东吴证券股份有限公司 关于孚能科技（赣州）股份有限公司 关于使用自有资金支付募投项目所需资金并以募集资金等 额置换事项的核查意见 东吴证券股份有限公司（以下简称"东吴证券"或"保荐机构"）作为孚能科技 （赣州）股份有限公司（以下简称"孚能科技"或"公司"）2021 年向特定对象发行 A 股股票的保荐机构，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》《上海证券交易所科创板上市公司自律监管指引第 1 号 ——规范运作》《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》等有关规定，对公司使用自有资金支付募投项目所需资金并以募集资 金等额置换事项进行核查，并出具核查意见如下： 一、募集资金基本情况 经中国证券监督管理委员会出具的《关于同意孚能科技（赣州）股份有限公 司向特定对象发行股票注册的批复》（证监许可[2022]1472 号）同意，公司向特 定对象发行人民币普通股（A 股）140,000,000 股，发行价格为每股 23.70 元。募 集资金总额 3,318,000,000.00 元，扣除发行费用后，募集资金净额为 3,256,480,253.05 元。上述资 ...

证券代码：688567 证券简称：孚能科技 公告编号：2023-063 孚能科技（赣州）股份有限公司 关于自愿披露全资子公司或控股子公司 为公司提供担保的公告 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： 一、担保情况概述 公司因生产经营及业务发展需要，现拟向银行等金融机构申请融资并接受全 资子公司或控股子公司担保。全资子公司或控股子公司为公司提供担保的额度不 超过 20 亿元。 担保额度最终以银行等金融机构实际审批的担保额度为准，具体使用金额将 视公司运营资金的实际需求确定，决议有效期为董事会审议通过之日起 12 个月 内有效，抵押担保期限以实际签订的抵押担保合同为准。本次公司因业务发展需 要，在此额度内发生的具体事项，授权公司董事长、总经理负责与银行等金融机 构签订（或逐笔签订）相关协议。 根据《上海证券交易所科创板股票上市规则》等相关规定，本次担保事项属 于董事会审议权限范围内，无需提交公司股东大会审议。 | 序 号 | 股东名称 | 持股数量(股) | 占总股本 比例(%) | | --- | - ...

孚能科技（赣州）股份有限公司 关于调整组织架构的公告 证券代码：688567 证券简称：孚能科技 公告编号：2023-060 罗起龙，男，1978 年生，于 2000 年获得同济大学机械制造学士学位，2003 年获得工学硕士学位，曾任职于上海大众、通用汽车、敏实集团等大型制造企业， 先后担任客户发展中心总经理、战略顾问等职务。作为汽车行业的项目管理和质 量控制专家，善于战略规划、开拓客户以及组建高绩效团队,具有丰富的实战管 理经验。 张波，男，1969 年生，拥有北京航天航空大学工学学士学位。先后任职于通 用电气公司、IBM、玛氏公司、汉能集团等具有多年行业管理与实操经验。2022 年 7 月加入公司，目前为孚能科技（镇江）有限公司总经理。 张峰，男，1981 年生，拥有上海交通大学计算机科学与技术学士学位，美国 第 1 页 杜兰大学金融学硕士学位，中欧国际工商学院 EMBA 学位。长期从事国内外业 务，2005 年至 2020 年先后就职于北京高华证券有限责任公司分析师、中国国际 金融有限公司高级经理、摩根士丹利（亚洲）有限公司副总裁、摩根士丹利华鑫 证券有限公司董事总经理、全球资本市场部联席主管。2021 ...

东吴证券股份有限公司 关于孚能科技（赣州）股份有限公司 2023 年上半年持续督导跟踪报告 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《上海证券交易所上市公司自律监管指引第11号——持续督导》等有关 法律、法规、规范性文件的规定，东吴证券股份有限公司（以下简称"东吴证券" 或"保荐机构"）作为孚能科技（赣州）股份有限公司（以下简称"孚能科技"、 "公司"或"发行人"）持续督导的保荐机构，负责孚能科技的持续督导工作， 并出具2023年上半年持续督导跟踪报告。 | 一、2023 | | --- | | 年上半年持续督导工作情况 | | 工作内容 | 督导及完成情况 | | --- | --- | | 1、建立健全并有效执行持续督导工作制度，并 | 东吴证券已建立健全并有效执行了持 | | 针对具体的持续督导工作制定相应的工作计 | 续督导制度，并根据公司的具体情况制 | | 划。 | 定了相应的工作计划。 | | 2、根据中国证监会相关规定，在持续督导工作 | | | 开始前，与上市公司或相关当事人签署持续督 | | | 导协议，明确双方在持续督导期间的权利义务， | 东吴证券已 ...

Financial Performance - The company reported a net loss of RMB 797.106 million for the first half of 2023, which is an increase compared to the previous year[3]. - The net profit attributable to shareholders, excluding non-recurring gains and losses, was a loss of RMB 813.5109 million[3]. - The company's operating revenue for the first half of 2023 was approximately ¥6.98 billion, representing a year-on-year increase of 33.74% compared to ¥5.22 billion in the same period last year[15]. - The net profit attributable to shareholders for the first half of 2023 was a loss of approximately ¥797.11 million, compared to a loss of ¥159.37 million in the same period last year[15]. - The company reported a comprehensive loss of CNY -772,296,175.46 for the first half of 2023, compared to a loss of CNY -164,746,907.52 in the previous year[183]. - Basic and diluted earnings per share for the first half of 2023 were both CNY -0.65, compared to CNY -0.15 in the same period of 2022[183]. - The company reported a significant increase in cash received from sales and services, totaling ¥6,950,093,225.97, compared to ¥2,858,254,092.13 in the previous year[186]. - The total cash outflow from operating activities was ¥11,174,297,131.32, compared to ¥4,639,772,823.03 in the first half of 2022[186]. Investment and R&D - The company incurred an investment loss of RMB 144.9878 million from its joint venture SIRO, which is in the early stages of production and expected to continue incurring losses in the second half of 2023[3]. - The company's R&D expenditure as a percentage of operating revenue was 3.92%, down from 6.45% in the same period last year, indicating a decrease of 2.53 percentage points[16]. - The company achieved a total R&D investment of approximately ¥273.79 million, a decrease of 18.69% compared to the same period last year, with R&D investment accounting for 3.92% of operating revenue, down 2.53 percentage points[32]. - The company has filed for 72 new patents during the reporting period, with a total of 249 patents granted to date[31]. - The company is advancing its research and development in solid-state batteries, with the first generation of semi-solid batteries already in production and the second generation in the sampling stage[55]. Operational Challenges - The company has faced ongoing risks due to fluctuations in raw material prices and uncertainties regarding new customer acquisition[3]. - The company has been implementing measures to improve operational performance, including negotiating prices with suppliers and enhancing operational efficiency[3]. - The company has a production capacity utilization rate that was lower than expected due to customer order reductions, impacting profit margins[51]. - Operating costs increased due to revenue growth and high raw material inventory, leading to a higher cost increase than revenue growth[65]. Environmental and Social Responsibility - The company has emphasized the importance of sustainable development and is actively working on carbon neutrality certifications for its products[56]. - The company achieved a photovoltaic power generation capacity of approximately 18 million kWh, reducing carbon dioxide emissions by over 12,000 tons during the reporting period[107]. - The company has established a wastewater treatment station to ensure that wastewater meets the "Battery Industry Pollutant Discharge Standards" before discharge[108]. - The company has actively participated in social responsibility initiatives, donating approximately 42.95 million yuan in materials to support vulnerable groups[113]. Corporate Governance and Compliance - The company has not proposed any profit distribution or capital reserve transfer to increase share capital during this reporting period[4]. - The company has not disclosed any special arrangements for corporate governance or significant matters[6]. - The report includes a forward-looking statement risk declaration, indicating that future plans and strategies do not constitute a commitment to investors[5]. - The company has committed to various measures to prevent the dilution of immediate returns and enhance future return capabilities, including improving fund utilization efficiency and accelerating project implementation[127]. Shareholder and Capital Management - The company has committed to a share lock-up period from July 17, 2020, to July 16, 2023, which has been strictly adhered to[116]. - The company will strictly adhere to the commitments regarding the lock-up period for its shares, with a restriction on transferring or managing 12,048,882 shares for 12 months and 2,956,762 shares for 36 months post-IPO[119]. - The company will announce any share reduction three trading days in advance if it holds more than 5% of the shares[121]. - The company has established a profit distribution policy that complies with relevant laws and regulations, ensuring adherence to its profit distribution plan post-listing[131]. Financial Position - The company's total assets decreased by 12.04% to approximately ¥28.26 billion from ¥32.13 billion at the end of the previous year[15]. - The company's total liabilities decreased to CNY 5,391,024,449.32 from CNY 6,229,400,434.15 in the previous period[181]. - The company's equity attributable to shareholders decreased to ¥11,303,617,381.66 from ¥12,016,564,604.85, reflecting a decline of approximately 5.9%[179]. - The company has evaluated its ability to continue as a going concern and found no significant doubts regarding its sustainability[199].

（一）股东大会召开的时间：2023 年 8 月 24 日 证券代码：688567 证券简称：孚能科技 公告编号：2023-055 孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会决议公告 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。 重要内容提示： 本次会议是否有被否决议案：无 一、会议召开和出席情况 （二）股东大会召开的地点：江西省赣州经济技术开发区金岭西路北侧彩蝶路西 侧孚能科技行政楼三楼会议室 （三）出席会议的普通股股东、特别表决权股东、恢复表决权的优先股股东及其 持有表决权数量的情况： | 1、出席会议的股东和代理人人数 | 16 | | --- | --- | | 普通股股东人数 | 16 | | 2、出席会议的股东所持有的表决权数量 | 425,540,154 | | 普通股股东所持有表决权数量 | 425,540,154 | | 3、出席会议的股东所持有表决权数量占公司表决权数量的比例 | 34.9299 | | （%） | | | 普通股股东所持有表决权数量占公司表决权数量的比例（%） | 34 ...

上海市锦天城律师事务所 关于孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会的 法律意见书 地址：上海市浦东新区银城中路 501 号上海中心大厦 11、12 层 电话：021-20511000 传真：021-20511999 邮编：200120 上海市锦天城律师事务所 法律意见书 上海市锦天城律师事务所 关于孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会的 法律意见书 致：孚能科技（赣州）股份有限公司 根据《中华人民共和国公司法》（以下简称"《公司法》"）、《中华人民 共和国证券法》及其他相关法律、法规、规章和规范性文件，以及《孚能科技（赣 州）股份有限公司章程》（以下简称"《公司章程》"）和《孚能科技（赣州） 股份有限公司股东大会议事规则》（以下简称"《股东大会议事规则》"）的相 关规定，上海市锦天城律师事务所（以下简称"本所"）接受孚能科技（赣州） 股份有限公司（以下简称"公司"）的委托，指派本所律师出席公司 2023 年第 二次临时股东大会（以下简称"本次股东大会"），对本次股东大会的相关事项 进行见证并出具本法律意见书。 本所律师已经按照《股东大会议事规则》的要求对公司本次股 ...

孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会 会议资料 2023 年 8 月 孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会会议资料 目 录 | 年第二次临时股东大会会议须知 2023 | 1 | | --- | --- | | 2023 年第二次临时股东大会会议议程 | 3 | | 议案一：关于终止部分募投项目并将剩余募集资金用于新项目的议案 | 5 | 孚能科技（赣州）股份有限公司 2023 年第二次临时股东大会会议资料 2023 年第二次临时股东大会会议须知 为了维护孚能科技（赣州）股份有限公司（以下简称"公司"）全体股东的 合法权益，确保股东大会的正常秩序和议事效率，保证大会的顺利进行，根据《中 华人民共和国公司法》《中华人民共和国证券法》《上市公司股东大会规则》以 及《孚能科技（赣州）股份有限公司章程》的相关规定，特制定 2023 年第二次 临时股东大会会议须知： 一、为确认出席大会的股东或其代理人或其他出席者的出席资格，会议工作 人员将对出席会议者的身份进行必要的核对工作，请被核对者给予配合。 二、为保证本次大会的严肃性和正常秩序，切实维护股东的合法权益，请出 席大会 ...

证券代码：688567 证券简称：孚能科技 公告编号：2023-029 孚能科技（赣州）股份有限公司 关于召开 2022 年度暨 2023 年第一季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： 会议召开时间：2023 年 6 月 7 日(星期三) 上午 10:00-11:30 投资者可于 2023 年 05 月 31 日(星期三) 至 06 月 06 日(星期二)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 farasisIR@farasisenergy.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。 孚能科技（赣州）股份有限公司（以下简称"公司"）已于 2023 年 4 月 29 日、2023 年 5 月 26 日分别发布了公司《2022 年年度报告》 《2023 年第一季度报告》和《2022 年年度报告全文（修订版）》， 为便于广大投资者更全面深入地了解公司 2022 年度和 2023 年第一 季度经营成果、财务状况，公司 ...

Financial Performance - The total revenue for 2022 reached 11.588 billion RMB, representing a year-on-year growth of over 231.08%[2] - The company reported a net loss of approximately 0.927 billion RMB for the year[2] - The company's operating revenue for 2022 was approximately CNY 11.59 billion, a 231.08% increase from CNY 3.50 billion in 2021[18] - The net profit attributable to shareholders was a loss of approximately CNY 926.99 million, compared to a loss of CNY 952.72 million in the previous year[18] - The net cash flow from operating activities was negative CNY 1.75 billion, a significant decrease from positive CNY 233.24 million in 2021[18] - The company's total assets increased by 53.45% to approximately CNY 32.13 billion at the end of 2022, up from CNY 20.94 billion in 2021[18] - The gross profit margin improved from -18.16% to 5.81%, although it remains below industry peers due to various factors affecting customer pricing mechanisms and demand[25] - The company reported a basic earnings per share of -0.86 CNY for 2022, slightly improved from -0.89 CNY in 2021[18] - The net assets attributable to shareholders increased by 29.57% to approximately CNY 12.02 billion at the end of 2022[18] - The company experienced a significant decline in cash flow from operating activities, with a net outflow of CNY 1.16 billion in Q4 2022[21] Research and Development - Research and development expenses accounted for 5.16% of operating revenue, a decrease of 10.31 percentage points from 15.47% in 2021[18] - The total R&D investment for the year was approximately ¥598.42 million, representing a 10.51% increase from the previous year[47] - R&D investment as a percentage of operating revenue decreased from 15.47% to 5.16%, a decline of 10.31 percentage points[47] - The company filed for 81 new patents in the year, with 56 granted, bringing the total to 330 applications and 213 granted[46] - The company is actively expanding its R&D capabilities, with advancements in high energy density, long lifespan, and fast charging technologies[44] - The company is focusing on cost control across raw materials, production, and recycling to meet customer demands for lower battery costs[37] - The company has invested a total of $11,835.47 million in the development of customized power battery cells and modules, with a goal of achieving industry-leading performance and cost competitiveness[52] Product Development and Innovation - The Super Soft Pack Solution (SPS) was officially launched in 2022, enhancing performance metrics such as volume utilization and charging speed[2] - New technologies such as high energy density material systems, semi-solid electrolytes, lithium iron phosphate energy storage batteries, and sodium-ion batteries are rapidly moving towards industrialization[2] - The company launched new products such as "SPS" and sodium-ion batteries, which have garnered attention from multiple automotive manufacturers[26] - The first-generation semi-solid-state battery has achieved mass production, reducing charging time from 42 minutes to 18 minutes for 70% charge, with over 3000 cycles of lifespan[45] - The sodium-ion battery technology is expected to reduce reliance on lithium resources and is anticipated to see significant application in the mid-to-low-end power battery market and energy storage market[36] - The company is developing ultra-fast charging lithium-ion battery technology, capable of charging 70% in 10 minutes, addressing user charging anxiety[45] - The first generation of sodium-ion batteries is set to achieve mass production in 2023, with plans to quickly introduce a second generation to customers[140] Market Position and Strategy - The company is now among the top ten global power battery manufacturers in terms of installed capacity, according to SNE Research[25] - The company plans to deepen cooperation with strategic clients like Mercedes-Benz and GAC Group while expanding its customer base to include Geely and Dongfeng[27] - The company has established long-term orders with top-tier automotive clients, including Mercedes-Benz, showcasing its competitive edge in the downstream vehicle market[70] - The company is actively expanding its market presence in automotive, energy storage, and emerging markets, leveraging differentiated products to capture market share[132] - The company aims to become a leader in global power battery technology development over the next three years[130] Financial Management and Risks - The company has faced risks related to raw material price fluctuations, particularly in cathode materials, which could adversely affect production costs and operational performance[72] - The company has been operating at a loss for several years, despite implementing measures to improve performance, including price negotiations and cost reduction strategies[73] - The company is at risk of management challenges due to rapid business expansion, which may affect supply chain management and operational efficiency[81] - The company has implemented measures to protect its core technologies from leakage, but risks remain if confidentiality agreements are breached[78] Governance and Management - The company has maintained a stable governance structure with no changes in the red-chip structure during the reporting period[146] - The company has appointed new directors and supervisors, with terms starting from June 29, 2022, and ending on June 28, 2025[149] - The company has a core technical team that has been actively involved in stock incentive plans, with multiple personnel receiving shares in December 2022[150] - The company has established specialized committees, including an audit committee and a nomination committee, to enhance governance[173] Sustainability and ESG - The company has received "carbon-neutral production" certification from DEKRA for products delivered to major overseas clients for two consecutive years[2] - The company ranks among the top in the industry for ESG ratings from multiple third-party assessment agencies[2] - The company has established an ESG governance structure led by the general manager, with a dedicated ESG committee to identify and assess ESG risks and opportunities[198] - The company does not belong to the key pollutant discharge units as per environmental protection department announcements[200] - The company has not faced any administrative penalties due to environmental issues during the reporting period[200]