SDIC Capital (600061): Online Winning Rate And Preferential Placement Results Of Convertible Corporate Bonds

Securities code: 600061 securities abbreviation: State Investment Announcement No.: 2020-050

Announcement of online winning rate and priority placement results of convertible bonds issued by SDIC Capital Co., Ltd

Co sponsor (co lead underwriter)

Guotai Junan Securities Co., Ltd., Anxin Securities Co., Ltd

The board of directors and all directors of the company guarantee that there are no false records, misleading statements or major omissions in the contents of this announcement, and shall bear individual and joint liabilities for the authenticity, accuracy and completeness of the contents.

Important tips

SDIC Capital Co., Ltd. (hereinafter referred to as "SDIC capital" "Principal underwriter" or "principal underwriter" or "principal underwriter" or "principal underwriter" of aeon Securities Limited (the "principal underwriter") (joint lead underwriters) or joint lead underwriters ") According to the securities law of the people's Republic of China, measures for the administration of securities issuance of listed companies, measures for the administration of securities issuance and underwriting (order of CSRC [No. 144]), detailed rules for the implementation of convertible corporate bond issuance of listed companies on Shanghai Stock Exchange (revised in 2018) (hereinafter referred to as the "implementation rules") and the securities issuance and listing industry of Shanghai Stock Exchange To organize and implement the public issuance of convertible corporate bonds (hereinafter referred to as "convertible bonds" or "SDIC convertible bonds") in accordance with the relevant provisions of the business guidelines (revised in 2018).

Please read this announcement carefully. The important tips for the public offering of convertible bonds are as follows:

1. The investors who sign the online bond subscription notice of China Securities and Futures Co., Ltd. (hereinafter referred to as the "China Securities and Futures Co., Ltd.") will be able to fulfill its obligation of subscription in full amount after the online subscription announcement of China Securities and Futures Co., Ltd. (hereinafter referred to as "China Securities and Futures Co., Ltd.) (hereinafter referred to as" China Securities and Futures Co., Ltd. ") Integral times of convertible bonds, investors transfer funds

It is necessary to abide by the relevant regulations of the securities company where the investor belongs. If the investor's subscription fund is insufficient, the insufficient part shall be deemed as giving up the subscription, and the consequences and relevant legal liabilities arising therefrom shall be borne by the investor himself. According to the relevant provisions of Shanghai Branch of China Securities Depository and Clearing Co., Ltd. (hereinafter referred to as "Shanghai Branch of China Securities Clearing"), the minimum unit to give up subscription is one hand. Online investors give up the part of the subscription by Anson securities underwriting.

2. When the total number of convertible bonds subscribed by the original shareholders and the amount of convertible bonds purchased by online investors are less than 70% of the total number of this issuance, or when the total amount of convertible bonds subscribed by the original shareholders and online investors is less than 70% of the total amount of this issuance, the issuer and the joint lead underwriters will negotiate whether to take measures to suspend the issuance, and If the issuance is suspended, the reasons for the suspension shall be announced and the issuance shall be restarted at an appropriate time. The part with subscription amount less than 800 million yuan is underwritten by Anxin securities. The underwriting base is 800 million yuan. The main underwriter will determine the final placement result and underwriting amount according to the online fund arrival. In principle, the underwriting proportion of Anxin securities shall not exceed 30% of the total amount of this issue, that is, the maximum underwriting amount is RMB 240 million in principle. When the underwriting ratio exceeds 30% of the total amount of this offering, the joint lead underwriters will start the internal underwriting risk assessment process, continue to perform the issuance procedures or take measures to suspend the issuance after reaching an agreement with the issuer, and report to the China Securities Regulatory Commission in a timely manner.

3. If online investors have won the bid three times in a row but failed to pay in full within 12 months, they shall not participate in the purchase of online new shares, depository receipts, convertible bonds and exchangeable bonds within 6 months (calculated on the basis of 180 natural days, including the next day) from the next day of receipt of the abandonment declaration by Shanghai Branch of CSDCC. The number of times of abandonment of subscription shall be calculated based on the actual number of new shares, depository receipts, convertible bonds and exchangeable bonds actually abandoned by investors.

The priority allotment and online purchase of the original shareholders of the 800 million yuan convertible corporate bonds issued by the State Investment Corporation have been completed on July 24, 2020. Now, the results of the application for the issuance and purchase of the SDIC convertible bonds are announced as follows:

1、 General situation

SDIC convertible bonds will issue 800 million yuan (8 million hands) of convertible bonds with the issuing price of 100 yuan / sheet (1000 yuan / hand). The priority placement date and online subscription date of the original shareholders of this issue are July 24, 2020 (t day).

2、 Release results

According to the announcement on the issuance of convertible bonds issued by the State Investment Capital Co., Ltd., the total amount of the issue is 800, After the initial public offering date (hereinafter referred to as "the initial public offering") of the shares held by the original shareholders (hereinafter referred to as the "preferred placement") will be issued to the original shareholders through the online preferred placement method (hereinafter referred to as "the initial public offering") after the initial public offering date (hereinafter referred to as "the preferred placement") is as follows:

1. Result of priority placement to original shareholders

The original shareholders had a total of 4501265 shares of SDIC convertible bonds, totaling 4501265000 yuan, accounting for 56.27% of the total issuance.

(1) The result of prior allotment of shareholders under the original restricted conditions

The effective subscription amount of the original restricted condition shareholders of the issuer is 100839000 yuan (100839 hands); the final preferred placement of SDIC convertible bonds to the original shareholders with limited sales conditions is 100839000 yuan (100839 hands), accounting for 1.26% of the total amount of this issue, and the placement proportion is 100%. The specific situation is as follows:

(2) The result of prior allotment of shareholders with original unlimited sale conditions

According to the online priority placement data provided by the Shanghai Stock Exchange, the amount of SDIC convertible bonds finally allocated to the original shareholders with unlimited sales conditions of the issuer was 4400426000 yuan (4400426 hands), accounting for 55.01% of the total amount of this issue, and the placement proportion was 100%.

2. Results of online subscription and winning bid rate of public investors

The final online issuance of SDIC convertible bonds to the general public investors is 3498735000 yuan (3498735 hands), accounting for 43.73% of the total amount of this issuance, and the online winning rate is

0.05041538%。 According to the online subscription information provided by the Shanghai Stock Exchange, the effective subscription number of this online issue to general public investors is 6939816754, that is, 6939816754000 yuan. The total number of allotment numbers is 6939816754, and the starting and ending numbers are 1000000000-106939816753.

The issuer and the joint lead underwriters will organize a lottery ceremony on July 27, 2020, and the lottery results will be published in the Shanghai Securities Journal and the website of Shanghai Stock Exchange on July 28, 2020

(http: / / www.sse. Com. CN). According to the winning lot number, the subscriber confirms the number of convertible bonds to be subscribed. Each winning lot number can only purchase one lot (i.e. 1000 yuan) of SDIC convertible bonds.

3. Summary of placement results

3、 Time to market

The listing time of convertible bonds will be announced separately.

4、 Documents for reference

For the general information of this issuance, investors are requested to refer to the abstract of the prospectus for public offering of convertible corporate bonds by state investment capital Co., Ltd. and the announcement of convertible corporate bonds issued by the public Development Bank of SDIC Capital Co., Ltd. published in Shanghai Securities Journal on July 22, 2020. Investors can also visit the website of Shanghai Stock Exchange (http://www.sse.com) . CN) inquire about the full text of the prospectus and relevant information about this issue.

5、 Issuers and co sponsors (co lead underwriters)

1. Issuer: SDIC Capital Co., Ltd

Address: 19 / F, Xicheng street, Fucheng District, Beijing

Tel: 010-83325163

Fax: 010-83325148

Contact person: Securities Affairs Department

2. Co sponsor (co lead underwriter): Guotai Junan Securities Co., Ltd

Address: 37th floor, Bohua Plaza, 669 Xinzha Road, Jing'an District, Shanghai

Tel: 021-38676888

Fax: 021-68876330 contact person: capital market department

3. Co sponsor (co lead underwriter): Anxin Securities Co., Ltd

Address: 35th floor, Allianz building, 4018 Jintian Road, Futian District, Shenzhen Tel: 0755-82558302 contact person: capital market department

Issuer: SDIC Capital Co., Ltd. joint sponsor (co lead underwriter): Guotai Junan Securities Co., Ltd

Anxin Securities Co., Ltd

July 27, 2020

Issuer: SDIC Capital Co., Ltd

specific date

Co sponsor (co lead underwriter): Guotai Junan Securities Co., Ltd

specific date

Co underwriter: CO underwriter

specific date