深圳微芯生物科技股份有限公司 发行保荐书 国投证券股份有限公司 关于深圳微芯生物科技股份有限公司 之 发行保荐书 保荐机构（主承销商） 二〇二五年八月 3-1-1 深圳微芯生物科技股份有限公司 发行保荐书 国投证券股份有限公司（以下简称"国投证券"或"保荐机构"）接受深圳 微芯生物科技股份有限公司（以下简称"微芯生物"、"发行人"、"上市公司" 或"公司"）的委托，担任其 2024 年度向特定对象发行 A 股股票的保荐人。 2024 年度向特定对象发行 A 股股票 保荐机构及保荐代表人根据《中华人民共和国公司法》《中华人民共和国证 券法》《证券发行上市保荐业务管理办法》《上市公司证券发行注册管理办法》 《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证券发行与 承销业务实施细则》等有关法律、行政法规和中国证券监督管理委员会、上海证 券交易所的规定，诚实守信，勤勉尽责，严格按照依法制定的业务规则和行业自 律规范出具上市保荐书，并保证所出具文件真实、准确、完整。 本发行保荐书如无特别说明，相关用语与《深圳微芯生物科技股份有限公司 2024 年度向特定对象发行 A 股股票募集说明书》中相同的含义。 3- ...

Core Points - The company received a notification from the Shanghai Stock Exchange on August 22, 2025, regarding the acceptance of its application for issuing securities for the Sci-Tech Innovation Board [1] - The company’s submitted fundraising prospectus and related application documents have been verified and accepted for review [1] - The issuance of A-shares is subject to approval from the Shanghai Stock Exchange and the China Securities Regulatory Commission, with uncertainties regarding the approval process and timeline [1] - The company will fulfill its information disclosure obligations in a timely manner [1]

证券之星消息，8月19日，微芯生物（688321）融资买入1.62亿元，融资偿还1.56亿元，融资净买入 658.36万元，融资余额7.09亿元，近3个交易日已连续净买入累计1.13亿元，近20个交易日中有11个交易 日出现融资净买入。 | 交易日 | 融资净买入(元) | 融资余额(元) | 占流通市值比 | | --- | --- | --- | --- | | 2025-08-19 | 658.36万 | 7.09亿 | 4.45% | | 2025-08-18 | 6817.80万 | 7.03亿 | 4.20% | | 2025-08-15 | 3845.07万 | 6.31亿 | 3.60% | | 2025-08-14 | 1281.07万 | 5.93亿 | 3.55% | | 2025-08-13 | -748.09万 | 5.80亿 | 3.45% | 融资融券：融资余额是指融资买入股票的金额与融资偿还的金额之间的差额。如果融资余额增加，说明 投资者心态偏向买方，市场受欢迎，是强势市场；反之，则属于弱势市场。融券余额是指每日卖出的融 券金额与偿还的融券金额之间的差额。融券余额增加，说明市场 ...

Core Insights - Micron Biotechnology focuses on developing innovative molecular entities for major diseases with global patent protection and unique clinical effects [1][3] - The company has successfully launched two First-in-Class drugs, Sidaben and Siglitazone, targeting oncology and metabolic diseases, while also addressing unmet clinical needs in neurodegenerative and autoimmune diseases [1][2] Drug Development and Technology - The company utilizes an AI-assisted design and chemical genomics integrated technology platform to enhance drug development processes, improving success rates, accelerating research, and reducing costs [1][3] - Micron Biotechnology has a diverse portfolio of treatment options for complex tumor characteristics, including new generation immune-activating antibody-drug conjugates and small molecule PD-L1 inhibitors [2][4] Clinical Research and Market Potential - The company is conducting clinical studies for its drug Westoroni, which selectively inhibits key proteins related to tumor development, in combination with AG therapy for advanced pancreatic ductal adenocarcinoma [2][4] - The global pancreatic cancer mortality rate is significant, with nearly 470,000 deaths annually, highlighting the urgent need for effective treatments [2] Metabolic Disease Focus - Siglitazone, the world's first PPAR pan-agonist, shows promise in treating diabetes and metabolic-associated fatty liver disease, positioning it as a cornerstone drug for metabolic diseases [4] - The company is also developing First-in-Class small molecules for weight management that do not affect appetite, addressing unmet needs in the obesity treatment landscape [4]

Core Viewpoint - Shenzhen Micron Biotechnology Co., Ltd. held the 2025 Innovation Seminar in Shanghai, focusing on the application of "AI-assisted design + chemical genomics integrated technology platform" in new drug development, showcasing a new generation of First-in-Class early drug development pipeline [1] Group 1: Company Developments - The seminar highlighted the global first small molecule drug development project targeting the ApoE4 target, named CDCS04 [1] - Micron Biotechnology reported the discovery of a series of ApoE4 active candidate molecules based on the AI-assisted design and chemical genomics integrated technology platform [1] Group 2: Clinical Research Insights - The identified candidate molecules exhibit high blood-brain barrier permeability and good in vivo safety, showing protective effects on ApoE4 cell neuronal axon growth in preclinical studies [1] - The candidate molecules significantly reduced the phosphorylation levels of Tau protein in the cortex and hippocampus of ApoE4TR mice [1] Group 3: Disease Relevance - ApoE4 is recognized as the strongest genetic risk factor for Alzheimer's disease, with one ApoE4 allele increasing the risk of late-onset Alzheimer's disease by 3-4 times, and two alleles increasing the risk by 9-15 times, potentially leading to earlier onset of the disease [1]

Group 1 - The core viewpoint of the news is that Shifeng Asset Management has conducted research on Micron Biomedical, highlighting its advancements in drug development across various disease areas [1] - Micron Biomedical's drug for pancreatic cancer, Xioroni, shows a 6-month PFS rate of nearly 80% in Phase II clinical trials, indicating strong anti-tumor activity and safety [1] - The company is developing a first-in-class PPR full agonist, Siglitazone, which has a unique positioning for "fatty liver co-management" in the metabolic disease field [1] Group 2 - In the field of Alzheimer's disease, Micron Biomedical is working on CDCS04, the world's first small molecule drug targeting the poE4 site [1] - For fibrotic diseases, CS1011 effectively selectively inhibits PDGFR and CSF-1R [1] - In inflammatory bowel disease, CS32582 is a next-generation highly selective TYK2 small molecule allosteric inhibitor currently in Phase Ib/II clinical trials for moderate to severe plaque psoriasis in adults [1] Group 3 - Shifeng Asset Management, established in 2015, has a paid-in capital of 10 million yuan and is a member of the association observation, holding a "3+3" investment advisory qualification [2] - The company has received multiple awards for its stock strategy, including two China Securities Journal Golden Bull Awards and two Shanghai Securities Journal Golden Sunshine Awards [2] - Shifeng Asset focuses on secondary market stock investments and collaborates with well-known banks, securities firms, and third parties to create long-term stable compound returns for clients [2]

Core Insights - Renowned private equity firm, Chongyang Investment, recently conducted research on a listed company, Microchip Biotech, highlighting its drug development progress across multiple disease areas [1] Group 1: Drug Development Progress - Microchip Biotech reported promising results from its Phase II clinical trial of Xioroni for pancreatic cancer, showing a 6-month progression-free survival (PFS) rate of nearly 80%, indicating strong anti-tumor activity and safety [1] - The drug Sidabenamide, an epigenetic agent, has demonstrated potential to enhance tumor immunotherapy [1] - In metabolic diseases, Siglitazone is noted as the world's first PPR full agonist, uniquely positioned for "fatty liver co-management" [1] - CDCS28 and other drugs have shown preliminary efficacy signals in preclinical studies [1] - For Alzheimer's disease, CDCS04 is the world's first small molecule drug development project targeting the poE4 site [1] - In the field of fibrotic diseases, CS1011 effectively and selectively inhibits PDGFR and CSF-1R [1] - Inflammatory bowel disease research includes CS32582, a next-generation highly selective TYK2 small molecule allosteric inhibitor, currently in Phase Ib/II clinical trials for moderate to severe plaque psoriasis in adults [1] Group 2: Company Overview - Chongyang Investment Management Co., Ltd. was established in 2009, evolving from Shanghai Chongyang Investment Co., Ltd., founded in 2001, and operates as a limited liability company with a partnership model [2] - The firm focuses on managing financial wealth for clients using various standardized financial tools, aiming for sustainable asset growth and long-term compound wealth increase [2] - Chongyang Investment emphasizes research-driven investment strategies and the importance of a rigorous scientific investment process [2]

Group 1 - The company announced the approval of a proposal to continue using temporarily idle raised funds for cash management, with a maximum amount of up to RMB 160 million [2] - The investment will be directed towards purchasing safe, liquid investment products with capital protection agreements, with a term not exceeding 12 months [2] - The decision was made during the 14th meeting of the third board of directors and the 10th meeting of the third supervisory board held on August 18, 2025 [2]

国投证券股份有限公司 关于深圳微芯生物科技股份有限公司 继续使用暂时闲置募集资金进行现金管理的核查意见 国投证券股份有限公司（以下简称"国投证券"或"保荐机构"）作为深圳 微芯生物科技股份有限公司（以下简称"微芯生物"或"公司"）首次公开发行 股票并在科创板上市和向不特定对象发行可转换公司债券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》《上市公司募集资金监管规则》《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》等有关法律、法 规的规定以及《深圳微芯生物科技股份有限公司募集资金管理制度》的相关规定， 对公司使用暂时闲置募集资金进行现金管理事项进行了认真、审慎的核查，并发 表意见如下： （万元） 一、募集资金基本情况 根据中国证券监督管理委员会出具的《关于同意深圳微芯生物科技股份有限 公司首次公开发行股票注册的批复》（证监许可〔2019〕1299 号），公司首次 向社会公众公开发行人民币普通股（A 股）5,000.00 万股，每股面值人民币 1 元， 每股发行价格为人民币 20.43 元，募集资金总额为人民币 102,150.00 万元，扣除 发行费用人民币 7,631.18 万 ...

国投证券股份有限公司 二、募集资金投资项目情况 一、募集资金基本情况 1、首次公开发行股票 根据中国证券监督管理委员会出具的《关于同意深圳微芯生物科技股份有限 公司首次公开发行股票注册的批复》（证监许可〔2019〕1299 号），公司首次 向社会公众公开发行人民币普通股（A 股）5,000.00 万股，每股面值人民币 1 元， 每股发行价格为人民币 20.43 元，募集资金总额为人民币 102,150.00 万元，扣除 发行费用人民币 7,631.18 万元后，本次募集资金净额为人民币 94,518.82 万元。 上述资金已于 2019 年 8 月 6 日全部到位，且经毕马威华振会计师事务所（特殊 普通合伙）审验并出具了毕马威华振验字第 1900341 号《验资报告》。上述募集 资金到账后，已全部存放于经公司董事会批准开立的募集资金专项账户内，并由 公司与保荐机构、存放募集资金的商业银行签署了三方及四方监管协议。 （一）首次公开发行股票 关于深圳微芯生物科技股份有限公司 继续使用暂时闲置募集资金进行现金管理的核查意见 国投证券股份有限公司（以下简称"国投证券"或"保荐机构"）作为深圳 微芯生物科技股份有限公司 ...