| Notice by the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited of Issuing the Business Guidelines of the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited for Reduction of Shareholdings by Transfer to Specific Institutional Investors via Solicitation of Bids and by Placement by Shareholders of Listed Companies on the STAR Market | | 上海证券交易所、中国证券登记结算有限责任公司关于发布《上海证券交易所、中国证券登记结算有限责任公司科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份业务指引》的通知 |
| (No. 55 [2020] of the Shanghai Stock Exchange) | | （上证发〔2020〕55号） |
| All market participants: | | 各市场参与人： |
| For the purposes of regulating the reduction of shareholdings by transfer to institutional investors via solicitation of bids and by placement by shareholders of listed companies on the STAR Market, according to the Detailed Implementation Rules of the Shanghai Stock Exchange for Reduction of Shareholdings by Transfer to Specific Institutional Investors via Solicitation of Bids and by Placement by Shareholders of Listed Companies on the STAR Market and other provisions, the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited have jointly developed the Business Guidelines of the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited for Reduction of Shareholdings by Transfer to Specific Institutional Investors via Solicitation of Bids and by Placement by Shareholders of Listed Companies on the STAR Market (see Annex for details), which are hereby issued and shall come into force on July 22, 2020. | | 为了规范科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份业务，根据《上海证券交易所科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份实施细则》等规定，上海证券交易所与中国证券登记结算有限责任公司共同制定了《上海证券交易所、中国证券登记结算有限责任公司科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份业务指引》（详见附件），现予以发布，并自2020年7月22日起施行。 |
| | 特此通知。 |
| Annex: Business Guidelines of the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited for Reduction of Shareholdings by Transfer to Specific Institutional Investors via Solicitation of Bids and by Placement by Shareholders of Listed Companies on the STAR Market | | 附件：上海证券交易所、中国证券登记结算有限责任公司科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份业务指引 |
| Shanghai Stock Exchange | | 上海证券交易所 |
| China Securities Depository and Clearing Corporation Limited | | 中国证券登记结算有限责任公司 |
| July 17, 2020 | | 二〇二〇年七月十七日 |
| Annex | | 附件 |
| Business Guidelines of the Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited for Reduction of Shareholdings by | | 上海证券交易所、中国证券登记结算有限责任公司 |
| Transfer to Specific Institutional Investors via Solicitation of Bids and by Placement by Shareholders of Listed Companies on the STAR Market | | 科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份业务指引 |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For the purposes of further regulating the reduction of shareholdings by transfer to institutional investors via solicitation of bids and by placement by shareholders of listed companies on the STAR Market (hereinafter referred to as “STAR-listed companies”) and protecting investors' lawful rights and interests, according to the Detailed Implementation Rules of the Shanghai Stock Exchange for Transfer of Shareholdings to Specific Institutional Investors via Solicitation of Bids and Reduction of Shareholdings via Placement by Shareholders of Listed Companies on the STAR Market, the Detailed Implementation Rules of China Securities Depository and Clearing Corporation Limited on the Registration and Clearing of Stocks on the STAR Market (for Trial Implementation), and other relevant provisions, the Shanghai Stock Exchange (“SSE”) and China Securities Depository and Clearing Corporation Limited (“CSDC”) have jointly developed these Guidelines. | | 第一条 为进一步规范科创板上市公司（以下简称科创公司）股东以向特定机构投资者询价转让和配售方式减持股份业务，保护投资者合法权益，根据《上海证券交易所科创板上市公司股东以向特定机构投资者询价转让和配售方式减持股份实施细则》《中国证券登记结算有限责任公司科创板股票登记结算业务细则（试行）》等相关规定，上海证券交易所（以下简称上交所）与中国证券登记结算有限责任公司（以下简称中国结算）共同制定本指引。 |
| Article 2 Where shareholders of a STAR-listed company transfer shares held that have been offered before the IPO and that have been released from transaction restrictions (hereinafter referred to as “pre-IPO shares”) to specific institutional investors via solicitation of bids (hereinafter referred to as “transfer via solicitation of bids”) and reduce such shares held via placement, the business concerning trading, placement, registration, custody, and settlement shall be governed by these Guidelines. | | 第二条 科创公司股东以向特定机构投资者询价转让（以下简称询价转让）、配售方式减持所持有的已解除限售的首次公开发行前已发行股份（以下简称首发前股份）的，所涉的交易、配售、登记、存管、结算相关业务，适用本指引。 |
| Article 3 Participants such as investors participating in transfer via solicitation of bids or placement and their designated trading securities companies (hereinafter referred to as “designated trading brokers”) and securities companies entrusted to organize and implement transfer via solicitation of bids or placement (hereinafter referred to as “entrusted brokers”) shall comply with the business rules of the SSE and the CSDC. Designated trading brokers and entrusted brokers shall submit authentic, accurate and complete business application to the SSE according to the true will of investors. | | 第三条 参与询价转让或者配售的投资者及其指定交易证券公司（以下简称指定交易券商）、受委托组织实施询价转让或者配售业务的证券公司（以下简称受托券商）等参与主体应当遵守上交所和中国结算的业务规则。指定交易券商、受托券商应按照投资者的真实意愿向上交所提交真实、准确、完整的业务申报。 |
| After the SSE has confirmed the business application in accordance with the relevant content of these Guidelines, the business data shall be sent to Shanghai Branch of the CSDC which shall handle share lock-up, registration of placement rights, registration of share transfer and other matters accordingly. | | 上交所按照本指引相关内容对业务申报进行确认后，向中国结算上海分公司发送业务数据，并由中国结算上海分公司据此办理股份锁定、配售权登记、股份过户登记等事宜。 |
| Article 4 The legal liabilities caused by the violation of relevant laws and regulations, departmental rules, regulatory documents, and business rules by investors participating in the transfer via solicitation of bids or placement, or due to errors in the application information submitted by the designated trading brokerage or entrusted brokerage and other reasons shall be assumed by the corresponding participants. | | 第四条 因参与询价转让或者配售的投资者违反相关法律法规、部门规章、规范性文件、业务规则的规定或者因指定交易券商、受托券商提交申报信息有误等原因导致的法律责任，由相应参与主体承担。 |
| The SSE and the CSDC shall implement self-regulatory management of relevant participants. Where relevant participants violate the business rules, the SSE and the CSDC may take self-regulatory management measures or impose disciplinary punishment according to the provisions, and report to the CSRC as the case may be. | | 上交所和中国结算对相关参与主体实施自律管理，相关参与主体违反业务规则的，上交所和中国结算可以根据规定采取自律管理措施或进行纪律处分，并视情况向中国证监会报告。 |
| Chapter II Transfer via Solicitation of Bids | | 第二章 询价转让 |
| Article 5 Shareholders of a STAR-listed company intending to reduce their shareholdings by transfer via solicitation of bids (hereinafter referred to as “shareholders participating in the transfer”) shall, before 15:00 of the date of disclosing the plan for transfer via solicitation of bids (if the date of disclosure is a non-trading day, before 15:00 of the next trading day), file an application for lock-up of the shares to be transferred with the SSE through its designated trading broker, and the number of shares to be transferred shall not exceed the number of shares without right defects. | | 第五条 拟通过询价转让方式减持股份的科创公司股东（以下简称参与转让的股东）应当在询价转让计划书披露日15：00前（披露日为非交易日的，为下一交易日15：00前），通过其指定交易券商向上交所进行拟转让股份的锁定申报，拟转让股份数量不得超过其所持无权利瑕疵的股份数量。 |
| Upon receipt of an application, the SSE shall, after the entrusted broker confirms the application for lock-up of the aforesaid shares, send the lock-up data to the Shanghai Branch of the CSDC. | | 上交所收到申报，在受托券商对上述股份锁定申报进行确认后，将锁定数据发送至中国结算上海分公司。 |
Article 6 The Shanghai Branch of the CSDC shall, according to the shares lock-up data sent by the SSE on the date of disclosing the plan for transfer via solicitation of bids, lock up the shares without right defects held by corresponding investors at the end of the current day. If the number of shares without right defects held in an investor's securities account is less than the number of shares locked up as applied for by it, the Shanghai Branch of the CSDC shall, within the scope of shares to be locked up as applied for, lock up all the shares without right defects in the investor's securities account.
．．．．．． | | 第六条 中国结算上海分公司根据上交所在询价转让计划书披露日发送的股份锁定数据，于当日日终对相应投资者所持无权利瑕疵的股份实施锁定。若投资者证券账户所持无权利瑕疵的股份数量小于其所申报的股份锁定数量，中国结算上海分公司在申报的股份锁定数量范围内对该投资者证券账户内全部无权利瑕疵的股份实施锁定。
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