ï»?!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd"> 优先股试点管理办æ³?- 甘肃省上市公司协ä¼?/title> <meta content="" name="Keywords" /> <meta content="" name="Description"/> <link href="/Skin/B2C/static/lcag/css/layout.css" rel="stylesheet"> <script type="text/javascript" src="/js/Common.js"></script> <script type="text/javascript" src="/Skin/B2C/static/js/jquery.min.js"></script> <script type="text/javascript" src="/Skin/B2C/static/js/jqury.js"></script> <meta http-equiv="Cache-Control" content="no-transform" /> <meta http-equiv="Cache-Control" content="no-siteapp" /> </head> <body> <div style="position:fixed;left:-9000px;top:-9000px;"></div> <div class="warp"> <div class="top_nav"> <div class="left fl"> <nav class="m-crumb"> <ul class="f-cb"> <li><a href="/sfag/" target="_blank">甘肃证券期货业协ä¼?/a></li> <li><a href="/lcag/" target="_blank">甘肃省上市公司协ä¼?/a></li> </ul> </nav> </div> <div class="right fr"> <nav class="m-crumb fr"> <ul class="f-cb"> <li><a href="/sfag/" target="_blank">联系我们</a></li> <li><a href="/lcag/" target="_blank">网站地图</a></li> </ul> </nav> </div> </div> </div> <div class="layoutbg"> <div class="layout"> <div class="header"> <object classid="clsid:D27CDB6E-AE6D-11cf-96B8-444553540000" codebase="http://download.macromedia.com/pub/shockwave/cabs/flash/swflash.cab#version=7,0,19,0" width="1000" height="160"> <param name="movie" value="/Skin/B2C/static/images/lcag_logo.swf" /> <param name="quality" value="high" /> <embed src="/Skin/B2C/static/images/lacg_logo.swf" quality="high" pluginspage="http://www.macromedia.com/go/getflashplayer" type="application/x-shockwave-flash" width="1000" height="160"></embed> </object> </div> <!--导航条开å§?-> <div class="nav_container"> <ul class="menu"> <li class="char_gscm_x"><a href="/lcag/"><span>协会首页</span></a></li> <li class="sub"><a href="/lcag/about/"><span>协会概况</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/about/introduction/">协会简ä»?/a> </li> <li class="sub"><a href="/lcag/about/organization/">组织机构</a> </li> <li class="sub"><a href="/lcag/about/regulations/">规章制度 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li> <a href="/lcag/about/regulations/association/">协会章程</a> </li> <li> <a href="/lcag/about/regulations/measures/">会员管理办法</a> </li> <li> <a href="/lcag/about/regulations/Convention/">会员公约</a> </li> </ul> </td> </tr> </table> </a></li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/prompt/"><span>通知公告</span></a></li> <li class="sub"><a href="/lcag/news/"><span>协会动æ€?/span></a></li> <li class="sub"><a href="/lcag/member/"><span>协会会员</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/member/list/">会员名单</a></li> <li class="sub"><a href="/lcag/member/news/">定期报告</a></li> <li class="sub"><a href="/lcag/member/report/">会员报道</a></li> <li class="sub"><a href="/lcag/member/discipline/">诚信自律 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/member/discipline/honor/">荣誉æ¦?/a> </li> <li><a href="/lcag/member/discipline/public/">诚信信息公示</a> </li> </ul> </td> </tr> </table> </a></li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/market/"><span>市场动æ€?/span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/market/news/">市场要闻 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/market/news/cjzx/">财经资讯</a> </li> <li><a href="/lcag/market/news/yqgz/">舆情关注</a> </li> <li><a href="/lcag/market/news/shzr/">社会责任</a> </li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/market/data/">行业数据</a></li> <li class="sub"><a href="/lcag/market/link/">相关链接</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/policy/"><span>政策法规</span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/policy/law/">法律</a></li> <li class="sub"><a href="/lcag/policy/regulations/">行政法规</a></li> <li class="sub"><a href="/lcag/policy/rules/">部门规章</a></li> <li class="sub"><a href="/lcag/policy/exchange/">交易所规定 <table style="width:80px;left:10px;"> <tr> <td> <ul class="right"> <li><a href="/lcag/policy/exchange/sse/">上交所</a> </li> <li><a href="/lcag/policy/exchange/tsse/">深交所</a> </li> </ul> </td> </tr> </table> </a></li> <li class="sub"><a href="/lcag/policy/discipline/">自律规则</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/investor/"><span>投资者关ç³?/span></a> <table> <tr> <td> <ul> <li class="sub"><a href="/lcag/investor/protection/">投资者保æŠ?/a></li> <li class="sub"><a href="/lcag/investor/interact/">投资者互动平å?/a></li> <li class="sub"><a href="/lcag/investor/reflection/">举报投诉</a></li> </ul> </td> </tr> </table> </a></li> <li class="sub char_gscm_x"><a href="/lcag/education/"><span>教育培训</span></a></li> <li class="char_gscm_last"><a href="http://www.businesswritingservices.biz/Survey/Reflection2.aspx"><span>建议留言</span></a></li> </div> <!--导航条结æ?-> <!--主体中部开å§?-> <div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">优先股试点管理办æ³?/h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整ç?/span> <span>发布时间ï¼?015å¹?4æœ?0æ—?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=4839"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=4839">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=4839">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=4839" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>进入后台编辑</a>ã€?; } }); } CheckAdminStatus(4839); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('GetContentSigninStatus', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "NoSignin": break; case "NoLogin": break; case "AutoSignin": var time = xml.getElementsByTagName("time")[0].firstChild.data; AutoSigninContent(id,time); break; case "NormalSignin": document.getElementById("content_signin").innerHTML = "ã€?span style='cursor: pointer;' onclick=\"SigninContent('"+id+"')\" >点击签收</span>ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]秒ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]秒ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; } } ); } GetContentSigninStatus('4839'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p align="center" class="MsoNormal" style="text-align:center"> </p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 宋体;">优先股试点管理办æ³?/span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"> </p> <p align="center" class="MsoNormal" style="text-align:center"> </p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><b><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:宋体"><o:p></o:p></span></b></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 宋体;"> </span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"> </p> <p align="center" class="MsoNormal" style="margin-left:0cm;text-align:center; text-indent:0cm;mso-list:l2 level1 lfo1"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 楷体_GB2312;">第一ç«?</span></b><!--[endif]--><b><span style="font-family: 楷体_GB2312;">总则</span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">为规范优先股发行和交易行为,保护投资者合法权益,根据《公司法》、《证券法》、《国务院关于开展优先股试点的指导意见》及相关法律法规,制定本办法ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">本办法所称优先股</span><span style="font-family: 仿宋_GB2312;">是指</span><span style="font-family: 仿宋_GB2312;">依照《公司法》,在一般规定的普通种类股份之外,另行规定的其他种类股份,</span><span style="font-family: 仿宋_GB2312;">其股份持有人优先于普通股股东分配公司利润和剩余财产,但参与公司决策管理等权利受到限制ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司可以发行优先股,非上å¸?/span><span style="font-family: 仿宋_GB2312;">公众</span><span style="font-family: 仿宋_GB2312;">公司可以非公开</span><span style="font-family: 仿宋_GB2312;">发行优先股ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先股试点应当符合《公司法》、《证券法》、《国务院关于开展优先股试点的指导意见》和本办法的相关规定,并遵循公开、公平、公正的原则,禁止欺诈、内幕交易和操纵市场的行为ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">证券公司及其他证券服务机构参与优先股试点,应当遵守法律法规及中国证券监督管理委员会(以下简称中国证监会)相关规定,遵循行业公认的业务标准和行为规范,诚实守信、勤勉尽责ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;line-height:150%;mso-pagination:widow-orphan;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="line-height: 150%; font-family: 仿宋_GB2312;">第六æ?</span></b><!--[endif]--><span style="line-height: 150%; font-family: 仿宋_GB2312;">试点期间不允许发行在股息分配和剩余财产分配上具有不同优先顺序的优先股,但允许发行在其他条款上具有不同设置的优先股ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;line-height:150%;font-family: 仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:150%;mso-pagination:widow-orphan"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="line-height: 150%; font-family: 仿宋_GB2312;">    </span><span style="line-height: 150%; font-family: 仿宋_GB2312;">同一公司既发行强制分红优先股,又发行不含强制分红条款优先股的,不属于发行在股息分配上具有不同优先顺序的优先股ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;line-height:150%;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">相同条款的优先股应当具有同等权利。同次发行的相同条款优先股,每股发行的条件、价格和票面股息率应当相同;任何单位或者个人认购的股份,每股应当支付相同价额ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:21.0pt;mso-para-margin-left:2.0gd"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="margin-left:0cm;text-align:center; text-indent:0cm;mso-list:l2 level1 lfo1"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 楷体_GB2312;">第二ç«?</span></b><!--[endif]--><b><span style="font-family: 楷体_GB2312;">优先股股东权利的行使</span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行优先股的公司除按</span><span style="font-family: 仿宋_GB2312;">《国务院关于开展优先股试点的指导意见》制定章程有关条款外,还应当按本办法在章程中明确优先股股东的有关权利和义务ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先股股东按照约定的股息率分配股息后,有权同普通股股东一起参加剩余利润分配的,公司章程应明确优先股股东参与剩余利润分配的比例、条件等事项ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">出现以下情况之一的,公司召开股东大会会议应通知优先股股东,并遵循《公司法》及公司章程通知普通股股东的规定程序。优先股股东有权出席股东大会会议,就以下事项与普通股股东分类表决,其所持每一优先股有一表决权,但公司持有的本公司优先股没有表决权:</span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l4 level1 lfo3;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(一ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">修改公司章程中与优先股相关的内容</span><span style="font-family: 仿宋_GB2312;">ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l4 level1 lfo3;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(二ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">一次或累计减少公司注册资本超过百分之十ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l4 level1 lfo3;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(三ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司合并、分立、解散或变更公司形式ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l4 level1 lfo3;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(四ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行优先股;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l4 level1 lfo3;tab-stops:273.0pt"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(五ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司章程规定的其他情形ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; tab-stops:273.0pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">上述事项的决议,除须经出席会议的普通股股东(含表决权恢复的优先股股东)所持表决权的三分之二以上通过之外,还须经出席会议的优先股股东(不含表决权恢复的优先股股东)所持表决权的三分之二以上通过ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司股东大会可授权公司董事会按公司章程的约定向优先股支付股息。公司累计三个会计年度或连续两个会计年度未按约定支付优先股股息的,股东大会批准当年不按约定分配利润的方案次日起,优先股股东有权出席股东大会与普通股股东共同表决ï¼?/span><span style="font-family: 仿宋_GB2312;">每股优先股股份享有公司章程规定的一定比例表决权ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">对于股息可累积到下一会计年度的优先股ï¼?/span><span style="font-family: 仿宋_GB2312;">表决权恢复直至公司全额支付所欠股息。对于股息不可累积的优先股,表决权恢复直至公司全额支付当年股息。公司章程可规定优先股表决权恢复的其他情形ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十二条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先股股东有权查阅公司章程、股东名册、公司债券存根、股东大会会议记录、董事会会议决议、监事会会议决议、财务会计报告ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十三条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行人回购优先股包括发行人要求赎回优先股和投资者要求回售优先股两种情况,并应在公司章程和招股文件中规定其具体条件。发行人要求赎回优先股的,必须完全支付所欠股息,但商业银行发行优先股补充资本的除外。优先股回购后相应减记发行在外的优先股股份总数ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十四条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司董事、监事、高级管理人员应当向公司申报所持有的本公司优先股及其变动情况,在任职期间每年转让的股份不得超过其所持本公司优先股股份总数的百分之二十五。公司章程可以对公司董事、监事、高级管理人员转让其所持有的本公司优先股股份作出其他限制性规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十五条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">除《国务院关于开展优先股试点的指导意见》规定的事项外,计算股东人数和持股比例时应分别计算普通股和优先股ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十六条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司章程中规定优先股采用固定股息率的,可以在优先股存续期内采取相同的固定股息率,或明确每年的固定股息率,各年度的股息率可以不同;公司章程中规定优先股采用浮动股息率的,应当明确优先股存续期内票面股息率的计算方法ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="margin-left:0cm;text-align:center; text-indent:0cm;mso-list:l2 level1 lfo1"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 楷体_GB2312;">第三ç«?</span></b><!--[endif]--><b><span style="font-family: 楷体_GB2312;">上市公司发行优先è‚?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第一èŠ?一般规å®?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十七条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司应当</span><span style="font-family: 仿宋_GB2312;">与控股股东或实际控制人的人员、资产、财务分开,机构、业务独立ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十八条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市</span><span style="font-family: 仿宋_GB2312;">公司内部控制制度健全,能够有效保证公司运行效率、合法合规和财务报告的可靠性,</span><span style="font-family: 仿宋_GB2312;">内部控制的有效性应当不存在重大缺陷ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第十九条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司</span><span style="font-family: 仿宋_GB2312;">发行优先股,最近三个会计年度实现的年均可分配利润应当不少于优先股一年的股息ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司</span><span style="font-family: 仿宋_GB2312;">最近三年现金分红情况应当符合公司章程及中国证监会的有关监管规定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司报告期不存在重大会计违规事项</span><span style="font-family: 仿宋_GB2312;">。公开发行优先股,最近三年财务报表被注册会计师出具的审计报告应当为标准审计报告或带强调事项段的无保留意见的审计报告;非公开发行优先股,最近一年财务报表被注册会计师出具的审计报告为非标准审计报告的,所涉及事项对公司无重大不利影响或者在发行前重大不利影响已经消除ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司发行优先è‚?/span><span style="font-family: 仿宋_GB2312;">募集资金应有明确用途,与公司业务范围、经营规模相匹配,募集资金用途符合国家产业政策和有关环境保护、土地管理等法律和行政法规的规定ã€?/span></span></span><b><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></b></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">除金融类企业外,本次募集资金使用项目不得为持有交易性金融资产和可供出售的金融资产、借予他人等财务性投资,不得直接或间接投资于以买卖有价证券为主要业务的公司ã€?/span></span></span><b><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司</span><span style="font-family: 仿宋_GB2312;">已发行的优先股不得超过公司普通股股份总数的百分之五十,且筹资金额不得超过发行前净资产的百分之五十,已回购</span><span style="font-family: 仿宋_GB2312;">ã€?/span><span style="font-family: 仿宋_GB2312;">转换的优先股不纳入计算ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司同一次发行的优先股,条款应当相同。每次优先股发行完毕前,不得再次发行优先股ã€?/span></span></span><b><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司存在下列情形之一的,不得发行优先股:</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p class="MsoNormal" style="text-indent:24.0pt;text-autospace:ideograph-other; border:none;mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)本次发行申请文件有虚假记载、误导性陈述或重大遗漏ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;text-autospace:ideograph-other; border:none;mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)最近十二个月内受到过中国证监会的行政处罚;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;text-autospace:ideograph-other; border:none;mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三)因涉嫌犯罪正被司法机关立案侦查或涉嫌违法违规正被中国证监会立案调查ï¼?/span> </span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;text-autospace:ideograph-other; border:none;mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(四)上市公司的权益被控股股东或实际控制人严重损害且尚未消除ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;text-autospace:ideograph-other; border:none;mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(五)上市公司及其附属公司违规对外提供担保且尚未解除ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:24.0pt;line-height:150%;text-autospace: ideograph-other;border:none;mso-border-alt:none black 0cm;padding:0cm; mso-padding-alt:0cm 0cm 0cm 0cm"><span style="color:#000;"><span style="font-size:16px;"><span style="line-height: 150%; font-family: 仿宋_GB2312;">(六)存在可能严重影响公司持续经营的担保、诉讼、仲裁、市场重大质疑或其他重大事项ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;line-height:150%;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312; color:black"><span lang="EN-US"><o:p></o:p></span></span></p> </div> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">   </span><span style="font-family: 仿宋_GB2312;">(七)其董事和高级管理人员不符合法律、行政法规和规章规定的任职资格;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312; color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:20.95pt;mso-char-indent-count:1.31"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(八)严重损害投资者合法权益和社会公共利益的其他情形ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第二èŠ?公开发行的特别规å®?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十六æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司公开发行优先股,应当符合以下情形之一ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)其普通股为上è¯?span lang="EN-US">50</span>指数成份股;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二ï¼?/span><span style="font-family: 仿宋_GB2312;">以公开发行优先股作为支付手段收购或吸收合并其他上市公司ï¼?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三)以减少注册资本为目的回购普通股的,å?/span><span style="font-family: 仿宋_GB2312;">以公开发行优先股作为支付手æ®?/span><span style="font-family: 仿宋_GB2312;">,或者在回购方案实施完毕后,可公开发行不超过回购减资总额的优先股ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">中国证监会核准公开发行优先股后不再符合本条第(一)项情形的,上市公司仍可实施本次发行ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司最近三个会计年度应当连续盈利。扣除非经常性损益后的净利润与扣除前的净利润相比,以孰低者作为计算依据ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司公开发行优先股应当在公司章程中规定以下事项:</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">   </span><span style="font-family: 仿宋_GB2312;">(一)采取固定股息率ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">   </span><span style="font-family: 仿宋_GB2312;">(二)在有可分配税后利润的情况下必须向优先股股东分配股息ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">   </span><span style="font-family: 仿宋_GB2312;">(三)未向优先股股东足额派发股息的差额部分应当累积到下一会计年度ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">   </span><span style="font-family: 仿宋_GB2312;">(四)优先股股东按照约定的股息率分配股息后,不再同普通股股东一起参加剩余利润分配ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">商业银行发行优先股补充资本的,可就第(二)项和第(三)项事项另行约定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:.85pt;mso-para-margin-left:.08gd; text-indent:30.9pt;mso-char-indent-count:1.93;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第二十九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司公开发行优先股的,可以向原股东优先配售ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:.85pt;mso-para-margin-left:.08gd; text-indent:30.9pt;mso-char-indent-count:1.93;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">除本办法第二十五条的规定外,上市公司</span><span style="font-family: 仿宋_GB2312;">最近三十六个月内因违反工商、税收、土地、环保、海关法律、行政法规或规章,受到行政处罚且情节严重的,不得公开发行优先股ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312; color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p align="left" class="MsoNormal" style="margin-left: 0cm; text-indent: 32pt;"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司公开发行优先股,</span><span style="font-family: 仿宋_GB2312;">公司及其控股股东或实际控制人最近十二个月内应当不存在违反向投资者作出的公开承诺的行为ã€?/span></span></span><b><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></b></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第三èŠ?其他规定</span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:.85pt;mso-para-margin-left:.08gd; text-indent:30.9pt;mso-char-indent-count:1.93;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先股每股票面金额为一百元ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">优先股发行价格和票面股息率应当公允、合ç?/span><span style="font-family: 仿宋_GB2312;">ï¼?/span><span style="font-family: 仿宋_GB2312;">不得损害股东或其他利益相关方的合法利益,发行价格不得低于优先股票面金额ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">公开发行优先股的价格或票面股息率以市场询价或证监会认可的其他公开方式确定。非公开发行优先股的票面股息率不得高äº?/span><span style="font-family: 仿宋_GB2312;">最近两个会计年度的年均加权平均净资产收益率ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司不得发行可转换为普通股的优先股。但</span><span style="font-family: 仿宋_GB2312;">商业银行可根据商业银行资本监管规定,非公开发行触发事件发生时强制转换为普通股的优先股,并遵守有关规定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司非公开发行优先股仅向本办法规定的合格投资者发行,</span><span style="font-family: 仿宋_GB2312;">每次</span><span style="font-family: 仿宋_GB2312;">发行对象不得超过二百人,且相同条款优先股的发行对象累计不得超过二百人ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">发行对象为境外战略投资者的,还应当符合国务院相关部门的规定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第四èŠ?发行程序</span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司申请发行优先股,董事会应当按照中国证监会有关信息披露规定,公开披露本次优先股发行预案,并依法就以下事项作出决议,提请股东大会批准ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)本次优先股的发行方案;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)非公开发行优先股且发行对象确定的,上市公司与相应发行对象签订的附条件生效的优先股认购合同。认购合同应当载明发行对象拟认购优先股的数量、认购价格或定价原则、票面股息率或其确定原则,以及其他必要条款。认购合同应当约定发行对象不得以竞价方式参与认购,且本次发行一经上市公司董事会、股东大会批准并经中国证监会核准,该合同即应生效ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三ï¼?/span><span style="font-family: 仿宋_GB2312;">非公开发行优先股且发行对象尚未确定的,决议应包括发行对象的范围和资格、定价原则、发行数量或数量区间ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">上市公司的控股股东、实际控制人或其控制的关联人参与认购本次非公开发行优先股的,按照前款第(二)项执行ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十六æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司独立董事应当就上市公司本次发行对公司各类股东权益的影响发表专项意见,并与董事会决议一同披露ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司股东大会就发行优先股进行审议,应当就下列事项逐项进行表决ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)本次发行优先股的种类和数量ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)发行方式、发行对象及向原股东配售的安排;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三)票面金额、发行价格或其确定原则;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(四)优先股股东参与分配利润的方式,包括:票面股息率或其确定原则、股息发放的条件、股息支付方式、股息是否累积、是否可以参与剩余利润分配等ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(五)回购条款,包括回购的条件、期间、价格及其确定原则、回购选择权的行使主体等(如有);</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(六)募集资金用途;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(七)公司与发行对象签订的附条件生效的优先股认购合同</span><span style="font-family: 仿宋_GB2312;">(如有)</span><span style="font-family: 仿宋_GB2312;">ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(八)决议的有效期;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(九)公司章程关于优先股股东和普通股股东利润分配、剩余财产分配、优先股表决权恢复等相关政策条款的修订方案;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(十)对董事会办理本次发行具体事宜的授权ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(十一)其他事项ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">上述决议,须经出席会议的普通股股东(含表决权恢复的优先股股东)所持表决权的三分之二以上通过。已发行优先股的,还须经出席会议的优先股股东(不含表决权恢复的优先股股东)所持表决权的三分之二以上通过。上市公司向公司特定股东及其关联人发行优先股的,股东大会就发行方案进行表决时,关联股东应当回避ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司就发行优先股事项召开股东大会,应当提供网络投票,还可以通过中国证监会认可的其他方式为股东参加股东大会提供便利ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第三十九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司申请发行优先股应当由保荐人保荐并向中国证监会申报,其申请、审核、核准、发行等相关程序参照《上市公司证券发行管理办法》和《证券发行与承销管理办法》的规定。发审委会议按照《中国证券监督管理委员会发行审核委员会办法》规定的特别程序,审核发行申请ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司发行优先股,可以申请一次核准,分次发行,不同次发行的优先股除票面股息率外,其他条款应当相同。自中国证监会核准发行之日起,公司应在六个月内实施首次发行,剩余数量应当在二十四个月内发行完毕。超过核准文件时限的,须申请中国证监会重新核准。首次发行数量应当不少于总发行数量的百分之五十,剩余各次发行的数量由公司自行确定,每次发行完毕后五个工作日内报中国证监会备案ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第四ç«?非上市公众公司非公开发行优先è‚?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上å¸?/span><span style="font-family: 仿宋_GB2312;">公众</span><span style="font-family: 仿宋_GB2312;">公司非公开</span><span style="font-family: 仿宋_GB2312;">发行优先股应符合下列条件ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)合法规范经营;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)公司治理机制健全;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三)依法履行信息披露义务ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上市公众公司非公开发行优先股应当遵守本办法第二十三条、第二十四条、第二十五条、第三十二条、第三十三条的规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上市公众公司非公开发行优先股仅向本办法规定的合格投资者发行,</span><span style="font-family: 仿宋_GB2312;">每次</span><span style="font-family: 仿宋_GB2312;">发行对象不得超过二百人,且相同条款优先股的发行对象累计不得超过二百人ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上市公众公司拟发行优先股的,董事会应依法就具体方案、本次发行对公司各类股东权益的影响、发行优先股的目的、募集资金的用途及其他必须明确的事项作出决议,并提请股东大会批准ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">    </span><span style="font-family: 仿宋_GB2312;">董事会决议确定具体发行对象的,董事会决议应当确定具体的发行对象名称及其认è´?/span><span style="font-family: 仿宋_GB2312;">ä»·æ ¼</span><span style="font-family: 仿宋_GB2312;">或定价原则、认购数量或数量区间等;同时应在召开董事会前与相应发行对象签订附条件生效的股份认购合同。董事会决议未确定具体发行对象的,董事会决议应当明确发行对象的范围和资格、定价原则等ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上å¸?/span><span style="font-family: 仿宋_GB2312;">公众公司股东大会就发行优先股进行审议ï¼?/span><span style="font-family: 仿宋_GB2312;">表决事项参照本办法第三十七条执行。发行优先股决议,须经出席会议的普通股股东(含表决权恢复的优先股股东)所持表决权的三分之二以上通过。已发行优先股的,还须经出席会议的优先股股东(不含表决权恢复的优先股股东)所持表决权的三分之二以上通过。非上市公众公司向公司特定股东及其关联人发行优先股的,股东大会就发行方案进行表决时,关联股东应当回避,公司普通股股东(不含表决权恢复的优先股股东)人数少于二百人的除外ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十六æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上å¸?/span><span style="font-family: 仿宋_GB2312;">公众公司发行优先股的申请、审核(豁免)、发行等相关程序应按照《非上市公众公司监督管理办法》等相关规定办理ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:21.0pt;mso-para-margin-left:2.0gd"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第五ç«?交易转让及登记结ç®?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第四十七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先股发行后可以申请上市交易或转让,不设限售期ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">公开发行的优先股可以在证券交易所上市交易。上市公司非公开发行的优先股可以在证券交易所转让,非上市公众公司非公开发行的优先股可以在全国中小企业股份转让系统转让,转让范围仅限合格投资者。交易或转让的具体办法由证券交易所或全国中小企业股份转让系统另行制定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US">第四十八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">优先</span><span style="font-family: 仿宋_GB2312;">股交易或转让环节的投资者适当性标准应当与发行环节保持一致;非公开发行的相同条款优先股经交易或转让后,投资者不得超过二百人ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US">第四十九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">中国证券登记结算公司为优先股提供登记、存管、清算、交收等服务ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 楷体_GB2312;"> </span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第六ç«?信息披露</span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司应当按照中国证监会有关信息披露规则编制募集优先股说明书或其他信息披露文件,依法履行信息披露义务。上市公司相关信息披露程序和要求参照《上市公司证券发行管理办法》和《上市公司非公开发行股票实施细则》及有关监管指引的规定。非上市</span><span style="font-family: 仿宋_GB2312;">公众</span><span style="font-family: 仿宋_GB2312;">公司非公开发行优先股的信息披露程序和要求参照《非上市公众公司监督管理办法》及有关监管指引的规定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行</span><span style="font-family: 仿宋_GB2312;">优先</span><span style="font-family: 仿宋_GB2312;">股的公司披露定期报告时,应当以专门章节披露已发行优先股情况、持有公司优先股股份最多的前十名股东的名单和持股数额ã€?/span><span style="font-family: 仿宋_GB2312;">优先股股东的利润分配情况、优先股的回购情况、优先股股东表决权恢复及行使情况、优先股会计处理情况及其他与</span><span style="font-family: 仿宋_GB2312;">优先股有关的情况,具体内容与格式由中国证监会规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行优先股的上市公司,发生表决权恢复、回购普通股等事项,以及其他可能对其普通股或优先股交易或转让价格产生较大影响事项的,上市公司应当按照《证券法》第六十七条以及中国证监会的相关规定,履行临时报告、公告等信息披露义务ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">发行</span><span style="font-family: 仿宋_GB2312;">优先</span><span style="font-family: 仿宋_GB2312;">è‚?/span><span style="font-family: 仿宋_GB2312;">的非上市公众公司</span><span style="font-family: 仿宋_GB2312;">按照《非上市公众公司监督管理办法</span><span style="font-family: 仿宋_GB2312;">ã€?/span><span style="font-family: 仿宋_GB2312;">及有关监管指引的规定履行日常信息披露义务ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:21.0pt;mso-para-margin-left:2.0gd"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第七ç«?回购与并购重ç»?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司可以非公开发行优先股作为支付手段,向公司特定股东回购普通股。上市公司回è´?/span><span style="font-family: 仿宋_GB2312;">普通股的价格应当公允、合ç?/span><span style="font-family: 仿宋_GB2312;">ï¼?/span><span style="font-family: 仿宋_GB2312;">不得损害股东或其他利益相关方的合法利益ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市</span><span style="font-family: 仿宋_GB2312;">公司以减少注册资本为目的回购普通股公开发行优先股的,以及以非公开发行优先股为支付手段向公司特定股东回购普通股的,除应当符合优先股发行条件和程序,还应符合以下规定ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span style="color:black"><span lang="EN-US"><o:p></o:p></span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(一)上市公司回购普通股应当由董事会依法作出决议并提交股东大会批准;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)上市公司股东大会就回购普通股作出的决议,应当包括下列事项:回购普通股的价格区间,回购普通股的数量和比例,回购普通股的期限,决议的有效期,对董事会办理本次回购股份事宜的具体授权,其他相关事项。以发行优先股作为支付手段的,应当包括拟用于支付的优先股总金额以及支付比例;回购方案实施完毕之日起一年内公开发行优先股的,应当包括回购的资金总额以及资金来源ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三)上市公司股东大会就回购普通股作出决议,必须经出席会议的普通股股东(含表决权恢复的优先股股东)所持表决权的三分之二以上通过ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(四)上市公司应当在股东大会作出回购普通股决议后的次日公告该决议;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(五)依法通知债权人;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">本办法未做规定的</span><span style="font-family: 仿宋_GB2312;">应当符合中国证监会有关上市公司回购的其他规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US" style="color:black"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十六æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司收购要约适用于被收购公司的所有股东,但可以针对优先股股东和普通股股东提出不同的收购条件ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市</span><span style="font-family: 仿宋_GB2312;">公司可以按照《上市公司重大资产重组管理办法》规定的条件</span><span style="font-family: 仿宋_GB2312;">发行优先股购买资产,同时应当遵守本办法第三十三条,以及第三十五条至第三十八条的规定,依法披露有关信息、履行相应程序ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span style="color:black"><span lang="EN-US"><o:p></o:p></span></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司发行优先股作为支付手段购买资产的,可以同时募集配套资金ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第五十九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上å¸?/span><span style="font-family: 仿宋_GB2312;">公众公司发行优先股的方案涉及重大资产重组的,应当符合中国证监会有关重大资产重组的规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size: 10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:21.0pt;mso-para-margin-left:2.0gd"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第八ç«?监管措施和法律责ä»?/span></b></span></span><b><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family: 楷体_GB2312;mso-hansi-font-family:楷体_GB2312"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">公司及其控股股东或实际控制人,公司董事、监事、高级管理人员以及其他直接责任人员,相关市场中介机构及责任人员,以及优先股试点的其他市场参与者违反本办法规定的,依照《公司法》、《证券法》和中国证监会的有关规定处理;涉嫌犯罪的,依法移送司法机关,追究其刑事责任ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十一æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司、非上市公众公司违反本办法规定,存在未按规定制定有关章程条款、不按照约定召集股东大会恢复优先股股东表决权等损害优先股股东和中小股东权益等行为的,中国证监会应当责令改正,对上市公司、非上市公众公司和其直接负责的主管人员和其他直接责任人员,可以采取相应的行政监管措施以及警告、三万元以下罚款等行政处罚ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十二æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司违反本办法第二十二条第二款规定的,中国证监会可以责令改正,并åœ?/span><span style="font-family: 仿宋_GB2312;">三十六个月内不受理该公司的公开发行证券申请ã€?/span></span></span><span style="font-size: 16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十三æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">上市公司、非上市公众公司向本办法规定的合格投资者以外的投资者非公开发行优先股,中国证监会应当责令改正,并可以自确认之日起在三十六个月内不受理该公司的发行优先股申请ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十四æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">承销机构在承销非公开发行的优先股时,将优先股配售给不符合本办法合格投资者规定的对象的,中国证监会可以责令改正,并在三十六个月内不接受其参与证券承销ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:21.0pt;mso-para-margin-left:2.0gd"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 楷体_GB2312;">第九ç«?附则</span></b></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋;mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 仿宋_GB2312;">第六十五æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">本办法所</span><span style="font-family: 仿宋_GB2312;">ç§?/span><span style="font-family: 仿宋_GB2312;">合格投资者包æ‹?/span><span style="font-family: 仿宋_GB2312;">ï¼?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋; mso-ansi-language:ZH-CN"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(一ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">经有关金融监管部门批准设立的金融机构,包括商业银行、证券公司、基金管理公司、信托公司和保险公司等;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(二ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">上述金融机构面向投资者发行的理财产品,包括但不限于银行理财产品、信托产品、投连险产品、基金产品、证券公司资产管理产品等<span lang="EN-US">;</span></span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(三ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">实收资本或实收股本总额不低于人民币五百万元的企业法人;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(四ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">实缴出资总额不低于人民币五百万元的合伙企业;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(五ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">合格境外机构投资者(<span lang="EN-US">QFII)</span>、人民币合格境外机构投资è€?span lang="EN-US">(RQFII</span>)、符合国务院相关部门规定的境外战略投资者;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(六ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">除发行人董事、高级管理人员及其配偶以外的,名下各类证券账户、资金账户、资产管理账户的资产总额不低于人民币五百万元的个人投资者;</span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l1 level1 lfo4"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(七ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">经中国证监会认可的其他合格投资者ã€?/span></span></span><span style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第六十六æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">非上市公众公司首次公开发行普通股并同时非公开发行优先股的,其优先股的发行与信息披露应符合本办法中关于上市公司非公开发行优先股的有关规定ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第六十七æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">注册在境内的境外上市公司在境外发行优先股,应当符合境外募集股份及上市的有关规定ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">注册在境内的境外上市公司在境内发行优先股,参照执行本办法关于非上市公众公司发行优先股的规定,以及《非上市公众公司监督管理办法》等相关规定,其优先è‚?/span><span style="font-family: 仿宋_GB2312;">可以在全国中小企业股份转让系统进行转è®?/span><span style="font-family: 仿宋_GB2312;">ã€?/span></span></span><b><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></b></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第六十八æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">本办法下列用语含义如下:</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><b><span lang="EN-US"><o:p></o:p></span></b></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l3 level1 lfo5"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 仿宋_GB2312;">(一ï¼?/span><!--[endif]--><span style="font-family: 仿宋_GB2312;">强制分红:公å?/span><span style="font-family: 仿宋_GB2312;">在有可分配税后利润的情况下必须向优先股股东分配股息;</span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(二)可分配税后利润:发行人股东依法享有的未分配利润ï¼?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(三ï¼?/span><span style="font-family: 仿宋_GB2312;">加权平均净资产收益率:按照《公开发行证券的公司信息披露编报规则第<span lang="EN-US">9</span>å?mdash;—净资产收益率和每股收益的计算及披露》计算的加权平均净资产收益率;</span></span></span><b><span lang="EN-US" style="font-size:16.0pt; mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312;mso-hansi-font-family:仿宋"><o:p></o:p></span></b></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 仿宋_GB2312;">(四)上è¯?span lang="EN-US">50</span>指数:中证指数有限公司发布的上证<span lang="EN-US">50</span>指数ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋_GB2312"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第六十九æ?</span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">本办法中计算合格投资者人数时,同一资产管理机构以其管理的两只以上产品认购或受让优先股的,视为一人ã€?/span></span></span><span lang="EN-US" style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><o:p></o:p></span></p> <p> </p> <p class="MsoNormal" style="margin-left:0cm;text-indent:32.0pt;mso-char-indent-count: 2.0;mso-list:l0 level1 lfo2"><!--[if !supportLists]--><span style="color:#000;"><span style="font-size:16px;"><b><span lang="EN-US" style="font-family: 仿宋_GB2312;">第七十条 </span></b><!--[endif]--><span style="font-family: 仿宋_GB2312;">本办法自公布之日起施行ã€?/span></span></span><span style="font-size:16.0pt;mso-bidi-font-size:10.0pt;font-family:仿宋_GB2312; mso-hansi-font-family:仿宋"><span lang="EN-US"><o:p></o:p></span></span></p> </div> </div> <div class="contArticle_bot_Artpage"> <span id="pe100_page_contentpage" class="pagecss"></span> </div> <div class="c_contant_end"></div> </div> </div> <!--主体中部结束--> </div> </div> <div class="footer_bg"> <div class="layout"> <!--网站底部--> <div class="footer"> <div class="copyright">甘肃省证券期货业协会/甘肃省上市公司协ä¼?主办 《甘肃证券市场》期刊发行部 甘肃证券期货业协会|甘肃上市公司协会网站 版权所æœ?/div> <div class="copyright"><script src="/Analytics/CounterLink.aspx?Style=all"></script></div> <div class="copyright"> 协会地址:兰州市城关区张掖路延寿å·?号基隆大厦Aåº?å±?01å®?电话/传真ï¼?+86)0931-8478467 邮编730000 网站备案号:陇ICPå¤?0200071å?/div> </div> </div></div> <a href="http://www.businesswritingservices.biz/">Ïã¸Û²ÆÉñͼ¿â47005</a> <script> (function(){ var bp = document.createElement('script'); var curProtocol = window.location.protocol.split(':')[0]; if (curProtocol === 'https') { bp.src = 'https://zz.bdstatic.com/linksubmit/push.js'; } else { bp.src = 'http://push.zhanzhang.baidu.com/push.js'; } var s = document.getElementsByTagName("script")[0]; s.parentNode.insertBefore(bp, s); })(); </script> </body> </html>