证券代码：688779 证券简称：五矿新能 转债代码：118022 转债简称：锂科转债 五矿新能源材料（湖南）股份有限公司 2024 年第三次临时股东大会 会 议 资 料 二〇二四年十一月 目 录 | 2024 年第三次临时股东大会会议须知 1 | | --- | | 2024 年第三次临时股东大会会议议程 3 | | 2024 年第三次临时股东大会会议议案 5 | | 议案一：关于变更注册资本、经营范围、修订《公司章程》并办理工商变更登记 | | 的议案 5 | | 议案二：关于修订部分公司治理制度的议案 7 | | 议案二：关于调整公司监事薪酬方案的议案 8 | 五矿新能源材料（湖南）股份有限公司 2024 年第三次临时股东大会会议须知 为维护广大投资者的合法权益，保障股东在本次股东大会期间依法行使权利， 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》（以下简称"《证券法》"）、《上市公司股东大会规则》及《公司 章程》等有关规定，特制定本会议须知： 1 股东及股东代理人违反上述规定，会议主持人有权予以拒绝或制止。 七、主持人可安排公司董事和高级管理人员回答股东所提问题， ...

Financial Performance - The company reported a third-quarter revenue of 1.266 billion CNY, a year-on-year decrease of 63.56% [1] - The net profit attributable to shareholders was -107 million CNY, reflecting a significant decline of 1479.30% [1] Product Shipment and Production - In the third quarter, the shipment of lithium iron phosphate products was approximately 6,000 tons, showing a substantial increase compared to previous periods [2] - In September alone, the production exceeded 4,000 tons, with shipments surpassing 3,300 tons [2] - The current capacity utilization rate for lithium iron phosphate production lines is around 80% [2] R&D and Product Development - The high-voltage fast-charging product project is progressing smoothly, with bulk supply already initiated [2] - The third-generation lithium iron phosphate product is advancing well with mainstream customers, and cost per ton is continuously decreasing [2] - The company is actively collaborating with leading solid-state battery enterprises and participating in the establishment of industry standards for solid-state battery cathodes [2] Inventory and Market Strategy - The company plans to adopt a strategy of tight inventory and high turnover in the fourth quarter, adjusting production based on market demand to reduce inventory levels [2] International Collaboration - The company is steadily advancing its cooperation project with French partner Axens, aiming to expedite the realization of planned production capacity [2]

Investment Rating - The report maintains a "Recommend" rating for the company, citing its strong technical foundation, diversified product portfolio, and improving customer structure as key factors for potential profit recovery [2][4] Core Views - The company's short-term performance is under pressure due to declining lithium salt prices and intensified market competition, leading to lower product prices and reduced profitability [2] - Despite short-term challenges, the company's long-term competitiveness remains intact, supported by its state-owned enterprise background, efficient management, and diversified production capacity [2] - The company is actively expanding into overseas markets, with stable shipments to Toyota PPES and progress in PHEV mid-nickel ternary material validation, which could enhance future growth potential [2] - New product development is progressing well, with high-nickel ternary materials and solid-state battery cathode materials showing promising results, which could strengthen the company's long-term competitive advantage [2] Financial Performance - For the first nine months of 2024, the company reported revenue of 3.773 billion yuan, a year-on-year decrease of 54.90%, and a net loss of 172 million yuan, down 338.75% year-on-year [2] - The company's revenue for 2024-2026 is forecasted to be 5.958 billion yuan, 8.797 billion yuan, and 11.969 billion yuan, with year-on-year growth rates of -44.5%, +47.6%, and +36.1%, respectively [2] - Net profit attributable to the parent company is expected to be -143 million yuan, 152 million yuan, and 313 million yuan for 2024-2026, with growth rates of -14.7%, +206.6%, and +105.4%, respectively [2] Production Capacity and Market Position - The company operates three production bases with an annual capacity of 120,000 tons of ternary cathode, 60,000 tons of lithium iron phosphate, 30,000 tons of precursors, and 5,000 tons of waste battery recycling [2] - It has successfully entered the supply chains of major lithium battery manufacturers such as CATL, EVE Energy, and Sunwoda, which supports its market position [2] Overseas Expansion - The company has achieved stable mass production shipments to Toyota PPES, with monthly sales exceeding 100 tons, and plans to further deepen this cooperation [2] - It is progressing with a ternary cathode material production project in France in collaboration with Axens, which could enhance its global influence [2] New Product Development - Mid-nickel ternary materials have passed initial validation by overseas customers, with ton-level deliveries achieved [2] - High-nickel ternary materials have passed tests for multiple high-end applications, including automotive, drones, and manned aircraft, and are in small-scale production [2] - The company's second-generation sodium-ion battery products are ready for mass production, and its solid-state battery cathode materials are part of a national-level innovation consortium [2] Valuation and Financial Metrics - The company's PE ratio for 2025 and 2026 is projected at 74x and 36x, respectively, based on the closing price on October 28, 2024 [2] - Key financial metrics include a gross margin of 4.41%, 6.27%, 9.21%, and 10.65% for 2023-2026, and a net profit margin of -1.16%, -2.40%, 1.73%, and 2.61% for the same period [5]

第一章 总则 第一条 为维护五矿新能源材料（湖南）股份有限公司（以下简称公司）、 股东、职工和债权人的合法权益，规范公司的组织和行为，坚持和加强党的全面 领导，完善公司法人治理结构，建设中国特色现代企业制度，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》（以下简称 《证券法》）、《中华人民共和国企业国有资产法》、《上海证券交易所科创板 股票上市规则》和其他有关规定，制定本章程。 五矿新能源材料（湖南）股份有限公司 章 程 二〇二四年十月 | 第一章 | 总则 3 | | --- | --- | | 第二章 | 经营宗旨和经营范围 4 | | 第三章 | 股份 4 | | 第四章 | 公司党委 8 | | 第五章 | 股东和股东会 10 | | 第六章 | 董事会 27 | | 第七章 | 监事会 42 | | 第八章 | 职工民主管理与劳动人事制度 45 | | 第九章 | 财务和会计制度 46 | | 第十章 | 通知和公告 50 | | 第十一章 | 公司的合并、分立、增资、减资、解散和清算 51 | | 第十二章 | 本章程的修改程序 55 | | 第十三章 | 附则 5 ...

中信证券股份有限公司、五矿证券有限公司 关于五矿新能源材料（湖南）股份有限公司 核心技术人员离职的核查意见 中信证券股份有限公司（以下简称"中信证券"）、五矿证券有限公司（以下 简称"五矿证券"，与中信证券合称"保荐机构"）作为五矿新能源材料（湖南） 股份有限公司（以下简称"公司"、"五矿新能"或"发行人"）的持续督导机构， 根据《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 自律监管规则适用指引第 1 号——规范运作》等法律法规，对公司核心技术人员 变更事项进行了核查，核查情况如下： 一、公司核心技术人员离职的情况 核心技术人员黄承焕先生因个人原因于近日申请辞去所任职务，并已办理完 成相关离职手续。离职后，黄承焕先生不再担任公司任何职务。 （一）核心技术人员具体情况 黄承焕先生于 2016 年 9 月加入公司，离职前担任公司研发中心（技术研究 院）科技促进部部长。截至本核查意见披露日，黄承焕先生未直接持有公司股票， 通过长沙长远金锂一号企业咨询管理合伙企业（有限合伙）间接持有公司股份 1,480,503 股，离职后，黄承焕先生将继续遵守《上海证券交易所科创板股票上市 规则》等相关法律法规 ...

第一条 为进一步规范五矿新能源材料（湖南）股份有限公司 （以下简称公司）董事会的议事方式和决策程序，促使董事和董 事会有效地履行其职责，提高董事会规范运作和科学决策水平， 根据《中华人民共和国公司法》（以下简称《公司法》）、《上 市公司独立董事管理办法》、中国证券监督管理委员会（以下简 称中国证监会）颁布的《上市公司治理准则》《上市公司章程指 引》《上海证券交易所科创板股票上市规则》（以下简称《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》以及《五矿新能源材料（湖南）股份有限公司 章程》（以下简称《公司章程》）的规定，制定本规则。 第二条 董事会应认真履行有关法律、行政法规和《公司章 程》规定的职责，确保公司遵守法律、行政法规和《公司章程》 的规定，公平对待所有股东，并关注其他利益相关者的合法权益。 第二章 董 事 第三条 公司董事为自然人，应具备履行职务所必须的知识、 技能和素质，并保证其有足够的时间和精力履行其应尽的职责。 有下列情形之一的，不能担任公司的董事： （一）无民事行为能力或者限制民事行为能力； （二）因贪污、贿赂、侵占财产、挪用财产或者破坏社会主 五矿新能源 ...

| 证券代码：688779 | 证券简称：五矿新能 | 公告编号：2024-046 | | --- | --- | --- | | 转债代码：118022 | 转债简称：锂科转债 | | 五矿新能源材料（湖南）股份有限公司 关于召开 2024 年第三次临时股东大会的通知 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： 一、 召开会议的基本情况 （一） 股东大会类型和届次 2024 年第三次临时股东大会 召开日期时间：2024 年 11 月 12 日 14 点 00 分 召开地点：长沙市高新开发区谷苑路 820 号公司会议室 （七） 涉及公开征集股东投票权 无 二、 会议审议事项 （五） 网络投票的系统、起止日期和投票时间。 网络投票系统：上海证券交易所股东大会网络投票系统 网络投票起止时间：自 2024 年 11 月 12 日 至 2024 年 11 月 12 日 股东大会召开日期：2024年11月12日 本次股东大会采用的网络投票系统：上海证券交易所股东大会网络投票 系统 （二） 股东大会召集人：董事会 （ ...

Revenue and Profit Performance - Revenue for the third quarter was RMB 1,266,381,100.93, a decrease of 63.56% year-over-year[2] - Net profit attributable to shareholders of the listed company was RMB -106,535,292.98, a decrease of 1,479.30% year-over-year[2] - Basic earnings per share for the quarter were RMB -0.06, a decrease of 325.00% year-over-year[2] - Revenue for the current reporting period decreased by 63.56% due to the impact of market conditions and a decline in the price of upstream raw materials, lithium salts[7] - Revenue from the beginning of the year to the end of the reporting period decreased by 54.90% due to price transmission leading to a year-on-year decline in product sales prices[7] - Net profit attributable to shareholders of the listed company for the current reporting period decreased by 1,479.30%[7] - Net profit attributable to shareholders of the listed company from the beginning of the year to the end of the reporting period decreased by 338.75%[7] - Net profit attributable to shareholders of the listed company after deducting non-recurring gains and losses from the beginning of the year to the end of the reporting period decreased by 960.77% due to intensified market competition and lower capacity utilization[7] - Total revenue for the first three quarters of 2024 was 3,773,132,152.18 RMB, a significant decrease from 8,365,456,893.06 RMB in the same period of 2023[15] - Net profit for the third quarter of 2024 was -172,465,635.37 RMB, compared to 72,235,981.38 RMB in the same period last year[16] - Net profit for the first three quarters of 2024 was not explicitly stated, but the decrease in revenue and increase in operating costs suggest a significant decline compared to 2023[15] - Total comprehensive income for the third quarter of 2024 was -172,465,635.37 RMB, compared to 72,235,981.38 RMB in the same period last year[17] - Basic earnings per share for the third quarter of 2024 was -0.09 RMB, compared to 0.04 RMB in the same period last year[17] R&D Investment - R&D investment for the quarter was RMB 58,323,012.16, a decrease of 49.50% year-over-year[3] - R&D investment as a percentage of revenue increased by 1.29 percentage points to 4.61%[3] - R&D investment for the current reporting period decreased by 49.50%[7] - R&D investment from the beginning of the year to the end of the reporting period decreased by 34.95% due to reduced material input costs as a result of lower lithium salt prices[7] - R&D expenses for the first three quarters of 2024 were 178,592,494.20 RMB, down from 274,557,287.27 RMB in the same period of 2023[15] Assets and Liabilities - Total assets at the end of the reporting period were RMB 12,963,787,771.55, a decrease of 8.43% compared to the end of the previous year[3] - Equity attributable to shareholders of the listed company was RMB 7,377,691,787.48, a decrease of 2.28% compared to the end of the previous year[3] - Total assets as of September 30, 2024, were 12,963,787,771.55 RMB, compared to 14,156,607,899.48 RMB at the end of 2023[12] - Total liabilities as of September 30, 2024, were 5,586,095,984.07 RMB, down from 6,606,454,272.15 RMB at the end of 2023[13] - Total equity attributable to the parent company as of September 30, 2024, was 7,377,691,787.48 RMB, down from 7,550,153,627.33 RMB at the end of 2023[13] Cash Flow and Liquidity - Cash and cash equivalents as of September 30, 2024, were 2,762,814,527.67 RMB, a decrease from 3,842,360,354.61 RMB at the end of 2023[11] - Accounts receivable as of September 30, 2024, were 1,679,281,476.30 RMB, down from 2,871,863,779.23 RMB at the end of 2023[11] - Inventory as of September 30, 2024, was 1,329,996,881.34 RMB, more than double the 618,452,033.98 RMB at the end of 2023[11] - Operating cash flow for the first three quarters of 2024 was -434,129,511.19 RMB, an improvement from -2,743,084,193.60 RMB in the same period last year[18] - Total cash and cash equivalents at the end of the third quarter of 2024 were 2,510,565,551.88 RMB, down from 3,762,851,693.26 RMB at the beginning of the year[19] - Investment cash flow for the first three quarters of 2024 was -270,732,019.52 RMB, compared to -253,494,796.02 RMB in the same period last year[18] - Financing cash flow for the first three quarters of 2024 was -547,670,228.72 RMB, compared to -391,016,740.88 RMB in the same period last year[18] - Total cash inflows from operating activities for the first three quarters of 2024 were 2,925,617,038.53 RMB, up from 2,148,697,982.44 RMB in the same period last year[17] - Total cash outflows from operating activities for the first three quarters of 2024 were 3,359,746,549.72 RMB, down from 4,891,782,176.04 RMB in the same period last year[17] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 48,593[7] - China Minmetals Corporation holds 17.16% of the shares, making it the largest shareholder[8] - Changsha Research Institute of Mining and Metallurgy Co., Ltd. also holds 17.16% of the shares, tied as the largest shareholder[8] Government Subsidies and Non-Recurring Items - Government subsidies for the quarter amounted to RMB 7,699,975.07[4] - Non-recurring gains and losses for the quarter totaled RMB 13,677,216.62[5] Operating Costs and Sales - Total operating costs for the first three quarters of 2024 were 3,948,590,969.94 RMB, slightly higher than the 8,301,574,612.73 RMB in the same period of 2023[15] - Sales revenue from goods and services for the first three quarters of 2024 was 2,587,157,077.20 RMB, up from 1,766,604,125.24 RMB in the same period last year[17] Return on Equity - Weighted average return on equity for the quarter was -1.43%, a decrease of 1.53 percentage points year-over-year[3]

| 证券代码：688779 | 证券简称：五矿新能 | 公告编号：2024-045 | | --- | --- | --- | | 转债代码：118022 | 转债简称：锂科转债 | | 五矿新能源材料（湖南）股份有限公司 关于调整公司监事薪酬方案的公告 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。 五矿新能源材料（湖南）股份有限公司（以下简称"公司"）于 2024 年 10 月 25 日召开第二届监事会第十七次会议，审议了《关于调整公司监事薪酬方案 的议案》，因全体监事回避表决，上述议案将直接提交至股东大会审议。根据《中 华人民共和国公司法》《上市公司治理准则》和《公司章程》等有关规定，结合 公司经营规模等实际情况并参考行业和地区薪酬水平，公司拟调整监事薪酬方案， 调整后的薪酬方案如下： 一、本方案适用对象 二、本方案适用期限 2024 年 1 月 1 日至新的薪酬方案通过后自动失效。 三、薪酬方案 本公司监事。 四、其他规定 1、上述监事的薪酬或津贴均为税前收入，所涉及的个人所得税均由公司统 一代扣代缴。 2、公司监 ...

关于核心技术人员离职的公告 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： | 证券代码：688779 | 证券简称：五矿新能 | 公告编号：2024-047 | | --- | --- | --- | | 转债代码：118022 | 转债简称：锂科转债 | | 五矿新能源材料（湖南）股份有限公司 五矿新能源材料（湖南）股份有限公司（以下简称"公司"或"五矿新 能"）核心技术人员黄承焕先生因个人原因于近日申请辞去所任职务，并已办理 完成相关离职手续。离职后，黄承焕先生不再担任公司任何职务。 黄承焕先生与公司不存在涉及职务发明专利等知识产权权属纠纷或潜在 纠纷的情形，黄承焕先生的辞职不影响公司专利等知识产权权属的完整性。 黄承焕先生已完成工作交接，公司的生产经营、技术研发等工作均有序 推进，黄承焕先生的工作变更不会对公司的核心竞争力和持续经营能力产生实质 性影响。 一、核心技术人员离职的具体情况 核心技术人员黄承焕先生因个人原因于近日申请辞去所任职务，并已办理 完成相关离职手续。离职后，黄承焕先生不再担任公司 ...