申万宏源证券承销保荐有限责任公司 关于中自科技股份有限公司 终止部分首次公开发行股票募投项目的核查意见 申万宏源证券承销保荐有限责任公司（以下简称"申万宏源承销保荐"、"保 荐机构"）作为中自科技股份有限公司（以下简称"中自科技"、"公司"）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》 等法律法规，对公司终止部分首次公开发行股票募投项目事项进行了核查，具体 情况如下： 一、募集资金投资项目概述 根据中国证券监督管理委员会（以下简称"中国证监会"）于 2021 年 8 月 24 日出具的《关于同意中自环保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〕2761 号），公司首次公开发行人民币普通股（A 股）2,150.8744 万股，发行价格为 70.90 元/股，募集资金总额为人民币 1,524,969,949.60 元，扣 除发行费用后实际募集资金净额为人民币 1,407,189,683.51 元。信永中和会计师 事务所（特殊普通合伙）对公司本次公开发行新股的资金到位情况进行了审验 ...

证券代码：688737 证券简称：中自科技 公告编号：2024-061 中自科技股份有限公司关于使用部分暂时闲置 募集资金进行现金管理的公告 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。 中自科技股份有限公司（以下简称"公司"或"中自科技"）于 2024 年 11 月 11 日召开了公司第三届董事会第二十八次临时会议和第三届监事会第二十一 次临时会议，审议通过了《关于使用部分暂时闲置募集资金进行现金管理的议 案》。 为提高公司资金使用效率，公司及实施募投项目的子公司在保证不影响公司 募集资金投资计划正常进行的前提下，决定使用最高不超过人民币 4.5 亿元（含 本数）的部分暂时闲置募集资金进行现金管理，使用期限自 2024 年 12 月 4 日起 12 个月内有效，在前述额度及使用期限范围内，资金可以循环滚动使用。董事 会授权公司财务负责人行使该项投资决策权，并由公司计划财务部负责具体执 行。该事项在董事会审批权限范围内，无需提交股东会审议，监事会发表了明确 的同意意见，保荐机构申万宏源承销保荐有限责任公司对本事项出具了明 ...

证券代码：688737 证券简称：中自科技 公告编号：2024-066 中自科技股份有限公司 第三届监事会第二十一次临时会议决议公告 一、逐项审议《关于监事会换届选举及提名第四届监事会非职工监事候选 人的议案 》 二、审议通过《关于终止部分首次公开发行股票募投项目的议案》 表决结果：3 票同意，0 票反对，0 票弃权。 1.1、审议通过《关于选举代华荣先生为公司第四届监事会非职工监事的议 案》 表决结果：3 票同意，0 票反对，0 票弃权。 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。 中自科技股份有限公司（以下简称"公司"）第三届监事会第二十一次临时 会议于 2024 年 11 月 11 日（星期一）在成都市高新区古楠街 88 号公司研发楼会 议室以现场结合通讯的方式召开。会议通知已于 2024 年 11 月 10 日通过邮件的 方式送达各位监事。本次会议应出席监事 3 人，实际出席监事 3 人。 1.2、审议通过《关于选举吕晶女士为公司第四届监事会非职工监事的议案》 表决结果：3 票同意，0 票反对，0 票弃权。 会 ...

重要内容提示： 证券代码：688737 证券简称：中自科技 公告编号：2024-059 中自科技股份有限公司 关于实施回购股份注销暨股份变动的公告 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。 公司于2024年8月29日召开第三届董事会第二十六次会议、于2024年9月19日 召开2024年第二次临时股东会，审议通过了《关于变更部分回购股份用途并注销 暨减少注册资本的议案》，同意将存放于回购专用账户中2023年回购计划已回 购的678,377股股份的用途进行变更并注销。具体内容详见公司分别于2024年8月 30日和2024年9月20日在上海证券交易所网站（www.sse.com.cn）披露的《中自 科技股份有限公司关于变更部分回购股份用途并注销暨减少注册资本的公告》 （公告编号：2024-045）、《中自科技股份有限公司2024年第二次临时股东会决 议公告》（公告编号：2024-054）。 三、回购股份注销的办理情况 因公司本次注销回购股份将导致注册资本的减少，根据《中华人民共和国公 司法》等相关法律、法规的规定， 公司于 ...

证券代码：688737 证券简称：中自科技 公告编号：2024-058 中自科技股份有限公司 关于以集中竞价交易方式回购公司股份的进展公告 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。 根据《上市公司股份回购规则》《上海证券交易所上市公司自律监管指引第 7 号——回购股份》的相关规定，公司在回购期间，应当在每个月的前 3 个交易 日内公告截至上月末的回购进展情况。现将公司回购股份进展情况公告如下： 2024 年 10 月，公司未进行回购。截至 2024 年 10 月 31 日，公司通过上海 证券交易所交易系统以集中竞价交易方式已累计回购公司股份 2,062,238 股，占 公司总股本的比例为 1.72%，回购成交的最高价为 17.30 元/股，最低价为 13.06 元/股，支付的资金总额为人民币 29,989,791.76 元（不含印花税、交易佣金等交 易费用）。 三、其他事项 公司将严格按照《上市公司股份回购规则》《上海证券交易所上市公司自律 监管指引第 7 号——回购股份》等相关规定及公司回购股份方案，在回购期限内 ...

Financial Performance - The company's operating revenue for Q3 2024 was ¥318,341,400.16, representing a decrease of 27.43% compared to the same period last year[2] - The net profit attributable to shareholders for Q3 2024 was -¥19,664,490.55, a decline of 260.66% year-over-year[2] - The net profit attributable to shareholders after deducting non-recurring gains and losses for Q3 2024 was -¥26,043,390.14, down 693.47% from the previous year[2] - Basic earnings per share for Q3 2024 were -¥0.17, a decrease of 251.21% compared to the same period last year[2] - In Q3 2024, the company reported a net loss of CNY 12,836,254.44, compared to a net profit of CNY 32,944,224.23 in Q3 2023, marking a significant decline[17] - Operating profit for Q3 2024 was CNY -20,100,164.67, down from CNY 25,415,467.84 in the same period last year[17] - The total profit for Q3 2024 was CNY -21,532,195.13, a stark contrast to a profit of CNY 30,391,816.73 in Q3 2023[17] Cash Flow - The company's cash flow from operating activities for the year-to-date was -¥57,043,030.58, indicating a significant cash outflow[2] - Cash flow from operating activities for the first three quarters of 2024 was CNY 26,536,464.75, a recovery from a negative cash flow of CNY -312,351,053.28 in the first three quarters of 2023[18] - The company recorded cash inflows from operating activities totaling CNY 777,720,339.24 in the first three quarters of 2024[18] - The company’s cash outflows for operating activities were CNY 751,183,874.49 in the first three quarters of 2024, down from CNY 909,757,904.47 in the same period last year[18] - Cash and cash equivalents decreased significantly to CNY 57,402,493.90 from CNY 132,402,301.21, indicating a reduction of about 56.7%[11] - Cash and cash equivalents at the end of Q3 2024 were CNY 27,449,269.47, down from CNY 259,333,586.66 at the end of Q3 2023[19] Research and Development - Research and development expenses totaled ¥24,086,268.05 for Q3 2024, an increase of 14.85% compared to the same period last year[3] - R&D expenses accounted for 7.57% of operating revenue in Q3 2024, up 2.79 percentage points year-over-year[3] - Research and development expenses increased to CNY 69,194,145.14 in 2024, up from CNY 54,918,739.63 in 2023, reflecting a growth of 25.9%[16] - The company plans to continue investing in R&D and expanding its market presence despite current financial challenges[6] Assets and Liabilities - Total assets at the end of Q3 2024 were ¥2,724,145,808.48, reflecting a 2.92% increase from the end of the previous year[3] - Total assets as of the end of Q3 2024 were CNY 2,724,145,808.48, compared to CNY 2,646,866,461.26 at the end of Q3 2023, an increase of 2.9%[15] - Total liabilities increased to CNY 868,309,596.61 in Q3 2024 from CNY 754,193,364.35 in Q3 2023, representing a rise of 15.1%[13] - The company's fixed assets rose to CNY 544,662,001.49 in Q3 2024, up from CNY 454,221,609.82 in Q3 2023, an increase of 19.9%[12] - The total equity attributable to shareholders decreased to CNY 1,837,979,703.57 from CNY 1,884,857,865.80, a decline of 2.5%[13] Shareholder Information - The company has a total of 8,776 common shareholders as of the report date[7] - The largest shareholder, Chen Qizhang, holds 39,008,704 shares, representing 32.44% of total shares[7] - The company has not reported any significant changes in shareholder relationships or actions among the top shareholders[8] Sales and Revenue - Total operating revenue for the first three quarters of 2024 was CNY 1,057,024,115.62, a decrease of 5.9% compared to CNY 1,123,708,404.48 in the same period of 2023[16] - Total operating costs for the first three quarters of 2024 were CNY 1,102,454,962.56, slightly down from CNY 1,106,976,670.06 in 2023[16] - Total revenue from sales of goods and services in the first three quarters of 2024 reached CNY 740,482,181.51, up from CNY 545,108,924.73 in the same period last year[18] Other Financial Metrics - The net profit margin for Q3 2024 was significantly impacted by increased competition and rising costs associated with new business development[6] - The company reported a financial expense of CNY 8,225,672.09 in 2024, compared to a financial income of CNY 2,231,484.74 in 2023[16] - Deferred income tax assets increased to CNY 64,996,528.64 in Q3 2024 from CNY 53,377,878.33 in Q3 2023, a growth of 21.7%[12] - Other receivables increased significantly to CNY 15,767,547.49 from CNY 5,922,640.18, showing an increase of about 166.5%[11] - Accounts receivable increased to CNY 480,457,395.63 from CNY 441,978,508.75, reflecting an increase of approximately 8.6%[11] - Inventory rose to CNY 418,590,609.18, up from CNY 362,537,331.20, marking an increase of around 15.5%[11] - The company reported trading financial assets of CNY 631,147,749.10, an increase from CNY 536,209,555.56, which is an increase of approximately 17.7%[11] - Prepayments decreased to CNY 18,079,816.56 from CNY 64,155,377.71, indicating a decline of approximately 71.8%[11]

证券代码：688737 证券简称：中自科技 公告编号：2024-057 中自科技股份有限公司 关于持股 5%以上股东及一致行动人 减持股份计划公告 本公司董事会、全体董事及相关股东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： 大股东持股的基本情况 本次减持计划实施前，中自科技股份有限公司（以下简称"公司"）股东南 京银鞍岭英新能源产业投资基金合伙企业（有限合伙）（以下简称"银鞍岭英"） 持有公司股份 7,847,585 股，占公司总股本的 6.53%；上海盈鞍众骅企业管理合 伙企业（有限合伙）（"盈鞍众骅"）持有公司股份 567,578 股，占公司总股本的 0.47%； 一、减持主体的基本情况 | 股东名称 | 股东身份 | 持股数量（股） | 持股比例 | 当前持股股份来源 | | --- | --- | --- | --- | --- | | 银鞍岭英、盈 | 5%以上非第一大股 | 8,415,163 | 7.00% | IPO 前取得：8,415,163 股 | | 鞍众骅 | 东 | | | | 上述股东因受同一主 ...

关于以集中竞价交易方式回购公司股份的进展公告 证券代码：688737 证券简称：中自科技 公告编号：2024-056 中自科技股份有限公司 根据《上市公司股份回购规则》《上海证券交易所上市公司自律监管指引第 7 号——回购股份》的相关规定，公司在回购期间，应当在每个月的前 3 个交易 日内公告截至上月末的回购进展情况。现将公司回购股份进展情况公告如下： 2024 年 9 月，公司通过上海证券交易所交易系统以集中竞价交易方式已累 计回购公司股份 158,680 股，占公司总股本的比例为 0.13%，回购成交的最高价 为 13.17 元/股，最低价为 13.07 元/股，支付的资金总额为人民币 2,079,275.37 元 （不含印花税、交易佣金等交易费用）。 截至 2024 年 9 月 30 日，公司通过上海证券交易所交易系统以集中竞价交易 方式已累计回购公司股份 2,062,238 股，占公司总股本的比例为 1.72%，回购成 交的最高价为 17.30 元/股，最低价为 13.06 元/股，支付的资金总额为人民币 29,989,791.76 元（不含印花税、交易佣金等交易费用）。 本公司董事会及全体董事保证本 ...

为出具本法律意见书，本所律师审查了公司提供的以下文件，包括但不限于： 1. 公司 2023 年年度股东大会审议通过的《中自科技股份有限公司章程》 （以下简称《公司章程》）； 北京金杜（成都）律师事务所 关于中自科技股份有限公司 2024 年第二次临时股东会之法律意见书 致：中自科技股份有限公司 北京金杜（成都）律师事务所（以下简称本所）接受中自科技股份有限公司 （以下简称公司）委托，根据《中华人民共和国证券法》（以下简称《证券法》）、 《中华人民共和国公司法》（以下简称《公司法》）、中国证券监督管理委员会 《上市公司股东大会规则（2022 年修订）》（以下简称《股东大会规则》）等 中华人民共和国境内（以下简称中国境内，为本法律意见书之目的，不包括中国 香港特别行政区、中国澳门特别行政区和中国台湾地区）现行有效的法律、行政 法规、规章和规范性文件和现行有效的公司章程有关规定，指派律师出席了公司 于 2024 年 9 月 19 日召开的 2024 年第二次临时股东会（以下简称本次股东会）， 并就本次股东会相关事项出具本法律意见书。 2. 公司 2024 年 8 月 30 日刊登于《中国证券报》《上海证券报》《证券 ...

Financial Performance - The company reported no profit distribution or capital reserve transfer to increase share capital for the first half of 2024[4]. - The financial report for the first half of 2024 has been declared true, accurate, and complete by the responsible persons[4]. - The company's revenue for the first half of 2024 was ¥738,682,715.46, representing a 7.83% increase compared to ¥685,031,003.54 in the same period last year[14]. - The net profit attributable to shareholders decreased by 72.95% to ¥5,573,596.56 from ¥20,606,455.72 year-on-year[14]. - The net cash flow from operating activities was ¥83,579,495.33, a significant improvement compared to a negative cash flow of ¥255,564,389.30 in the previous year[15]. - The company's total assets decreased by 1.31% to ¥2,612,191,446.46 from ¥2,646,866,461.26 at the end of the previous year[15]. - The basic earnings per share decreased by 75.00% to ¥0.06 from ¥0.24 year-on-year[16]. - The company reported non-recurring gains of ¥22,132,644.87 during the reporting period, primarily from government subsidies and other non-operating income[19]. - The company achieved a total R&D investment of ¥47,745,708.19, representing a 29.49% increase compared to ¥36,870,972.59 in the previous year[36]. - The company reported a total expected amount for daily related transactions in 2024 of CNY 1,005.50 million, with CNY 355.03 million already incurred from the beginning of 2024 to March 30, 2024[85]. Risks and Compliance - There are no significant risks that could materially affect the company's operations during the reporting period[3]. - The company has confirmed that there are no non-operational fund occupations by controlling shareholders or related parties[4]. - The report includes a forward-looking statement risk declaration, indicating potential risks in future planning and strategies[4]. - The report is unaudited, which may affect the reliability of the financial data presented[3]. - The company has not encountered any violations of decision-making procedures regarding external guarantees[4]. - There are no instances of more than half of the directors being unable to guarantee the authenticity of the semi-annual report[4]. - The company has not faced any administrative penalties related to environmental issues during the reporting period[76]. - There are no significant lawsuits or arbitration matters reported during the reporting period[85]. - The company has not received any penalties or corrective actions related to violations of laws or regulations during the reporting period[85]. Research and Development - Research and development expenses accounted for 6.46% of revenue, an increase of 1.08 percentage points compared to the previous year[16]. - The company is actively developing new materials and new energy businesses, which has resulted in increased R&D and sales expenses[17]. - The company applied for a total of 18 new domestic patents during the reporting period, including 17 invention patents and 1 utility model patent[34]. - The company has a cumulative total of 279 patent applications, including 190 domestic invention patents and 13 invention patents in Europe and the US[34]. - The company achieved a total R&D investment of ¥47,745,708.19, representing a 29.49% increase compared to ¥36,870,972.59 in the previous year[36]. - The company has established a strong technical advantage in environmental catalysts, overcoming foreign monopolies with proprietary technologies[45]. - The company aims to develop high-performance catalysts that meet the National VI emission standards, with ongoing optimization of catalyst processes[42]. - The company has made significant progress in the development of new technologies and products, including a new pulping system and high-precision automatic coating equipment[42]. Environmental Compliance - The company has established an environmental protection mechanism and is classified as a key pollutant discharge unit[66]. - The company reported a total wastewater discharge of 1.86 tons, with a chemical oxygen demand (COD) of 192 mg/L, which is below the standard limit of 500 mg/L[69]. - The biochemical oxygen demand (BOD) was recorded at 57.6 mg/L, significantly lower than the standard limit of 300 mg/L[69]. - The total nitrogen discharge was 0.24 tons, with a concentration of 24.2 mg/L, below the standard limit of 75 mg/L[69]. - The company has implemented measures to ensure compliance with environmental standards, including the collection and treatment of municipal solid waste[69]. - The company has established wastewater treatment stations at its main production bases, with a design capacity of 160 m³/d for the wastewater treatment facility at the Antai Park production base[73]. - The company has reduced carbon emissions by 2.28 tons through the use of clean energy generation, including the installation of rooftop photovoltaics and energy storage systems at its production bases[76]. - The company has established a comprehensive environmental management system to monitor and report on pollution discharge regularly[69]. Shareholder and Governance - The company’s controlling shareholder, Chen Qizhang, committed not to transfer or entrust the management of shares held prior to the IPO for 36 months post-listing[78]. - The company will adhere to legal regulations regarding share reduction and will announce plans at least 3 trading days in advance if holding over 5% of shares[81]. - The company has committed to extending the lock-up period by 6 months if the stock price falls below the issue price for 20 consecutive trading days within 6 months post-IPO[82]. - The company has not disclosed any significant related transactions that have not been reported in temporary announcements[86]. - The company has not issued new shares or conducted stock splits during the reporting period[93]. - The company has a total of 0 shares held by foreign investors, indicating no foreign ownership[93]. - The company plans to use at least RMB 20 million for share repurchase, with a maximum price of RMB 29.10 per share[98]. - The company completed a share repurchase of 0.56% of its total shares during the reporting period[98]. Market and Competition - The company faced intense market competition, leading to a price reduction strategy for certain products, which impacted gross profit margins[17]. - The sales volume of commercial vehicles in China for 2022, 2023, and the first half of 2024 was 3.3 million, 4.03 million, and 2.068 million units respectively, indicating substantial market fluctuations[53]. - The company is focusing on developing new materials and renewable energy products, increasing its market development efforts[59]. - The company is focusing on the development of new products, including energy storage and hydrogen fuel cell catalysts, to enhance its competitive edge[49]. Financial Management - The company has recognized a provision for expected liabilities amounting to ¥18,083,923.80, an increase of 61.08% compared to the previous year[61]. - The company has a strategic investor, Shenwan Hongyuan Securities, with a lock-up period from October 22, 2021, to September 6, 2030[103]. - The company has temporarily used idle raised funds for cash management, with an effective review limit of CNY 60,000 million and a cash management balance of CNY 53,756.59 million at the end of the reporting period[92]. - The company continues to enjoy a 15% corporate income tax rate due to its status as a high-tech enterprise, which was reaffirmed on October 16, 2023, valid for three years[196]. - The company is eligible for a 100% pre-tax deduction on R&D expenses, enhancing its tax efficiency and supporting innovation[196].