公司在发布招股说明书时,如果本次发行的是全球存托凭证(Global Depository Receipts,简称“GDR”),那么其招股说明书中需纳入有关全球存托凭证的条款和条件,对全球存托凭证的详情进行介绍。以下为某招股说明书中的全球存托凭证核心条款之股份存托条款双语示例:
示例一(简版):
Deposit of Shares
股份的存托
1.1 Shares can be deposited on account of the depository receipt holder with SEB, or with a custodian appointed by SEB on account of SEB, in which case SEB or the custodian appointed by SEB shall be registered as owners of the Shares in (i) the Company’s share register located in Luxembourg either held by the Company or by another Luxembourg institution duly licensed to act as a registrar in accordance with Luxembourg law and practices that are appointed by the Company and approved by SEB with an assignment to maintain a register of the Company’s owners or, (ii) the register in relation to the Shares kept by the American Stock Transfer & Trust Company, LLC ("AST") in the United States. Depository receipt holder means an owner of a depository receipt or such an owner’s nominee (hereinafter referred to as ”SDR Holder”).
股份可以存入存托凭证持有人在SEB银行开设的账户,或存入SEB银行指定的托管人在SEB银行开设的账户,在此情况下,SEB银行或SEB银行委任的保管人应在以下登记册中被登记为股份的持有人:(i) 公司或公司指定且SEB银行批准维持公司所有人登记册的另一卢森堡机构(根据卢森堡的法律和惯例已妥为获得担任登记机构的许可)持有的、位于卢森堡的股份登记册;或(ii) 位于美国的American Stock Transfer & Trust Company, LLC(“AST”)就股份保存的登记册。存托凭证持有人指存托凭证的所有人或该所有人的代理人(以下简称“SDR持有人”)。
1.2 The SDRs shall be registered in a book-entry verification register maintained by Euroclear (hereinafter referred to as the “Euroclear Register”) in accordance with the Swedish Financial Instruments Accounts Act. No certificates representing the SDRs will be issued. SEB will not accept deposit of fractions of Shares.
应依照《瑞典金融工具账户法案》在欧清银行维持的簿记核实登记册(以下简称“欧清登记册”)中对SDR进行登记。不会签发任何代表SDR的证书。SEB银行将不接受零星股份的存托。
示例二(繁版):
1.Deposit of Shares
股份的存托
A.The Depositary may, in accordance with the terms of the Deposit Agreement, but subject to the Conditions, and upon delivery of (x) a duly executed or electronically submitted order (in a form approved by the Depositary) and (y) a duly executed or electronically submitted deposit certification substantially in the form attached to the Deposit Agreement by or on behalf of any investor who is to become the Beneficial Owner of the GDRs (other than in the case of a deposit of Shares by the Company or an Affiliate of the Company which shall be subject to Clause 7.1.4 of the Deposit Agreement), from time to time issue and deliver further GDRs having the same terms and conditions as the GDRs which are then outstanding in all respects and, subject to the terms of the Deposit Agreement, the Conditions and applicable law, the Depositary shall accept for deposit any further Shares in connection therewith, so that such further GDRs shall form a single series with the already outstanding GDRs. References in these Conditions to the GDRs include (unless the context requires otherwise) any further GDRs issued pursuant to this Condition and forming a single series with the already outstanding GDRs.
A.存托人可以依照《存托协议》的条款(不得违反本条款的规定),在收到将成为GDR受益所有人的任何投资者或其代表提交的、(x)经正式签署或以电子形式提交的指令(应当采用经存托人批准的格式);以及(y)经正式签署或以电子形式提交的存托证书(格式见《存托协议》的附件)之后(公司或其关联公司办理的股份存托除外,该存托适用《存托协议》第7.1.4条),不时签发和交付在所有方面适用与当时流通在外的GDR相同的条款和条件的新增GDR,并且可以在符合《存托协议》、本条款和适用法律的规定的情况下,接受存托与之相关的任何新增股份,使该等新增GDR与已流通在外的GDR构成单一系列的GDR。本条款中凡提到GDR的,除非上下文另有要求,包括依照本条款签发和与已流通在外的GDR构成单一系列的任何新增GDR。
The deposit certificate to be provided pursuant to the Deposit Agreement certifies, among other things, that the person providing such certificate is not an “affiliate” of the Company, has acquired, or has agreed to acquire and will have acquired, the Shares to be deposited in an “offshore transaction” (as defined in Regulation S) and will comply with the restrictions on transfer applicable to GDRs set forth under “Selling and Transfer Restrictions”.
依照《存托协议》提供的存托证书证明,提供该证书的主体并非公司的“关联公司”,通过“境外交易”(定义见S条例)取得或同意取得并且将会取得待存托的股份,并将遵守“销售限制和转让限制”部分规定的、适用于GDR的转让限制。
B. Subject to the terms and conditions of the Deposit Agreement and applicable law, upon (i) physical delivery to the Custodian of Shares, or book-entry transfer of Shares to an account in the name of the Depositary at the China Securities Depositary and Clearing Corporation Limited (the “CSDC”), (ii) physical or electronic delivery to the Depositary of the applicable deposit certification unless the deposit of Shares is made by the Company or an Affiliate of the Company in which case such deposit will be subject to Clause 7.1.4 of the Deposit Agreement, and (iii) payment of necessary taxes, governmental charges (including transfer taxes) and other charges as set forth in the Deposit Agreement and fees, costs, expenses and other charges of the Depositary as set forth in Clause 10.1 of the Deposit Agreement and Condition 19, the Depositary will (i) adjust its records for the number of GDRs issued in respect of the Shares so deposited, (ii) notify the Common Depositary to increase the number of GDRs evidenced by the Master GDR Certificate, and (iii) make delivery of the GDRs so issued to the applicable Euroclear Participant or Clearstream Participant specified in applicable order received for such purpose.
B.在符合《存托协议》和适用法律的条款和条件的情况下,在(i)以实物形式向托管人交付股份,或通过簿记形式将股份过户到存托人在中国证券登记结算有限责任公司(以下简称“中国结算”)开立的账户;(ii)以实物或电子形式向存托人提交相关存托证书(公司或其关联公司办理的股份存托除外,该存托适用《存托协议》第7.1.4条);以及(iii)支付《存托协议》规定的必要税款、政府收费(包括转让税)和其他费用,以及《存托协议》第10.1条和本条款第19条规定的存托人服务费、支出、费用和其他收费后,存托人应:(i)根据股份存托时签发的GDR数量,相应调整其记录;(ii)通知共同存托人增加相关GDR主证书证明的GDR数量;以及(iii)将签发的GDR交付为此收到的指令中指定的欧清银行参与者或明讯银行参与者。
C. Subject to the limitations set forth in the Deposit Agreement and applicable law, the Depositary may (but is not required to) issue GDRs prior to the delivery to it of Shares in respect of which such GDRs are to be issued against evidence to receive rights from the Company (or any agent of the Company involved for the Company in the maintenance or ownership or transactions records for the Shares) in the form of a written blanket or specific guarantee of ownership furnished by the Company (or any agent of the Company involved for the Company in the maintenance or ownership or transactions records for the Shares).
C.在符合《存托协议》和适用法律规定的限制的情况下,存托人可以(但是不得被要求)在收到公司(或公司委托的、负责保存股份所有权或交易记录的任何代理人)出具的全面或特定所有权保证书,证明有权获得公司(或公司委托的、负责保存股份所有权或交易记录的任何代理人)提供的权利后,在收到交付的股份之前签发GDR。
D.Any further GDRs issued pursuant to Condition 1(A) which (i) represent Shares which have rights (whether dividend rights or otherwise) which are different from the rights attaching to the Shares represented by the outstanding GDRs, or (ii) are otherwise not fungible (or are to be treated as not fungible) with the outstanding GDRs, will, subject to Clause 3.15 of the Deposit Agreement be represented by a separate master partial entitlement GDR certificate (each a “Master Partial Entitlement GDR Certificate”). Upon becoming fungible with outstanding GDRs, such further GDRs shall be evidenced by the Master GDR Certificate (by increasing the total number of GDRs evidenced by the Master GDR Certificate or by the number of such further GDRs, as applicable).
D.如果依照本条款第1(A)条签发的任何新增GDR(i)代表的股份所拥有的分红权或其他权利与流通在外的GDR代表的股份所附带的权利不同;或(ii)因其他原因不可与流通在外的GDR互换(或者被视为不可互换),在符合《存托协议》第3.15条的情况下,可以单独签发部分权益GDR主证书(以下简称“部分权益GDR主证书”)作为证明。在可以与流通在外的GDR互换后,应采用GDR主证书证明该等新增GDR(增加相关GDR主证书或该等新增GDR代表的GDR总数)。
E.Subject to the further terms and provisions of the Deposit Agreement, Citibank, N.A., its agents and affiliates, on their own behalf, may own and deal in any class of securities of the Company and its affiliates and in GDRs. In its capacity as Depositary, the Depositary shall not lend Shares or GDRs.
E.在符合《存托协议》其他条款和规定的情况下,花旗银行及其代理人和关联公司可以代表其自身持有和交易公司及其关联公司任何类别的证券以及GDR。在以存托人身份行事时,存托人不得出借股份或GDR。
F. Any person delivering Shares for deposit under the Deposit Agreement and Condition 1 and any Holder or Beneficial Owner may be required and will be deemed to accept, by virtue of being a Holder or a Beneficial Owner, that, from time to time, it will be required to furnish the Depositary or the Custodian with such proof, certificates and representations and warranties as to matters of fact, including without limitation the citizenship and residence of the depositor, taxpayer status, payment of all applicable taxes or governmental charges, exchange control approvals, legal or beneficial ownership of GDRs and Deposited Property, compliance with all applicable laws, the terms of the Deposit Agreement, the Conditions and the provisions of, or governing, the Deposited Property and the identity and genuineness of any signature on any of the supporting instruments or other documents, and with such further documents and information as the Depositary may deem necessary or appropriate for the administration or implementation of the Deposit Agreement and the Conditions. The Depositary, the Registrar or the Custodian may withhold acceptance of Shares for deposit, withhold delivery or registration of issuance or transfer of all or part of any GDR Certificate, withhold adjustment of the Master GDR Certificate to reflect increases in Shares represented thereby or withhold the distribution or sale of any dividend or distribution of rights or of the net proceeds of the sale thereof or the delivery of any Deposited Property, until such proof or other information is filed or such certifications are executed, or such representations are made or such other documentation or information is provided in each case to the satisfaction of the Depositary, the Registrar or the Custodian.
F.依照《存托协议》和本条款第1条办理股份存托的任何主体以及任何持有人或受益所有人可能被要求,并因其作为持有人或受益所有人,被视为同意其将不时被要求,向存托人或托管人提供有关存托办理人的公民身份和居所、纳税人身份、所有适用税款或政府收费的缴纳、外汇管制批准、对于GDR和存托财产的法定或受益所有权、遵守所有适用法律、《存托协议》、本条款以及存托财产或适用于存托财产的规定以及任何证明材料或其他文件上的任何签字的身份和真实性等事实问题的证明、证书、声明和保证,以及存托人认为对于《存托协议》和本条款的管理或实施必要或适当的其他文件和信息。在提交该等证明材料或其他信息、签署该等证明、作出该等声明或提供其他文件或信息并且存托人、登记处或托管人对此感到满意之前,存托人、登记处或托管人可以拒绝接受股份的存托、交付任何GDR证书或登记任何GDR证书的签发或任何GDR证书的全部或部分过户或者暂停调整GDR主证书以反映所代表股份的增加、任何股利的分配或出售、权利或出售所得款项净额的分配或任何存托财产的交付。
G.Notwithstanding anything else contained in the Deposit Agreement or the Conditions, the Depositary shall not be required to accept for deposit or maintain on deposit in its account maintained by the Custodian (a) any fractional Shares or fractional Deposited Property, or (b) any number of Shares or Deposited Property which, upon application of the ratio of GDRs to Shares or Deposited Property, as the case may be, would give rise to fractional GDRs. No Share shall be accepted for deposit unless accompanied by evidence, if any is required by the Depositary or the Custodian, that is reasonably satisfactory to the Depositary or the Custodian that all conditions for such deposit have been satisfied by the person depositing such Shares under the laws and regulations of the PRC and any necessary approval has been granted by any applicable governmental body in the PRC (if any), including, without limitation, if applicable, any regulator of currency exchange.
G.不论《存托协议》或本条款是否有任何其他规定,不得要求存托人接受(a)任何零碎股份或零碎存托财产;或(b)依照GDR与股份或存托财产的转换比率,将会导致产生零碎GDR的任何股份或存托财产的存托,或在托管人为存托人设立的账户中以存托形式持有任何该等股份或存托财产。在办理股份存托时,应随附存托人或托管人要求提供并令存托人或托管人合理满意的、有关办理股份存托的主体已满足中国法律法规项下适用于该存托的所有条件并已获得中国相关政府机构(包括但不限于任何外汇监管机构)的任何必要同意(如有)的证明材料。
H.Each person depositing Shares under the Deposit Agreement and the Conditions shall be deemed thereby to represent and warrant that (i) such Shares (and the certificates therefor) are duly authorised, validly issued, fully paid, nonassessable and legally obtained by such person, (ii) all pre-emptive (and similar) rights with respect to such Shares have been validly waived or exercised, (iii) the person making such deposit is duly authorised so to do, (iv) the Shares presented for deposit are free and clear of any lien, encumbrance, security interest, charge, mortgage or adverse claim, (v) the Shares presented for deposit have not been stripped of any rights or entitlements, and (vi) the Shares are not, and the GDRs will not be, "restricted securities" (as defined in Rule 144(a)(3) under the Securities Act). Such representations and warranties shall survive the deposit and withdrawal of Shares and the issuance and cancellation of GDRs in respect thereof and the transfer of such GDRs. If any such representations or warranties are false in any way, the Company and the Depositary shall be authorised, at the cost and expense of the person depositing Shares, to take any and all actions necessary to correct the consequences thereof.
H.《存托协议》和本条款项下办理股份存托的任何主体被视为作出下列声明和保证:(i)该等股份及其证书已获得正式授权、有效发行、已缴足、不可增收股款和由该主体合法获得;(ii)与该等股份相关的所有优先认购权和类似权利已有效放弃或行使;(iii)办理存托的主体已获得正式授权;(iv)提交存托的股份不存在任何留置权、产权负担、担保物权、押记、抵押或不利权利主张;(v)提交存托的股份未被剥夺任何权利或权益;以及(vi)该等股份和GDR并非《证券法》项下144(a)(3)规则定义的“受限制证券”。上述声明和保证在股份存托和兑回、与该等股份相关的GDR签发和注销以及该等GDR转让后依然有效。任何该等声明或保证在任何方面不真实的,公司和存托人被授权采取对于纠正因此导致的后果必要的任何及所有行动,因此发生的支出和费用由存托股份的主体承担。
Each person depositing Shares, taking delivery of or transferring GDRs or any beneficial interest therein, or surrendering GDRs or any beneficial interest therein and withdrawing Shares under the Deposit Agreement and the Conditions shall be deemed thereby to acknowledge that the GDRs and the Shares represented thereby have not been and will not be registered under the Securities Act, and may not be offered, sold, pledged or otherwise transferred except in accordance with the restrictions on transfer set forth in the applicable Securities Act Legend, and such person shall be deemed thereby to represent and warrant that such deposit, transfer or surrender or withdrawal complies with the foregoing restrictions. Such representations and warranties shall survive any such deposit, taking delivery of, transfer, surrender or withdrawal of the Shares or the GDRs or any beneficial interest therein.
《存托协议》和本条款项下存托股份、接收或转让GDR或其中的任何受益权、交还GDR或放弃其中的任何受益权和兑回股份的任何主体被视为承认,GDR及其代表的股份未曾也不会在《证券法》项下注册,除非符合相关证券法文字说明规定的转让限制,不得发行、出售、质押或进行其他转让,并且被视为声明和保证,该存托、转让、交还或兑回符合上述限制。上述声明和保证在存托、接收、转让、交还或兑回任何该等股份、GDR或其中的任何受益权之后依然有效。