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类金融监管样本:九鼎系资本运作触“天花板”

2017-09-15 16:26:42   中国经济网

本报记者 谷枫 北京报道

提起资本运作的创新和灵活,九鼎投资近几年在资本市场的辗转腾挪堪称经典样本。在这一过程中,九鼎系成功利用资本市场完成了全牌照的布局。

这笔非公开发行从始至终见证了九鼎系在资本市场的融资运作,如今这一方案终止也意味着九鼎系在资本市场的运作或许要熟悉现今的监管节奏。

两次关键点

九鼎系在资本市场翻江倒海始于2014年挂牌新三板。这也是私募基金管理机构挂牌新三板的第一次尝试。

“九鼎当时的选择还是让市场惊讶了一下,在那个时点,新三板市场仍是较为边缘的市场,行业内对其挂牌新三板都持有一定的保留态度。”硅谷天堂一位中高层人士9月5日对记者表示。

九鼎首创了基金LP持有份额转换为股权的方式,这也让九鼎在新三板的第一笔融资就高达35.37亿。

“在当时来说,市场很少有质疑LP转股是否合理。”一位九鼎投资内部的人士9月6日对记者讲道。

随后九鼎再接再厉,于当年开启了另一轮大额融资,融资总额为22亿元。正是登陆新三板后的两笔天量融资,为九鼎系扩张金融版图打下坚实的基础。基于上述的资本运作,2015年九鼎先后拿下了公募基金和券商的牌照,向金控平台的方向再进一步。

2015年11月初,九鼎集团宣布完成了一笔总规模为100亿的融资,这也让九鼎成为了新三板历史上累计融资额最大的企业之一。

作为最先登陆新三板的私募机构,九鼎系已经不满足于仅仅在新三板市场进行其资本运作的创新。

与此同时,九鼎私募业务在注入上市公司的同时公布了一笔重磅的非公开发行计划,拟募资120亿元用于基金份额出资、“小巨人” 计划两个项目。

监管之靴落下

然而在2015年末,就在九鼎系准备继续利用多层次资本市场继续扩张之时,监管之靴终于落下,九鼎投资以及其他PE等类金融企业利用资本市场融资的政策已经收紧。

“证监会已经叫停私募股权投资机构挂牌新三板。对于已经审核通过但未挂牌项目,股转公司将请示证监会处理意见;其余在审项目暂停,何去何从尚需等待。请大家酌情暂停此类项目的申报准备工作,改制工作是否继续建议与客户协商确定。”

2015年12月底这样一则消息开始传播,21世纪经济报道记者也第一时间从监管层处证实了这一消息。事实上,不仅仅是挂牌,包括已挂牌机构的融资以及并购重组也均被暂停。

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