上海信公轶禾企业管理咨询有限公司 独立财务顾问报告 上海信公轶禾企业管理咨询有限公司 关于 联创电子科技股份有限公司 2022 年第二期股票期权与限制性股票激励计划 预留授予相关事项 之 独立财务顾问报告 独立财务顾问： 二〇二三年九月 1 | 第一章 | 声 | 明 3 | | --- | --- | --- | | 第二章 | 释 | 义 5 | | 第三章 | 基本假设 | 7 | | 第四章 | | 本激励计划履行的审批程序 8 | | 第五章 | | 本激励计划的预留授予情况 11 | | | 一、本激励计划的预留授予情况 11 | | | | 二、本次实施的激励计划与已披露的激励计划是否存在差异的说明 12 | | | 第六章 | 本激励计划授予条件说明 15 | | | | 一、股票期权与限制性股票授予条件 15 | | | | 二、董事会对授予条件成就的情况说明 16 | | | 第七章 | 独立财务顾问的核查意见 17 | | 上海信公轶禾企业管理咨询有限公司 独立财务顾问报告 第一章 声 明 上海信公轶禾企业管理咨询有限公司接受委托，担任联创电子科技股份有限 公司（以下简称"联创电子"、" ...

| 证券代码：002036 | 证券简称：联创电子 | 公告编号：2023—082 | | --- | --- | --- | | 债券代码：128101 | 债券简称：联创转债 | | 联创电子科技股份有限公司 第八届董事会第二十二次会议决议公告 本公司及董事会全体成员保证信息披露内容的真实、准确、完整，没有虚假记载、误导 性陈述或者重大遗漏。 一、董事会会议召开情况 联创电子科技股份有限公司（以下简称"公司"）第八届董事会第二十二次 会议通知于 2023 年 9 月 5 日通过电子邮件或专人书面送达等方式向全体董事、 监事、高级管理人员发出，会议于 2023 年 9 月 11 日 10：00 在公司三楼会议室 以通讯方式召开，会议由董事长曾吉勇先生主持，会议应到董事 9 名，实到董事 9 名，公司部分监事、高级管理人员列席了本次会议。本次会议符合《公司法》 和《公司章程》的有关规定。 二、董事会会议审议情况 1、会议以 9 票赞成，0 票反对，0 票弃权，审议通过了关于调整 2022 年第 二期股票期权与限制性股票激励计划股票期权行权价格及预留部分限制性股票 授予价格的议案。 根据《联创电子科技股份有限公 ...

联创电子科技股份有限公司独立董事 关于第八届董事会第二十二次会议相关事项的独立意见 根据《中华人民共和国公司法》、《关于在上市公司建立独立董事制度的指 导意见》、《上市公司自律监管指引第 1 号——主板上市公司规范运作》和《公 司章程》等相关规定，我们作为联创电子科技股份有限公司（以下简称"公司"） 的独立董事，对提交公司第八届董事会第二十二次会议审议的相关议案进行了审 议，现就相关议案所涉及的事项发表独立意见如下： 一、关于调整 2022 年第二期股票期权与限制性股票激励计划股票期权行权 价格及预留部分限制性股票授予价格的议案 的情形，符合《管理办法》等相关法律、法规和规范性文件规定的激励对象条件， 符合本激励计划规定的激励对象范围，其作为公司股票期权与限制性股票激励对 象的主体资格合法、有效。 4、公司不存在《管理办法》等法律、法规和规范性文件规定的禁止实施股 权激励计划的情形，公司具备实施股权激励计划的主体资格。 5、公司不存在为激励对象提供贷款、贷款担保或任何其他财务资助的计划 或安排。 我们认为,公司本次调整2022年第二期股票期权与限制性股票激励计划股票 期权行权价格及预留部分限制性股票授予价格， ...

联创电子科技股份有限公司 2022 年第二期股票期权与限制性股票激励计划 预留授予激励对象名单（预留授予日） 一、总体情况 1、拟授予的股票期权情况 | 激励对象 | 职务 | | 获授的股票期权 占本激励计划拟授予 | 占公司股本总 | | --- | --- | --- | --- | --- | | | | 数量（万份） | 股票期权总数的比例 | 额比例 | | 核心技术人员（共 | 3 人） | 20.00 | 0.80% | 0.02% | 注：1、上述"公司股本总额"为截至2023年9月11日的公司总股本1,068,860,352股， 下同。 2、根据本激励计划，预留股票期权数量为104.00万份，本次预留授予的股票期权数量 为20.00万份，剩余预留部分股票期权84.00万份不再授予并作废失效。 2、拟授予的限制性股票情况 | 激励对象 | 职务 | 获授的限制性股 | 占本激励计划拟授予限 | 占公司股本总 | | --- | --- | --- | --- | --- | | | | 票数量（万股） | 制性股票总数的比例 | 额比例 | | 核心技术人员（共 | 3 人） | 10.00 ...

证券代码：002036 证券简称：联创电子 公告编号：2023—084 债券代码：128101 债券简称：联创转债 联创电子科技股份有限公司 关于向 2022 年第二期股票期权与限制性股票激励计划 激励对象授予预留部分股票期权与限制性股票的公告 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。 重要内容提示： 联创电子科技股份有限公司（以下简称"公司"或"联创电子"）于 2023 年 9 月 11 日召开了第八届董事会第二十二次会议和第八届监事会第十五次会议， 审议通过了《关于向 2022 年第二期股票期权与限制性股票激励计划激励对象授 予预留部分股票期权与限制性股票的议案》。根据《联创电子科技股份有限公司 2022 年第二期股票期权与限制性股票激励计划》（以下简称"《激励计划》"或"本 激励计划"）的规定和公司 2022 年第四次临时股东大会的授权，董事会认为本激 励计划规定的预留部分授予条件已经成就，确定公司本激励计划股票期权和限制 性股票的预留授予日为 2023 年 9 月 11 日，向符合预留授予条件的 3 名激励对 象授予 20.00 万份股票期权，行 ...

二、监事会会议审议情况 1、会议以 3 票赞成，0 票反对，0 票弃权，审议通过了关于调整 2022 年第 二期股票期权与限制性股票激励计划股票期权行权价格及预留部分限制性股票 授予价格的议案。 经审核，监事会认为：公司实施了 2022 年年度权益分派方案，董事会根据 股东大会的授权及公司《激励计划》的规定，对股票期权行权价格及预留部分限 制性股票授予价格进行调整，调整程序合法合规。监事会同意本次对股票期权行 权价格及预留部分限制性股票授予价格的调整。 证券代码：002036 证券简称：联创电子 公告编号：2023—081 债券代码：128101 债券简称：联创转债 联创电子科技股份有限公司 第八届监事会第十五次会议决议公告 本公司及监事会全体成员保证信息披露的内容真实、准确和完整，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 联创电子科技股份有限公司（以下简称"公司"）第八届监事会第十五次会 议通知于2023年9月5日通过电子邮件或专人书面送达等方式发出，会议于2023 年 9 月 11 日 9：30 在公司三楼 3-1 会议室以通讯方式召开，会议由监事会主席 刘丹先生主持，会议应到监事 ...

证券代码:002036 证券简称:联创电子 债券代码:128101 债券简称:联创转债 联创电子科技股份有限公司 投资者关系活动记录表 编号:2023-005 投 资 者 关 系 活 □特定对象调研 分析师会议 动类别 媒体采访 业绩说明会 新闻发布会 路演活动 现场参观 其他 (请文字说明其他活动内容) 序 号姓名 公司 序 号姓名 公司 参 与 单 位 名 称 及人员姓名 1 Andy CheukADIA (Abu Dhabi Investment Authority)10 Peter Cui Hillhouse 2 Baijing Yu Comgest SA 11 Richard Ge Teng Yue Partners 3 Can Cui Panview 12 Stephen Chow Allianz Global 4 Christine Ye Lazard Asset Mgmt LLC 13 Ting Han Gaoyi Asset Mgmt Co Ltd 5 Chuan CHEN AnglePoint Asset Mgmt 14 Vivian Wang FIL 6 Jerry Peng Ishan ...

证券代码：002036 证券简称：联创电子 公告编号：2023—080 债券代码：128101 债券简称：联创转债 联创电子科技股份有限公司 根据《上市公司股份回购规则》《深圳证券交易所上市公司自律监管指引第 9 号——回购股份》（以下简称"《回购指引》"）等相关规定，公司应当在每 个月的前三个交易日内披露截至上月末的回购进展情况，现将公司首次回购公司 股份情况公告如下： 截至 2023 年 8 月 31 日，公司通过回购专用证券账户，以集中竞价交易方式 累计回购股份 2,240,000 股，占截至 2023 年 8 月 31 日公司总股本的 0.21%，最 高成交价为 9.0580 元/股，最低成交价为 8.7620 元/股，支付的总金额为 19,976,030.00 元（不含交易费用），本次回购符合相关法律法规的要求，符合 公司回购股份方案。 二、其他说明 关于回购股份的进展公告 本公司及董事会全体成员保证信息披露内容的真实、准确和完整，没有虚假记载、误 导性陈述或者重大遗漏。 联创电子科技股份有限公司（以下简称"公司"）于 2023 年 5 月 7 日召开 第八届董事会第十八次会议，审议通过了《关于<回 ...

Financial Performance - The company's revenue for the first half of 2023 was ¥4,199,806,038.62, a decrease of 13.81% compared to ¥4,872,918,024.91 in the same period last year[115]. - The net profit attributable to shareholders was -¥279,469,958.30, representing a decline of 370.32% from ¥103,385,422.33 in the previous year[115]. - The net profit after deducting non-recurring gains and losses was -¥300,802,917.39, a decrease of 539.94% compared to ¥68,374,022.94 in the same period last year[115]. - The company's total assets increased by 5.54% to ¥15,857,034,736.57 from ¥15,024,405,850.96 at the end of the previous year[115]. - The net assets attributable to shareholders decreased by 6.96% to ¥3,533,770,306.20 from ¥3,797,999,962.28 at the end of the previous year[115]. - The company reported a basic earnings per share of -¥0.2603, down 367.52% from ¥0.0973 in the same period last year[115]. - The company's operating revenue for the reporting period was approximately $4.20 billion, a decrease of 13.81% compared to the same period last year[150]. - Operating costs decreased by 11.73% to approximately $3.83 billion, reflecting no significant changes in operations[150]. - Research and development expenses increased by 17.89% to approximately $503.79 million, indicating continued investment in innovation[150]. - The net cash flow from operating activities was approximately $1.41 million, an increase of 8.34% year-over-year[150]. - The company reported a significant increase in income tax expenses, up 284.30% to approximately $1.52 million, due to changes in taxable income and deferred tax expenses[150]. - The net increase in cash and cash equivalents was negative at approximately -$485.23 million, a decline of 142.89% compared to the previous year[150]. Environmental Compliance - The company reported a total COD discharge of 21.87 tons/year and NH4-N discharge of 2.19 tons/year, meeting the wastewater discharge standards[24]. - The company achieved a BOD5 discharge of 4.37 tons/year and SS discharge of 4.37 tons/year, in compliance with the relevant environmental regulations[24]. - The company’s wastewater treatment process includes a pre-treatment stage with an oil separator and septic tank, ensuring compliance with the Jiangxi provincial wastewater standards[24]. - The company’s emissions of non-methane total hydrocarbons were recorded at 3.89 mg/m³, with ethanol emissions at 8.3 mg/m³, adhering to atmospheric pollutant discharge standards[24]. - The company’s overall wastewater management strategy includes compliance with local environmental standards and continuous monitoring of discharge levels[30]. - The company has established wastewater treatment facilities that meet local environmental standards for industrial wastewater discharge[33]. - The company has received multiple environmental impact assessment approvals, indicating ongoing compliance with environmental regulations[42]. - The company faced an administrative penalty of RMB 21,000 due to noise exceeding standards, with no significant impact on operations[64]. - The company has implemented measures to increase investment in noise reduction equipment following the penalty[64]. - The company is actively monitoring and managing its emissions to comply with environmental standards, including the "Comprehensive Emission Standards for Air Pollutants"[64]. - The company has established pollution prevention facilities, including a wastewater treatment station and hazardous waste storage, which are all operating normally[79]. - The company's wastewater discharge from living and production processes meets the first-level B standard of the Urban Wastewater Treatment Plant Pollutant Discharge Standard (GB18918-2002)[78]. Corporate Governance - The company emphasizes strict compliance with laws and regulations to protect shareholder and creditor rights, ensuring accurate and timely information disclosure[39]. - The company is focused on enhancing its governance structure to improve operational stability and decision-making[41]. - The company has established a management committee for its employee stock ownership plan, which is set to undergo adjustments following the lock-up period[54]. - The company has not reported any changes in the management committee members of the employee stock ownership plan during the reporting period[55]. - The company has implemented various employee training programs, including onboarding, professional skills, and corporate culture training[68]. - The company adheres to labor laws and provides comprehensive social insurance and housing fund benefits for employees[68]. - The company has established a mechanism to protect the rights and interests of suppliers and customers[68]. Market and Product Development - The company is actively pursuing new strategies for market expansion and product development, although specific new products or technologies were not detailed in the report[33]. - The company continues to collaborate with major smartphone ODM customers, including Huaqin, Wentai, and Longqi, to supply camera modules[121]. - The company is actively developing and shipping hybrid glass-plastic lenses and imaging modules, as well as periscope lenses and imaging modules[121]. - The company has maintained its global industry-leading position in high-definition wide-angle lenses, with rapid growth in automotive lenses and imaging modules[141]. - The company has strengthened strategic cooperation with international companies like Mobileye and Nvidia to expand market share in the automotive electronics sector[142]. - The company is focusing on expanding its product scale in smart automotive, education, smart home, and security monitoring sectors, which is expected to continuously enhance economic benefits[122]. - The company is expanding its product offerings in the consumer electronics sector beyond mobile phones, focusing on high-definition wide-angle lens products[163]. Financial Management - The company plans to repurchase and cancel a total of 4.74725 million restricted stocks due to performance assessment failures and personal reasons, resulting in a change in share capital to RMB 1,068,777,218.00[2]. - The company has received approval from the China Securities Regulatory Commission for the public issuance of convertible bonds, indicating ongoing financing activities[2]. - The company’s financial liabilities are measured at fair value, with changes in fair value recognized in the current profit and loss unless related to hedging[56]. - The company plans to not distribute cash dividends or issue bonus shares for the semi-annual period[69]. - A total of 4.38 million restricted stocks were repurchased and canceled due to unmet performance targets and employee departures[73]. - The company raised approximately ¥1.06 billion through a private placement in 2020, with 36.68% of the funds already utilized for production projects[179]. - As of June 30, 2023, the company has invested a total of RMB 940,287,910.84 in fundraising projects, with RMB 45,802,289.01 used in the current year[182]. - The remaining balance of the fundraising is RMB 41,726,149.26, with a discrepancy of RMB 76,090,321.29, including RMB 80,000,000.00 temporarily used to supplement working capital[182]. Research and Development - As of June 2023, the company has obtained a total of 874 patent authorizations, including 385 invention patents, with 114 patents authorized in the first half of 2023[146]. - The company has a global R&D team with innovation centers established in China, the USA, and Germany, fostering collaboration with domestic and international research institutions[126]. - The company has implemented a comprehensive talent management system to attract and retain high-end talent, enhancing its professional and international team[127]. - The company has established a national-level postdoctoral research workstation, enhancing its technological innovation capabilities[166]. - The company aims to cultivate a multidisciplinary and innovative talent pool through its newly established research platform to support high-quality development[166].

证券代码：002036 证券简称：联创电子 公告编号：2023-069 债券代码：128101 债券简称：联创转债 联创电子科技股份有限公司 关于控股股东部分股份质押延期购回的公告 本公司及董事会全体成员保证信息披露的内容真实、准确和完整，没有虚假记载、误 导性陈述或重大遗漏。 联创电子科技股份有限公司（以下简称"公司"）近日收到控股股东江西鑫 盛投资有限公司（以下简称"江西鑫盛"）的通知，获悉江西鑫盛将所持有公司 的部分股份质押办理了延期购回，现将有关情况公告如下： 一、股东股份质押延期的基本情况 注：1、韩盛龙先生"未质押股份限售和冻结数量"的限售股份为高管锁定股； 2、曾吉勇先生"未质押股份限售和冻结数量"的限售股份为高管锁定股和 2021 年限 制性股票激励计划尚未解除限售的限制性股票，2023 年 6 月 28 日已回购注销 2021 年限制 性股票激励计划部分限制性股票 30 万股。 二、控股股东及其一致行动人股份质押情况 1、公司控股股东江西鑫盛本次股份质押融资用于其自身经营发展所需，不 存在负担重大资产重组等业绩补偿。 | | 是否为 | | 占其 | 占公 | | 是否 | | | | | ...