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Announcement No. 52 [2014] of the China Securities Regulatory Commission ― Standards for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 17 ― Report of Acquisition by Offer (2014 Revision) [Revised]
中国证券监督管理委员会公告2014年第52号——关于《公开发行证券的公司信息披露内容与格式准则第17号——要约收购报告书(2014年修订)》的公告 [已被修订]
【法宝引证码】

Announcement of the China Securities Regulatory Commission 

中国证券监督管理委员会公告

(No. 52 [2014]) (2014年第52号)

The Standards for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 17 ― Report of Acquisition by Offer (2014 Revision) are hereby issued and shall come into force on the date of issuance. 现公布《公开发行证券的公司信息披露内容与格式准则第17号--要约收购报告书(2014年修订)》,自公布之日起施行。
China Securities Regulatory Commission 

中国证监会

December 24, 2014 2014年12月24日

Standards for the Contents and Formats of Information Disclosure by Companies Offering Securities to the Public No. 17 ― Report of Acquisition by Offer (2014 Revision) 

  公开发行证券的公司信息披露内容与格式准则第17 号-要约收购报告书(2014年修订)

 

  

Table of Contents 目录

Chapter I General Provisions 第一章 总则
Chapter II Report of Acquisition by Offer 第二章 要约收购报告书
Section 1 Cover, Spine, Title Page, Table of Contents, and Interpretations 第一节 封面、书脊、扉页、目录、释义
Section 2 Basic Information on the Acquirer 第二节 收购人的基本情况
Section 3 Purpose of Acquisition by Offer 第三节 要约收购目的
Section 4 Plan of Acquisition by Offer 第四节 要约收购方案
Section 5 Source of Acquisition Funds 第五节 收购资金来源
Section 6 Follow-up Plan 第六节 后续计划
Section 7 Analysis of Impact on Listed Companies 第七节 对上市公司的影响分析
Section 8 Material Transactions with Acquired Companies 第八节 与被收购公司之间的重大交易
Section 9 Information on the Purchase and Sale of Listed Shares for the Previous Six Months 第九节 前6 个月内买卖上市交易股份的情况
Section 10 Opinions of Professional Institutions 第十节 专业机构的意见
Section 11 Financial Information of the Acquirer 第十一节 收购人的财务资料
Section 12 Other Major Matters 第十二节 其他重大事项
Section 13 Documents for Reference 第十三节 备查文件
Chapter III Summary of the Report of Acquisition by Offer 第三章 要约收购报告书摘要
Chapter IV Supplementary Provisions 第四章 附则
Chapter I General Provisions 

第一章 总则

Article 1 To regulate the disclosure of information in connection with acquisition by offer, protect the lawful rights and interests of investors, and maintain the order of the securities market, these standards are formulated in accordance with the provisions of the Securities Law, the Measures for the Administration of Acquisition of Listed Companies (hereinafter referred to as the “Acquisition Measures”) as well as other relevant laws, administrative regulations and departmental rules.   第一条 为了规范要约收购活动中的信息披露行为,保护投资者的合法权益,维护证券市场秩序,根据《证券法》、《上市公司收购管理办法》(以下简称《收购办法》)及其他相关法律、行政法规及部门规章的规定,制订本准则。
Article 2 The acquirer that increases the holding of shares of a listed company in the way of acquisition by offer (hereinafter referred to as the “acquirer”) shall prepare the report of acquisition by offer according to the requirements of these Standards.   第二条 以要约收购方式增持被收购上市公司股份的收购人(以下简称收购人)应当按照本准则的要求编制要约收购报告书。
The acquirer shall make at least three reminders on newspapers and journals designated by the China Securities Regulatory Commission (“CSRC”) with respect to that acquisition by offer within 30 days as of the date when the documents of acquisition by offer are publicized. 收购人应当自公告收购要约文件之日起30 日内就本次要约收购在中国证监会指定报刊上至少做出3 次提示性公告。
Article 3 Where the acquirers are more than one person or the acquirers obtain the right to control a listed company by becoming the actual controllers of the company, all acquirers may elect one of them to be the designated representative through a written agreement to prepare and publicize, in their joint name, the report of acquisition by offer, and may agree to authorize the designated representative to sign and stamp the report of acquisition by offer.   第三条 收购人为多人或者通过成为上市公司实际控制人方式取得公司控制权的,各成员可以书面约定推选其中一人作为指定代表以共同名义统一编制并公告要约收购报告书,并同意授权指定代表在要约收购报告书上签字盖章。
Article 4 The provisions of these Standards are the minimum requirements for the disclosure of information in the report of acquisition by offer. A listed company shall disclose all the information that have a significant impact on the investment decisions of investors, no matter whether or not the requirement is clearly specified herein.   第四条 本准则的规定是对要约收购报告书有关信息披露的最低要求。不论本准则是否有明确规定,凡对上市公司投资者做出投资决策有重大影响的信息,均应当予以披露。
Article 5 In the event that certain specific requirements of these Standards are indeed inapplicable to the acquirer, the acquirer may, with a written explanation in publication and in light of the actual circumstances, make appropriate amendments without affecting the completeness of the disclosed information. In the event that the acquirer believes that no disclosure is required under these Standards, the acquirer shall clearly indicate that no such circumstance exists.   第五条 本准则某些具体要求对收购人确实不适用的,收购人可以针对实际情况,在不影响披露内容完整性的前提下做适当修改,但应在公告时作出说明。收购人认为无本准则要求披露的情况,必须明确注明无此类情形的字样。
Article 6 Where certain information, as provided for in these Standards, is indeed inappropriate to be disclosed as a result of trade secrets (such as confidential information of core technology and details of commercial contracts) or any other special reason, the acquirer may be exempt from such disclosure, and state the reason in the report of acquisition by offer. However, the acquirer shall disclose the relevant information if the disclosure is deemed necessary by the CSRC.   第六条 由于商业秘密(如核心技术的保密资料、商业合同的具体内容等)等特殊原因,本准则规定某些信息确实不便披露的,收购人可以免于披露,并在要约收购报告书中予以说明。但中国证监会认为需要披露的,收购人应当披露。
Article 7 To avoid repetition and keep the text concise, the acquirer may, without affecting the completeness of the information disclosed and causing reading difficulties, adopt interdependent quotations.   第七条 在不影响信息披露的完整性和不致引起阅读不便的前提下,收购人可采用相互引证的方法,以避免重复和保持文字简洁。
Article 8 The acquirer shall observe the following general requirements when preparing the report of acquisition by offer:   第八条 收购人在编制要约收购报告书时,应当遵循以下一般要求:
(1) The wording shall be simple, popular, natural and clear; the sources of the data used shall be provided; and the facts shall have a sufficient, objective and impartial basis. (一)文字应当简洁、通俗、平实和明确,引用的数据应提供资料来源,事实应有充分、客观、公正的依据;
(2) The numerals cited shall be Arabic numerals and the amounts are expressed in RMB with the monetary unit of yuan, 1,000 yuan or 10,000 yuan, unless otherwise specified. (二)引用的数字应采用阿拉伯数字,货币金额除特别说明外,应指人民币金额,并以元、千元或万元为单位;
(3) The acquirer may prepare foreign language versions of the report of acquisition by offer in accordance with the relevant provisions or other needs, but shall guarantee the consistency between the Chinese version and foreign language versions, and indicate in the foreign language versions that: “The report of acquisition by offer is prepared respectively in Chinese and English (or Japanese, French, among others). In case of any inconsistent understanding between the Chinese version and the foreign language version, the Chinese version shall prevail.” (三)收购人可根据有关规定或其他需求,编制要约收购报告书外文译本,但应保证中、外文本的一致性,并在外文文本上注明:“本要约收购报告书分别以中、英(或日、法等)文编制,在对中外文本的理解上发生歧义时,以中文文本为准”;
(4) No congratulatory, advertising or complimentary words shall be published. (四)不得刊载任何有祝贺性、广告性和恭维性的词句。
Article 9 When quoting the content of professional reports or opinions provided by lawyers, certified public accountants, financial consultants and other relevant professional institutions, the acquirer shall state in the report of acquisition by offer that the relevant professional institutions have consented in writing to the aforesaid quotation.   第九条 收购人在要约收购报告书中援引律师、注册会计师、财务顾问及其他相关的专业机构出具的专业报告或意见的内容,应当说明相关专业机构已书面同意上述援引。
Article 10 The acquirer shall publish the summary of the report of acquisition by offer, the report of acquisition by offer and the annexes thereto on at least one newspaper or journal designated by the CSRC according to the provisions of the Acquisition Measures, and publish the same on the designated website according to the requirements of the stock exchange, or specify the website of the acquirer or the listed company where the report of acquisition by offer is published.   第十条 收购人应当按照《收购办法》的规定将要约收购报告书摘要、要约收购报告书及附表刊登于至少一种中国证监会指定的报刊,并根据证券交易所的要求刊登于指定网站,或者提示刊登该要约收购报告书的收购人或者上市公司的网址。
The acquirer shall place the report of acquisition by offer, the annexes thereto and documents for reference at the domicile of the listed company and the stock exchange for reference. 收购人应当将要约收购报告书、附表和备查文件备置于上市公司住所和证券交易所,以备查阅。
Article 11 When submitting the report of acquisition by offer, the acquirer shall also submit the annexes thereto prepared in accordance with the Annex to these Standards and the relevant documents for reference. The relevant documents for reference should be the originals or legally valid photocopies.   第十一条 收购人在公告要约收购报告书的同时,应当准备按照本准则附表的要求所编制的要约收购报告书附表及有关备查文件。有关备查文件应当为原件或有法律效力的复印件。
Article 12 To prepare the report of acquisition by offer upon the authorization of the acquirer, the law firm or financial consultant retained by the acquirer shall examine and verify the report of acquisition by offer and the relevant documents, and shall assume the relevant liabilities corresponding to its legal obligations.   第十二条 收购人聘请的律师事务所或财务顾问受收购人委托编制要约收购报告书,应对要约收购报告书及相关文件进行核查和验证,并就其负有法律责任的部分承担相应的责任。
Article 13 The board of directors and all the directors (or principal persons in charge) of the acquirer shall ensure the truthfulness, accuracy, and integrity of the content of the report of acquisition by offer and the relevant documents for announcements, undertake that the there is no false record, misleading statement or material omission, and guarantee to assume joint and several legal liability in connection therewith.   第十三条 收购人董事会及全体董事(或者主要负责人)应保证要约收购报告书及相关公告文件内容的真实性、准确性、完整性,并承诺其中不存在虚假记载、误导性陈述或重大遗漏,并就其保证承担个别和连带的法律责任。
Where some directors or principal persons in charge are unable to guarantee, or have any objection to the truth, accuracy or integrity of the content of the report, the persons concerned shall state the reason and offer opinions separately. 如个别董事或主要负责人对报告内容的真实性、准确性、完整性无法做出保证或者存在异议的,应当单独陈述理由和发表意见。
Chapter II Report of Acquisition by Offer 

第二章 要约收购报告书

 

Section 1 Cover, Spine, Title Page, Table of Contents and Interpretations 

第一节 封面、书脊、扉页、目录、释义

Article 14 The cover of the full text of the report of acquisition by offer shall at least contain the words “Report of Acquisition by Offer of ×× Company (name of the listed company),” and shall contain the name and domicile of the acquirer and the date when the report of acquisition by offer is signed.   第十四条 要约收购报告书全文文本封面至少应标有“××公司(上市公司名称)要约收购报告书”字样,并应载明收购人的名称和住所及签署要约收购报告书的日期。
Article 15 The spine of the full text of the report of acquisition by offer shall contain the words “Report of Acquisition by Offer of ×× Company.”   第十五条 要约收购报告书全文文本书脊应标明“××公司要约收购报告书”字样。
Article 16 The title page of the full text of the report of acquisition by offer shall cover:   第十六条 要约收购报告书全文文本扉页应当刊登如下内容:
(1) the name of the acquired company, the site when stocks are offered, ticker symbol, stock code, and equity structure; (一)被收购公司的名称、股票上市地点、股票简称、股票代码、股本结构;
(2) the title or name, domicile and mailing address of the acquirer; (二)收购人的姓名或者名称、住所、通讯地址;
(3) the decision of the acquirer on acquisition by offer; (三)收购人关于要约收购的决定;
(4) the purpose of acquisition by offer; (四)要约收购的目的;
(5) whether it plans to continue to increase the holding of shares of the listed company within the coming 12 months; (五)是否拟在未来12 个月内继续增持上市公司股份;
(6) the type of shares acquired by offer, the offered price, the amount of acquired shares by offer, and the proportion of acquired shares to the shares offered by the acquired company; (六)要约收购的股份的种类、要约价格、要约收购数量、占被收购公司已发行股份的比例;
(7) the total funds required for acquisition by offer, and the arrangements made to guarantee the contractual fulfillment ability, which shall at least cover one of the following items: (a) The bank which deposits the performance bond, the name of the institution authorized to take into custody the securities required for acquisition, and the amount of securities. (b) The bank issuing the letter of guarantee and the amount of guarantee. (c) The financial consultant issuing the written commitment on assuming the suretyship of joint and several liability; (七)要约收购所需资金总额,以及保证其具备履约能力的安排,包括以下至少一项:1. 存放履约保证金的银行、委托保管收购所需证券的机构名称及证券数量;2. 出具保函的银行及保函金额;3. 出具承担连带保证责任书面承诺的财务顾问。
(8) the validity term of acquisition by offer; (八)要约收购的有效期限;
(9) the name or title and contact information of the financial consultant and law firm retained by the acquirer; and (九)收购人聘请的财务顾问及律师事务所的名称、通讯方式;
(10) the date when the report of acquisition by offer is signed. (十)要约收购报告书签署日期。
Article 17 The title page of the full text of the report of acquisition by offer shall cover the acquirer's following statements:   第十七条 要约收购报告书扉页应当刊登收购人如下声明:
(1) The legal basis for preparing the report. (一)编写本报告书的法律依据;
(2) In accordance with the provisions of the Securities Law and the Acquisition Measures, the Report has fully disclosed the information on equity shares held by the acquirer in ×× company; (二)依据《证券法》、《收购办法》的规定,本报告书已全面披露收购人在××公司拥有权益的股份的情况;
in addition to the shares held as disclosed in the Report, the acquirer has not obtained the equities of ×× company by any other means, until the date when the Report is signed. 截止本报告书签署之日,除本报告书披露的持股信息外,上市收购人没有通过任何其他方式在××公司拥有权益;
(3) The acquirer has obtained necessary authorization and approval before signing the Report, and the performance of the Report neither violate nor run conflict with any clause of the acquirer's bylaws or internal rules. (三)收购人签署本报告已获得必要的授权和批准,其履行亦不违反收购人章程或者内部规则中的任何条款,或与之相冲突;
(4) The conditions for the acquisition by offer targeting at different types of shares; if the acquirer performs the obligation of acquisition by offer, a special reminder of the possible risks of delisting the acquired company shall be made; and if acquisition is conducted for the purpose of delisting the acquired company, a statement on the reasonable time of completing acquisition after delisting, and other follow-up arrangements on the sale of shares by the remaining shareholders that still hold shares of the listed company shall be made. (四)本次针对不同种类股份的要约收购条件;收购人履行要约收购义务的,须特别提示可能导致被收购公司终止上市的风险;以终止被收购公司上市地位为目的的,还应当说明终止上市后收购行为完成的合理时间、仍持有上市公司股份的剩余股东出售其股份的其他后续安排;
(5) The acquisition by offer is conducted according to the materials indicated in the Report. Except the acquirer and the retained financial consultant, no one else has been entrusted or authorized to make any explanation or statement on the information indicated in the Report and the Report. (五)本次要约收购是根据本报告所载明的资料进行的。除收购人和所聘请的财务顾问外,没有委托或者授权任何其他人提供未在本报告中列载的信息和对本报告做出任何解释或者说明。
Article 18 The Table of Contents of the acquisition report shall specify the title and the corresponding page number of each chapter and section. The content shall be compiled in conformity with the prevailing custom of Chinese language.   第十八条 收购报告书目录应当标明各章、节的标题及相应的页码,内容编排也应符合通行的中文惯例。
Article 19 The acquirer shall provide definitions to the terms which may be difficult to be understood by the investors or have specific meanings. The definitions shall be printed on the next page of the table of contents of the report of acquisition by offer.   第十九条 收购人应对可能对投资者理解有障碍及有特定含义的术语做出释义。要约收购报告书的释义应在目录次页排印。
Section 2 Basic Information on the Acquirer 

第二节 收购人的基本情况

Article 20 Where the acquirer is a legal person or any other organization, it shall disclose the following basic information:   第二十条 收购人为法人或者其他组织的,应当披露如下基本情况:
(1) The acquirer's title, registration place, legal representative, major business premises, registered capital, the registration number and code issued by the administrative department for industry and commerce or any other institution, enterprise type and economic nature, business scope, business duration, tax registration certificate number, and the name or title and contact information of shareholders or promoters (if the acquirer is a limited liability company or a joint-stock limited company).
......
 (一)收购人名称、注册地、法定代表人、主要办公地点、注册资本、工商行政管理部门或者其他机构核发的注册号码及代码、企业类型及经济性质、经营范围、经营期限、税务登记证号码、股东或者发起人的姓名或者名称(如为有限责任公司或者股份有限公司)、通讯方式;
......

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