关于对云鼎科技股份有限公司的监管函 公司部监管函〔2024〕第 81 号 云鼎科技股份有限公司董事会： 2024 年 1 月 26 日，你公司披露收到中国证监会山东监管局 出具的《关于对云鼎科技股份有限公司采取责令改正措施的决定》 （〔2024〕12 号），经查，你公司募集资金相关制度中资金使用 等方面内容不完善、在募集资金使用监督等方面执行不规范，在 将募集资金用于补充流动资金和偿还债务后，你公司未采取措施 规范募集资金补充流动资金和偿还债务使用过程。 你公司的上述行为违反了本所《上市公司自律监管指引第 1 号——主板上市公司规范运作》第 6.3.3 条的规定。 本所希望你公司及全体董事、监事、高级管理人员认真吸取 教训，并提醒你公司及全体董事、监事、高级管理人员严格遵守 《证券法》《公司法》等法律法规，以及本所《股票上市规则》、 《上市公司自律监管指引第 1 号——主板上市公司规范运作》及 相关规定，真实、准确、完整、及时、公平地履行信息披露义务， 1 深 圳 证 券 交 易 所 杜绝此类事件发生。 特此函告。 深圳证券交易所 上市公司管理二部 2024 年 4 月 26 日 2 ...

Financial Performance - The company's revenue for Q1 2024 was CNY 388,349,485.98, representing a 52.20% increase compared to CNY 255,163,998.18 in the same period last year[5] - Net profit attributable to shareholders for Q1 2024 was CNY 47,131,522.78, a significant increase of 100.86% from CNY 23,465,283.19 in Q1 2023[5] - The basic earnings per share for Q1 2024 was CNY 0.0697, up 97.45% from CNY 0.0353 in the previous year[5] - The operating profit for Q1 2024 reached CNY 50,494,334.96, up from CNY 40,383,960.99 in the same period last year, reflecting a growth of 25.2%[27] - The total comprehensive income for Q1 2024 was CNY 48,635,308.51, up from CNY 34,848,195.62 in the previous year, reflecting a growth of 39.6%[27] Cash Flow and Assets - The net cash flow from operating activities improved to -CNY 42,648,511.31, a 55.76% reduction in losses compared to -CNY 96,399,137.34 in Q1 2023[5] - The company's total assets decreased to CNY 2,461,811,971.69 from CNY 2,637,861,084.86, a decline of 6.7%[24] - Cash and cash equivalents decreased to CNY 702,596,169.23 from CNY 830,779,696.44, a reduction of 15.4%[22] - The company reported a cash and cash equivalents balance of CNY 681,786,280.88 at the end of Q1 2024, down from CNY 805,969,808.09 at the beginning of the quarter[29] Expenses and Liabilities - Total operating costs amounted to CNY 339,650,507.55, up 63.7% from CNY 207,515,222.14 in the prior year[26] - Research and development expenses increased by 38.05% to CNY 19,055,186.34, reflecting the company's commitment to enhancing its R&D capabilities[10] - Total liabilities decreased to CNY 780,495,396.79, down 11.7% from CNY 884,163,064.58[24] - The company incurred a total operating cash outflow of CNY 325,346,790.15, compared to CNY 198,528,628.32 in Q1 2023, indicating increased operational expenditures[29] Shareholder Information - Total number of common shareholders at the end of the reporting period is 55,540[13] - The largest shareholder, Shandong Energy Group Co., Ltd., holds 35.28% of shares, totaling 238,635,898 shares[13] - The top ten shareholders include both state-owned and non-state-owned entities, with significant stakes held by domestic corporations[13] Corporate Actions - The company completed the acquisition of a controlling stake in Beidou Tiandi Co., increasing its ownership from 68.35% to 95.34%[11] - The company completed the initial grant registration of the 2023 A-share restricted stock incentive plan, granting 12.14 million shares at a price of RMB 3.91 per share[15] - A major shareholder, Anhui Fengyuan Group Co., Ltd., has postponed the repurchase of 10 million shares, with the new repurchase date set for July 2, 2024[16] - The company plans to sell 90% of its subsidiary, Shandong Yanzhou Guotuo Technology Engineering Co., Ltd., for a cash consideration of RMB 143 million[17] - The company is in the process of nominating a new independent director due to the resignation of the current independent director[18] - The company is also nominating a new non-employee representative supervisor following the resignation of a current supervisor[20] Other Income and Financial Metrics - Other income increased by 256.35% to CNY 3,251,639.16, primarily from government subsidies related to industrial internet projects[10] - The weighted average return on equity improved to 3.24%, up from 1.68% in the previous year[5] - The company reported a net loss of CNY 397,228,239.69, improving from a loss of CNY 444,359,762.47 in the previous period[24] - Total revenue from operating activities amounted to CNY 267,411,387.73, significantly higher than CNY 93,626,163.70 in Q1 2023, marking a year-over-year increase of 186.5%[28]

中信建投证券股份有限公司 关于云鼎科技股份有限公司非公开发行股票 之保荐总结报告书 中信建投证券股份有限公司（以下简称"中信建投证券"或"保荐机构"） 作为云鼎科技股份有限公司（以下简称"云鼎科技"或"上市公司"）2022 年度 非公开发行股票的保荐机构，履行持续督导职责期限至 2023 年 12 月 31 日。目 前，云鼎科技非公开发行持续督导期已经届满，中信建投证券根据《证券发行上 市保荐业务管理办法》《深圳证券交易所上市公司自律监管指引第 13 号——保荐 业务》等法规和规范性文件的相关规定，出具本保荐总结报告书。 一、保荐机构及保荐代表人承诺 1、保荐总结报告书和证明文件及其相关资料的内容不存在虚假记载、误导 性陈述或重大遗漏，保荐机构及保荐代表人对其真实性、准确性、完整性承担法 律责任。 2、本机构及本人自愿接受中国证监会对保荐总结报告书相关事项进行的任 何质询和调查。 3、本机构及本人自愿接受中国证监会按照《证券发行上市保荐业务管理办 法》的有关规定采取的监管措施。 二、保荐机构基本情况 1、保荐机构名称：中信建投证券股份有限公司 2、注册地址：北京市朝阳区安立路 66 号 4 号楼 3、主要办公 ...

Financial Performance - The company's total revenue for the fourth quarter reached ¥438,572,119.68, with a net profit attributable to shareholders of ¥24,343,478.79[41]. - The first quarter revenue was ¥255,163,998.18, while the second quarter saw a decline to ¥206,792,273.52, indicating a 19% decrease[41]. - The net profit attributable to shareholders for the third quarter was ¥3,391,443.57, showing a significant drop compared to the previous quarters[41]. - The company reported a net cash flow from operating activities of ¥157,459,318.10 in the fourth quarter, recovering from a negative cash flow of ¥96,399,137.34 in the first quarter[41]. - The company reported a total revenue of 81.5 million for the fiscal year ending October 2023, reflecting a significant increase compared to the previous year[87]. - The company's total revenue for the reporting period reached ¥1,141,436,797.38, representing a year-on-year increase of 4.62%[172]. - The company’s comprehensive gross margin reached 38.19%, an increase of 6.4 percentage points year-on-year[163]. - The company reported a significant decrease in professional technical service revenue by 38.03%, totaling ¥46,548,723.11, which accounted for 4.08% of total revenue[172]. - The company achieved operating revenue of 1.141 billion yuan, an increase of 50.36 million yuan, representing a growth of 4.62% year-on-year[160]. - The total profit reached 132 million yuan, an increase of 54.01 million yuan, with a growth rate of 69.07% year-on-year[160]. - The net profit attributable to shareholders was 61.78 million yuan, a year-on-year increase of 36.69 million yuan, reflecting a growth of 146.17%[160]. Investments and R&D - The company plans to invest 10 million in R&D for new technologies in the upcoming fiscal year, focusing on AI and big data applications[93]. - Research and development expenses in 2023 were ¥77,854,009.07, a 19.95% increase from ¥64,904,503.13 in 2022[187]. - R&D investment amounted to ¥77,854,009.07 in 2023, an increase of 17.64% from ¥66,178,088.04 in 2022[193]. - R&D investment accounted for 6.82% of operating revenue in 2023, up from 6.07% in 2022, reflecting a 0.75% increase[193]. - The company has achieved significant advancements in AI, with 63 application scenarios developed based on its Pangu mining model, and holds over 20 related patents[151]. - The company has developed over 20 new AI-related patents and software copyrights, enhancing its technological capabilities[163]. Market Expansion and Strategy - The company is exploring market expansion strategies and new product development to drive future growth[23]. - The market expansion strategy includes targeting international markets, with a goal of increasing overseas revenue contribution to 30% by 2025[93]. - The external market revenue accounted for approximately 33.52% of total revenue, indicating significant market expansion efforts[163]. - The company has signed significant sales contracts, indicating a strong pipeline for future revenue[168]. - The company plans to continue expanding its market presence and investing in new product development to drive future growth[168]. Corporate Governance and Compliance - The company adheres to strict governance practices regarding related party transactions, ensuring compliance with regulatory requirements[67]. - The financial advisor for the reporting period was CITIC Securities, ensuring compliance and oversight[28]. Technological Advancements - The company is focused on integrating advanced technologies to improve operational efficiency and safety in the mining sector[158]. - The company is developing a comprehensive digital solution ecosystem for the energy sector, integrating technologies such as 5G, AI, big data, and cloud computing[58]. - The company has established a comprehensive automation system for real-time monitoring and control of coal mining operations, enhancing safety and efficiency[77]. - The intelligent mining solutions aim to meet the "less manpower, unmanned" demand in coal mining, focusing on automation and data integration for improved operational safety and efficiency[119]. - The company has developed a remote power supply system for high and low voltage switch cabinets, improving operational efficiency and reducing maintenance preparation time[125]. Stakeholder Engagement - The company emphasizes the importance of investor awareness regarding investment risks[7]. - The company has been recognized as one of the "Top 20 IT Companies in the Coal Industry" in 2023, indicating significant industry influence[46]. - The company has received multiple certifications and holds 31 invention patents, 106 utility model patents, and 323 software copyrights, showcasing its commitment to innovation[157]. Operational Efficiency - The company has achieved a 15% reduction in operational costs through the implementation of its comprehensive information management platform[95]. - The intelligent ventilation system ensures timely and demand-based air supply in mining operations, adapting to real-time environmental changes[75]. - The intelligent online ash detection system, SRA-815, features high detection accuracy (error less than 0.3%), a wide detection range unaffected by coal type, and a short detection time (less than 20 minutes), enabling unmanned operation and reducing labor costs in coal preparation plants[124]. - The intelligent washing and selection business integrates IoT, data analysis, and cloud computing technologies to enhance coal recovery rates, reduce production costs, and improve operational efficiency, contributing to economic and social benefits for coal enterprises[116]. Financial Position - Cash and cash equivalents increased to ¥830,779,696.44, representing 31.49% of total assets, up from 30.75% at the beginning of the year, a 0.74% increase[196]. - Accounts receivable decreased to ¥584,815,635.77, accounting for 22.17% of total assets, down from 24.94%, a decline of 2.77%[196]. - Inventory decreased to ¥259,301,745.22, which is 9.83% of total assets, down from 10.86%, a reduction of 1.03%[196]. - Fixed assets slightly decreased to ¥210,112,750.14, representing 7.97% of total assets, down from 8.59%, a decrease of 0.62%[196]. - The total amount of contract assets increased to ¥64,229,868.73, which is 2.43% of total assets, up from 2.24%, an increase of 0.19%[196].

| 事 项 | 存在的问题 | 采取的措施 | | --- | --- | --- | | 1.信息披露 | 无 | 不适用 | | 2.公司内部制度的建立和执行 | 无 | 不适用 | | 3."三会"运作 | 无 | 不适用 | | 4.控股股东及实际控制人变动 | 无 | 不适用 | | 5.募集资金存放及使用 | 参见本保荐工作报告"四、其他事项"之"3.其他需 | | | | 要报告的重大事项" | | | 6.关联交易 | 无 | 不适用 | | 7.对外担保 | 无 | 不适用 | | 8.收购、出售资产 | 无 | 不适用 | | 9.其他业务类别重要事项（包括 对外投资、风险投资、委托理财、 | 无 | 不适用 | | 财务资助、套期保值等） | | | | 10.发行人或者其聘请的中介机 | 无 | 不适用 | | 构配合保荐工作的情况 | | | | 11.其他（包括经营环境、业务发 展、财务状况、管理状况、核心 | 无 | 不适用 | | 技术等方面的重大变化情况） | | | 三、公司及股东承诺事项履行情况 中信建投证券股份有限公司 关于云鼎科技股份有限公司 2023 年度保荐工作报 ...

中审亚太会计师事务所(特殊普通合伙) China Audit Asia Pacific Certified Public Accountants LLP 关于云鼎科技股份有限公司 非经营性资金占用及其他关联资金往来 情况汇总表的专项审核报告 中国 · 北京 BEIJING CHINA 目 录 1、专项审核报告 2、非经营性资金占用及其他关联资金往来情况汇总表 1 3 . 关于云鼎科技股份有限公司 非经营性资金占用及其他关联资金往来 情况汇总表的专项审核报告 我们接受委托,在审计了云鼎科技股份有限公司（以下简称"云鼎科技") 2023 年 12 月 31 日的合并及公司资产负债表, 2023 年度的合并及公司利润表、 合并及公司现金流量表和合并及公司股东权益变动表以及财务报表附注的基础 上,对后附的《上市公司 2023年度非经营性资金占用及其他关联资金往来情况 汇总表》(以下简称"汇总表")进行了专项审核。按照中国证券监督管理委员会 等四部门联合发布的《上市公司监管指引第 8 号——上市公司资金往来、对外担 保的监管要求》的规定,如实编制和披露情况表,并确保其真实、合法及完整是 云鼎科技管理层的责任,我们的责任 ...

云鼎科技股份有限公司 2024 年第三次临时股东大会决议公告 本公司及董事会全体成员保证本公告的内容真实、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.本次会议不存在否决议案情况。 2.本次会议不涉及变更以往股东大会已通过的决议。 一、会议召开和出席情况 证券代码：000409 证券简称：云鼎科技 公告编号：2024-032 （一）会议召开情况 1.召开时间： （1）现场会议召开时间：2024 年 4 月 17 日（星期三）14:00。 （2）网络投票时间：2024年4月17日（星期三）。 其中：通过深圳证券交易所交易系统进行网络投票的具体时间为：2024年4 月17日9:15—9:25，9:30—11:30，13:00—15:00；通过深圳证券交易所互联网 投票系统进行网络投票的具体时间为：2024年4月17日9:15—15:00期间的任意时 间。 2.召开地点：山东省济南市历下区工业南路57-1号高新万达J3写字楼云鼎科 技股份有限公司1920会议室。 3.召开方式：采用现场投票与网络投票相结合的方式。 4.召集人：公司董事会。 5.主持人：公司董事长刘健先生。 6.本次股东大会会议 ...

云鼎科技股份有限公司 2023 年度独立董事述职报告 作为云鼎科技股份有限公司（"云鼎科技"或"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》《中华人民共和国证券法》《上市 公司治理准则》《上市公司独立董事管理办法》《深圳证券交易所上市公司自律监 管指引第 1 号——主板上市公司规范运作》等相关法律法规，以及《云鼎科技股 份有限公司章程》（"《公司章程》"）《云鼎科技股份有限公司独立董事工作制度》 等规定和要求，本着对全体股东负责的态度，诚信、勤勉、专业地履行独董职责， 全面、及时、深入地关注公司发展状况，认真审议董事会各项议案并对重大事项 发表意见，切实维护公司整体利益和中小股东合法权益。现将本人 2023 年度履 职情况报告如下： 一、基本情况 本人主要从事法律相关工作，在法律诉讼、风险合规及公司治理领域积累了 较丰富的经验。本人工作履历、专业背景以及任职情况汇报如下： 李兰明，男，1981 年 7 月出生，中国国籍，无境外永久居留权，硕士研究 生，律师。现任北京市炜衡律师事务所高级合伙人，云鼎科技股份有限公司独立 董事。历任北京市金杜律师事务所律师，北京普拓投资基金管理有限公司 ...

曹克，男，1974 年 8 月出生，中国国籍，无境外永久居留权，硕士研究生。 现任珠海长成投资管理有限公司执行董事兼经理，赛伯乐国际控股有限公司独立 董事，安华农业保险股份有限公司监事，深圳华讯方舟科技有限公司监事。历任 溢达集团有限公司会计、财务总监，华泰车轮毂有限公司中国区财务总监，杰米 国际有限公司首席财务官，融捷投资控股集团有限公司副总裁兼投资事业部总裁。 本人符合相关法律法规关于独立董事独立性的要求，不存在任何影响独立性 的情况。 二、2023 年度履职情况 （一）股东大会、董事会、董事会专门委员会及独立董事专门会议出席情况 2023 年，公司共召开 10 次董事会会议，本人应出席 8 次，亲自出席 8 次， 会议出席率和参与决议事项表决率均为 100%。公司召开股东大会 3 次，本人应 出席股东大会 2 次，亲自出席 2 次。公司召开独立董事专门会议 1 次，本人出席 1 次。 作为独立董事，本人对全部议案认真审核，积极发表意见和建议，以谨慎、 云鼎科技股份有限公司 2023 年度独立董事述职报告 作为云鼎科技股份有限公司（"云鼎科技"或"公司"）的独立董事，2023 年 度，本人严格按照《中华人 ...

云鼎科技股份有限公司（"公司"）于 2024 年 4 月 17 日召开第十一届董事 会第十二次会议，审议通过了《关于公司购买 2024 年度董监高责任险的议案》。 为完善公司风险管理体系，降低公司运营风险，促进公司董事、监事和高级管理 人员充分行使权利、履行职责，根据中国证券监督管理委员会《上市公司治理准 则》等相关规定，公司拟在 2024 年度为全体董事、监事及高级管理人员购买责 任险（"董监高责任险"）。具体方案如下： 公司董事会提请股东大会在上述权限内授权公司管理层办理购买 2024 年度 董监高责任险相关事宜（包括但不限于确定其他被保险人、保险公司、赔偿金额、 保险费及其他保险条款，签署相关法律文件及处理与投保相关的其他事项等）。 根据相关法律法规及《云鼎科技股份有限公司章程》的规定，公司全体董事 对本议案回避表决，本议案尚需提交公司 2023 年年度股东大会审议。 特此公告。 云鼎科技股份有限公司 证券代码：000409 证券简称：云鼎科技 公告编号：2024-026 云鼎科技股份有限公司 关于购买 2024 年度董监高责任险的公告 本公司及董事会全体成员保证本公告的内容真实、准确、完整，没有虚假记 ...