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九牧王股份有限公司关于全资子公司认购私募基金份额的公告

  证券代码:601566              证券简称:九牧王              公告编号:临2019-024

  债券代码:136729              债券简称:16九牧01

  本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或者重大遗漏,并对其内容的真实性、准确性和完整性承担个别及连带责任。

  重要内容提示:

  投资标的:观富绅仕1号私募证券投资基金

  投资金额:人民币1亿元

  风险提示:基金在运营过程中存在风险,包括但不限于市场风险、管理风险、流动性风险、信用风险、预期投资收益不能实现风险、操作或技术风险及其他风险。

  一、对外投资概述

  九牧王股份有限公司(以下简称“公司”)全资子公司西藏工布江达县九盛投资有限责任公司(以下简称“九盛投资”)于2019年5月20日与观富(北京)资产管理有限公司(以下简称“观富资产”或“管理人”)、兴业证券                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   股份有限公司(以下简称“托管人”)签署了《观富绅仕1号私募证券投资基金私募基金合同》,认购观富绅仕1号私募证券投资基金(以下简称“本基金”)人民币1亿元。

  本基金主要投资于国内依法发行上市的股票、新股申购、交易所债券、银行间债券、公开募集的证券投资基金、债券逆回购、LOF申赎、金融期货、场内期权、港股通、以证券公司或期货公司或期货公司专门风险管理子公司为交易对手的收益互换或场外期权、货币市场基金、现金、银行存款(包括银行活期存款、银行定期存款和银行协议存款等各类存款)、同业存单、现金管理类理财产品(包括商业银行理财产品、证券公司及证券公司资产管理子公司发行的集合现金理财产品)、场内资产支持证券、资产支持票据、证券公司收益凭证等。本基金禁止投资公司股票(股票代码:601566)或者挂钩公司股票的任何金融工具。

  根据九盛投资《公司章程》,本次对外投资事项无需提交公司董事会及股东大会审议。

  本次对外投资不构成关联交易,不构成《上市公司重大资产重组管理办法》规定的重大资产重组。

  二、交易对方的基本情况

  (一)基金管理人

  基金管理人名称:观富(北京)资产管理有限公司

  成立日期:2015年5月12日

  注册地址:北京市石景山区实兴大街30号院3号楼2层D-0574房间

  经营范围:投资管理;资产管理。(“1、未经有关部门批准,不得以公开方式募集资金;2、不得公开开展证券类产品和金融衍生品交易活动;3、不得发放贷款;4、不得对所投资企业以外的其他企业提供担保;5、不得向投资者承诺投资本金不受损失或者承诺最低收益”;企业依法自主选择经营项目,开展经营活动;依法须经批准的项目,经相关部门批准后依批准的内容开展经营活动;不得从事本市产业政策禁止和限制类项目的经营活动。)

  观富资产主要投资于二级市场,覆盖大中华资产、中概股、港股。其主要管理人员包括詹凌蔚、万定山和王笑。观富资产已在中国基金业协议登记为私募基金管理人,管理人登记编码为P1014377。

  截至2018年12月31日,观富资产总资产1,777.39万元,净资产1,408.13万元,营业收入4,894.69万元,净利润-10.95万元(以上财务数据经审计)。

  观富资产与公司不存在关联关系,不直接或间接持有公司股份,不存在与上市公司之间的相关利益安排。

  (二)基金托管人

  基金托管人名称:兴业证券股份有限公司

  成立日期:2000年5月19日

  注册地址:福建省福州市湖东路268号

  经营范围:证券经纪;证券投资咨询;与证券交易、证券投资活动有关的财务顾问;证券承销与保荐;证券自营;融资融券;证券投资基金代销;代销金融产品;证券投资基金托管业务。为期货公司提供中间介绍业务;互联网信息服务不含新闻、出版、教育、医疗保健、药品和医疗器械等内容及电子公告服务。(依法须经批准的项目,经相关部门批准后方可开展经营活动)

  托管人已获得证监会核准的证券投资基金托管资格。

  三、本基金的基本情况

  (一)本基金的基本情况

  1、基金名称:观富绅仕1号私募证券投资基金

  2、基金的运作方式:封闭式

  3、基金的产品类别:混合类

  4、基金的投资目标:本基金将在严格控制投资风险的前提下,力争为基金投资者创造稳健的收益和回报。

  5、基金的投资范围:

  本基金主要投资于国内依法发行上市的股票、新股申购、交易所债券、银行间债券、公开募集的证券投资基金、债券逆回购、LOF申赎、金融期货、场内期权、港股通、以证券公司或期货公司或期货公司专门风险管理子公司为交易对手的收益互换或场外期权、货币市场基金、现金、银行存款(包括银行活期存款、银行定期存款和银行协议存款等各类存款)、同业存单、现金管理类理财产品(包括商业银行理财产品、证券公司及证券公司资产管理子公司发行的集合现金理财产品)、场内资产支持证券、资产支持票据、证券公司收益凭证等。

  本基金禁止投资公司股票(股票代码:601566)或者挂钩公司股票的任何金融工具。

  6、基金的存续期限:本基金预计存续期限为自本基金成立起15年结束并清算完毕为止。本基金存续期间,管理人有权提前3个工作日以邮件、电话或书面通知中任何一种形式告知全部持有人及托管人后,提前终止本基金。

  7、基金份额的初始募集面值:本基金份额的面值为1.000元/份。

  8、基金的投资经理:本基金的投资经理为詹凌蔚、张昊。

  (二)本基金的募集

  1、基金的募集期限:本基金的初始销售期间自基金份额发售之日起最长不超过2个月。基金管理人有权根据本基金销售的实际情况按照相关程序延长或缩短初始销售期。

  2、基金的募集方式:非公开方式

  3、基金的募集对象:合格投资者

  4、基金的认购:认购资金应以现金形式交付,按照面值认购。投资者在初始销售期间的首次认购金额(不含认购费)不得低于100万元人民币,并可多次追加认购,每次追加认购金额(不含认购费)不少于1万元人民币。

  5、本基金份额的认购费率为0。

  (三)基金的备案

  管理人应在募集完毕后20个工作日内,向中国基金业协会办理基金备案手续。本基金在中国基金业协会完成备案后方可进行投资运作。

  (四)基金的申购、赎回与转让

  1、申购与赎回的时间

  本基金不设置固定开放日,投资者参与的每笔基金份额需持有满3个月(90个自然日)后方可在开放日进行赎回。

  2、申购与赎回的费用

  本基金的申购费率和赎回费率均为0。

  3、基金的转让

  基金份额持有人可以通过适用法律、法规或业务规则允许的方式办理基金份额转让,并应遵守业务办理机构和交易场所的各项规定。

  (五)基金的管理模式

  1、基金份额持有人大会

  基金份额持有人大会由基金份额持有人组成,当出现或需要决定下列事由之一的,应当召开基金份额持有人大会:

  (1)决定修改基金合同的重要内容;

  (2)决定更换基金管理人、基金托管人;

  (3)决定调高基金管理人、基金托管人的报酬标准;

  (4)私募基金管理人被基金业协会公告失联超过20个工作日;

  (5)基金合同约定的其他情形。

  2、以下事项可由基金管理人自行决定,不需召开基金份额持有人大会:

  (1)投资经理的变更;

  (2)基金份额认购的原则、时间、业务规则等设置;

  (3)本合同规定可由基金管理人自行决定的其他事项;

  (4)法律法规、监管部门规定可以由基金管理人自行决定的事项。

  3、以下事项可由基金管理人和基金托管人协商后作出决定,不需召开基金份额持有人大会:

  (1)调低基金管理人的费用报酬标准;

  (2)因相应的法律法规或监管机构、自律组织对本合同内容与格式要求发生变动而应当对基金合同进行变更;

  (3)对本合同的修改对基金份额持有人利益无实质性不利影响或修改不涉及本合同当事人权利义务关系发生变化;

  (4)法律法规、监管部门规定可由基金管理人和基金托管人协商决定的其他事项。

  4、除上述1-3项规定的事项之外,基金管理人有权决定是否召开基金份额持有人大会审议。

  (六)基金的投资策略

  1、灵活的资产配置策略:在资产配置中,通过以宏观经济及其政策分析为核心的情景分析法来确定组合中股票、债券和现金类资产等的投资范围和比例,并结合对市场估值、资金、投资主体行为和市场信心影响等因素的综合判断进行灵活调整;

  2、股票投资策略:采取自上而下和自下而上相结合的方法,自上而下解决投资所处的中周期、短周期部位;自下而上的核心是寻找优秀企业,包括辨析跟踪核心竞争优势、公司治理、管理团队、企业战略、执行力及企业文化,行业竞争格局及外部颠覆可能性,盈利模式选择的稳定性可持续性。同时将风险管理意识贯穿于投资过程中,对投资标的进行持续严格的跟踪和评估。

  3、风险应对策略:当面临市场风险时,会使用择时对冲策略,在市场面临下跌时机选择卖出期指期货合约或购买期权进行套期保值,当股市好转后,再平仓或卖出期权。

  (七)基金的费用及业绩报酬

  本基金的管理费按基金财产净值的0.80%年费率计提,托管费按基金财产净值0.1%年费率计提,外包服务费按基金财产净值的0.1%年费率计提。

  本基金在符合业绩报酬计提条件时,在基金份额持有人赎回日、本基金终止日和分红日采用“年化收益率”法计提业绩报酬。实际发生业绩报酬计提的基准日为业绩报酬计提日。

  (八)基金的收益分配

  本私募基金的收益分配采用两种分配方式:现金红利或红利再投资,本基金默认的收益分配方式是现金红利方式。

  基金收益分配方案由基金管理人与基金份额持有人共同协商拟定,并由基金托管人复核后确定,基金管理人按法律法规的规定向中国证券投资基金业协会备案并告知基金份额持有人。

  (九)基金的清算

  自本合同终止之日起30个工作日内成立清算小组。清算小组成员由基金管理人、基金托管人等相关人员组成。清算小组可以聘用必要的工作人员。

  依据基金财产清算的分配方案,将基金财产清算后的全部剩余资产扣除基金财产清算费用后,按私募基金的份额持有人持有的份额比例进行分配;私募基金合同另有约定的除外。

  四、对外投资对上市公司的影响

  本次投资旨在获取财务投资收益,公司在保证日常经营所需资金的前提下,使用自有资金进行财务投资,有利于提高资金的使用效率,且不会影响公司日常生产经营活动。

  五、对外投资的风险分析

  (一)预期投资收益不能实现的风险:因证券市场价格易受各种因素的影响而引起波动,将使基金资产面临潜在的市场风险;基金在运营过程中存在运营风险,不能保证基金财产中的认购资金本金不受损失,也不保证一定盈利及最低收益;在实际操作过程中,基金管理人可能受限于知识、技术、经验等因素而影响其对相关信息、经济形势和证券价格走势的判断。

  (二)可能面临其他风险如流动性风险、信用风险、政策风险、法律风险、技术风险和操作风险等其他风险。

  公司将采取如下风险控制措施:公司将不断加强内部控制和风险防范,对认购基金产品的情况进行持续跟踪、分析,及时了解产品投资方向及运营情况,加强监督,并提前做好资金管理安排,确保公司投资资金的安全性和收益性。

  敬请广大投资者理性投资,注意风险。

  特此公告。

  九牧王股份有限公司

  董事会

  二○一九年五月二十日

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