中泰证券不超60亿元定增获上交所通过?东吴证券建功

Core Viewpoint - Zhongtai Securities has received approval from the Shanghai Stock Exchange for its application to issue shares to specific investors, with a total fundraising amount not exceeding 6 billion RMB, aimed at enhancing the company's capital and funding various business initiatives [1][2]. Fundraising Details - The total amount to be raised through the issuance of A-shares is capped at 6 billion RMB, which will be allocated to several key areas: - Information technology and compliance risk control: up to 1.5 billion RMB - Alternative investment business: up to 1 billion RMB - Market-making business: up to 1 billion RMB - Purchase of government bonds, local government bonds, corporate bonds, etc.: up to 500 million RMB - Wealth management business: up to 500 million RMB - Debt repayment and other operational capital: up to 1.5 billion RMB [2]. Issuance Structure - The issuance will target no more than 35 specific investors, including the controlling shareholder, Zao Mining Group, and other qualified institutional investors as defined by the China Securities Regulatory Commission (CSRC) [2][3]. - The pricing benchmark for the issuance will be based on the average trading price of the company's shares over the 20 trading days prior to the issuance date, with a minimum price set at 80% of this average or the latest audited net asset value per share [3]. Shareholding and Control - Zao Mining Group will subscribe to 36.09% of the shares issued, with a maximum investment of 2.166 billion RMB, and will not participate in the market pricing process [3][4]. - Post-issuance, shares acquired by Zao Mining Group will be subject to a 60-month transfer restriction, while other significant shareholders will face varying transfer restrictions based on their ownership percentages [4][5]. - Zao Mining Group remains the controlling shareholder, with the Shandong Provincial State-owned Assets Supervision and Administration Commission as the actual controller, indicating no change in control following the issuance [5]. Sponsorship - The lead underwriter for this issuance is Dongwu Securities Co., Ltd., with designated representatives overseeing the process [6].