,对乙方进行现场和非现场检查,乙方同意积极配合并督促相关方积极配合。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  前款所述现场检查,是指甲方在乙方及其所属企业和机构的生产、经营、管理等场所,采取查阅、复制、记录、提取文件和资料,采集数据信息,查看实物,谈话及询问等方式,对乙方进行监督检查的行为。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第九条 乙方违反本协议或出现违规行为的,甲方按照业务规则及其他相关规定,对乙方及相关方采取口头或书面警示、通报批评、公开谴责、公开认定不适合担任相应职务、收取惩罚性违约金、向相关主管部门出具监管建议函等自律监管措施或纪律处分。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲方收取惩罚性违约金遵循收取金额与行为性质、情节轻重、危害程度以及市场影响相适应的原则,惩罚性违约金的适用情形、具体标准、收取程序等由甲方另行规定。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十条 乙方向甲方缴纳上市费用的标准,按照本协议附件“收费明细表”执行。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方应当按照甲方相关通知要求及时足额缴纳上市费用,逾期未缴纳的,甲方有权每日按应缴纳金额的0.03%收取滞纳金。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲方对上市费用收费标准、收费方式等进行调整的,按调整后的执行。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方证券终止上市的,其已经缴纳的上市费用不予返还。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十一条 因不可抗力、意外事件、技术故障等突发性事件导致证券交易、信息披露及行情发布等出现异常情况,以及甲方采取相关应对措施造成的损失,甲方不承担民事责任,但存在重大过错的除外。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十二条 本协议自双方签字盖章之日起生效,至乙方所有证券终止上市且在甲方摘牌之日终止。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十三条 乙方股票被甲方终止上市的,乙方同意按照甲方业务规则的规定,确保摘牌后其股份进入相关场所进行转让。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方股票被甲方终止上市的,乙方应当按照有关规定选定一家有资格的股份转让服务机构,为乙方提供股份挂牌转让等服务,并在规定时间内与其签订协议。逾期未选定的,视为乙方同意甲方在作出乙方股票终止上市决定时,即代其指定临时股份转让服务机构,相关费用由乙方承担。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  本协议终止不影响本条规定的效力。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十四条 除本协议第一条的约定外,经双方协商一致,还可以书面方式对本协议作出修改或补充。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  本协议生效后,如因适用法律法规、甲方业务规则及其他相关规定发生变化,导致本协议相关条款与上述规定内容相抵触的,以修订或新颁布的法律法规、甲方业务规则及其他相关规定内容为准。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十五条 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="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十六条 甲方建立自律监管内部救济制度,保障乙方根据甲方业务规则的规定,就甲方有关重大自律监管决定行使听证、复核等权利。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  与本协议有关或因执行本协议引起的一切争议及纠纷,双方同意采用以下方式()(A或B,二选一)予以解决:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  A. 向有管辖权的人民法院提起诉讼;</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  B. 提交深圳国际仲裁院在深圳仲裁。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十七条 本协议未尽事宜,按照有关法律法规、甲方业务规则及其他相关规定执行。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  双方此前签订的相关协议与本协议约定不一致的,以本协议为准。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  第十八条 本协议一式四份,双方各执二份,具有同等法律效力。</span></p> <p class="Normal" style="text-align:center;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">【本页为《深圳证券交易所证券上市协议(2018年修订版)》签署页】</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  甲  方:深圳证券交易所      乙  方:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;"> </span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">&nbsp;</span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">(单位盖章)            (公司盖章)</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  法定代表人或授权代表:       法定代表人或授权代表:</span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">&nbsp;</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  日期:  年 月 日        日期:  年 月 日</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  特别声明:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  乙方确认已经认真阅读了本协议,就协议中有关乙方义务以及限制或免除甲方责任的条款,甲方已作出明确解释说明。乙方充分知悉、理解并认可上述条款内容。</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">&nbsp;&nbsp;&nbsp;&nbsp;</span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">乙方法定代表人或授权代表:</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;"> (签字)</span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">&nbsp;</span></p> <p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  附件:</span></p> <p class="Normal" style="text-align:center;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">收费明细表 </span></p> <table cellspacing="0" style="border-collapse: collapse; width: 488.65pt; "><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:26.66667px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">收费项目</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">收费标的</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">收费标准</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">备注</span></p> </td></tr><tr style="height: 16.0px"><td rowspan="4" style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:26.66667px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">上市初费</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">A股、B股</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">总股本2亿以下(含),30万元;总股本2亿至4亿(含),45万元;总股本4亿至6亿(含),55万元;总股本6亿至8亿(含),60万元;总股本8亿以上,65万元。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">在此标准上减半取整收取,创业板再减半。总股本为A、B股合计。</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">优先股</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">试点期间按普通股标准的80%收取。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;font-size: 12pt;"><span style="font-size:12.0pt;font-family:'Times New Roman';mso-fareast-font-family:'Times New Roman';mso-bidi-font-family:'Times New Roman';">&#xa0;</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">可转换公司债券</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">上市债券总额0.01%,最高不超过3万元。(暂免收取)</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">?</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">公司债券</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">暂免收取。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">?</span></p> </td></tr><tr style="height: 16.0px"><td rowspan="4" style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:26.66667px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">上市年费</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">A股、B股</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">总股本2亿以下(含),5万元;总股本2亿至4亿(含),8万元;总股本4亿至6亿(含),10万元;总股本6亿至8亿(含),12万元;总股本8亿以上,15万元。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">创业板减半征收。总股本为A、B股合计。</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">优先股</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">试点期间按普通股标准的80%收取。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;font-size: 12pt;"><span style="font-size:12.0pt;font-family:'Times New Roman';mso-fareast-font-family:'Times New Roman';mso-bidi-font-family:'Times New Roman';">&#xa0;</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">可转换公司债券</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">以1亿元为基数,每年缴纳6000元;超过1亿元的,每增加2000万元,年费增加1200元,最高不超过24000元。(暂免收取)</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">?</span></p> </td></tr><tr style="height: 16.0px"><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:41.93333px;"><p class="Normal" style="text-align:center;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">公司债券</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:413.3333px;"><p class="Normal" style="text-align:left;line-height:1.83;"><span style="font-size:9.0pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;direction: ltr;">暂免收取。</span></p> </td><td style="vertical-align:middle;border-top-style:solid;border-top-color:#000000;border-top-width:1.33px;border-left-style:solid;border-left-color:#000000;border-left-width:1.33px;border-right-style:solid;border-right-color:#000000;border-right-width:1.33px;border-bottom-style:solid;border-bottom-color:#000000;border-bottom-width:1.33px;padding-left:0pt;padding-right:0pt;padding-top:0pt;padding-bottom:0pt;width:169.6px;"><p class="Normal" style="text-align:left;line-height:1.83;font-size: 12pt;"><span style="font-size:12.0pt;font-family:'Times New Roman';mso-fareast-font-family:'Times New Roman';mso-bidi-font-family:'Times New Roman';">&#xa0;</span></p> </td></tr></table><p class="Normal" style="text-align:left;line-height:22.0pt;"><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">  注:以上“元”为人民币元。</span><span style="color:#000000;font-size:12.5pt;font-family:宋体;mso-fareast-font-family:宋体;mso-bidi-font-family:宋体;font-weight:normal;">&nbsp;</span></p> </div></body></html>

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