思特威（上海）电子科技股份有限公司 2023 年限制性股票激励计划首次授予激励对象名单 2、本激励计划涉及的首次授予激励对象不包括公司独立董事、监事、单独或合计持有公 司 5%以上股份的股东、实际控制人及其配偶、父母、子女。 3、预留部分的激励对象应当在本激励计划经股东大会审议通过后 12 个月内确定，经董 事会提出、独立董事及监事会发表明确意见、律师发表专业意见并出具法律意见书后，公司 在指定网站按要求及时准确披露激励对象相关信息。 4、上表中部分合计数与各明细数相加之和在尾数上如有差异，系以上百分比结果四舍五 入所致。 思特威（上海）电子科技股份有限公司 董事会 思特威（上海）电子科技股份有限公司 2023 年限制性股票激励计划首次授予激励对象名单 一、2023 年限制性股票激励计划的分配情况 | | | | 获授的限制性股票 | 获授的限制性 股票数量占本 | 获授的限制 性股票数量 占本激励计 | | --- | --- | --- | --- | --- | --- | | 姓名 | 职务 | 国籍 | 数量（万股） | 激励计划拟授 出限制性股票 | 划草案公布 | | | | | | 总量的比例 ...

股权激励方式：第二类限制性股票。 股份来源：思特威（上海）电子科技股份有限公司（以下简称"思特威""本 公司""公司"或"上市公司"）向激励对象定向发行的本公司人民币 A 股普通股股 票。 证券代码：688213 证券简称：思特威 公告编号：2023-027 思特威（上海）电子科技股份有限公司 2023 年限制性股票激励计划（草案）摘要公告 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： 股权激励的权益总数及涉及的标的股票总数：《思特威（上海）电子科技 股份有限公司 2023 年限制性股票激励计划（草案）》拟授予激励对象的限制性股 票数量为 815.5603 万股，约占公司 2023 年限制性股票激励计划（以下简称"本 激励计划"）草案公布日公司股本总额 40,001.00 万股的 2.04%。其中，首次授予 限制性股票 691.8360 万股，约占本激励计划草案公布日公司股本总额的 1.73%， 占本激励计划拟授予限制性股票总数的 84.83%；预留 123.7243 万股，约占本激 励计划草案公布日公司 ...

中信建投证券股份有限公司（以下简称"中信建投证券"、"保荐机构"）作 为思特威（上海）电子科技股份有限公司（以下简称"思特威"或"公司"）首 次公开发行股票并在科创板上市及持续督导的保荐机构，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》和《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，对思特威 首次公开发行部分限售股上市流通（以下简称"本次上市流通"）的事项进行了 审慎核查，发表核查意见如下： 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（以下简称"中国证监会"）于2022年3月25 日出具的《关于同意思特威（上海）电子科技股份有限公司首次公开发行股票 注册的批复》（证监许可【2022】636号），同意公司首次公开发行股票的注册 申请。公司首次向社会公众公开发行人民币普通股（A股）股票40,010,000股， 并于2022年5月20日在上海证券交易所科创板上市，发行完成后总股本为 400,010,000股，其中有限售条件流通股369,876,364股，无限售条件流通股 30,133,636股。 本次上市流通的限售股为公司首次公开发行限售 ...

证券代码：688213 证券简称：思特威 公告编号：2023-024 思特威（上海）电子科技股份有限公司 首次公开发行部分限售股上市流通的公告 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： 本次上市流通的限售股份数量为 14,024,105 股，限售期为自公司首次公开发行 股票上市之日起 12 个月与股东所持股份自取得之日（完成增资扩股/股权转让的 工商变更登记手续之日）起 36 个月孰长期限； 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（以下简称"中国证监会"）于 2022 年 3 月 25 日出具的《关于同意思特威（上海）电子科技股份有限公司首次公开发行股票注 册的批复》（证监许可【2022】636 号），同意公司首次公开发行股票的注册申 请。公司首次向社会公众公开发行人民币普通股（A 股）股票 40,010,000 股，并 于 2022 年 5 月 20 日在上海证券交易所科创板上市，发行完成后总股本为 400,010,000 股，其中有限售条件流通股 369,876,364 股，无限 ...

中信建投证券股份有限公司 关于思特威（上海）电子科技股份有限公司 2023 年半年度持续督导跟踪报告 | 保荐机构名称：中信建投证券股份有限公司 | 被保荐公司名称：思特威（上海）电子科技股 份有限公司 | | --- | --- | | 保荐代表人姓名：李重阳 | 联系方式：021-68801584 联系地址：上海市浦东新区浦东南路 | | | 号上 528 | | | 海证券大厦北塔 2203 室 | | 保荐代表人姓名：董军峰 | 联系方式：021-68801585 | | | 联系地址：上海市浦东新区浦东南路 528 号上 | | | 海证券大厦北塔 2203 室 | 经中国证券监督管理委员会（简称"中国证监会"）"证监许可〔2022〕636 号文"批准，思特威（上海）电子科技股份有限公司（简称"公司"或"思特威"） 向社会公众公开发行人民币普通股（A 股）股票 40,010,000 股。本次公司发行新 股的发行价为 31.51 元/股，募集资金总额为 126,071.51 万元，扣除发行费用 8,649.69万元后，实际募集资金净额为117,421.82万元。本次公开发行股票于2022 年 5 月 ...

证券代码：688213 证券简称：思特威 公告编号：2023-023 思特威（上海）电子科技股份有限公司 首次公开发行部分限售股上市流通的公告 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： 本次上市流通的限售股份数量为 14,625,924 股，限售期为自公司首次公开发行 股票上市之日起 12 个月与股东所持股份自取得之日（完成增资扩股/股权转让的 工商变更登记手续之日）起 36 个月孰长期限； 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（以下简称"中国证监会"）于 2022 年 3 月 25 日出具的《关于同意思特威（上海）电子科技股份有限公司首次公开发行股票注 册的批复》（证监许可【2022】636 号），同意公司首次公开发行股票的注册申 请。公司首次向社会公众公开发行人民币普通股（A 股）股票 40,010,000 股，并 于 2022 年 5 月 20 日在上海证券交易所科创板上市，发行完成后总股本为 400,010,000 股，其中有限售条件流通股 369,876,364 股，无限 ...

中信建投证券股份有限公司（以下简称"中信建投证券"、"保荐机构"）作 为思特威（上海）电子科技股份有限公司（以下简称"思特威"或"公司"）首 次公开发行股票并在科创板上市及持续督导的保荐机构，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》和《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，对思特威 首次公开发行部分限售股上市流通（以下简称"本次上市流通"）的事项进行了 审慎核查，发表核查意见如下： 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（以下简称"中国证监会"）于2022年3月25 日出具的《关于同意思特威（上海）电子科技股份有限公司首次公开发行股票 注册的批复》（证监许可【2022】636号），同意公司首次公开发行股票的注册 申请。公司首次向社会公众公开发行人民币普通股（A股）股票40,010,000股， 并于2022年5月20日在上海证券交易所科创板上市，发行完成后总股本为 400,010,000股，其中有限售条件流通股369,876,364股，无限售条件流通股 30,133,636股。 四、本承诺人担任发行人核心技术人员，自所持 ...

Shareholding Structure and Control - The actual controller Xu Chen directly holds 13.71% of the company's shares, controlling 48.13% of the voting rights through special voting rights arrangements[4] - The company has established a special voting rights arrangement, where each A-class share held by Xu Chen has five times the voting power of B-class shares[4] - The total number of shares before the recent change was 400,010,000, with a decrease of 6,401,600 shares due to the expiration of the lock-up period on May 22, 2023, resulting in a new total of 393,608,400 shares[127] - The proportion of limited sale shares decreased from 92.00% to 90.40% after the recent share changes[125] - The company reported a decrease of 1,650,412 shares held by state-owned legal persons, reducing their holding from 8.55% to 8.14%[126] - The number of shares held by other domestic investors decreased by 4,751,188, resulting in a new holding of 163,173,447 shares, or 40.79%[126] - The total number of shareholders at the end of the reporting period was not disclosed, but the company confirmed the absence of special voting rights shareholders[130] - The company has not reported any significant changes in shareholding structure or major shareholder activities during the reporting period[129] Financial Performance - The company's revenue for the first half of 2023 was ¥1,072,712,121.25, representing a year-on-year increase of 6.25% compared to ¥1,009,621,408.33 in the same period last year[16] - The net profit attributable to shareholders for the first half of 2023 was -¥66,338,864.49, a significant decrease of 1,433.25% from a profit of ¥4,975,742.20 in the previous year[16] - The basic and diluted earnings per share for the first half of 2023 were both -¥0.17, a decline from ¥0.01 in the same period last year[18] - The company reported a total comprehensive loss of ¥49,887,880.89 for the first half of 2023, compared to a comprehensive income of ¥24,465,480.45 in the same period of 2022[150] - The company incurred financial expenses of ¥29,866,979.06, a decrease from ¥95,259,898.63, indicating a significant reduction in financial costs[148] - The company reported a significant increase in foreign investment, with total investments of 47,748,771.41 yuan, up 16,883.50% from the previous year[68] - The company achieved operating revenue of 1,072,712,121.25 yuan, an increase of 6.25% compared to the same period last year[60] - The net profit attributable to shareholders was -66,338,900 yuan, a decrease of 1,433.25% year-on-year[60] Research and Development - The R&D expenditure accounted for 13.13% of the revenue, an increase of 0.72 percentage points compared to 12.41% in the previous year[18] - The total R&D investment for the first half of 2023 reached ¥140.82 million, representing a year-on-year increase of 12.42%[34] - The company has developed several core technologies, including SFCPixel® and low-light night vision technologies, with advancements such as mass production and pilot testing[28] - The company has applied for 89 new intellectual property projects during the reporting period, including 49 invention patents, and received authorization for 53 projects[31] - The cumulative number of authorized invention patents reached 89 domestically and 94 internationally as of June 30, 2023[31] - The company has achieved significant progress in its fourth-generation CIS project, with a total investment scale of ¥50 million and cumulative investment of ¥154.80 million[35] - The company is currently developing an AI smart sensor platform and a high-performance global shutter pixel design based on BSI technology[12] - The company has established a strong R&D team with 333 personnel, of which 194 hold master's degrees or higher[43] Market and Industry Trends - The global semiconductor market revenue was $601.7 billion in 2022, a 1.1% increase from $595 billion in 2021, with a forecasted growth rate of 5% to 10% in 2024[23] - China's integrated circuit industry sales reached ¥1,045.83 billion in 2021, a year-on-year growth of 18.2%, and is expected to reach ¥1,442.5 billion in 2023[23] - The global CMOS image sensor market is projected to recover to $19.3 billion in 2023, a 4% increase from $18.6 billion in 2022[25] - The company anticipates continued growth in the CMOS image sensor market driven by the proliferation of multi-camera smartphones and advancements in security and automotive applications[25] - The company’s market strategy includes expanding its product applications in machine vision and autonomous driving, capitalizing on emerging market demands[25] Risks and Challenges - The company is subject to the "Wassenaar Arrangement," which restricts high-tech international cooperation in the semiconductor industry[9] - The company reported a risk of inventory depreciation due to potential market demand changes and competition, which could adversely affect financial performance[55] - The company is exposed to foreign exchange risks due to overseas sales and purchases, which could impact earnings if significant currency fluctuations occur[55] - The company maintains a high market share in smart security but faces increasing competition from other CMOS image sensor firms, necessitating continuous innovation[57] - The company has a high customer concentration risk, which could lead to revenue volatility if key clients face operational challenges[52] Compliance and Governance - The board of directors and senior management guarantee the authenticity, accuracy, and completeness of the semi-annual report[2] - The company has not faced any penalties or corrective actions related to violations of laws or regulations during the reporting period[112] - The company has committed to strictly adhere to the regulations regarding related party transactions, aiming to minimize such transactions and protect the interests of all shareholders[107] - The company has established a dividend policy that is effective long-term, ensuring that dividends are distributed to shareholders[82] - The company has committed to implementing a stock price stabilization plan within three years of its IPO, ensuring measures are taken if specific conditions are met[100] Financial Position and Assets - The total assets decreased by 5.77% to ¥5,704,586,020.25 from ¥6,054,010,518.20 at the end of the previous year[17] - The total liabilities decreased to ¥2,016,527,818.10 from ¥2,322,555,181.66, a reduction of about 13.1%[144] - The company's equity attributable to shareholders decreased to ¥3,688,058,202.15 from ¥3,731,455,336.54, a decline of about 1.2%[144] - The company reported a decrease in unallocated profits to ¥127,702,673.04 from ¥194,041,537.53, a reduction of approximately 34.1%[144] - The company has not provided any guarantees to shareholders, actual controllers, or their related parties[117] Cash Flow and Investments - The net cash flow from operating activities was a net inflow of ¥69,880,930.00, primarily due to the company's efforts to reduce inventory[19] - The company reported a total investment in financial assets of CNY 66,987,171.38, with a fair value change loss of CNY 2,492,446.77 during the period[70] - The company has committed ¥734,661,000.00 for R&D center equipment and system construction, with cumulative investment of ¥439,968,008.52, achieving 87.99% of the planned investment[121] - The company has not utilized any over-raised funds for permanent working capital or to repay bank loans[123] - The company reported a net cash outflow from financing activities of -¥484,891,098.52, contrasting with a net inflow of ¥1,684,034,319.26 in the first half of 2022[158]

科创板上市公司独立董事提名人声明与承 诺 提名人思特威（上海）电子科技股份有限公司董事会，现提 名高富平为思特威（上海）电子科技股份有限公司第二届董事会 独立董事候选人，并已充分了解被提名人职业、学历、职称、详 细的工作经历、全部兼职、有无重大失信等不良记录等情况。被 提名人已书面同意出任思特威（上海）电子科技股份有限公司第 二届董事会独立董事候选人（参见该独立董事候选人声明）。提 名人认为，被提名人具备独立董事任职资格，与思特威（上海） 电子科技股份有限公司之间不存在任何影响其独立性的关系，具 体声明并承诺如下： 一、被提名人具备上市公司运作的基本知识，熟悉相关法律、 行政法规、规章及其他规范性文件，具有五年以上法律、经济、 会计、财务、管理等履行独立董事职责所必需的工作经验，被提 名人尚未根据相关规定取得独立董事资格证书。被提名人已承诺 在本次提名后，参加上海证券交易所举办的最近一期科创板独立 董事网络课程培训，并取得科创板培训记录证明。 二、被提名人任职资格符合下列法律、行政法规和部门规章 的要求： （一）《中华人民共和国公司法》等关于董事任职资格的规 定； （二）《中华人民共和国公务员法》关于公务员兼 ...

提名人思特威（上海）电子科技股份有限公司董事会，现提 名施海娜为思特威（上海）电子科技股份有限公司第二届董事会 独立董事候选人，并已充分了解被提名人职业、学历、职称、详 细的工作经历、全部兼职、有无重大失信等不良记录等情况。被 提名人已书面同意出任思特威（上海）电子科技股份有限公司第 二届董事会独立董事候选人（参见该独立董事候选人声明）。提 名人认为，被提名人具备独立董事任职资格，与思特威（上海） 电子科技股份有限公司之间不存在任何影响其独立性的关系，具 体声明并承诺如下： 一、被提名人具备上市公司运作的基本知识，熟悉相关法律、 行政法规、规章及其他规范性文件，具有五年以上法律、经济、 会计、财务、管理等履行独立董事职责所必需的工作经验，并已 根据相关规定取得独立董事资格证书。 科创板上市公司独立董事提名人声明与承 诺 （四）中共中央纪委、中共中央组织部《关于规范中管干部 辞去公职或者退（离）休后担任上市公司、基金管理公司独立董 事、独立监事的通知》的规定； （五）中共中央组织部《关于进一步规范党政领导干部在企 业兼职（任职）问题的意见》的相关规定； （六）中共中央纪委、教育部、监察部《关于加强高等学校 反腐 ...