重庆永和律师事务所 关于三羊马（重庆）物流股份有限公司 向不特定对象发行可转换公司债券 并在深圳证券交易所上市的 法律意见书 二〇二三年十一月 | | | 重庆永和律师事务所 法律意见书 重庆永和律师事务所 关于三羊马（重庆）物流股份有限公司 向不特定对象发行可转换公司债券 并在深圳证券交易所上市的 法律意见书 致：三羊马（重庆）物流股份有限公司 重庆永和律师事务所与三羊马（重庆）物流股份有限公司签订了《专项法律 事务合同》，接受发行人的委托，担任发行人本次向不特定对象发行可转换公司 债券并在深圳证券交易所上市的特聘专项法律顾问，根据《证券法》、《公司法》 等有关法律、行政法规和中国证监会颁布的《上市公司证券发行注册管理办法》、 《可转换公司债券管理办法》、《公开发行证券公司信息披露的编报规则第 12 号—公开发行证券的法律意见书和律师工作报告》、《律师事务所从事证券法律 业务管理办法》、《律师事务所证券法律业务执业规则（试行）》等有关规范性 文件的规定，按照律师行业公认的业务标准、道德规范和勤勉尽责精神，对三羊 马（重庆）物流股份有限公司向不特定对象发行可转换公司债券并在深圳证券交 易所上市的有关法律事项及 ...

申港证券股份有限公司 关于 三羊马（重庆）物流股份有限公司 向不特定对象发行可转换公司债券 之 上市保荐书 保荐机构 二零二三年十一月 向不特定对象发行可转换公司债券上市保荐书 声 明 申港证券股份有限公司及本项目保荐代表人根据《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》） 等有关法律、法规和中国证监会及深圳证券交易所的有关规定，诚实守信，勤勉 尽责，严格按照依法制订的业务规则和行业自律规范出具上市保荐书，并保证所 出具文件真实、准确、完整。 本上市保荐书中，"最近三年一期""报告期"指"2020 年、2021 年、2022 年和 2023 年 1-9 月"，"报告期各期末"指"2020 年 12 月 31 日、2021 年 12 月 31 日、2022 年 12 月 31 日和 2023 年 9 月 30 日"。如无特别说明，本上市保 荐书中的简称或名词的释义与《三羊马（重庆）物流股份有限公司向不特定对象 发行可转换公司债券募集说明书》相同。 3-3-1 | ж | | --- | | 育 明】 | | --- | | 目 求 … | | 第一节 本次证券发 ...

证券代码：001317 证券简称：三羊马 公告编号：2023-079 三羊马（重庆）物流股份有限公司 关于使用部分闲置募集资金进行现金管理的进展公告 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、基本情况 三羊马（重庆）物流股份有限公司（以下简称"公司"）2022 年第一次临时股东 大会 2022 年 1 月 6 日审议通过《关于使用部分闲置募集资金进行现金管理的议案》， 同意公司和下属公司拟使用额度（指授权期限内任一时点投资本金总额）不超过人民 币 120,000,000.00 元闲置募集资金进行现金管理。额度内的资金可循环滚动使用， 取得的收益可进行再投资，再投资金额不包含在额度以内。授权董事长在额度内行使 决策权，授权财务负责人组织办理相关事项。授权期限为股东大会审议通过之日起 12 个月。具体内容详见公司在巨潮资讯网（http://www.cninfo.com.cn）上披露的 《2022 年第一次临时股东大会决议公告》《关于使用部分闲置募集资金进行现金管理 的公告》。 2022 年第三次临时股东大会 2022 年 12 月 29 日审议通过《关于 ...

Financial Performance - The company's operating revenue for Q3 2023 reached ¥239,212,097.25, representing a year-on-year increase of 29.22%[4] - Net profit attributable to shareholders for Q3 2023 was ¥4,859,170.28, up 22.83% compared to the same period last year[4] - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥4,738,832.41, a significant increase of 94.01% year-on-year[4] - Total operating revenue for the third quarter reached CNY 693,526,541.01, an increase of 14.77% compared to CNY 604,194,523.34 in the same period last year[21] - Net profit for the period was CNY 17,580,435.69, a decrease of 9.48% from CNY 19,422,266.04 in the previous year[22] - Earnings per share (EPS) for the quarter was CNY 0.22, down from CNY 0.24 in the same quarter last year[23] Assets and Liabilities - The total assets at the end of Q3 2023 amounted to ¥1,383,730,541.57, reflecting a 4.60% increase from the end of the previous year[4] - As of September 30, 2023, total assets reached RMB 1.384 billion, an increase from RMB 1.323 billion at the beginning of the year, reflecting a growth of approximately 4.6%[18] - Current assets amounted to RMB 645.5 million, down from RMB 679.6 million at the start of the year, indicating a decrease of about 5%[18] - Non-current assets increased to RMB 738.2 million from RMB 643.4 million, representing a growth of approximately 14.8%[18] - The company’s total liabilities as of September 30, 2023, were RMB 367.9 million, slightly down from RMB 374.1 million at the beginning of the year, indicating a decrease of about 1.3%[18] - The total liabilities increased to CNY 577,292,291.28 from CNY 526,060,562.17, reflecting a growth of 9.67%[22] Cash Flow - The company's cash flow from operating activities showed a net outflow of ¥23,165,346.38, a decrease of 146.50% compared to the previous year[4] - Cash received from operating activities increased by 164.33% to ¥44,898,350.22, driven by the recovery of deposits and guarantees[11] - Cash paid for various taxes decreased by 30.09% to ¥14,588,309.79 due to lower VAT and income tax payments[11] - Cash inflow from operating activities totaled CNY 714,696,276.68, compared to CNY 673,913,255.01 in the previous year[24] - The net cash flow from operating activities was -¥23,165,346.38, a decrease from ¥49,815,306.17 in the previous year[25] - The company reported a total cash outflow of ¥149,850,112.54 for the quarter, compared to -¥278,117,306.33 in the same period last year[25] Investments and Financing - The company's financial assets increased significantly, with trading financial assets rising by 291.15% to ¥118,000,000.00[8] - Cash received from financing activities increased by 63.30% to ¥138,802,524.32, reflecting an increase in bank loans[11] - The company plans to issue convertible bonds totaling up to RMB 210 million to enhance logistics capacity and repay bank loans[16] - The company is in the process of issuing convertible bonds, with the plan approved by the board and awaiting further regulatory approvals[16] - Cash inflow from financing activities totaled ¥150,702,524.32, compared to ¥85,400,000.00 in the same period last year[25] Expenses - Sales expenses increased by 32.38% to ¥5,283,199.37 due to higher personnel costs and travel expenses[10] - Financial expenses decreased by 50.04% to ¥2,418,528.41 as a result of reduced loan amounts and interest expenses[10] - Other income decreased by 43.45% to ¥1,791,405.98 primarily due to a reduction in government subsidies[10] - Investment income dropped by 58.49% to ¥1,700,821.40, mainly due to decreased financial returns and profits from joint ventures[10] - The company reported a decrease in research and development expenses to CNY 804,698.82 from CNY 951,109.42, a reduction of 15.43%[21] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 22,735[13] - Total equity attributable to shareholders of the parent company rose to CNY 806,269,728.82, compared to CNY 796,551,769.13 in the previous year[22] Accounting and Audit - The company has not undergone an audit for the third quarter report[26] - The company began implementing new accounting standards in 2023, affecting the financial statements[26]

证券代码：001317 证券简称：三羊马 公告编号：2023-077 三羊马（重庆）物流股份有限公司 第三届监事会第十三次会议决议公告 本公司及监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、监事会会议召开情况 三羊马（重庆）物流股份有限公司（以下简称"公司"）第三届监事会第十三次 会议 2023 年 11 月 6 日在重庆以现场结合通讯方式召开，会议通知于 2023 年 11 月 3 日以邮件或书面方式向全体监事发出，会议由监事会主席召集并主持，应到监事3 人， 实到监事 3 人。会议召集、召开、议案审议程序等符合相关法律、行政法规、部门规 章、规范性文件和《公司章程》的有关规定。 二、会议议案审议及表决情况 会议以记名投票表决方式进行表决，形成决议如下： （一）审议通过《关于更正 2023 年第三季度报告的议案》 议案内容：提请会议审议《2023 年第三季度报告（更正后）》。 监事会审核意见：监事会同意议案事项。 经审核监事会认为：董事会编制和审核 2023 年第三季度报告（更正后）的程序 符合《公开发行证券的公司信息披露编报规则第 19 号——财务信息的更正 ...

证券代码：001317 证券简称：三羊马 公告编号：2023-078 三羊马（重庆）物流股份有限公司 第三届董事会第十三次会议决议公告 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、董事会会议召开情况 三羊马（重庆）物流股份有限公司（以下简称"公司"）第三届董事会第十三次 会议 2023 年 11 月 6 日在重庆以现场结合通讯方式召开，会议通知于 2023 年 11 月 3 日以邮件或书面方式向全体董事发出，会议由董事长召集并主持，应到董事 8 人，实 到董事 8 人。会议召集、召开、议案审议程序等符合相关法律、行政法规、部门规章、 规范性文件和《公司章程》的有关规定。 议案表决结果：同意 8 票；反对 0 票；弃权 0 票。 独立董事左新宇、刘胜强、胡坚对议案发表了明确同意的独立意见。 董事会审核意见：董事会同意议案事项。 经审核，董事会认为 2023 年第三季度报告（更正后）的编制和审核程序符合《公 开发行证券的公司信息披露编报规则第 19 号——财务信息的更正及相关披露》等法 律、行政法规和中国证监会的规定，报告内容真实、准确、完整地反映了上市公 ...

我们对公司提交的《关于更正 2023 年第三季度报告的议案》发表明确同意意见。 （以下无正文） （本页无正文，为三羊马（重庆）物流股份有限公司《独立董事关于第三届董事 会第十三次会议相关事项的独立意见》之签署页） 独立董事签字： 三羊马（重庆）物流股份有限公司 独立董事关于第三届董事会第十三次会议相关事项的独立意见 依据相关法律、行政法规、部门规章、规范性文件和《公司章程》《独立董事工 作制度》的有关规定，作为三羊马（重庆）物流股份有限公司（以下称"公司"）的 独立董事，我们基于实事求是、独立判断、客观审慎的立场和态度，对公司第三届董 事会第十三次会议相关事项进行了认真核查和审阅，发表独立意见如下： （一）关于更正 2023 年第三季度报告的议案的独立意见 经核查我们认为：2023 年第三季度报告（更正后）的编制和审核程序符合《公开 发行证券的公司信息披露编报规则第 19 号——财务信息的更正及相关披露》等法律、 行政法规和中国证监会的规定，报告内容真实、准确、完整地反映了上市公司的实际 情况，不存在任何虚假记载、误导性陈述或者重大遗漏。本次更正内容不会对公司 2023 年第三季度的财务状况和经营成果造成实质 ...

证券代码：001317 证券简称：三羊马 公告编号：2023-074 本次发行的可转债规模为 21,000.00 万元，每张面值为人民币 100 元，共计 210.00 万张，按面值发行。本次向不特定对象发行的可转债向发行人在股权登记 日（2023 年 10 月 25 日，T-1 日）收市后中国证券登记结算有限责任公司深圳分 公司（以下简称"中国结算深圳分公司"）登记在册的原股东优先配售，原股东 优先配售后余额部分（含原股东放弃优先配售部分）通过深圳证券交易所（以下 简称"深交所"）交易系统网上向社会公众投资者发行。认购金额不足 21,000.00 万元的部分由保荐人（主承销商）包销。 一、本次可转债原股东优先配售结果 本次发行原股东优先配售的缴款工作已于 2023 年 10 月 26 日（T 日）结束， 本次发行向原股东优先配售 1,722,091 张，即 172,209,100 元，约占本次发行总量 的 82.00%。 二、本次可转债网上认购结果 三羊马（重庆）物流股份有限公司 向不特定对象发行可转换公司债券发行结果公告 保荐人（主承销商）：申港证券股份有限公司 本公司及董事会全体成员保证信息披露的内容真 ...

证券代码：001317 证券简称：三羊马 公告编号：2023-070 三羊马（重庆）物流股份有限公司 向不特定对象发行可转换公司债券中签号码公告 保荐人（主承销商）：申港证券股份有限公司 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 三羊马（重庆）物流股份有限公司（以下简称"三羊马"、"公司"或"发 行人"）和申港证券股份有限公司（以下简称"保荐人（主承销商）"或"申 港证券"） 根据《中华人民共和国证券法》、《上市公司证券发行注册管理办 法》（证监会令〔第 206 号〕）、《证券发行与承销管理办法》（证监会令〔第 208 号〕）、《深圳证券交易所上市公司证券发行与承销业务实施细则》（深证 上〔2023〕101 号）、《深圳证券交易所上市公司自律监管指引第 15 号——可 转换公司债券》（深证上〔2022〕731 号）和《深圳证券交易所上市公司自律监 管指南第 1 号——业务办理（2023 年 8 月修订）》（深证上〔2023〕705 号） 等相关规定组织实施向不特定对象发行可转换公司债券（以下简称"可转债" 或"三羊转债"）。 本次向不特定对象发 ...

Financial Performance - The company's operating revenue for Q3 2023 reached ¥283,705,368.95, representing a 53.26% increase year-over-year[5] - Net profit attributable to shareholders for Q3 2023 was ¥4,859,170.28, up 22.83% compared to the same period last year[5] - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥4,738,832.41, a significant increase of 94.01% year-over-year[5] - The company's basic earnings per share for Q3 2023 was ¥0.06, an increase of 20.00% year-over-year[5] - The company's weighted average return on equity was 0.61%, an increase of 0.11% compared to the previous year[5] - Total operating revenue for Q3 2023 reached CNY 738,019,812.71, an increase of 22.1% compared to CNY 604,194,523.34 in Q3 2022[22] - Net profit for Q3 2023 was CNY 17,580,435.69, a decrease of 9.5% from CNY 19,422,266.04 in Q3 2022[23] - The total comprehensive income for the third quarter was CNY 17,580,435.69, a decrease from CNY 19,422,266.04 in the previous year[24] - Basic and diluted earnings per share were both CNY 0.22, down from CNY 0.24 in the previous year[24] Assets and Liabilities - The total assets at the end of Q3 2023 amounted to ¥1,383,730,541.57, reflecting a 4.60% increase from the end of the previous year[5] - The company's total assets increased to CNY 1,383,730,541.57, compared to CNY 1,322,922,376.77 at the end of Q3 2022[20] - Total liabilities rose to CNY 577,292,291.28, up from CNY 526,060,562.17 year-over-year[20] - The company's total equity attributable to shareholders increased by 1.22% to ¥806,269,728.82 compared to the end of the previous year[5] - The total equity attributable to shareholders increased to CNY 806,269,728.82 from CNY 796,551,769.13, reflecting a growth of 1.1%[20] Cash Flow - The company's cash flow from operating activities showed a net outflow of ¥23,165,346.38, a decrease of 146.50% compared to the same period last year[9] - The net cash flow from operating activities was negative CNY 23,165,346.38, compared to a positive CNY 49,815,306.17 in the same period last year[26] - Cash inflow from operating activities totaled CNY 714,696,276.68, while cash outflow was CNY 737,861,623.06, resulting in a net cash flow deficit[26] - Cash received from operating activities increased by 164.33%, totaling CNY 44,898,350.22, due to the recovery of deposits and guarantees[11] - Cash and cash equivalents at the end of the period stood at CNY 97,561,515.95, compared to CNY 90,087,954.13 at the end of the previous year[26] Investments and Expenses - The company's financial assets held for trading increased by 291.15% to ¥118,000,000.00 due to investments in financial products[9] - The construction in progress increased by 41.76% to ¥368,537,502.55, attributed to the investment in the multi-modal transport intelligent application base project[9] - Research and development expenses were CNY 804,698.82, down from CNY 951,109.42 in the previous year, indicating a 15.4% reduction[22] - Sales expenses grew by 32.38%, reaching CNY 5,283,199.37, primarily due to an increase in personnel and travel costs[10] - Financial expenses decreased by 50.04%, amounting to CNY 2,418,528.41, due to a reduction in accumulated loan amounts and interest expenses[10] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 22,735[13] - The company reported a net loss attributable to minority shareholders of CNY -141,524.00, a 209.08% increase compared to the previous period[10] Financing Activities - The company plans to issue convertible bonds totaling up to RMB 210.00 million to enhance logistics capacity and repay bank loans[16] - The issuance of convertible bonds has been approved by the China Securities Regulatory Commission on September 6, 2023[16] - The company is in the process of issuing convertible bonds, with specific plans disclosed on October 24, 2023[16] - The company's financing plan includes a guarantee from its controlling shareholder for the full principal and interest of the convertible bonds[16] Other Financial Metrics - Cash received from tax refunds was CNY 20,917,035.83, attributed to VAT credits[11] - Cash paid for fixed assets and other long-term assets rose by 110.17%, reaching CNY 72,850,350.95, due to increased construction investments[11] - Long-term borrowings increased by 83.44%, totaling CNY 151,203,395.43, due to new long-term loans[10] - Accounts receivable rose to RMB 285.94 million, up from RMB 271.31 million, indicating an increase of 5.4%[18] - Other receivables increased to RMB 28.63 million from RMB 19.41 million, marking a rise of 47.3%[18] - Inventory slightly increased to RMB 9.61 million from RMB 9.41 million, showing a growth of 2.3%[18]