并购常用文件清单（适用于并购非上市公司）

List of completion documents: Acquisition of a target company by the buyer name from the seller

一           Preliminary documents 初步文件

1.             Confidentiality letter/agreement 保密函/保密协议                    

2.             Exclusivity letter/agreement 排他函/排他协议                           

3.             Letter of Intent 意向书                      

4.             Documentation request list for legal due diligence/Due diligence questionnaire法律尽职调查文件清单/尽职调查问卷                         

5.             (Virtual) data room rules（虚拟）数据室规则            

二           Principal documents主要文件

1.             Share Purchase Agreement股权收购协议                   

[2.]          [[Agreement of allocation of liabilities]] 【负债分配协议】                     

[3.]          [Information Memorandum] 【信息备忘录】                             

[4.]          [Auction Process Letter] 【拍卖程序函】                    

[5.]          [Escrow Agreement] 【托管协议】

三           Finance documents/matters金融类文件/事项                        

[1.]          [Loan documentation] 【贷款记录】                            

2.             Waivers弃权书                  

3.             Financing arrangement documents融资安排文件                      

4.             New bank mandates新的银行委托书                            

5.             Bank certificates, cash book balances and reconciliations银行资信证明、现金账面余额和对账单                               

6.             Company cheque book公司支票簿                               

8.             Company principal accounts公司主要账户                  

四           Due diligence reports/consents尽职调查报告/同意书                         

1.             Legal due diligence report法律尽职调查报告                            

2.             Financial/accountants' due diligence财务/会计人员的尽职调查                           

3.             Certificate of title/report on title产权证书/ 产权报告                              

[4,]          [Insurance, environmental reports] 【保险、环境报告】                        

[6.]          [Applications and consents from MOFCOM or its branch, or other competition authorities]【向商务部或地方商务主管部门、或者其他竞争主管部门提交的申请书及同意书】                        

[7.]          [Documents for any shareholder approval, ie notice of general meeting, resolutions etc] 【股东大会通知、股东决议等股东批准文件】  

五           Ancillary辅助性文件

1.             Pre-emption waiver/consent letter优先购买权弃权书/同意函                              

2.             Stock transfer application (to be executed or stamped) 股票转让申请书（待签署或盖章）                           

3.             Share certificates/ capital contribution certificate股权证书/出资证明书                             

4.             Power of Attorney (executing documents) 授权委托书 （签署文件）                  

5.             Power of Attorney (voting on shares pending registration) 授权委托书（就办理登记中的股份进行表决）                

6.             Board minutes (approving/completion board meetings)—Seller董事会会议记录（批准/结束董事会会议—卖方                     

7.             Board minutes (approving/completion board meetings)—Buyer董事会会议记录（批准/结束董事会会议）—买方                

8.             Board minutes (approving/completion board meetings)—target group董事会会议决议（批准/结束董事会会议）—目标集团                               

9.             Letters of resignation of directors and/or secretary董事和/或秘书辞任函                          

10.          Letter of resignation of auditors审计师辞任函                           

11.          Employment documents聘用文件                 

12.          Service/consultancy agreement服务/咨询顾问协议                 

13.          General meeting documentation (ie when replacing/altering articles of association etc) 股东大会文件 （如，在公司章程修订/变更时）                  

六           Company Registration Documents公司登记注册文件

1.        Business Licenses, articles of association, permits and other registration documents(current and historical) 营业执照、公司章程、许可及其他登记注册文件（当前和历史文件）                        

2.             [resolutions to be filed at relevant registration departments, ie change of name, increase in registered capital, alteration of articles of association etc] 【向相关登记主管部门提交的决议，如公司名称变更、增资、公司章程变更等】                        

3.             Documents to be kept on record(change of registered office, appointment of new director/supervisor/senior executives, change of accounting reference date) 备案文件（注册地址变更、委任新董事/监事/高级管理人员、会计参照日变更）                 

4.             Director/secretary's resignation letter董事/秘书辞任函                          

5.             Documents related to any mortgage or charge on the assets of the company公司资产抵押担保相关文件