法律意见书 广州市天河区珠江东路 32 号利通广场 29 楼 2901 室 邮编/Zip Code:510623 电话/Tel:86-020-37392666 传真/Fax:86-020-37392826 电子邮箱/E-mail：kdgzlaw@163.com 北京 天津 上海 深圳 广州 西安 沈阳 南京 杭州 海口 菏泽 成都 苏州 呼和浩特 长沙 厦门 郑州 香港 武汉 合肥 重庆 北京市康达（广州）律师事务所 关于广东韶能集团股份有限公司 2025 年第三次临时股东大会的法律意见书 康达（广州）股会字【2025】第 0046 号 致：广东韶能集团股份有限公司 北京市康达（广州）律师事务所（以下简称"本所"）接受广东韶能集团股 份有限公司（以下简称"公司"）的委托，指派本所律师参加公司 2025 年第三 次临时股东大会（以下简称"本次会议"）。 本所律师根据《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》"）、《上市公司股东会规则》 （以下简称"《股东会规则》"）、《深圳证券交易所上市公司股东会网络投票 实施细则》、《广东韶能集团股份有限公司章程》（以 ...

Core Viewpoint - The commencement of the Yarlung Tsangpo River downstream hydropower project, with a total investment of approximately 1.2 trillion yuan, is expected to significantly reshape China's energy landscape, positively impacting the hydropower sector in the A-share market [1] ESG Reporting and Ratings - Among the 10 listed companies in the A-share hydropower industry, 7 have disclosed their 2024 ESG reports, resulting in a disclosure rate of 70% [1][2] - 9 out of 10 companies in the hydropower sector have received an A rating (including A and A+), while only 1 company is rated C [2] - Only 3 companies have disclosed Scope 1 and Scope 2 carbon emissions data, with no companies reporting Scope 3 emissions [2][4] Environmental and Social Dimensions - The protection of biodiversity is crucial for sustainable operations in hydropower projects, as highlighted by Guotou Power, which emphasizes ecological restoration and monitoring [5] - Jiangsu Power focuses on community relations and resettlement management to minimize the impact on local residents, ensuring long-term harmony [5] - The assessment of both environmental and social impacts is essential for determining the "green" status of hydropower projects, as improper management can lead to new environmental and social liabilities [6] International Expansion and Compliance - Leading hydropower companies are exploring overseas projects, such as Yangtze Power's clean energy initiatives in Peru and Huaneng Hydropower's first overseas large-scale hydropower BOT project in Myanmar [7][8] - The global shift away from coal has created a strong demand for clean energy, making countries with abundant water resources attractive for investment [8] - Compliance with local laws and regulations is critical for the success of offshore projects, as they face more complex risks compared to domestic projects [8]

股票简称：韶能股份 股票代码：000601 编号：2025-062 广东韶能集团股份有限公司 第十一届董事会第二十次临时会议决议公告 （一）广东韶能集团股份有限公司（下称"公司"）于2025 年7月16日以电子邮件方式发出了关于召开第十一届董事会第二 十次临时会议的通知。 （二）公司第十一届董事会第二十次临时会议于2025年7月 21日在公司18楼第Ⅰ会议室以现场加通讯方式召开。 （三）本次会议应到董事九名，实到董事九名，分别为胡启 金、韩卫宁/Han Weining、蓝江、伍阳、徐巍、邱啟华，独立董 事竹怀军、卢佳义、莫玲。其中韩卫宁/Han Weining、伍阳、徐 巍、卢佳义以通讯方式参加会议。 （四）会议由董事长胡启金主持。 （五）本次会议的通知、召集、召开、审议、表决程序均符 合法律、行政法规、部门规章、规范性文件和《公司章程》的规 定，会议形成的决议合法、有效。 二、董事会会议审议情况 本公司及董事会全体成员保证公告内容真实、准确和完整， 并对公告中的任何虚假记载、误导性陈述或者重大遗漏承担责任 一、董事会会议召开情况 2、关于集团公司向华夏银行申请授信的议案 根据业务发展需要，公司决定向华夏银行 ...

Market Overview - The Shanghai Composite Index rose by 0.37% on July 17, with 25 out of the 28 sectors experiencing gains, led by defense and military industry (up 2.74%) and communication (up 2.41%) [2] - The banking and transportation sectors saw declines of 0.42% and 0.39%, respectively, while the public utilities sector fell by 0.24% [2] Capital Flow Analysis - The net inflow of capital in the two markets was 11.662 billion yuan, with 15 sectors receiving net inflows [2] - The computer sector had the highest net inflow of 5.202 billion yuan, with a daily increase of 1.33%, followed by the electronics sector, which saw a 2.18% increase and a net inflow of 4.455 billion yuan [2] Public Utilities Sector Performance - The public utilities sector experienced a decline of 0.24%, with a net outflow of 1.248 billion yuan [3] - Out of 132 stocks in the public utilities sector, 44 stocks rose while 69 stocks fell [3] - The top three stocks with the highest net inflow in the public utilities sector were Huaguang Huaneng (net inflow of 34.38 million yuan), Leshan Electric Power (24.99 million yuan), and Jinko Technology (18.78 million yuan) [3] Public Utilities Sector Capital Inflow and Outflow - The top stocks with capital inflow included: - Huaguang Huaneng: +4.51%, 5.61% turnover, 34.38 million yuan inflow - Leshan Electric Power: +1.85%, 7.17% turnover, 24.99 million yuan inflow - Jinko Technology: 0.00%, 1.92% turnover, 18.78 million yuan inflow [4] - The top stocks with capital outflow included: - C Huaxin: -9.19%, 43.46% turnover, -281.48 million yuan outflow - Shaoneng Shares: -1.42%, 6.61% turnover, -87.48 million yuan outflow - Huayin Electric Power: -2.17%, 13.89% turnover, -87.12 million yuan outflow [5]

Group 1 - The company has approved the 2025 Restricted Stock Incentive Plan and the list of incentive objects during board meetings held on July 3 and July 7, 2025 [1][2] - The names and positions of the incentive objects will be publicly disclosed on the company's official website, and feedback from employees will be collected during the public notice period [1][2] - The Compensation and Assessment Committee has verified the qualifications of the incentive objects based on relevant laws and regulations, confirming that they meet the criteria set forth in the incentive plan [2][3] Group 2 - The incentive objects do not include independent directors or shareholders holding more than 5% of the company's shares, but current supervisors are included [3] - The committee believes that the public notice procedure for the incentive objects is legal and compliant, and the selected individuals are eligible under applicable laws and regulations [3][4] - The incentive plan aims to motivate key personnel, including directors and senior management, to align their interests with the company's performance [2][4]

Core Viewpoint - The company conducted a self-examination regarding the trading of its stocks by insiders and incentive recipients during the six months prior to the public disclosure of its 2025 restricted stock incentive plan, confirming no misuse of insider information [1][4]. Group 1: Examination Process - The company held two board meetings on July 3 and July 7, 2025, to approve the draft of the incentive plan and related proposals [1]. - The examination covered insider information recipients and incentive recipients, with necessary confidentiality measures taken [2]. - The self-examination period was defined as January 3, 2025, to July 3, 2025, during which stock trading activities were scrutinized [2]. Group 2: Trading Activities of Insiders - An independent director's relative engaged in stock trading during the self-examination period but claimed no knowledge of the incentive plan details, asserting the trades were based on personal market judgment [2]. - Other than the aforementioned individual, no other insider information recipients traded the company's stocks during the self-examination period [2]. Group 3: Trading Activities of Incentive Recipients - A total of 61 incentive recipients traded the company's stocks during the self-examination period, with their trades not based on knowledge of the incentive plan [3]. - These trades were conducted independently, without any insider information or influence from company officials [3]. Group 4: Conclusion - The company established relevant information disclosure and insider information management systems, ensuring compliance with legal and regulatory requirements [4]. - The examination concluded that no insider information was used for stock trading or leaked during the six months prior to the public disclosure of the incentive plan [4].

股票简称：韶能股份 股票代码：000601 公告编号：2025-059 广东韶能集团股份有限公司薪酬与考核委员会关于公司 2025 年 限制性股票激励计划激励对象名单的审核意见及公示情况说明 本公司及董事会全体成员保证公告内容真实、准确和完整，并对 公告中的任何虚假记载、误导性陈述或者重大遗漏承担责任 广东韶能集团股份有限公司（下称"公司"）于 2025 年 7 月 3 日、7 月 7 日分别召开第十一届董事会第十八次临时会议、第十九次 临时会议，审议通过了《关于<公司 2025 年限制性股票激励计划（草 案）>及其摘要的议案》等议案，根据《上市公司股权激励管理办法》 （下称"《管理办法》"）、《深圳证券交易所上市公司自律监管指 南第 1 号——业务办理》（下称"《自律监管指南》"）和《广东韶 能集团股份有限公司章程》（下称"《公司章程》"）的相关规定。 公司将 2025 年限制性股票激励计划（下称"本激励计划"）激励对 象的姓名和职务在公司官网进行公示，公司薪酬与考核委员会结合公 示情况对激励对象进行了审核，具体情况如下： 一、公示情况 （一）激励对象的公示情况 2025 年 7 月 7 日，公司在官网公示 ...

股票简称：韶能股份 股票代码：000601 公告编号：2025-61 广东韶能集团股份有限公司关于公司 2025 年限制性股票激励 计划内幕信息知情人及激励对象买卖公司股票的自查报告 本公司及董事会全体成员保证公告内容真实、准确和完整，并对 公告中的任何虚假记载、误导性陈述或者重大遗漏承担责任 广东韶能集团股份有限公司（下称"公司"）于 2025 年 7 月 3 日、7 月 7 日分别召开的第十一届董事会第十八次临时会议、第十一 届董事会第十九次临时会议，审议通过了《关于<公司 2025 年限制性 股票激励计划（草案）>及其摘要的议案》（下称"《激励计划（草 案）》"、"激励计划"）等相关议案。根据《上市公司股权激励管 理办法》（下称"《管理办法》"）、《深圳证券交易所上市公司自 律监管指南第 1 号——业务办理》（下称"《自律监管指南》"）等 相关法律法规的规定，公司对本激励计划采取了充分必要的保密措施， 同时对激励计划的内幕信息知情人进行了必要登记。公司通过中国证 券登记结算有限公司深圳分公司对本激励计划内幕信息知情人及激 励对象在《激励计划（草案）》公开披露前 6 个月内买卖公司股票的 情况进行自查，具 ...

广东韶能集团股份有限公司监事会关于公司 2025 年限制性股票 激励计划激励对象名单的审核意见及公示情况说明 股票简称：韶能股份 股票代码：000601 公告编号：2025-060 本公司及董事会全体成员保证公告内容真实、准确和完整，并对 公告中的任何虚假记载、误导性陈述或者重大遗漏承担责任 广东韶能集团股份有限公司（下称"公司"）于 2025 年 7 月 3 日召开第十一届董事会第十八次临时会议与第十一届监事会第七次 临时会议，7 月 7 日召开第十一届董事会第十九次临时会议与第十一 届监事会第八次临时会议，董事会审议通过了《关于<公司 2025 年限 制性股票激励计划（草案）>及其摘要的议案》等议案，根据《上市 公司股权激励管理办法》（下称"《管理办法》"）、《深圳证券交 易所上市公司自律监管指南第 1 号——业务办理》（下称"《自律监 管指南》"）和《广东韶能集团股份有限公司章程》（下称"《公司 章程》"）的相关规定。公司将 2025 年限制性股票激励计划（下称 "本激励计划"）激励对象的姓名和职务在公司官网进行公示。监事 会成员朱少伟、周遇爱作为本激励计划的激励对象对相关事项回避表 决，其他监事会成员 ...

Group 1 - The article highlights that 42 stocks appeared on the weekly trading list, with 24 showing net purchases from the Shenzhen Stock Connect [1] - The top three stocks with the highest net purchases were Zhongyou Capital, China Rare Earth, and Jingbeifang, with net purchases of 215.28 million, 213.55 million, and 142.71 million respectively [1] - The average increase of stocks with net purchases from Shenzhen Stock Connect was 14.37%, outperforming the Shanghai Composite Index, which rose by 1.09% [1] Group 2 - Among the stocks with net sales, the top two were Shaoneng Co. and Dadongnan, with net sales of 40.50 million and 36.76 million respectively [2] - The stock with the highest increase was Tongguan Copper Foil, which saw a price increase of 43.72% over the week [1] - The trading turnover rate for the stocks with net purchases was notably high, with some stocks like Hengbao Co. and Zhongke Jincai exceeding 170% [1]