中信建投证券股份有限公司 关于 云南煤业能源股份有限公司 向特定对象发行股票 之 发行保荐书 保荐机构 二〇二三年十一月 3-1-1-1 3-1-1-2 | 释 | 义 4 | | --- | --- | | 第一节 | 本次证券发行基本情况 5 | | | 一、本次证券发行具体负责推荐的保荐代表人 5 | | | 二、本次证券发行项目协办人及项目组其他成员 5 | | | 三、发行人基本情况 6 | | | 四、保荐机构与发行人关联关系的说明 10 | | | 五、保荐机构内部审核程序和内核意见 11 | | | 六、保荐机构对私募投资基金备案情况的核查 12 | | 第二节 | 保荐机构承诺事项 13 | | 第三节 | 关于有偿聘请第三方机构和个人等相关行为的核查 14 | | | 一、本保荐机构有偿聘请第三方等相关行为的核查 14 | | | 二、发行人有偿聘请第三方等相关行为的核查 14 | | 第四节 | 对本次发行的推荐意见 15 | | | 一、发行人关于本次发行的决策程序合法 15 | | | 二、本次发行符合相关法律规定 16 | | | 三、发行人的主要风险提示 19 | | | 四、发 ...

股票简称：云煤能源 股票代码：600792 云南煤业能源股份有限公司 Yunnan Coal & Energy Co., Ltd. （云南省昆明市安宁市金方街道办事处） 向特定对象发行股票 募集说明书 （注册稿） 保荐机构（主承销商） 二〇二三年十一月 声 明 中国证监会、交易所对本次发行所作的任何决定或意见，均不表明其对申请 文件及所披露信息的真实性、准确性、完整性作出保证，也不表明其对发行人的 盈利能力、投资价值或者对投资者的收益作出实质性判断或保证。任何与之相反 的声明均属虚假不实陈述。 根据《证券法》的规定，证券依法发行后，发行人经营与收益的变化，由发 行人自行负责。投资者自主判断发行人的投资价值，自主作出投资决策，自行承 担证券依法发行后因发行人经营与收益变化或者证券价格变动引致的投资风险。 1-1-1 重大事项提示 公司特别提示投资者对下列重大事项给予充分关注，并仔细阅读本募集说明 书中有关风险因素的章节。 一、经营风险 （一）客户集中的风险 公司向关联方武昆股份及其子公司销售焦炭等产品。双方已形成长期稳定的 相互依存关系，互为最大的供应商和客户。但如果武昆股份由于国家宏观政策的 调整、市场经济形 ...

证券代码：600792 证券简称：云煤能源 公告编号：2023-063 云南煤业能源股份有限公司 第九届董事会第十四次临时会议决议公告 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。 云南煤业能源股份有限公司（以下简称公司）第九届董事会第十四次临时会 议于2023年10月30日上午以通讯表决方式召开，会议通知及材料于2023年10月27 日前以电子邮件方式传送给董事会全体董事，本公司实有董事9人，实际参加表 决的董事9人，收回有效表决票9张。本次会议的召集及召开程序符合《公司法》 《公司章程》的有关规定。会议审议通过了如下议案： 一、以 9 票赞成，0 票反对，0 票弃权审议通过关于《公司经理层成员 2022 年度经营业绩责任考核结果》的议案。 会议审议通过公司经理层成员 2022 年度经营业绩责任考核结果。 该议案已经公司第九届董事会薪酬与考核委员会2023年第二次会议审议通 过。 二、以 9 票赞成，0 票反对，0 票弃权审议通过关于《公司经营管理层成员 2023 年度经营业绩责任书》的议案。 会议同意公司组织经营管理层成 ...

Financial Performance - The company's operating revenue for Q3 2023 was CNY 1,814,037,172.19, representing a year-on-year increase of 5.07%[2] - The net profit attributable to shareholders for Q3 2023 was CNY 267,866,847.67, while the net profit for the year-to-date period was CNY 234,652,386.35, showing a decrease of 3.61% compared to the same period last year[2] - The basic and diluted earnings per share for Q3 2023 were both CNY 0.27, compared to CNY 0.24 for the year-to-date period, indicating an increase[2] - Total revenue for the first three quarters of 2023 was CNY 5,502,388,857.91, a decrease of 3.61% compared to CNY 5,708,369,755.85 in the same period of 2022[20] - Net profit for the first three quarters of 2023 was CNY 236,747,769.73, a significant recovery from a net loss of CNY 91,372,940.56 in the same period of 2022[21] - Earnings per share for the first three quarters of 2023 were CNY 0.24, compared to a loss per share of CNY 0.10 in the previous year[22] - Operating profit for the first three quarters of 2023 was CNY 217,798,409.47, a turnaround from an operating loss of CNY 101,917,471.92 in 2022[21] Assets and Liabilities - The total assets at the end of Q3 2023 were CNY 9,806,013,656.71, reflecting a 4.30% increase from the end of the previous year[3] - The total assets of the company amounted to RMB 9,806,013,656.71 as of September 30, 2023, up from RMB 9,401,644,676.45 at the end of 2022, indicating a growth of about 4.29%[15] - Total liabilities as of the end of Q3 2023 were CNY 6,318,662,958.67, an increase from CNY 6,151,667,415.05 at the end of Q3 2022[20] - The company’s total liabilities decreased to RMB 4,309,298,879.73 from RMB 4,401,644,676.45, indicating a reduction of about 2.1%[15] - The total liabilities increased to CNY 5,305,866,056.36 as of September 30, 2023, compared to CNY 4,454,180,207.05 at the end of 2022, reflecting a growth of 19.2%[29] Cash Flow - The net cash flow from operating activities for the year-to-date period was CNY -633,738,923.75, a significant decrease of 230.15% compared to the same period last year[2] - Cash inflow from operating activities for the first three quarters of 2023 was CNY 3,185,909,078.66, a decrease of 33% compared to CNY 4,750,562,634.89 in the same period of 2022[25] - Net cash flow from operating activities in Q3 2023 was -CNY 633,738,923.75, compared to a positive CNY 486,930,411.26 in Q3 2022[26] - The company reported a net cash inflow from investing activities of CNY 45,084,324.74 in Q3 2023, a significant improvement from a net outflow of -CNY 659,976,812.96 in Q3 2022[26] Shareholder Information - The company reported a total of 44,217 common shareholders at the end of the reporting period[9] - The largest shareholder, Kunming Steel Holding Co., Ltd., holds 60.19% of the shares, amounting to 595,841,429 shares[9] Investment and Income - The company reported a significant increase in investment income of CNY 1,960.98 million due to the disposal of subsidiaries[7] - The company confirmed an investment income of RMB 261,245,800 from the transfer of 100% equity in three coal mines, which was completed on July 28, 2023[12] - The company reported an investment income of CNY 267,792,384.57 for the first three quarters of 2023, compared to CNY 12,993,447.30 in the same period of 2022[20] Expenses and Costs - Total operating costs for the first three quarters of 2023 were CNY 5,575,992,817.67, down from CNY 5,817,223,854.65 in 2022, reflecting a reduction of 4.16%[20] - The company recorded a decrease in sales expenses by 33.98% due to reduced sales-related costs from a subsidiary[7] - Research and development expenses for the first three quarters of 2023 were CNY 11,508,485.67, slightly down from CNY 11,784,476.28 in 2022[20] Cash and Equivalents - The company reported a 41.48% decrease in cash and cash equivalents at the end of Q3 2023 due to the utilization of project-specific loan funds for the construction of a 2 million-ton coking project[6] - The company's cash and cash equivalents decreased to RMB 481,426,881.43 from RMB 822,690,989.18, representing a decline of approximately 41.5%[13] - The company's cash and cash equivalents decreased to CNY 430,225,704.49 by the end of Q3 2023, down from CNY 616,933,298.63 at the end of Q3 2022[27] Future Outlook - The company plans to continue expanding its market presence and investing in new technologies to drive future growth[35]

关于《云南煤业能源股份有限公司股票价格 异常波动的问询函》的回复 云南煤业能源股份有限公司: 你公司《关于股票价格异常波动的问询函》已收悉。昆明 钢铁控股有限公司(以下简称:本公司)作为你公司的控股股 东,根据上海证券交易所相关规定和要求,经核实,现就问询 的问题回复如下: 1、2021年2月1日,云南省人民政府与中国宝武钢铁集 团有限公司(以下简称:中国宝武)签署合作协议,双方将以 云南方持有本公司10%的股权,中国宝武持有本公司 90%的股 权为目标开展深化合作,本次合作可能导致未来在办理完毕股 权划转的工商变更登记手续后你公司的实际控制人由云南省 人民政府国有资产监督管理委员会(以下简称:云南省国资委) 变更为国务院国有资产监督管理委员会,本公司的控股股东变 更为中国宝武。根据协议,自委托管理协议生效之日起,云南 省国资委委托中国宝武代为管理本公司,委托管理期至本公司 工商登记变更为止。截止目前,股权划转协议尚未签订,中国 宝武与本公司仍为托管关系,本公司的最终控制人仍为云南省 国资委。上述事项我公司已告知你公司,如存在最新进展情况, 我公司将及时告知你公司。 2、2022年4月6日、2023年2月23 ...

证券代码：600792 证券简称：云煤能源 公告编号：2023-061 云南煤业能源股份有限公司 股票交易异常波动公告 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： 云南煤业能源股份有限公司（以下简称公司）股票于2023年9月1日、9 月4日、9月5日连续三个交易日内收盘价格涨幅偏离值累计超过20%，根据《上海 证券交易所交易规则》的有关规定，属于股票交易异常波动情形。 经公司自查并向公司控股股东书面发函询证，除公司前期已披露的信息 外，本公司及控股股东均不存在应披露而未披露的重大事项。 公司生产经营未发生重大变化，敬请广大投资者注意投资风险，理性投 资。 一、股票交易异常波动的具体情况 公司股票于2023年9月1日、9月4日、9月5日连续三个交易日内收盘价格涨幅 偏离值累计超过20%。根据《上海证券交易所交易规则》的有关规定，属于股票 交易异常波动情形。 二、公司关注并核实的相关情况 根据相关规定的要求，针对公司股票交易异常波动情况，公司董事会进行了 自查并向控股股东进行书面确认，现对有关核实情况说明如下： ...

股票简称：云煤能源 股票代码：600792 云南煤业能源股份有限公司 Yunnan Coal & Energy Co., Ltd. （云南省昆明市安宁市金方街道办事处） 向特定对象发行股票 募集说明书 （注册稿） 保荐机构（主承销商） 二〇二三年九月 声 明 中国证监会、交易所对本次发行所作的任何决定或意见，均不表明其对申请 文件及所披露信息的真实性、准确性、完整性作出保证，也不表明其对发行人的 盈利能力、投资价值或者对投资者的收益作出实质性判断或保证。任何与之相反 的声明均属虚假不实陈述。 根据《证券法》的规定，证券依法发行后，发行人经营与收益的变化，由发 行人自行负责。投资者自主判断发行人的投资价值，自主作出投资决策，自行承 担证券依法发行后因发行人经营与收益变化或者证券价格变动引致的投资风险。 1-1-1 重大事项提示 公司特别提示投资者对下列重大事项给予充分关注，并仔细阅读本募集说明 书中有关风险因素的章节。 一、经营风险 （一）客户集中的风险 公司向关联方武昆股份及其子公司销售焦炭等产品。双方已形成长期稳定的 相互依存关系，互为最大的供应商和客户。但如果武昆股份由于国家宏观政策的 调整、市场经济形势 ...

中信建投证券股份有限公司 关于 云南煤业能源股份有限公司 向特定对象发行股票 之 发行保荐书 保荐机构 二〇二三年九月 3-1-1-1 保荐人出具的证券发行保荐书 保荐机构及保荐代表人声明 中信建投证券股份有限公司及本项目保荐代表人夏秀相、袁晨根据《中华人 民共和国公司法》《中华人民共和国证券法》等有关法律、法规和中国证监会的 有关规定以及上海证券交易所的有关业务规则，诚实守信，勤勉尽责，严格按照 依法制订的业务规则、行业执业规范和道德准则出具本发行保荐书，并保证本发 行保荐书的真实性、准确性和完整性。 3-1-1-2 | 保荐机构/主承销 商/中信建投证券 | 指 | 中信建投证券股份有限公司 | | --- | --- | --- | | 本发行保荐书 | 指 | 《中信建投证券股份有限公司关于云南煤业能源股份有限 | | | | 公司向特定对象发行股票之发行保荐书》 | | 发行人/公司/上市 公司/云煤能源 | 指 | 云南煤业能源股份有限公司，曾用名云南马龙化建股份有 限公司、云南马龙产业集团股份有限公司 | | 本次向特定对象 | 指 | 本次向特定对象发行不超过 296,977,080 股（含本 ...

Financial Performance - The company's operating revenue for the first half of 2023 was CNY 3,688,351,685.72, a decrease of 7.37% compared to CNY 3,981,787,988.74 in the same period last year[20]. - The net profit attributable to shareholders of the listed company was a loss of CNY 33,214,461.32, improving from a loss of CNY 60,763,827.80 in the previous year[20]. - The net cash flow from operating activities was a negative CNY 211,535,749.51, a decline of 165.04% compared to a positive CNY 325,227,735.89 in the same period last year[20]. - The basic earnings per share for the first half of 2023 was -CNY 0.03, an improvement from -CNY 0.06 in the same period last year[21]. - The weighted average return on net assets increased to -1.05% from -1.78% in the previous year, showing a positive trend[21]. - The company reported a net profit excluding non-recurring gains and losses of -CNY 43,043,437.24, compared to -CNY 32,938,508.46 in the same period last year[20]. - The company reported a net loss of CNY 272,847,681.77 for the period, compared to a loss of CNY 239,633,220.45 in the previous period[105]. - The company reported a comprehensive income of CNY -181,038,272.23 for the current period, compared to CNY 6,123,953.79 in the previous period[132]. Assets and Liabilities - The total assets at the end of the reporting period were CNY 10,040,465,175.74, an increase of 6.79% from CNY 9,401,644,676.45 at the end of the previous year[20]. - The net assets attributable to shareholders of the listed company decreased by 0.71% to CNY 3,156,066,010.96 from CNY 3,178,791,548.62 at the end of the previous year[20]. - The total current assets as of June 30, 2023, amounted to RMB 4,278,801,139.23, an increase from RMB 3,880,068,005.03 at the end of 2022, reflecting a growth of approximately 10.3%[103]. - The company's total liabilities increased to CNY 6,819,482,119.11, up from CNY 6,151,667,415.05, reflecting an increase of about 10.8%[105]. - The company's total liabilities at the end of the period are CNY 1,928,814,286.22, indicating a decrease from CNY 2,274,946,681.33 in the previous year[136]. Cash Flow - The cash flow from operating activities showed a significant decline of 165.04%, resulting in a net cash outflow of -CNY 211,535,749.51[33]. - The cash received from sales decreased by 33.59% to ¥2,110,869,621.86 compared to ¥3,178,769,227.86 in the same period last year[36]. - The cash flow from financing activities was positive at ¥252,227,791.01, a significant increase compared to -¥194,662,376.93 in the previous year[36]. - The cash flow from operating activities turned negative at -¥211,535,749.51, a decrease of 165.04% from ¥325,227,735.89 in the previous year[36]. - The company reported a total deposit of RMB 611,920,984.45 during the period, with withdrawals totaling RMB 574,562,982.33, resulting in a net increase in deposits[77]. Market and Industry Conditions - The domestic coke price decreased by RMB 950-1,050 per ton in the first half of the year, reaching the lowest level in five years, due to oversupply and declining steel prices[24]. - The overall market outlook for the second half of the year suggests potential stabilization and recovery for coal chemical products after a downturn in the first half[25]. - The heavy machinery sector is expected to improve gradually in 2023, supported by economic recovery policies and increased market confidence[25]. Research and Development - The company has invested in advanced coking technology, including a state-of-the-art 2×67-hole 7.6m top-charging coking furnace, which features low energy consumption and ultra-low emissions[27]. - The company has a strong research and development framework with two recognized technology centers and a mining and heavy equipment engineering research center in Yunnan Province[28]. - The company conducted over 300 coal blending experiments annually, ensuring the production of high-quality coke at low costs[27]. - Research and development expenses decreased to CNY 6,688,695.47, down 17.2% from CNY 8,072,058.83 in the previous year[112]. Environmental and Safety Compliance - The company has made significant progress in safety and environmental responsibility, enhancing employee awareness and compliance with government regulations[31]. - The company has implemented measures to reduce carbon emissions, including optimizing energy consumption in coking processes and improving recovery rates in chemical production[62]. - The company invested 18.36 million yuan to build a closed dust suppression facility for the open coking field, which commenced construction in June 2023[58]. - The company plans to invest 7.3 million yuan in a VOCs organic waste gas treatment project to ensure compliance with environmental standards[58]. Corporate Governance and Compliance - The company has committed to ensuring that similar businesses under the integrated circular economy project will be implemented by its controlled enterprises, avoiding potential competition issues[65]. - The company guarantees the independence of its senior management, ensuring they do not hold positions in other enterprises controlled by the actual controller[65]. - The company has established measures to ensure the fulfillment of commitments related to compensating for dilution of immediate returns[67]. - The company has maintained compliance with relevant laws and regulations, with no violations reported by its directors, supervisors, or senior management[72]. Shareholder and Investment Activities - The company approved a private placement of up to 94.7368 million shares at a price of 9.50 RMB per share, increasing total shares to 494.9618 million[147]. - The company has not proposed any profit distribution or capital reserve transfer plans for the half-year period[52]. - The company has confirmed that it will fully subscribe to the stock issuance using its own funds, with no external fundraising or structured arrangements involved[69]. Related Party Transactions - The company plans to issue shares to specific investors, with Kunsteel Holdings, the controlling shareholder, intending to subscribe to the new shares, which also constitutes a related party transaction[80]. - The total amount of guarantees provided by the company, including those to subsidiaries, is 292,240,071.82 yuan, which accounts for 9.07% of the company's net assets[83]. - The company will ensure that related transactions are conducted at fair and reasonable market prices, adhering to legal and regulatory requirements[66].

证券代码：600792 证券简称：云煤能源 公告编号：2023-057 云南煤业能源股份有限公司 第九届董事会第十二次会议决议公告 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。 云南煤业能源股份有限公司（以下简称公司）第九届董事会第十二次会议于 2023 年 8 月 13 日前以电子邮件方式发出通知，于 2023 年 8 月 23 日在云南省安 宁市工业园区公司 315 会议室召开。公司应有董事 9 人，实际参加表决的董事 9 人。公司监事、部分高级管理人员及相关人员列席了本次会议。会议由公司董事 长李树雄先生主持，会议的召集、召开程序符合《公司法》和《公司章程》的规 定，会议审议如下议案： 一、以 4 票赞成，5 票回避表决，0 票反对，0 票弃权，其中关联董事李树 雄先生、张国庆先生、张海涛先生、邹荣先生、施晓晖先生回避表决，审议通 过关于《调整日常关联交易预计额度》的议案。 会议同意公司根据实际经营情况，调整部分关联方企业 2023 年度日常关联 交易预计额度，本次调整额度为 9,980 万元，具体内容详见同日公告于《 ...