ICBCCS Convertible Bond Securities Investment Fund - ICBCCS Fund Management Co., Ltd

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Fund name	ICBCCS Convertible Bond Securities Investment Fund
Fund abbreviation	Convertible bonds of ICBC
Fund code	003401
Subscription starting point	1 yuan The Fund can use ICBC currency A (482002), ICBC salary currency A (000528) Zero rate conversion is conducted for ICBC Ruyi Currency A (003752), ICBC Ruyi Currency B (003753), ICBC Anying Currency A (002679), and ICBC Anying Currency C (015419) (only applicable to individual investors).
date of establishment	December 14, 2016
Fund type	Bond type
Operation mode	Contractual and open
Fund manager	ICBC Credit Suisse Fund Management Co., Ltd
Fund Custodian	China Merchants Bank Company Limited
fund manager	Mr. Huang Shiyuan
Risk assessment	According to the Fund Risk Rating System of ICBC Credit Suisse Fund Management Co., Ltd., the risk rating of the Fund is medium risk (R3).
Investment objectives	Through active investment in convertible bonds, the Fund pursues long-term stable appreciation of fund assets on the basis of strict risk control.
scope of investment	The investment scope of the Fund includes stocks issued and listed for trading in China according to law (including small and medium-sized board, GEM and other stocks and depositary receipts that the CSRC allows the Fund to invest in) Bonds (including treasury bonds, central bank bills, financial bonds, local government bonds, corporate bonds, corporate bonds, short-term financing bonds, ultra short-term financing bonds, medium-term notes, subordinated bonds, bonds of government supported institutions, short-term corporate bonds of securities companies, convertible bonds (including separable trading convertible bonds), exchangeable bonds, etc.), asset-backed securities, bank deposits, interbank deposit receipts Bond repurchase, treasury bond futures, warrants, etc., as well as other financial instruments permitted by laws and regulations or the CSRC for fund investment (subject to the relevant provisions of the CSRC). Asset allocation ratio of the Fund's investment portfolio: the proportion of bond assets in the Fund's assets shall not be less than 80%, of which the total proportion of investment in convertible bonds (including separable trading convertible bonds) and exchangeable bonds shall not be less than 80% of non cash fund assets; At the end of each trading day, after deducting the trading margin required to be paid for treasury bond futures contracts, it shall maintain no less than 5% of the net asset value of the fund in cash or government bonds with a maturity of less than one year, of which cash does not include settlement provisions, deposits and subscription receivables. The Fund Manager may include other types of investment permitted by laws and regulations or regulatory authorities in the future into the investment scope after performing appropriate procedures, and its investment proportion shall comply with the then effective laws and regulations or relevant provisions.
Performance Benchmark	60% × China Securities Convertible Bond Index yield+30% × China Securities Comprehensive Wealth (Gross) Index yield+10% × Shanghai Shenzhen 300 Index yield.
Risk return characteristics	The Fund is a bond fund, and its long-term average risk and expected yield are lower than those of equity and hybrid funds, and higher than those of money market funds.
Dividend distribution policy	1. On the premise of meeting the conditions for dividend distribution of the Fund, the number of times of income distribution of the Fund each year is up to 6, and the proportion of income distribution for each time shall not be less than 30% of the fund's available profit on the base date of income distribution. If the Fund Contract has not taken effect for less than 3 months, income distribution may not be carried out; 2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash dividends or automatically convert cash dividends into fund shares for reinvestment; If the investor does not choose, the default income distribution method of the Fund is cash dividends; 3. After the distribution of fund income, the net value of fund units cannot be lower than the par value; That is, the net value of fund units on the base date of fund income distribution minus the amount of income distribution per unit of fund units cannot be lower than the par value. 4. Each fund unit has the same right of distribution; 5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Summary of Fund Product Information	Click to view the details of Product Information Summary of ICBC Convertible Bond Fund

Expense type	situation	rate
Subscription rate	M ＜ one hundred ten thousand	0.6%
	one hundred 10000 ≤ M ＜ three hundred ten thousand	0.4%
	three hundred 10000 ≤ M ＜ five hundred ten thousand	0.2%
	M ≥ five hundred ten thousand	Collect by transaction, 1,000 element / pen
Purchase rates	M ＜ one hundred ten thousand	0.8%
	one hundred 10000 ≤ M ＜ three hundred ten thousand	0.5%
	three hundred 10000 ≤ M ＜ five hundred ten thousand	0.3%
	M ≥ five hundred ten thousand	Collect by transaction, 1,000 element / pen
Redemption rate	Holding period	Redemption rate
	Y ＜ seven day	1.5%
	seven Days ≤ Y ＜ thirty day	0.5%
	thirty Days ≤ Y ＜ one year	0.1%
	one Year ≤ Y ＜ two year	0.05%
	Y ≥ two year	0%
Management rate	1%
Custody rate	0.15%

Note: one 、 M Is the amount, Y Is the holding period, one Annual index three hundred and sixty-five Days, the Fund's sales service rate, management rate and custody rate are annual rates; The holding period of subscribed/subscribed fund units starts from the date of confirmation in the registration system to the date of confirmation of redemption of such fund units, and the date of confirmation of redemption of fund units is not included in the holding period.

Description of premium rates for pension customers:

one Our company decided to two thousand and twenty year twelve month twenty-five From January 1, we will launch a preferential subscription rate activity for all open-ended funds in the direct sales counter channel for pension customers. During the activity, pension customers who subscribe through the fund manager's direct sales counter channel will enjoy the subscription rate one Discount (Front end charging mode only). If the fund prospectus stipulates that such customers implement a specific subscription rate, such as the specific subscription rate is an ordinary subscription rate one Discount, you will no longer enjoy the preferential rate; If the specific subscription rate is higher than the ordinary subscription rate one Discount, then the ordinary purchase rate one Discount treatment.

two Pension clients refer to the supplementary pension funds formed by the funds raised from basic pension funds and legally established pension plans and their investment and operation income, including the national social security fund, local social security funds that can invest in funds, enterprise annuity single plan and collective plan, specific client asset management plans entrusted by the Enterprise Pension Council Basic pension insurance fund, enterprise pension products, occupational pension plans, pension target funds, pension security management products, personal tax deferred commercial pension insurance products. If a new type of pension fund approved by the pension fund supervision department appears in the future, the Company will issue a temporary announcement to include it in the scope of pension customers and file with the CSRC as required.

The reporting period is from January 1, 2024 to March 31, 2024

u Fund asset portfolio at the end of the reporting period

S/N	project	Amount (yuan)	Proportion in total fund assets（ % ）
one	Equity investment	902,462,739.08	thirty-six point seven nine
	Including: stock	902,462,739.08	thirty-six point seven nine
two	Fund investment	-	-
three	Fixed income investment	1,509,675,451.57	sixty-one point five five
	Including: bonds	1,509,675,451.57	sixty-one point five five
	Asset backed securities	-	-
four	Precious metal investment	-	-
five	Financial derivatives investment	-	-
six	Redemptory financial assets for sale	-	-
	Including: redemptory financial assets for sale purchased through outright repo	-	-
seven	Total bank deposits and settlement provisions	37,184,584.43	one point five two
eight	other assets	3,566,496.19	zero point one five
nine	total	2,452,889,271.27	one hundred

Note: Due to rounding, there may be a tail difference between the sum of the sub items of the proportion of the amount in the total assets of the fund and the total.

u Domestic stock portfolio classified by industry at the end of the reporting period

code	Industry category	Fair value (yuan)	Proportion in the net asset value of the fund（ % ）
A	Agriculture, forestry, animal husbandry and fishery	-	-
B	Mining industry	20,131,124.58	one point one three
C	manufacturing industry	350,546,190.99	nineteen point seven five
D	Production and supply of electricity, heat, gas and water	510,150.00	zero point zero three
E	construction business	-	-
F	Wholesale and retail	-	-
G	Transportation, warehousing and postal services	477,932,673.80	twenty-six point nine two
H	Accommodation and catering industry	-	-
I	Information transmission, software and information technology services	-	-
J	finance	3,939,431.32	zero point two two
K	estate	-	-
L	Leasing and business services	-	-
M	Scientific research and technical service industry	25,138,230.39	one point four two
N	Water conservancy, environment and public facilities management	-	-
O	Resident service, repair and other service industries	-	-
P	education	-	-
Q	Health and social work	24,264,938.00	one point three seven
R	Culture, sports and entertainment	-	-
S	comprehensive	-	-
	total	902,462,739.08	fifty point eight four

Note: There may be a tail difference between the sum of the sub items and the total of the proportion of the fair value in the net asset value of the fund due to rounding.

u Details of the top ten stock investments ranked by the proportion of fair value in the net asset value of the fund at the end of the reporting period

S/N	Stock code	Stock name	Quantity (share)	Fair value (yuan)	Proportion in the net asset value of the fund（ % ）
one	six hundred and one thousand and twenty-one	Spring airlines	3,197,200	176,933,048.00	nine point nine seven
two	six hundred and one thousand one hundred and eleven	Air China	12,155,800	88,737,340.00	five
three	six hundred thousand one hundred and fifteen	China Eastern Airlines	24,277,945	88,371,719.80	four point nine eight
four	six hundred thousand and twenty-nine	Southern airlines	15,799,900	88,321,441.00	four point nine eight
five	three hundred thousand seven hundred and sixty	Mindray Medical	275,118	77,434,712.28	four point three six
six	three hundred thousand six hundred and thirty-three	Open medical treatment	1,030,447	39,156,986.00	two point two one
seven	six hundred thousand five hundred and nineteen	Guizhou Moutai	21,300	36,271,770.00	two point zero four
eight	six hundred and three thousand eight hundred and eighty-five	Lucky Air	2,927,500	35,569,125.00	two
nine	six hundred and eighty-eight thousand three hundred and eighty-nine	Pumen Technology	1,899,273	34,357,848.57	one point nine four
ten	three hundred thousand eight hundred and thirty-three	Haoyang Shares	347,200	33,921,440.00	one point nine one

u Bond portfolio classified by bond varieties at the end of the reporting period

S/N	Bonds	Fair value (yuan)	Proportion in the net asset value of the fund（ % ）
one	State bonds	89,592,441.37	five point zero five
two	Central Bank Bill	-	-
three	Financial bonds	-	-
	Including: policy financial bonds	-	-
four	bonds issued by an enterprise	-	-
five	Enterprise short-term financing bonds	-	-
six	Medium term notes	-	-
seven	Convertible bond	1,420,083,010.20	eighty
eight	Inter bank deposit receipt	-	-
nine	other	-	-
ten	total	1,509,675,451.57	eighty-five point zero four

Note: Due to rounding, there may be a tail difference between the sum of the sub items of the proportion of the fair value in the net asset value of the fund and the total.

u Details of the top five bond investments ranked by the proportion of fair value in the net asset value of the fund at the end of the reporting period

S/N	Bond code	Bond name	Quantity (piece)	Fair value (yuan)	Proportion in the net asset value of the fund（ % ）
one	one hundred and thirteen thousand and sixty	Zhejiang twenty-two Convertible bonds	2,846,770	354,408,982.13	nineteen point nine six
two	one hundred and ten thousand and seventy-five	Convertible bond of China Southern Airlines	2,956,710	353,222,104.55	nineteen point nine zero
three	one hundred and ten thousand and eighty-three	Jiangsu rent to debt swap	1,168,280	167,140,474.32	nine point four two
four	one hundred and twenty-three thousand one hundred and ninety-four	Baiyang Convertible Bond	846,122	112,103,932.39	six point three two
five	019709	twenty-three national debt sixteen	886,000	89,592,441.37	five point zero five

u Composition of other assets

S/N	name	Amount (yuan)
one	Deposit	284,128.75
two	Receivables from securities settlement	-
three	Dividends receivable	-
four	Interest receivable	-
five	Subscription receivable	3,282,367.44
six	Other receivables	-
seven	other	-
eight	total	3,566,496.19

u Details of convertible bonds held in the conversion period at the end of the reporting period

S/N	Bond code	Bond name	Fair value (yuan)	Proportion in the net asset value of the fund（ % ）
one	one hundred and thirteen thousand and sixty	Zhejiang twenty-two Convertible bonds	354,408,982.13	nineteen point nine six
two	one hundred and ten thousand and seventy-five	Convertible bond of China Southern Airlines	353,222,104.55	nineteen point nine zero
three	one hundred and ten thousand and eighty-three	Jiangsu rent to debt swap	167,140,474.32	nine point four two
four	one hundred and twenty-three thousand one hundred and ninety-four	Baiyang Convertible Bond	112,103,932.39	six point three two
five	one hundred and thirty-two thousand and twenty	nineteen Blue Star EB	75,721,936.10	four point two seven
six	one hundred and twenty-three thousand one hundred and fifty	Nine strong convertible bonds	70,581,458.74	three point nine eight
seven	one hundred and ten thousand and sixty-eight	Longjing Convertible Bonds	59,448,988.46	three point three five
eight	one hundred and eleven thousand and seven	Yonghe Convertible Bonds	51,044,256.92	two point eight eight
nine	one hundred and thirteen thousand and forty-two	Convertible bonds of Shanghai Bank	49,689,938.41	two point eight zero
ten	one hundred and ten thousand and fifty-nine	SPD Convertible Bonds	46,361,926.39	two point six one
eleven	one hundred and thirteen thousand and sixty-two	Changyin convertible bonds	44,328,655.62	two point five zero
twelve	one hundred and thirty-two thousand and twenty-six	G Three Gorges EB2	25,021,699.07	one point four one
thirteen	one hundred and eighteen thousand and twenty-five	Yirui convertible bond	6,255,124.20	zero point three five
fourteen	one hundred and ten thousand and sixty-seven	Hua'an Convertible Bond	3,532,664.11	zero point two zero
fifteen	one hundred and twenty-eight thousand one hundred and twenty-three	Guoguang Convertible Bonds	510,661.37	zero point zero three
sixteen	one hundred and thirteen thousand and sixty-four	Dongcai Convertible Bond	336,387.12	zero point zero two
seventeen	one hundred and thirteen thousand six hundred and two	view twenty Convertible bonds	233,316.64	zero point zero one
eighteen	one hundred and thirteen thousand six hundred and thirty-four	Pellet convertible bond	126,088.26	zero point zero one
nineteen	one hundred and thirteen thousand and sixty-six	Converting coal into bonds	14,415.40	zero

Note: The above table includes the details of convertible bonds and exchangeable bonds held at the end of the period and in the conversion period.


Q: When was the fund contract of ICBC convertible bonds established?

	Answer: The Fund Contract is established on two thousand and sixteen year twelve month fourteen Day.

Q: What is the investment goal of ICBC convertible bonds?

	Answer: Through active investment in convertible bonds, the Fund pursues long-term stable appreciation of fund assets on the basis of strict risk control.

Q: What is the investment scope of ICBC convertible bonds?

	A: The investment scope of the Fund includes stocks issued and listed for trading in accordance with the law in China (including small and medium-sized board, GEM and other stocks and depositary receipts that the CSRC allows the Fund to invest in) Bonds (including treasury bonds, central bank bills, financial bonds, local government bonds, corporate bonds, corporate bonds, short-term financing bonds, ultra short-term financing bonds, medium-term notes, subordinated bonds, bonds of government supported institutions, short-term corporate bonds of securities companies, convertible bonds (including separable trading convertible bonds), exchangeable bonds, etc.), asset-backed securities, bank deposits, interbank deposit receipts Bond repurchase, treasury bond futures, warrants, etc., as well as other financial instruments permitted by laws and regulations or the CSRC for fund investment (subject to the relevant provisions of the CSRC).

Q: What is the portfolio proportion of ICBC convertible bonds?

	Answer: The proportion of bond assets in fund assets is no less than eighty %, of which the total proportion of investment in convertible bonds (including separable trading convertible bonds) and exchangeable bonds is not less than that of non cash fund assets 80% ； At the end of each trading day, after deducting the trading margin required to be paid for treasury bond futures contracts, it should be kept no less than the net asset value of the fund 5% Cash or government bonds with a maturity date of less than one year, of which cash does not include settlement provisions, deposits and subscription receivables. The Fund Manager may include other types of investment permitted by laws and regulations or regulatory authorities in the future into the investment scope after performing appropriate procedures, and its investment proportion shall comply with the then effective laws and regulations or relevant provisions.

Q: What is the performance benchmark of ICBC convertible bonds? Can we guarantee the income?

	Answer: 60% × China Securities Convertible Bond Index Yield +30% × Yield of China Bond Comprehensive Wealth (Gross) Index +10% × Shanghai and Shenzhen three hundred Index returns. The performance of other funds managed by the Fund Manager does not constitute a guarantee for the performance of the Fund. The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence, but does not guarantee that the Fund will be profitable or the minimum return.

Q: What are the risk return characteristics of ICBC convertible bonds?

	Answer: The Fund is a bond fund and a low-risk fund product. Its long-term average risk and expected return rate are lower than those of equity and hybrid funds and higher than those of money market funds.

Q: What is the income distribution principle of ICBC convertible bonds?

	Answer: one On the premise of meeting the dividend conditions of the relevant funds, the maximum number of annual income distributions of the Fund is six The distribution proportion of each income shall not be lower than the distributable profit of the fund on the base date of income distribution 30% , if the Fund Contract does not come into force three No income distribution is required for months; 2 There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash dividends or automatically convert cash dividends into fund shares for reinvestment; If the investor does not choose, the default income distribution method of the Fund is cash dividends; 3 The net value of fund units after the distribution of fund income shall not be lower than the par value; That is, the net value of fund units on the base date of fund income distribution minus the amount of income distribution per unit of fund units cannot be lower than the par value. 4 Each fund unit has the same right of distribution; 5 If laws and regulations or regulatory authorities provide otherwise, such provisions shall prevail. Under the circumstance that there is no material adverse impact on the interests of fund share holders, the Fund Manager may adjust the above principles of fund income distribution at its discretion, provided that laws and regulations permit. This adjustment does not require a general meeting of fund share holders, but should be announced in the designated media before the date of implementation of the change.

Q: When will the purchase and redemption of ICBC convertible bonds begin for the first time after the establishment of the contract?

	Answer: The Fund Manager shall not exceed three The subscription application will be handled within three months, and the specific business handling time will be specified in the announcement of subscription beginning. The Fund Manager shall not exceed three Redemption will be carried out within three months, and the specific time for business handling will be specified in the announcement of redemption commencement. After determining the start time of subscription and redemption, the Fund Manager shall announce the start time of subscription and redemption on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the opening day of subscription and redemption. The fund manager may not handle the subscription, redemption or conversion of fund units on a date or time other than that specified in the fund contract. If an investor submits an application for subscription, redemption or conversion on a date and time other than the one specified in the fund contract and the registration authority confirms its acceptance, the subscription, redemption or conversion price of the fund units shall be the price of subscription, redemption or conversion of the fund units on the next open day.

Q: When will the redemption of ICBC convertible bonds arrive?

	Answer: The fund share holder submits the redemption application and the redemption is established; The redemption takes effect when the registration institution confirms the redemption. After the redemption application of the fund unit holder is successful, the fund manager will T ＋ seven day ( Include this date ) Redemption funds shall be paid within. In case of data transmission delay, communication system failure, bank data exchange system failure or other factors beyond the control of the Fund Manager and the Fund Custodian affecting the business processing process of the securities, futures exchanges or trading markets, the redemption funds shall be transferred out to the next working day. In case of major redemption or other circumstances of suspending redemption or delaying payment of redemption funds as specified in the Fund Contract, the payment method shall be handled with reference to the relevant provisions of the Fund Contract.

Q: What are the principles for the purchase and redemption of ICBC convertible bonds?

	Answer: one The principle of "unknown price", that is, the subscription and redemption prices are calculated on the basis of the net value of fund units calculated after the closing of the application day; two The principle of "amount subscription and share redemption", that is, subscription is applied for by amount and redemption is applied for by share; three The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager; four Redemption shall follow the principle of "first in, first out", that is, redemption shall be carried out in the order of investors' subscription and subscription. five The principle of giving priority to the interests of fund unit holders shall be followed when handling subscription and redemption businesses. The Fund Manager may adjust the above principles if permitted by laws and regulations. The fund manager must make an announcement on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules. The documents, procedures, time and rules that investors should submit when handling subscription, redemption and other businesses shall be subject to the specific provisions of each sales agency on the premise of complying with the provisions of the fund contract and the prospectus.

Q: What are the restrictions on the subscription amount, redemption shares and account retention shares of ICBC convertible bonds?

	Answer: one At the time of subscription, the minimum amount of each subscription of the Fund by investors through the outlets of sales institutions is one RMB (including subscription fee); The minimum amount of a single subscription for each fund account is one RMB (including subscription fee); 2 . The number of fund units redeemed each time shall not be less than 0.01. If the balance of fund units retained by the fund unit holder at the outlet of the sales institution at the time of redemption or after redemption is less than 0.01, the fund unit holder shall redeem all at one time at the time of redemption. In actual operation, the specific provisions of each sales organization shall prevail

Q: When can I check fund shares after subscribing for ICBC convertible bonds?

	Answer: The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the application day for subscription or redemption (T day ) Under normal circumstances, the Fund's registration authority T+1 The validity of the transaction shall be confirmed within days. T The investor shall submit a valid application on T+2 Later ( Include this date ) Timely go to the sales outlet counter or inquire about the confirmation of the application in other ways specified by the sales agency. If the subscription is unsuccessful or invalid, the principal of the subscription amount shall be returned to the investor. The acceptance of the application for subscription and redemption by the fund sales agency does not necessarily mean that the application is successful, but only means that the sales agency has actually received the application. The confirmation of subscription and redemption shall be subject to the confirmation result of the registration authority. Investors shall timely inquire about the confirmation of the application. If investors' relevant rights and interests are damaged due to their negligence in performing the inquiry and other obligations, the Fund Manager, the Fund Custodian and other fund sales institutions will not bear the losses or adverse consequences arising therefrom. If the application is not confirmed by the registration authority, the investor shall bear the losses. Within the scope permitted by laws and regulations, the Fund registration authority may adjust the above business processing time in accordance with the relevant business rules, and the Fund Manager will make an announcement in accordance with the relevant provisions before implementation. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange T Day: refers to the open day on which the sales institution accepts the subscription, redemption or other business applications of investors at the specified time.