| Notice by the Shanghai Stock Exchange of Further Clarifying Matters concerning Shareholding Reduction by the Major Shareholders of Listed Companies through Block Trading | | 上海证券交易所关于进一步明确上市公司大股东通过大宗交易减持股份相关事项的通知 |
| (Letter No. 183 [2018] of the Shanghai Stock Exchange) | | （上证函[2018]183号） |
| All member entities and other market participants: | | 各会员单位、其他市场参与主体： |
| To further clarify the regulatory requirements and business operations for major shareholders' shareholding reduction through block trading as specified in the Several Provisions on Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies and the Detailed Implementation Rules of the Shanghai Stock Exchange for Shareholding Reduction by Shareholders, Directors, Supervisors and Senior Executives of Listed Companies (hereinafter referred to as the “Detailed Rules for Shareholding Reduction”), the Shanghai Stock Exchange (hereinafter referred to as the “SSE”) hereby notifies you of the relevant matters and requirements as follows: | | 为进一步明确《上市公司股东、董监高减持股份的若干规定》和《上海证券交易所上市公司股东及董事、监事、高级管理人员减持股份实施细则》（以下简称《减持细则》）有关大股东通过大宗交易方式减持股份的监管要求和业务操作，上海证券交易所（以下简称本所）现就相关事项和要求通知如下： |
| I. The orders of block trading of specific shares and shares other than specific shares shall be placed through different channels. If a major shareholder of a listed company reduces specific shares, it shall submit the data on the order of shareholding reduction through block trading via the “Interface for Placing the Orders of Reduction of Specific Shares through Block Trading” of the block trading system of the SSE; and if the major shareholder reduces the shares other than specific shares, it shall submit the data on the order of shareholding reduction through block trading via the ordinary interface for placing orders of the block trading system of the SSE (hereinafter referred to as the “ordinary channel for block trading”). | | 一、特定股份和特定股份以外股份进行大宗交易应当通过不同通道申报。上市公司大股东减持特定股份的，应当通过本所大宗交易系统的“大宗特定股份减持申报接口”提交大宗减持申报数据；减持特定股份以外股份的，应当通过本所大宗交易系统的普通申报接口（以下简称大宗交易普通通道）提交大宗减持申报数据。 |
II. Determination of the reduction of shares other than specific shares through block trading: Where a major shareholder that holds both the shares purchased through auction and the shares acquired in the manners other than auction (hereinafter referred to as “controlled shares”) reduces shares through the ordinary channel for block trading, if shares are reduced within the scope of the prescribed shareholding reduction percentages, it shall be deemed to give priority to reducing controlled shares; or, if shares are reduced beyond the scope of the prescribed shareholding reduction percentages, it shall be deemed to give priority to reducing the shares purchased through auction.
．．．．．． | | 二、特定股份以外股份的大宗交易减持认定：大股东同时持有通过集中竞价交易方式买入的股份和通过集中竞价交易以外方式取得的股份（以下简称受控股份），通过大宗交易普通通道减持的，在规定的减持比例范围内，视为优先减持受控股份；在规定的减持比例范围外，视为优先减持集中竞价交易买入的股份。
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