《新股消息》中證監要求菜鳥補充赴港上市六大方面資料
根據中國證監會網站,三間擬境外發行上市公司被要求補充備案資料,當中包括菜鳥智慧物流網絡有限公司,菜鳥被要求提交的補充備案資料涉及股權結構、股權激勵、控制架構、規範運作、獨立性及分拆安排等六方面。
菜鳥在9月26日向港交所(00388.HK)遞交申請香港新股上市,於10月10日中證監亦已接收菜鳥IPO的備案材料,而今次中證監要求菜鳥就六方面事項進行補充說明,並要求律師作出核查及出具明確的法律意見。 當中,股權結構方面,要求說明及第二大股東沈國軍透過多個境外持股平台持有公司股份的原因等問題,並對照監管指引清單說明相關情況。根據菜鳥招股書,目前阿里巴巴持有菜鳥約69.54%的股份,而沈國軍則持有約14.59%。
另外在股權激勵方面,中證監會要求菜鳥補充說明股權激勵計劃的合規性。 控制架構方面,要求說明主要境內營運實體菜鳥網路、杭州菜鳥物流及深圳北領股東等的股權轉讓相關情況,以及浙江菜鳥與杭州菜鳥及股東簽署兩套協議的原因等問題。
至於規範運作,菜鳥被要求提供公司開發、營運網站、App及小程序等產品收集及儲存的客戶信息規模與數據收集使用情況,當中是否涉及向第三方或向境外提供個人用戶數據信息,是否符合個人資訊出境有關法律法規規定,並要求說明上市前後個人資訊保護及資料安全的安排或措施。
中證監會要求菜鳥在補充資料中說明發行人及母公司阿里巴巴在業務、資產、人員、機構及財務等方面的獨立性情況,同時亦要提到阿里巴巴所控制資產或業務分拆上市的主要考量、分拆原則及整體安排等。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.