东旭蓝天新能源股份有限公司（以下简称"公司"）股票（证券简称：*ST 旭 蓝；证券代码：000040）2025 年 3 月 27 日、3 月 28 日、3 月 31 日连续 3 个交 易日收盘价格跌幅偏离值累计达到 13.51%，根据《深圳证券交易所交易规则》 的有关规定，属于股票交易异常波动情况。 二、公司核实相关情况的说明 证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-037 东旭蓝天新能源股份有限公司 关于股票交易异常波动的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 一、股票交易异常波动的情况 针对股票交易异常波动，公司对有关事项进行了核查，公司董事会通过电话、 问询等方式，对公司控股股东及其一致行动人、实际控制人就相关问题进行了核 实，现将有关情况说明如下： 1、公司前期披露的信息不存在需要更正、补充之处； 2、公司未发现近期公共传媒报道可能或已经对公司股票交易价格产生较大 影响的未公开重大信息； 3、目前公司经营情况正常； 4、在公司股票交易异常波动期间，不存在公司控股股东及其一致行动人、 实际控制人买卖本公司股票的行 ...

证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-036 东旭蓝天新能源股份有限公司 关于公司股票将被终止上市暨停牌的风险提示公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 特别提示： 1、截至 2025 年 3 月 31 日，东旭蓝天新能源股份有限公司（以下简称"公 司"）股票收盘价格已经连续二十个交易日均低于 1 元。根据《深圳证券交易所 股票上市规则（2024 年修订）》（以下简称《股票上市规则》）第 9.2.1 条、第 9.1.15 条相关规定，在深交所仅发行 A 股股票的公司，通过深交所交易系统连续 20 个交易日的股票收盘价均低于 1 元，深交所终止其股票上市交易；因触及交 易类强制退市情形而终止上市的股票不进入退市整理期。敬请广大投资者注意 投资风险。 3、2024 年 5 月 8 日因公司未在规定期限内披露 2023 年年报、2024 年 9 月 6 日因公司及公司控股股东东旭集团有限公司涉嫌信息披露违法违规、2025 年 3 月 15 日因公司实际控制人李兆廷先生涉嫌信息披露违法违规，中国证监会先后 三次分别对前述当事 ...

Core Viewpoint - *ST Xulan's stock price has been under significant pressure, with a continuous decline leading to potential delisting risks due to prolonged low trading prices [1][3][5] Trading Information Summary - As of March 28, 2025, *ST Xulan's stock closed at 0.52 yuan, down 22.39% from the previous week, marking a near one-year low [1] - The stock has appeared on the trading alert list due to a cumulative decline of 12% over three consecutive trading days [2][5] - Large transactions occurred on March 24, 25, and 26, with amounts of 28.99 thousand yuan, 104.19 thousand yuan, and 59.46 thousand yuan respectively [2] Company Announcement Summary - *ST Xulan's stock price has been below 1 yuan for 18 consecutive trading days, facing delisting risks if it remains below this threshold for 20 days [3][5] - The company reported a projected net loss for 2024 between 30 million yuan and 50 million yuan, with potential bad debt provisions reaching up to 9.6 billion yuan [3][5] - Non-operational fund occupation amounts to 7.527 billion yuan, which has not been rectified [3] - The company and its major shareholders are under investigation by the China Securities Regulatory Commission for failing to disclose the 2023 annual report and other violations [3][5]

Group 1: US Tariff Plans and Market Reactions - President Trump plans to announce new tariffs in the coming days, indicating a willingness to negotiate tariff agreements with other countries, but any agreements will likely occur after the tariffs take effect on April 2 [1] - The US stock market saw significant declines, with the Nasdaq dropping 2.7%, the S&P 500 down 1.97%, and the Dow Jones falling 1.69% [1][4] Group 2: Technology Sector Performance - Major tech stocks experienced declines, with Netflix, Google, Amazon, and Meta falling over 4%, while Tesla, Microsoft, and Intel dropped over 3% [2] - The Nasdaq Golden Dragon China Index fell by 3.11%, with popular Chinese stocks like Baidu and NIO dropping over 5% [2] Group 3: IPO Market Developments - Wolfspeed's stock plummeted approximately 52%, marking the worst single-day performance for an IPO in the US [3] - CoreWeave's IPO closed flat at $40 on its first day of trading [3] Group 4: Commodity Market Trends - COMEX gold futures for June rose by 0.59% to $3116.6, marking a weekly increase of 2.26% [4] - WTI crude oil futures for May fell by 0.8% to $69.36 per barrel, with a weekly increase of 1.58% [4] Group 5: Regulatory and Taxation News - The Trump administration is unexpectedly considering higher taxes on the wealthy, which could provide room for other priority issues [6] - The EU plans to impose mild penalties on Apple and Meta under its digital market regulations, potentially leading to fines amounting to billions of dollars [8] Group 6: Market Movements and Trends - The six major state-owned banks in China reported a total net profit of approximately 1.4 trillion yuan for 2024, averaging about 38 billion yuan per day [17] - The Chinese central bank stated that current financial risks are overall controllable, with the financial system's resilience expected to improve as the macro economy recovers [20]

证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-033 东旭蓝天新能源股份有限公司 关于公司股票存在可能因股价低于面值被终止上市的 第十一次风险提示公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 1 / 5 的规定，上市公司出现两项以上终止上市情形的，股票按照先触及先适用的原 则实施终止上市。 4、2024 年 5 月 8 日，因公司未在规定期限内披露 2023 年年报，中国证券 监督管理委员会（以下简称"证监会"）对公司立案调查；2024 年 9 月 6 日，因 涉嫌信息披露违法违规，证监会对公司及公司控股股东东旭集团有限公司立案 调查；2025 年 3 月 15 日，公司实际控制人李兆廷先生收到证监会下发的《立案 告知书》（编号：证监立案字 03720255001 号），因涉嫌信息披露违法违规，证 监会决定对李兆廷先生立案调查。公司、公司控股股东及实际控制人先后被三次 立案调查，敬请广大投资者注意投资风险。 5、公司已于 2025 年 1 月 25 日披露《2024 年度业绩预告》，预计公司 2024 年度归属于上市公司股东的净利 ...

Core Viewpoint - Regulatory authorities are intensifying efforts to combat significant violations in the capital market, particularly focusing on financial fraud and misconduct during the delisting process of companies [1][5]. Group 1: Regulatory Actions - The Hebei Securities Regulatory Bureau has issued administrative penalty notices against Dongxu Guangdian Technology Co., Ltd. (Dongxu Guangdian) and its controlling shareholder Dongxu Group for securities violations [1][3]. - The Shenzhen Securities Regulatory Bureau has also taken similar actions against Dongxu Lantian New Energy Co., Ltd. and related parties [1][3]. - A total fine of 1.7 billion yuan is proposed against Dongxu Group and 43 responsible individuals, with 19 key personnel facing market bans of five years to lifetime [3][4]. Group 2: Financial Misconduct Details - Dongxu Guangdian fraudulently raised 7.565 billion yuan in 2017 and Dongxu Group raised 3.5 billion yuan in 2018 by deceiving authorities regarding their eligibility for stock and bond issuance [3]. - From 2015 to 2019, Dongxu Group inflated its revenue by a total of 47.825 billion yuan and profits by 13.001 billion yuan, while Dongxu Guangdian inflated its revenue by 16.76 billion yuan and profits by 5.627 billion yuan [3]. - Non-operational occupation of funds by Dongxu Group from Dongxu Guangdian and Dongxu Lantian amounts to 16.959 billion yuan, with the companies failing to disclose their 2023 annual reports on time [3]. Group 3: Investor Protection Measures - The China Securities Regulatory Commission (CSRC) emphasizes that delisting does not exempt companies from penalties, and investor protection remains a priority [5][6]. - The CSRC is enhancing investor compensation mechanisms, utilizing various methods such as representative lawsuits and advance compensation to safeguard investor rights [7]. - In 2023, four intermediary institutions related to the delisted Zijing Storage compensated 10.86 billion yuan to 17,000 investors through advance compensation procedures [7].

2025 年 3 月 28 日，公司控股股东东旭集团有限公司、实际控制人李兆廷先 生收到中国证监会河北监管局下发的《行政处罚事先告知书》（冀证监处罚字 〔2025〕1 号）（以下简称"《告知书》"），具体内容如下： 证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-035 东旭蓝天新能源股份有限公司 关于公司控股股东及实际控制人收到《行政处罚事先告知书》的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 一、《告知书》的具体内容 "东旭集团有限公司、李兆廷、郭轩、李泉年、谢国忠、王根敏、李青、李 文廷、刘银庆、吴红伟、徐玲智、周永杰、郭春林、陈德伟： 东旭集团有限公司（以下简称东旭集团）、李兆廷涉嫌信息披露违法违规、 欺诈发行一案已调查完毕，我局拟依法对你们作出行政处罚。现将我局拟对你们 作出行政处罚所根据的违法事实、理由、依据及你们享有的相关权利予以告知。 经查明，东旭集团、李兆廷等涉嫌存在以下违法事实： 一、东旭集团在债券市场披露的信息存在虚假记载、发行公司债券存在欺诈 发行 （一）在债券市场披露的信息存在虚假记载 2015 年至 2 ...

证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-034 东旭蓝天新能源股份有限公司 关于收到中国证券监督管理委员会深圳监管局 《行政处罚事先告知书》的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 我局认为，东旭蓝天上述行为涉嫌违反了 2005 年修订、2014 年修正的《中 华人民共和国证券法》（以下简称 2005 年《证券法》）第六十三条、2019 年修 订的《中华人民共和国证券法》（以下简称《证券法》）第七十八条第二款的规 定，构成 2005 年《证券法》第一百九十三条第一款及《证券法》第一百九十七 条第二款所述违法行为。东旭蓝天实际控制人李兆廷及控股股东东旭集团涉嫌组 织、指使东旭蓝天从事信息披露违法行为，依法另案处理。 2025 年 3 月 28 日，公司及相关当事人收到中国证券监督管理委员会深圳监 管局下发的《行政处罚事先告知书》（[2025]7 号）（以下简称"《告知书》"）， 具体内容如下： 一、《告知书》的具体内容 "东旭蓝天新能源股份有限公司、侯继伟先生、王甫民先生、卢召义先生、 赵艳军先生、夏志勇先生、王正军先生 ...

Group 1 - *ST Aonong (603363.SH) issued its fifth risk warning on March 28, 2025, regarding the potential termination of its stock listing if it fails to meet the criteria set by the Shanghai Stock Exchange for the 2024 fiscal year [1] - *ST Jiayu (300117.SZ) released its tenth risk warning on March 28, 2025, indicating that its stock has closed below 1 yuan for eighteen consecutive trading days, facing the risk of termination of listing [1] - *ST Gongzhi (000584.SZ) announced its fifth risk warning on March 28, 2025, stating that its stock may be terminated if it falls under the conditions specified in the Shenzhen Stock Exchange listing rules for the 2024 fiscal year [1] Group 2 - *ST Furun (600070.SH) issued a risk warning on March 28, 2025, about the potential termination of its stock listing due to its stock price being below 1 yuan and market capitalization below 500 million yuan, having closed below 1 yuan for eleven consecutive trading days [1] - *ST Xulan (000040.SZ) published its tenth risk warning on March 28, 2025, noting that its stock has also closed below 1 yuan for eighteen consecutive trading days, facing termination risk [2] - *ST Pengbo (600804.SH) released a risk warning on March 28, 2025, indicating that if its 2024 financial report receives a qualified opinion, disclaimer, or adverse opinion, the Shanghai Stock Exchange may decide to terminate its listing [2]

1、公司于 2024 年 7 月 5 日收到中国证券监督管理委员会深圳监管局《关 于对东旭蓝天新能源股份有限公司、东旭集团有限公司采取责令改正措施的决 定》（〔2024〕154 号），责令要求公司非经营性占用资金 77.96 亿元应在收到 决定书之日起六个月内归还。上述责令整改事项的期限已于 2025 年 1 月 5 日届 满， 公司未能在整改期限届满前完成整改，公司股票自 1 月 6 日开市起停牌。 截至 3 月 5 日，公司非经营性资金占用 75.27 亿元未能完成清收整改，公司股票 于 3 月 7 日复牌，并自复牌之日起被实施退市风险警示。 截至本公告日，公司非经营性资金占用 75.27 亿元，清收未有实质性进展。 目前未有偿还的实质性方案及明确时间表。 证券代码：000040 证券简称：*ST 旭蓝 公告编号：2025-032 东旭蓝天新能源股份有限公司 关于公司股票可能被终止上市的风险提示公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导 性陈述或重大遗漏。 特别提示： 2、根据《深圳证券交易所股票上市规则（2024 年修订）》第 9.4.18 条的规 定，若公司在股 ...