证券代码：688048 证券简称：长光华芯 公告编号：2023-042 苏州长光华芯光电技术股份有限公司 重要内容提示： 大股东持股的基本情况 股东减持股份结果公告 本公司董事会、全体董事及相关股东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。 本次减持计划实施前，国投（上海）科技成果转化创业投资基金企业（有限 合伙）（以下简称"国投创业上海基金"）和国投（宁波）科技成果转化创业投资 基金合伙企业（有限合伙）（以下简称"国投创业宁波基金"）作为一致行动人， 合计持有公司股份 13,674,065 股，占公司总股本的 7.76%。国投创业宁波基金 持有公司股份 3,254,183 股，占公司总股本的 1.85%，为公司首次公开发行前取 得的股份及公司送股所得，已于 2023 年 6 月 19 日解除限售并上市流通。根据上 市前承诺，国投创业上海基金解禁日期为 2023 年 10 月 9 日。 减持计划的实施结果情况 2023 年 6 月 20 日，公司在上海证券交易所网站（www.sse.com.cn）披露了 《苏州长光华芯光电技术股份有限公司 ...

证券代码：688048 证券简称：长光华芯 公告编号：2023-041 苏州长光华芯光电技术股份有限公司 关于诉讼达成和解及撤诉的公告 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： 对公司的影响：公司已根据企业会计准则对 A2 客户的应收账款计提了坏账 准备共 2,100 万元。本次双方达成和解及撤诉后，若和解协议得以顺利履行，已 计提的坏账准备转回，将对当期利润产生积极影响；若和解协议未能顺利履行或 未完全履行，公司将对剩余的应收账款继续计提坏账准备，可能对公司当期或期 后利润产生不利影响。 苏州长光华芯光电技术股份有限公司（以下简称"公司"或"长光华芯"） 于近日收到苏州市虎丘区人民法院出具的（2023）苏 0505 民初 6978 号《民事裁 定书》，相关情况公告如下： 一、本次起诉的基本情况 苏州长光华芯光电技术股份有限公司（以下简称"公司"）就公司与 A2 客 户的应收账款事项向苏州市虎丘区人民法院（以下简称"法院"）提起诉讼，相 关具体情况详见公司于 2023 年 7 月 28 日在上海证券交 ...

除上述情况外，本次上市流通的限售股形成至今，公司未发生其他导致股本数量变 化的事项。 三、本次上市流通的限售股的有关承诺 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首次公开发行 部分限售股上市流通的核查意见 华泰联合证券有限责任公司（以下简称"华泰联合"、"保荐机构"）作为苏州长光华 芯光电技术股份有限公司（以下简称"长光华芯"、"公司"）首次公开发行股票并在科创 板上市项目的保荐机构，根据《证券发行上市保荐业务管理办法》《上海证券交易所科 创板股票上市规则》《上海证券交易所上市公司自律监管指引第 11 号——持续督导》 《上海证券交易所科创板上市公司自律监管指引第 1 号——规范运作》等有关规定，对 长光华芯首次公开发行部分限售股上市流通情况进行了审慎核查，具体情况如下： 一、本次上市流通的限售股类型 根据中国证券监督管理委员会出具的《关于同意苏州长光华芯光电技术股份有限公 司首次公开发行股票注册的批复》（证监许可〔2022〕423 号），公司获准以首次公开 发行方式向社会公众发行人民币普通股 33,900,000 股，并于 2022 年 4 月 1 日在上海证 券交易所科创板上市，发行 ...

证券代码：688048 证券简称：长光华芯 公告编号：2023-040 苏州长光华芯光电技术股份有限公司 关于首次公开发行部分限售股上市流通公告 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： 一、本次上市流通的限售股类型 根据中国证券监督管理委员会出具的《关于同意苏州长光华芯光电技术股份 有限公司首次公开发行股票注册的批复》（证监许可〔2022〕423 号），公司获 准以首次公开发行方式向社会公众发行人民币普通股 33,900,000 股，并于 2022 年 4 月 1 日在上海证券交易所科创板上市，发行完成后总股本为 135,599,956 股， 其中有限售条件流通股 106,358,675 股，无限售条件流通股 29,241,281 股。2022 年 10 月 10 日，公司首次公开发行网下配售的 1,981,703 股限售股上市流通。2023 年 4 月 3 日，公司首次公开发行战略配售股份 1,660,016 股上市流通，公司首次 公开发行限售股 14,499,543 股上市流通。2023 年 6 ...

| 保荐机构名称：华泰联合证券有限责任公司 | 被保荐公司名称：苏州长光华芯光电技术股 | | --- | --- | | | 份有限公司 | | 保荐代表人姓名：时锐 | 联系电话：025-83387709 | | 保荐代表人姓名：朱辉 | 联系电话：025-83387904 | 根据《中华人民共和国证券法》《证券发行上市保荐业务管理办法》（以下简 称"《保荐办法》"）《上海证券交易所科创板股票上市规则》（以下简称"《上市规 则》"）等有关法律、法规的规定，华泰联合证券有限责任公司（以下简称"华泰 联合证券"或"保荐机构"）作为苏州长光华芯光电技术股份有限公司（以下简称 "长光华芯"或"公司"）首次公开发行股票的保荐机构，对长光华芯进行持续督导， 并出具本持续督导跟踪报告。 一、保荐机构和保荐代表人发现的问题及整改情况 （一）使用超募资金及部分暂时闲置募集资金现金管理违规事项 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 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 ...

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"。 | 保荐机构名称：华泰联合证券有限责任公司 | 被保荐公司名称：苏州长光华芯光电技术股 | | --- | --- | | | 份有限公司 | | 保荐代表人姓名：时锐 | 联系电话：025-83387709 | | 保荐代表人姓名：朱辉 | 联系电话：025-83387904 | 根据《中华人民共和国证券法》《证券发行上市保荐业务管理办法》（以下简 称"《保荐办法》"）《上海证券交易所科创板股票上市规则》（以下简称"《上市规 则》"）等有关法律、法规的规定，华泰联合证券有限责任公司（以下简称"华泰 联合证券"或"保荐机构"）作为苏州长光华芯光电技术股份有限公司（以下简称 "长光华芯"或"公司"）首次公开发行股票的保荐机构，对长光华芯进行持续督导， 并出具本持续督导跟踪报告。 一、保荐机构和保荐代表人发现的问题及整改情况 华 ...

证券代码：688048 证券简称：长光华芯 公告编号： 2023-039 苏州长光华芯光电技术股份有限公司 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个别及连带责任。 重要内容提示： 会议召开时间：2023 年 09 月 14 日(星期四) 下午 14:00-15:00 会 议 召 开 地 点 ： 上海证券 交 易 所 上 证 路 演 中 心 （ 网 址 ： http://roadshow.sseinfo.com/） 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 09 月 11 日(星期一)至 09 月 13 日(星期三)16:00 前 登录上证路演中心网站首页点击"提问预征集"栏目进行提问。公司将在说明会 上对投资者普遍关注的问题进行回答。 （一） 会议召开时间：2023 年 09 月 14 日 下午 14:00-15:00 苏州长光华芯光电技术股份有限公司（以下简称"公司"）为便于广大投资 者更全面深入地了解公司 2023 年半年度经营成果、财务状况，公司计划于 20 ...

证券代码：688048 证券简称：长光华芯 公告编号：2023-038 苏州长光华芯光电技术股份有限公司 关于 2023 半年度计提资产减值准备的公告 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。 一. 计提资产减值准备情况概述 单位：人民币元 项目 计提金额 备注 信用减值损失 12,875,958.99 含应收账款、应收票据、其他应收款等的减值 资产减值损失 14,615,365.75 存货跌价准备 合计 27,491,324.74 资产负债表日，存货采用成本与可变现净值孰低计量，按照单个存货成本高 于可变现净值的差额计提存货跌价准备。经测试，公司 2023 年半年度计提资产 减值损失共计 14,615,365.75 元。 三. 本次计提资产减值准备对公司的影响 本次计提相应减少公司 2023 年半年度合并利润总额 27,491,324.74 元（合并 利润总额未计算所得税影响）。 四. 其他说明 苏州长光华芯光电技术股份有限公司（以下简称"公司"）依据《企业会计 准则》及公司会计政策、会计估计的相关规定，为真实、公 ...

Financial Performance - The company's operating revenue for the first half of the year was ¥142,133,562.90, a decrease of 43.23% compared to ¥250,378,250.17 in the same period last year[2]. - The net profit attributable to shareholders was -¥10,637,419.97, representing a decline of 117.97% from ¥59,181,809.83 year-on-year[2]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was -¥41,770,053.84, a decrease of 200.17% compared to ¥41,698,039.72 in the previous year[2]. - The net cash flow from operating activities was ¥45,601,126.84, a significant improvement from -¥109,834,364.48 in the same period last year[2]. - The total assets at the end of the reporting period were ¥3,444,492,842.72, down 1.47% from ¥3,496,011,408.75 at the end of the previous year[2]. - The net assets attributable to shareholders were ¥3,184,159,007.75, a decrease of 1.62% from ¥3,236,451,269.14 at the end of the previous year[2]. - The company reported a revenue of 142.13 million yuan, a year-on-year decrease of 43.23%[17]. - The net profit attributable to shareholders was -10.64 million yuan, a year-on-year decline of 117.97%[17]. - The basic earnings per share decreased by 112.10%, while the diluted earnings per share also saw a decline of 112.10%[17]. - The company reported a basic earnings per share of -0.0603 yuan, a decrease of 112.10% compared to the same period last year[37]. - The company reported a net loss of ¥10,637,419.97, compared to a net profit of ¥59,181,809.83 in the same period last year, indicating a significant decline in profitability[81]. - The company’s total assets were reported at CNY 3,408,152,622.86, reflecting a decrease from CNY 3,458,945,464.97 in the previous period[109]. - The company's revenue for the reporting period was $14.21 million, a decrease of 43.23% year-on-year, with a net profit attributable to shareholders of -$1.06 million, down 117.97%[147]. Research and Development - The R&D process includes six stages, starting from concept design to technical development, ensuring thorough evaluation at each phase[7][8][9]. - The R&D investment accounted for 38.54% of operating income, an increase of 16.94 percentage points year-on-year[37]. - The total R&D expenditure amounted to RMB 54,771,654.25, a 1.26% increase from RMB 54,088,050.06 in the same period last year[56]. - The company has applied for 13 new invention patents and obtained 19 patents during the reporting period, bringing the total to 181 applications and 104 granted[31]. - The company has established a comprehensive IDM process platform covering chip design, epitaxial growth, wafer processing, and packaging, with production lines for 2-inch, 3-inch, and 6-inch chips[24]. - The total R&D investment for the period was ¥166,000,000.00, with significant advancements in high-power chip and module technologies[86]. - The company has invested CNY 18,330,684.58 in the R&D of vertical cavity surface emitting laser (VCSEL) semiconductor chips, with a total investment of CNY 28,219,644.76 to date[112]. - The company is developing a 3-5μm mid-infrared quantum cascade laser with a total investment of CNY 26,000,000.00, of which CNY 1,365,235.06 was invested in the current period[112]. - The company has established partnerships with several universities and research institutes to enhance its R&D capabilities in laser technology[120]. - The company has committed CNY 70,000,000.00 for the development of high-power semiconductor laser chips, with CNY 21,867,344.65 invested so far[112]. Production and Operations - The company has established automated processes for wafer fabrication, enhancing chip performance and manufacturability[5]. - The company has established a vertical integration IDM model covering the entire process from chip design to packaging testing[12]. - The company’s production model combines "order-based" and "inventory-based" production to quickly respond to customer demands[12]. - The company achieved a maximum brightness of 80 MW/cm² sr in its high-power laser chips through distributed carrier injection technology[13]. - The company’s production capacity evaluation confirmed readiness for mass production after customer certification[12]. - The company has established production lines for 2-inch, 3-inch, and 6-inch semiconductor laser chips, achieving automation in most processes and reaching international advanced levels in key performance indicators[91]. - The company launched a high-power semiconductor laser chip with a maximum output exceeding 66W, achieving an efficiency of over 70%[92]. - The company’s 9XXnm 50W high-power semiconductor laser chip has entered mass production, making it the highest power semiconductor laser chip available in the market[92]. - The company is focusing on developing high-brightness wavelength-locked laser sources using semiconductor laser chips and external optical systems, enhancing power and efficiency[140]. - The company has ongoing projects for the industrialization of VCSEL and optical communication laser chips, with a total investment of ¥305.05 million, expected to be completed by December 2024[71]. Market and Sales - The company is focusing on expanding its product matrix in the semiconductor laser industry, enhancing its comprehensive strength[13]. - The company focuses on the semiconductor laser industry, specializing in the R&D, manufacturing, and sales of semiconductor laser chips, devices, and modules[24]. - The main products include high-power single-tube series, high-power bar series, high-efficiency VCSEL series, and optical communication chip series, with a strong emphasis on domestic production[24]. - The company’s sales model includes direct sales in the domestic market and agency distribution in overseas markets, focusing on customer recommendations and participation in industry events for new customer acquisition[28]. - The company is actively expanding its market presence despite overall low demand in the laser market, focusing on optimizing core products[92]. - The company is focusing on domestic substitution and overseas market expansion to increase market share and profitability[146]. - The global VCSEL market reached $1.7 billion in 2022 and is projected to grow to $4.5 billion by 2028, with a CAGR of 17.4% from 2023 to 2028[144]. - The company has achieved mass production of 100G EML and 50G VCSEL products, which are core components for 400G/800G supercomputing data center interconnect optical modules[144]. - The company has developed a 1710nm direct semiconductor laser for plastic welding, which has received positive market feedback for its performance and cost-effectiveness[144]. Financial Management and Risks - The company has not reported any capitalized R&D expenditures during the period[56]. - The company’s short-term borrowings were reported at ¥31.30 million, with no previous data available for comparison[80]. - The company’s accounts payable increased to ¥93.19 million from ¥70.73 million, representing a growth of approximately 31.73%[80]. - The company experienced a substantial increase in investment income, which rose to ¥15,446,584.32 from ¥2,053,024.32 year-over-year[81]. - The company faces risks related to performance decline and core competitiveness if it fails to maintain sufficient R&D investment and innovation[125]. - The company faces risks related to customer concentration, as a significant portion of revenue is dependent on major clients[128]. - The company has implemented measures to mitigate the risks of price declines in its products, which could impact profit margins[128]. - The company faces risks related to market demand fluctuations, increased competition, and rising costs of raw materials and labor[147]. Environmental and Governance - The company has maintained a strict quality control system and has received ISO9001 certification, indicating a commitment to product quality management[156]. - The company has implemented comprehensive waste treatment systems, ensuring that all wastewater meets the discharge standards of the local treatment plant[195]. - The company has successfully managed solid waste by collecting and storing it in designated hazardous waste storage areas, ensuring compliance with disposal regulations[195]. - The company has taken measures to reduce equipment noise through the use of low-noise devices and soundproofing techniques[195]. - The company has not faced any environmental protection violations during the reporting period, indicating compliance with relevant laws and regulations[195]. - The company has engaged qualified firms for hazardous waste disposal, ensuring proper handling of solid waste materials[195]. - The company has maintained operational stability in its wastewater treatment systems, confirming their normal operation[195]. - The company has enhanced its internal control processes to improve operational efficiency and governance standards[146]. - The company has not disclosed any special arrangements for corporate governance during the reporting period[62]. - The company has committed to a 36-month lock-up period for shares following the stock listing, with various stakeholders adhering to this commitment[198].

索 引 号 bm56000001/2023-00009617 分 类 公司的上述行为违反了《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》(证监会 公告〔2022〕15号)第八条和《上市公司信息披露管理办法》(证监会令第182号)第三条的规定。在前述事项中, 郭新刚作为公司财务总监未能勤勉尽责,督促上市公司规范使用募集资金,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》(证监会公告〔2022〕15号)第三条和《上市公司信息披露管理办 法》(证监会令第182号)第四条的规定。 根据《上市公司信息披露管理办法》(证监会令第182号)第五十二条规定,我局决定对你们采取出具警示函的 行政监管措施,并记入证券期货市场诚信档案。你们应当强化合法合规意识,加强对证券法律法规的学习,杜绝上 述违规行为再次发生,并于收到本决定书之日起15个工作日内向我局提交书面报告。 如对本监督管理措施不服,可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复议申请, 也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间,上述监督管理措施不 停止执行。 江苏 ...