关于 上海复旦微电子集团股份有限公司 向不特定对象发行 A 股可转换公司债券 之 发行保荐书 保荐人 二〇二三年九月 保荐人出具的证券发行保荐书 保荐人及保荐代表人声明 中信建投证券股份有限公司及本项目保荐代表人赵凤滨、逯金才根据《中华 人民共和国公司法》《中华人民共和国证券法》等有关法律、法规和中国证监会 的有关规定以及上海证券交易所的有关业务规则，诚实守信，勤勉尽责，严格按 照依法制订的业务规则、行业执业规范和道德准则出具本发行保荐书，并保证发 行保荐书的真实性、准确性和完整性。 中信建投证券股份有限公司 3-1-1 | 义 | 3 | 释 | | --- | --- | --- | | 本次证券发行基本情况 | 6 | 第一节 | | 一、本次证券发行具体负责推荐的保荐代表人 | 6 | | | 二、本次证券发行项目协办人及项目组其他成员 | 6 | | | 三、发行人基本情况 | 8 | | | 四、保荐人与发行人关联关系的说明 | 8 | | | 五、保荐人内部审核程序和内核意见 | 14 | | | 六、保荐人对私募投资基金备案情况的核查 | 15 | | | 保荐人承诺事项 | 16 | 第二节 ...

上海复旦微电子集团股份有限公司 简式权益变动报告书 上市公司名称：上海复旦微电子集团股份有限公司 股票上市地点：上海证券交易所 股票简称：复旦微电 股票代码：688385 信息披露义务人：上海微电企业管理咨询有限公司 住所：上海市杨浦区国泰路11号一层展示厅A167室 通讯地址：上海市黄浦区徐家汇路550号3楼D座 股份变动性质：控制上市公司具有表决权的股份减少 签署日期：2023 年 9 月8 日 1 信息披露义务人声明 | 在本报告书中，除非另有说明，下列简称具有如下特定含义： | | --- | 3、根据《证券法》《收购管理办法》《准则15号》的规定，本报告书已全面披 露了信息披露义务人在上海复旦微电子集团股份有限公司（以下简称"复旦微电"） 中拥有权益的股份变动情况； 截至本报告书签署日，除本报告书披露的持股信息外，信息披露义务人未通 过任何其他方式增加或减少其在复旦微电拥有权益的股份。 4、本次权益变动是根据本报告书所载明的资料进行的。除本信息披露义务人外， 没有委托或者授权其它任何人提供未在本报告书列载的信息和对本报告书做出任何 解释或者说明。 5、信息披露义务人承诺本报告书不存在虚假记载、误导性 ...

公司本次向不特定对象发行可转换公司债券事项尚需通过上海证券交易所 审核，并获得中国证券监督管理委员会（以下简称"中国证监会"）作出同意 注册的决定后方可实施，最终能否通过上海证券交易所审核并获得中国证监会 同意注册的决定及其时间尚存在不确定性。 | A 股证券代码：688385 | 证券简称：复旦微电 | 公告编号：2023-054 | | --- | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | | 上海复旦微电子集团股份有限公司 关于向不特定对象发行可转换公司债券募集说明 书等申请文件财务数据更新的提示性公告 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。 上海复旦微电子集团股份有限公司（以下简称"公司"）于 2023 年 7 月 27 日在上海证券交易所网站(www.sse.com.cn)披露了《上海复旦微电子集团股份 有限公司向不特定对象发行可转换公司债券证券募集说明书（申报稿）》等申请 文件。 根据本次发行项目进展，结合公司已披露的《2023 年半年度报告》，公司 按照相关要求 ...

上海复旦微电子集团股份有限公司 简式权益变动报告书 上市公司名称：上海复旦微电子集团股份有限公司 股票上市地点：上海证券交易所 股票简称：复旦微电 股票代码：688385 信息披露义务人：上海晔莘企业管理有限公司 住所：上海市奉贤区奉城镇南公路686号4幢 通讯地址：上海市黄浦区延安东路1号3层 股份变动性质：控制上市公司具有表决权的股份增加 签署日期：2023 年 9 月8 日 1 信息披露义务人声明 1、信息披露义务人依据《中华人民共和国公司法》《中华人民共和国证券 法》（以下简称"证券法"）《上市公司收购管理办法》（以下简称"收购管 理办法"）《公开发行证券的公司信息披露内容与格式准则第15号——权益变 动报告书》（以下简称"准则15号"）《上海证券交易所科创板股票上市规则》 及相关的法律、法规要求编写本报告书； 2、信息披露义务人签署本报告书已获得必要的授权和批准，其履行亦不违反信 息披露义务人内部规定中的任何条款，或与之相冲突； 3、根据《证券法》《收购管理办法》《准则15号》的规定，本报告书已全面披 露了信息披露义务人在上海复旦微电子集团股份有限公司（以下简称"复旦微电"） 中拥有权益的股份变动情 ...

中信建投证券股份有限公司 关于 上海复旦微电子集团股份有限公司 向不特定对象发行 A 股可转换公司债券 之 上市保荐书 保荐人 二〇二三年九月 保荐人出具的上市保荐书 保荐人及保荐代表人声明 释 义 在本上市保荐书中，除非另有说明，下列词语具有如下特定含义： | 一、一般释义 | | | | --- | --- | --- | | 保荐人、主承销商、中 | 指 | 中信建投证券股份有限公司 | | 信建投证券 | | | | 发行人、复旦微、复旦 | 指 | 上海复旦微电子集团股份有限公司，原名上海复旦微电子股 | | 微电、公司 | | 份有限公司 | | 报告期、报告期内 | 指 | 2020 年、2021 年、2022 年和 2023 年 1-6 月 | | | | 2020 年 12 月 31 日、2021 年 12 月 31 日、2022 年 12 月 31 | | 报告期各期末 | 指 | 日和 2023 年 6 月 30 日 | | 证监会、中国证监会 | 指 | 中国证券监督管理委员会 | | 上交所、交易所 | 指 | 上海证券交易所 | | 《公司法》 | 指 | 《中华人民共和国公司法》 ...

https://roadshow.sseinfo.com/） | A 股证券代码：688385 | 证券简称：复旦微电 | 公告编号：2023-052 | | --- | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | | 上海复旦微电子集团股份有限公司 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、准确性和完整性依法承担法律责任。 重要内容提示： 会议召开方式：上证路演中心网络互动 投资者可于 2023 年 9 月 8 日(星期五) 至 9 月 14 日(星期四)16:00 前登录上 证路演中心网站首页点击"提问预征集"栏目或通过公司邮箱 IR@fmsh.com.cn 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。 上海复旦微电子集团股份有限公司（以下简称"公司"）已于 2023 年 8 月 29 日发布公司 2023 年半年度报告，为便于广大投资者更全面深入地了解公司 2023 年上半年的经营成果、财务状况，公司计划于 2023 年 9 月 15 日下午 16 ...

Financial Performance - For the six months ended June 30, 2023, the company reported operating revenue of RMB 1.796 billion, an increase of 5.52% compared to the same period last year[4]. - The net profit attributable to shareholders was RMB 449.27 million, a decrease of approximately 15.32% year-on-year[4]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was RMB 415.00 million, down approximately 20.03% from the previous year[4]. - The comprehensive gross profit margin improved to 67.10%, an increase of 2.10 percentage points year-on-year[4]. - The group achieved a revenue of approximately RMB 1.796 billion in the first half of 2023, an increase of 5.52% compared to the same period last year[27]. - The net profit attributable to the parent company was approximately RMB 449 million, a decrease of 15.32% year-on-year[27]. - The company reported a gross profit margin of approximately 27.0% for the first half of 2023, compared to 33.0% in the same period of 2022[56]. - The total comprehensive income for the first half of 2023 is RMB 434,508,249.93, compared to a total of RMB 520,595,705.21 for the same period in 2022, indicating a decrease of about 16.5%[66]. Assets and Liabilities - The company's total assets as of June 30, 2023, were approximately RMB 78.43 billion, an increase of about 28.35% from the beginning of the reporting period[4]. - The total liabilities as of June 30, 2023, are RMB 2,275,203,690.15, compared to RMB 957,718,676.14 as of December 31, 2022, representing an increase of approximately 137.5%[53]. - The total equity attributable to shareholders as of June 30, 2023, is RMB 4,931,523,515.75, up from RMB 4,531,230,351.61 as of December 31, 2022, reflecting an increase of approximately 8.8%[53]. - The company's inventory at the end of the reporting period was valued at approximately RMB 2,848.25 million, representing 50.08% of total current assets[37]. - The total current assets as of June 30, 2023, amount to RMB 5,687,882,418.09, an increase from RMB 4,327,100,944.42 as of December 31, 2022, reflecting a growth of approximately 31.5%[52]. Research and Development - Research and development expenses for the first half of 2023 amounted to approximately RMB 588 million, a 47.54% increase compared to the same period last year[5]. - The group has established a multi-level R&D system, with a strong focus on product design and technology reserves for future market trends[21]. - The company continues to invest in R&D, talent development, and quality services to solidify its operational foundation and competitive advantages in the integrated circuit design sector[20]. - R&D investment during the reporting period was approximately RMB 588 million, accounting for 32.74% of the operating revenue[38]. Product Performance - The company maintained a strong product line, particularly in FPGA and non-volatile memory products, contributing to revenue growth[5]. - The sales revenue of the storage product line reached approximately RMB 588 million, an increase from RMB 487 million in 2022, reflecting a growth despite industry downturns[11]. - The FPGA product line achieved sales revenue of approximately RMB 586 million, up from RMB 378 million in 2022, showcasing strong market demand and technological advancements[14]. - The smart meter product line generated sales revenue of approximately RMB 113 million, down from RMB 276 million in 2022, indicating a need for strategic adjustments in this segment[12]. Market and Industry Trends - The semiconductor industry is currently in a downward cycle, but signs of recovery are emerging, particularly in high-end manufacturing and technology applications[7]. - The company is actively expanding its product applications in new areas, including anti-counterfeiting and automotive electronics, which have gained customer recognition[9]. - The company is actively developing high-performance industrial and automotive-grade products, enhancing its competitive edge in the storage product sector[16]. Cash Flow and Financing - Cash flow from operating activities showed a significant decline, with a net outflow of RMB 109,043.92 million compared to a net inflow of RMB 32,910.72 million in the previous year[40]. - The company raised a total of RMB 540 million from a public offering, with a net amount of RMB 507.6 million available for investment in integrated circuit testing and R&D projects[46]. - The company’s cash and cash equivalents decreased by 33.86% to RMB 78,757.69 million from RMB 119,082.83 million at the end of 2022[43]. Risk Factors - The company faces risks related to the slowdown in the integrated circuit industry and potential impacts from international trade environments[30][31]. - The company assesses credit risk on each balance sheet date, considering quantitative and qualitative analyses, external credit ratings, and forward-looking information[172]. - Significant increase in credit risk is determined by factors such as a rise in default probability exceeding a certain percentage and adverse changes in the debtor's financial condition[172]. Corporate Governance and Compliance - The financial statements have been prepared based on the going concern assumption, indicating no significant doubts about the company's ability to continue operations for the next 12 months[69]. - The company has implemented specific accounting policies and estimates tailored to its operational characteristics, particularly in areas such as financial instrument impairment and revenue recognition[70]. - The company holds a high-tech enterprise certificate valid for three years, allowing it to pay corporate income tax at a reduced rate of 15%[75].

Financial Performance - The company reported a significant increase in revenue for the first half of 2023, achieving a total of 1.2 billion CNY, representing a year-on-year growth of 25%[1]. - The company's operating revenue for the first half of 2023 was CNY 179,622.93 million, representing a 5.52% increase compared to CNY 170,233.34 million in the same period last year[17]. - The net profit attributable to shareholders for the first half of 2023 was CNY 44,927.08 million, a decrease of 15.32% from CNY 53,053.15 million year-on-year[17]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was CNY 41,499.14 million, down 20.03% from CNY 51,894.80 million in the previous year[17]. - The basic earnings per share for the first half of 2023 was CNY 0.55, a decrease of 15.38% from CNY 0.65 in the same period last year[18]. - The comprehensive gross profit margin increased by 2.10 percentage points year-on-year, with gross profit rising by 98.86 million yuan compared to the same period last year[19]. - The company achieved a revenue of 458,025.68 million RMB, with a gross profit of 58,814.38 million RMB, and a net profit of 180,538.97 million RMB for the first half of 2023[36]. - The total operating revenue for the first half of 2023 was CNY 1,796,229,282.46, an increase from CNY 1,702,333,354.86 in the same period of 2022, representing a growth of approximately 5.5%[102]. Research and Development - The company is investing in R&D, allocating 15% of its revenue to develop new technologies and enhance existing product lines[1]. - The research and development expenditure accounted for 32.74% of operating revenue, an increase of 9.32 percentage points compared to 23.42% in the previous year[18]. - Research and development investment for the first half of the year was approximately 588 million yuan, an increase of 47.54% year-on-year[19]. - The number of R&D personnel increased to 964, accounting for 53.59% of the total workforce, with an average salary of 34,000 RMB, up from 31,270 RMB in the previous year[37]. - The company has received 12 new invention patents and 1 utility model patent during the reporting period, increasing its total to 233 invention patents[27]. - The company is focusing on enhancing its testing capabilities for high-end chip products, particularly in the fields of 5G communication, artificial intelligence, and the Internet of Things[34]. Market Expansion and Product Development - User data indicates a growing customer base, with active users increasing by 15% to reach 500,000 by the end of June 2023[1]. - New product launches are expected to contribute to growth, with two major products set to be released in Q3 2023, targeting a market share increase of 10%[1]. - Market expansion plans include entering two new international markets by the end of 2023, aiming for a 5% increase in overall market share[1]. - The company is actively expanding new application areas for its security and identification products, gaining customer recognition for new products such as ultra-high frequency EPC tags and anti-counterfeiting security chips[22]. - The company launched multiple new products in the smart meter and automotive sectors, preparing for industry recovery[23]. - The company is developing new products including a next-generation smart meter chip based on 55nm embedded flash technology, which has completed sample testing and is preparing for reliability assessment[34]. Financial Health and Risks - The company has maintained a strong balance sheet, with a current ratio of 2.5, indicating good short-term financial health[1]. - The net cash flow from operating activities was negative at CNY -109,043.92 million, compared to CNY 32,910.72 million in the same period last year[17]. - The company is facing risks related to the slowdown in the integrated circuit industry, which could adversely affect its performance[43]. - The company has a high concentration of suppliers, which poses risks related to raw material price fluctuations and supply chain stability[43]. - Cash and cash equivalents decreased by 33.86% to 78,757.69 million RMB, accounting for 10.04% of total assets[47]. - Accounts receivable increased by 73.88% to 126,965.82 million RMB, representing 16.19% of total assets due to longer collection cycles from high-reliability customers[47]. Corporate Governance and Compliance - No significant non-operational fund occupation by controlling shareholders has been reported, ensuring financial integrity[1]. - The company has committed to ensuring independence in assets, business, personnel, finance, and organization from its controlling shareholders[73]. - The company has not reported any major related party transactions that are not related to daily operations during the reporting period[74]. - The company confirms that there are no significant doubts regarding its ability to continue as a going concern for the next 12 months[129]. - The company has not faced any penalties or corrective actions related to legal violations by its directors, supervisors, senior management, or controlling shareholders during the reporting period[74]. Environmental Responsibility - The company is committed to fulfilling its environmental responsibilities and has established mechanisms for environmental protection[61]. - The company adopted energy-saving modifications in production processes, resulting in a reduction of carbon emissions by 31.46 tons[63]. - The company invested RMB 510,800 in environmental protection during the reporting period[61]. Shareholder Information - The company held its 2022 Annual General Meeting on June 2, 2023, where all proposed resolutions were approved, including the financial settlement report for 2022[57]. - The company did not distribute profits or increase capital reserves for the 2022 fiscal year[59]. - The company has a lock-up period for shares held by major shareholders, lasting 36 months from the date of listing, with specific conditions for share transfers[65]. - The company will actively cooperate with the issuer's announcement and information disclosure when reducing its holdings[67].

| A 股证券代码：688385 | 证券简称：复旦微电 公告编号：2023-047 | | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | 上海复旦微电子集团股份有限公司 关于使用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。 2023 年 8 月 28 日，上海复旦微电子集团股份有限公司（以下简称"复旦微 电"、"公司"）召开第九届董事会第十次会议审议通过了《关于使用自有资金 进行现金管理的议案》，同意公司在不影响正常生产经营及确保资金安全的情况 下开展现金管理，使用额度不超过人民币 30,000 万元（含本数）的自有资金购 买安全性高、流动性好、有保本约定的理财产品（包括但不限于保本型理财产 品、结构性存款、收益凭证等），使用期限自 2023 年 9 月 23 日至 2024 年 9 月 22 日。在前述额度及使用期限范围内，资金可以循环滚动使用。本事项属于公 司董事会决策权限范围内，无需提交公司股东大会审议。具体情况如下： 一、使用自有资金进行现金管理的概 ...

| A 股证券代码：688385 | 证券简称：复旦微电 | 公告编号：2023-051 | | --- | --- | --- | | 港股证券代码：01385 | 证券简称：上海复旦 | | 上海复旦微电子集团股份有限公司 关于增加申请 2023 年度综合授信额度的公告 为了提高工作效率，公司董事会同意授权公司管理层在额度内办理上述授 信额度申请事宜，并签署合同、协议、凭证等各项法律文件。 特此公告。 上海复旦微电子集团股份有限公司董事会 2023 年 8 月 29 日 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。 上海复旦微电子集团股份有限公司（以下简称"公司"）于 2023 年 8 月 28 日召开第九届董事会第十次会议，审议通过了《关于公司增加申请 2023 年度综 合授信额度的议案》。具体情况如下： 为进一步满足公司（含全资、控股子公司）生产经营发展需要，公司拟在 2023 年度向金融机构申请不超过人民币 175,000.00 万元的综合授信额度的基础 上，增加向金融机构申请不超过人民币 85,000 万元 ...