Supplementary Agreement (I) to Asset Management Contract of Huatai Securities Asset Management Single Asset Management Plan No. 6 as Part of the Securities Industry’s Support for the Development of Private-owned Enterprises No. AL-HT-...
Exhibit 4.21
to
Asset Management Contract
of
Huatai Securities Asset Management Single Asset Management Plan No. 6
as Part of the Securities Industry’s Support for the Development of Private-owned Enterprises
No. AL-HT-ZS-ZCMQ6-Supplementary I
This Agreement, dated as of March 17, 2022, is entered into in Jianye District, Nanjing, Jiangsu by and among:
(I) | Client |
Company Name: Alibaba (China) Technology Co., Ltd.
Domicile: 000 Xxxxxxxxx Xxxx, Xxxxxxxx Xxxxxxxx, Xxxxxxxx, Xxxxxxxx
Legal Representative: DAI Shan
Contact Person: Chief Legal Officer, Legal Department
Telephone:
Email:
(II) | Manager |
Name: Huatai Securities (Shanghai) Asset Management Co., Ltd.
Domicile: 21/F, 00 Xxxxxxxx Xxxx, Xxxxx (Xxxxxxxx) Pilot Free Trade Zone
Business Address: Tower E, Poly Plaza, Dongfang Road, Pudong New Area, Shanghai
Legal Representative: XXX Xxxx
Contact Person: TIAN Ziqian
Telephone:
Email:
(III) | Custodian |
Name: China Merchants Bank Co., Ltd. Suzhou Branch
Page 1 of 4
Business Address: China Merchants Bank Building, 00 Xxxxxxxx Xxxxxx, Xxxxxx Xxxxxxxxxx Xxxx
Person-in-charge: CUI Jiakun
Contact Person: YU Linlin
Telephone:
Email:
Upon mutual agreement by the Manager, the Custodian and the Client, the Asset Management Contract of Huatai Securities Asset Management Single Asset Management Plan No. 6 as Part of the Securities Industry’s Support for the Development of Private-owned Enterprises (the “Original Asset Management Contract”) shall hereby be amended as follows:
I.“Management Fees to the Manager” in “(II) Expense Accrual Methods, Accrual Standards and Payment Methods” in Article XIV “Expenses and Taxes of Asset Management Business” of the Original Asset Management Contract:
“The Manager shall charge management fees for the Asset Management Plan at the annual rate of 0.12% of the net value of the assets under the Asset Management Plan on the preceding day.”
Shall be amended as follows:
“Before March 24, 2022, the Manager shall charge management fees for the Asset Management Plan at the annual rate of 0.12% of the net value of the assets under the Asset Management Plan on the preceding day.
From March 24, 2022 (inclusive), the Manager shall charge management fees for the Asset Management Plan at the annual rate of 0.24% of the net value of the assets under the Asset Management Plan on the preceding day.”
II.The Supplementary Agreement (I) to Asset Management Contract of Huatai Securities Asset Management Single Asset Management Plan No. 6 as Part of the Securities Industry’s Support for the Development of Private-owned Enterprises (the “Supplementary Agreement (I)”) shall become effective upon execution by the Manager, the Custodian and the Client, and together with the Original Asset
Page 2 of 4
Management Contract and the Instructions, shall constitute the legal documents binding the Manager, the Custodian and the Client. In the event of any discrepancy between the Supplementary Agreement (I), the Original Asset Management Contract and the Instructions, the Supplementary Agreement (I) shall prevail.
III.This Agreement is made in triplicate, with each of the Client, the Custodian and the Manager holding one copy. All the executed copies shall have the same legal effect.
(The following page is the signature page to the Supplementary Agreement (I) to Asset Management Contract of Huatai Securities Asset Management Single Asset Management Plan No. 6 as Part of the Securities Industry’s Support for the Development of Private-owned Enterprises (No. [AL-HT-ZS-ZCMQ6-Supplementary I]; the remainder is intentionally left blank)
Page 3 of 4
Client: Alibaba (China) Technology Co., Ltd. (common seal or contract seal):
Legal Representative or Authorized Representative (signature or seal):
Date:
Manager: Huatai Securities (Shanghai) Asset Management Co., Ltd. (common seal):
Legal Representative or Authorized Representative (signature or seal):
Date:
Custodian: China Merchants Bank Co., Ltd. Suzhou Branch (common seal or contract seal):
Person-in-charge or Authorized Representative (signature or seal):
Date: March 17, 2022
Page 4 of 4
