1、Legal Due Diligence Documents Request List法律盡職調查文件清單relating to 關于Shenyang * Pharmaceutical Manufacturing Stock Co., Ltd.沈陽*股份有限公司October *年10月 PAGE 20The following documents and information are requested for purposes of our legal due diligence review in relation to the Company. Please understand th

2、at this 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.我們需要下述的文件和信息以對貴公司進行相應法律盡職調

3、查。本盡職調查文件清單是初步清單，在進行盡職調查審閱的過程中，還有可能進行調整和補充，敬請貴公司理解。請貴公司依照下述說明提供相應的文件、信息?！癈ompany” in this List means Shenyang * Pharmaceutical Manufacturing Stock Co., Ltd. and shall include its subsidiaries and branch companies, if any.本清單中，“公司” 指沈陽*股份有限公司，并應包括其所有子公司和分公司。According to your preparation of relevant d

4、ocuments, 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” col

5、umn.請根據文件的提供情況在“已提供”或“不適用”處打“”。如有關請求不適用，請在該欄目“不適用”處打“”，并在“注釋”處簡要說明理由。對于待提供的文件，請在“注釋”處注明預計提供的時間。 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 provide

6、r of such 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, includin

7、g but not limited to dates, seals & signatures, numbers, legible.本清單要求提供的所有文件均為原件的復印件；但公司應當保證所提供的復印件與原件一致，并在復印件上加蓋資料來源方公章。必要時，我們將要求公司就此出具一份由負責人簽字并加蓋公章的承諾函。請按照本清單順序裝訂文件，并在文件上注明與本清單對應的序號；復印件請保證日期、印鑒、證件號碼等關鍵信息的清晰可辨。If prior to the completion of the proposed transaction there is any change in circumstan

8、ces that may lead to the answers and/or documents provided hereunder being inaccurate please update us immediately.就本文件清單提供的答復及/或文件所涉事項，在擬議的交易完成之前如有任何變化，請及時通知我們。If the Company has any sub-entity without independent legal person status, such as branch, distribution center, operational office, represe

9、ntative 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.若公司有任何不具獨立法人地位的下屬機構, 如分公司、分銷中心、營業部、辦事處或公司經營的任何其它業務，該下屬機構應視為公司的一部分而應按本文件清單的要求提供文件和相關信息。Item 文件名稱Provided已提供N/A不適用Notes/Status注釋Compan

10、y Documents公司文件Business licence of the Company and its subsidiaries and branches公司的營業執照Annual inspection reports of the Company for the past three years公司最近三年的年檢報告Organization and Institution Code Certificate 公司組織機構代碼證Statistic Registration Certificate公司統計登記證Foreign Trading Rights Registration(if an

11、y)公司外貿經營權登記備案 (如有)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:與公司業務或生產、銷售公司產品有關的任何經營性執照、許可或批準， 包括但不限于：Permit for Medicine Production藥品生產許可證GMP Certification藥品生產質量管理規范(GMP)認證證書Perm

12、it for Medicine Distribution (if applicable)藥品經營許可證（如適用）GSP Certification (if applicable)藥品經營質量管理規范(GSP)認證證書（如適用）Registered number of approval and the registration certificate for each type of medicine (if applicable)每種藥品的批準文號和藥品注冊證（如適用）List showing all shareholders (and their respective shares) and

13、 subsidiaries of the Company whether onshore or offshore顯示公司所有股東（及其各自股份數額）及子公司（包括國內外機構）的清單Articles of association and all amendments and supplements and the relevant resolutions公司章程及其全部修改及補充文件和相關股東會和/或董事會決議Shareholders agreement and/or joint venture agreement (if applicable) and all amendments and s

14、upplements and the relevant resolutions股東協議和/或合資企業合同（如適用）及其全部修改及補充文件和相關決議Equity transfer agreements and relevant resolutions and approvals relating to each time of equity changes in the Company since its incorporation，including but not limited to:公司自成立之日起歷次發生股權變動的相關股權轉讓協議及相關決議、批文，包括但不限于：Equity trans

15、fer agreements股權轉讓協議Relevant resolutions相關股東會和/或董事會決議Approvals by the competent government authorities (if applicable)政府有關部門的批復、批準證書和更新后的營業執照（如適用）Approvals by the competent State asset administration authority and the relevant documents (if applicable)國有資產管理部門對股權變動的批復及相關文件（如適用）Proof of tax payment b

16、y the transferor of the equity (if applicable)股權出讓方繳付相關稅項的完稅憑證（如適用）Any agreements governing the rights of the shareholders of the Company, such as rights of first refusal, voting agreements, stock escrow agreements, buy-sell agreements與公司股東權利或公司的股權有關的任何協議，比如優先購買權協議、表決權協議、股權托管協議、購買出售協議等All other docu

17、ments or agreements between or among the Company and its existing stockholders, or among the existing stockholders, including without limitation, those relating to the equity, control, management or funding of the Company其它任何公司和其現存股東之間的，或現存股東相互之間的文件、協議，包括但不限于與公司的股權、控制權、管理、融資相關的協議If there are any exi

18、sting encumbrances, including without limitation pledge or court injunction, on the shares of the Company, please provide the relevant legal documents, e.g. pledge agreement, pledge registration documents and court injunction orders如果公司股份上目前設置有任何他項權利，包括但不限于質押或法院保全，請提供相關法律文件，如質押合同、質押登記文件以及法院保全的裁定Any

19、asset sales or purchase agreements (with a contract value of RMB 5 million or above) entered into by the Company or which relate to the Company since its incorporation公司自成立之日起發生的資產收購或轉讓協議（合同金額在【500】萬元人民或以上）及相關決議、批文Resolutions and approvals relating to the increase or decrease of registered capital o

20、f the Company (if any)公司注冊資本增減（如有）的決議、批文Resolutions and approvals relating to the change of business scope of the Company (if any)公司經營范圍變更（如有）的決議、批文All Investment verification reports and capital contribution certificates of the Company公司所有驗資報告及出資證書Audited financial reports of the past three years公司

21、最近三年經審計的財務報告Any reports on the Company and its businesses other than the financial reports prepared during the past 12 months (if any)除財務報告之外，在最近十二個月內準備的關于公司及其業務的任何報告（如有）Documents in respect of establishment of any branch, operational office, liaison office or any other business operated or investme

22、nt made (such as joint venture or stocks) by the Company (such as approval, notification, registration certificate, business licence)有關設立任何分公司、營業部、辦事處或公司經營的任何其它業務或進行的任何其它投資（如合資企業、股票）的文件（批復、通知、登記證、營業執照等）A list of all the current directors of the Company and the party appointing each director公司現有全體董事以

23、及各董事委任方名冊Resumes and copies of identification certificates of all the current directors of the Company公司現有全體董事簡歷、身份證明All Certificate(s) of Approval for the establishment of the Company as a foreign investment enterprise (FIE)公司成為外商投資企業的全部批準證書All approval letters issued by the FIE examination and app

24、roval authority外商投資企業審批機關出具的全部批復Customs registration certificate公司海關登記證明Foreign exchange registration certificate公司外匯登記證Minutes/resolutions of the Board of Directors for the past three years公司過去三年的董事會會議記錄及決議Evidence of round-trip investment foreign exchange registration made by PRC residents indirec

25、tly holding equity in the Company, including but not limited to application letter, registration form and modified registration form (if applicable)間接持有公司股權的中國境內居民辦理返程投資外匯登記的證明材料，包括但不限于申請書、登記表及變更登記表 （如適用）Tax稅務Tax registration certificate (state and local tax)公司稅務登記證（國稅及地稅）Annual tax return for the p

26、ast three years公司過去三年的年度稅務申報表Government approval in respect of investment grant (tax rebates)公司有關投資獎勵（退稅）的政府批復Approval of tax authority in respect of tax liability and exemption公司有關納稅義務或免稅的稅務機關批復Documents evidencing that the Company enjoys any special tax treatment (such as tax holidays or reduction

27、s)證明公司享有任何稅收特殊待遇之文件（如減免稅期或稅收減免）Finance財務RMB/foreign currency loan agreements of Which the Company is a party公司為合同一方的貸款合同（含人民幣和外幣合同） Any mortgage, guarantee or security documents and the relevant registration documents與公司或公司財產有關的任何抵押、擔?；虮ＷC文件及相關登記文件Other borrowing/financing documents (including guaran

28、tees and any government concession loans)與公司有關的其它借貸/融資文件（包括保證合同及任何政府特許貸款）Shareholder loan agreements (if any)公司股東貸款協議 （如有）Any loans made by the Company to any affiliated company or any third party or by any affiliated company to the Company公司向任何關聯公司或第三方提供的或任何關聯公司向公司提供的貸款Details of payments due to an

29、d/or from the Company under all loan agreements各貸款協議項下公司應收和/或應付的款項明細Foreign debts registration, Foreign Loan Contract Status Form, Feedback Form for Changes in Foreign Debts, Document for Verification and Approval of Principal Repayment and Interest Payment公司外債登記證及外債簽約情況表、外債變動反饋表及還本負息核準件Finance Regi

30、stration Certificate公司財政登記證Compliance with Applicable Laws遵守適用法律Documents relating to any failure to comply with applicable laws or requirements including but not limited to the following:若公司知悉其未能遵守任何領域的適用法律或要求，請提供相關的文件，包括但不限于下列領域：Government approvals and permits of any description;違反任何性質的政府批準和許可；Ex

31、amination and approval, registration and filing requirements;違反任何審批、登記和備案要求；Payment of taxes (including Value Added Tax and import tariffs) and any government charges or levies;未支付稅費(包括增值稅與進口關稅)和任何其它政府收費和征繳；Operation of bank accounts or regulations relating to foreign exchange違反銀行賬戶的使用或外匯管理Labour ma

32、nagement違反勞動管理Environmental protection, health & safety 違反環境保護、衛生與安全事項Anti-corruption違反任何反貪污、反腐敗、反賄賂的法律法規Unfair competition or misappropriation of confidential information, including but not limited to unauthorized use of intellectual property rights of third parties (including patent, trademark, co

33、pyright, tradename, know-how etc.)不正當競爭行為或侵犯他人商業秘密、保密信息的行為，包括但不限于未經授權使用他人的知識產權（包括專利、注冊商標、版權、商號、專有技術等）Potential liability to the Company should the breach or alleged breach be established (fines, compensation payments etc).如違法或聲稱的違法活動被證實，公司的潛在責任(罰款、補償金等)Any standing compliance department within the C

34、ompany, any regular internal audit system of the Company, and code of conduct adopted by the Company公司內部是否有常設的確保合規性的專門部門，是否有定期的內部審計制度，是否有專門的行為規范，如有，請提供相關文件Intellectual Property and IT Systems知識產權與信息技術系統All Trademark Registration Certificates and Domain Name Registration Certificates所有的商標和域名注冊證All Pa

35、tent Certificates所有的專利證書All Certificates of Copyrights (including software certificates)所有的著作權登記證書（包括計算機軟件登記證書）Statements of status of any pending applications for patent, trademark or copy right registration對任何尚在進行中的專利、商標或版權登記申請的說明All technology transfer or license agreements and technology researc

36、h and development agreements to which the Company is a party所有公司作為其中一方的技術轉讓或使用許可合同，以及研究開發協議All trademark transfer or license agreements to which the Company is a party所有公司作為其中一方的商標轉讓或使用許可合同All patent transfer or license agreements to which the Company is a party所有公司作為其中一方的專利轉讓或使用許可合同All licensing ag

37、reements for copyrights, brand or other intellectual property rights (including know-how) to which the Company is a party所有公司作為協議一方對著作權、品牌或其他知識產權(包括專有技術(know-how)使用協議Copies of the Companys internal trade secret and confidentiality policies公司內部有關商業秘密以及保密的任何政策文件Correspondence, if any, alleging that th

38、e Company has infringed on or misappropriated anothers intellectual property rights任何聲稱公司侵犯或非法使用第三方知識產權的通信文件（若有）Any use of pirate computer software by the Company, and if yes, written explanation of such use. Evidence of the Company purchasing authentic software.公司是否存在使用任何盜版計算機軟件的情形，如存在，相關情況的書面說明。公司

39、購買正版計算機軟件的憑證。Material Agreements重大協議Please provide signed and dated copies of any contract or agreement:請提供下述任何合同或協議之經簽字并標注日期文本的復印件：Which involves aggregate amount in excess of RMB1 million per annum or total contract value which amount to more than 5 percent of turnover of the Company涉及年度金額超過人民幣【10

40、0】萬元或合同總金額超過公司年營業額【5】%的合同/協議Which contains unusual or onerous terms or which will cause the Company to make a loss含有特別的或義務繁重的條款或將使公司遭受損失的協議Which is not entered into in the ordinary course of the Companys business or on arms length terms不是在公司正常經營中達成的或在不公平條款基礎上達成的協議Which involves a party which is, or

41、is connected with, one of the parties to the Company or any current or former director or employee of the Company or their families涉及公司投資方之一或與任一投資方有關的一方或涉及公司現有的或過去的任何董事或雇員或其家庭的協議Which may be terminated or varied to the detriment of the Company in the event that a third party acquires more than a 50%

42、 interest in the issued share or registered capital of the Company or any of the proposed subsidiaries在發生第三方收購公司或其任何子公司超過50%股權的情況時，可被終止或變更并對公司產生不利影響的任何協議Which relate to sale or marketing (distribution and/or agency) agreements 有關銷售或營銷（經銷和/或代理）的協議Which in any way restricts the Companys freedom to car

43、ry on the whole or any part of its business in any part of China/the world in such manner as it thinks fit以任何方式限制公司在中國/世界任何地方以其認為適宜的方式開展其全部或任何部分業務的自由的協議Which relates to long term investment or co-operation有關長期投資或合作的協議Which entrusts or contracts out the management of the Company or any part of its bu

44、siness公司或其任何業務的承包或管理協議Which relates to the provision of guarantee or security for a third partys debts (including the relevant registration documents)為第三人提供的保證或擔保 （包括相關的擔保登記文件）Which are agency agreements entered into with each import/export agent與各進/出口代理達成的代理協議Which relates to connected party transa

45、ctions, connected party means a party controls, being controlled by, or under the control of a same person with the Company與公司關聯方進行交易的相關協議，公司的關聯方是指對公司有控制權、受公司的控制、或與公司均受同一第三方控制的個人或實體Business Arrangements業務安排Any standard terms for the sale or purchase of raw materials (from domestic or foreign supplie

46、rs) and/or services to the Company（從國內外供應商處）買賣原料和/或向公司提供服務的任何標準條款Any standard terms of business on which the Company carries on business with customers公司據以與客戶開展業務的任何標準業務條款Any information of main customers of the Company (i.e. List of top 10 important customers or the customers who have business deal

47、ing with the Company that exceeds 5% of annual turnover of the Company); if sales are also conducted through distributors or agents, please provide the information of main distributors/agents of the Company (i.e. List of top 10 important distributors/agent or the distributors/agents who have busines

48、s dealing with the Company that exceeds 5% of annual turnover of the Company)公司的主要客戶資料（如：公司前10位的重要客戶或業務量超過公司年營業額的百分之五的客戶清單，請注明業務量及占營業額的比例）；如銷售也通過分銷商或代理進行，請一并提供主要分銷商/代理資料（如：公司前10位的重要分銷商/代理或業務量超過公司年營業額的百分之五的分銷商/代理清單，請注明業務量及占營業額的比例） Any information of main suppliers of the Company (i.e. List of top 10

49、important suppliers or the suppliers who have business dealing with the Company that exceeds 5% of annual procurement amount of the Company)公司的主要供應商資料（如：公司前10位的重要供應商或業務量超過公司年采購額的百分之五的客戶清單，請注明業務量及占采購額的比例）Insurance保險The Companys insurance policies for the past three years, such as property insurance,

50、automobile insurance, product liability insurance, physical damage insurance or other insurance, and evidence of payment of premiums最近3年內公司投保的任何保險單，如財產險、車輛險、產品責任險、人身傷害險或其它保險，以及最近三年支付保險費的憑證Any documentation relating to claims which have been made under such policies in the past 3 years or circumstanc

51、es which might give rise to a claim being made有關在最近三年內因該類保單已提出理賠或可能提出理賠要求的任何文件Real Estate and Land Use Rights 房地產及土地使用權Land use certificate (for granted, transferred or allocated land) and land use contract (land use right grant or transfer contract) of the land occupied and/or used by the Company公司

52、占有和/或使用的所有土地的土地使用權證（出讓、轉讓或劃撥）及土地使用合同（土地使用權出讓或轉讓合同）Receipt for land grant fee, land transfer price or building purchase price土地出讓金、轉讓金或房屋購買款收據Building ownership certificate/real property title certificate of all the buildings owned by the Company公司擁有產權的所有房屋的房屋所有權證/房地產權證List of any fees payable in rel

53、ation to the land use rights and premises (including without limitation the land use taxes) and payment receipts就土地使用權和房屋應支付任何的費用（包括但不限于土地使用稅）的清單及付款發票Building and land lease agreements (including approval and registration)房屋和土地租賃合同（包括批文和登記文件）Warehousing and storage agreements倉庫及倉儲協議Construction proj

54、ect (if any):建設項目（如有）Approval for Feasibility Study Report有關部門對可行性研究報告的批復Construction site approval certificates建設用地批準書Construction site planning permits建設用地規劃許可證Construction work planning permits建設工程規劃許可證Certificate of filing for bid invitation documents招標備案證明Government approval for house dismantle

55、 and removal房屋拆遷許可證Reconnaissance Contract勘察合同Design Contract設計合同Qualification certificate of construction designer工程設計業務承接方的資質證書Construction Contract施工合同List of any fees payable in relation to the construction work contract and payment invoices就建設施工合同應支付任何的費用的清單及付款發票Surveillance Contract監理合同Qualifi

56、cation certificate of construction management supervisor工程監理公司資質證書Approval for Preliminary Design有關部門對初步設計的批復Approval for the construction drawing (if any)有關部門對施工圖的批復（如有）Construction commencement permits建筑工程施工許可證Completion acceptance report竣工驗收報告Completion acceptance filing form竣工驗收備案表Construction u

57、se permit建筑批準使用文件Fire protection approval (if any)消防批準文件（如有）Quality guarantee by construction contractor施工單位質量保證書Fitting-out Contracts (if any)裝修合同（如有）Agreements relating to any construction/plant expansion undertaken by the Company與公司進行的工程/工廠擴建相關的協議Environmental, Health & Safety Compliance 環保、衛生與安全

58、事項Environmental impact assessment reports (or forms)公司所有環境影響評估報告或表格Approvals and opinions in respect of environmental impact assessment reports公司所有環境影響評估報告批復和意見Please provide all the following environmental protection documents issued to the Company (if applicable):請提供公司的所有下列環保文件（如適用）：Emission Permi

59、t排污許可證Certification on Environmental Protection Infrastructures環境保護設施合格證Certification on Emission Standard排污標準合格證Environmental Inspection Report環境監測報告Receipt of payment of Emission Charges (statement on any delay in paying Emission Charges)排污費繳納憑證(以及是否存在排污費未按時繳納的情況說明)Registration documents on air po

60、llution, noise pollution and industrial solid waste (if any)大氣污染、噪聲污染、工業固體廢物申報登記文件（如有）Various testing reports, opinions and inspection and acceptance documents in respect of completed environmental protection facilities對各種已完工環保設施的測試報告、意見和驗收文件Any other government or court report, order, injunction, o