中光学集团股份有限公司 2023 年度内部控制自我评价报告 中光学集团股份有限公司全体股东： 根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制 监管要求（以下简称企业内部控制规范体系），结合中光学集团股份有限 公司（以下简称公司）内部控制制度和评价办法，在内部控制日常监督和 专项监督的基础上，我们对公司截至 2023 年 12 月 31 日（内部控制评价 报告基准日）的内部控制有效性进行了评价。 根据公司非财务报告内部控制重大缺陷认定情况，于内部控制评价报 告基准日，公司未发现非财务报告内部控制重大缺陷。 自内部控制评价报告基准日至内部控制评价报告发出日之间未发生 影响内部控制有效性评价结论的因素。 三、内部控制评价工作情况 （一）内部控制评价范围 一、董事会对内部控制报告真实性的声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制， 评价其有效性，并如实披露内部控制评价报告是公司董事会（或管理层） 的责任。监事会对董事会（或管理层）建立和实施内部控制进行监督。管 理层负责组织领导企业内部控制的日常运行。公司董事会、监事会及董事、 监事、高级管理人员保证本报告内容不存在任何虚假记载、误 ...

根据《上市公司独立董事管理办法》《深圳证券交易所股票上市 规则》《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》及《公司章程》等有关规定，中光学集团股份有限公司 （以下简称"公司"）独立董事于 2024 年 4 月 24 日以现场会议和 视频会议方式召开第六届董事会独立董事专门会议 2024 年第一次会 议。本次会议由全体独立董事共同推举的刘姝威女士召集并主持，会 议应出席独立董事 3 人，实际出席独立董事 3 人。审查事项如下： 1. 关于 2023 年日常关联交易实施情况及 2024 年日常关联交易 预计相关事项的审查意见： 中光学集团股份有限公司 独立董事专门会议 2024 年第一次会议审查意见 独立董事认为，公司 2023 年度日常关联交易实际发生金额未超 过预计总金额，2023 年度实际交易金额与预计金额存在一定差异， 是部分业务合作情况变化导致，符合公司生产经营和业务发展的实际 情况。公司 2023 年度已发生的日常关联交易事项公平、公正，交易 价格公允、合理，不影响公司的独立性，不存在损害公司及中小股东 利益的情形。 公司预计的 2024 年度日常关联交易为公司日常生产经 ...

中光学集团股份有限公司 控 股 股 东及 其 他关 联 方 资金 占 用 情 况的 专 项说 明 天职业字[2024]16909-3 号 目 录 控股股东及其他关联方资金占用情况的专项说明 1 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 2 控股股东及其他关联方资金占用情况的专项说明 天职业字[2024]16909-3 号 中光学集团股份有限公司董事会： 我们审计了中光学集团股份有限公司（以下简称"中光学"）财务报表，包括2023年12月 31日的合并及母公司资产负债表，2023年度的合并及母公司利润表、合并及母公司现金流量表、 合并及母公司股东权益变动表，以及财务报表附注，并于2024年04月24日签署了标准无保留意 见的审计报告。 根据中国证监会、公安部、国资委、中国银保监会《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》（中国证券监督管理委员会公告[2022]26号）和证券交易 所相关文件要求，中光学编制了后附的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"）。 中国注册会计师： 中国注册会计师： 1 2023 年度非经营性资金占用及其他 ...

中光学集团股份有限公司 2023 年度监事会工作报告 | 会议时间 | 会议届次 | 审议通过议题 | 2023 | 年 | 2 | 月 | 第六届监事会 | 1.《关于<公司 | 2023 | 年全面风险管理报告>的议案》 | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 21 | 日 | 第四次会议 | 2.《关于<公司 | 2023 | 年内部审计工作计划>的议案》 | 1.《关于公司<2022 | 年年度报告及摘要>的议案》 | | | | | 2.《关于公司<2022 | 年度监事会工作报告>的议案》 | 3.《关于公司<2022 | 年度财务决算及 | 2023 | 年度财务 | | | | | | | 预算报告>的议案》 | 4.《2022 | 年度利润分配预案》 | | | | | | | | | | 5.《2022 | 年度融资计划的议案》 | 6.《2022 | 年度内部控制自我评价报告》 | | | | | | | | | 2023 | 年 | 4 | 月 | 第六届监事会 | 7.《关于 | ...

中光学集团股份有限公司 2023 年度涉及财务公司关联交易 的存款、贷款等金融业务的专项说明 天职业字[2024]16909-4 号 目 录 2023 年度涉及财务公司关联交易的存款、贷款等金融业务的专项说明 1 涉及兵器装备集团财务有限责任公司存款、贷款等金融业务情况汇总表 3 关于中光学集团股份有限公司 2023 年度涉及财务公司关联交易的存款、贷款等金融业务的专项说明 天职业字[2024]16909-4 号 中光学集团股份有限公司董事会： 按照中国证监会、中国银保监会《关于规范上市公司与企业集团财务公司业务往来的通知》 以及《深圳证券交易所上市公司自律监管指引第 7 号——交易与关联交易》的要求，贵公司管 理层编制了本专项说明所附的《中光学集团股份有限公司 2023 年度涉及兵器装备集团财务有 限责任公司关联交易的存款、贷款等金融业务情况汇总表》（以下简称"汇总表"）。 如实编制和对外披露汇总表，并确保其真实性、合法性及完整性是贵公司管理层的责任。 我们对汇总表所载资料与我们审计贵集团 2023 年度财务报表时所复核的财务资料和经审计的 财务报表的相关内容进行了核对，在所有重大方面没有发现不一致之处。除 ...

公司本次计提信用减值损失及资产减值损失遵照并符合《企 业会计准则》及公司相关会计政策的规定，计提信用减值损失及 资产减值损失依据充分，体现了会计处理的谨慎性原则，有利于 客观、公允地反映公司财务状况和经营成果，使公司关于资产价 值的会计信息更加真实可靠及具有合理性。因此，我们一致同意 公司本次计提信用减值损失及资产减值损失事项。 根据《中华人民共和国证券法》《企业会计准则》《上市公 司自律监管指引第 1 号—主板上市公司规范运作》及公司《董事 会审计与风险管理委员会议事规则》等规定，中光学集团股份有 限公司（以下简称"公司"）董事会审计与风险管理委员会现对公 司 2023 年度计提信用减值损失及资产减值损失事宜，基于勤勉 尽责立场，发表如下意见： 中光学集团股份有限公司 审计与风险管理委员会委员 刘姝威、王腾蛟、徐斌 2024 年 4 月 26 日 中光学集团股份有限公司审计与风险管理委员会 关于 2023 年度计提资产减值准备合理性的说明 ...

2.交易金额：中光学集团股份有限公司（以下简称"公司"）子公司南阳利 达光电有限公司（以下简称"利达光电"）远期结售汇额度为1000万美元，期限 为自股东大会批准之日起一年内有效。 3.特别风险提示：业务开展过程中存在市场风险、流动性风险、操作风险， 敬请投资者注意投资风险。 一、投资情况概述 证券代码：002189 证券简称：中光学 公告编号：2024-021 中光学集团股份有限公司 关于公司下属子公司开展外汇远期业务的公告 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： 1.交易类型：远期结售汇。 1.交易目的：公司子公司开展远期外汇交易，坚持风险中性、简单适用、整 体性和纪律性四大原则，谨以减少汇率波动对会计报表和关键财务指标的冲击、 保护现金流为目的，回避复杂的外汇衍生品，将汇率风险管理操作均质化，以实 际生产经营为基础，套期保值规模不超过实货经营规模的50%，确保公司具备与 所开展业务相适应的资金实力和抗风险能力。 2.交易金额： 1,000万美元远期锁汇额度。 3.交易方式：在签定商务合同（含订单）或外币融资合同后，公司与金融机 构 ...

Financial Performance - The company's operating revenue for Q1 2024 was ¥450,930,805.17, a decrease of 21.70% compared to ¥575,865,452.27 in the same period last year[5] - The net profit attributable to shareholders was -¥9,963,938.79, an improvement of 84.75% from -¥65,323,479.50 year-on-year[5] - The total comprehensive income for the first quarter of 2024 was -11,858,530.36 CNY, compared to -67,779,727.37 CNY in the same period last year[21] - Net profit for Q1 2024 was -¥11,858,530.36, an improvement from -¥67,779,727.37 in Q1 2023[20] - The basic and diluted earnings per share for the first quarter were both -0.0381 CNY, down from -0.2496 CNY year-over-year[21] Cash Flow - The net cash flow from operating activities was -¥74,864,629.25, a decline of 85.73% compared to -¥40,308,786.95 in the previous year[5] - Cash inflows from operating activities amounted to 488,285,155.55 CNY, a decrease of 43.3% from 861,440,821.39 CNY in the previous year[22] - Cash outflows from operating activities totaled 563,149,784.80 CNY, down 37.5% from 901,749,608.34 CNY year-over-year[23] - The company reported cash inflows from financing activities of 20,000,000.00 CNY, an increase from 15,000,000.00 CNY in the previous year[23] - The net cash flow from financing activities was 13,555,313.21 CNY, compared to -15,038,575.89 CNY in the same period last year[23] - The ending balance of cash and cash equivalents was 289,353,689.42 CNY, down from 564,773,418.62 CNY year-over-year[23] Assets and Liabilities - The total assets at the end of the reporting period were ¥3,076,992,679.34, down 1.75% from ¥3,131,680,481.09 at the end of the previous year[5] - Total liabilities decreased to ¥1,925,122,017.90 from ¥1,968,265,964.93, a reduction of 2.2%[18] - The company’s total equity decreased to ¥1,151,870,661.44 from ¥1,163,414,516.16, a decline of 1.0%[18] - Cash and cash equivalents in current assets totaled ¥1,740,328,720.40, down from ¥1,822,684,023.26[18] - The company reported a decrease in inventory to ¥293,874,229.02 from ¥326,284,469.67, a decline of 9.9%[18] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 37,593[11] - The shareholder structure remains stable with no significant changes reported in major shareholders[14] Research and Development - Research and development expenses decreased by 30.53% year-on-year, amounting to a reduction of ¥11,734,069.16[7] - Research and development expenses decreased to ¥26,705,055.51 from ¥38,439,124.67, reflecting a reduction of 30.5% year-on-year[20] Other Income and Investments - The company received government subsidies totaling ¥6,175,366.81, contributing to a 150.04% increase in other income[7] - The company reported an increase in investment income of ¥5,782,314.08, attributed to reduced losses from associated enterprises[7] Operational Insights - Cash received from sales of goods and services decreased by 44.42%, totaling a reduction of ¥375,432,997.21[8] - The total cash balance decreased to ¥307,993,651.50 from ¥405,454,829.19, representing a decline of approximately 24.1%[16] - Accounts receivable increased to ¥896,691,018.77 from ¥827,362,511.06, showing a growth of about 8.4%[16] - Prepayments rose to ¥92,671,732.03 from ¥75,844,876.39, indicating an increase of approximately 22.2%[16] - The company reported a significant decrease in cash reserves, which may impact liquidity for future operations[16] - The increase in accounts receivable suggests a potential rise in sales or credit terms extended to customers[16] - The growth in prepayments could indicate strategic investments in future projects or inventory[16] Future Outlook - The report does not provide specific future guidance or performance outlook for the upcoming quarters[14] - The company has not disclosed any new product launches or technological advancements in this quarter[14] - There are no updates on market expansion or mergers and acquisitions in the current report[14] Accounting Standards - The company has not undergone an audit for the first quarter report[24] - The report indicates the implementation of new accounting standards starting in 2024[24]

中光学集团股份有限公司 2023 年度董事会年度工作报告 2023 年，公司严格按照《公司法》《证券法》《上市公司治理准 则》《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》《深圳证券交易所股票上市规则》等有关法律法规的要 求，不断完善公司治理结构，健全内部控制制度，进一步加强公司信 息披露工作，积极开展投资者关系管理，提升公司治理水平，确保公 司规范、健康发展。公司整体运作规范，公司治理状况符合中国证监 会发布的有关上市公司治理的规范性文件要求。 一、2023 年经营情况概述 2023 年是公司全面贯彻党的二十大精神的开局之年，是公司攻 坚克难谋发展的关键一年。面对消费类电子行业市场需求持续疲软、 行业竞争激烈和客户降价等多重不利因素，公司顶压前行，锐意改革 进取，全面贯彻落实集团公司勇于开辟新领域、制胜新赛道"三个进 一步融入"的发展要求，发挥先进光学技术和产业优势赋能军品、汽 车生态圈，推动企业发展潜力不断释放，科技创新能力持续提升，并 行推进巡视整改和提质增效，2023 年公司科技投入、发明专利分类 指标完成预算，实现营业收入 21.74 亿元，同比减少 33.8%；归属于 ...

Financial Performance - The company's operating revenue for 2023 was CNY 2,173,528,632.44, a decrease of 33.84% compared to CNY 3,285,114,559 in 2022[22]. - The net profit attributable to shareholders for 2023 was CNY 247,957,134.19, down 33.54% from CNY 185,680,658 in 2022[22]. - The basic earnings per share for 2023 was -0.9479 CNY, a decline of 33.92% from -0.7078 CNY in 2022[22]. - The total assets of the company decreased by 13.92% from the end of 2022 to 3,131,680,481.09 CNY at the end of 2023[24]. - The net assets attributable to shareholders decreased by 18.65% to 1,094,993,947.47 CNY at the end of 2023 compared to the end of 2022[24]. - The total revenue for 2023 was approximately ¥2.17 billion, a decrease of 33.84% compared to ¥3.29 billion in 2022[47]. - The company reported a significant decrease in sales volume for optical components, down 26.72% to 10.66 million units[49]. - The company reported a total revenue of 1.2 billion RMB for the fiscal year, representing a 15% increase year-over-year[120]. - The company provided a positive outlook for the next fiscal year, projecting a revenue growth of 10% to 12%[175]. Cash Flow and Investments - The net cash flow from operating activities increased by 35.10% to CNY 95,278,976.47 in 2023, compared to CNY 146,808,042 in 2022[22]. - The company received government subsidies amounting to 29,763,084.10 CNY in 2023, down from 42,197,407.64 CNY in 2022[31]. - The net cash flow from financing activities increased by 229.49%, reaching ¥5,768,653.37, mainly due to the payment of shareholder exit funds in the previous period[61]. - The total investment for the reporting period was CNY 164,059,046.26, a decrease of 2.70% compared to CNY 168,603,225.87 in the previous year[69]. - The company reported a significant increase in operational efficiency, contributing to improved profit margins compared to the previous year[109]. Research and Development - The company continues to focus on research and development in optical components and related technologies[22]. - The company invests over 5% of its annual revenue in R&D, with new products contributing to over 50% of its revenue[42]. - The company is actively developing new products and technologies in the fields of micro-light, infrared, and laser detection, with a strong emphasis on proprietary technology and innovation[43]. - Research and development (R&D) investment decreased by 22.46% to ¥149,990,200.00, while the R&D investment as a percentage of operating revenue increased to 6.90%[59]. - The company is investing 200 million RMB in R&D for new technologies, focusing on AI and automation[120]. Market and Product Development - The company is focusing on expanding its overseas security market, particularly in countries along the "Belt and Road" initiative[35]. - The company is committed to developing new products in the automotive smart optoelectronic sector, which is expected to create new growth points[90]. - The company plans to accelerate the development and market launch of LCoS/LCD series projection products, enhancing its advantages in digital micro-display technology[90]. - The company is exploring potential acquisitions to enhance its product portfolio and market presence[120]. - New product launches are expected to contribute an additional 300 million yuan in revenue over the next year[174]. Governance and Compliance - The company maintains a complete independence in business, personnel, assets, and financial matters from its controlling shareholder[103]. - The company has a robust governance structure, ensuring compliance with relevant laws and regulations, and has not encountered any violations[99]. - The company emphasizes transparency in information disclosure, adhering to principles of accuracy and timeliness[101]. - The company has established an independent financial department with its own accounting system and bank accounts, ensuring no interference from the controlling shareholder in financial decisions[104]. - The company has maintained compliance with regulations set by the China Securities Regulatory Commission and the Shenzhen Stock Exchange throughout the reporting period[133]. Environmental Responsibility - The company strictly complies with environmental protection laws and regulations, ensuring pollutant emissions meet standards[156]. - The company has established an integrated environmental management system and updated various pollution control procedures[156]. - The company achieved a wastewater treatment standard compliance after processing, with pollutants such as COD and SS meeting regulatory limits[159]. - The company has implemented a solid waste control program to manage hazardous waste effectively[156]. - The company invested approximately 4 million yuan in environmental protection in 2023[162]. Shareholder Engagement - The company has committed to maintaining the legal rights of shareholders and ensure no unfair benefits are provided to other entities[173]. - The annual shareholders' meeting held on May 18, 2023, had a participation rate of 43.59%[105]. - The company reported a positive profit available for distribution to shareholders but did not propose any cash dividend distribution during the reporting period[144]. - The company has implemented a stock incentive plan, with specific shares subject to restrictions being lifted during the reporting period[107]. - The company has established a performance evaluation mechanism for senior management, linking compensation to market standards and performance contributions[147].