江苏宏微科技股份有限公司 2023 年度内部控制审计报告 天衡专字(2024) 00541 号 天衡会计师事务所(特殊普通合伙) 我们的责任是在实施审计工作的基础上,对财务报告内部控制的有效性发表审计意见, 并对注意到的非财务报告内部控制的重大缺陷进行披露。 三、内部控制的固有局限性 天衡专字(2024) 00541 号 江苏宏微科技股份有限公司全体股东: 按照《企业内部控制审计指引》及中国注册会计师执业准则的相关要求,我们审计了江 苏宏微科技股份有限公司 2023年12月 31 日财务报告内部控制的有效性。 一、企业对内部控制的责任 按照《企业内部控制基本规范》、《企业内部控制应用指引》、《企业内部控制评价指 引》的规定,建立健全和有效实施内部控制,并评价其有效性是江苏宏微科技股份有限公司 董事会的责任。 二、注册会计师的责任 您可使用手机"扫一扫" 内部控制审计报告 中国注册会计师:刘述忠 0 HEHING COLUM IT HOTEL i : : * * .. . . C . . . :::: C S ß B 6 t 1:2 .... .. স i CHINES 日 . . * * :4 : - - 记 ...

江苏宏微科技股份有限公司（以下简称"公司"）根据相关法律法规和《公司 章程》等规定结合公司实际情况，在充分体现短期和长期激励相结合，个人和团 队利益相平衡的设计要求，在保障股东利益、实现公司与管理层共同发展的前提 下，综合考虑公司所处行业最新薪酬发展趋势，参考所处行业、所在地区的薪酬 水平。2024 年 4 月 25 日，公司召开了第四届董事会第三十七次会议，审议通过 了《关于公司 2024 年度董事薪酬方案的议案》及《关于公司 2024 年度高级管理 人员薪酬方案的议案》，公司于同日召开了第四届监事会第二十三次会议，审议 通过了《关于公司 2024 年度监事薪酬方案的议案》，现将议案中有关 2024 年度 董事、监事和管理管理人员的薪酬方案的具体内容公告如下： | 证券代码：688711 | 证券简称：宏微科技 | 公告编号：2024-035 | | --- | --- | --- | | 转债代码：118040 | 债券简称：宏微转债 | | 江苏宏微科技股份有限公司 关于公司 2024 年度董事、监事、高级管理人员薪酬 方案的公告 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 ...

中信证券股份有限公司 关于江苏宏微科技股份有限公司 使用银行承兑汇票、信用证及自有外汇等方式支付募投项目 资金并以募集资金等额置换的核查意见 1 1、根据项目建设进度，项目管理部门、采购部门依据相关合同明确银行承 兑汇票（或背书转让）、信用证等支付方式，并提交付款申请单进行审批。 2、按照合同需支付募投项目款项并可以使用银行承兑汇票（或背书转让）、 信用证等支付时，财务部根据审批后的付款申请单办理相应的银行承兑汇票（背 书转让）、信用证支付，并建立对应台账，按月汇总使用银行承兑汇票（或背书 转让）、信用证等方式支付资金明细表，每月月末或下月月初将汇总的明细表报 送董事长审批，经审批无异议后抄送保荐机构保荐代表人备案，并向募集资金专 户监管银行提交书面置换申请。 3、经募集资金专户监管银行审核批准，将以银行承兑汇票（或背书转让）、 信用证等支付的募投项目建设所使用的款项从募集资金账户转入公司自有账户， 并通知保荐机构保荐代表人。 4、非背书转让支付的票据到期时，公司以自有资金支付到期应付的资金， 不再动用募集资金账户的任何资金。 中信证券股份有限公司（以下简称"中信证券"或"保荐人"）作为江苏宏 微科技股份有限 ...

一、独立董事的基本情况 江苏宏微科技股份有限公司 2023 年度独立董事述职报告 江苏宏微科技股份有限公司 2023年度独立董事述职报告 本人作为江苏宏微科技股份有限公司（以下简称"公司"）的独立董事，2023 年度本人严格按照《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》（以下简称《证券法》）、《上市公司独立董事管理办法》、《上海证 券交易所科创板股票上市规则》等法律法规及《公司章程》《独立董事工作细则》 的有关规定，诚实、勤勉、独立地履行独立董事职责，积极出席相关会议，认真 审议董事会各项议案，对公司重大事项发表了独立、客观、公正的独立意见，切 实维护公司和全体股东的合法权益，促进公司规范运作，充分发挥了独立董事的 独立作用。现对本人在 2023 年度工作情况进行汇报： （一）独立董事人员情况 公司董事会由 9 名董事组成，其中独立董事 3 人，包括一名会计专业人士， 独立董事人数占董事会人数三分之一以上，符合相关法律法规及公司制度的规定。 （二）独立董事任职董事会专门委员会的情况 本人在董事会审计委员会任职召集人，在公司董事会提名委员会、董事会薪 酬与考核委员会任职委员。 （ ...

Financial Performance - The company's operating revenue for Q1 2024 was ¥246,424,021.52, representing a decrease of 25.59% compared to the same period last year[5]. - The net profit attributable to shareholders was a loss of ¥1,716,177.99, a decline of 105.56% year-over-year[5]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was a loss of ¥5,045,878.17, down 118.47% from the previous year[5]. - The basic earnings per share for the period was -¥0.01, reflecting a decrease of 104.55%[6]. - Net profit for Q1 2024 was a loss of ¥3.11 million, compared to a net profit of ¥30.89 million in Q1 2023, representing a significant decline[20]. - Operating profit for Q1 2024 was a loss of ¥4.47 million, compared to a profit of ¥29.93 million in Q1 2023[20]. Research and Development - Research and development expenses totaled ¥25,807,674.59, accounting for 10.47% of operating revenue, an increase of 3.78 percentage points[6]. - Research and development expenses increased to ¥25.81 million in Q1 2024, up from ¥22.16 million in Q1 2023, indicating a focus on innovation[19]. Assets and Liabilities - Total assets at the end of the reporting period were ¥2,385,469,069.86, a decrease of 4.16% from the end of the previous year[6]. - The company's current assets totaled RMB 1,196,194,030.31, down from RMB 1,349,345,624.93, indicating a decrease of about 11.4%[15]. - The company's total liabilities decreased from RMB 1,346,195,875.64 to RMB 1,238,747,208.58, a decline of approximately 8.0%[17]. - The company's equity attributable to shareholders increased slightly from RMB 1,144,780,683.31 to RMB 1,146,097,176.70, reflecting a growth of about 0.1%[17]. Cash Flow - The net cash flow from operating activities was ¥39,078,925.17, with a significant reduction attributed to decreased raw material procurement[8]. - Cash flow from operating activities for Q1 2024 was ¥39.08 million, a significant improvement from a negative cash flow of ¥69.64 million in Q1 2023[23]. - Cash and cash equivalents at the end of Q1 2024 were ¥184.36 million, compared to ¥165.68 million at the end of Q1 2023[23]. - Investment activities resulted in a net cash outflow of ¥39.14 million in Q1 2024, compared to a smaller outflow of ¥11.85 million in Q1 2023[23]. - Financing activities led to a net cash outflow of ¥3.65 million in Q1 2024, contrasting with a net inflow of ¥61.01 million in Q1 2023[23]. Shareholder Information - The total number of common shareholders at the end of the reporting period was 10,035[10]. - The company plans to repurchase shares with a total amount not less than RMB 25 million and not exceeding RMB 50 million, with a maximum repurchase price of RMB 46.99 per share[12]. - The company has not yet conducted any share repurchases as of March 31, 2024[13]. Inventory and Borrowings - The company reported a significant increase in inventory from RMB 462,538,345.87 to RMB 494,871,985.49, an increase of approximately 7.0%[15]. - The company’s short-term borrowings rose from RMB 272,248,989.95 to RMB 293,093,818.17, an increase of about 7.6%[16]. Accounting Standards - The company has adopted new accounting standards starting from 2024, impacting the financial statements from the beginning of the year[24].

江苏宏微科技股份有限公司 第二条 公司选聘会计师事务所对财务会计报告发表审计意见、出具审计报告的行为， 需遵照本制度的规定。选聘会计师事务所从事除财务会计报告审计之外的其他法定审计业务 的，公司管理层视重要性程度可参照本制度执行。 第三条 公司选聘会计师事务所应当经董事会审计委员会（以下简称"审计委员会"）审 议同意后，提交董事会审议，并由股东大会决定。 第二章 会计师事务所执业质量要求 第四条 公司选聘的会计师事务所应当具备下列条件： （一）具有独立的法人资格，具备国家行业主管部门和中国证监会规定的开展证券期货 相关业务所需的执业资格； （二）具有固定的工作场所、健全的组织机构和完善的内部管理和控制制度； （三）熟悉国家有关财务会计方面的法律法规、规章和政策； 会计师事务所选聘制度 第一章 总则 第一条 为进一步规范江苏宏微科技股份有限公司（以下简称"公司"）选聘（含续聘、 改聘，下同）会计师事务所相关行为，切实维护股东利益，提高审计工作和财务信息的质量， 依据《中华人民共和国公司法》《国有企业、上市公司选聘会计师事务所管理办法》《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 ...

本人作为江苏宏微科技股份有限公司（以下简称"公司"）的独立董事，2023 年度本人严格按照《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》（以下简称《证券法》）、《上市公司独立董事管理办法》、《上海证 券交易所科创板股票上市规则》等法律法规及《公司章程》《独立董事工作细则》 的有关规定，诚实、勤勉、独立地履行独立董事职责，积极出席相关会议，认真 审议董事会各项议案，对公司重大事项发表了独立、客观、公正的独立意见，切 实维护公司和全体股东的合法权益，促进公司规范运作，充分发挥了独立董事的 独立作用。现对本人在 2023 年度工作情况进行汇报： 一、独立董事的基本情况 （一）独立董事人员情况 公司董事会由 9 名董事组成，其中独立董事 3 人，包括一名会计专业人士， 独立董事人数占董事会人数三分之一以上，符合相关法律法规及公司制度的规定。 江苏宏微科技股份有限公司 2023 年度独立董事述职报告 江苏宏微科技股份有限公司 2023年度独立董事述职报告 （二）独立董事任职董事会专门委员会的情况 本人在董事会提名委员会任职召集人，在公司董事会审计委员会、董事会战 略委员会任职委员。 （三）个 ...

中信证券股份有限公司 关于江苏宏微科技股份有限公司 2023 年度募集资金存放与实际使用情况的专项核查意见 中信证券股份有限公司（以下简称"中信证券"）作为江苏宏微科技股份有 限公司（以下简称"宏微科技"或"公司"）持续督导保荐人，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 律法规和规范性文件的要求，经审慎核查，就宏微科技 2023 年度募集资金存放 与实际使用情况进行了审慎核查，发表意见如下： 一、募集资金基本情况 （一）实际募集资金的金额和资金到账情况 1、首次公开发行募集资金 根据中国证券监督管理委员会《关于同意江苏宏微科技股份有限公司首次公 开发行股票注册的批复》（证监许可〔2021〕2317 号）同意，江苏宏微科技股 份有限公司（以下简称"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 24,623,334 股， 本次发行价格为每股人民币27. ...

江苏宏微科技股份有限公司 2023年度会计师事务所履职情况评估报告 江苏宏微科技股份有限公司（以下简称"公司"）聘请天衡会计师事务所 （特殊普通合伙）（以下简称"天衡会计师"）作为公司 2023 年度年报审计机构。 根据财政部、国资委及证监会颁布的《国有企业、上市公司选聘会计师事务所 管理办法》，公司对天衡会计师 2023 年审计过程中的履职情况进行评估。经评 估，公司认为天衡会计师资质等方面合规有效，履职保持独立性，勤勉尽责， 公允表达意见，具体情况如下： 一、资质条件 天衡会计师于 2013年 11月成立，发展历史可以追溯到上世纪八十年代。在 30 多年的发展历程中，天衡会计师伴随着中国经济一起发展，伴随着客户一起 成长，经过几代人的努力，天衡会计师已经发展成为拥有18家分所，超过1,000 多名专业人员的综合性会计师事务所。天衡会计师总部设在江苏省南京市，注 册地址为南京市建邺区江东中路 106 号 1907 室。截至 2023 年末拥有合伙人 85 人，首席合伙人为郭澳先生。天衡会计师拥有财政部颁发的会计师事务所执业 资格，是中国首批获得证券期货相关业务资格事务所之一，在证券业务服务方 面具有丰富的执 ...

Financial Performance - The company achieved operating revenue of ¥1,504,739,437.22 in 2023, a year-on-year increase of 62.48%[27]. - Net profit attributable to shareholders reached ¥116,194,855.57, up 47.63% compared to the previous year[27]. - The net profit after deducting non-recurring gains and losses was ¥100,770,322.88, reflecting a 66.90% increase year-on-year[27]. - Basic earnings per share were ¥0.7655, an increase of 47.52% from the previous year[26]. - Total assets at the end of 2023 amounted to ¥2,488,990,937.42, a 47.37% increase from the beginning of the year[27]. - The company reported a negative cash flow from operating activities of ¥-147,651,161.78, primarily due to some sales payments being in acceptance bills[28]. - The gross profit margin for the main business was 21.87%, with raw material costs accounting for over 78% of total costs[84]. - The company reported a net cash flow from operating activities impacted by sales receivables used for long-term asset payments[90]. Research and Development - The company’s R&D investment accounted for 7.18% of operating revenue, up from 6.94% in the previous year[27]. - In 2023, the company increased R&D investment to 108.10 million yuan, accounting for 7.18% of revenue, a year-on-year growth of 68.17%[43]. - The number of R&D personnel reached 176, a year-on-year increase of 28.47%, with 32 holding master's or doctoral degrees, representing 18.18% of the total[43]. - The company has developed several core technologies, including trench structure and field stop technology, which enhance the performance and reliability of power semiconductor chips[62]. - The company has made breakthroughs in high-efficiency rectifier diode technology, improving reverse recovery characteristics suitable for IGBT applications[62]. - The company has developed over 120 new products in 2023, with a total of 132 patents, including 41 invention patents[43]. - The company has established a comprehensive R&D management system to strengthen the management of R&D organizations and processes[61]. Corporate Governance - The company has not disclosed any special arrangements for corporate governance, suggesting standard governance practices are in place[8]. - The company has confirmed that all board members are able to guarantee the authenticity, accuracy, and completeness of the annual report, ensuring accountability[10]. - The company maintains a clear governance structure with independent operations from its controlling shareholder, ensuring no non-operational fund occupation[157]. - The board of directors convened 13 meetings, consisting of 9 members, including 3 independent directors, complying with legal requirements[156]. - The supervisory board held 9 meetings, with 3 supervisors, including 1 employee representative, fulfilling legal obligations[156]. - All resolutions from the general meetings were passed without any objections, confirming the legality and validity of the voting procedures[159]. Market and Industry Trends - The power semiconductor industry is experiencing stable growth, driven by applications in electric vehicles, renewable energy, and smart grids, with a focus on achieving carbon neutrality[55]. - The domestic industrial control IGBT market size was approximately 8.69 billion yuan in 2022, expected to reach 9.9 billion yuan by 2025[140]. - In 2023, China's electric vehicle production reached 9.587 million units and sales reached 9.495 million units, with year-on-year growth of 35.8% and 37.9% respectively, capturing a market share of 31.6%[141]. - The market size of SiC power devices is projected to reach 8.906 billion USD by 2028, with a compound annual growth rate of nearly 31% from 2022 to 2028[142]. Risk Management - The company has outlined various operational risks and corresponding mitigation strategies in the report, emphasizing the importance of risk management[4]. - The company faces risks related to reliance on key suppliers for core materials, which could impact product availability and operational performance[83]. - The company is exposed to market competition risks, particularly from established international players in the semiconductor industry[85]. - The company has established a comprehensive internal control system for its foreign exchange forward trading business to mitigate risks associated with currency fluctuations[129]. Strategic Initiatives - The company plans to continue expanding its production capacity and order intake to sustain revenue growth[27]. - The company aims to enhance R&D efforts for high-power chips and modules, focusing on standard and customized product development for the electric vehicle and renewable energy sectors[146]. - The company plans to expand its international market sales network and develop new growth areas[148]. - The company is actively expanding its market presence by leveraging partnerships with leading clients and enhancing its product offerings to meet diverse customer needs[57]. Employee and Management - The total remuneration for all directors, supervisors, and senior management at the end of the reporting period amounted to RMB 5.3131 million[177]. - The company has established a performance-based incentive evaluation system and offers annual performance bonuses based on employee performance and company results[196]. - The company has a comprehensive internal training system aimed at enhancing employee skills and management capabilities[198]. - The company has increased its R&D personnel to 176, representing 18.13% of the total workforce, compared to 137 and 19.91% in the previous period[77]. Acquisitions and Investments - The company completed the acquisition of 100% equity in Changzhou Jinchang Electronic Technology Co., Ltd. for CNY 91.91 million, enhancing its fixed assets[123]. - The company invested CNY 20 million to acquire a 10% stake in Changzhou Energy Ark New Materials Co., Ltd. to secure a stable supply of silicon carbide substrates[123]. - The company issued 430 million yuan in convertible bonds in July 2023, primarily for the "Automotive Grade Power Semiconductor Device Production R&D Project (Phase I)," which will have an annual production capacity of 2.4 million automotive-grade power semiconductor devices[45]. Future Outlook - The company provided a future outlook with a revenue guidance of 280,000 million for the next quarter, representing a 5% growth[164]. - The company plans to invest 16,500 million in R&D for new technologies over the next fiscal year[164]. - The company is expanding its market presence in Asia, targeting a 20% increase in market share by 2024[164]. - The management emphasized a commitment to sustainability, aiming for a 30% reduction in carbon emissions by 2025[164].