深圳市福田区福华一路 111 号 豪能股份向不特定对象发行可转债申请文件 上市保荐书 招商证券股份有限公司 关于成都豪能科技股份有限公司 2023 年向不特定对象发行可转换公司债券 之 上市保荐书 保荐机构（主承销商） 3-2-1 豪能股份向不特定对象发行可转债申请文件 上市保荐书 声 明 招商证券股份有限公司（以下简称"招商证券"或"保荐机构"）接受成都 豪能科技股份有限公司（以下简称"发行人"、"公司"或"豪能股份"）的委托， 担任发行人 2023 年向不特定对象发行可转换公司债券（以下简称"本次发行"） 的保荐机构。 本保荐机构及相关保荐代表人根据《中华人民共和国公司法》《中华人民共 和国证券法》《证券发行上市保荐业务管理办法》《上市公司证券发行注册管理办 法》《可转换公司债券管理办法》《上海证券交易所股票上市规则》《上海证券交 易所上市公司证券发行上市审核规则》等法律法规和中国证券监督管理委员会及 上海证券交易所的有关规定，诚实守信，勤勉尽责，严格按照依法制定的业务规 则和行业自律规范出具上市保荐书，并保证所出具文件的真实性、准确性和完整 性。 （本上市保荐书中所有简称和释义，如无特别说明，均与《成都 ...

关于成都豪能科技股份有限公司 2023 年向不特定对象发行可转换公司债券 的 补充法律意见书（一） 中国 深圳 福田区益田路6001号太平金融大厦11、12层 邮政编码：518038 11-12/F, Taiping Finance Tower, Yitian Road No. 6001, Futian District, Shenzhen, CHINA 电话(Tel)：(0755) 8826 5288 传真(Fax)：(0755) 8826 5537 | 第一部分 | | 关于发行人相关事项变化情况的法律意见 4 | | --- | --- | --- | | 1. | 发行人的主体资格 | 4 | | 2. | 本次发行上市的实质条件 | 4 | | 3. | 发行人的前十大股东 | 6 | | 4. | 关联交易 | 7 | | 5. | 发行人的主要财产 | 7 | | 6. | 发行人的重大债权债务 | 9 | | 7. | 发行人享受的财政补贴 | 12 | | 第二部分 | 关于审核问询回复 | 12 | | 问题 | 1. 关于本次募投项目必要性 | 12 | 补充法律意见书（一） 广东信达律 ...

豪能股份向不特定对象发行可转债申请文件 审核问询函的回复 股票简称：豪能股份 股票代码：603809 转债简称：豪能转债 转债代码：113662 成都豪能科技股份有限公司 与 招商证券股份有限公司 关于公司 2023 年向不特定对象发行可转换公司债券 《申请文件审核问询函》 （（上证上审再融资）〔2023〕543 号）的 回复 保荐机构（主承销商） 二零二三年八月 7-1-1 豪能股份向不特定对象发行可转债申请文件 审核问询函的回复 上海证券交易所： 根据贵所于 2023 年 8 月 2 日出具的上证上审（再融资）〔2023〕543 号《关 于成都豪能科技股份有限公司向不特定对象发行可转换公司债券申请文件的审 核问询函》（以下简称"审核问询函"）的要求，成都豪能科技股份有限公司（以 下简称"公司"、"发行人"、"豪能股份"）已会同招商证券股份有限公司（以下 简称"招商证券"或"保荐机构"）、广东信达律师事务所（以下简称"信达律所" 或"发行人律师"）、信永中和会计师事务所（特殊普通合伙）（以下简称"信永 中和"或"申报会计师"）对问询函的有关事项进行了认真核查与落实。现就审 核问询函涉及问题的核查和落实情况逐 ...

公司收到审核问询函后，会同相关中介机构结合公司情况就审核问询函中提 出的问题进行了认真研究和逐项落实，现根据要求将审核问询函回复进行公开披 露，具体内容详见公司同日在上交所网站（www.sse.com.cn）披露的《成都豪能 科技股份有限公司与招商证券股份有限公司关于公司 2023 年向不特定对象发行 可转换公司债券<申请文件审核问询函>的回复》等相关文件。 公司本次向不特定对象发行可转换公司债券事项尚需通过上交所审核，并获 得中国证券监督管理委员会（以下简称"中国证监会"）做出同意注册的决定后 方可实施，最终能否通过上交所审核，并获得中国证监会同意注册的决定及其时 间尚存在不确定性。公司将根据该事项的进展情况及时履行信息披露义务，敬请 广大投资者注意投资风险。 特此公告。 成都豪能科技股份有限公司董事会 | 证券代码：603809 | 证券简称：豪能股份 公告编号：2023-047 | | --- | --- | | 转债代码：113662 | 转债简称：豪能转债 | 成都豪能科技股份有限公司 关于向不特定对象发行可转换公司债券申请文件的 审核问询函回复的提示性公告 本公司董事会及全体董事保证本公告内容不存 ...

关于 2023 年半年度业绩说明会召开情况的公告 | 证券代码：603809 | 证券简称：豪能股份 公告编号：2023-046 | | --- | --- | | 转债代码：113662 | 转债简称：豪能转债 | 成都豪能科技股份有限公司 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。 成都豪能科技股份有限公司（以下简称"公司"）于 2023 年 8 月 18 日（星 期五）下午 15:00-16:00 在 上 海 证 券 交 易 所 上 证 路 演 中 心 （https://roadshow.sseinfo.com/）通过网络文字互动方式召开了 2023 年半年度业 绩说明会，现将说明会召开情况公告如下： 一、说明会召开情况 公司于 2023 年 8 月 11 日在上海证券交易所网站（www.see.com.cn）及指定 信息披露媒体披露了《成都豪能科技股份有限公司关于召开 2023 年半年度业绩 说明会的公告》（公告编号：2023-045）。 2023 年 8 月 18 日下午 15:00-16:00，公司董事长、总经 ...

| 证券代码：603809 | 证券简称：豪能股份 | 公告编号：2023-045 | | --- | --- | --- | | 转债代码：113662 | 转债简称：豪能转债 | | 成都豪能科技股份有限公司 关于召开 2023 年半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。 重要内容提示： 投资者可于 2023 年 08 月 11 日（星期五）至 08 月 17 日（星期四）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 bgs@cdhntech.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。 成都豪能科技股份有限公司（以下简称"公司"）已于 2023 年 08 月 01 日发 布公司 2023 年半年度报告，为便于广大投资者更全面深入地了解公司 2023 年半 年度的经营成果、财务状况，公司计划于 2023 年 08 月 18 日下午 15:00-16:00 召 开 2023 年半年度业绩说明会，就投资者关心的问题进行交流。 一、 说明会类型 ...

Financial Performance - The company's operating revenue for the first half of 2023 was approximately RMB 824.38 million, representing a year-on-year increase of 15.74% compared to RMB 712.27 million in the same period last year[23]. - The net profit attributable to shareholders of the listed company decreased by 24.25% to approximately RMB 89.17 million, down from RMB 117.72 million in the previous year[23]. - The net cash flow from operating activities was approximately RMB 68.57 million, a significant decrease of 66.08% compared to RMB 202.15 million in the same period last year[23]. - The basic earnings per share for the first half of 2023 was RMB 0.2292, down 24.88% from RMB 0.3051 in the same period last year[24]. - The weighted average return on net assets decreased by 2.04 percentage points to 4.14% compared to 6.18% in the previous year[24]. - The net profit attributable to the parent company was 89.17 million yuan, a decrease of 24.25% year-on-year due to high fixed cost amortization and increased financial expenses[39]. - The company’s cash flow from operating activities decreased by 66.08% year-on-year, primarily due to changes in customer payment methods and increased cash outflows[46]. Assets and Liabilities - The total assets of the company increased by 8.73% to approximately RMB 5.12 billion, compared to RMB 4.71 billion at the end of the previous year[23]. - The net assets attributable to shareholders of the listed company increased by 1.04% to approximately RMB 2.13 billion, compared to RMB 2.11 billion at the end of the previous year[23]. - The company's cash and cash equivalents increased by 11.53% to ¥375,844,333.12, compared to ¥336,975,253.95 in the previous year[47]. - Accounts receivable rose by 40.71% to ¥504,569,636.62, driven by increased sales revenue and the adoption of digital accounts receivable payment methods by some customers[49]. - The company's total liabilities amounted to RMB 2,990.86 million, with a debt-to-asset ratio of 58.37%[100]. - The company's long-term borrowings increased by 96.99% to ¥912,634,445.40, reflecting new long-term bank loans[48]. Market and Industry Trends - In the first half of 2023, China's automotive production and sales reached 13.248 million and 13.239 million units, respectively, representing year-on-year growth of 9.3% and 9.8%[28]. - The production and sales of new energy vehicles in the same period were 3.788 million and 3.747 million units, showing significant year-on-year growth of 42.4% and 44.1%[29]. - The AMT heavy truck market in China is expected to reach a 50% market share by 2025 and 90% by 2030, indicating significant growth potential[41]. Business Strategy and Development - The company focuses on automotive transmission system components, including synchronizers and differentials, with a strong market position in both fuel and new energy vehicles[31]. - The differential system products are a key growth area for the company, with capabilities in independent design and manufacturing, positioning it as a core business for future development[32]. - Continuous R&D investment has led to advanced technology in various manufacturing processes, maintaining a leading position in the industry[36]. - The company aims to leverage the growing demand in the aerospace sector, with a focus on high-end precision manufacturing for both military and civilian aircraft components[33]. - The company plans to invest 550 million yuan in a new energy vehicle key component production base, with construction expected to be completed in Q3 2023[40]. Risks and Challenges - The company faces risks from intensified competition in the automotive parts sector, particularly as the market shifts towards electric vehicles, attracting more competitors including multinational companies[55]. - The company is heavily reliant on core customers, and any failure to meet their needs could lead to significant customer loss, adversely affecting future operations and profitability[58]. - The company has identified risks related to product substitution, particularly as the market share of automatic and continuously variable transmissions (CVT) increases, potentially affecting sales of its traditional products[56]. Shareholder and Corporate Governance - The company did not disclose any plans for profit distribution or capital reserve transfer to increase share capital during this reporting period[6]. - There were no significant non-operating fund occupation issues by controlling shareholders or related parties reported[8]. - The company reported a commitment to not transfer more than 25% of their shares annually after the lock-up period, which ends two years post-lock-up[67]. - The company will ensure that any related transactions are conducted based on equal, voluntary, and fair business principles[68]. Environmental and Social Responsibility - The company has implemented effective environmental protection measures, ensuring that all pollutants are discharged within standards and waste is either recycled or safely disposed of[63]. - The company has adopted carbon reduction technologies in its production processes, such as using LED lighting and optimizing transformer losses, to effectively reduce carbon emissions[64]. Financial Instruments and Accounting Policies - The group classifies financial assets into three categories: amortized cost, fair value through other comprehensive income, and fair value through profit or loss[161]. - The expected credit loss is calculated as the present value of the difference between all contractual cash flows expected to be received and the expected cash flows[172]. - The group uses a combination of credit risk characteristics, such as financial instrument type and geographic location, to group financial instruments for expected credit loss measurement[176]. Share Capital and Equity Management - The company has completed the repurchase and cancellation of 737,466 restricted stocks due to employee departures and unmet performance targets[143]. - The total equity attributable to shareholders of the parent company was reported at ¥2,112,082,000.00, reflecting a stable financial position despite fluctuations in the market[127]. - The company is actively managing its equity structure, with ongoing assessments of capital reserves and retained earnings to support future strategic initiatives[135].

Financial Performance - The company's operating revenue for Q1 2023 was ¥378,723,215.22, representing a decrease of 7.45% compared to the same period last year[3]. - The net profit attributable to shareholders for Q1 2023 was ¥43,316,929.28, down 47.15% year-on-year[3]. - Basic earnings per share for Q1 2023 were ¥0.1111, a decrease of 47.69% year-on-year[3]. - The company's total comprehensive income for Q1 2023 was CNY 43,143,748.38, down from CNY 86,008,438.33 in Q1 2022, indicating a significant decline in overall profitability[16]. - The company’s operating profit for Q1 2023 was CNY 48,654,737.40, a decrease of 51.1% from CNY 99,408,509.62 in Q1 2022[16]. - The total revenue from operating activities decreased to CNY 262,891,276.14 in Q1 2023, down from CNY 328,753,856.41 in Q1 2022, representing a decline of approximately 20%[18]. - The net profit for Q1 2023 was CNY 43,143,748.38, a decrease of 49.8% compared to CNY 86,008,438.33 in Q1 2022[16]. - The operating profit for Q1 2023 was a loss of ¥1,610,126.96, compared to a profit of ¥4,295,284.85 in Q1 2022[25]. - The net profit for Q1 2023 was a loss of ¥1,403,451.27, compared to a profit of ¥3,650,992.12 in Q1 2022[25]. Cash Flow - The net cash flow from operating activities was -¥65,572,950.13, a decline of 140.62% compared to the previous year[3]. - The cash flow from operating activities showed a net outflow of CNY -65,572,950.13 in Q1 2023, compared to CNY -27,252,073.42 in Q1 2022, indicating a worsening cash flow situation[18]. - The company incurred a net cash outflow from investing activities of CNY -32,325,764.27 in Q1 2023, compared to CNY -149,472,465.08 in Q1 2022, indicating improved cash management in investments[19]. - The financing activities generated a net cash inflow of CNY 18,021,865.59 in Q1 2023, a decrease from CNY 136,336,094.30 in Q1 2022, reflecting reduced financing activities[19]. - Cash inflow from operating activities in Q1 2023 was 66,439,664.58 RMB, down 43.4% from 117,568,284.43 RMB in Q1 2022[26]. - The net cash flow from operating activities improved to 27,039,787.76 RMB in Q1 2023, compared to a negative 118,902,679.08 RMB in Q1 2022[26]. - Cash outflow from financing activities in Q1 2023 was 45,523,904.66 RMB, compared to 210,457,923.74 RMB in Q1 2022, showing a reduction in financing costs[27]. - The company reported a cash flow from financing activities net amount of -44,137,646.84 RMB in Q1 2023, contrasting with a positive 34,862,877.07 RMB in Q1 2022[27]. Assets and Liabilities - Total assets at the end of Q1 2023 were ¥4,867,684,808.19, an increase of 3.28% from the end of the previous year[4]. - Total liabilities increased to ¥2,710,541,076.33 in Q1 2023 from ¥2,600,811,975.01 in Q4 2022, marking an increase of 4.2%[12]. - The company's non-current assets totaled ¥3,185,757,707.14 as of March 31, 2023, compared to ¥3,102,320,346.12 at the end of 2022, showing a growth of 2.7%[13]. - The company's cash and cash equivalents increased to ¥1,681,927,101.05 in Q1 2023 from ¥1,610,574,304.95 in Q4 2022, representing a rise of 4.4%[12]. - The company's retained earnings as of March 31, 2023, were ¥1,300,667,159.20, up from ¥1,257,350,229.92 at the end of 2022, indicating an increase of 3.4%[13]. - The total assets as of March 31, 2023, included cash and cash equivalents of CNY 75,408,763.02, down from CNY 132,711,647.63 at the end of 2022[21]. - The total liabilities increased to ¥1,333,990,196.39 as of March 31, 2023, from ¥1,328,445,678.75 at the end of 2022[23]. Shareholder Information - The company reported a total of 13,155 common shareholders at the end of the reporting period[7]. - The top shareholder, Xiang Chaodong, holds 71,344,000 shares, accounting for 18.12% of the total shares[7]. Operational Efficiency - The company experienced a significant decline in gross margin due to product capacity release not meeting expectations and product structure adjustments[5]. - The company is focusing on digital accounts receivable collection methods, which have increased compared to the previous year[5]. - Total operating costs increased to ¥329,938,550.99 in Q1 2023, up from ¥312,198,931.08 in Q1 2022, representing a rise of 5.5%[14]. - Research and development expenses for Q1 2023 were ¥21,549,196.75, compared to ¥20,945,155.61 in Q1 2022, indicating an increase of 2.9%[14]. - The company's financial expenses for Q1 2023 were ¥11,679,948.00, significantly higher than ¥4,178,696.50 in Q1 2022, primarily due to increased interest expenses[25]. - The company reported a significant increase in credit impairment losses, amounting to CNY -3,311,972.07 in Q1 2023, compared to CNY -1,096,171.61 in Q1 2022[16]. - The company's inventory increased to ¥51,471,705.78 from ¥45,103,180.14, indicating a 14.5% rise[22]. - The company reported a significant increase in contract liabilities, rising to ¥57,651,647.99 from ¥38,490,100.73[23].

Financial Performance - The company's operating revenue for 2022 was RMB 1,471,720,572.27, representing a 1.90% increase compared to RMB 1,444,218,616.59 in 2021[25]. - The net profit attributable to shareholders of the listed company was RMB 211,398,190.20, a 5.92% increase from RMB 199,590,032.78 in the previous year[25]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was RMB 179,479,010.12, up 4.24% from RMB 172,176,087.06 in 2021[25]. - The net cash flow from operating activities decreased by 40.88% to RMB 281,611,988.18 from RMB 476,345,436.93 in 2021[25]. - The total assets at the end of 2022 were RMB 4,712,894,651.07, an 18.78% increase from RMB 3,967,623,250.67 at the end of 2021[25]. - The net assets attributable to shareholders of the listed company increased by 14.40% to RMB 2,111,064,928.83 from RMB 1,845,361,126.27 in 2021[25]. - The basic earnings per share for 2022 were RMB 0.5452, a 4.99% increase from RMB 0.5193 in 2021[26]. - The diluted earnings per share for 2022 were RMB 0.5378, reflecting a 6.10% increase from RMB 0.5069 in the previous year[26]. - The weighted average return on net assets was 10.99%, a decrease of 0.13 percentage points from 11.12% in 2021[26]. Investments and Acquisitions - The company successfully acquired 49% equity in Chongqing Haoneng, enhancing resource integration and competitive advantage in the automotive industry[35]. - A total investment of CNY 55 million was committed to establish a key component production base for new energy vehicles, aimed at expanding the company's product offerings in this sector[36]. - The company successfully issued convertible bonds to raise 500 million yuan for the "Automotive Differential Assembly Production Base Construction Project," enhancing production capacity for new energy vehicle components[41]. - The company completed the acquisition of Chongqing Haoneng Automotive Parts Manufacturing for a total investment of RMB 90,752,653.88, holding a 100% stake[86]. - The company invested RMB 250,000,000.00 in Luzhou Haoneng Automotive Parts Manufacturing through debt-to-equity conversion, also holding a 100% stake[87]. Research and Development - The company has increased R&D expenditure to 10,074.14 million yuan, a year-on-year growth of 25.21%, and has initiated 196 R&D projects[43]. - The company is actively developing new energy vehicle components, with the EDS differential assembly for the Zeekr 001 in the ramp-up phase of mass production[38]. - The company has established capabilities for independent design, synchronous development, and manufacturing of differential system products[57]. - The company plans to invest in R&D for new products aligned with automotive industry trends, particularly in areas like lightweight vehicles and new energy vehicles[99]. Market and Industry Trends - In 2022, China's automobile production and sales reached 27.02 million and 26.86 million units, with year-on-year growth of 3.4% and 2.1% respectively[47]. - The production and sales of new energy vehicles in China reached 7.058 million and 6.887 million units, with year-on-year growth of 96.9% and 93.4%, achieving a market share of 25.6%, an increase of 12.1 percentage points from the previous year[48]. - The automotive parts industry in China is expected to grow by approximately 3% in 2023, driven by the overall automotive market development[91]. - The domestic commercial aerospace industry has experienced a compound annual growth rate of 22.3% from 2015 to 2021, with the market size expected to reach 2.3 trillion yuan by 2024[94]. Corporate Governance - The company strictly adheres to the requirements of the Company Law and the Securities Law, continuously improving its governance structure and enhancing management quality[104]. - Independent directors account for one-third of the board, ensuring compliance with legal and regulatory requirements[105]. - The board has established four specialized committees: Audit Committee, Strategy Committee, Compensation and Assessment Committee, and Nomination Committee, which play a significant role in promoting standardized operations[105]. - The company has implemented strict insider information management to ensure confidentiality and compliance with regulations[106]. Employee and Shareholder Relations - The total number of employees in the parent company and major subsidiaries is 2,821, with 263 in the parent company and 2,558 in subsidiaries[126]. - The company has established a training plan to enhance employee skills across various dimensions, including quality and safety training[129]. - The company’s employee compensation policy combines job value, market levels, and performance assessments to motivate staff effectively[128]. - The total cash dividend amount is CNY 70,875,670.32, which accounts for 33.53% of the net profit attributable to ordinary shareholders in the consolidated financial statements[135]. Environmental and Social Responsibility - The company invested CNY 1,044.55 million in environmental protection during the reporting period[142]. - The company has implemented carbon reduction measures, including the use of energy-efficient LED lighting and waste recycling[144]. - The company has actively participated in poverty alleviation and rural revitalization projects, contributing CNY 50,000 in funding[146]. Financial Position and Shareholder Information - The total amount of restricted assets was ¥1,639,139,771.72, including cash and receivables pledged for long-term borrowings[81]. - The company’s total share capital increased from 302,887,480 shares to 393,753,724 shares due to a capital reserve conversion of 90,866,244 shares[173]. - The largest shareholder, Xiang Chaodong, holds 71,344,000 shares, representing 18.12% of the total shares[185]. - The company has no controlling shareholder, with Xiang Chaodong being the largest individual shareholder[189].

关于召开 2022 年度暨 2023 年第一季度 业绩说明会的公告 | 证券代码：603809 | 证券简称：豪能股份 公告编号；2023-002 | | --- | --- | | 转债代码：113662 | 转债简称：豪能转债 | 成都豪能科技股份有限公司 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： 投资者可于 2023 年 04 月 18 日（星期二）至 04 月 24 日（星期一）16:00 前登录上证路演中心网站首页点击"提问预征集"栏目或通过公司投资者 关系邮箱 bgs@cdhntech.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。 成都豪能科技股份有限公司（以下简称"公司"）将于 2023 年 4 月 21 日披 露公司 2022 年年度报告及 2023 年第一季度报告，为便于广大投资者更全面深入 地了解公司 2022 年度及 2023 年第一季度的经营成果、财务状况，公司计划于 2023 年 04 月 25 日上午 11:00-12:00 召开 2022 年度暨 20 ...