上海新相微电子股份有限公司 以募集资金置换已支付发行费用的自 筹资金的鉴证报告 大华核字[2023]0015864 号 大 华 会 计 师 事 务 所 (特 殊 普 通 合 伙 ) Da Hua Certified Public Accountants（Special General Partnership） 您可使用手机"扫一扫"或进入"注册会计师行业统一监管平台（http://ww 上海新相微电子股份有限公司 以募集资金置换已支付发行费用的自筹资金的鉴证报告 i and and 以募集资金置换已支付发行费用的自筹资金 1-3 Í 的鉴证报告 上海新相微电子股份有限公司以募集资金置 I 1 1-2 换已支付发行费用的自筹资金的专项说明 语: 86 (10) 5835 0011 传真: 86 (10) 以 募 集 资 金 置 换 已 支 付 发 行 费 用 的 自 筹 资 金 的 鉴 证 报 告 大华核字|2023|0015864 号 上海新相微电子股份有限公司全体股东; ( 截止 2023 年 5 月 29 日 ） $$\begin{array}{c c c c}{{\mathbb{H}}}&{{}}&{{ ...

中国国际金融股份有限公司 关于上海新相微电子股份有限公司 使用自有资金、银行承兑汇票、信用证及外汇等方式支付 募投项目所需资金并以募集资金等额置换的核查意见 中国国际金融股份有限公司（以下简称"中金公司"或"保荐机构"）作为 上海新相微电子股份有限公司（以下简称"新相微"或"公司"）首次公开发行 股票并在科创板上市的保荐机构，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》《上海证券交易所上市公司自律监管指引第11号 ——持续督导》《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，对上海新相微电子股份有限公司使用自有资金、银行承兑汇票、信用证 及外汇等方式支付募投项目所需资金并以募集资金等额置换的事项进行了核查， 核查情况及核查意见如下： 一、募集资金基本情况 根据中国证券监督管理委员会（以下简称"中国证监会"）出具的《关于同 意上海新相微电子股份有限公司首次公开发行股票注册的批复》（证监许可 [2023]731号），新相微获准首次公开发行人民币普通股（A股）股票9,190.5883万 股， ...

证券代码：688593 证券简称：新相微 公告编号：2023-017 上海新相微电子股份有限公司 关于调整部分募集资金投资项目内部投资结构 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： 上海新相微电子股份有限公司（以下简称"公司"）于 2023 年 10 月 26 日 召开了第一届董事会第十八次会议和第一届监事会第十三次会议，审议通过了 《关于调整部分募集资金投资项目内部投资结构的议案》，同意公司在募集资金 投资总额、投资内容、投资用途不变的前提下，拟调整募集资金投资项目（以下 简称"募投项目"）"上海先进显示芯片研发中心建设项目"内部投资结构中"软 件投资"及"研发费用"的投入金额。公司独立董事对该事项发表了明确同意的 独立意见,保荐机构中国国际金融股份有限公司（以下简称"保荐机构"）对该 事项发表了明确的核查意见。该事项在董事会审批权限范围内，无需提交股东大 会审议。现将具体情况公告如下： 一、 募集资金基本情况 根据中国证券监督管理委员会《关于同意上海新相微电子股份有限公司首次 公开发行股票 ...

证券代码：688593 证券简称：新相微 公告编号：2023-016 重要内容提示： 上海新相微电子股份有限公司（以下简称"公司"）于 2023 年 10 月 26 日 召开了第一届董事会第十八次会议和第一届监事会第十三次会议，审议通过了 《关于使用自有资金、银行承兑汇票、信用证及外汇等方式支付募投项目所需资 金并以募集资金等额置换的议案》，同意公司（含分公司、子公司）在募集资金 投资项目（以下简称"募投项目"）后续实施期间，根据实际情况并经相关审批 后，通过自有资金、银行承兑汇票、信用证及外汇等方式预先支付募集资金投资 项目相关款项，后续从募集资金专户等额划转至各自的自有资金账户，该部分等 额置换资金视同募投项目使用资金。公司独立董事对该事项发表了明确同意的独 立意见,保荐机构中国国际金融股份有限公司（以下简称"保荐机构"）对该事 项发表了明确的核查意见。该事项在董事会审批权限范围内，无需提交股东大会 审议。现将具体情况公告如下： 一、 募集资金基本情况 根据中国证券监督管理委员会《关于同意上海新相微电子股份有限公司首次 公开发行股票注册的批复》（证监许可〔2023〕731 号），同意公司首次公开发 行股票 ...

证券代码：688593 证券简称：新相微 公告编号：2023-013 上海新相微电子股份有限公司 关于设立全资子公司完成工商登记并取得营业执照 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。 一、 对外投资概述 近日，该全资子公司已完成工商登记，并取得由上海市徐汇区市场监督管理 局颁发的《营业执照》，具体登记信息如下： 公司名称：上海新相技术有限公司 统一社会信用代码：91310104MACYU3407Q 类型：有限责任公司（外商投资企业法人独资） 法定代表人：Peter Hong Xiao 注册资本：人民币 10000.0000 万元整 成立日期：2023 年 09 月 18 日 住所：上海市徐汇区虹漕路 25-1 号 2 楼 上海新相微电子股份有限公司（以下简称"公司"）分别于 2023 年 5 月 4 日、 2023 年 5 月 25 日召开第一届董事会第十五次会议、2022 年年度股东大会审议通 过了《关于公司拟设立子公司的议案》，同意公司在上海市徐汇区设立全资子公 司。因上述会议均在公司上市前召开，故相关 ...

| 股东名称 | 是 否 为 控 股股东 | | 及 | 本次质押股数 | 是否为 | 是 | 否 | 质押起 | 质押到 | | 占其所 持股份 | 占公司总 | 质押融资资 | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | | | | 限售股 | 补 | 充 | | | 质权人 | | 股本比例 | | | | 其 一 致 行 | | | （股） | | | | 始日 | 期日 | | 比例 | | 金用途 | | | 动人 | | | | 东 | 质押 | | | | | | | | | | | | | | | | | | | 深圳市 | | | | | 科宏芯（香 | | | | | 是（首 | | | 2023年 | 2024年 | 深担增 | | | | | 港）有限公 | | 否 | | 10,000,000 | 发限售 | 否 | | 9月14 | 9月14 | 信融资 | 32.34% | 2.18% | 融资担保 | | 司 | | | | | 股） | ...

Company Overview - The company focuses on the research, design, and sales of display chips, providing complete display chip system solutions[12]. - The company adopts a Fabless manufacturing model, outsourcing production, packaging, and testing to specialized manufacturers[13]. - Major suppliers include Zhixin Technology, Jinghe Integrated, Silterra, and Huicheng Co., ensuring a robust supply chain[13]. - The sales model primarily consists of direct sales to downstream panel and module manufacturers, supplemented by a distribution model[14]. - The company has established strong partnerships with leading panel manufacturers such as BOE and Tianma, as well as well-known domestic module manufacturers[16]. Technology and Innovation - As of June 30, 2023, the company possesses 14 core technologies, enhancing product quality, adaptability, low power consumption, reliability, and cost-effectiveness[17]. - The company’s image compression technology is competitive, allowing for reduced chip area and lower costs compared to traditional methods[17]. - The low power consumption technology utilizing charge recovery is a domestic leader, significantly reducing power usage[17]. - The company aims to enhance market responsiveness and supply capability through innovative designs that reduce the number of photomasks in chip manufacturing[17]. - The company has developed a new technology for narrow bezel panel chip design, primarily used for mobile display panels, enhancing competitiveness[22]. - The company has introduced a technology for intelligent dynamic compensation in AMOLED displays, improving display quality and yield[9]. - The company has achieved a significant reduction in chip development and manufacturing costs through innovations in 8V AMOLED driver technology[8]. - The company is focusing on expanding its product line, including integrated and separated products for industrial control applications and high-resolution wearable driver products[54]. - The company is enhancing its core technologies to reduce chip area and production costs while improving display quality through various innovative techniques[71]. - The company plans to expand its product line and increase investment in R&D, focusing on emerging fields such as automotive electronics and Mini-LED display chips[71]. Research and Development - The total R&D investment for the first half of 2023 was approximately ¥21.99 million, a 1.23% increase compared to ¥21.73 million in the same period last year[26]. - R&D investment accounted for 10.03% of operating revenue, an increase of 0.11 percentage points from 9.92% in the previous year[28]. - The number of R&D personnel increased to 91, accounting for 57.59% of the total workforce, up from 52.52% in the previous year[41]. - Total R&D personnel compensation rose to 16.13 million RMB, while average compensation per R&D employee decreased to 37.50 thousand RMB[41]. - The company is currently working on several projects, including a low-power QVGA display driver chip with a total investment of ¥28.49 million, which has received ¥1.26 million in funding so far[33]. - The external RAM FHD AMOLED integrated display driver chip project has a total investment of ¥30.57 million, with ¥2.68 million invested to date[33]. Financial Performance - The company achieved total operating revenue of 219.30 million RMB, remaining stable compared to the same period last year, with a sales volume increase of 46.73%[53]. - Net profit attributable to shareholders decreased by 55.79% to 34.84 million RMB, primarily due to macroeconomic factors and a downturn in the semiconductor industry[53]. - The company reported a quarter-on-quarter revenue increase of 5.48% and a net profit increase of 17.84%[53]. - For the first half of 2023, the company's operating revenue was CNY 219,295,756.95, a slight increase of 0.09% compared to the same period last year[60]. - The net profit attributable to shareholders decreased by 55.79% year-on-year to CNY 34,838,536.39, primarily due to a decline in prices despite an increase in shipment volume[60]. - The net profit after deducting non-recurring gains and losses fell by 62.20% year-on-year to CNY 27,185,382.83[60]. - The net cash flow from operating activities turned positive, amounting to CNY 74,448,507.43, attributed to improved inventory management[60]. - As of June 30, 2023, the net assets attributable to shareholders increased by 147.04% to CNY 1,603,512,444.75, driven by funds raised from the company's IPO[60]. - Total assets grew by 138.21% year-on-year to CNY 1,763,863,373.69[60]. - The basic earnings per share decreased by 57.48% to CNY 0.091, while diluted earnings per share also fell by the same percentage[60]. - The operating cost increased significantly by 55.18%, reaching CNY 156,614,631.65, compared to CNY 100,922,849.15 in the previous year[113]. - The net cash flow from operating activities was CNY 74,448,507.43, a substantial improvement from a negative cash flow of CNY -17,800,384.78 in the same period last year[106]. - Research and development expenses rose by 1.23% to CNY 21,998,972.71, compared to CNY 21,731,995.84 in the previous year[106]. - The company is facing market challenges due to a downturn in the semiconductor cycle and low demand for consumer electronics, impacting overall revenue stability[106]. Market and Competitive Landscape - The competitive landscape in the domestic display chip market is intensifying, requiring the company to adapt quickly to market dynamics and customer needs[127]. - The overall market sentiment remains low, continuing from the second half of 2022, which may adversely affect demand for display chips[119]. - The company has invested heavily in R&D, but faces risks related to the commercialization of display technologies and market acceptance of new products[125]. Governance and Compliance - The company has received a national-level recognition as a "specialized and innovative" small giant enterprise in 2022[23]. - There were no significant changes in the company's governance structure or special arrangements during the reporting period[86]. - The company has not experienced any non-operating fund occupation by controlling shareholders or related parties[87]. - The company did not propose any profit distribution plan or capital reserve transfer to share capital during the reporting period[86]. - The financial report for the first half of 2023 has not been audited[85]. - The company emphasizes the importance of risk factors and advises investors to be cautious regarding investment risks[84]. - The company’s stock is listed on the Shanghai Stock Exchange under the code 688593[77]. Sustainability and Environmental Commitment - The company is committed to reducing carbon emissions and has implemented measures to promote high-efficiency and high-integration products, effectively lowering power consumption during production and usage[145]. - The company emphasizes sustainable development and actively engages in green activities to enhance environmental awareness and promote ecological protection[144]. - The company is dedicated to promoting green initiatives and reducing its carbon footprint through innovative product development[145]. - The company has engaged in various green activities to foster a better ecological environment as part of its operational strategy[144]. Shareholder Commitments and Stock Management - The actual controller, Peter Hong Xiao, has committed to not transferring or managing shares for 36 months post-IPO, with specific conditions for share reduction thereafter[148]. - The company has established a lock-up period for its shares, which will automatically extend if the stock price falls below the issue price for a specified duration[158]. - The company is focused on maintaining compliance with legal regulations regarding share transfers by major shareholders and actual controllers[158]. - The company has a commitment to not propose repurchase of shares during the lock-up period, ensuring stability in shareholding[158]. - The company has outlined specific commitments regarding share transfer limitations for its core technical personnel to ensure long-term stability[154]. - The company has a policy that prohibits the transfer of shares by directors, supervisors, and senior management for 12 months post-IPO, with additional restrictions for 6 months after leaving their positions[171]. - The company will not repurchase shares during the lock-up period and must comply with relevant laws and regulations regarding share transfers[168]. - The company’s profit distribution policy is aligned with its long-term growth strategy post-IPO[170]. - The company has outlined specific conditions for share reduction after the lock-up period, ensuring that the reduction price will not be lower than the issue price[171]. - The company has committed to avoiding competition with its subsidiaries, ensuring no direct or indirect engagement in competing businesses both domestically and internationally[175]. - The commitment includes not investing in or acquiring competing enterprises, maintaining a focus on its core business operations[175]. - The company has established measures for stock price stabilization, including stock buybacks if the stock price falls below the audited net asset value per share for 20 consecutive trading days[186]. - If stock buybacks are not feasible, the first major shareholder and actual controller will increase their holdings in the company[188]. - The company will prioritize stock buybacks as the first option for stabilizing stock prices, followed by share purchases by major shareholders[188]. - The commitment to avoid related party transactions aims to ensure fair pricing and protect the interests of the company and its shareholders[182]. - The actual controller has pledged to promote compliance with these commitments among closely related family members and controlled enterprises[182]. - The company will redirect any business opportunities that may compete with its core operations to its subsidiaries[175]. - The commitment to avoid competition is effective from May 30, 2022, and will remain in force as long as the actual controller holds significant influence over the company[175]. - The company has outlined a structured approach for implementing stock buyback measures, including specific conditions under which these measures will be activated[188]. - The company plans to repurchase shares, with the total amount not exceeding 20% of the audited net profit attributable to shareholders from the previous fiscal year[190]. - The repurchase will be funded by the company's own funds, and the price will not exceed the audited net asset value per share from the last fiscal year[190]. - If the stock price exceeds the audited net asset value per share for three consecutive trading days, the repurchase plan will be terminated[194]. - The first major shareholder and actual controller will submit a plan to increase their holdings within 30 days if the repurchase is not approved[197]. - The amount for the first major shareholder's stock increase will not exceed the after-tax cash dividends received from the company in the previous year[197]. - The company has strengthened its governance system and risk management, enhancing internal control levels during the reporting period[196]. - The company is committed to ensuring that the public offering of shares does not involve any fraudulent issuance[194]. - The company will implement stock repurchase measures if the stock price stabilization conditions are met[197]. - The board of directors and senior management will also have the opportunity to increase their holdings under specific conditions[197].

关于上海新相微电子股份有限公司 2023 半年度持续督导跟踪报告 中国国际金融股份有限公司（以下简称"中金公司"或"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 海证券交易所上市公司自律监管指引第 11 号——持续督导》等相关规定对上海新 相微电子股份有限公司进行持续督导工作，并出具本持续督导半年度跟踪报告。 一、持续督导工作情况 | 序号 | 工作内容 | 持续督导情况 | 保荐机构已建立健全并 | | | --- | --- | --- | --- | --- | | 建立健全并有效执行持续督导工作制度，并针对具体 | 有效执行了持续督导制 | 1 | 的持续督导工作制定相应的工作计划 | 度，并制定了相应的工 | | 作计划 | 保荐机构已与新相微签 | | | | | 根据中国证监会相关规定，在持续督导工作开始前， | 订《保荐协议》，该协 | 与上市公司或相关当事人签署持续督导协议，明确双 | 议明确了双方在持续督 | | | 2 | 方在持续督导期间的权利义务，并报上海证券交易所 | 导期间的权利和义务， | | | | 备案 | 并报上海证券交易 ...

证券代码：688593 证券简称：新相微 公告编号：2023-009 上海新相微电子股份有限公司 第一届监事会第十二次会议决议公告 本公司监事会及全体监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。 一、监事会会议召开情况 上海新相微电子股份有限公司（以下简称"公司"）于 2023 年 8 月 24 日在 公司大会议室以现场结合通讯的方式召开了第一届监事会第十二次会议，本次会 议的通知已于 2023 年 8 月 14 日以电话及邮件方式送达全体监事。本次会议由监 事会主席吴燕女士召集并主持，会议应出席监事 3 人，实际出席监事 3 人。 本次会议的召集、召开符合《中华人民共和国公司法》等法律、法规、规范 性文件及《公司章程》的有关规定，会议形成的决议合法、有效。 二、监事会会议审议情况 经与会监事认真审议，本次会议审议通过了以下议案： （一）审议通过《关于公司 2023 年半年度报告全文及摘要的议案》 监事会认为：公司 2023 年半年度报告及其摘要的编制和审议程序符合相关 法律、法规及《公司章程》等内部规章制度的规定，报告的内容和格式符合中 ...

证券代码：688593 证券简称：新相微 公告编号：2023-010 上海新相微电子股份有限公司 2023 年半年度募集资金存放与实际使用情况的专项 报告 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。 根据《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》《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 海证券交易所科创板股票上市规则》等有关法律、法规及相关文件的规定，上 海新相微电子股份有限公司（以下简称"公司"或"本公司"）就2023年半年 度募集资金存放与实际使用情况专项报告说明如下： 一、募集资金基本情况 （一）实际募集资金金额和资金到账时间 根据中国证券监督管理委员会《关于同意上海新相微电子股份有限公司首次 公开发行股票注册的批复》（证监许可〔2023〕731 号），同意公司首次公开发 行股票的注册申请。并经上海证券交易所同意，公司首次向社会公开发行人民币 普通股（A 股）股票 9,190.5883 万股，本次发行价格为每股人民币 11.18 元， 募集资金总额为人民币 10 ...