华泰联合证券有限责任公司 关于对苏州长光华芯光电技术股份有限公司 2023 年年度报告的事后审核问询函回复的核查意见 苏州长光华芯光电技术股份有限公司（以下简称"长光华芯"、"上市公司"、 "公司"）于 2024 年 5 月收到上海证券交易所出具的《关于对苏州长光华芯光电 技术股份有限公司 2023 年年度报告的事后审核问询函》（上证科创公函【2024】 0094 号）（以下简称"《问询函》"），华泰联合证券有限责任公司（以下简称"保 荐机构"）就《问询函》中各问题核查落实，现对涉及保荐机构发表意见的问题 进行回复，请予审核。回复中楷体加粗部分为公司《2023 年年度报告》补充披露 的部分。 问题 1 关于经营情况 1、关于营业收入与毛利率 年报显示，2023 年公司实现营业收入 2.9 亿元，同比下滑 24.74%。2023 年 公司产品毛利率 33.54%，下滑 18.03 个百分点。其中，高功率单管系列产品毛 利率 29.66%，下滑 19.14 个百分点；高功率巴条系列产品毛利率 65.19%，下滑 14.73 个百分点；VCSEL 芯片系列产品毛利率 11.42%，下滑 15.33 个百分点；其 他 ...

天衡会计师事务所(特殊普通合伙)对 《关于对苏州长光华芯光电技术股份有限公司 2023 年年度报告的事后审核问询函》的回复 天衡专字(2024)01097 号 天衡会计师事务所(特殊普通合伙)对 《关于对苏州长光华芯光电技术股份有限公司 2023年年度报告 的事后审核间询函》的回复 天衡专字(2024)01097号 致:上海证券交易所科创板公司管理部: 根据贵所出具的《关于对苏州长光华芯光电技术股份有限公司2023年年度报告的事后 审核间询函》的要求,我们对苏州长光华芯光电技术股份有限公司(以下简称"长光华 芯"、"公司")2023年年报中的有关事项进行了核查,具体核查情况如下: 问题一:关于经营情况 1、关于营业收入与毛利率。年报显示,2023年公司实现营业收入2.9 亿元,同比下滑 24.74%。2023 年公司产品毛利率33.54%,下滑18.03 个百分点。其中,高功率单管系列产 品毛利率29.66%,下滑19.14 个百分点:高功率巴条系列产品毛利率65.19%,下滑14. 73 个 百分点:VCSEL 芯片系列产品毛利率11. 42%,下滑15. 33个百分点;其他产品毛利率51.60, 下滑31 ...

Financial Performance - The company reported a revenue of CNY 290.21 million in 2023, a decrease of 24.74% compared to CNY 385.60 million in 2022[44]. - The net loss attributable to shareholders was CNY 91.95 million, down 177.10% from a profit of CNY 119.26 million in the previous year[46]. - The basic and diluted earnings per share were both CNY -0.5216, representing a decline of 172.27% year-over-year[44]. - The weighted average return on equity decreased to -2.90%, down 7.55 percentage points from 4.65% in 2022[44]. - The company recognized a fair value loss of CNY 48 million related to a trust product due to repayment risks[46]. - The net assets attributable to shareholders decreased by 4.07% to CNY 310.47 million compared to CNY 324.65 million at the end of 2022[46]. - The total assets decreased by 2.29% to CNY 3.42 billion from CNY 3.50 billion in the previous year[45]. - The company faced increased inventory impairment losses of CNY 45.09 million due to market competition and product iteration[46]. - The company's total revenue for the first quarter was ¥90,362,022.14, while the second quarter saw a decline to ¥51,771,540.76, followed by ¥77,214,111.45 in the third quarter and ¥70,862,380.48 in the fourth quarter[55]. - The net profit attributable to shareholders for the second quarter was a loss of ¥12,110,389.73, which worsened to a loss of ¥69,581,428.75 in the fourth quarter[55]. - The company reported a significant decrease in cash flow from operating activities, with a net cash flow of ¥35,119,491.61 in the first quarter turning negative to -¥58,978,172.40 in the second quarter[55]. - The company experienced a significant decline in net profit after deducting non-recurring gains and losses, with the fourth quarter showing a loss of ¥45,040,171.00[55]. Research and Development - The company is committed to continuous innovation and development in semiconductor laser technology[19]. - The company is investing in research and development to enhance its product offerings and technological capabilities[19]. - The R&D expenditure accounted for 40.98% of operating revenue, an increase of 10.33 percentage points from 30.65% in 2022[44]. - The company plans to enhance its R&D capabilities by developing high-margin chip and module products, with a focus on improving yield and production efficiency[72]. - The company has increased R&D investment to enhance product quality and technological innovation[130]. - The company is committed to continuous investment in R&D to enhance product quality and design capabilities[187]. Corporate Governance and Compliance - The company is committed to corporate governance and compliance with regulatory requirements[4]. - The company has established a sound governance structure and internal control system, ensuring compliance with relevant laws and regulations[126]. - The company has established a new audit committee and has been actively reviewing related party transactions, ensuring compliance with regulations[94]. - The internal control audit report for 2023 received a standard unqualified opinion, indicating no significant deficiencies[128]. - The company has committed to improving compliance and information disclosure quality following the issues raised in the warning letter[86]. - The company has not faced any delisting risk warnings during the reporting period[115]. - The company has not implemented any employee stock ownership plans or equity incentive plans[123]. - The board of directors and supervisory board operate independently, ensuring effective governance and decision-making[126]. - The company has established internal regulations for information disclosure to ensure accuracy and timeliness[165]. - The company has improved its corporate governance structure in compliance with relevant laws and regulations[184]. Market Strategy and Growth - The company is focused on ensuring stable and healthy development to protect the long-term interests of all shareholders[5]. - The company has established a strong foundation for future growth through strategic partnerships and investments[19]. - The company is actively exploring market expansion opportunities to increase its market share[19]. - The company is focusing on new business directions including VCSEL and optical communication, which have not yet significantly contributed to revenue[46]. - The company aims to strengthen its market position in the semiconductor industry, focusing on sustainable and rapid growth to maximize shareholder value[72]. - The company is expanding its market presence, particularly in the domestic semiconductor sector, and is also targeting overseas markets for growth opportunities[72]. - The company has initiated large-scale sales of automotive laser radar products to key customers and is launching communication products to drive revenue[72]. - The company plans to maintain its strategic focus on market expansion and new technology development in the upcoming fiscal year[69]. Financial Management - The company will not distribute cash dividends, nor will it increase capital reserves or issue bonus shares for the 2023 profit distribution plan[5]. - The company plans to use up to 2.5 billion yuan of raised funds for cash management, with a deadline of 12 months from the board's approval date[86]. - As of April 2023, the company failed to redeem 1.288 billion yuan of raised funds in a timely manner, leading to a warning letter from the Jiangsu Securities Regulatory Bureau[86]. - The company discovered a misreporting of 489,600 USD in its semi-annual report due to a delayed transfer of funds back to the raised funds account, which was rectified 9 months later[86]. - The company has not reported any significant changes in major related party transactions during the reporting period[100]. - The company has not experienced a decline in audit fees of over 20% compared to the previous year[106]. - The company has disclosed its 2022 annual related party transactions and the expected related party transactions for 2023, which were approved in the board meetings[90]. Social Responsibility and Environmental Practices - The company emphasizes environmental responsibility and has implemented measures for carbon reduction and sustainable practices[130]. - The company invested 1.91 million yuan in environmental protection during the reporting period[152]. - The company donated 100,000 yuan to a charity association and 80,000 yuan to local schools, demonstrating its commitment to social responsibility[159]. - The company has a comprehensive waste management system, ensuring compliance with environmental standards[133]. - The company has complied with all environmental protection regulations, and all pollutant emissions are within the total control requirements[180]. - There were no administrative penalties from environmental protection authorities during the reporting period[132]. - The company has not faced any administrative penalties related to environmental issues during the reporting period[153]. - The company has not implemented any carbon reduction measures during the reporting period[181]. - The company has not been included in the greenhouse gas emission verification scope by the Jiangsu Provincial Department of Ecology and Environment[155]. Human Resources and Talent Development - The company emphasizes the importance of human resources and will implement structured recruitment, training, and incentive mechanisms to support sustainable development[72]. - The company has established a complete human resources management system focusing on employee safety, health, and career development[186]. - The company strictly adheres to laws and regulations to protect employee rights and interests[186]. - The total number of employees is 472, with 299 in the parent company and 173 in major subsidiaries[141]. - The employee stock ownership plan includes 53 employees, representing 11.23% of the total workforce, with a total of 2,460,545.5 shares held[162]. - The employee stock ownership ratio is 13.96% of the total share capital[187]. - The company has conducted various training programs to develop management and technical talents in line with its strategic needs[118]. Investor Relations and Communication - The company maintains open communication channels with investors through various methods, including phone and email[184]. - The company has a dedicated investor relations section on its website to provide stock market information and enhance communication[165]. - The company held three earnings briefings during the reporting period, ensuring transparency and communication with investors[165].

具 体 内 容 详 见 公 司 于 2024 年 3 月 20 日 在 上 海 证 券 交 易 所 网 站 （www.sse.com.cn）及指定媒体披露的关于以集中竞价方式回购公司股份的公告 （公告编号： 2024-013）。 证券代码：688048 证券简称：长光华芯 公告编号：2024-036 苏州长光华芯光电技术股份有限公司 关于以集中竞价交易方式回购公司股份的进展公告 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： | 回购方案首次披露日 | 2024/3/20 | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 回购方案实施期限 | 2024 年 3 月 | 18 | | 日~2024 | 年 | 9 月 | 18 | 日 | | 预计回购金额 | 30,000,000 | | 元~60,000,000 | | 元 | | | | | 回购用途 | | 用于员工持股计划或股权激励 | | | | | | ...

北京德恒（武汉）律师事务所 关于苏州长光华芯光电技术股份有限公司 2023 年年度股东大会的 法律意见 武汉市洪山区欢乐大道 1 号德成国贸中心 B 座 26 层 邮编：430060 电话：(86)027-88615675 北京德恒（武汉）律师事务所 关于苏州长光华芯光电技术股份有限公司 2023 年年度股东大会的法律意见 北京德恒（武汉）律师事务所 关于苏州长光华芯光电技术股份有限公司 2023 年年度股东大会的 法律意见 2024 德恒汉法意 DHWH045 号 （二）《苏州长光华芯光电技术股份有限公司股东大会议事规则》（以下简 称"股东大会议事规则"）； （三）公司于2024年4 月26日在上海证券交易所网站（http://www.sse.com.cn） 公布的《苏州长光华芯光电技术股份有限公司关于召开 2023 年年度股东大会的 通知》（以下简称"股东大会的通知"）； 1 北京德恒（武汉）律师事务所 关于苏州长光华芯光电技术股份有限公司 2023 年年度股东大会的法律意见 （四）公司本次会议现场参会股东到会登记记录及凭证资料； （五）公司本次会议股东表决情况凭证资料； 致：苏州长光华芯光电技术股份有限 ...

证券代码：688048 证券简称：长光华芯 公告编号：2024-035 一、 会议召开和出席情况 | 1、出席会议的股东和代理人人数 | 16 | | --- | --- | | 普通股股东人数 | 16 | | 2、出席会议的股东所持有的表决权数量 | 74,816,675 | | 普通股股东所持有表决权数量 | 74,816,675 | | 3、出席会议的股东所持有表决权数量占公司表决权数量的比 | 42.4419 | | 例（%） | | | 普通股股东所持有表决权数量占公司表决权数量的比例（%） | 42.4419 | （四） 表决方式是否符合《公司法》及公司章程的规定，大会主持情况等。 本次股东大会由公司董事会召集，董事长闵大勇先生主持，会议采用现场投 （一） 股东大会召开的时间：2024 年 5 月 22 日 （二） 股东大会召开的地点：公司会议室 （三） 出席会议的普通股股东、特别表决权股东、恢复表决权的优先股股东及 其持有表决权数量的情况： 苏州长光华芯光电技术股份有限公司 2023 年年度股东大会决议公告 本公司董事会及全体董事保证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 ...

这个相应的年报2023年的年报和一季度的情况这个计划我们都已经发布了所以具体的数据也都在上面那么我想的话就是一个是从2023年的这个营业收入来说的话我们有所下降下降的原因其实从出货量来讲的话我们是还是增加的更主要的原因还是市场的原因 当然需求的这个整个大环境的需求的话确实是有所萎缩或者说有下降的趋势或者说增速没有那么快更重要的就是这个市场价格的这个竞争的调整导致我们就是相当于增量不增收这样一种状况 从几个产品的系列来说一个是高功率的单管的系列芯片因为这个收入占到我们整个收入的主要的来源是来自于原来高功率单管这一块由于友商的特殊的一些原因比如说IPO的一些需求会出现原因所以价格的下降也是比较明显的那么我们之所以去 调整这个价格也是更多的希望就是在公司的主营业务和优势的这个项目里头我们不太希望去丢掉这个自己的优势或者说我们的先发优势在于这个重资产的这个投入包括人才的培养这一块是我们的护身壳所以这一块呢我们也是做了一些战略性的调整主要是这个原因嘛另外的话就是在我们布局的一平台一支点分项扩展重项延伸这几块一个是 在Vixor上面汽车的雷达消费电子的雷达传感这一块虽然在技术上取得重大的一些突破但是收入的贡献还有一个过程 ...

证券代码：688048 证券简称：长光华芯 公告编号：2024-034 苏州长光华芯光电技术股份有限公司 关于召开 2023 年度暨 2024 年第一季度业绩 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： 会议召开时间：2024 年 05 月 21 日(星期二) 下午 13:00-14:00 会议召开地点：上海证券交易所上证路演中心（网址： https://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 本次投资者说明会以网络互动形式召开，公司将针对 2023 年度 及 2024 年第一季度的经营成果及财务指标的具体情况与投资者进行 互动交流和沟通，在信息披露允许的范围内就投资者普遍关注的问题 进行回答。 二、 说明会召开的时间、地点 （一） 会议召开时间：2024 年 05 月 21 日 下午 13:00-14:00 投资者可于 2024 年 05 月 15 日(星期三) 至 05 月 20 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 ...

Investment Rating - The report gives an "Accumulate" rating for the company, marking its first coverage [19]. Core Viewpoints - The company is a leader in the semiconductor laser industry, with a deep "horizontal + vertical" layout of its industrial chain, enhancing its competitiveness [26][15]. - The company focuses on high-power semiconductor laser chips, which account for over 70% of its revenue, while also expanding its product matrix to include VCSEL and optical communication chips [15][21]. - The company has established a comprehensive IDM (Integrated Device Manufacturer) process, covering chip design, epitaxy, lithography, and packaging, achieving advanced performance in its core technology products [15][49]. Summary by Sections 1. Company Overview - The company was founded in 2012 and successfully listed on the Sci-Tech Innovation Board in 2022, focusing on the semiconductor laser industry [15][9]. - It has built a strong core technology team and established a comprehensive production line for chip design, packaging, and optical coupling [9][15]. 2. Product and Technology Development - The company has developed a complete product series, including high-power single-tube products, high-power bar products, high-efficiency VCSEL products, and optical communication chips [34][15]. - It has a strong focus on R&D, with 40.98% of its revenue allocated to R&D in 2023, and has seen a significant increase in R&D personnel with advanced degrees [41][42]. 3. Market Position and Growth Potential - The company has a broad customer base in the GaAs high-power chip sector, including leading firms like Raycus Laser and Chuangxin Laser [15]. - It is well-positioned to benefit from the domestic demand and the trend of localization in the laser industry [15][21]. - The company is expanding into new materials such as InP, GaN, and SiC, which are expected to become new growth points [15][21]. 4. Financial Forecast - The company is projected to have a net profit of 0.44 billion, 0.82 billion, and 0.95 billion yuan for the years 2024 to 2026, respectively, with corresponding P/E ratios of 143 and 76 for 2024 and 2025 [17]. - Revenue is expected to recover in 2024, with a forecasted growth rate of 33.30% [18].

华泰联合证券有限责任公司 关于苏州长光华芯光电技术股份有限公司 2023 年度持续督导跟踪报告 公司于 2023 年 4 月曾存在前次决议有效期届满后超募资金及部分暂时闲置 募集资金购买的理财产品未及时赎回或未及时再次授权的情况，因上述行为违反 了《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》和 《上市公司信息披露管理办法》的有关规定，中国证券监督管理委员会江苏监管 局（以下简称"江苏证监局"）于 2023 年 8 月 21 日对公司和公司财务总监采取 出具警示函的监管措施。 公司发现前述现金管理超出董事会审议期限情形后，立即开展了相关补充确 认及整改工作；同时，针对江苏证监局采取出具警示函的监管措施，公司已开展 相关整改工作并向江苏证监局提交了书面报告。具体情况详见本报告之"八、募 1 集资金的使用情况及是否合规"之"（十）募集资金使用及披露中存在的问题"。 保荐机构已就上述事项出具相关核查意见，并督促公司进一步加强募集资金 的管理工作，确保募集资金的使用、决策程序及信息披露合法合规。 （二）监事李阳兵违规减持事项 公司首次公开发行股票并上市时，武汉东湖华科创业投资中心（有限合伙） ...