| Notice by the Shanghai Stock Exchange of Issuing the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market | | 上海证券交易所关于发布《上海证券交易所科创板企业发行上市申报及推荐暂行规定》的通知 |
| (No. 21 [2020] of the Shanghai Stock Exchange) | | （上证发〔2020〕21号） |
| All market participants: | | 各市场参与人： |
| For the purposes of implementing the relevant requirements of the China Securities Regulatory Commission (“CSRC”) for supporting and encouraging enterprises in compliance with the provisions on science and technology innovation attributes, further specifying the standards for the grasping of the positioning of the STAR Market, directing and regulating the application by issuers and recommendation by sponsor institutions, and promoting the sustainable and sound development of the STAR Market, according to the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, the Measures for the Administration of the Registration of IPO Stocks on the Star Market (for Trial Implementation), the Guidelines for the Evaluation of Science and Technology Innovation Attributes (for Trial Implementation), the Rules of the Shanghai Stock Exchange for the Examination of the Offering and Listing of Stocks on the STAR Market, and other relevant provisions, and with approval of the CSRC, the Shanghai Stock Exchange (“SSE”) has developed the Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market (see Annex for details), which are hereby issued and shall come into force on the date of issuance. The Guidelines of the Shanghai Stock Exchange for the Recommendation for the Listing of Enterprises on the STAR Market (No. 30 [2019], Shanghai Stock Exchange) shall be concurrently repealed. | | 为了落实中国证监会支持和鼓励符合科创属性规定的企业申报科创板有关要求，进一步明确科创板定位把握标准，引导和规范发行人申报和保荐机构推荐工作，促进科创板市场持续健康发展，根据《关于在上海证券交易所设立科创板并试点注册制的实施意见》《科创板首次公开发行股票注册管理办法（试行）》《科创属性评价指引（试行）》和《上海证券交易所科创板股票发行上市审核规则》等有关规定，上海证券交易所制定了《上海证券交易所科创板企业发行上市申报及推荐暂行规定》（详见附件），经中国证监会批准，现予以发布，并自发布之日起施行。《上海证券交易所科创板企业上市推荐指引》（上证发〔2019〕30号）同时废止。 |
| | 特此通知。 |
| Annex: Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market | | 附件：上海证券交易所科创板企业发行上市申报及推荐暂行规定 |
| Shanghai Stock Exchange | | 上海证券交易所 |
| March 27, 2020 | | 二〇二〇年三月二十七日 |
| Annex | | 附件 |
| Interim Provisions of the Shanghai Stock Exchange on Application and Recommendation for Issuance and Listing of Enterprises on the STAR Market | | 上海证券交易所科创板企业发行上市申报及推荐暂行规定 |
| Article 1 For the purposes of implementing the relevant requirements of the China Securities Regulatory Commission (“CSRC”) for supporting and encouraging enterprises in compliance with the provisions on science and technology innovation attributes, further specifying the standards for the grasping of the positioning of the STAR Market, directing and regulating the application by issuers and recommendation by sponsor institutions, and promoting the sustainable and sound development of the STAR Market, according to the Implementation Opinions on Setting up the STAR Market and Launching the Pilot Program of the Registration System on the Shanghai Stock Exchange, the Measures for the Administration of the Registration of IPO Stocks on the Star Market (for Trial Implementation), the Guidelines for the Evaluation of Science and Technology Innovation Attributes (for Trial Implementation, hereinafter referred to as the “Guidelines”), and the Rules of the Shanghai Stock Exchange on the Review of the Issuance and Listing of Stocks on the STAR Market (hereinafter referred to as the “Review Rules”), these Provisions are developed. | | 第一条 为了落实中国证监会支持和鼓励符合科创属性规定的企业申报科创板有关要求，进一步明确科创板定位把握标准，引导和规范发行人申报和保荐机构推荐工作，促进科创板市场持续健康发展，根据《关于在上海证券交易所设立科创板并试点注册制的实施意见》《科创板首次公开发行股票注册管理办法（试行）》《科创属性评价指引（试行）》（以下简称《指引》）和《上海证券交易所科创板股票发行上市审核规则》（以下简称《审核规则》），制定本规定。 |
| Article 2 The application and recommendation for issuance and listing of enterprises on the STAR Market shall be based on the requirements of these Guidelines and these Provisions on the science and technology innovation attributes, and whether the issuer complies with the positioning of the STAR Market shall be determined. | | 第二条 科创板企业发行上市申报和推荐，应当基于《指引》和本规定中的科创属性要求，把握发行人是否符合科创板定位。 |
| To apply for issuance and listing on the STAR Market, an issuer shall conduct self-evaluation on whether it complies with the positioning of the STAR Market, according to the requirements of these Guidelines and these Provisions on the science and technology innovation attributes. A sponsor institution recommending an issuer to apply for issuance and listing on the STAR Market shall check whether the issuer satisfies the requirements of the science and technology innovation attributes concerning the positioning of the STAR Market, and make a professional judgment. | | 发行人申报科创板发行上市的，应当对照《指引》和本规定中的科创属性要求，对其是否符合科创板定位进行自我评估。保荐机构推荐发行人申报科创板发行上市的，应当对发行人是否符合与科创板定位相关的科创属性要求，进行核查把关，作出专业判断。 |
| Article 3 An issuer applying for issuance and listing on the STAR Market shall be in a high and new technology industry and strategic emerging industry in the following industry fields: | | 第三条 申报科创板发行上市的发行人，应当属于下列行业领域的高新技术产业和战略性新兴产业： |
| (1) the field of a new generation of information technology, mainly including semiconductors and integrated circuits, electronic information, next-generation information networks, artificial intelligence, big data, cloud computing, software, Internet, Internet of Things, and intelligent hardware, among others; | | （一）新一代信息技术领域，主要包括半导体和集成电路、电子信息、下一代信息网络、人工智能、大数据、云计算、软件、互联网、物联网和智能硬件等； |
| (2) the field of high-end equipment, mainly including intelligent manufacturing, aerospace, advanced rail transit, ocean engineering equipment, and relevant services, among others; | | （二）高端装备领域，主要包括智能制造、航空航天、先进轨道交通、海洋工程装备及相关服务等； |
| (3) the field of new materials, mainly including advanced steel materials, advanced non-ferrous metal materials, advanced petrochemical new materials, advanced inorganic non-metallic materials, high-performance composite materials, cutting-edge new materials, and relevant services, among others; | | （三）新材料领域，主要包括先进钢铁材料、先进有色金属材料、先进石化化工新材料、先进无机非金属材料、高性能复合材料、前沿新材料及相关服务等； |
| (4) the field of new energy, mainly including advanced nuclear power, large-scale wind power, efficient optic-electro and optic-thermal technologies, efficient energy storage, and relevant services, among others; | | （四）新能源领域，主要包括先进核电、大型风电、高效光电光热、高效储能及相关服务等； |
| (5) the field of energy conservation and environmental protection, mainly including efficient energy-saving products and equipment, advanced technical equipment for environmental protection, advanced environmental protection products, circular using of resources, whole new-energy automobiles, key components and parts of new-energy automobiles, power batteries, and relevant services, among others; | | （五）节能环保领域，主要包括高效节能产品及设备、先进环保技术装备、先进环保产品、资源循环利用、新能源汽车整车、新能源汽车关键零部件、动力电池及相关服务等； |
| (6) the field of biological medicine, mainly including biological products, high-end chemical drugs, high-end medical equipment and instruments, and relevant services, among others; and | | （六）生物医药领域，主要包括生物制品、高端化学药、高端医疗设备与器械及相关服务等； |
| (7) other fields in compliance with the positioning of the STAR Market. | | （七）符合科创板定位的其他领域。 |
| Article 4 An issuer with science and technology innovation attributes concurrently meeting the following three indicators shall be supported and encouraged to apply for issuance and listing on the STAR Market according to these Guidelines: | | 第四条 科创属性同时符合下列3项指标的发行人，支持和鼓励其按照《指引》的规定申报科创板发行上市： |
| (1) The accumulated research and development investment in the most recent three years accounts for 5% or more of the accumulated business income or exceeds 60 million yuan; and, in particular, accumulated research and development investment of a software enterprise in the most recent three years accounts for 10% or more of accumulated business income in the most recent three years. | | （一）最近3年累计研发投入占最近3年累计营业收入比例5%以上，或者最近3年研发投入金额累计在6000万元以上；其中，软件企业最近3年累计研发投入占最近3年累计营业收入比例10%以上； |
| (2) It has formed over 5 patents for invention (including national defense patents) generating main business income, excluding software enterprises. | | （二）形成主营业务收入的发明专利（含国防专利）5项以上，软件企业除外； |
| (3) The compound growth rate of its business income in the most recent three years reaches 20%, or its business income in the most recent year reaches 0.3 billion yuan. Issuers applying for issuance and listing on the STAR Market according to the listing standards set forth in item (5) of paragraph 2 of Article 22 of the Review Rules are excluded. | | （三）最近3年营业收入复合增长率达到20%，或者最近一年营业收入金额达到3亿元。采用《审核规则》第二十二条第二款第（五）项上市标准申报科创板发行上市的发行人除外。 |
Article 5 An issuer falling under one of the following circumstances and with prominent science and technology innovation capability shall not be restricted by the indicators of science and technology innovation attributes set forth in the preceding article, and shall be supported and encouraged to apply for issuance and listing on the STAR Market according to these Guidelines:
．．．．．． | | 第五条 具备下列情形之一，科技创新能力突出的发行人，不受前条规定的科创属性指标的限制，支持和鼓励其按照《指引》的规定申报科创板发行上市：
．．．．．． |
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