无锡奥特维科技股份有限公司相 关债券 2025 年跟踪评级报告 中鹏信评【2025】跟踪第【538】号 01 信用评级报告声明 除因本次评级事项本评级机构与评级对象构成委托关系外，本评级机构及评级从业人员与评级对象不存 在任何足以影响评级行为独立、客观、公正的关联关系。 本评级机构与评级从业人员已履行尽职调查义务，有充分理由保证所出具的评级报告遵循了真实、客观、 公正原则，但不对评级对象及其相关方提供或已正式对外公布信息的合法性、真实性、准确性和完整性 作任何保证。 本评级机构依据内部信用评级标准和工作程序对评级结果作出独立判断，不受任何组织或个人的影响。 本评级报告观点仅为本评级机构对评级对象信用状况的个体意见，不作为购买、出售、持有任何证券的 建议。本评级机构不对任何机构或个人因使用本评级报告及评级结果而导致的任何损失负责。 本次评级结果自本评级报告所注明日期起生效，有效期为被评证券的存续期。同时，本评级机构已对受 评对象的跟踪评级事项做出了明确安排，并有权在被评证券存续期间变更信用评级。本评级机构提醒报 告使用者应及时登陆本公司网站关注被评证券信用评级的变化情况。 本评级报告版权归本评级机构所有，未经授 ...

审计委员会检查发现公司控股股东、实际控制人及其他关联方存在资金占用 情况的，应当督促公司董事会立即披露并及时采取追讨措施；公司未及时披露， 或者披露内容与实际情况不符的，相关人员应当立即向上海证券交易所报告。 无锡奥特维科技股份有限公司 防范控股股东、实际控制人及关联方占用公司资金管理制度 第十条 年报审计期间，公司审计委员会应当与年审会计师充分沟通，督促 年审会计师勤勉尽责，对公司是否存在控股股东、实际控制人及其关联方资金占 用情况出具专项说明并如实披露。 第十一条 公司财务负责人应加强对公司财务过程的控制，监控公司与控股 股东、实际控制人及其他关联方之间的交易和资金往来情况。 无锡奥特维科技股份有限公司 防范控股股东、实际控制人及关联方占用公司资金管理制度 无锡奥特维科技股份有限公司 防范控股股东、实际控制人及关联方占用公司资金管理制度 第一章 总则 第一条 为了进一步加强和规范无锡奥特维科技股份有限公司（以下简称"公 司"）的资金管理，防止和杜绝控股股东、实际控制人及关联方占用公司资金行 为的发生，保护公司、股东和其他利益相关人的合法权益，根据《中华人民共和 国公司法》 《中华人民共和国证券法》 《上海 ...

Core Viewpoint - The document outlines the selection system for accounting firms at Wuxi Autowei Technology Co., Ltd, emphasizing the importance of maintaining shareholder interests and ensuring high-quality financial information [1][2]. Group 1: General Principles - The selection of accounting firms must comply with relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China [1]. - The selection process requires approval from the audit committee, board of directors, and ultimately the shareholders' meeting [1][2]. Group 2: Quality Requirements for Accounting Firms - Selected accounting firms must have a good record of professional quality and meet specific criteria, including independent legal status and necessary qualifications [2]. - The firms must have a solid organizational structure and internal management system, and their auditors should not have faced administrative penalties in the last three years [2][3]. Group 3: Selection Process - Various entities, including the audit committee and shareholders holding over 1% of shares, can propose the hiring of accounting firms [3]. - The audit committee is responsible for overseeing the selection process, including developing policies and evaluating candidates [3][4]. Group 4: Procedures for Hiring Accounting Firms - The selection process involves competitive negotiations, public bidding, and other methods to ensure fairness and transparency [4][5]. - The audit committee must evaluate the qualifications of the firms and submit recommendations to the board of directors for approval [5][6]. Group 5: Management of Reappointment - The audit committee must evaluate the performance of the accounting firm annually and can only reappoint them if they meet quality standards [6][7]. - If an auditor has served for five consecutive years, they must be replaced for the next five years [6]. Group 6: Circumstances for Changing Accounting Firms - The company must change accounting firms under specific circumstances, such as collusion in bidding or significant quality issues in audit reports [7][8]. - The audit committee must initiate the hiring process immediately if a change is necessary during the annual audit period [8][9]. Group 7: Information Disclosure and Record Management - The company must disclose information about the accounting firm, including service duration and fees, in annual financial reports [10]. - All documents related to the selection and hiring process must be archived for at least ten years [10][11]. Group 8: Supervision and Accountability - The audit committee must remain vigilant regarding any irregularities in the selection process and report serious violations to the board [11][12]. - The company is responsible for any economic losses resulting from the wrongful termination of an accounting firm [11].

Core Viewpoint - The document outlines the responsibility accountability system for significant errors in annual report information disclosure at Wuxi Autowei Technology Co., Ltd, aiming to enhance the quality and transparency of financial reporting [1][2]. Group 1: General Principles - The system is designed to improve the authenticity, accuracy, completeness, and timeliness of annual report information disclosure [1]. - It applies to directors, senior management, controlling shareholders, actual controllers, and other personnel involved in the annual report disclosure process [1]. Group 2: Identification of Significant Errors - Significant errors in annual report information disclosure include major accounting errors in financial reports, substantial omissions, and significant discrepancies in performance forecasts [2][3]. - Specific conditions for significant errors include violations of accounting laws and regulations, discrepancies between performance forecasts and actual results, and other recognized errors by regulatory authorities [2][3]. Group 3: Accountability and Procedures - The company must hold responsible individuals accountable for significant errors, following principles of objectivity, accountability, and correlation between power and responsibility [3][4]. - The identification standards for major accounting errors include thresholds based on asset, liability, net asset, profit, and revenue discrepancies exceeding 5% or absolute amounts over 5 million [4][5]. Group 4: Correction and Disclosure - Corrections to previously published financial reports require auditing by qualified accounting firms [4][5]. - Any significant omissions or discrepancies must be promptly addressed with supplementary announcements [6]. Group 5: Consequences of Errors - The document specifies that the chairman, general manager, and board secretary bear primary responsibility for the authenticity and accuracy of the annual report [6][7]. - Penalties for significant errors can include warnings, job transfers, demotions, or even termination, with the possibility of economic penalties determined by the board [7][8]. Group 6: Performance Evaluation - The outcomes of accountability for significant errors will be included in the annual performance evaluation of relevant departments and personnel [8].

Core Points - The document outlines the working rules for the Secretary of the Board of Wuxi Autowei Technology Co., Ltd, emphasizing the importance of the role in ensuring compliance and effective communication with regulatory bodies [1][2] - The Secretary is responsible for organizing board meetings, managing information disclosure, and maintaining investor relations, among other duties [2][3][4] Group 1: General Provisions - The Secretary of the Board is a senior management position responsible for fulfilling legal obligations and ensuring the board's decisions are made according to established procedures [1][2] - The company must provide necessary conditions for the Secretary to perform their duties, with support from board members and other senior management [10] Group 2: Qualifications and Responsibilities - The Secretary must possess knowledge in finance, management, and law, and must have a certificate from the stock exchange for training [5][6] - Key responsibilities include preparing board meetings, ensuring compliance with decision-making processes, managing information disclosure, and maintaining confidentiality of sensitive information [3][4][6] Group 3: Appointment and Replacement - The Secretary is appointed by the board chairman and must sign a contract outlining rights and obligations [5][6] - In case of vacancy, the board must appoint an interim Secretary and complete the hiring process within six months [7][10] Group 4: Work Procedures - The Secretary is responsible for organizing meetings, ensuring timely notifications, and maintaining accurate records for at least ten years [8][9] - The Secretary must coordinate responses to inquiries from regulatory bodies and ensure compliance with disclosure requirements [8][9] Group 5: Legal Responsibilities - The Secretary has a duty of loyalty and diligence to the company, must adhere to the company’s articles, and is accountable for any violations of laws or regulations [9][10] - In case of dismissal or resignation, the Secretary must undergo an exit review and ensure proper handover of responsibilities [7][9]

书 之 法律意见书 上海市山西北路 99 号苏河湾中心 MT 28 层 邮编：200085 电话/Tel: +86 21 5234 1668 传真/Fax: +86 21 5243 1670 网址/Website: http://www.grandall.com.cn 二〇二五年六月 国浩律师（上海）事务所 法律意见 国浩律师（上海）事务所 法律意见书 国浩律师（上海）事务所 关 于 无锡奥特维科技股份有限公司 调整回购价格、回购注销部分限制性股票相 关事项 一、本所及经办律师依据《公司法》《证券法》《管理办法》等规定及本法 律意见书出具日以前已经发生或者存在的事实，严格履行了法定职责，遵循了勤 勉尽责和诚实信用原则，对公司本次激励计划的合法合规性进行了充分的核查验 证，保证本法律意见书不存在虚假记载、误导性陈述及重大遗漏。 二、本所律师同意将本法律意见书作为公司本次激励计划所必备的法律文 件，随同其他材料一同上报，并依法对出具的法律意见承担法律责任。本所律师 同意公司在其为实行本次激励计划所制作的相关文件中引用本法律意见书的相 关内容，但公司做上述引用时，不得因引用而导致法律上的歧义或曲解，本所律 师有权对 ...

平安证券股份有限公司（以下简称平安证券或保荐机构）作为无锡奥特维科 技股份有限公司（以下简称奥特维或公司）2023 年公开发行可转债的保荐机构， 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》 等相关法律、法规和规范性文件的规定，对奥特维向控股子公司无锡唯因特数据 技术有限公司（以下简称唯因特）提供财务资助暨关联交易事项进行了审慎核查， 具体核查情况及核查意见如下： 一、本次财务资助暨关联交易事项概述 平安证券股份有限公司关于无锡奥特维科技股份有限公司 向控股子公司无锡唯因特数据技术有限公司 提供财务资助暨关联交易的核查意见 公司为支持唯因特的业务发展，满足其日常经营资金需求，拟在不影响自身 正常生产经营活动的情况下，向唯因特提供总额不超过人民币 8,000 万元额度的 财务资助，借款期限自股东会审议通过后 36 个月内有效，在该期限内借款额度 可循环滚动使用，按银行同期贷款利率计息。公司提供财务资助的资金来源为公 司自有资金。 奥特维直接持有唯因特 31.2681%股权，并通过接受葛志勇、李文股权表决 权委托享有唯因特 31.2681%的股权对应的表决权，合计控制唯因特 62.5 ...

Core Viewpoint - The company, Wuxi Autowei Technology Co., Ltd., has approved a plan to engage in accounts receivable factoring business with a total amount not exceeding RMB 800 million, which will enhance cash flow and improve asset-liability structure [1][2]. Summary by Sections Overview of Accounts Receivable Factoring Business - The company has received board approval to collaborate with financial institutions for accounts receivable factoring, with a total factoring amount not exceeding RMB 400 million initially, later adjusted to RMB 800 million [1][2]. Guarantee for Subsidiaries - The company will provide irrevocable joint liability guarantees for its subsidiaries involved in the factoring business, covering obligations such as repurchase amounts, financing repayments, interest, penalties, and other payable amounts [3][14]. Approval Process - The board meeting held on June 24, 2025, approved the factoring business and related guarantees, which do not constitute related party transactions or significant asset restructuring [4][11]. Business Impact - Engaging in accounts receivable factoring is expected to accelerate cash collection, reduce management costs, and support business expansion [5][14]. Financial Data of Subsidiaries - Financial data for subsidiaries as of March 31, 2025, shows varying asset and liability levels, indicating the financial health and operational scale of each subsidiary involved in the factoring business [6][9][12]. Total External Guarantees - The company has a total of RMB 1.203 billion in external guarantees, all provided to subsidiaries, representing 8.57% of total audited assets and 29.14% of net assets [15]. Board's Opinion - The board believes that the guarantees for subsidiaries align with the company's operational needs and strategic development, ensuring manageable risk levels [14][15]. Sponsor's Review - The sponsor has no objections to the company's accounts receivable factoring business and related guarantees, confirming compliance with relevant regulations [16].

投资者需要完成股东身份认证。具体操作请见互联网投票平台网站说 委托人应在委托书中"同意"、"反对"或"弃权"意向中选择 一个并打"√"，对于委托人在本授权委托书中未作具体指示的，受 托人有权按自己的意愿进行表决。 vote.sseinfo.com）进行投票。首次登陆互联网投票平台进行投票的， 明。 （二） 同一表决权通过现场、本所网络投票平台或其他方式重复进行 表决的，以第一次投票结果为准。 （三） 股东对所有议案均表决完毕才能提交。 四、 会议出席对象 （一） 股权登记日下午收市时在中国登记结算有限公司上海分公司 登记在册的公司股东有权出席股东会（具体情况详见下表），并可以 以书面形式委托代理人出席会议和参加表决。该代理人不必是公司股 东。 股份类别 股票代码 股票简称 股权登记日 A股 688516 奥特维 2025/7/7 （二） 公司董事和高级管理人员。 （三） 公司聘请的律师。 （四） 其他人员 五、 会议登记方法 登记时间 2025 年 7 月 8 日（上午 10:00-12:00，下午 14:00-16:00） ： 登记地点： 无锡市新吴区新华路 3 号行政楼六楼董事会办公室。 六、 其他事项 ...

| 证券代码：688516 | 证券简称：奥特维 | 公告编号：2025-066 | | --- | --- | --- | | 转债代码：118042 | 转债简称：奥维转债 | | 无锡奥特维科技股份有限公司 关于调整2023年限制性股票激励计划回购价格的公告 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。 无锡奥特维科技股份有限公司（以下简称"奥特维"或"公司"）于 2025 年 6 月 24 日召开了公司第四届董事会第十八次会议，审议通过了《关于调整 2023 年限制性股票激励计划回购价格的议案》等议案，根据公司 2023 年第二次临时 股东大会的授权，对公司 2023 年限制性股票激励计划回购价格进行了调整，现 将有关事项说明如下： 一、本次激励计划已履行的决策程序和信息披露情况 1、2023 年 7 月 16 日，公司召开第三届董事会第三十五次会议和第三届监 事会第三十次会议，审议通过了《关于<公司 2023 年限制性股票激励计划（草案）> 及其摘要的议案》《关于<公司 2023 年限制性股票激励计划实施考核管 ...