中信建投证券股份有限公司 关于杭州华旺新材料科技股份有限公司 非公开发行股票持续督导之保荐工作总结报告书 中信建投证券股份有限公司（以下简称"中信建投证券"或"保荐机构"） 作为杭州华旺新材料科技股份有限公司（以下简称"华旺科技"、"发行人"或 "公司"）非公开发行股票的保荐机构，履行持续督导期截至 2023 年 12 月 31 日。目前，本次非公开发行的持续督导期已届满。保荐机构根据《证券发行上市 保荐业务管理办法》的相关规定，出具本保荐总结报告书。 一、保荐机构及保荐代表人承诺 （一）保荐总结报告书和证明文件及其相关资料的内容不存在虚假记载、误 导性陈述或重大遗漏，保荐机构及保荐代表人对其真实性、准确性、完整性承担 法律责任。 （二）本机构及本人自愿接受中国证监会对保荐总结报告书相关事项进行的 任何质询和调查。 （三）本机构及本人自愿接受中国证监会按照《证券发行上市保荐业务管理 办法》的有关规定采取的监管措施。 | 保荐机构名称 | 中信建投证券股份有限公司 | | --- | --- | | 注册地址 | 北京市朝阳区安立路 66 号 4 号楼 | | 主要办公地址 | 上海市浦东新区浦东南路 528 ...

证券代码：605377 证券简称：华旺科技 公告编号：2024-027 杭州华旺新材料科技股份有限公司 关于续聘外部审计机构的公告 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： 拟续聘的会计师事务所名称：天健会计师事务所（特殊普通合伙） 杭州华旺新材料科技股份有限公司（以下简称"公司"）已于 2024 年 4 月 26 日召开第四届董事会第三次会议，审议通过了《关于续聘外部审计机构的 议案》。公司拟续聘天健会计师事务所（特殊普通合伙）为公司 2024 年度审计 机构。该议案尚需提交公司股东大会审议通过。 一、拟续聘会计师事务所的基本情况 （一）机构信息 1、基本信息 | 事务所名称 | 天健会计师事务所（特殊普通合伙） | | | | --- | --- | --- | --- | | 成立日期 | 2011年7月18日 | 组织形式 | 特殊普通合伙 | | 注册地址 | 浙江省杭州市西湖区西溪路128号6楼 | | | | 首席合伙人 | 王国海 上年末合伙人数量 | | 238 人 | | 上年末执业人 ...

目 录 一、内部控制审计报告…………………………………………第 1—2 页 第 1 页 共 2 页 内部控制审计报告 天健审〔2024〕4176 号 杭州华旺新材料科技股份有限公司全体股东： 二、注册会计师的责任 我们的责任是在实施审计工作的基础上，对财务报告内部控制的有效性发表 审计意见，并对注意到的非财务报告内部控制的重大缺陷进行披露。 三、内部控制的固有局限性 内部控制具有固有局限性，存在不能防止和发现错报的可能性。此外，由于 情况的变化可能导致内部控制变得不恰当，或对控制政策和程序遵循的程度降低， 根据内部控制审计结果推测未来内部控制的有效性具有一定风险。 四、财务报告内部控制审计意见 按照《企业内部控制审计指引》及中国注册会计师执业准则的相关要求，我 们审计了杭州华旺新材料科技股份有限公司（以下简称华旺科技公司）2023 年 12 月 31 日的财务报告内部控制的有效性。 一、企业对内部控制的责任 按照《企业内部控制基本规范》《企业内部控制应用指引》以及《企业内部 控制评价指引》的规定，建立健全和有效实施内部控制，并评价其有效性是华旺 科技公司董事会的责任。 第 2 页 共 2 页 第 1 页 共 ...

Financial Performance - The company's operating revenue for 2023 reached ¥3,975,786,810.43, representing a 15.70% increase compared to ¥3,436,401,576.53 in 2022[23]. - The net profit attributable to shareholders for 2023 was ¥566,089,373.56, up 21.13% from ¥467,335,090.53 in 2022[23]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥527,910,202.62, reflecting a 16.43% increase from ¥453,400,020.52 in 2022[23]. - The total assets of the company as of the end of 2023 were ¥6,218,722,546.99, a 12.67% increase from ¥5,519,651,980.40 at the end of 2022[23]. - The net assets attributable to shareholders increased by 11.14% to ¥4,009,722,291.81 from ¥3,607,787,901.95 in 2022[23]. - Basic earnings per share for 2023 were ¥1.72, an increase of 17.81% from ¥1.46 in 2022[24]. - The company achieved a total revenue of CNY 3,975.79 million in 2023, representing a year-on-year growth of 15.70%[33]. - The net profit attributable to shareholders of the listed company was CNY 566.09 million, an increase of 21.13% compared to the previous year[33]. - The weighted average return on equity increased by 0.75 percentage points to 14.92%[25]. Cash Flow and Investments - The net cash flow from operating activities decreased by 18.62% to ¥438,595,334.32 from ¥538,973,828.30 in 2022[23]. - The net cash flow from operating activities for the fourth quarter was CNY 482.99 million, showing a strong recovery[26]. - The net cash flow from investment activities is ¥49,071,122.59, a significant improvement from -¥431,765,622.45 in the previous year, mainly due to increased redemptions of financial products[70]. - The net cash flow from financing activities decreased by 102.37% to -¥16,159,720.20, primarily due to the absence of funds raised from non-public stock issuance compared to the previous year[71]. - The total amount of receivables financing increased by 45.77% to ¥1,099,897,263.02, attributed to the expansion of sales and increased bill collections[73]. - Fixed assets increased by 40.57% to ¥1,294,377,450.52, mainly due to the completion of the special paper production line expansion project[73]. Market and Product Development - The company successfully launched the "18,000 tons special paper production line expansion project (Phase I)", contributing to continuous capacity growth[33]. - The company actively expanded its overseas market presence, resulting in a significant increase in overseas business volume[34]. - The company implemented a centralized procurement strategy, effectively reducing procurement costs and optimizing the supply chain[35]. - The company focused on improving operational efficiency and cost control, leading to a reduction in inventory turnover time[36]. - The company is a leading manufacturer in the specialty paper industry, focusing on decorative base paper, with over 500 varieties produced across two major production bases in Hangzhou and Ma'anshan[41]. - The decorative base paper products have strong printing performance and environmental production processes, gradually replacing natural wood, stone, leather, and other decorative materials[42]. - The company has achieved significant digital transformation, enhancing production delivery capabilities and efficiency through the integration of MES, ERP, and WMS systems[37]. - The domestic market for decorative base paper is experiencing high demand growth due to urbanization and rising income levels, with a focus on high-end products[39]. - The overseas market for decorative base paper is expanding, driven by the Belt and Road Initiative and increasing demand in Southeast Asia[40]. - The company emphasizes customized production to meet client needs, enhancing its market share in the mid-to-high-end segment[44]. - The decorative base paper industry is seeing increased concentration, with higher quality requirements from downstream customers, favoring mid-to-high-end products[39]. Research and Development - Research and development expenses increased by 30.06% to 120,663.20 million RMB, driven by higher investment in R&D[56]. - The proportion of research and development personnel to total employees is 17.50%, with a total of 232 R&D staff[68]. - The company has no PhD researchers among its R&D personnel, with only 1 holding a master's degree[68]. - The company will increase R&D efforts to maintain its technological leadership in the industry[86]. Environmental and Sustainability Initiatives - The company is actively pursuing a green low-carbon strategy, implementing clean production processes to minimize resource consumption and environmental impact[45]. - The company invested CNY 10.97 million in environmental protection during the reporting period[147]. - The company has installed a 24-hour online monitoring system at wastewater discharge points, which is connected to environmental regulatory authorities[150]. - The company reduced carbon emissions by 8,287 tons through measures such as using photovoltaic energy and implementing energy-saving technologies[158]. - The company received various environmental honors, including being recognized as a "Demonstration Unit for Energy Measurement" by the Hangzhou Municipal Government and achieving "Green Factory" status at the national level[157]. - The company has implemented a self-monitoring scheme for environmental compliance, with results showing all pollutant emissions meet standards[155]. - The company has not faced any administrative penalties for environmental issues during the reporting period[156]. Governance and Compliance - The company held three shareholder meetings during the reporting period, ensuring compliance with relevant laws and regulations, and providing equal treatment to all shareholders, especially minority shareholders[98]. - The board of directors convened seven meetings, adhering to the established rules and procedures, and maintaining a structured governance framework with specialized committees[99]. - The company has implemented a transparent performance evaluation and incentive mechanism for directors and senior management, ensuring compliance with legal standards[99]. - The company is committed to maintaining information disclosure transparency, ensuring that all shareholders have fair access to relevant information[99]. - The company has established a financial management system for its subsidiaries to ensure compliance and mitigate financial risks[144]. - The company has not faced any penalties from securities regulatory agencies in the past three years[121]. Shareholder and Management Changes - The total number of shares held by the board members at the beginning of the year was 76,477,100, which decreased to 76,212,920 by the end of the year, reflecting a reduction of 264,180 shares[107]. - Zhang Yancheng, the General Manager, reduced his shareholding by 257,980 shares, bringing his total from 5,023,500 to 4,765,520 shares[107]. - The company reported a significant leadership change with the resignation of independent director Mr. Zhang Qunhua after serving for six years[110]. - The company appointed Mr. Qiu Jianghao as the new chairman of the board, effective from March 7, 2023, following the resignation of Mr. Qiu Zhengliang[110]. - The company is undergoing a board and supervisory board transition, with several members resigning due to retirement or work adjustments[113]. - The management team remains stable despite the changes in board and supervisory positions, ensuring continuity in operations[112]. Risk Management - The company faces risks from macroeconomic slowdown and raw material price fluctuations, particularly in wood pulp[90][91]. - The company will strengthen its analysis of raw material markets and improve procurement planning to mitigate risks from price volatility[92]. - The company faces risks from exchange rate fluctuations, particularly due to its reliance on imported wood pulp and USD settlements, which could increase procurement costs if the RMB depreciates against the USD[94]. - Changes in government policies, including environmental regulations and tax adjustments, could significantly impact the company's competitive environment and operational strategies, leading to increased uncertainty in future operations[95].

杭州华旺新材料股份有限公司 2023 年度会计师事务所履职情况评估报告 杭州华旺新材料科技股份有限公司（以下简称"公司"）聘请天健会计师事 务所（特殊普通合伙）（以下简称"天健"）作为公司 2023 年度审计机构。根 据财政部、国资委及证监会颁布的《国有企业、上市公司选聘会计师事务所管理 办法》，公司对天健 2023 年度审计过程中的履职情况进行了评估。具体情况如 下： 一、资质条件 根据相关法律法规的规定，前述监督管理措施和自律监管措施不影响天健继 续承接或执行证券服务业务和其他业务。 | 事务所名称 | 天健会计师事务所（特殊普通合伙） | | | | | --- | --- | --- | --- | --- | | 成立日期 | 2011 年 月 日 | 7 | 18 | 组织形式 特殊普通合伙 | | 注册地址 | 浙江省杭州市西湖区灵隐街道西溪路 | | | 号 128 | | 首席合伙人 | 王国海 | | | 上年末合伙人数量 238 人 | | 上年末执业人员 | 注册会计师 | | | 2,272 人 | | 数量 | 签署过证券服务业务审计报告的注册会计师 | | | 836 人 | | ...

证券代码：605377 证券简称：华旺科技 公告编号：2024-024 杭州华旺新材料科技股份有限公司 第四届监事会第三次会议决议公告 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、准确性和完整性承担法律责任。 一、监事会会议召开情况 杭州华旺新材料科技股份有限公司（以下简称"公司"）第四届监事会第三 次会议于 2024 年 4 月 26 日在公司会议室以现场表决的方式召开。会议通知已于 2024 年 4 月 16 日通过书面的方式送达各位监事。因临时增加议案，2024 年 4 月 25 日公司将会议补充通知及议案通过书面方式送达各位监事。本次会议应出 席监事 3 人，实际出席监事 3 人。 会议由公司监事会主席郑湘玲女士主持。会议召开符合有关法律、法规、规 章和《公司章程》的规定。 二、监事会会议审议情况 （一）审议通过《关于<2023 年年度报告>及其摘要的议案》 经核查，我们认为： 1.公司 2023 年年度报告的编制和审核程序符合法律、法规、公司章程和公 司内部管理制度等相关规定，内容真实、准确、完整。 2.公司 2023 年年度报告的内容和格式 ...

中信建投证券股份有限公司 关于杭州华旺新材料科技股份有限公司 2023 年度募集资金存放与使用情况之专项核查报告 中信建投证券股份有限公司（以下简称"中信建投证券"或"保荐机构"） 作为杭州华旺新材料科技股份有限公司（以下简称"华旺科技"或"公司"）非 公开发行股票的保荐机构，根据《证券发行上市保荐业务管理办法》、《上海证券 交易所上市公司自律监管指引第 11 号——持续督导》、《上海证券交易所股票上 市规则》、《上市公司监管指引第 2 号——上市公司募集资金管理和使用的监管要 求》、《上海证券交易所上市公司自律监管指引第 1 号——规范运作》等相关法 律、法规和规范性文件的规定，对杭州华旺新材料科技股份有限公司非公开发行 股票募集资金 2023 年度的存放与使用情况进行了核查，情况如下： 一、募集资金基本情况 根据中国证券监督管理委员会《关于核准杭州华旺新材料科技股份有限公司 非公开发行股票的批复》（证监许可〔2021〕3701 号），华旺科技由主承销商中信 建投证券股份有限公司采用向特定投资者非公开发行股票的方式，向特定对象非 公开发行人民币普通股（A 股）股票 4,510.451 万股，发行价为每股人民 ...

证券代码：605377 证券简称：华旺科技 公告编号：2024-028 杭州华旺新材料科技股份有限公司 关于预计 2024 年度日常关联交易的公告 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： 本日常关联交易预计事项尚需提交公司股东大会审议。 杭州华旺新材料科技股份有限公司（以下简称"公司"）所预计的 2024 年度日常关联交易均是公司正常生产经营所必需，定价公允、结算时间与方式合 理，不损害公司及中小股东的利益。公司选择的合作关联方均具备良好商业信誉 和财务状况，可降低公司的经营风险，有利于公司正常业务的持续开展，公司主 要业务不会因此形成对关联方的依赖，不影响公司的独立性。 一、日常关联交易基本情况 （一）日常关联交易履行的审议程序 2024 年 4 月 26 日，公司召开第四届董事会第三次会议，审议通过了《关 于预计 2024 年度日常关联交易的议案》，关联董事钭正良、钭江浩回避表决。 该议案尚需提交股东大会审议，与本次关联交易有关联关系的股东应在表决时 予以回避。 本事项在提交董事会审议前已经独立董事 ...

Financial Performance - The company's revenue for Q1 2024 reached ¥951,861,538.46, representing a year-on-year increase of 4.15%[5] - Net profit attributable to shareholders was ¥146,844,095.97, marking a significant increase of 36.59% compared to the same period last year[5] - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥144,998,666.40, reflecting a growth of 49.95%[5] - Basic and diluted earnings per share both stood at ¥0.45, an increase of 36.36% year-on-year[5] - Total operating revenue for Q1 2024 reached ¥951.86 million, a 4.2% increase from ¥913.97 million in Q1 2023[20] - Net profit for Q1 2024 was ¥146.81 million, up 37% from ¥107.13 million in Q1 2023, indicating strong profitability growth[21] - Basic and diluted earnings per share improved to ¥0.45 in Q1 2024 from ¥0.33 in Q1 2023, reflecting enhanced shareholder value[22] Assets and Liabilities - Total assets decreased by 7.00% from the end of the previous year, amounting to ¥5,783,350,143.48[6] - Total current assets decreased from CNY 4,758,276,874.55 to CNY 4,315,973,765.45, a decline of approximately 9.3%[16] - Total liabilities decreased from CNY 2,126,417,860.88 to CNY 1,538,353,475.39, a decline of about 27.7%[17] - The total liabilities decreased to ¥1.62 billion in Q1 2024 from ¥2.20 billion in Q1 2023, suggesting improved financial stability[21] - Shareholders' equity attributable to the parent company increased by 3.67% to ¥4,156,922,991.51[6] - The total equity attributable to shareholders rose to ¥4.16 billion in Q1 2024 from ¥4.01 billion in Q1 2023, reflecting a solid growth in shareholder equity[21] Cash Flow - The company reported a net cash flow from operating activities of -¥208,377,703.66, indicating a negative cash flow situation[5] - Cash flow from operating activities showed a net outflow of ¥208.38 million in Q1 2024, slightly better than the outflow of ¥213.61 million in Q1 2023[25] - The net cash flow from investing activities was -$55,092,850.53, compared to -$45,634,455.84 in the previous period, indicating an increase in cash outflow for investments[26] - The net cash flow from financing activities was -$310,552,646.27, a significant decrease from $78,214,651.24 in the prior period, reflecting higher debt repayments[26] - The total cash and cash equivalents at the end of the period amounted to $1,620,961,502.29, down from $2,193,935,348.06 at the beginning of the period[26] - The company experienced a negative net increase in cash and cash equivalents of -$572,973,845.77, compared to -$190,804,223.78 in the previous period[26] - Cash inflow from borrowing was $78,745,980.56, indicating reliance on debt financing during the quarter[26] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 7,936[10] - The company has a total of 3,126,840 shares held in the repurchase account, accounting for 0.94% of the total share capital[12] - The top ten shareholders hold a total of 84,084,000 shares, representing 25.31% of the total shares outstanding[12] Costs and Expenses - Total operating costs decreased slightly to ¥801.30 million in Q1 2024 from ¥802.34 million in Q1 2023, reflecting a marginal improvement in cost management[20] - Research and development expenses increased significantly to ¥27.60 million in Q1 2024, compared to ¥17.31 million in Q1 2023, highlighting a focus on innovation[21] - The company reported a tax expense of ¥5.92 million in Q1 2024, down from ¥11.70 million in Q1 2023, contributing to the increase in net profit[21] - Dividend payments amounted to $116,032.03, a slight decrease from $515,889.32 in the previous period[26] Other Information - The company recognized government subsidies amounting to ¥2,084,505.25 as part of its non-recurring gains and losses[7] - The company did not apply new accounting standards or interpretations for the current financial reporting period[26] - The report was issued by the board of directors on April 26, 2024, under the leadership of Zhang Yancheng and Huang Yafen[26]

证券代码：605377 证券简称：华旺科技 公告编号：2024-030 杭州华旺新材料科技股份有限公司 关于开展票据池业务的公告 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。 杭州华旺新材料科技股份有限公司（以下简称"公司"）于2024年4月26日 召开了第四届董事会第三次会议，审议通过了《关于开展票据池业务的议案》。 为提高公司票据资产的使用效率和收益，优化财务结构，公司拟开展票据池业务， 公司及子公司共享不超过人民币20亿元的票据池额度，票据池额度可以循环滚动 使用。本事项尚需提交公司股东大会审议。具体情况如下： 一、票据池业务情况概述 （一）业务概述 （四）实施额度 票据池业务是指合作银行为满足企业客户对所持有的汇票进行统一管理、统 筹使用的需求，向企业提供的集票据托管和托收、票据质押池融资、票据贴现、 票据代理查询、业务统计等功能于一体的票据综合管理服务业务。 （二）合作银行 拟开展票据池业务的合作银行为国内资信较好的商业银行，具体合作银行根 据公司与商业银行的合作关系，以及商业银行票据池服务能力等综合因素选择。 （ ...