| Guiding Opinions of the Anti-monopoly Bureau of the State Administration for Market Regulation on the Notification Documents and Materials for Concentrations Between Undertakings | | 国家市场监督管理总局反垄断局关于经营者集中申报文件资料的指导意见 |
| (Revised on September 29, 2018) | | （2018年9月29日修订） |
| For the purpose of facilitating the notification by the undertakings, in accordance with Article 23 of the Anti-monopoly Law of the People's Republic of China, the following notification documents and materials are prescribed for the reference of the undertakings giving notification. The notifying parties may prepare the notification documents and materials by referring to the format of notification forms (See Annex). | | 为方便经营者申报，依据《中华人民共和国反垄断法》第23条，规定如下申报文件资料，供经营者申报参考。申报人可参照申报表格式（附后）制作申报文件材料。 |
| Article 1 Written notification, specifying the name, domicile, and scope of business of each undertaking concerned by the concentration, the nature, background, and anticipated date of implementation of the concentration, the market to be affected by the concentration, the commercial considerations and economic reasonability of the concentration, and the notification standards met by the concentration. | | 第一条 申报书应当载明参与集中的经营者的名称、住所、经营范围、集中的性质、集中的背景、预定实施集中的日期、集中将影响的市场、集中的商业考虑、经济合理性以及集中所符合的申报标准。 |
| The written notification shall be concise and signed by the notifying parties or their agents. An abstract containing no trade secret and state secret shall be attached to the written notification. | | 申报书内容应简明，并由申报人或其委托代理人签字。申报书应附一份不包含商业秘密和国家秘密的摘要。 |
| Article 2 Basic information on each of the undertakings concerned, including without limitation: the enterprise's name, place of registration, scope of business, form of organization, contact person (name, title, and contact method), and turnover in the preceding financial year (worldwide and within China), the scale and rank in the industry of the company, and the history of formation and major modifications of the company. | | 第二条 集中各方的基本情况，包括但不限于：企业名称、注册地、经营范围、企业形式、联系人（姓名、职务、联系方式）、最近一个会计年度的营业额（包括全球和中国境内）、公司规模及业界地位、公司设立和重要变更的历史情况等。 |
| The notifying parties shall provide their identifications or registration certificates. The notifying parties that are overseas enterprises or natural persons shall also provide notarization and authentication documents issued by the relevant local authorities. | | 集中申报人应提供其身份证明或注册登记证明。若申报人为境外企业或自然人，还应提交当地相关机构出具的公证认证文件。 |
| The notifying parties that give notification by an authorized agent shall issue a power of attorney, and provide their contact methods and addresses for service of documents. Overseas notifying parties shall authorize an agent or recipient of documents who is domiciled within China, and provide the authorized agent or recipient's contact method. | | 申报人委托他人代理申报的，应出具授权委托书，并提供其联系方式及文件送达地址。境外申报人应委托在境内有住所的代理人或文件签收人，并提供联系方式。 |
| Article 3 List of enterprises and natural persons related to each of the undertakings concerned and a brief introduction to them. Organizational system charts or other charts may be used to illustrate the equity structure, actual control, and other relations between the aforesaid enterprises and individuals. | | 第三条 与集中各方存在关联关系的企业和自然人名单及简介。可以使用组织系统图或其他图表来说明上述企业和个人之间的股权结构、实际控制等关联关系。 |
| A more detailed introduction shall be made to a company engaged in operations related to the notified concentration. In addition to the basic information on the related parties as referred to in Article 2 of these Guiding Opinions, the company's products (or services) shall also be introduced in detail. | | 对于从事与所申报集中相关业务的公司，应做更详细的介绍。除参照本指导意见第二条介绍关联方情况外，还应详细介绍其产品（服务）的情况。 |
| The business license of a company formed within China (including a foreign-funded enterprise and domestic enterprises in which it invests), a resident representative office, a branch company, or any other entity registered within China shall be provided. (In the case of a foreign-funded enterprise, the approval certificate shall also be provided.) | | 对于在中国境内成立的公司（包括外商投资企业及其境内投资企业）、常驻代表机构、分公司和其他在中国境内登记的实体机构，应提供营业执照（如系外商投资企业，还应提交批准证书）。 |
Article 4 Overview of the transaction constituting a concentration, including the background information on the transaction; the nature and manner of the concentration (e.g. asset acquisition, equity acquisition, merger, or formation of a joint venture); the subject matter, value (if the value has been assessed or ratified by the relevant department, the corresponding document shall be provided), and anticipated date of completion of the transaction; the control and relations of relevant companies after concentration is completed (if necessary, the company structure may be showed by a diagram); the industry and major products (including without limitation production capacity, output, sales volume, price, and cost) involved by the concentration; an analysis of the motives, objectives, or economic rationality of the concentration; and the post-concentration market development prospect and development plan.
．．．．．． | | 第四条 集中交易概况，包括：达成集中交易的背景情况；集中的性质和方式（如资产收购、股权收购、合并、组建合营企业等）；交易标的、交易金额（如经评估或有关部门认可，应提供相应文件）、预计完成日期；集中完成后相关公司的控制和关联关系（必要时可用图表表示公司结构）；集中所涉行业和主要产品（包括其产能、产量、销量、价格、成本等情况）；集中的动机、目的或经济合理性分析；集中后的市场发展前景和发展计划。
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