廣匯(hui)(hui)能源（600256）24日(ri)披(pi)露滬深兩市首(shou)份優先(xian)股發(fa)(fa)(fa)(fa)行(xing)預案。廣匯(hui)(hui)能源擬非公(gong)(gong)開發(fa)(fa)(fa)(fa)行(xing)優先(xian)股不(bu)(bu)超(chao)過(guo)(guo)5000萬股，募(mu)集資金(jin)總(zong)(zong)額不(bu)(bu)超(chao)過(guo)(guo)50億元，扣除(chu)發(fa)(fa)(fa)(fa)行(xing)費用后的募(mu)集資金(jin)凈額將(jiang)(jiang)用于(yu)紅(hong)淖(nao)鐵路項目和補充流動資金(jin)。此次優先(xian)股發(fa)(fa)(fa)(fa)行(xing)方案尚需公(gong)(gong)司(si)(si)股東大會審(shen)議通過(guo)(guo)，并報中(zhong)國證監會核準。自(zi)中(zhong)國證監會核準發(fa)(fa)(fa)(fa)行(xing)之日(ri)起，公(gong)(gong)司(si)(si)將(jiang)(jiang)在(zai)6個月內(nei)(nei)實施首(shou)次發(fa)(fa)(fa)(fa)行(xing)，且發(fa)(fa)(fa)(fa)行(xing)數量不(bu)(bu)少(shao)于(yu)總(zong)(zong)發(fa)(fa)(fa)(fa)行(xing)數量的50%，剩(sheng)余數量在(zai)24個月內(nei)(nei)發(fa)(fa)(fa)(fa)行(xing)完畢。公(gong)(gong)司(si)(si)股票將(jiang)(jiang)于(yu)25日(ri)復牌(pai)。

預案顯示，廣匯能(neng)源本次優先股(gu)的(de)(de)發行對(dui)象(xiang)為《優先股(gu)試點管(guan)理辦(ban)法》規定的(de)(de)合格投(tou)資者(zhe)(zhe)，包括經有(you)關金融監管(guan)部門批準設立的(de)(de)金融機構及其(qi)向投(tou)資者(zhe)(zhe)發行的(de)(de)理財產品、實(shi)收(shou)資本或(huo)實(shi)收(shou)股(gu)本不低(di)于(yu)500萬(wan)元(yuan)的(de)(de)企業(ye)法人(ren)、實(shi)繳出資總(zong)額不低(di)于(yu)500萬(wan)元(yuan)的(de)(de)合伙(huo)企業(ye)、各類證券(quan)、資金、資產管(guan)理賬戶資產總(zong)額不低(di)于(yu)500萬(wan)元(yuan)的(de)(de)個人(ren)投(tou)資者(zhe)(zhe)、qfii、RQFII等，發行對(dui)象(xiang)不超過200人(ren)。同時(shi)，本次非(fei)公(gong)開發行不向公(gong)司(si)(si)原(yuan)股(gu)東配售(shou)。上市公(gong)司(si)(si)控股(gu)股(gu)東、實(shi)際控制(zhi)人(ren)或(huo)其(qi)控制(zhi)的(de)(de)關聯(lian)人(ren)不參與本次優先股(gu)的(de)(de)認購(gou)。

預案稱，本次發(fa)(fa)行(xing)采取(qu)浮動股息(xi)(xi)率(lv)，票面股息(xi)(xi)率(lv)不(bu)高于公(gong)司(si)最近兩(liang)個(ge)會計年(nian)度的年(nian)均(jun)加權平(ping)均(jun)凈資產收益率(lv)。公(gong)司(si)將以(yi)現金形式支付股息(xi)(xi)，在向(xiang)優先股股東(dong)完(wan)全(quan)支付約(yue)定的股息(xi)(xi)之前，不(bu)得向(xiang)普通(tong)股股東(dong)分(fen)配利潤(run)。本次發(fa)(fa)行(xing)不(bu)設(she)置贖回和回售條款。

廣匯(hui)能源認為，公司(si)(si)的投融(rong)資需求(qiu)較大，優先(xian)股(gu)的發行有(you)(you)助于公司(si)(si)建立并完(wan)善多元化的融(rong)資渠(qu)道。本次優先(xian)股(gu)發行完(wan)成后(hou)，公司(si)(si)凈資產規模將大幅提升(sheng)，在(zai)優化公司(si)(si)財務結構的同時，能夠有(you)(you)效(xiao)地提升(sheng)公司(si)(si)的多渠(qu)道融(rong)資能力(li)，滿足公司(si)(si)業(ye)務發展的資金需求(qiu)。

此前(qian)，市場曾(ceng)預期首例優先(xian)(xian)股有(you)(you)望花(hua)落上市銀行(xing)(xing)。4月18日，銀監(jian)(jian)會(hui)(hui)和證監(jian)(jian)會(hui)(hui)發(fa)布《關(guan)于商業銀行(xing)(xing)發(fa)行(xing)(xing)優先(xian)(xian)股補充一級資本的指(zhi)導意見》，對商業銀行(xing)(xing)發(fa)行(xing)(xing)優先(xian)(xian)股的準入(ru)條(tiao)件、發(fa)行(xing)(xing)程序(xu)、核心(xin)要求等(deng)進(jin)一步(bu)明確。不過(guo)，廣匯能源率先(xian)(xian)披露非公開發(fa)行(xing)(xing)優先(xian)(xian)股預案，表明優先(xian)(xian)股發(fa)行(xing)(xing)試點有(you)(you)望在能源、金融等(deng)多個領(ling)域同時推進(jin)。

證監會3月21日(ri)發(fa)(fa)布的《優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)試點管理辦(ban)(ban)法(fa)》明確，三(san)類上(shang)市公(gong)(gong)司可以(yi)公(gong)(gong)開(kai)發(fa)(fa)行(xing)(xing)優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)：普通股(gu)(gu)(gu)為上(shang)證50指(zhi)數(shu)成份股(gu)(gu)(gu)；以(yi)公(gong)(gong)開(kai)發(fa)(fa)行(xing)(xing)優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)作(zuo)為支付手段收(shou)(shou)購(gou)或吸收(shou)(shou)合并其(qi)他上(shang)市公(gong)(gong)司；以(yi)減少注冊資本為目的回購(gou)普通股(gu)(gu)(gu)的，可以(yi)公(gong)(gong)開(kai)發(fa)(fa)行(xing)(xing)優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)作(zuo)為支付手段，或者(zhe)在回購(gou)方案實施完畢后，可公(gong)(gong)開(kai)發(fa)(fa)行(xing)(xing)不(bu)(bu)超(chao)過(guo)回購(gou)減資總額的優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)。公(gong)(gong)司非公(gong)(gong)開(kai)發(fa)(fa)行(xing)(xing)優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)僅向《辦(ban)(ban)法(fa)》規定的合格(ge)投資者(zhe)發(fa)(fa)行(xing)(xing)，每次(ci)發(fa)(fa)行(xing)(xing)對象不(bu)(bu)得(de)(de)超(chao)過(guo)二(er)百人，且相同(tong)條款優(you)先(xian)(xian)(xian)股(gu)(gu)(gu)的發(fa)(fa)行(xing)(xing)對象累計不(bu)(bu)得(de)(de)超(chao)過(guo)二(er)百人。

證監會(hui)(hui)新聞發言人(ren)張曉軍曾表示，證監會(hui)(hui)將在總結試(shi)點經驗的基礎上，不斷(duan)改(gai)進和完(wan)善(shan)優先股制度。