北京市天元律师事务所 关于宁波杉杉股份有限公司 2022 年股票期权与限制性股票激励计划 部分限制性股票回购注销实施的 法律意见 北京市天元律师事务所 北京市西城区金融大街 35 号国际企业大厦 A 座 509 单元 邮编：100033 北京市天元律师事务所 关于宁波杉杉股份有限公司 2022 年股票期权与限制性股票激励计划 部分限制性股票回购注销实施的 法律意见 京天股字（2022）第 073-7 号 1、 本所及经办律师依据《证券法》《律师事务所从事证券法律业务管理办 法》和《律师事务所证券法律业务执业规则（试行）》等规定及本法律意见出具 之日以前已经发生或者存在的事实，严格履行了法定职责，遵循了勤勉尽责和诚 实信用原则，进行了充分的核查验证，保证本法律意见所认定的事实真实、准确、 完整，所发表的结论性意见合法、准确，不存在虚假记载、误导性陈述或者重大 遗漏，并承担相应法律责任。 致：宁波杉杉股份有限公司 北京市天元律师事务所（以下简称"本所"）接受宁波杉杉股份有限公司（下 称"公司"）的委托，担任公司 2022 年股票期权与限制性股票激励计划部分限制 性股票回购注销（以下简称"本次回购注销"）的专项中国 ...

证券代码：600884 证券简称：杉杉股份 公告编号：临 2023-099 宁波杉杉股份有限公司 本次注销股份的有关情况 | 回购股份数量（股） | 注销股份数量（股） | 注销日期 | | --- | --- | --- | | 769,410 | 769,410 | 2023-12-26 | 一、本次限制性股票回购注销的决策与信息披露 关于部分股权激励限制性股票回购注销实施公告 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： 宁波杉杉股份有限公司（下称"公司"）于 2023 年 10 月 30 日召开第十一 届董事会第五次会议和第十一届监事会第五次会议，审议通过了《关于公司 2022 年股票期权与限制性股票激励计划注销部分股票期权及回购注销部分限制性股 票的议案》，根据《上市公司股权激励管理办法》《宁波杉杉股份有限公司 2022 年股票期权与限制性股票激励计划（草案修订稿）》相关规定以及公司 2022 年 第一次临时股东大会的授权，公司同意对激励对象因离职（含已离职或即将离职） 或退休而不再具备激励对象资格 ...

杉杉股份 2023 年第三次临时股东大会会议资料 宁波杉杉股份有限公司 2023年第三次临时股东大会会议资料 二○二三年十二月二十九日 杉杉股份 2023 年第三次临时股东大会会议资料 宁波杉杉股份有限公司 2023年第三次临时股东大会会议议程 一、会议时间： 现场会议召开时间：2023年12月29日13:30。 网络投票起止时间：2023年12月29日，采用上海证券交易所网络投票系统， 通过交易系统投票平台的投票时间为股东大会召开当日的交易时间段，即 9:15-9:25，9:30-11:30，13:00-15:00；通过互联网投票平台的投票时间为股东 大会召开当日的9:15-15:00。 二、现场会议地点： 浙江省宁波市鄞州区日丽中路777号杉杉大厦28层会议室。 三、会议的表决方式： 本次会议采取现场投票与网络投票相结合的方式举行。 （一）本公司股东通过上海证券交易所股东大会网络投票系统行使表决权 的，既可以登陆交易系统投票平台（通过指定交易的证券公司交易终端）进行投 票，也可以登陆互联网投票平台（网址：vote.sseinfo.com）进行投票。首次登 陆互联网投票平台进行投票的，投资者需要完成股东身份 ...

证券代码：600884 证券简称：杉杉股份 公告编号：临 2023-097 | 股东名称 | 杉杉集团有限公司 | | | | | --- | --- | --- | --- | --- | | 本次解除冻结股份（股） | 40,441,711 | | | | | 占其所持股份比例（%） | 5.17 | | | | | 占公司总股本比例（%） | 1.79 | | | | | 解除冻结时间 | 2023 年 | 12 月 | 14 | 日 | | 持股数量（股） | | 782,222,036 | | | 股份被解冻具体情况如下： 1 宁波杉杉股份有限公司 关于公司大股东所持股份解冻的公告 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。 重要内容提示: 杉杉集团有限公司（下称"杉杉集团"）持有宁波杉杉股份有限公司（下 称"公司"）股份 782,222,036 股（含杉杉集团因非公开发行可交换公司债券而 划转至质押专户的股份）,占公司总股本（2,258,992,633 股）的 34.63%。本次 解除司法冻结股份数量为 40, ...

关于提供关联担保的补充公告 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。 2023 年 12 月 14 日，宁波杉杉股份有限公司（下称"公司"）在上海证券交 易所网站披露了《宁波杉杉股份有限公司关于提供关联担保的公告》（临 2023- 094），就公司向拟出售的控股子公司宁波尤利卡太阳能股份有限公司（下称"尤 利卡"）提供关联担保事项进行了公告，现就本次关联担保事项补充说明如下： 证券代码：600884 证券简称：杉杉股份 公告编号：临 2023-098 宁波杉杉股份有限公司 一、尤利卡股权转让的基本情况 近日，为进一步聚焦公司核心主业发展，优化资源配置，持续提升公司核心 竞争力，经公司总经理办公会审议，同意将公司所持尤利卡 90.035%的股权转让 予上海鑫通汇光伏科技有限公司（下称"交易对方"），并拟签署《收购暨股权转 让合同》（下称"《股转合同》"）。 尤利卡成立于 2005 年 8 月 10 日，注册地浙江省宁波市海曙区望春工业园 区杉杉路 181-197 号，法定代表人王明来，注册资本 15,000 万元人民币，经 ...

2023 年第三季度报告 单位：元 币种：人民币 证券代码：600884 证券简称：杉杉股份 宁波杉杉股份有限公司 2023 年第三季度报告 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： 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务 信息的真实、准确、完整。 第三季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 | --- | --- | --- | --- | --- | |------------------------------------------------|------------------|------------------------------------------|-------------------|----------------------------- ...

Financial Performance - Revenue for the first half of 2023 decreased by 12.11% to RMB 9,467,775,923.82 compared to the same period last year[18] - Net profit attributable to shareholders of the listed company dropped by 39.01% to RMB 1,013,091,536.67 year-on-year[18] - Net profit attributable to shareholders after deducting non-recurring gains and losses fell by 58.62% to RMB 587,813,365.37[18] - Operating cash flow turned negative, with a net outflow of RMB 1,464,124,850.13, a decrease of 193.83% compared to the same period last year[18] - Basic earnings per share decreased by 29.96% to RMB 0.542[19] - Diluted earnings per share also decreased by 29.96% to RMB 0.542[19] - Weighted average return on equity (ROE) decreased by 4.079 percentage points to 4.340%[19] - Return on equity after deducting non-recurring gains and losses decreased by 4.681 percentage points to 2.518%[19] - The company achieved a revenue of 9,467.7759 million yuan in the first half of 2023, a year-on-year decrease of 12.11%, and a net profit attributable to shareholders of 1,013.0915 million yuan, a year-on-year decrease of 39.01%[47] - Total operating income for the reporting period was 9,467.78 million yuan, a year-on-year decrease of 12.11%[57] - Net profit attributable to shareholders of the parent company was 1,013.09 million yuan, a year-on-year decrease of 39.01%[57] - Net profit attributable to parent company shareholders decreased to 1,013,091,536.67 RMB in H1 2023 from 1,661,149,050.47 RMB in H1 2022, a decline of 39%[137] - Basic earnings per share dropped to 0.542 RMB in H1 2023 from 0.774 RMB in H1 2022[137] - Comprehensive income totaled 1,151,052,827.78 RMB in H1 2023, down from 1,740,436,679.35 RMB in H1 2022[137] - Sales revenue from goods and services in 2023 H1 decreased to RMB 8,059,700,800.33, down 13.3% compared to RMB 9,295,922,303.60 in 2022 H1[140] - Net cash flow from operating activities in 2023 H1 was negative RMB 1,464,124,850.13, a significant decline from positive RMB 1,560,449,276.28 in 2022 H1[140] - Cash outflow for purchasing goods and services increased to RMB 8,137,001,872.27 in 2023 H1, up 19.8% from RMB 6,792,585,869.74 in 2022 H1[140] - Net cash flow from investing activities improved slightly to negative RMB 3,604,210,851.32 in 2023 H1, compared to negative RMB 3,858,715,569.46 in 2022 H1[141] - Cash inflow from financing activities increased to RMB 8,756,040,674.05 in 2023 H1, up 11.3% from RMB 7,866,362,795.11 in 2022 H1[141] - Net cash flow from financing activities turned positive at RMB 4,599,271,044.86 in 2023 H1, a significant improvement from negative RMB 1,708,344,209.76 in 2022 H1[141] - Cash and cash equivalents decreased by RMB 478,359,696.03 in 2023 H1, compared to a larger decrease of RMB 3,989,821,867.84 in 2022 H1[141] - Parent company's operating cash flow turned negative at RMB -85,415,304.73 in 2023 H1, down from positive RMB 30,823,207.29 in 2022 H1[142] - Parent company's investment cash outflow decreased to RMB 1,195,624,739.85 in 2023 H1, down 37.3% from RMB 1,907,571,505.50 in 2022 H1[142] - Parent company's financing cash inflow decreased to RMB 1,946,000,000.00 in 2023 H1, down 50.2% from RMB 3,908,089,216.00 in 2022 H1[142] Business Operations - The company is a global leader in high-tech industries, focusing on the development of anode materials and polarizer businesses, and aims to become a global leader in these two niche markets[21] - The company's anode materials business includes products such as artificial graphite, natural graphite, silicon-based anode, and hard carbon, primarily used in new energy vehicles, consumer electronics, and energy storage industries[22] - In 2023 H1, the company's artificial graphite production accounted for the largest share in the industry, maintaining its leading position[27] - The company's polarizer business includes R&D, production, and sales of polarizers, which are core optical film materials for display panels, widely used in TVs, monitors, laptops, tablets, smartphones, and commercial displays[30] - The company's sales model involves collaboration between sales, R&D, quality, and technical support departments, forming a customer-focused approach to provide high-cost-performance products and services[26] - The company's production model follows a make-to-order principle, with monthly production planning based on sales forecasts and flexible production adjustments to meet market demand[25] - The company's procurement model combines centralized and decentralized approaches, ensuring efficient supply chain management and strategic partnerships with key suppliers[24] - Polarizer shipment area market share ranked first globally in the TFT-LCD polarizer market in the first half of 2023[33] - The company has completed a strategic layout of approximately 700,000 tons of graphite-based anode material capacity, including 100,000 tons (already in production), 200,000 tons, and 300,000 tons in Inner Mongolia, Sichuan, and Yunnan respectively[40] - The company is constructing a 4,000-ton silicon-based anode production base in Ningbo, with the first phase expected to start trial production in early 2024[41] - The company has 245 authorized patents for anode materials, including 4 international patents, 189 domestic invention patents, and 52 utility model patents as of June 30, 2023[38] - The company has achieved batch supply of 4C fast-charging products for power batteries and is supplying leading power battery companies with third-generation liquid-phase coating technology products[38] - The company's silicon-oxygen anode products have achieved large-scale applications in consumer electronics and power markets, with second-generation silicon-oxygen anode products already supplied to overseas leading customers[38] - The company is building a thousand-ton-level hard carbon production line, expected to start trial production in Q3 2023[38] - The company has established long-term stable cooperative relationships with global mainstream lithium battery manufacturers including CATL, LGES, ATL, BYD, and others[39] - The negative electrode material business generated a revenue of 3,160.7824 million yuan, a year-on-year decrease of 9.69%, with a net profit of 430.9116 million yuan, a year-on-year increase of 1.03%[48] - The company has applied for over 1,000 LCD polarizer-related patents globally, with 1,017 patents authorized, including 944 invention patents[44] - The company operates 5 ultra-wide front-end production lines, including a 2600mm ultra-wide production line, the largest in the world, capable of mass-producing polarizers for screens over 115 inches[45] - The company has installed over 20 RTP production lines globally, enhancing production efficiency and product yield[45] - The company's fast-charging products have achieved mass production of 5C products and sample verification of 6C products, with 4C products rapidly growing in shipments[49] - The company's silicon-based negative electrode products have achieved technological breakthroughs and are being supplied in bulk to overseas customers[49] - The company has established strategic partnerships with leading domestic raw material suppliers to ensure stable and secure supply of raw materials[42] - The company has developed and is promoting VR display polarizers and automotive polarizers, with VR polarizers undergoing customer certification and mass production[43] - The company has released three group standards for polarizers, contributing to the standardization and high-quality development of the polarizer industry[43] - The company's anode material business achieved significant sales growth with major head clients in the first half of 2023, further increasing client concentration[51] - Polarizer business revenue in the first half of 2023 was 5,306.06 million yuan, a year-on-year decrease of 7.36%, with net profit attributable to shareholders of 606.89 million yuan, down 24.12%[52] - The company achieved mass production of several high-end LCD polarizers for TV, IT, and mobile applications, maintaining a leading position in large-size TV polarizers[53] - The company completed the development of VR display polarizers and is actively promoting customer certification and mass production[53] Market and Industry Trends - In 2023 H1, China's power lithium battery shipments reached 270GWh, a 33% YoY increase, while energy storage lithium battery shipments reached 87GWh, a 67% YoY increase, driving demand for lithium battery materials[27] - Global lithium battery anode material shipments in 2023 H1 were 748,000 tons, a 17.4% YoY increase, with China's global market share further rising to 97%[27] - Global and China mainland TFT-LCD panel production line utilization rates increased to 82% and 86% respectively in Q2 2023, up 3 percentage points year-on-year and 13 percentage points quarter-on-quarter[33] - TV panel average shipment size reached 47.8 inches in the first half of 2023, up 2.2 inches year-on-year and 1.6 inches quarter-on-quarter[35] Financial Position and Assets - Total assets increased by 5.03% to RMB 47,186,207,292.63 compared to the end of the previous year[18] - Total assets increased to 47.19 billion yuan as of June 30, 2023, compared to 44.93 billion yuan at the end of 2022[131][133] - Total liabilities rose to 22.96 billion yuan from 20.80 billion yuan over the same period[133] - Current assets decreased slightly to 19.21 billion yuan from 19.24 billion yuan[131] - Non-current assets grew to 27.98 billion yuan from 25.98 billion yuan[131] - Long-term loans increased significantly to 5.99 billion yuan from 4.18 billion yuan[133] - Inventory rose to 5.59 billion yuan from 5.03 billion yuan[131] - Accounts receivable decreased to 4.52 billion yuan from 4.69 billion yuan[131] - Construction in progress expanded to 7.32 billion yuan from 4.95 billion yuan[132] - Short-term borrowings increased to 4.79 billion yuan from 3.93 billion yuan[133] - Retained earnings grew to 12.37 billion yuan from 12.03 billion yuan[133] - Total assets as of June 30, 2023, were 21.28 billion, a slight decrease from 21.91 billion at the end of 2022[134] - Total liabilities as of June 30, 2023, were 8.86 billion, compared to 8.62 billion at the end of 2022[135] - Short-term borrowings as of June 30, 2023, were 1.65 billion, an increase from 1.10 billion at the end of 2022[134] - Long-term borrowings as of June 30, 2023, were 2.89 billion, a slight decrease from 2.96 billion at the end of 2022[135] - Other receivables as of June 30, 2023, were 6.98 billion, an increase from 6.53 billion at the end of 2022[134] - Accounts receivable financing increased by 68.17% to 861.47 million yuan, mainly due to the settlement method of the negative electrode business being primarily through bills[62] - Other receivables surged by 162.82% to 1.31 billion yuan, primarily due to loans formed before the divestment of Shanshan Photovoltaic and its subsidiaries[62] - Assets held for sale decreased by 86.58% to 176.68 million yuan, mainly due to the completion of the 51% equity sale of Quzhou Shanshan in February 2023[62] - Construction in progress rose by 47.88% to 7.32 billion yuan, driven by new investments in expansion projects for negative electrode and polarizer businesses[62] - Long-term loans increased by 43.53% to 5.99 billion yuan, mainly used for new capacity projects in polarizer and negative electrode businesses[62] - Overseas assets totaled 298.98 million yuan, accounting for 0.63% of total assets[63] - Total external equity investment in the reporting period was 2.13 billion yuan, a decrease of 46.74% year-on-year[65] - Major non-equity investments include the 8 billion yuan lithium-ion battery negative material integrated base project in Meishan, Sichuan, with 36.98% of the total investment completed[67] - The fair value of other equity instrument investments increased by 106.63 million yuan to 856.05 million yuan[69] - Total financial assets measured at fair value reached 1.92 billion yuan, with a net increase of 455.85 million yuan during the reporting period[69] - DEFI TECHNOLOGIES INC's initial investment cost was 9,155,041.01 RMB, with a current book value of 131,483.77 RMB, reflecting a significant decline in fair value[70] - ARDEA RESOURCES LTD's book value decreased from 4,043,079.93 RMB to 2,046,861.35 RMB, with a fair value loss of 1,996,218.58 RMB[70] - Morella Corporation Limited's initial investment cost was 225,883,583.93 RMB, with a current book value of 17,329,383.25 RMB, indicating a substantial fair value loss[70] - Luoyang Molybdenum's book value increased from 682,500,000.00 RMB to 799,500,000.00 RMB, with a fair value gain of 117,000,000.00 RMB[70] Shareholder and Equity Information - The total number of ordinary shareholders at the end of the reporting period is 191,366[120] - The largest shareholder, Shanshan Group Co., Ltd., holds 782,222,036 shares, accounting for 34.55% of the total shares[121] - The second-largest shareholder, Ningbo Pengze Trading Co., Ltd., holds 205,264,756 shares, accounting for 9.07% of the total shares[121] - The third-largest shareholder, Ningbo Yinzhou Jielun Investment Co., Ltd., holds 77,873,254 shares, accounting for 3.44% of the total shares[121] - The fourth-largest shareholder, Shanshan Holdings Co., Ltd., holds 72,212,189 shares, accounting for 3.19% of the total shares[121] - The fifth-largest shareholder, Tianan Property Insurance Co., Ltd., holds 54,450,098 shares, accounting for 2.41% of the total shares[121] - The total number of GDRs outstanding as of the reporting period is 1,223,312[123] - Shanshan Group holds 782,222,036 shares, with 553,043,870 shares pledged[122] - The top 10 shareholders with restricted shares include Shanshan Group with 205,264,756 shares, which will be tradable after 2024-12-31[124] - The company plans to repurchase and cancel 4,980,725 restricted shares due to unmet performance targets or departure of incentive recipients[125] - Citibank, National Association holds 6,116,560 shares as the GDR depository[122] - The top 10 shareholders include Hong Kong Securities Clearing Company with 54,389,584 shares[122] - The company's restricted shares are subject to a lock-up period of 36 months from the issuance date[124] - The company's GDR depository, Citibank, National Association, holds shares on behalf of GDR holders[123] - The company's restricted shares are part of the 2022 equity incentive plan, with lock-up periods of 12, 24, 36, and 48 months[124] - The company's restricted shares include those held by key executives and core technical personnel[125] Environmental and Social Responsibility - The company's chemical oxygen demand (COD) emission concentration is 299.2 mg/L, with a total emission of 162.75 t/a, against a permitted total of 705.674 t/a[91] - Ammonia nitrogen emission concentration is 0.56 mg/L, with a total emission of 0.347 t/a, against a permitted total of 3.347 t/a[91] - Total phosphorus emission concentration is 0.21 mg/L, with a total emission of 0.122 t/a, against a permitted total of 0.621 t/a[91] - Total nitrogen emission concentration is 7.9 mg/L, with a total emission of 4.734 t/a[91] - Suspended solids emission concentration is 51 mg/L, with a total emission of 31.859 t/a, against a permitted total of 564.297 t/a[91] - VOCs emission concentration is 6.27 mg/m³, with a total emission of 10.9 t/a, against a permitted total of 99.4785 t/a[91] - Particulate matter emission concentration is 2.4 mg/m³, with a total emission of 1.25 t/a, against a permitted total of 3.446 t/a[91] - BOD5 emission concentration is 175 mg/L, with a total emission of 95.69 t/a[92] - Total phosphorus emission concentration is 0.12 mg/L, with a total emission of

2023 年第一季度报告 单位：元 币种：人民币 证券代码：600884 证券简称：杉杉股份 宁波杉杉股份有限公司 2023 年第一季度报告 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 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整，不存 在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务信息 的真实、准确、完整。 第一季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 | --- | --- | --- | |-----------------------------------------------|-------------------|-------------------------------------| | 项目 | 本报告期 | 本报告期比上年同期 增减变动幅度 (%) | | 营业收入 | 4,449,437,921.75 | - ...

2022 年年度报告 公司代码：600884 公司简称：杉杉股份 宁波杉杉股份有限公司 2022 年年度报告 1 2022 年年度报告 重要提示 一、 本公司董事会、监事会及董事、监事、高级管理人员保证年度报告内容的真实性、准确性、 完整性，不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 二、 未出席董事情况 | 未出席董事职务 | 未出席董事姓名 | 未出席董事的原因说明 | 被委托人姓名 | | --- | --- | --- | --- | | 独立董事 | 朱京涛 | 因工作原因 | 张纯义 | 三、 立信会计师事务所（特殊普通合伙）为本公司出具了标准无保留意见的审计报告。 四、 公司负责人郑驹、主管会计工作负责人游海及会计机构负责人（会计主管人员）李克勤声明： 保证年度报告中财务报告的真实、准确、完整。 五、 董事会决议通过的本报告期利润分配预案或公积金转增股本预案 根据立信会计师事务所（特殊普通合伙）审计报告，截至 2022 年 12 月 31 日，母公司期末可 供分配利润为人民币 3,450,687,783.57 元。公司 2022 年度拟以实施权益分派股权登记日登记的 应分 ...

2022 年第三季度报告 单位：元 币种：人民币 1 / 11 证券代码：600884 证券简称：杉杉股份 宁波杉杉股份有限公司 2022 年第三季度报告 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： 公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整， 不存在虚假记载、误导性陈述或重大遗漏，并承担个别和连带的法律责任。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证季度报告中财务 信息的真实、准确、完整。 第三季度财务报表是否经审计 □是 √否 一、 主要财务数据 (一)主要会计数据和财务指标 | --- | --- | --- | --- | --- | |-----------------------------------------------|------------------|--------------------------------------|-------------------|--------------------------- ...