关于 北京凯因科技股份有限公司 调整2021年限制性股票激励计划授予价格相 关事项的 法律意见书 中国·深圳 深圳市福田区益田路 6001 号太平金融大厦 11、12 楼 中国 深圳 福田区 益田路6001号太平金融大厦11、12楼 邮政编码：518038 11F/12F., Taiping Finance Tower, 6001 Yitian Road, Futian District, Shenzhen, P.R. China 518038 电话(Tel.)：(0755) 8826 5288 传真(Fax.)：(0755) 8826 5537 网址（Website）：https://www.sundiallawfirm.com 广东信达律师事务所 关于北京凯因科技股份有限公司 调整 2021 年限制性股票激励计划授予价格相关事项的 法律意见书 信达励字（2023）第 098 号 致：北京凯因科技股份有限公司 广东信达律师事务所（以下简称"信达"）接受北京凯因科技股份有限公司 （以下简称"公司"或"凯因科技"）的委托，担任公司 2021 年限制性股票激 励计划（以下简称"本激励计划"）的专项法律顾问，根据《 ...

证券代码：688687 证券简称：凯因科技 公告编号：2023-039 北京凯因科技股份有限公司 第五届董事会第十八次会议决议公告 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、董事会会议召开情况 北京凯因科技股份有限公司（以下简称"公司"）第五届董事会第十八次会 议于2023年8月24日在公司会议室以现场结合通讯表决方式召开，会议通知于 2023年8月14日以电子邮件、电话方式送达。会议应出席董事9名，实际出席董事 9名。会议由董事长周德胜先生主持。公司监事、高级管理人员列席了本次会议。 会议的召集、召开程序符合《公司法》和《公司章程》的相关规定。 二、董事会会议审议情况 会议以投票表决方式审议并通过了如下决议： （一）审议通过了《关于公司 2023 年半年度报告及摘要的议案》 公司 2023 年半年度报告及摘要的编制符合相关法律法规及《公司章程》等内 部规章制度的规定。2023 年半年度报告及摘要真实、准确地反映了公司 2023 年 半年度财务状况、经营成果和现金流量状况等事项。 表决结果：同意 9 票，反对 0 ...

二、关于调整 2021 年限制性股票激励计划授予价格的独立意见 我们认为：公司本次对 2021 年限制性股票激励计划授予价格(含预留部分授 予)的调整符合《上市公司股权激励管理办法》等法律法规及公司《2021 年限制 性股票激励计划（草案）》中关于激励计划调整的相关规定，本次调整在公司 2020 年年度股东大会授权范围内，调整的程序合法合规，不存在损害公司及股东利益 的情形。我们同意公司将 2021 年限制性股票激励计划授予价格(含预留部分授予) 由 13.61 元/股调整为 13.41 元/股。 （以下无正文） 北京凯因科技股份有限公司 独立董事关于第五届董事会第十八次会议 相关事项的独立意见 根据《公司法》《证券法》《上海证券交易所科创板股票上市规则》等法律法 规以及《公司章程》《独立董事工作制度》等有关规定，我们作为北京凯因科技 股份有限公司（以下简称"公司"）的独立董事，本着认真、负责的态度，基于 独立、审慎、客观的立场，仔细审阅了公司第五届董事会第十八次会议的相关议 案，现发表如下独立意见： 一、关于公司 2023 年半年度募集资金存放与使用情况的独立意见 我们认为：公司严格按照《上市公司监管指引第 ...

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 北京凯因科技股份有限公司（以下简称"公司"）第五届监事会第十二次会 议于2023年8月24日以现场结合通讯表决方式在公司会议室召开，会议通知于 2023年8月14日以电子邮件、电话方式送达。会议应出席监事3名，实际出席监事 3名。会议由监事会主席吴珂女士主持。会议的召集、召开符合《公司法》和《公 司章程》的有关规定。 二、监事会会议审议情况 证券代码：688687 证券简称：凯因科技 公告编号：2023-040 北京凯因科技股份有限公司 第五届监事会第十二次会议决议公告 经审核，监事会认为公司2023年半年度募集资金存放和实际使用情况符合 《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》及公司《募集资金管理制度》等相关法律法规和制度文 件的规定，对募集资金进行了专户存储和专户使用，并及时履行了相关信息披露 义务，募集资金具体使用情况与 ...

证券代码：688687 证券简称：凯因科技 公告编号：2023-041 北京凯因科技股份有限公司 2023 年半年度募集资金存放与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。 北京凯因科技股份有限公司（以下简称"公司"）根据中国证券监督管理委员 会《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股票上市规则》以及《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》等相关规定，编制了《北京凯因科技股份有限公司 2023年半年度募集资金存放与使用情况的专项报告》。内容如下： 截至2023年6月30日，公司累计使用募集资金431,049,397.19元（包括置换预 先投入金额），2023年1-6月使用募集资金21,384,960.60元，募集资金余额为 310,933,507.83元，具体情况如下： | 项目 | 金额(元) | | --- | --- | | 实际募集资金净额 | 725,866,140.61 | | 2023 年初募集资金余额 | 3 ...

证券代码：688687 证券简称：凯因科技 公告编号：2023-042 北京凯因科技股份有限公司 关于调整 2021 年限制性股票激励计划授予价格 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。 北京凯因科技股份有限公司（以下简称"公司"）于2023年8月24日召开第 五届董事会第十八次会议及第五届监事会第十二次会议，审议通过了《关于调整 2021年限制性股票激励计划授予价格的议案》,董事会同意将2021年限制性股票 激励计划(以下简称"激励计划")授予价格(含预留部分授予)由13.61元/股调 整为13.41元/股。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 （一）2021年4月20日，公司召开第四届董事会第十八次会议，审议通过了 《关于公司<2021年限制性股票激励计划（草案）>及其摘要的议案》《关于公司 <2021年限制性股票激励计划实施考核管理办法>的议案》《关于提请股东大会授 权董事会办理2021年限制性股票激励计划相关事宜的议案》等议案。公司独立董 事就激励计划相关议案发表了 ...

重要内容提示： 证券代码：688687 证券简称：凯因科技 公告编号：2023-028 北京凯因科技股份有限公司 关于召开 2022 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。 三、参加人员 董事长兼总经理：周德胜先生 北京凯因科技股份有限公司（以下简称"公司"）已于 2023 年 4 月 22 日发 布公司 2022 年年度报告，为便于广大投资者更全面深入地了解公司 2022 年度经 营成果、财务状况，公司计划于 2023 年 05 月 10 日下午 15:00-16:00 举行 2022 年度业绩说明会，就投资者关心的问题进行交流。 一、说明会类型 本次投资者说明会以网络互动形式召开，公司将针对2022年度的经营成果及 财务指标的具体情况与投资者进行互动交流和沟通，在信息披露允许的范围内就 投资者普遍关注的问题进行回答。 二、说明会召开的时间、地点 会议召开时间：2023 年 05 月 10 日(星期三)下午 15:00-16:00。 会 议 召 开 地 点 ： 上 海 证 券 交 易 所 上 ...

Financial Performance - The company's operating revenue for Q1 2023 was CNY 192,744,105.30, representing a year-on-year increase of 12.34%[3] - The net profit attributable to shareholders decreased by 15.10% to CNY 21,139,765.72[3] - The net profit attributable to shareholders after deducting non-recurring gains and losses increased by 52.88% to CNY 21,172,408.04[3] - The basic earnings per share for the period was CNY 0.12, down 20.00% year-on-year[3] - Net profit for Q1 2023 was CNY 22,354,935.04, a decrease of 4.1% from CNY 23,305,114.70 in Q1 2022[19] - Total comprehensive income for Q1 2023 was CNY 22,357,905.32, slightly lower than CNY 23,295,809.15 in Q1 2022[20] Cash Flow - The net cash flow from operating activities was negative at CNY -91,540,826.82, a decrease of 264.28% compared to the previous year[3] - Cash flow from operating activities showed a net outflow of CNY -91,540,826.82 in Q1 2023, compared to a net inflow of CNY 55,722,465.48 in Q1 2022[23] - The net cash flow from investment activities was $140,779,144.98, compared to a negative cash flow of $932,482.69 in the previous year[25] - Total cash and cash equivalents at the end of the period amounted to $768,801,017.14, up from $720,692,506.40 at the beginning of the period[25] - Cash flow from financing activities resulted in a net outflow of $643,848.08, with cash paid for dividends and interest totaling $95,000.00[25] - The cash flow from investment activities saw an inflow of $627,408,629.14, significantly higher than the previous year's inflow of $80,537,500.28[25] - The cash outflow from investment activities was $486,629,484.16, compared to $81,469,982.97 in the same period last year[25] - The total cash and cash equivalents increased by $48,108,510.74 during the quarter[25] - The cash balance at the end of the period reflects a strong liquidity position for the company[25] Assets and Liabilities - Total assets at the end of the reporting period were CNY 2,148,238,860.72, a decrease of 2.78% from the end of the previous year[4] - The company's total liabilities decreased to RMB 444,090,790.95 from RMB 527,934,808.32, representing a reduction of about 15.9%[17] - The company's accounts receivable decreased to RMB 311,048,969.52 from RMB 333,297,094.96, indicating a decline of about 6.7%[15] - Inventory increased to RMB 167,939,662.52 from RMB 148,810,966.21, reflecting a rise of approximately 12.8%[15] - The company's equity attributable to shareholders rose to RMB 1,696,699,484.68 from RMB 1,675,556,748.68, an increase of about 1.3%[17] - The company's non-current assets totaled RMB 466,083,277.18, up from RMB 414,849,777.25, indicating an increase of approximately 12.3%[16] - Short-term borrowings decreased to RMB 10,686,242.00 from RMB 13,993,588.00, a decline of about 23.3%[16] - The company's total current liabilities decreased to RMB 396,437,608.90 from RMB 479,150,431.66, representing a reduction of approximately 17.2%[16] - The company reported a net profit increase in retained earnings to RMB 277,415,440.78 from RMB 256,275,675.06, reflecting a growth of about 8.4%[17] Research and Development - Research and development expenses totaled CNY 28,649,289.27, down 11.48% year-on-year, accounting for 14.86% of operating revenue, a decrease of 4 percentage points[4] - Research and development expenses increased to CNY 23,075,845.01 in Q1 2023, compared to CNY 21,549,143.45 in Q1 2022, marking an increase of 7.1%[19] - The company anticipates continued focus on R&D and market expansion strategies in the upcoming quarters[19] Shareholder Information - The company reported a total of 7,080 common shareholders at the end of the reporting period[10] - The top shareholder, Beijing Song'an Investment Management Co., Ltd., holds 22.47% of the shares, totaling 38,400,000 shares[11]

Financial Performance - The company reported a significant increase in revenue, achieving a total of 1.2 billion RMB, representing a 25% year-over-year growth [19]. - The company's operating revenue for 2022 was CNY 1,159,973,577.75, representing a 1.36% increase compared to CNY 1,144,356,833.98 in 2021 [25]. - The net profit attributable to shareholders for 2022 was CNY 83,407,819.44, a decrease of 22.26% from CNY 107,289,593.92 in 2021 [25]. - The basic earnings per share for 2022 was CNY 0.49, down 25.76% from CNY 0.66 in 2021 [26]. - The company's total assets at the end of 2022 were CNY 2,209,724,972.77, an increase of 1.47% from CNY 2,177,739,352.76 at the end of 2021 [25]. - The net cash flow from operating activities for 2022 was CNY 134,048,463.67, a 13.66% increase from CNY 117,938,941.70 in 2021 [25]. - The company achieved a total revenue of ¥1,159,973,577.75 in 2022, representing a year-on-year growth of 1.36% [92]. - The net profit attributable to shareholders decreased by 22.26% to ¥83,407,819.44 in 2022 [92]. - The company's total assets increased by 1.47% to ¥2,209,724,972.77 by the end of 2022 [92]. - The net cash flow from operating activities rose by 13.66% to ¥134,048,463.67 [92]. Research and Development - Research and development expenses accounted for 13.23% of operating revenue in 2022, an increase of 5.94 percentage points from 7.29% in 2021 [27]. - The company's R&D investment significantly increased to CNY 153.47 million, up 83.88% from the previous year, accounting for 13.23% of total revenue, an increase of 5.94 percentage points [34]. - The company has developed a multi-target, multi-mechanism R&D pipeline for the treatment of viral hepatitis B, including projects KW-001, KW-027, and KW-040 [55]. - The company’s R&D investment accounted for 13.23% of its operating revenue, which is higher than the industry average of 10.56% [135]. - The company has established a strong biopharmaceutical technology platform, participating in 7 national major science and technology projects [73]. - The company is focusing on innovative drug development for hepatitis B functional cure and immune disease treatment [128]. - The company has received multiple clinical trial approval notices for its products, including the interferon α2b spray for treating viral infections in children [131]. - The company has established partnerships with two leading research institutions to accelerate innovation in drug development [174]. Market Expansion and Strategy - The company is expanding its market presence in Southeast Asia, targeting a 15% market share within the next two years [19]. - The company plans to expand its mature product sales and enhance brand influence through targeted marketing strategies in hospitals and cancer screening initiatives [154]. - Market expansion plans include entering three new international markets by the end of 2023 [170]. - The company is considering strategic acquisitions to bolster its product portfolio, with a budget of 300 million RMB allocated for potential deals [174]. - The company’s sales strategy includes collaboration with qualified pharmaceutical distributors and contract sales organizations (CSOs) to enhance academic promotion and clinical application of new products [44]. Dividend and Shareholder Information - The company plans to distribute a cash dividend of 2 CNY per 10 shares, totaling approximately 33.57 million CNY, which represents 40.25% of the net profit attributable to shareholders [6]. - The total share capital as of December 31, 2022, is 170,908,422 shares, with 167,872,598 shares being the basis for the dividend distribution after accounting for repurchased shares [6]. - The company has established a cash dividend policy, proposing to distribute at least 30% of the average distributable profit over any three consecutive years [199]. - The company’s cash dividend distribution is contingent upon having positive net profits and meeting operational funding needs [198]. Corporate Governance - The company has established a comprehensive governance structure, including a board of directors with four specialized committees to enhance decision-making efficiency [158]. - The company has maintained compliance with relevant laws and regulations regarding corporate governance, ensuring a robust operational framework [158]. - The company’s governance practices align with the requirements set forth by the China Securities Regulatory Commission, demonstrating adherence to regulatory standards [158]. - The company has not faced any major conflicts of interest or competitive issues with its controlling shareholders, maintaining a clear operational focus [159]. - All proposals at the shareholder meetings held in 2022 were approved without any dissenting resolutions, indicating strong shareholder support [161]. Product Development and Innovation - New product launches included two innovative drugs, expected to contribute approximately 200 million RMB in revenue in the next year [19]. - The company is focusing on the development of innovative drugs for functional cure of hepatitis B, with ongoing clinical trials for multiple projects [39]. - The company has developed a range of antiviral and immune-modulating products, including proprietary drugs like Paiyisheng® and Kainyisheng®, which are included in national essential drug lists and insurance directories [41]. - The company has successfully developed a pan-genotype oral drug series for hepatitis C, breaking the monopoly of foreign pharmaceutical companies in this area [152]. Financial Risks and Challenges - The company faces risks related to new drug development, including potential clinical trial failures and regulatory changes [75]. - The company is exposed to risks from fluctuations in the supply and prices of key raw materials necessary for production [83]. - The impact of national healthcare policy changes and centralized procurement on the company's pricing and sales strategies remains a concern [88]. - The company faces risks related to the potential replacement of short-acting interferon products by long-acting interferon products in the chronic hepatitis B market [80]. Employee and Management Information - Total compensation for all directors, supervisors, and senior management at the end of the reporting period amounted to 1,621.79 million [179]. - The company has increased its R&D personnel from 89 to 128, representing 18.80% of the total workforce, up from 13.76% [71]. - The company appointed a new deputy general manager, Du Zhenqiang, during the reporting period [180]. - The company has implemented a restrictive stock incentive plan, with various executives receiving shares as part of their compensation, indicating a focus on aligning management interests with shareholder value [163].