华友钴业 2023 年激励计划首次授予相关事项的法律意见书 国浩律师（杭州）事务所 国浩律师（杭州）事务所 关 于 浙江华友钴业股份有限公司 2023 年限制性股票激励计划 首次授予相关事项的 法律意见书 北京 上海 深圳 杭州 广州 昆明 天津 成都 宁波 福州 西安 南京 南宁 济南 重庆 苏 州 长沙 太原 武汉 贵阳 乌鲁木齐 郑州 石家庄 香港 巴黎 马德里 硅谷 斯德哥尔摩 Grandall Building, No.2＆No.15, Block B, Baita Park, Old Fuxing Road, Hangzhou, Zhejiang 310008,China 电话：0571-85775888 传真：0571-85775643 网址/Website: http://www.grandall.com.cn 二零二三年八月 华友钴业 2023 年激励计划首次授予相关事项的法律意见书 国浩律师（杭州）事务所 国浩律师（杭州）事务所 关 于 浙江华友钴业股份有限公司 2023 年限制性股票激励计划 BEIJING SHANGHAI SHENZHEN HANGZHOU GUANGZHOU KUN ...

根据中国证监会《上市公司独立董事规则》《上海证券交易所股票上市规则》 和《公司章程》的有关规定，我们作为浙江华友钴业股份有限公司（以下简称"公 司"）第六届董事会的独立董事，我们认真阅读了第六届董事会第九次会议相关 的会议资料和文件，经讨论后发表独立意见如下： 经认真审阅《关于调整 2023 年限制性股票激励计划首次授予相关事项的议 案》，我们认为： 公司本次对 2023 年限制性股票激励计划拟首次授予激励对象名单及授予数 量的调整符合《上市公司股权激励管理办法》（以下简称"《管理办法》"）及公司 《2023 年限制性股票激励计划（草案）》（以下简称"《激励计划（草案）》"或"本 激励计划"）中关于激励计划调整的相关规定，且履行了必要的审批程序。调整 后的激励对象不存在禁止获授限制性股票的情形，激励对象的主体资格合法、有 效。本次调整事项在公司 2023 年第二次临时股东大会授权董事会决策的事项范 围内，调整的程序合法合规，不存在损害公司及股东利益的情形。 经认真审阅《关于向激励对象首次授予限制性股票的议案》，我们认为： （一）董事会确定公司本激励计划的首次授予日为 2023 年 8 月 29 日，该授 予日 ...

公司简称：华友钴业 证券代码：603799 上海荣正企业咨询服务（集团）股份有限公司 关于 浙江华友钴业股份有限公司 2023 年限制性股票激励计划 首次授予及调整相关事项 之 独立财务顾问报告 2023 年 8 月 | 一、释义 3 | | --- | | 二、声明 4 | | 三、基本假设 5 | | 四、本次限制性股票激励计划的授权与批准 6 | | 五、独立财务顾问意见 8 | 一、释义 3 / 12 1. 华友钴业、本公司、公司、上市公司：指浙江华友钴业股份有限公司。 2. 本激励计划：指浙江华友钴业股份有限公司 2023 年限制性股票激励计划。 3. 限制性股票：指公司根据本激励计划规定的条件和价格，授予激励对象一定 数量的公司股票，该等股票设置一定期限的限售期，在达到本激励计划规定 的解除限售条件后，方可解除限售流通。 4. 激励对象：指按照本激励计划规定，获得限制性股票的公司（含控股子公 司、分公司）任职的董事（不含独立董事）、高级管理人员、核心管理人 员、核心骨干及董事会认为需要激励的其他人员。 5. 授予日：指公司向激励对象授予限制性股票的日期，授予日必须为交易日。 6. 授予价格：指公司 ...

华友钴业关于向激励对象首次授予限制性股票的公告 | 股票代码：603799 | 股票简称：华友钴业 | 公告编号：2023-124 | | --- | --- | --- | | 转债代码：113641 | 转债简称：华友转债 | | 浙江华友钴业股份有限公司 关于向激励对象首次授予限制性股票的公告 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个别及连带责任。 重要内容提示： 浙江华友钴业股份有限公司（以下简称"公司"或"华友钴业"）于2023年8 月29日召开第六届董事会第九次会议，审议通过了《关于向激励对象首次授予限制 性股票的议案》，董事会认为《公司2023年限制性股票激励计划（草案）》（以下 简称"《激励计划（草案）》"或"本激励计划"）规定的限制性股票首次授予条 件已经满足，同意确定2023年8月29日为首次授予日，并向1,856名激励对象授予 1,368.20万股限制性股票。现将有关事项公告说明如下： 一、限制性股票激励授予情况 （一）股权激励计划已履行的决策程序和信息披露情况 1、2023年7月25日，公司召开第六届董事 ...

华友钴业第六届董事会第九次会议决议公告 | 股票代码：603799 | 股票简称：华友钴业 | 公告编号：2023-121 | | --- | --- | --- | | 转债代码：113641 | 转债简称：华友转债 | | 浙江华友钴业股份有限公司 第六届董事会第九次会议决议公告 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个别及连带责任。 1 华友钴业第六届董事会第九次会议决议公告 表决结果：4 票同意，0 票反对，0 票弃权。关联董事陈红良、方启学、王军回 避表决。 董事会会议召开情况 浙江华友钴业股份有限公司（以下简称"公司"）第六届董事会第九次会议于 2023年8月29日以通讯方式召开，本次会议通知于2023年8月24日以书面、电子邮件、 电话等方式通知全体董事、监事、高级管理人员。会议由董事长陈雪华先生召集并 主持，会议应参会董事7人，实际参会董事7人（其中7人以通讯方式出席）。公司部 分监事、高级管理人员列席了本次会议。本次会议的召集和召开程序符合《公司法》 和《公司章程》的规定，会议合法有效。 董事会会议审议情况 一 ...

Financial Performance - The company's operating revenue for the first half of 2023 reached ¥33,345,537,519.76, representing a 7.50% increase compared to ¥31,018,304,267.06 in the same period last year[14]. - The net profit attributable to shareholders of the listed company was ¥2,085,104,942.66, a decrease of 7.56% from ¥2,255,513,730.90 in the previous year[14]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥1,839,200,954.15, down 16.11% from ¥2,192,290,161.57 year-on-year[14]. - The net cash flow from operating activities was ¥1,794,476,677.55, a significant increase of 269.70% compared to a negative cash flow of ¥1,057,411,058.52 in the previous year[14]. - The net assets attributable to shareholders of the listed company increased by 10.57% to ¥28,630,994,949.14 from ¥25,893,158,131.43 at the end of the previous year[14]. - Total assets grew by 12.50% to ¥124,420,791,074.26 from ¥110,592,418,711.85 at the end of the previous year[14]. - Basic earnings per share for the reporting period (1-6 months) decreased by 6.38% to CNY 1.32 compared to the same period last year[15]. - Diluted earnings per share for the reporting period decreased by 2.22% to CNY 1.32 compared to the same period last year[15]. - The weighted average return on equity for the reporting period was 7.63%, down from 10.53% in the same period last year, a decrease of 2.90%[15]. - The company reported non-recurring gains and losses totaling CNY 245,903,988.51, after accounting for tax and minority interests[18]. Business Operations and Strategy - The company focuses on the research and manufacturing of new energy lithium battery materials and cobalt new materials, establishing an integrated industrial chain from resource development to manufacturing[19]. - The new energy business has achieved mass supply of ternary cathode materials to leading global battery manufacturers such as CATL and LGES[21]. - The new materials business has entered the core supply chain of major electric vehicle manufacturers, including Tesla, and is expanding rapidly in the ternary precursor market[23]. - The resource business is supported by self-owned mines and local mining company procurement in Africa, ensuring a stable supply of cobalt and copper[24]. - The company aims to enhance its technological innovation and product development capabilities to maintain its leading position in the cobalt new materials industry[23]. - The company is committed to building a low-carbon and environmentally friendly new energy lithium battery material ecosystem[19]. - The company has established a cobalt and copper resource assurance system in the Democratic Republic of Congo and invested in the Arcadia lithium mine project in Zimbabwe, providing low-cost and stable raw material support for domestic manufacturing platforms[26]. - The company is actively expanding its lithium battery recycling business, collaborating with major automotive and battery manufacturers to provide sustainable solutions for used batteries[27]. - The company aims to become a global leader in the new energy lithium battery materials industry, focusing on resource control, market expansion, and capability enhancement[27]. - The company has implemented a strategy of "two new, three transformations" to enhance its core competitiveness in the lithium battery materials sector[27]. Market Trends and Industry Insights - In the first half of 2023, China's new energy vehicle production and sales reached 3.788 million and 3.747 million units, respectively, representing a year-on-year growth of 42.4% and 44.1%, with a market penetration rate of 28.3%[29]. - The domestic market for ternary cathode materials saw a shipment volume of 303,000 tons in the first half of 2023, with high-nickel ternary materials accounting for 50.8% of the total shipments[30]. - The production of nickel sulfate in China reached approximately 195,400 metric tons in the first half of 2023, showing a year-on-year increase of 34.76%[30]. - The global sales volume of new energy vehicles reached approximately 5.967 million units in the first half of 2023, reflecting a year-on-year growth of 42.8%[29]. Environmental, Social, and Governance (ESG) Initiatives - The company’s ESG management has been recognized, being listed among the top 50 sustainable industrial enterprises by Forbes in 2022[41]. - The company has established a comprehensive ESG policy and management system, improving its risk management capabilities[41]. - The company has invested significantly in environmental protection measures, but may face increased costs and regulatory challenges in the future[57]. - The company has implemented effective waste management practices, ensuring that solid waste is classified and disposed of according to regulations[72]. - The company has achieved compliance with air pollutant discharge standards, including particulate matter and sulfuric acid mist, through the use of dust collectors and absorption towers[84]. - The company has established a third-party environmental monitoring mechanism to ensure compliance and timely reporting of monitoring results[82]. - The company has implemented a comprehensive waste management strategy, including recycling and proper disposal of general and hazardous waste[84]. - The company has committed to strict adherence to environmental protection laws and regulations during project construction and operations[84]. Financial Management and Investments - The company successfully issued GDRs, raising approximately $583 million for acquisitions and expanding production capacity in the new energy battery materials sector[45]. - The company’s investment income increased by 38.15% to ¥788.52 million, up from ¥570.76 million in the previous year, driven by long-term equity investments[45]. - The company has established several joint ventures in Indonesia and Singapore, enhancing its international presence and market expansion[49]. - The company has plans for future expansion, including a project for 5,000 tons of high-nickel ternary precursor materials for battery applications, which passed self-inspection in June 2023[76]. - The company has completed a project for the annual production of 10,000 tons of ammonium sulfate wastewater resource recycling[78]. Risks and Challenges - The company faced risks from price fluctuations in key materials such as nickel, cobalt, lithium, and copper, which could impact profitability[55]. - The company is exposed to foreign exchange risks due to international operations and USD-denominated transactions, which could affect its financial performance[56]. - The company is facing significant challenges in enhancing its management and investment control systems in line with its international business expansion, which may impact future business development and investment project outcomes[60]. - The company has invested in mineral resource development and battery material manufacturing projects in countries such as Indonesia, Congo (DRC), Zimbabwe, South Korea, and Hungary, which exposes it to various geopolitical and regulatory risks[61]. Shareholder and Corporate Governance - The company has committed to avoiding any direct or indirect competition with its main business activities as per the commitment letter issued by its controlling shareholder[102]. - The company’s board and senior management have committed to diligently fulfilling their duties and protecting the legal rights of all shareholders[104]. - The integrity status of the company and its controlling shareholders remains good during the reporting period[108]. - The company has disclosed its daily related party transactions and has received approval from the board and shareholders for these transactions[109]. Accounting and Financial Reporting - The financial statements comply with the requirements of enterprise accounting standards, reflecting the company's financial position, operating results, changes in shareholders' equity, and cash flows accurately[3]. - The company has specific accounting policies for financial instrument impairment, fixed asset depreciation, and revenue recognition tailored to its operational characteristics[3]. - The company recognizes impairment losses or gains in the current period based on the remeasurement of expected credit losses at each balance sheet date[181]. - The company applies the equity method for long-term equity investments in joint ventures and associates, ensuring accurate financial reporting[190].

华友钴业第六届董事会第八次会议决议公告 | 股票代码：603799 | 股票简称：华友钴业 | 公告编号：2023-116 | | --- | --- | --- | | 转债代码：113641 | 转债简称：华友转债 | | 浙江华友钴业股份有限公司 第六届董事会第八次会议决议公告 董事会会议审议情况 一、审议通过《关于 2023 年半年度报告及摘要的议案》 同意公司编制的《2023年半年度报告》及摘要。 表决结果：7 票同意，0 票反对，0 票弃权。 二、审议通过《关于<2023 年半年度募集资金存放与使用情况的专项报告>的 议案》 同意公司编制的《2023 年半年度募集资金存放与使用情况的专项报告》。 表决结果：7 票同意，0 票反对，0 票弃权。 三、审议通过《关于新增日常关联交易的议案》 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个别及连带责任。 董事会会议召开情况 浙江华友钴业股份有限公司（以下简称"公司"）第六届董事会第八次会议于2023 年8月25日以通讯方式召开，本次会议通知于2023年8月15日以书面、电子邮件、 ...

根据中国证监会《上市公司独立董事规则》《上海证券交易所股票上市规则》 和《公司章程》的有关规定，我们作为浙江华友钴业股份有限公司（以下简称"公 司"）第六届董事会的独立董事，我们认真阅读了第六届董事会第八次会议相关 的会议资料和文件，经讨论后发表独立意见如下： 公司《2023 年半年度募集资金存放与使用情况的专项报告》的编制符合相 关法律、法规的规定，真实、客观地反映了公司 2023 年半年度公司募集资金的 存放与使用情况，2023 年半年度公司募集资金的存放与使用符合中国证监会、 上海证券交易所关于上市公司募集资金存放和使用的相关规定，不存在募集资金 存放和使用违规的情形。 朱 光 签字: 签字: （以下无正文） (浙江华友钻业股份有限公司独立董事关于第六届董事会第八次会议相关事项 的独立意见之签署页) 独立董事签字: 朱 光 签字: 董秀良 签字:_ 钱柏林 签字:_ 日期:2023年 8 月 25日 (浙江华友钻业股份有限公司独立董事关于第六届董事会第八次会议相关事项 的独立意见之签署页) 独立董事签字: 我们认为议案所述新增日常关联交易为公司正常经营业务，交易公平、公正、 公开，交易方式符合市场规则， ...

浙江华友钴业股份有限公司 关于与淡水河谷印尼签署合作协议暨合作进展的公告 华友钴业关于与淡水河谷印尼签署合作协议暨合作进展的公告 | 股票代码：603799 | 股票简称：华友钴业 | 公告编号：2023-120 | | --- | --- | --- | | 转债代码：113641 | 转债简称：华友转债 | | 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个别及连带责任。 重要内容提示: 1、本次合作事项已经公司第六届董事会第八次会议审议通过。合作项目的产能 规模及投资金额尚未确定，相关事项确定后，公司将按照相关规则及时履行内部决 策程序和信息披露义务。 1 合作项目名称：华利公司索洛瓦科 HPAL 项目 投资金额：本次合作项目的产能规模和投资金额尚未最终确定 特别风险提示: 2、本次合作是公司按照中长期发展规划做出的安排，项目建设时间跨度较长， 在项目建设过程中，国内外市场、产业政策、工艺技术等均存有不确定性，同时存 在各种不可预见因素或不可抗力因素，可能会对未来经营效益的实现产生不确定性 影响。 3、项目投资建设过程中的资金筹 ...

(浙江华友钻业股份有限公司独立董事关于第六届董事会第八次会议相关事项 的事前认可意见之签署页 ) 独立董事签字: 朱 光 我们认为议案所述新增日常关联交易为公司正常经营业务，交易公平、公正、 公开，交易方式符合市场规则，交易价格公允，有利于公司业务稳定发展，没有 对公司独立性构成影响，未发现有损害公司和股东利益的关联方交易情况，符合 中国证券监督管理委员会、上海证券交易所和《公司章程》的有关规定。同意将 上述议案提交公司董事会审议。 （以下无正文） (浙江华友钴业股份有限公司独立董事关于第六届董事会第八次会议相关事项 的事前认可意见之签署页) 独立董事签字: 朱 光 签字:_ 董秀良 签字: 。 钱柏林 签字:_ 日期: 223年 8 月 25 日 根据中国证监会《上市公司独立董事规则》《上海证券交易所股票上市规则》 和《公司章程》的有关规定，我们作为浙江华友钴业股份有限公司（以下简称"公 司"）第六届董事会的独立董事，经认真审阅相关材料，基于独立判断，对公司 第八届董事会第八次会议的相关事项进行了事前审议，发表如下事前认可意见： 签字: 签字: 董秀良 独立董事签字: 朱 光 签字:_ 董秀良 签字:_ f ...