尽职调查清单(中英文)---文顾律所鲁宏

Documentation Request List for Legal Due Diligence
尽职调查文件清单
Instructions指引
This Documents Request List (the “Request”) has been prepared for the purpose of conducting legal due diligence on [X] (the “Company”).
Subsidiaries of the Company with an independent legal person status are not included in the Request. If necessary, a separate request for the subsidiary may be provided. Branches, departments, offices and other entities of the Company without an independent legal person status are included in the Request.
Documents asked for implies copies of such documents, unless otherwise specified. For each item below, it should be assumed that all documents that satisfy the criteria stated are requested, even though “all” may not be explicitly stated.
For each item below, if all relevant documents have been provided, please check the box to the right to indicate that the item of request has been satisfied.
If information or materials asked for is: (i) not applicable to the Company, (ii) applicable, but not expected to be available, or (iii) will be provided at a later date, please provide a separate response or explanation as appropriate.
If, prior to the closing of the transaction, any event occurs or you obtain any additional facts that have a material effect on the information provided in 本尽职调查文件清单（“清单”）是为对【X】（“公司”）进行法律尽职调查而准备。

公司具有独立法人资格的子公司的相关文件并不在本清单之列。

如有必要，我们将为子公司准备单独的尽职调查文件清单。

对公司不具有独立法人资格的分支机构应提供文件的相关要求已包含于本清单中。

除非另有说明，本清单中所要求文件均为复印件。

对以下每一项，尽管并非每一项都明确标明提供“所有”文件，但应假设所有满足本清单中所设定标准的文件均应提供。

对于以下每一项，如果所有相关文件均已提供，请在右侧方框中打勾表明该项文件已提供完毕。

如果所要求提供的信息或资料（i）并不适用于公司，（ii）适用于公司，但在本次调查中不可提供，或（iii）需要稍晚提供，请向我们提供一份单独的回复或做必要说明。

如果在交易结束前，发生了任何事件或您获得任何额外的信息，且该等事件
response to the Request, please inform us immediately.
“Official documents” refers to approvals, certificates, licenses, contracts, formal applications, etc.
A government authority includes its local or subordinate organs.
“Recent” or “recent years” means the past [X] years, unless otherwise specified.
“Material amount” refers to [¥X].
“Affiliate” refers to:
1)The parent company of the Company;
2)The subsidiaries of the Company;
3)Other companies under the control of a same parent company of the
Company;
4)The investors having joint control over the Company;
5)The investors having significant influence on the Company;
6)The joint ventures of the Company;
7)The associated companies of the Company;
8)The principal individual investors and the close family members of such
individuals. “Principal individual investors” refers to an individual investor who can control or jointly control a company, or has significant influence on
a company; 或信息会对您根据本清单回复的文件信息产生影响，请立即通知我们。

“官方文件”指批准、证书、许可、合同、正式申请等。

政府部门包括其地方派出机构或下属机构。

“最近”或“近年”指过去【X】年，除非另有说明。

“重大数额”指【￥X】。

“关联方”指：
（一）公司的母公司。

（二）公司的子公司。

（三）与公司受同一母公司控制的其他企业。

（四）对公司实施共同控制的投资方。

（五）对公司施加重大影响的投资方。

（六）公司的合营企业。

（七）公司的联营企业。

（八）公司的主要投资者个人及与其关系密切的家庭成员。

主要投资者个人，是指能够控制、共同控制一个企业或者对一个企业施加重大影响的个人投资者。

（九）公司或其母公司的关键管理人员及与其关系密切的家庭成员。

关键管理人员，是指有权力并负责计划、指挥和控制企业活动的人员。

与主要投资者个人或关键管理人员关系密切的家庭成员，是指在处理与企业的交易时可能影响该个人或受该个人影响的家庭成员。

9)The key managers of the Company or of its parent company and their close
family members. “Key managers” refer to the managers who have the authority and responsibility for planning, directing and controlling the activities of the Company. The close family members of a principal individual investor or of a key manager refer to the family members who may influence, or be influenced by, that individual in dealing with transactions with the Company.
10)Other companies which are controlled or jointly controlled by the principal
individual investors, or key managers, or the close family members of such individuals, or on which the principal individual investors, or key managers, or the close family members of such individuals have significant influence . （十）该企业主要投资者个人、关键管理人员或与其关系密切的家庭成员控制、共同控制或施加重大影响的其他企业。

PLEASE PROVIDE THE FOLLOWING:
请提供下列文件
1Basic Information 1基本信息Provided/已提供
1.1Current business license, showing latest annual inspection 1.1最新的营业执照（正副本），显示最近一次的年检记录信息□
1.2If the Company is part of a group, the shareholding structure of
such group in a chart showing all important relationships and connections between the group companies (including holding of shares in trust), as well as each company’s country of incorporation 1.2如果公司为集团的一部分，集团的股权结构图，说明集团组
成公司之间的重要关系（包括信托持股关系），以及每个公
司的成立地
□
1.3Internal organization chart and other information showing
departments and authority of officers 1.3内部组织结构图以及其他信息，说明公司内部部门组成以及
部门主管的权力和职责
□
1.4 A list of cities and countries where the Company’s assets
(tangible and intangible) and employees are located
1.4公司资产（有形和无形）以及员工所在城市和国家列表□1.5List of current directors, supervisors and senior officers of the 1.5公司目前的董事、监事以及高级管理人员名单以及其任命函□
Company and their letters of appointment
1.6Authorizations given by the board or by directors to
specially-appointed agents to deal with some particular matter 1.6董事会或董事授权特别指定代理人处理某项特殊事务的授
权书
□
1.7Reports recently prepared by the Company regarding business
and important matters facing the Company
1.7公司最近有关业务及重要事项的报告□
2Historical Changes 2历史变更Provided/已提供
2.1Prior to the establishment of the Company: 2.1公司成立以前：□
(1)resolutions & minutes of meeting of promoters (1)发起人会议的决议和会议记录□
(2)agreements entered into by the promoters (2)发起人之间达成的协议□
2.2At the Company’s establishment or during major change to the 2.2公司成立期间或公司进行重大变更期间：□
Company:
(1)feasibility study reports, project proposals and other applications
submitted to government authorities for the purpose of approving the intended business activities of the Company (1)为取得公司拟开办业务有关批准而提交予政府部门的可行
性研究报告、项目建议书或其他申请文件
□
(2)official documents from or to government authorities relating to
the above, including if applicable approvals from government regulators for certain industries or classes of companies (such as approval from MIIT for telecommunications companies, or for a project encouraged by the state, a certificate to that effect) (2)与上述有关的政府部门复函或给政府部门的函件，包括相
关行业主管部门或相应级别的主管部门的批准（如工业和
信息化部对电讯公司的批准，或国家对鼓励项目的批准等
等）
□
(3)SASAC approval if state-owned assets are involved (3)如涉及国有资产，国有资产监督管理部门的批准文件□
2.3Since the establishment of the Company until the present 2.3公司自成立至今□
(1)business licenses, including any amendments and showing all
annual inspection passed
(1)营业执照，包括变更的营业执照和所有年检纪录□
(2)amendments to information registered with AIC (2)工商局的变更登记证明□
(3)AOA, including any amendments (3)章程，包括所有章程修正案□
(4)JV contracts (if applicable), including any amendments (4)合资合同（如适用），包括任何合资合同的修订或补充□
(5)capital verification reports; asset appraisal reports for in-kind
contributions
(5)验资报告；以非现金出资的资产评估报告□
(6)MOFCOM approvals for FIE establishment, including any
amendments and showing all annual inspection passed (6)商务部门批准外商投资企业成立的批准，包括任何变更或
年检记录
□
(7)organizational code certificates, including any amendments and (7)组织机构代码证，包括任何变更和年检记录□
showing all annual inspection passed
2.4For all changes to the AIC registered information (such as
amendment of AOA, amendment of JV contracts, increase of capital, change of directors, change of business scope, acquisition, merger, divestiture, restructuring, etc.) 2.4工商变更登记信息（如章程修改、合资合同修改，增资，
变更董事、经营范围变更、收购、吸收、合并、分立、重
组等等）
□
(1)shareholder and board resolutions of the Company (1)公司股东会及董事会决议□
(2)contracts relating to such change or transaction (2)该等变更或交易的相关合同□
(3)shareholder and board resolutions of other parties to such
transaction
(3)交易相对方的股东会决议和董事会决议□
3Shareholders 3股东Provided/已提供
3.1General information regarding the shareholders (including
whether any are state-owned enterprises or FIE) and historical 3.1股东的基本信息（包括是否国有企业或中外投资企业）以
及股东之间的关系
□
dealings / interactions among them
3.2Business license or personal identification card of shareholders 3.2营业执照或个人身份证明□
3.3Any agreements among some or all shareholders regarding the
Company
3.3部分或全部股东关于公司的任何合同、协议□
4Financing 4融资Provided/已提供
4.1SAFE official documents, such as foreign exchange registration
certificate, foreign debt registration certificate and foreign debt repayment approvals, including any amendments and showing 4.1外汇管理部门文件，如外汇登记证，外债登记证和外债偿
还核准，包括任何变更和年检记录
□
all annual inspection passed
4.2MOF official documents, such as the financial registration
certificate, including any amendments and showing all annual
inspection passed
4.2财政部门文件，如财政登记证，包括任何变更和年检记录□
4.3Contracts relating to all debt, financing or guarantees, including
those relating to security interests (mortgages, pledges, liens, etc.) and credit facilities 4.3所有与借款、融资或保证有关的合同，包括与担保权益有
关的合同（抵押、质押、留置等）和信用贷款合同
□
4.4Information and documents relating to the performance of the
above contracts, including:
4.4有关前述合同履行情况的信息和文件，包括：□
(1)whether all reporting and registration requirements have been
complied with
(1)是否全部报告及登记要求均已得到遵守□
(2)whether all material covenants including financial
covenants/ratios have been complied with
(2)是否全部重大承诺包括财务承诺/比率均已得到遵守□
(3)whether any event of default has occurred (3)是否发生任何违约行为□
(4)whether any notice or demand has been served on the Company
in relation to default or non-compliance with any of the provisions of loan or security documentation (4)与违反或未遵守贷款或担保文件的任何规定相关的任何通
知或要求是否已送达公司
□
(5)any further action taken by lenders to enforce any security
interests (e.g. appointment of receivers, commencement of winding up proceedings etc.) (5)贷款人为强制执行任何担保权益采取的任何进一步行动
（如指定接管人、开始清算程序等）
□
4.5Receipts or documents from the bank showing payments made 4.5银行关于收到还款的收据或其他文件□
on debt
4.6Information and documents relating to bank accounts (of all
types) of the Company
4.6银行账户（所有类型）的信息和文件□
4.7Information and documents relating to other financial
arrangement other than banking loan with the Company, including cash advances, financial lease, deferred payment arrangements, sale and leaseback, swaps, hedges and similar risk management arrangements, debentures, bonds, notes or similar debt instrument issued by the Company 4.7除银行贷款以外公司的其他融资安排的相关信息和文件，
包括现金预付款、融资租赁、延期付款安排、售后回租、
掉期交易、套头交易及类似的风险管理安排、公司发行的
债券、公债、票据或类似债务文件
□
4.8Potential factors that may cause the Company to default on its
debts or other payables 4.8可能导致公司违反还款义务和偿还其他应付款义务的潜在
因素
□
4.9Audited annual financial reports for recent years, semi-annual
reports and quarterly financial reports for year-to-date
4.9近三年度的年度审计报告、半年度报告和季度报告□
4.10Current and future financial plans and budgets 4.10目前和将来的融资计划和预算□
5Investments, Loans and Security Interests 5投资、贷款和担保权益Provided/已提供
5.1Information on shares of other companies owned by the
Company, including:
5.1公司拥有的其他公司股权的信息，包括□
(1)share certificates (1)股权证□
(2)AIC registration of the subsidiary showing the Company as a
shareholder
(2)证明公司是该等公司股东的工商登记证明□
(3)contracts entered into in relation to the purchase or
establishment of such companies, such as share purchase agreement or JV contract (3)购买或成立该等公司的相关合同，如股权转让协议或合资
合同
□
(4)shareholder and board resolutions relating to the purchase or
establishment of such companies (4)与购买或成立该等公司有关的股东会或董事会决议□
(5)documents indicating any pledge on the shares (5)股权质押的文件□
(6)if any government approval is required for the Company to hold
such shares (such as an offshore investment), the relevant approval (6)政府部门关于公司拥有该等公司股权的批准文件（如境外
投资）
□
5.2Information on debts owing to the Company (directly or
indirectly), including:
5.2他人欠付公司债务（直接或间接）的相关信息，包括：□
(1)contracts with the Company as the lender, including those
relating to mortgages and security interests (1)公司作为出借人的合同，包括与抵押和其他担保权益有关
的合同
□
(2)shareholder and board resolutions relating to provision of such
loans
(2)股东会或董事会关于批准该等借款的决议□
(3)receipts or documents from the bank showing payments made
on such loans
(3)银行出具的关于偿还该等贷款的收据或文件□
(4)anything that may indicate the debt is difficult to collect (4)任何显示债务难以收回的文件或信息□
(5)contracts relating to a security interest in favor of a third party
on debt owing to the Company
(5)公司为出借人，而担保权益受益人为第三方的相关合同□
5.3Information on security interests owned by the Company (e.g.
mortgages, pledges, liens, etc.), including:
5.3公司享有的担保权益信息（如抵押、质押、留置等）□
(1)contracts (1)合同□
(2)registration documents from government authorities (2)政府部门的登记文件□
(3)documents indicating the seniority of such security interests (3)显示担保权益优先顺序的文件□
(4)information on the value of the underlying collateral (4)押品价值的信息□
6Tax 6税务Provided/已提供
6.1Official documents from or to the state tax authority, local tax
authority and customs of recent years, including: 6.1近三年的国家税务局、地方税务局或海关的文件，以及公
司向该等部门发出的函件，包括：
□
(1)state and local tax registration certificate, including any
amendments and showing all annual inspection passed
(1)国家和地方税务登记证，包括任何变更和年检记录□
(2)tax filings provided to and payment verification issued by all tax
authorities, including for income tax, value-added tax, business tax, etc. (2)纳税申报表以及税务部门出具的纳税证明，包括所得税，
增值税，营业税等
□
(3)approval letters regarding exemptions, preferential treatment, (3)关于税收豁免、税收优惠、免税期等的政府文件□
tax holidays, etc.
(4)those relating to expected, ongoing or recent audits,
investigations or duty disputes (include any statements from the Company) (4)与预期的、正在进行的和近三年的税务审计、调查或税收
争议的文件（包括公司的任何陈述）
□
(5)levy and exemption certificate for import / export (5)进出口货物征免税证明□
6.2 A statement of taxes currently payable and its calculation 6.2最近的应付税款或其计算方法的说明□
7Employment 7雇员Provided/已提供
7.1Information regarding the human resources of the Company 7.1公司人力资源的信息□(1)total number of personnel in each department or grade (1)各部门各级别的人员总数（包括管理层、员工等）□
(management, labor, etc.)
(2)employee’s handbook and other internal rules & regulations,
including a description of how they are formulated, revised and publicized (2)员工手册和其他内部规章制度，包括对这些规章制度是如
何制定、修改和发布的描述
□
(3)overtime policy, including whether the Company arranges for
alternative rest periods or for overtime payment and whether such policy is adhered to (3)加班政策，包括公司是否安排补休或支付加班费以及这些
政策是否得到遵守
□
(4)actual numbers of overtime hours worked by each employee (4)每个员工的实际加班时间□
(5)stock options for employees and other benefits (5)员工股票期权计划和其他福利□7.2Relevant contracts, such as: 7.2相关合同，如：□
(1)Employment contracts and contracts for training, confidentiality,
non-disclosure and non-competition between the Company and senior management and key technical personnel (1)高级管理人员和关键技术人员的劳动合同\培训合同、保密
协议、非竞争协议
□
(2)Employment form contract(s) used by the Company, including
full-time, part-time and foreign employees (2)公司采用的劳动合同范本，包括全职、兼职和聘用外劳的
合同
□
(3)Form contracts for training, confidentiality, non-disclosure and
non-competition
(3)培训合同、保密协议、非竞争协议范本□
(4)Form contracts with independent contractors, such as interns
and retirees
(4)劳务合同范本，如实习生和退休人员□
(5)Labor dispatch agreement and service outsourcing agreement (5)劳务派遣协议及劳务外包协议□
7.3Work permits and residence permits for foreign employees 7.3外籍员工的工作许可证和居留证□
7.4Documents relating to social insurance and housing fund
compliance:
7.4社会保险文件和住房公积金文件□
(1)social insurance registration certificate and housing fund
account establishment certificate
(1)社会保险登记证和住房公积金开户证明□
(2)proof that the Company has fully paid social insurance and
housing fund for all its employees (2)公司已为其全部员工足额缴付社会保险费和住房公积金的
证明
□
(3)proof of payment for unions and workplace health compensation (3)支付工会费和职业健康补偿的证明□
7.5Proof of employee’s in come tax withholding during the last 3
months
7.5最近三个月代扣员工个人所得税的证明□
7.6Information and documents relating to labor unions that the
Company’s workers belong to
7.6公司员工所属工会的信息和文件□
7.7Information and documents relating to any potential, ongoing or
recent employment / labor disputes 7.7任何潜在、正在进行或近三年的雇佣或劳动争议的信息和
文件
□
8Environment 8环境保护Provided/已提供
8.1Official documents from or to environmental authorities or those
having some jurisdiction over environmental matters, including: 8.1有管辖权的环保部门对环境问题出具的文件，以及向该等
部门发出的函件
□
(1)environmental licenses, registrations, assessments (1)许可证、登记、评估等□
(2)permits and approvals relating to urban planning, water, air
quality, solid waste disposal, oil and gas transport and storage (2)与城市规划、用水、空气质量、固体废物处理、石油、煤
气和天然气运输和储存相关的许可证和批准
□
8.2Information about environmentally sensitive activities that are
or may be regulated, including:
8.2受管制或将受管制的环境敏感活动的信息，包括□
(1)information and documents regarding hazardous, contaminating
or polluting materials owned, used, deposited or otherwise handled by the Company (1)与公司拥有、使用、储存或以其他方式处置的危险、污染
原料有关的信息和文件
□
(2)internal environmental policy and whether such policy is
adhered to; for example, the permitted amount of waste water to be discharged, the discharge standards and the penalty rate for (2)所有须遵守的内部环境政策；例如，可排放废水量、排放
标准以及超额排放的处罚标准
□
excess discharge
(3)any major policy changes or physical additions / changes made
in recent years to comply with environmental laws and those expected to be made in the near future (3)近三年，为符合环保法律法规而进行的重大政策修订或事
实上的变更，以及打算要做出的修订
□
8.3Information and documents relating to any potential, ongoing or
recent investigations, penalties or disputes with the government or third party regarding environmental issues 8.3与政府部门或第三方在环境方面的任何潜在、正在进行的
或近三年的调查、处罚或争议
□
9Material Contracts 9重大合同Provided/已提供
9.1Information and documents relating to contracts (not otherwise
disclosed): 9.1具有如下特征的信息和合同（在本清单中其他地方未提及
的）：
□
(1)where the contract sum is over the material amount (1)合同金额超过重大金额□
(2)entered into between the Company and at least one affiliate or
(2)公司和最少一个关联方或至少两个关联方之间签订的合同□
between at least two affiliates
(3)not entered into on arm’s length terms(3)有非正常条款的合同□
(4)that are confidentiality or non-disclosure contracts (4)保密协议□
(5)with a performance period expected to be in excess of 6 months (5)履行期超过六个月□
(6)with terms that are particularly onerous to the Company or,
(6)公司义务特别繁重的，或者对公司特别有利的□
conversely, particularly valuable to the Company
(7)thought by the Company to be invalid or unenforceable (7)公司认为无效的或不能执行的□
(8)相对方被认为将破产或不能履行其义务的□(8)where the counterparty is believed to be insolvent or incapable
of meeting its obligations
(9)which require government approval for it to be valid (also
(9)需要政府部门的批准以使其生效的（请同时提供该等批准）□
provide such approval)
9.2有关上述合同履行情况的信息和文件，包括：□9.2Information and documents relating to execution of the above
contracts, including:
(1)whether all reporting and registration requirements in respect of
(1)是否与上述交易相关的全部报告及登记要求均得到遵守□
the above transactions have been complied with
(2)whether all material covenants have been complied with (2)是否全部重大承诺均已得到遵守□
(3)whether any event of default has occurred (3)是否发生任何违约行为□
(4)whether any notice or demand has been served on the Company (4)与违反或未遵守上述合同或交易的任何规定相关的任何通□
in relation to default or non-compliance with any of the
provisions of the above contracts or transactions
知或要求是否已送达公司
(5)any further action taken by other parties to the above contracts
or transactions to enforce any security interests (e.g.
appointment of receivers, commencement of winding up proceedings etc.) (5)上述合同或交易的其他方为强制执行任何担保权益采取的
任何进一步行动（如指定接管人、开始清算程序等）
□
10Disputes 10争议Provided/已提供
10.1Information and documents relating to potential, ongoing or
recent claims, investigations, disputes, administrative penalties, arbitrations and court proceeding involving the Company or its shareholders, subsidiaries, senior officers and directors, including their status and resolution, where: 10.1公司、其股东、子公司、高级管理人员和董事的潜在的、
正在进行的或近三年的权利主张、调查、争议、行政处罚、
仲裁和法院诉讼，包括它们的状态和结果：
□
(1)more than the material amount is in dispute (1)超过重大数额的□
(2)it is otherwise material to the affairs of the Company (2)在其他方面对公司业务有重大影响的□
11关于公司业务的政府批准Provided/已提供11Government Authorizations Pertaining to the Company’s
Business
11.1【X】11.1【X】□
12Land and Buildings 12土地和建筑Provided/已提供
12.1Basic information regarding land, buildings and construction
projects owned by the Company, including:
12.1公司拥有的土地、建筑和在建工程的基本信息□
(1)location (1)地址□
(2)land area and gross floor area (2)占地面积和建筑面积□
(3)intended use (3)目标用途□
(4)value / amount invested (4)价值/已投资金额□
(5)whether there is any joint ownership, prof it division, “dian
rights,” easement, leaseholds or other third-party involvement in the property (5)物业中是否存在任何共有、权益分配、典权、地役权、租
赁或其他第三方利益
□
12.2Information regarding premises leased by the Company,
including:
12.2公司承租物业的信息，包括：□
(1)lease contract and associated documents (1)租赁合同和相关文件□
(2)lease registration documents (2)租赁登记文件□
(3)information regarding the lessors showing they have the right to
the premises
(3)出租人有权出租物业的证明文件□
(4)receipts showing status of rent payment (4)租金支付的凭证□12.3Information and documents regarding ongoing construction
projects, including:
12.3在建工程的信息和文件，□
(1)time when project was submitted to the construction authorities,
when construction commenced, construction progress and expected completion date (1)工程提交相关政府部门审批的时间、工程开工时间、建设
进度以及预计完工日期
□
(2)timing requirements stipulated by the authorities (2)政府部门对工程进度的时间要求□
(3)contractors, construction supervisors (3)承包商、监理人□
(4)status of payments (including receipts) (4)付款情况（包括收据）□
12.4In relation to each land, building and construction project owned
by the Company, all official documents from or to construction, environment, land, planning and other authorities, including: 12.4就公司所拥有的每一块土地、建筑物以及在建工程而言，
所有由建设、环保、土地、规划及其他政府部门出具或提
交予该等政府部门的官方文件，包括：
□
(1)land grant contract, land transfer contract or land allocation
approval
(1)土地出让合同、土地转让合同或土地划拨批复□
(2)documents relating to completion of land requisition and
relocation and payment of all fees for land requisition and (2)完成土地出让、拆迁以及支付完毕有关土地出让、拆迁的
所有费用的相关文件
□
relocation
(3)receipt showing full payment of consideration for the land and
all taxes (including deed tax, stamp tax, value-added tax) (3)证明土地对价以及所有税费（包括契税、印花税、增值税）
均已支付完毕的收据
□
(4)land use certificate, and documents showing any security
interest on the land
(4)土地使用权证以及说明土地上所附任何担保权益的文件□
(5)environmental assessment report (and its approval) (5)环境影响评估报告（以及其批复）□
(6)geological disaster assessment report (and its approval) (6)地质灾害风险评估报告（以及其批复）□
(7)construction engineering planning permit (7)建设工程规划许可证□
(8)construction land use planning permit (8)建设用地规划许可证□
(9)construction commencement approval (9)建设工程施工许可证□
(10)acceptance inspection (10)验收报告□
(11)building title certificate, and documents showing any security
interest on the building
(11)房产所有权证以及说明房产上所附任何担保权益的文件□
(12)fire fighting permit (12)消防许可证□
(13)sanitation permit (13)卫生许可证□
(14)civilian air defense permit (14)人防许可□
12.5Information and official documents regarding any factors that
may affect the intended purpose of the buildings or land, including: 12.5与有可能影响建筑物或土地用途的任何因素有关的信息和
官方文件，包括：
□
(1)material damage to or deterioration of the building or land (1)建筑物或土地的重大损坏或退化□
(2)the surrounding natural and man-made environment, such as
public utilities, roads and use of nearby buildings (2)周边的自然环境及人工环境，如公用设施、道路及临近建
筑物的使用
□
13Intellectual Property 13知识产权Provided/已提供
13.1Information and documents relating to foreign and domestic IP
owned, currently used or possibly used by the Company or its subsidiaries whether licensed or unlicensed, which for this purpose includes: 13.1有关公司或其子公司拥有的、目前正在使用或有可能使用
的国内外知识产权的信息及文件，无论该等知识产权是否
存在许可，该等信息应包括：
□
(1)trademarks (1)商标□
(2)trade names (2)商号□
(3)logos (3)标识□
(4)trade dresses (4)商业外观□
(5)internet domain names (5)互联网域名□
(6)patents, inventions, know-how (6)专利、发明、技术秘密□
(7)trade secrets, designs (7)商业秘密、设计□
(8)copyrights, software (including those on office computers),
databases
(8)版权、软件（包括办公电脑上的软件）、数据库□
(9)layout designs of integrated circuits (9)集成电路布图设计□
(10)new varieties of plants and other rights of a similar kind owned (10)植物新品种及其他类似权利□
13.2For the IP above that is licensed to the Company or by the
Company to another: 13.2对于以上知识产权如由他人许可公司使用或者由公司许可
他人使用：
□
(1)licensing agreements (1)许可协议□
(2)registration certificates (2)注册证明□
(3)proof that the licensor is the owner of the IP or has the authority
to sub-license (3)证明许可人为该知识产权的所有人或者其有权进行分许可
的相关文件
□
(4)receipts showing status of payment of royalties or other license
fees
(4)证明版权费或其他许可费用支付情况的收据□
13.3Patent and trademark applications (if such patent or trademark
as not yet been registered) and associated receipts and 13.3专利和商标申请（如果该等专利或商标尚未被登记）以及
相关的收据和文件
□
documents
13.4Internal policy on protection of secrets and know-how and
whether such policy is adhered to 13.4有关保护机密信息和技术秘密的内部政策以及该等政策是
否得以实施的信息
□
13.5For technologies used by the Company that are not clearly in the
public domain, non-infringement opinions issued by a patent agent, government or other parties 13.5就公司所使用的并非清楚属于公共领域的技术，由专利代
理人、政府部门或其他方出具的有关该等技术并不存在侵
权的意见
□
13.6Information and documents relating to any potential, ongoing or
recent claim of infringement or IP disputes involving the Company 13.6涉及公司的任何潜在的、正在进行的或最近发生的侵权主
张或知识产权争议的信息和文件
□
14Other Long-Term Assets 14其他长期资产Provided/已提供
14.1Basic information on long-term assets owned or leased by
Company, such as manufacturing equipment, automobiles and 14.1有关公司拥有或租用的长期资产如制造设备、机动车以及
办公设备的基本信息，包括其上是否存在任何权利限制的
信息
□
office equipment, including whether there are any encumbrances
14.2For each item worth more than the material amount, provide: 14.2就每一项价值超过重大金额的资产，请提供：□(1)the purchase order, receipts, customs declaration, etc. (1)订单、收据、报关单等□
(2)lease agreements (regardless of whether the Company is the
lessor or the lessee) and receipts showing status of rent payment (2)租赁协议（无论公司为出租方或承租方）以及证明租金支
付情况的收据
□
15Insurance 15保险Provided/已提供
15.1Information and documents relating to insurance policies held
by the Company, including:
15.1与公司所持有保单有关的信息及文件，包括□
(1)contracts (1)合同□
(2)receipts or other proof that insurance premiums have been fully
paid
(2)证明保险费已经全额缴齐的收据或其他证据□
15.2Information and documents relating to all historical insurance
claims over the material amount, including whether they that have been settled and paid 15.2有关所有超过重大金额的保险历史索赔的信息及文件，包
括该等索赔是否已解决及支付的相关信息和文件
□
16Product Liability 16产品责任Provided/已提供
16.1Official documents regarding the quality standard demanded of
the Company’s goods and services
16.1有关公司产品和服务质量标准要求的官方文件□
16.2Terms of the warranties and liabilities typically provided by the
Company for its goods and services
16.2公司通常就其产品和服务所提供的保证及免责条款□
16.3Documents regarding all potential, ongoing or recent product
liability disputes 16.3有关潜在的、正在进行的最近发生的产品责任纠纷的所有
文件
□。