Patents and R&D - The company has applied for 231 new invention patents and obtained 34, with a cumulative total of 492 applications and 104 grants[4] - The company has applied for 126 new utility model patents and obtained 76, with a cumulative total of 469 applications and 346 grants[4] - The company's R&D team consists of 27 PhDs, 337 master's degree holders, 133 bachelor's degree holders, 73 associate degree holders, and 77 high school or below[9] - The company's R&D team age structure includes 355 under 30, 244 between 30-40, 35 between 40-50, 12 between 50-60, and 1 over 60[9] - The company has mastered core technologies for lithium iron manganese phosphate and sodium-ion layered oxide cathode materials[9] - The company plans to complete trial production of lithium-rich manganese-based cathode materials and spinel nickel-manganese cathode materials by 2024[28] - The company is actively deploying and reserving technologies and production capacities for various cathode materials, including lithium iron manganese phosphate, sodium-ion, and lithium-rich manganese-based materials[33] - R&D expenses decreased by 27.19% to 354,244,490.82 yuan[72] Global Expansion and Strategy - The company's Korean base is expanding production capacity to serve international clients and reduce supply chain risks[11] - The company has established a North American office and is preparing for a European investment project[11] - The company is accelerating its global strategy, expanding international clients, and advancing overseas offices and production bases[19] - The company is implementing a "new integration" strategy to build a competitive global supply chain, including networks in Southeast Asia, Europe, North America, South America, and Africa[28] - The company is ensuring compliance with the U.S. Inflation Reduction Act and the EU New Battery Law in its global supply chain[28] - The company's global strategy is clear, with a solid foundation in clients and production capacity, and sufficient capital reserves to seize global market opportunities[91] - The company's Korean base has completed the first phase of production capacity, and the second phase of 40,000 tons/year ternary materials and 20,000 tons/year lithium iron manganese phosphate projects started in August 2023[96] - The company's Korean production capacity is globally competitive and has matched the needs of several major overseas clients[96] - The company plans to accelerate overseas capacity layout, with the first phase of 20,000 tons of high-nickel ternary material capacity in South Korea stabilizing and increasing, and the second phase of 40,000 tons of high-nickel ternary material and 20,000 tons of phosphate material capacity will also be accelerated[135] - The company will continue to promote capacity construction in Europe and North America to better meet the product needs of global vehicle and battery cell manufacturers, further increasing sales scale and market share[135] Financial Performance - Total owner's equity at the end of the period increased to 4,531,581,646.02, up from 4,294,113,011.39 at the beginning of the period[22] - Comprehensive income for the period amounted to 107,024,260.84[22] - Capital reserve increased by 171,410,724.83 during the period[22] - Main business revenue reached 21.113 billion yuan, a year-on-year decrease of 22.89%, mainly due to product price fluctuations caused by upstream raw material price changes[34] - Cash flow from operating activities was 1.795 billion yuan, compared to -240.981 million yuan in the same period last year[43] - Cash flow from financing activities was 1.389 billion yuan, a year-on-year decrease of 68.97%[49] - Trading financial assets increased by 75.44% to 123,364,947.50 yuan, mainly due to increased purchases of financial products[50] - Accounts receivable decreased by 100% to 0.00 yuan, mainly due to the maturity and recovery of commercial acceptance bills[50] - Inventory decreased by 53.51% to 1,532,689,530.55 yuan, mainly due to controlled stock levels and reduced prices of raw materials and products[50] - Fixed assets increased by 35.42% to 6,200,968,571.37 yuan, mainly due to the commissioning of expanded production capacity[50] - Long-term loans increased by 79.92% to 4,818,565,308.39 yuan, mainly due to the optimization of the loan structure and production construction needs[67] - Investment activities generated a net cash outflow of -1,691,687,881.14 in 2023, compared to -3,062,331,748.97 in the previous year[138] - Financing activities generated a net cash inflow of 1,389,485,246.42 in 2023, compared to 4,477,380,944.26 in the previous year[138] - The company's cash and cash equivalents increased by 1,486,604,343.08 in 2023, reaching a year-end balance of 3,695,479,357.96[138] - The company received 1,401,025,903.21 from absorbing investments in 2023, compared to 916,666,998.07 in the previous year[138] - The company repaid 3,430,604,342.67 in debt in 2023, compared to 1,619,738,642.66 in the previous year[138] - The company's investment in fixed assets, intangible assets, and other long-term assets amounted to 1,636,908,945.25 in 2023[138] Product and Market Performance - The company's high-nickel, ultra-high-nickel multi-crystal and single-crystal ternary cathode materials are internationally leading and used by top global battery manufacturers[9] - Production volume of cathode materials increased by 12.42% to 102,757.38 tons, while sales volume increased by 11.67% to 99,445.99 tons[53] - Precursor production volume increased by 31.68% to 30,151.15 tons, with sales volume increasing by 37.22% to 1,550.83 tons[53] - Direct material costs in the lithium battery industry decreased by 23.94% to 1,811,178.18 yuan, accounting for 92.79% of total costs[64] - Sales to the top five customers amounted to 1,946,303.55 yuan, accounting for 85.91% of total annual sales[65] - The company's high-nickel and ultra-high-nickel products are expected to see increased demand due to the trend of high-end new energy vehicles[96] - The company's global high-nickel penetration rate exceeded 50% in 2023, with domestic high-nickel materials accounting for 49%[96] - The company aims to consolidate and increase its market share in high-nickel/ultra-high-nickel products in the semi-solid-state battery sector and plans to launch ternary cathode materials suitable for high-energy-density all-solid-state batteries in 2024[106] - The company aims to improve the market share of its materials in the field of all/semi-solid batteries and accelerate the mass production process of other cutting-edge products[136] Organizational and Management Reforms - The company completed a three-system organizational reform to improve efficiency and reduce costs[12] - The company completed a three-system organizational reform, forming a "market system—R&D system—delivery system" as the iron triangle for process operations[32] - The company's organizational management capabilities have significantly improved through organizational reforms, including the implementation of a divisional system and business line management[25] - The company is adopting effective incentive mechanisms, such as 3P (position, pay, performance) and a four-level partner mechanism, to attract top global talent[25] - The company implemented a performance-based compensation system for frontline employees, linking pay to output, working hours, and quality[165] - The company has a comprehensive compensation system for core technical personnel, including fixed salary, performance pay, year-end bonuses, project bonuses, and equity incentives[173] - The company established a market-oriented salary system to motivate employees, combining individual performance with overall business performance[190] - The company's salary structure includes fixed basic salary and variable performance-based salary, with bonuses tied to annual performance and company results[190] Subsidiaries and Investments - Guizhou Rongbai achieved revenue of 8.123 billion yuan, a year-on-year increase of 14.28%, and net profit of 369 million yuan, a year-on-year increase of 17.42%[95] - Wuhan Rongbai achieved revenue of 10.698 billion yuan, remaining flat year-on-year[95] - Hubei Rongbai achieved revenue of 6.148 billion yuan, a year-on-year decrease of 54.24%, and net profit of 793 million yuan, a year-on-year decrease of 30.73%, mainly due to the decline in raw material prices[100] - Hubei Rongbai, a subsidiary, reported revenue of 6.148 billion yuan, operating profit of 924 million yuan, and net profit of 793 million yuan[110] - JS Co., Ltd., a key subsidiary for global expansion, currently has a production capacity of 20,000 tons/year of cathode materials in South Korea and is expected to contribute profits in the future[111] - Hubei Rongbai Battery Triangle No. 1 Equity Investment Fund Partnership invested 99 million yuan, representing a 19.80% stake, with a total planned investment of 640 million yuan[109] - The company's initial investment cost in Hezong Technology was 29,999,997.72 yuan, with a year-end book value of 22,364,947.50 yuan[93] - The company's fair value change loss for Hezong Technology in the current period was -7,812,821.66 yuan[93] Governance and Compliance - The company's governance structure is in line with regulatory requirements, and it has added 2 non-independent directors to the board[29] - The company's 2022-2023 annual information disclosure work evaluation result was A[141] - Independent directors are fulfilling their duties effectively, and small shareholders have ample opportunities to express their opinions and protect their rights[153] - The company's audit committee held 4 meetings in 2023, with all proposals approved[163] - The company's nomination committee held 2 meetings in 2023, with all proposals approved[163] - The company's remuneration and assessment committee held 2 meetings in 2023, with all proposals approved[163] - The company made changes to its board and senior management, including the election of two new directors and the appointment of a new board secretary and CFO[169] - All proposals were approved in the 2nd Board of Directors meetings from March 28, 2023, to October 25, 2023, with no rejected proposals[186] - The company held 3 meetings of the Remuneration and Assessment Committee during the reporting period[188] Equity and Compensation - The company has implemented equity incentive plans[154] - The company's 2020 restricted stock incentive plan saw 1,085,694 shares become eligible for vesting/exercise/unlocking, with 1,010,552 shares actually vested/exercised/unlocked[166] - The company plans to distribute a cash dividend of 3.03 yuan per 10 shares, totaling 144,965,792.88 yuan, representing 24.96% of 2023 net profit attributable to shareholders[174] - The total number of shares held by senior management and core technical personnel increased by 427,628 shares, reaching 2,052,456 shares[157] - The number of shares held by Liu Dexian, Vice President, increased by 35,216 shares, reaching 155,747 shares, a 116.14% increase[157] - The number of shares held by Li Congxi, a core technical personnel, increased by 12,389 shares, reaching 29,622 shares[157] - The number of shares held by Chen Mingfeng, a core technical personnel, decreased by 3,254 shares, reaching 33,488 shares[157] - The number of shares held by Yuan Xujun, a core technical personnel, decreased by 1,183 shares, reaching 124,698 shares[157] - The number of shares held by Yu Jiyun, Board Secretary and Financial Officer, decreased by 74 shares, reaching 31,115 shares[157] - The number of shares held by Ge Xin, former Board Secretary, decreased by 13,683 shares, reaching 16,270 shares[157] - Total compensation for directors, supervisors, and senior management at the end of the reporting period was 1,163.51 million[161] - Total compensation for core technical personnel at the end of the reporting period was 386.48 million[161] - The company's 2023 annual report includes details on the remuneration of directors, supervisors, senior management, and core technical personnel, with amounts in RMB[184] - The 2020 Restricted Stock Incentive Plan and 2021 Restricted Stock Incentive Plan achieved their targets, with conditions for lifting restrictions met[195] - The company repurchased and canceled 16,596 shares of the first category of restricted stock and invalidated 38,218 shares of the second category under the 2020 plan[195] - The company repurchased and canceled 32,030 shares of the first category of restricted stock and invalidated 75,727 shares of the second category under the 2021 plan[195] - Total share-based payment expenses recognized during the reporting period amounted to -43,508,964.09 RMB[195] Human Resources and Employee Structure - Total number of employees in the company is 4,376, with 1,787 in the parent company and 2,589 in major subsidiaries[152] - The company has 2,879 production personnel, 94 sales personnel, 647 technical personnel, 120 financial personnel, and 636 administrative personnel[152] - Educational background of employees includes 32 with a doctorate, 624 with a master's degree, 1,095 with a bachelor's degree, 729 with an associate degree, 1,212 with a high school diploma, and 684 with education below high school[152] - The company has 28 retired employees for whom the parent company and major subsidiaries bear expenses[152] - The company's labor outsourcing totaled 13,664 hours, with total payments of 373,084 yuan[174] Leadership and Key Personnel - Bai Houshan, the chairman, has extensive experience in the materials and technology sectors, including roles at Beijing Easpring Material Technology and Rongbai Holdings[155] - Liu Sangyeol, the vice chairman, has a background in lithium battery materials and has held key positions at Samsung SDI and EMT Co., Ltd[155] - Zhang Huiqing, a director and vice president, has a strong background in production and operations management, with experience at Beijing Easpring Material Technology and Rongbai Holdings[155] - Song Wenlei, a director, has a financial and investment background, with roles at CITIC Securities and Sunshine Insurance[155] - Jiang Hui, female, born in 1977, holds a Master's degree in Finance from the University of Sydney and has served as the Deputy General Manager of Shanghai Dingyi Intelligent Technology Co., Ltd. since 2015[182] - Zhao Yiqing, female, born in 1982, holds a Ph.D. in Management from Renmin University of China and has been teaching at the Capital University of Economics and Business since 2011[182] - Zhu Yan, male, born in 1975, holds an MBA from Stanford University and has been the legal representative and managing partner of Hubei Changjiang Weilai New Energy Investment Management Co., Ltd. since 2016[182] - Shen Cheng, female, born in 1983, holds a Bachelor's degree in Finance from Durham University and has been the Executive Director of Shanghai Ouxin Xingjin Venture Capital Co., Ltd. since 2014[182] - Chen Ruitang, male, born in 1963, holds a Bachelor's degree in Nonferrous Metallurgy from Central South University and has been the Chief Engineer of the company's Engineering Design Research Institute since 2015[182] - Liu Dexian, male, born in 1974, holds a Master's degree in Materials Science and Engineering from Beijing Institute of Technology and has been the General Manager of the company's International Trade Division since 2017[182] - Yu Jiyun, male, born in 1985, holds a Bachelor's degree in Powder Materials Science and Engineering from Central South University and has been the company's Board Secretary since August 2023[182] - Bai Houshan has been the Chairman of Beijing Rongbai New Energy Investment Development Co., Ltd. since March 2016[183] - Zhang Huiqing has been the Supervisor of Beijing Rongbai New Energy Investment Management Co., Ltd. since June 2014[183] - The company's chairman, Bai Houshan, received a total pre-tax remuneration of 421.91 million in 2023[143] - The company's vice chairman and general manager, Liu Xianglie, received a total pre-tax remuneration of 159.88 million in 2023[143] Supply Chain and Procurement - Total procurement amount from the top five suppliers was 1.252 billion yuan, accounting for 60.59% of the annual procurement total[42] - The company is focusing on low-cost self-production of key raw materials to enhance product competitiveness[28] - The company's inventory reduction is attributed to optimized supply chain management and cautious inventory preparation[47] - The company has built a positive electrode production capacity of over 200,000 tons, with new production lines undergoing ramp-up and fixed asset conversion[140] Miscellaneous - The company has established strict confidentiality systems and technical talent cultivation mechanisms to protect core technologies and maintain competitive advantages[31] - The company's financial assets and liabilities are classified and measured based on fair value, with transaction costs directly affecting current profits for certain categories[35] - 127,435 shares of the second type of restricted stock from the 2020 restricted stock incentive plan were registered on April 26, 2023, and became tradable on May 5, 2023[176] - 63,559 shares of the first type of restricted stock from the 2020 restricted stock incentive plan became tradable on June 6, 2023[176] - The repurchase price for the first type of restricted stock under the 2020 plan was adjusted from 23.71 yuan/share to 23.41 yuan/share, and the grant price for the second type was adjusted from 36.19 yuan/share to 35.89 yuan/share[176] - The repurchase price for the first type of restricted stock under the 2021 plan was

证券代码：688005 证券简称：容百科技 公告编号：2024-020 宁波容百新能源科技股份有限公司 关于预计 2024 年度使用闲置自有资金 进行现金管理的公告 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、准确性和完整性依法承担法律责任。 2024 年 4 月 10 日，宁波容百新能源科技股份有限公司（以下简称"容百科 技"或"公司")召开第二届董事会第三十二次、第二届监事会第二十三次会议，审 议通过了《关于公司预计 2024 年度使用闲置自有资金进行现金管理的议案》，同 意公司在不影响公司主营业务的正常开展和确保资金安全的前提下，使用闲置自 有资金额度不超过人民币 50 亿元（含本数）进行现金管理，有效期自董事会审 议通过之日起 12 个月内有效。在上述额度及期限内，资金可以滚动使用。 公司董事会授权公司经营管理层在上述额度和决议的有效期内行使该项决 策权及签署相关文件，具体事项由公司财经管理中心负责组织实施。本事项无需 提交公司股东大会审议。现将相关情况公告如下： 一、使用闲置自有资金进行现金管理的情况 （一）现金管理的目的 在不影响公司主营业 ...

容百科技 2023 年环境、社会及公司治理报告 宁波容百新能源科技股份有限公司 容百科技 2023 年环境、社会及公司治理报告 目录 CONTENTS | 关于本报告 | 03 | | --- | --- | | 董事长致辞 | 04 | | 01 全球布局，引领新能源产业文明 | | | --- | --- | | 1.1 关于容百 | 07 | | 1.2 发展战略和远景规划 | 11 | | 1.3 可持续发展体系建设和治理 | 14 | 03 创新引领，打造全球化交付竞争力 | 3.1 成为客户优选的合作伙伴 | 39 | | --- | --- | | 3.2 创新引领研发核心竞争力 | 41 | | 3.3 责任采购 | 47 | | 3.4 先进制造与精益品质 | 50 | 06 海纳人才，共建活力容百 | 6.1 员工权益与福利 | 79 | | --- | --- | | 6.2 赋能员工，共赢成长 | 84 | | 6.3 员工关爱与守护 | 88 | | 6.4 职业健康安全 | 91 | | 附录一 | ESG 量化绩效表 | 100 | | --- | --- | --- | | 附 ...

2024 年度 "提质增效重回报"行动方案 股票代码：688005 宁波容百新能源科技股份有限公司 2024 年度"提质增效重回报"行动方案 2 宁波容百新能源科技股份有限公司（以下简称"公司"或"容百科技"）为践行"以 投资者为本"的上市公司发展理念，维护公司全体股东的利益，基于对经营状况和 未来发展前景的信心，围绕完善公司治理、提高投资者回报、加强投资者沟通等方 面，特制定容百科技 2024 年"提质增效重回报"行动方案，以进一步规范治理、加 强投资者沟通、提升市值管理水平，积极回报投资者，保障投资者权益。 开展降本增效 提升运营管理质量与效率 01 2024 年，公司将加强董事会建设，完成董事会、监事会换届选举工作，进一 步落实独立董事制度改革，建立独立董事专门会议制度，为独立董事们开设专属办 公室，便于独董开展每年不少于 15 日的现场工作，强化独立董事履职保障。公司 指定董事会办公室下属证券部作为沟通服务机构，专门负责会议议案材料编制、信 息反馈等工作，及时向独立董事汇报经营情况和重大事项，为独立董事工作提供便 利条件，切实保障独立董事的知情权，强化独立董事对公司的监督。 公司已制定完整、闭环的公司 ...

证券代码：688005 证券简称：容百科技 公告编号：2024-029 宁波容百新能源科技股份有限公司 关于回购注销及作废部分 2020 年限制性股票激励计 划和 2021 年限制性股票激励计划第一类限制性股票 和第二类限制性股票的公告 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、准确性和完整性依法承担法律责任。 根据宁波容百新能源科技股份有限公司（以下简称"公司"）2020 年第一次 临时股东大会、2021 年第一次临时股东大会的授权，公司于 2024 年 4 月 10 日 召开了第二届董事会第三十二次会议、第二届监事会第二十三次会议，分别审议 通过了《关于回购注销及作废部分 2020 年限制性股票激励计划和 2021 年限制性 股票激励计划第一类限制性股票和第二类限制性股票的议案》，现将有关事项公 告如下： 一、股权激励计划已履行的相关审批程序 （1）2020 年股权激励计划已履行的相关审批程序 1、2020 年 10 月 28 日，公司召开第一届董事会第二十五次会议，会议审议 通过了《关于<公司 2020 年限制性股票激励计划（草案）>及其摘要的 ...

证券代码：688005 证券简称：容百科技 公告编号：2024-021 （二）本次变更前采用的会计政策 会计政策变更前，公司执行财政部《企业会计准则——基本准则》以及各 项具体会计准则、后续发布和修订的企业会计准则、企业会计准则应用指南、企 业会计准则解释公告以及其他相关规定。 （三）本次变更后采用的会计政策 宁波容百新能源科技股份有限公司 关于会计政策变更的公告 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、准确性和完整性依法承担法律责任。 重要内容提示： 宁波容百新能源科技股份有限公司（以下简称"公司"）根据2023年10月25日 中华人民共和国财政部（以下简称"财政部"）发布的《企业会计准则解释第 17号》（以下简称"《准则解释第17号》"）的要求进行会计政策变更。本次 会计政策变更对公司的财务状况、经营成果和现金流量不会产生重大影响。 一、 会计政策变更的概述 （一）会计政策变更原因 2023年10月25日，财政部颁布了《准则解释第17号》，其中"关于流动负债 与非流动负债的划分"、"关于供应商融资安排的披露"、"关于售后租回交易的会 计处理"的 ...

宁波容百新能源科技股份有限公司 独立董事关于第二届董事会第三十二次会议 相关事项的独立意见 宁波容百新能源科技股份有限公司（以下简称"公司"）第二届董事会第三 十二次会议于 2024 年 4 月 10 日以现场结合通讯会议方式召开。 一、《关于开展外汇套期保值业务的议案》的独立意见 公司本次拟开展的外汇套期保值业务有助于公司规避外汇市场的风险，防范 汇率波动对公司经营业绩造成不利影响，提高外汇资金使用效率，合理降低财务 费用，不存在损害公司和中小股东利益的情况。 综上，我们一致同意公司在确保不影响正常经营资金需求和资金安全的前提 下，根据业务发展需求，按照相关制度的规定适时开展外汇套期保值业务。 （以下无正文） 2024 年 4 月 10 日 独立董事：于清教、赵懿清、姜慧 作为公司的独立董事，根据《中华人民共和国公司法》（以下简称《公司法》）、 《中华人民共和国证券法》（以下简称《证券法》）、《上市公司独立董事规则》《上 海证券交易所科创板股票上市规则》《科创板上市公司持续监管办法（试行）》《宁 波容百新能源科技股份有限公司章程》（以下简称《公司章程》）及《独立董事工 作制度》等相关法律法规、规章制度的规定 ...

宁波容百新能源科技股份有限公司 证券代码：688005 证券简称：容百科技 公告编号：2024-023 开展外汇套期保值业务的公告 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、准确性和完整性依法承担法律责任。 重要内容提示： 宁波容百新能源科技股份有限公司于2024年4月10日召开第二届董事会第三 十二次会议，审议通过了《关于开展外汇套期保值业务的议案》。公司及合并报 表范围内下属子公司根据实际生产经营需要，与银行等金融机构开展外汇套期保 值业务，具体如下： 一、 开展外汇套期保值业务的必要性 公司及合并报表范围内下属子公司已经形成境内外产业联动、国际化资产协 同的格局，日常进出口贸易、外币贷款等业务日益频繁，为进一步加强公司及合 并报表范围内下属子公司外币资产、负债和外币合同的风险管理，有效防范汇率 波动对公司经营业绩造成的不利影响，提高外汇资金使用效率，合理降低财务费 用，公司及合并报表范围内下属子公司拟开展外汇套期保值业务。公司及合并报 宁波容百新能源科技股份有限公司（以下简称"公司"）及合并报表范围内下 属子公司开展的外汇套期保值业务，以正常生 ...

宁波容百新能源科技股份有限公司 2023 年度独立董事述职报告 本人于清教，作为宁波容百新能源科技股份有限公司（以下简称"公司"）的 独立董事，严格按照《公司法》《证券法》《上市公司独立董事规则》和《上海证 券交易所科创板股票上市规则》等相关法律法规、规范性文件的规定及《公司章 程》和《独立董事工作制度》的要求，谨慎、忠实、勤勉地履职尽责，努力发挥 独立董事的作用，审慎认真地行使公司和股东所赋予的权利，及时关注公司经营 情况，积极参加股东大会、董事会及专门委员会会议，对公司董事会审议的相关 重大事项发表公正、客观的独立意见，充分发挥专业优势和独立作用，为董事会 的科学决策提供有力支撑，促进公司稳健、规范、可持续发展，切实维护公司和 股东的合法利益，尤其是中小股东的合法权益。现将 2023 年度履职情况报告如 下： 一、独立董事的基本情况 （一）个人工作履历、专业背景以及兼职情况 于清教，男，1970 年生，中国国籍，无境外永久居留权。于清教先生毕业于 中共中央党校经济管理专业，本科学历。于清教先生为中国民主促进会会员、高 级策划师。1995 年 9 月至 2003 年 7 月，于清教先生任山东黄岛发电厂政策法 ...

2024 年 4 月 1 日至 2024 年 4 月 3 日，华泰联合证券保荐代表人韩斐冲采取 与公司高级管理人员进行沟通和询问、查看公司生产经营场所和募集资金项目建 设情况、查阅公司账簿和原始凭证及其他相关资料、查阅上市公司募集资金台账 和募集资金运用凭证、查阅上市公司信息披露文件、查阅公司三会会议资料等形 式，对包括公司治理和内部控制情况、三会运作情况、信息披露情况、独立性以 及与控股股东、实际控制人及其他关联方资金往来情况、募集资金使用情况、关 联交易、对外担保、重大对外投资情况以及经营状况在内的事项进行了现场检查。 二、对现场检查事项逐项发表的意见 （一）公司治理和内部控制情况、三会运作情况 现场检查报告 华泰联合证券有限责任公司 关于宁波容百新能源科技股份有限公司 2023 年度现场检查报告 根据中国证监会《上海证券交易所科创板股票上市规则》和《上海证券交易 所上市公司自律监管指引第 11 号——持续督导》等有关法律法规的要求，华泰 联合证券有限责任公司（以下简称"华泰联合证券"）作为宁波容百新能源科技 股份有限公司（以下简称"容百科技"或"公司"）向特定对象发行 A 股股票 项目的保荐机构，于 2 ...