重要内容提示：

涉诉各方：

• 原告：我司 　　　　　　　　　　　　　　　　　　　中国证券投资基金业协会会员编号:GC1900031934
• 被告一：升益（南京）私募基金管理有限公司
  　　　　统一社会信用代码:91320105MACYXQME5B
• 被告二：招商证券股份有限公司
  　　　　统一社会信用代码:91440300192238549B　　中国证券投资基金业协会会员编号:PT0300000149
• 被告三：中国证券投资基金业协会
  　　　　统一社会信用代码:51100000717833480U

诉讼请求金额：合计人民币约1072万元

诉讼进展：庭审阶段

对本公司的影响：预计不会对公司正常经营造成重大不利影响

一、诉讼基本情况

　　本公司近期发现，升益（南京）私募基金管理有限公司、招商证券股份有限公司及中国证券投资基金业协会在私募基金发行过程中，涉嫌违反相关法律法规，侵害本公司的注册商标专用权等合法权益。为维护本公司及股东的利益，确保公司的持续成长，本公司已委托上海青本律师事务所阮红斌律师向江苏省南京市中级人民法院提起了诉讼。

二、诉讼请求

• 1～5.判令被告停止侵权行为；
• 6～8.判令被告在网站首页头部位置使用突出字体持续刊登声明10日，消除因其侵权行为对原告造成的不良影响；
• 9.判令3被告向原告连带惩罚性赔偿人民币10,010,400元；
• 10.判令被告二因实施侵权行为获益而向原告惩罚性赔偿人民币625,600元；
• 11.判令3被告连带赔偿原告维权合理支出人民币8.8万元；
• 12.就诉讼费的承担做出裁判

三、诉讼概述

　　原告认为3被告故意共同侵害了原告合法享有的“升益^®”注册商标专用权，为维护原告合法权益，特诉至南京市中级人民法院，提出上列诉请。

四、诉讼进展

　　目前，上述诉讼已获得南京市中级人民法院正式立案，案号为(2024)苏01民初1534号 。本公司将密切关注诉讼进展情况，并会根据相关规定在本页面及时更新履行信息披露义务。

五、本次公告前公司无其他诉讼、仲裁事项

六、本次诉讼的风险预控及对公司的可能影响

　　本公司已于2024年06月20日将托管在被告二（招商证券股份有限公司）处的私募基金转托管至其他基金托管人，并已中断与被告二及其控股公司的所有业务合作，不会给所管理的私募基金财产引入风险。
　　本公司认为，上述诉讼不涉及我司的私募基金管理业务、当前所管理的基金的财产及托管人，不会对基金的持续运行、投资者的利益及资产净值造成任何不利影响。不会对公司的日常经营产生重大不利影响。

七、备查文件

　　1、民事起诉状； 2、受理案件通知书；

　　投资者及相关合作方如对本次公告内容有任何疑问或需要进一步详细资料，可联系您的客户经理或拨打我们的联系电话。
　　特此公告。

本公告网址二维码：

上海升益投资管理有限公司 联系电话:021-58942378 2024年07月27日 公告编号：s1asset_20240727 公告网址：https://www.s1asset.com/the-firm/dc20240727.html

Important content reminder:

Parties involved in the lawsuit:

• Plaintiff: Our company                                                                                AMAC Member ID:GC1900031934
• Defendant 1:Shengyi（Nanjing）Private Investment Fund Management Co., Ltd.
                          Unified Social Credit Code:91320105MACYXQME5B
• Defendant 2:China Merchants Securities co. Ltd. (CMS)
                          Unified Social Credit Code:91440300192238549B       AMAC Member ID:PT0300000149
• Defendant 3:Asset Management Association of China. (AMAC)
                          Unified Social Credit Code:51100000717833480U

Litigation claim amount:The total amount is approximately RMB 10.72 million

Litigation Progress: Trial stages(Second Instance )

Impact on our company: It is expected that it will not have a significant adverse effect on the normal operation of the company.

1、 Basic information of litigation

　　Our company has recently discovered that Shengyi (Nanjing) Private Investment Fund Management Co., Ltd., China Merchants Securities Co., Ltd. (CMS), and Asset Management Association of China (AMAC) are suspected of violating relevant laws and regulations and infringing on our company's legitimate rights and interests, such as the exclusive right to use registered trademarks, during the issuance of private investment funds. In order to safeguard the interests of our company and shareholders, and ensure the continuous growth of the company, we have entrusted Lawyer Ruan Hongbin from Shanghai Qingben Law Firm to file a lawsuit with the Nanjing Intermediate People's Court in Jiangsu Province.

2、 Lawsuit Request

• 1～5.Order the defendants to cease infringing behavior;
• 6～8.Order the defendants to continuously publish a statement in prominent font at the top of the website homepage for 10 days, in order to eliminate the adverse effects caused to the plaintiff by their infringement behavior;
• 9.Order the three defendants to jointly and severally pay punitive damages of RMB 10010400 to the plaintiff;
• 10.Order defendant 2 (CMS) to pay punitive damages of RMB 625600 to the plaintiff for the benefits gained from the infringement;
• 11.Order the three defendants to jointly compensate the plaintiff for reasonable expenses incurred in safeguarding their rights, totaling RMB 88000;
• 12.Make a judgment on the assumption of litigation costs.

3、 Overview of Litigation

　　The plaintiff believes that the three defendants intentionally jointly infringed upon the plaintiff's legitimate right to use the registered trademark "升益^®"（Shengyi）. In order to protect the plaintiff's legitimate rights and interests, the plaintiff hereby files a lawsuit with the Nanjing Intermediate People's Court and submits the above application.

4、 Progress of litigation

　　At present, the above-mentioned lawsuit has been officially filed by the Nanjing Intermediate People's Court, with case number (2024) Su 01 MinChu No.1534 . Our company will closely monitor the progress of the litigation and will promptly update and fulfill our information disclosure obligations on this page in accordance with relevant regulations.

5、 Prior to this announcement, the company had no other litigation or arbitration matters

6、 Risk prevention and potential impact on the company in this lawsuit

　　Our company has transferred the private fund entrusted to Defendant 2 (China Merchants Securities Co., Ltd.) to another fund custodian on June 20, 2024, and has suspended all business cooperation with Defendant 2 and its holding company, which will not introduce risks to the private fund assets managed.
　　Our company believes that the above-mentioned lawsuit does not involve our private fund management business, the assets and custodians of the funds currently managed, and will not have any adverse effects on the continued operation of the funds, the interests of investors, and the net asset value. It will not have a significant adverse impact on the daily operations of the company.

7、 Document for reference

　　1. Civil complaint; 2. Notice of Acceptance of Case;

　　If investors and related partners have any questions or need further detailed information about the content of this announcement, they can contact your account manager or call our contact phone number.
　　This is to announce.

URL QR code:

Super One Asset Management Co., Ltd. Contact number:+86-21-5894-2378 July 27th, 2024 Announcement Number:s1asset_20240727 Announcement URL:https://www.s1asset.com/the-firm/dc20240727.html