REITs项目,尽职调查清单及安排

1、Project CloudPreliminary Legal Due Diligence Document Request List初步法律尽职调查文件清单Please provide the following documents and information with respect to 崇贤港物流, 崇贤港投资, 北港物流, 富洲电商 and 富卓实业(the “Company) and each of its subsidiaries, affiliates, variable interest entities and branches. 请提供以下有关崇贤港物流, 崇贤港投资,

2、 北港物流, 富洲电商和富卓实业“公司及其每个子公司、关联公司、协议控制实体和分公司的文件和信息。We recognize that some of the requested documents and information (i) may not be pertinent to the Company; or (ii) may not exist at all. Thus, we ask that you mark the appropriate box (“Provided Herewith, “To Be Provided or “Not Applicable) next to ea

3、ch item on the Preliminary Due Diligence Request List and return the list with any documentation you provide to us. To facilitate review, it would be helpful for all copies of the requested materials to be identified by the corresponding number item in the list below. If a document is called for in

4、more than one of the listed items, please produce only one copy of the document and cross reference all of the applicable items on this Preliminary Due Diligence Request List. Please note that this list is a preliminary request only. During the course of our due diligence review, we may need to revi

5、ew other materials not described herein. In addition, the Company will be expected, during the course of preparing for the proposed transaction, to bring to our attention and the attention of the relevant parties and their counsel any other information or documents that might be deemed to be materia

6、l by a prospective investor, either individually or viewed collectively with other documents or information. If any request is difficult to understand, please discuss it with us.我们理解，某些要求的文件和信息i可能与公司无关，或ii可能根本不存在。因此，我们请求公司在初步法律尽职调查文件清单的每一项的右边一栏的相应方框中注明“在此提供、“待提供或“不适用，并将该清单与其它提供的文件一起交给我们。为了便于查阅，最好所有要

7、求的文件都以以下清单中相应的栏目的号码编号后提供。如果清单中有多项要求同一个文件，就只需提供一个文本，并在本法律尽职调查文件清单的所有相关项中注明索引。请注意本清单只是初步清单。在进行尽职调查的过程中，我们可能还将要求审查其它未包括在本清单中的材料。另外，请公司在准备交易的过程中把任何对潜在的投资者有重大意义或被认为有重大意义的信息和文件提交给我们以及相关各方和他们的律师，不管这些信息和文件本身重要，还是与其它文件或信息一起具有重大意义。如果有难以理解的要求，请与我们商讨。Unless otherwise specified and except in Sections 1 and 2, re

8、ference to the Company in the List shall mean the Company and each of its subsidiaries, affiliates, and entities directly or indirectly controlled by the Company through contractual arrangements. For the period before the Companys incorporation, reference to the Company shall mean the Companys prede

9、cessor.除非在第一和第二局部另有明确规定，清单中提到公司的地方指公司及其每个子公司、关联公司、以及公司通过协议安排直接或间接控制的实体。在公司成立以前的期间，清单中提到公司的地方指公司的前身。Preliminary Due Diligence Document Request List初步法律尽职调查文件清单No.编号Description描述Provided Herewith在此提供To Be Provided待提供Already Provided已经提供NotApplicable不适用1. Organization Documents/组织文件Copy of the Companys

10、 entire minute book, including minutes of all meetings, and all written consents, of (a)the Companys Board of Directors, (b)any committee of the Board of Directors and (c)the shareholders, each for the last five years.最近五年内公司的会议记录，包括董事会、董事会下属各委员会以及股东会议的所有会议记录和书面同意法务Memorandum and Articles of Associa

11、tion or any other constitutional documents of the Company as originally filed and all amendments thereto.公司最初的组织大纲或其他组织性文件及其所有修订法务Resolutions of the Board of Directors authorizing creation and issuance of securities to be issued and sold in the proposed transaction.授权创设并发行本次拟议交易中拟发行及出售证券的董事会决议Share

12、ledger and copies of share certificates issued by the Company; Register of transfer (if applicable).股票分类总帐和公司签发的股权证明的复印件；股票转让登记表如适用Samples of any certificates representing securities.证券权证的样本A list of each jurisdiction in which the Company does business (e.g. provides services, makes sales, operates

13、a sales office or where its employees reside) and a brief summary of the Companys activities in each jurisdiction, including revenue generated and tax concessions received in each jurisdiction.列出公司开展业务如提供效劳、进行销售、设立销售处、员工住所所在的所有行政管辖地区，并对公司在每一地区内的活动加以简要的描述，包括在每一地区产生的收入和享受的税务优惠财务All voting agreements w

14、ith respect to shares of the Company in the last five years.最近五年内与公司股票有关的表决协议A list of each jurisdiction in which the Company is authorized or qualified to do business as a foreign corporation and a current good standing certificate from each such jurisdiction.列出公司经授权或有资格作为外国公司开展业务如销售产品、设立销售处、员工住所的所

15、有地区，以及该地区颁发的当前有效的合法续存证明A list and organizational chart of any subsidiaries, branches, representative offices, affiliates, variable interest entities, parent, or predecessor entity of the Company, specifying corporate name, jurisdiction of incorporation, relationship to the Company, its shareholders

16、or partners and their equity interests, the board representation by the Company, its management, the number of employees thereunder, its business, the location in the corporate structure of major assets and liabilities, the percentage ownership of voting securities and the revenue generated by each

17、subsidiary (also indicating if any Company is dormant or in a dissolution/liquidation process), and all relevant information and documents, including Business License, Organization Code Certificate and Tax Registration Certificates (for both national tax and local tax).关于公司的子公司、分支机构、代表处、关联公司、协议控制实体、

18、母公司或前身的列表及结构图，请注明名称、组建地区、与公司关系、股东和合伙人以及他们的股权、公司董事会的代表性、公司管理、管理层员工数量、公司业务、公司主要资产和负债在公司结构中的位置、有表决权的证券的持股比例、每个子公司所产生的收入，并注明公司是否停止营业或处于解散/清算程序；并提供所有相关信息和文件，包括营业执照、组织机构代码证和税务登记证包含国税和地税等。财务Any shareholders agreements relating to the Company or any subsidiary, affiliate or variable interest entity of the C

19、ompany.有关公司、公司的子公司、关联公司或协议控制实体的任何股东协议A list of the Company shareholding interests or other investments in equity of other companies, partnerships or entities.列出公司在其他公司、合伙或实体中的股东权益或其他投资财务、法务Any agreements with investment bankers, finders and brokers with respect to any equity investment in the Compan

20、y or its predecessor or any business combination involving the Company or its predecessor. 与投资银行、中介机构和经纪签订的有关向公司或其前身投资的协议以及任何涉及公司或其前身业务合并的协议 All other documents relating to any equity investment in the Company or its predecessor or any business combination involving the Company or its predecessor, i

21、ncluding subscription agreements, private placement memoranda or other offering materials, reports and analyses.其它有关向公司或其前身投资的协议以及任何涉及公司或其前身业务联营的协议，包括认购协议、私募备忘录和其它有关发行股票的资料、报告和分析All materials sent to shareholders, including annual, quarterly and interim reports. 向股东提供的所有资料，包括年度、季度和中期报告 财务All documen

22、ts used or received by the Company for the purposes of determining whether directors are independent or qualify as “financial experts for Audit Committee purposes.公司为了确定董事是否具有独立性、是否符合审计委员会成员的“财务专家要求所使用和收到的所有文件财务All insider trading policies and all written materials describing or summarizing the proc

23、edures implemented to ensure compliance with reporting obligations for insider transactions, as well as a description of the Companys policy, if any, regarding securities trading black-out periods and a list of the actual black-out periods.所有有关内幕人交易的政策，描述和概括为确保遵守内幕人交易申报义务而采纳的程序的所有书面材料，对有关禁止交易期的公司政策的

24、描述如有，以及实际的禁止交易期清单Any Company policy on document retention.公司有关文件保存的政策行政Copies of all corporate governance guidelines and codes of business conduct and ethics, including guidelines on sales practices, of the Company or any subsidiary.公司或任何子公司的所有公司治理准那么、业务守那么、道德标准包括销售业务准那么行政、业务、法务Information on compos

25、ition of the board of directors, board of supervisors and their affiliated commissions, including the name, term of office and appointing party of each member; and a list of every person generally authorised by the Company to represent or bind the Company concerned有关董事会、监事会及其下属各委员会的构成的信息，包括每个成员的姓名、任

26、期和指派方；并列出被一般授权代表公司的人员名单人事、法务A list of all powers of attorney or other authorisations given by the Company for specific purposes with copies of the documents granting the power or authorisation.列出公司为特定目的而签发的所有授权委托书及相关授权文件行政、法务Details of the overall management structure of the Company.公司的整体管理架构人事Copie

27、s of all contracts between the Company and:(a) any person listed in paragraph 1.20; or(b) any connected person of any such person (including its shareholders, directors and shadow directors or any associates, affiliates or relatives of such shareholders, directors or shadow directors).公司与如下主体签订的合同的复

28、印件或扫描件：第1.20项中的任何人员；任何关联人员包括公司的股东、董事、隐名董事或任何关联公司、附属公司，或公司股东、董事和隐名董事的亲属等人事Please confirm if there is any Chinese citizen who is a shareholder of the Company or actually controls the Company. If any, please also provide the valid identity certificates of such individuals.说明公司的任何股东或实际控制人是否中国公民。如是，请提供上述

29、人员的有效身份证明人事Please describe the company share structure history, including share transfers, share redemption and share subscription. For each such share transactions please provide transaction agreements and other related documentation and governmental approvals, permits for such transactions (if app

30、licable) and relevant corporate registration documents请对公司股权结构的历史变动，包括股权转让、股权回购以及股权认购等变动进行描述。针对每一个此种股权交易，请提供交易合同以及针对此项交易的其它相关文件和政府批复、批准如有及相关的公司登记文件法务Approval from the industry authority regarding the incorporation of each Company (if applicable), project application and the approval for projects iss

31、ued by relevant governmental authority (including development and reform commissions) (if applicable), feasibility report of the project and approval of such feasibility report by relevant governmental authority (if applicable)行业主管部门对设立公司的批复(如适用)、工程建议书及有关政府部门包括开展改革部门对工程建议书的批复(如适用)、可行性研究报告及有关政府部门对可行性

32、研究报告的批复如适用行政、法务Approval from the foreign economics and trade department regarding the incorporation of the Company and material changes of the Company, such as the change of registered capital and the scope of business (if applicable).外经贸部门对设立公司和公司注册资本、经营范围变更等主要变更事项的批复(如适用)Joint venture or cooperati

33、on agreements (including the subsequent amendments and supplements), articles of incorporation (including the subsequent amendments and supplements), resolutions of the board of directors and shareholders meeting of the Company regarding the amendments to the articles of incorporation and approval f

34、rom the authorities regarding such joint venture agreements, cooperation agreements and articles of incorporation.合资或合作合同(包括其历次修改和补充)、公司章程(包括其历次修改和补充)、公司董事会及/或股东会关于公司章程修改的决议及审批机关对该等合资或合作合同和公司章程的批复Approval certificates of foreign investment enterprise as of the incorporation and the subsequent amendm

35、ents (if any).设立时及历次变更如有的外商投资企业批准证书Business license, certificate of incorporation or any other corporate certificate of the Company (including without limitation the license or certificate received upon the incorporation of the Company, upon each of the subsequent changes and the latest annual inspe

36、ction, if applicable).公司的营业执照、成立证明或其它的公司证明文件(包括但不限于公司设立时领取的、历次变更的及经过最新年检的执照或证明，如适用)行政、法务Each capital verification report and asset assessment document of the Company.公司历次的验资报告和资产评估文件财务If the Company has received non-cash capital injection from departments in charge of state-owned assets, please prov

37、ide the asset assessment reports, approval from the state-owned asset management department regarding the transaction, confirmation approval regarding the assessment results or approval or filing documents from the state-owned asset management department regarding the assessment results, and the tit

38、le registration certificates of state-owned assets of the Company (if any).如果公司曾接受过国有资产占有单位的非现金出资，请提供该次出资的资产评估报告、国有资产管理部门的立项批复、对评估结果确实认批复或国有资产管理部门对评估结果的核准或备案文件，以及公司的国有资产产权登记证(如有)All documents relating to transfer of any equity interest in the Company (including draft documents received or prepared b

39、y the Company for any proposed transaction), including but not limited to shareholding transfer agreements in connection with each of the shareholding transfer among shareholders of the Company, board and shareholders meeting resolutions approving the change in the Companys shareholding structure an

40、d commitment/confirmation letters from other shareholders regarding the giving up of pre-emptive rights (if any), as well as approval, approval certificates of foreign investment enterprise and industrial and commercial registration filing documents regarding such shareholding transfer.关于转让公司股权的所有文件

41、包括公司就任何拟定的交易收到或准备的文件，包括但不限于公司股东历次转让公司股权的股权转让协议、同意公司股权变动的董事会决议/股东会决议以及其他股东放弃优先购置权的承诺/确认函如有，以及有关该等股权转让的批复、外商投资企业批准证书和工商登记备案文件法务Industrial and commercial registration or filing documents in connection with establishment and changes in the Companys name, registered capital, address, scope of business, l

42、egal representative and shareholders; shareholder registry and capital contribution certificate (if applicable)公司设立及变更名称、注册资本、住址、经营范围、法定代表人、股东的工商登记或备案文件；以及公司的股东名册及出资证明书(如适用)法务Operation certificates of the Companys branches and governmental approval or filing documents regarding the establishment of

43、braches.公司分支机构的营业执照及设立分支机构的政府批准或备案文件法务Latest certificates (for foreign investors, please provide effective registration documents issued by local corporation registration department or institutions), articles of incorporation or identity documents (for natural person shareholders) of each of the inv

44、estors in the Company公司各投资者的最新营业执照(如为境外投资者，请提供当地公司登记部门或机构有效的登记证明文件)、章程或身份证明文件(就自然人股东而言)法务Letters of intent, memoranda, contracts or agreements among shareholders of the Company regarding the Company or the Companys operation in addition to joint venture or cooperation agreements; if the Company has

45、outside shareholders, please describe whether such outside shareholders have pre-emptive rights or other restricting rights in connection with changes in the shareholders.除合资或合作合同和公司章程以外，公司股东之间签订的与公司或公司的经营有关的意向书、备忘录、合同或协议； 如公司存在外部股东，请说明外部股东是否对于股东变更具有优先购置权等限制权利法务All registration and certification doc

46、uments at relevant governmental authorities, including without limitation, tax registration, foreign exchange registration, customs registration (if any), fiscal registration, organization code, account opening permit for RMB basic account and statistics registration certificates and others.公司在政府有关主

47、管部门的所有登记和证明文件，包括但不限于税务登记、外汇登记、海关登记(如有)、财政登记证、组织机构代码证书、人民币根本户开户许可证、统计登记证等财务、法务Permit to create company seal/chop issued by the Public Security Authorities for each seal or chop and internal rules regulating the use and management of the seals and chops.公安部门颁发的企业印章刻制许可及公司内部印章使用管理制度法务Quality certificat

48、ion documents, management, quality and environment system verification certificate, the Certificate of High and New Technology Enterprise, certificate and approval for enterprise particularly supported by state, other certificates/approval of governmental certification, subsidies or supports or othe

49、r certificates and awards in connection with the Companys business.资质证明文件、管理、质量和环境体系认证证书、高新技术企业证书、国家重点扶持企业证书/批复、其他政府认定、资助或扶持工程的证书/批复或其他与公司业务相关的证书及奖项行政Details in relation to the Company of any steps take in any jurisdiction in respect of:(a) any composition, scheme of arrangement, compromise or other

50、 arrangement with creditors;(b) the appointment of a judicial manager, receiver or other enforcement of security over any property; or(c) any administration, winding-up or bankruptcy.公司在任何司法管辖区内在破产清算方面采取的如下措施：与债权人之间的任何债务归还安排、和解协议和或其他安排；对破产管理人或财产接管人的任命，以及对任何担保资产的执行；管理程序、清算或破产Details of the commenceme

51、nt of any other insolvency or liquidation process or proceedings in respect of the Company.公司启动其他破产清算程序方面的详细信息2. Shareholders and Securities Arrangement /股东及证券安排Capitalization table or similar records that list all issued and outstanding securities of the Company, with date of issuance and price inf

52、ormation.资本结构表和其它列明公司所有已经发行在外的证券的类似纪录，注明发行日期和价格 财务A list of all shareholders, warrant holders and option holders, specifying name, address, number of shares, classes of shares, price paid, date of purchase/grant, name of seller (if other than the Company), exercise price, expiration date and which o

53、ptions/warrants are currently outstanding.股东、认购证持有人和期权持有人的名单，列出姓名、地址、持股数量、股份类别、已付价格、购置/授予日期、卖方如不是公司的名称、行权价、到期日，并说明哪些期权/认购证当前尚未行权2.3A list of all holders of other rights to acquire equity securities of the Company, specifying name, address, date of issuance, description of rights, exercise or convers

54、ion price, and any other relevant terms.取得公司证券的其它权利的持有人名单，说明姓名、地址、发行日期、权利性质、行权或转换的价格、以及其它相关条件Any shareholders agreements, buy-sell agreements, voting trust agreements or other restrictive agreements relating to the sale, transfer or voting of shares of equity.所有股东协议、买卖协议、表决权信托协议或其它有关股权买卖转让或表决权限制的协议法

55、务Any agreements and other documentation relating to preemptive rights, repurchases, redemptions, exchanges, conversions or similar transactions involving the securities of the Company.任何涉及公司证券的优先认股权、回购、赎回、交换、转换或类似交易的协议和其它文件All securities offering documents of the Company in the last five years, incl

56、uding private placement memoranda, prospectuses, offering circulars, registration statements, share purchase or subscription agreements and any written proposals and written summary of any oral proposals for the acquisition of the Companys securities. 最近五年内公司的所有证券发行文件，包括私募备忘录、招股说明书、发行公告、登记声明、购股或认股协议

57、和任何购置公司股票的书面建议或口头建议的书面摘要 2.7Any agreements that may restrict the ability of the Company to (a)issue or redeem its own securities, (b)assume additional indebtedness, or (c)sell, lease or transfer (by dividend or otherwise) any of the assets or capital share of the Company.任何可能限制a公司发行或赎回其股票，b承当其它债务，c出

58、售、出租或转让以派发红利或其它方式其资产或股票的协议2.8All agreements, instruments or other documents under which any person has any rights concerning issued or unissued securities, including without limitation, rights of purchase or sale, preemptive rights or rights of first refusal, registration rights, options, warrants o

59、r convertible securities. 使任何人享有任何对已经发行或尚未发行的证券的权利的任何协议、契据或其它文件，包括但不限于买卖权、优先认股权、优先购置权、登记权、期权、认购证或可转换证券 2.9Any agreements and other documentation relating to repurchases, redemptions, exchanges, conversions or similar transactions with respect to the Companys securities.任何涉及公司证券的回购、赎回、交换、转换或类似交易的协议和其

60、它文件2.10All material communications to shareholders in the last five years.最近五年内公司与股东的所有重要通信往来1Written summary of all verbal arrangements between the Company and its shareholders.公司与其股东间口头协议的书面概述2List of any stop transfer orders/legends. 列出任何转让终止命令或相关股票标识 3List of any governmental approvals or author