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1、DUE DILIGENCE DOCUMENTS CHECKLIST尽职调查文件清单In order for the and to conduct the due diligence review regarding a proposed transaction between and , we will need to receive certain information and documentation from with respect to the business, assets and operations of following entities: 为便于 和 就有关 与 的
2、交易进行尽职调查，请 提供下列企业关于业务、资产和经营方面的信息和文件：(Each a “Company” and collectively the “Companies”)(单独或合称为“公司”)If the Company has any sub-entity with independent legal person status (“Subsidiary”), the Subsidiary should be regarded as another “Company” and should separately provide answers and all relevant docu
3、ments in relation to the items indicated in this Documents Checklist.若公司有任何具有独立法人地位的下属机构(“子公司”)，该子公司应视为另一个“公司”并另行按本文件清单所列事项提供答复及所有有关文件。To expedite the due diligence process, we have compiled the following outline which lists the documentation and information that we will need to review (set forth in
4、 no particular order).为了加快尽职调查的进程，我们准备了下列提纲列明所需要审阅的文件和信息(排序不分先后)。As our due diligence progresses, additional documents and information may be requested. We would appreciate receiving your preliminary response as soon as possible.随着我们尽职调查的进行，可能需要贵司进一步提供文件和信息，我们希望贵司能尽快提供初步反馈。1 Item文件名称Previously Provi
5、ded(with the name and Reference Number Listed)已提供 (列明文件名称及文号)Note备注(To be Provided /N/A)(待提供/不适用)Part ICorporate Structure and Shareholding of each Company第一部分 公司的组织结构和持股情况1.1 Articles of Association and Joint Venture Contract (if any) and any amendments/revisions thereto.公司章程和合资合同(如有)及其任何补充/修订。1.2
6、Approval letter for the Articles of Association and Joint Venture Contract (if any) and any updates thereto.公司章程和合资合同的批复(如有)及其任何更新。1.3 Approval certificate for establishment of foreign invested company and any updates thereto.外商投资企业批准证书及其任何更新。1.4 Project Proposal and Feasibility Study Report (if any
7、).项目建议书及可行性研究报告(如有)。1.5 Project verification letter.项目核准函。1.6 Business License and any updates thereto.营业执照及其任何更新。1.7 Details of any increases of capital, reductions of capital or other capital reorganizations involving the company that may have occurred since their respective dates of incorporation
8、.公司从合法注册之日至今一切增资、减资及资产重组的情况。1.8 All the approvals, opinions, agreements, contracts and other documents with respect to the reorganization, recapitalization, and changes of corporate structure and shareholding of the company. 任何有关改制、重组以及公司结构和股权变更的批复、意见、协议、合同和其他文件。1.9 If applicable, names and addresse
9、s of all directors and legal representatives (if relevant) of the company, stating title and any other directorships held.公司董事及法定代表人(如有)名单、地址、职务及是否还担任其他公司董事(如适用)。1.10 All asset valuation reports in relation to the company.与公司有关的所有资产评估报告。1.11 Annual inspection report of SAIC of the past three years (
10、if any).最近三年的工商年检报告(如有)。1.12 Minutes/resolutions of meetings of the board of directors, board of supervisors and shareholders for the last three years.过去三年的董事会、监事会和股东会的决议及记录。1.13 Please also provide or confirm the following:请提供或确认以下信息：(1) A list of all share options, share pledges, warrants or simil
11、ar arrangements affecting the shares of the company.影响公司股权的所有股票期权、质押、认股权证或类似的安排清单;(2) Are there any shareholders agreements relating to the company or any other agreements among shareholders and/or third parties relating to the voting, disposal or acquisition of shares or securities of such company是
12、否存在关于其他公司的股东间协议或关于股东之间和/或与第三方之间的任何与其他公司的股票或其他证券的投票权,处置权或取得有关的协议?(3) Corporate ownership chart of the company and their affiliates; and公司和其关联方的股权结构图; 以及(4) Operational structure chart of the company and their affiliates.公司和其关联方的组织结构图。Part IIFinancial Status of each Company第二部分 公司的财务状况2.1 Copies of cu
13、rrent financial statements, management accounts (if any) and audited financial reports of the past three years of the company and as a whole (if consolidated). For company, copies of capital verification (验资报告), reports, certificates and other documents confirming the timing, form and valuation of a
14、ll contributions to the registered capital of company.公司现有的财务报表、管理账户(如有)、合并报表(如有)及最近三年经审计的财务报告,任何证明公司注册资本的出资时间。出资形式及出资价值的验资报告、证明或其他文件。2.2 A schedule of all indebtedness owed by the company, details of any borrowings or other amounts currently outstanding to the bankers of the company, and details of any proposed discharge of such indebtedness.公司负债的全部状况,包括目前对银行所有尚未还清的借款或其他欠款的数量以及详细情况,以及任何对该等负债的偿还计划。2.3 Details of all loans made to or by the company, including all loans and indebtedness to direct
