北京大成律师事务所 关于昆吾九鼎投资控股股份有限公司 2023 年 年 度 股东大会的 法 律 意 见 书 北 京 大 成 律 师 事 务 所 www.dentons.cn 北京市朝阳区朝阳门南大街 10 号兆泰国际中心 B 座 16-21 层（100020） 16-21F, Tower B, ZT International Center, No.10, Chaoyangmen Nandajie Chaoyang District, 100020, Beijing, China Tel: +86 10-58137799 Fax: +86 10-58137788 北京大成律师事务所关于昆吾九鼎投资控股股份有限公司 2023 年年度股东大会的法律意见书 致：昆吾九鼎投资控股股份有限公司 根据《中华人民共和国证券法（2019 修订）》（以下简称"《证券法》"）、《中 华人民共和国公司法（2018 修正）》（以下简称"《公司法》"）和中国证券监督管 理委员会《上市公司股东大会规则》（2022 年修订）（以下简称《股东大会规则》 " "） 等法律、法规和其他有关规范性文件的要求，北京大成律师事务所（以下简称"本 所" ...

证券代码：600053 证券简称：九鼎投资 公告编号：2024-018 昆吾九鼎投资控股股份有限公司 2023 年年度股东大会决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 本次会议是否有否决议案：无 一、 会议召开和出席情况 | 1、出席会议的股东和代理人人数 | 10 | | --- | --- | | 2、出席会议的股东所持有表决权的股份总数（股） | 320,113,486 | | 3、出席会议的股东所持有表决权股份数占公司有表决权股 | 73.8369 | | 份总数的比例（%） | | (四) 表决方式是否符合《公司法》及《公司章程》的规定，大会主持情况等。 本次会议采用的表决方式是现场投票和网络投票相结合的方式，公司董事会 (一) 股东大会召开的时间：2024 年 5 月 17 日 (二) 股东大会召开的地点：北京市朝阳区安立路 30 号仰山公园 2 号楼大会议 室 (三) 出席会议的普通股股东和恢复表决权的优先股股东及其持有股份情况： 召集会议，董事长康青山先生主持会议。本次会议的召集 ...

昆吾九鼎投资控股股份有限公司 Kunwu Jiuding Investment Holdings CO., Ltd 2023 年年度股东大会会议材料 2024 年 5 月 17 日 一、九鼎投资 2023 年年度股东大会会议须知 二、九鼎投资 2023 年年度股东大会会议（现场会议）议程 1、《公司 2023 年年度报告全文及摘要》 2、《公司 2023 年度董事会工作报告》 3、《公司 2023 年度监事会工作报告》 4、《公司 2023 年度财务决算报告》 5、《公司 2023 年度利润分配预案》 6、《关于董事 2023 年度薪酬确认及 2024 年度薪酬方案的议案》 7、《关于监事 2023 年度薪酬确认及 2024 年度薪酬方案的议案》 8、《关于修订<公司章程>的议案》 9、《关于修订及制定公司部分管理制度的议案》 9.01 《关于修订<股东大会议事规则>的议案》 9.02 《关于修订<董事会议事规则>的议案》 9.03 《关于修订<监事会议事规则>的议案》 9.04 《关于修订<独立董事制度>的议案》 10、《关于聘请 2024 年度财务审计机构及内控审计机构的议案》 昆吾九鼎投资控股股份有限公 ...

Financial Performance - The company reported a total revenue of CNY 49,899,613.49 for Q1 2024, representing a year-on-year increase of 309.53%[6] - Net profit attributable to shareholders reached CNY 5,219,543.13, an increase of 122.58% compared to the same period last year[6] - The private equity investment management business generated revenue of CNY 48,652,700.00, up 336.87% year-on-year, with net profit attributable to shareholders of CNY 11,274,300.00, an increase of 189.41%[6] - The real estate business reported revenue of CNY 1,246,900.00, an increase of 18.98%, but incurred a net loss of CNY 605,480.00, a reduction in loss by 42.38%[7] - Total revenue for Q1 2024 reached ¥49,899,613.49, a significant increase from ¥12,184,614.36 in Q1 2023, representing a growth of approximately 309.5%[21] - Net profit for Q1 2024 was ¥5,017,762.97, a turnaround from a net loss of ¥18,501,945.05 in Q1 2023[22] - The company reported a comprehensive income total of ¥5,687,546.61 for Q1 2024, recovering from a comprehensive loss of ¥23,692,162.70 in the same period last year[23] Assets and Liabilities - The company's total assets at the end of the reporting period were CNY 3,370,389,660.67, a decrease of 0.91% from the end of the previous year[6] - The company's total assets amounted to ¥3,370,389,660.67, slightly down from ¥3,401,214,855.74 in the previous year[18] - Total liabilities decreased to ¥452,949,572.06 from ¥489,455,546.46 year-over-year, reflecting a reduction of approximately 7.4%[18] - Shareholders' equity attributable to the company was CNY 2,897,058,283.42, an increase of 0.20% compared to the end of the previous year[6] - The equity attributable to shareholders of the parent company increased to ¥2,897,058,283.42 from ¥2,891,171,278.67, showing a marginal growth of about 0.2%[18] Cash Flow - The net cash flow from operating activities was negative at CNY -23,726,925.89[5] - In Q1 2024, the cash inflow from operating activities was CNY 65,357,648.22, a decrease of 25.7% compared to CNY 88,029,234.68 in Q1 2023[25] - The net cash outflow from operating activities was CNY -23,726,925.89, improving from CNY -35,512,440.23 in the same period last year[26] - Cash inflow from investment activities increased to CNY 38,263,282.89, up 34.1% from CNY 28,561,109.22 in Q1 2023[26] - The net cash flow from investment activities was CNY 36,537,643.38, an increase of 32.3% compared to CNY 27,629,691.28 in the previous year[26] - The cash outflow for financing activities was CNY 1,659,611.12, showing an improvement from CNY 2,728,767.12 in Q1 2023[26] - The net increase in cash and cash equivalents was CNY 11,290,453.33, compared to a decrease of CNY -11,729,878.21 in the same quarter last year[26] - The ending balance of cash and cash equivalents was CNY 255,850,813.23, down from CNY 344,906,159.10 in Q1 2023[26] - The company reported a total cash outflow for operating activities of CNY 89,084,574.11, a reduction of 28% from CNY 123,541,674.91 in the previous year[26] Shareholder Information - The company’s major shareholders include Jiangxi Zhongjiang Group with a 51% stake and Jiangxi Zixing Enterprise Management with a 21.37% stake, indicating strong control by these entities[12] - Shareholder Chao Guoping's holdings decreased to 8,900,000 shares, down from 9,000,000, a reduction of approximately 1.11%[14] - The company has not engaged in any share lending or borrowing activities during the reporting period, maintaining a stable share structure[14] Current Assets - The company reported a total current assets of RMB 2,304,362,902.84 as of March 31, 2024, an increase from RMB 2,291,443,757.39 at the end of 2023, reflecting a growth of approximately 0.56%[16] - Cash and cash equivalents amounted to RMB 256,410,507.60, up from RMB 244,899,643.53, indicating an increase of about 4.12%[16] - The company's accounts receivable rose to RMB 112,529,438.55 from RMB 87,092,626.71, representing a significant increase of approximately 29.3%[16] - Inventory levels were reported at RMB 1,811,889,110.24, slightly up from RMB 1,809,300,968.22, showing a marginal increase of 0.14%[16] - The total non-current assets decreased to RMB 1,000,000,000 from RMB 1,000,000,000, reflecting a stable position[16] - The total amount of trading financial assets increased to RMB 64,369,294.60 from RMB 56,756,813.76, marking an increase of about 13.5%[16] Other Information - The company has not reported any significant new product developments or market expansions in this quarter[15] - The company did not report any new product launches or technological advancements during this quarter[27] - The company is not applying new accounting standards for the first time in 2024[27] - Basic and diluted earnings per share were both CNY 0.0120[5] - The weighted average return on net assets increased by 0.97 percentage points to 0.1804%[5] - Non-recurring gains and losses amounted to CNY 3,630,244.04, primarily from government subsidies and asset disposals[9]

Financial Performance - In 2023, the company achieved a net profit attributable to shareholders of 0.15 million, a decrease of 91.19% year-on-year, with a net profit of 0.10 million after deducting non-recurring gains and losses, down 94.13%[13] - The private equity investment management business generated a net profit of 0.50 million, a decline of 73.66% year-on-year, while the real estate business reported a net loss of 0.35 million, an increase in loss of 114.62%[13] - In 2023, the company's operating revenue was CNY 280,566,742.46, a decrease of 35.07% compared to CNY 432,097,736.37 in 2022[34] - The net profit attributable to shareholders was CNY 15,345,147.16, down 91.19% from CNY 174,144,200.20 in the previous year[34] - The net profit after deducting non-recurring gains and losses was CNY 10,050,040.12, a decline of 94.13% compared to CNY 171,278,213.02 in 2022[34] - The net cash flow from operating activities was negative CNY 73,785,509.10, a decrease of 140.67% from CNY 181,416,084.76 in 2022[34] - As of the end of 2023, the total assets amounted to CNY 3,401,214,855.74, a decrease of 2.14% from CNY 3,475,733,586.32 at the end of 2022[34] - The net assets attributable to shareholders were CNY 2,891,171,278.67, down 1.14% from CNY 2,924,578,893.48 at the end of 2022[34] Business Strategy and Focus - The company plans to focus on investment business in 2024, targeting high-quality leading enterprises in advanced manufacturing, new consumption, and life health sectors within China[18] - The company aims to increase the proportion of self-owned capital investments in its fundraising strategy and enhance the quality of project investments[18] - The company plans to focus on market expansion and new product development in the upcoming year[34] - Management highlighted the importance of strategic acquisitions to enhance competitive advantage in the market[34] - The company is investing in new technologies to improve operational efficiency and drive future growth[34] Real Estate Business - The real estate business will continue to develop and sell the remaining plots of the "Zijin City" project, including ongoing sales of Phase I and planning for Phase V[19] - The real estate business achieved total sales returns of 45.1667 million RMB and recognized revenue of 5.9676 million RMB during the reporting period[46] - The real estate business generated revenue of 10 million RMB, reflecting a significant decline of 68.84% compared to the same period last year[90] - The company focused on the "Zijin City" project, targeting high-end consumers in Nanchang, with ongoing development and sales efforts for remaining land parcels[88] Compliance and Risk Management - The company emphasizes compliance and customer service in its operations, aiming to enhance communication with investors and improve customer satisfaction[19] - The company acknowledges the risks associated with its future operational plans, indicating that these plans do not constitute performance commitments to investors[19] - The company has established a risk control center to enhance the effectiveness of risk management and has a complete review mechanism to minimize investment risks[87] - The company has committed to strict compliance with laws and regulations, enhancing its internal control systems to mitigate compliance risks[49] Fund Management and Performance - As of December 31, 2023, the company has fully exited 252 private equity investment projects, recovering a total of 51.043 billion RMB against an invested principal of 21.587 billion RMB, resulting in a comprehensive IRR of 21.17%[45] - The company managed equity funds with a total paid-in capital of 12.61 billion RMB, recovering 13.86 billion RMB from fully exited projects[44] - The company has a total of 64 companies listed in domestic and international capital markets and 52 companies listed on the New Third Board as of December 31, 2023[45] - The company has established a decision-making system for fund investments, adhering strictly to partnership agreements and decision-making principles[75] Governance and Management Structure - The company has a comprehensive governance structure in place, complying with relevant laws and regulations, ensuring operational transparency and accountability[136] - The company has established several specialized committees, including the Audit Committee and the Compensation and Assessment Committee, to oversee various governance aspects[152] - The total remuneration for the board members during the reporting period amounted to 5.09 million CNY[142] - The company has a total of 12 board members, with 3 independent directors[143] Market Conditions and Trends - The private equity investment market saw a total fundraising amount of 1,382.83 billion RMB, a decrease of 14.1% year-on-year, with the average fund size dropping by 10.6% to 283 million RMB[82] - The total investment amount in the private equity market was 496.44 billion RMB, reflecting a year-on-year decline of 22.9%, with the number of investment cases decreasing by 9.8% to 4,380[83] - The real estate market is experiencing a downward trend, with a 28% year-on-year decrease in overall financing volume[84] Legal and Regulatory Issues - The company faced administrative penalties from the China Securities Regulatory Commission, including fines totaling 1.5 million yuan for various violations related to information disclosure and securities trading[146] - The company is currently involved in a significant arbitration case with a former employee, with a disputed amount of 4.24 million RMB[197] - The company is facing ongoing litigation related to a contract dispute with Jiangxi Tungsten Holdings, with claims for economic damages totaling approximately 208.16 million RMB[200] Environmental and Social Responsibility - The company actively promotes environmental responsibility and sustainable development, aligning with the UN's Principles for Responsible Investment (PRI)[180] - The company implemented measures to reduce carbon emissions, including energy conservation and waste reduction initiatives[181] - A total of 2.81 million yuan was invested in poverty alleviation and rural revitalization projects, including 2.00 million yuan in funds and 0.81 million yuan in material donations[182]

证券代码：600053 证券简称：九鼎投资 公告编号：临 2024-016 昆吾九鼎投资控股股份有限公司 关于召开 2023 年度业绩说明会的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 二、 说明会召开的时间、地点 （一） 会议召开时间：2024 年 05 月 24 日 下午 15:00-16:00 （二） 会议召开地点：上证路演中心 （三） 会议召开方式：上证路演中心网络互动 重要内容提示： 会议召开时间：2024 年 05 月 24 日下午 15:00-16:00 会议召开地点：上海证券交易所上证路演中心（网址： https://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2024 年 05 月 20 日至 05 月 23 日 16:00 前登录上证 路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 600053@jdcapital.com 进行提问。公司将在说明会上对投资者普遍 关注的问题进行回答。 昆吾九鼎投资控股股份有限公司（以下简称"公司"）已于 20 ...

公司根据《公司法》、《证券法》、《上市公司独立董事管理办法》、《上海证券交易 所股票上市规则》等法律法规及规范性文件的规定，拟对《昆吾九鼎投资控股股份有 限公司章程》（以下简称"《公司章程》"）的相关内容进行修订，具体修订内容参照如 下对照表： 证券代码：600053 证券简称：九鼎投资 编号：临 2024-015 昆吾九鼎投资控股股份有限公司 K u n w u J i u d i n g I n v e s t m e n t H o l d i n g s C O . , L t d 关于修订《公司章程》及修订、制定公司部分 管理制度的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 昆吾九鼎投资控股股份有限公司（以下简称"公司"）于 2024 年 4 月 15 日召开 第九届董事会第十四次会议审议通过了《关于修订<公司章程>的议案》、《关于修订及 制定公司部分管理制度的议案》，现将有关情况公告如下： 一、《公司章程》修订情况 | 序号 | 修订前条款 | 修订后条款 | | --- | --- | --- | | ...

昆吾九鼎投资控股股份有限公司 公司第九届董事会审计委员会由独立董事鲜文铎、张宝林及非独立董事刘靖 组成，并由具备会计专业背景的独立董事鲜文铎担任审计委员会召集人。 二、审计委员会年度会议召开情况 根据《上海证券交易所上市公司自律监管指引第 1 号—规范运作》《上市公 司治理准则》《上海证券交易所股票上市规则》及《公司章程》和《审计委员会 实施细则》的有关规定，昆吾九鼎投资控股股份有限公司（以下简称"公司"） 董事会审计委员会在 2023 年度尽职尽责，积极开展工作，认真履行职责。 现对董事会审计委员会在 2023 年度的履职情况汇报如下： 一、董事会审计委员会组成情况 2023 年度，公司董事会审计委员会共召开 6 次会议，全体委员均亲自出席 1 召开时间 会议内容 审议情况 2023 年 1 月 11 日 审议如下议案： 1、《关于预计 2023 年度向控股股东及其关联方拆入资金暨关联交易 的议案》 2、《关于预计 2023 年度公司及其下属子公司向其在管基金出借资金 暨关联交易的议案》 3、《关于预计 2023 年度日常关联交易的议案》 审议通过 2023 年 4 月 26 日 审议如下议案： 1、《公司 ...

证券代码：600053 证券简称：九鼎投资 编号：临 2024-011 昆吾九鼎投资控股股份有限公司 K u n w u J i u d i n g I n v e s t m e n t H o l d i n g s C O . , L t d 第 九 届监事会 第 十 四 次会议决议公告 本公司监事会及全体监事保证本公告内容不存在任何虚假记载、误导性陈述或 者重大遗漏，并对其内容的真实性、准确性及完整性承担法律责任。 一、会议召开情况 昆吾九鼎投资控股股份有限公司（以下简称"本公司"或"公司"）第九届监事会 第十四次会议于 2024 年 4 月 15 日在公司会议室召开，公司已于 2024 年 4 月 3 日以 书面及电子邮件等方式发出了会议通知。本次会议应到监事 3 名，实到监事 3 名。会 议由公司监事会主席葛岚女士主持。会议的召集、召开及出席会议的监事会人数符合 《中华人民共和国公司法》等有关法律、法规和《公司章程》的规定。 法律责任。 此项议案表决情况为：3 票赞成，0 票反对，0 票弃权，通过本议案。 二、会议审议情况 本次会议采用现场及通讯表决的方式，审议通过了如下议案： （一）《公司 20 ...

昆吾九鼎投资控股股份有限公司 2023 年度财务报表审计报告 l 录 | 、审计报告 | 1-5 页 | | --- | --- | | 二、审计报告附件 | | | 1、合并资产负债表 | 6-7 页 | | 母公司资产负债表 2、 | 8-9 页 | | 3、合并利润表 | 10 页 | | 4、母公司利润表 | 11 页 | | 5、合并现金流量表 | 12 页 | | 6、母公司现金流量表 | 13 页 | | 7、合并所有者权益变动表 | 14—15 页 | | 8、 母公司所有者权益变动表 | 16—17 页 | | 9、财务报表附注 | 18—92 页 | 您可使用手机"扫一扫"或进入"注册会计师招总监护 报 告 [2024]京会兴审字第 00660012 号 昆吾九鼎投资控股股份有限公司全体股东: 一、审计意见 我们审计了昆吾九鼎投资控股股份有限公司(以下简称"九鼎投资")合并 及母公司财务报表(以下简称"财务报表"),包括 2023年 12月 31 日的合并及 母公司资产负债表,2023年度的合并及母公司利润表、合并及母公司现金流量 表、合并及母公司所有者权益变动表以及相关财务报表附注。 我 ...