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1、Legal Due Diligence Documents Request List法律尽职调查文件清单relating to 关于Shenyang * Pharmaceutical Manufacturing Stock Co., Ltd.沈阳*股份有限公司October *年10月The following documents and information are requested for purposes of our legal due diligence review in relation to the Company. Please understand that this
2、Due Diligence Request List of documents is a preliminary list for the intended documents and information and may be adjusted or supplemented in the process of our due diligence review. Please kindly follow the notes stated below to provide the documents/information.我们需要下述的文件和信息以对贵公司进行相应法律尽职调查。本尽职调查文
3、件清单是初步清单，在进行尽职调查审阅的过程中，还有可能进行调整和补充，敬请贵公司理解。请贵公司依照下述说明提供相应的文件、信息。 “Company” in this List means Shenyang * Pharmaceutical Manufacturing Stock Co., Ltd. and shall include its subsidiaries and branch companies, if any.本清单中，“公司” 指沈阳*股份有限公司，并应包括其所有子公司和分公司。 According to your preparation of relevant documen
4、ts, please either click “” in the “ Provided” or “N/A” column. Where a request is not applicable please mark the question N/A and provide a brief explanation in the “Notes/Status”. If you are going to provide certain documents later, please mark out the intending date in the “Notes/Status” column.请根
5、据文件的提供情况在“已提供”或“不适用”处打“”。如有关请求不适用，请在该栏目“不适用”处打“”，并在“注释”处简要说明理由。对于待提供的文件，请在“注释”处注明预计提供的时间。 All documents requested in this List can be provided in photocopies. The Company shall ensure the photocopies are the same as the originals and such photocopies shall bear the official seal of the provider of s
6、uch documents. We may request the Company to provide an undertaking regarding the accuracy and authenticity of the documents provided if necessary. Please bind the documents in order of this List and note the corresponding serious number; please keep the key information on the copies, including but
7、not limited to dates, seals & signatures, numbers, legible.本清单要求提供的所有文件均为原件的复印件；但公司应当保证所提供的复印件与原件一致，并在复印件上加盖资料来源方公章。必要时，我们将要求公司就此出具一份由负责人签字并加盖公章的承诺函。请按照本清单顺序装订文件，并在文件上注明与本清单对应的序号；复印件请保证日期、印鉴、证件号码等关键信息的清晰可辨。 If prior to the completion of the proposed transaction there is any change in circumstances t
8、hat may lead to the answers and/or documents provided hereunder being inaccurate please update us immediately.就本文件清单提供的答复及/或文件所涉事项，在拟议的交易完成之前如有任何变化，请及时通知我们。 If the Company has any sub-entity without independent legal person status, such as branch, distribution center, operational office, representat
9、ive office or any other business operated by the Company, the sub-entity should be regarded as part of the Company and subject to the disclosure requests hereunder.若公司有任何不具独立法人地位的下属机构, 如分公司、分销中心、营业部、办事处或公司经营的任何其它业务，该下属机构应视为公司的一部分而应按本文件清单的要求提供文件和相关信息。Item 文件名称Provided已提供N/A不适用Notes/Status注释1 Company
10、Documents公司文件1.1 Business licence of the Company and its subsidiaries and branches公司的营业执照(i)(ii)1.2 Annual inspection reports of the Company for the past three years公司最近三年的年检报告(i)(ii)1.3 Organization and Institution Code Certificate 公司组织机构代码证(i)(ii)1.4 Statistic Registration Certificate公司统计登记证(i)(ii
11、)1.5 Foreign Trading Rights Registration(if any)公司外贸经营权登记备案 (如有)(i)(ii)1.6 Any operational licence, permit or approval in relation to the business of the Company or products manufactured or sold by the Company, including but not limited to:与公司业务或生产、销售公司产品有关的任何经营性执照、许可或批准， 包括但不限于：1.6.1 Permit for Med
12、icine Production药品生产许可证1.6.2 GMP Certification药品生产质量管理规范(GMP)认证证书1.6.3 Permit for Medicine Distribution (if applicable)药品经营许可证（如适用）1.6.4 GSP Certification (if applicable)药品经营质量管理规范(GSP)认证证书（如适用）1.6.5 Registered number of approval and the registration certificate for each type of medicine (if applica
13、ble)每种药品的批准文号和药品注册证（如适用）(i)(ii)1.7 List showing all shareholders (and their respective shares) and subsidiaries of the Company whether onshore or offshore显示公司所有股东（及其各自股份数额）及子公司（包括国内外机构）的清单(i)(ii)1.8 Articles of association and all amendments and supplements and the relevant resolutions公司章程及其全部修改及补充文
14、件和相关股东会和/或董事会决议(i)(ii)1.9 Shareholders agreement and/or joint venture agreement (if applicable) and all amendments and supplements and the relevant resolutions股东协议和/或合资企业合同（如适用）及其全部修改及补充文件和相关决议(i)(ii)1.10 Equity transfer agreements and relevant resolutions and approvals relating to each time of equi
15、ty changes in the Company since its incorporation，including but not limited to:公司自成立之日起历次发生股权变动的相关股权转让协议及相关决议、批文，包括但不限于：1.10.1 Equity transfer agreements股权转让协议1.10.2 Relevant resolutions相关股东会和/或董事会决议1.10.3 Approvals by the competent government authorities (if applicable)政府有关部门的批复、批准证书和更新后的营业执照（如适用）1.10.4 Approvals by the competent State asset administration authority and the relevant documents (if applicable)国有资产管理部门对股权变动的批复及相关文件（如适用）1.10.5 Proof of tax payment by the transferor of the equity (if applicable)股权出让方缴付相关税项的完税凭证（如适用）(i)(i
