申万宏源证券承销保荐有限责任公司 关于 西藏奇正藏药股份有限公司 公开发行可转换公司债券受托管理事务 第四次临时报告 （2023 年度） 二〇二三年十一月 重要声明 本报告依据《公司债券发行与交易管理办法》、《西藏奇正藏药股份有限公司 公开发行可转换公司债券受托管理协议》（以下简称"《受托管理协议》"）《西藏 奇正藏药股份有限公司公开发行可转换公司债券募集说明书》（以下简称"《募集 说明书》"）等相关规定，由本次债券受托管理人申万宏源证券承销保荐有限责任 公司（以下简称"申万宏源承销保荐"）编制。申万宏源承销保荐对本报告中所 包含的从上述文件中引述内容和信息未进行独立验证，也不就该等引述内容和信 息的真实性、准确性和完整性做出任何保证或承担任何责任。 本报告不构成对投资者进行或不进行某项行为的推荐意见，投资者应对相关 事宜做出独立判断，而不应将本报告中的任何内容据以作为申万宏源承销保荐所 作的承诺或声明。在任何情况下，投资者依据本报告所进行的任何作为或不作为， 申万宏源承销保荐不承担任何责任。 申万宏源承销保荐作为西藏奇正藏药股份有限公司（以下简称"奇正藏药"、 "发行人"或"公司"）公开发行可转换公司债券（ ...

注①：上述"占公司目前总股本比例"以 2023 年 10 月 27 日收盘后公司总股本 530,192,538 股为基数进行计算，因公司可转换公司债券奇正转债（债券代码：128133）处 于转股期，公告日公司股本情况可能发生变化，下同。 西藏奇正藏药股份有限公司（以下简称"公司"）于 2023 年 10 月 26 日召开 第五届董事会第二十六次会议、第五届监事会第十七次会议，审议通过了《关于 2019 年限制性股票激励计划部分预留授予权益第四个解除限售期解除限售条件 成就的议案》，公司 2019 年限制性股票激励计划预留授予权益第四个解除限售期 解除限售条件成就，同意公司为激励对象办理 2019 年限制性股票激励计划预留 授予权益第四个解除限售期解除限售的相关事宜。本次符合解除限售条件的激励 对象共 1 人，限制性股票解除限售数量为 3,248 股，占目前公司总股本的 0.0006%。 现就有关事项公告如下： | 证券代码：002287 | 证券简称：奇正藏药 | 公告编号：2023-060 | | --- | --- | --- | | 债券代码：128133 | 债券简称：奇正转债 | | 西藏奇正藏药股 ...

Financial Performance - The company's total revenue for the reporting period was approximately ¥829.81 million, a decrease of 7.48% compared to ¥896.92 million in the same period last year[12]. - The pharmaceutical sector accounted for 98.87% of total revenue, generating ¥820.42 million, down 7.84% from ¥890.21 million[12]. - The sales of patch products were ¥556.40 million, representing 67.05% of total revenue, with a decline of 10.88% from ¥624.31 million[12]. - The company reported a significant increase in other product types, with a 20.68% rise in sales to ¥152.85 million, compared to ¥126.66 million last year[12]. - The company reported a net profit of 19.53 million CNY for Gansu Qizheng Tibetan Medicine Co., Ltd. during the reporting period[45]. - The company's net profit after deducting non-recurring gains and losses for the reporting period was CNY 21,824.01 million, a decrease of 11.32% compared to the same period last year[175]. - Total operating revenue for the first half of 2023 was CNY 434,167,739, a slight decrease of 0.4% compared to CNY 435,904,943 in the same period of 2022[186]. - Net profit for the first half of 2023 reached CNY 227,033,626.59, an increase of 88.5% compared to CNY 120,527,217.69 in the first half of 2022[187]. Assets and Liabilities - Cash and cash equivalents at the end of the reporting period reached ¥590,089,839.54, which is 9.08% of total assets, an increase of 1.65% from the previous year[14]. - The company's total assets as of June 30, 2023, amounted to CNY 6,497,029,540.62, an increase from CNY 5,887,310,408.65 at the end of the previous year[180]. - The company's total liabilities reached CNY 3,003,615,764.16, up from CNY 2,499,656,373.91 at the end of the previous year[180]. - The company's asset-liability ratio increased to 46.23% from 42.45% at the end of the previous year, reflecting a rise of 3.78%[175]. - The company's long-term borrowings increased to CNY 286,887,821.43 from CNY 186,887,821.43, showing an increase of 53.53%[180]. - The company reported a total liability of CNY 2,434,451,542.27, an increase from CNY 2,076,083,025.87 year-over-year[183]. Investments and Financing - Investment income for the reporting period amounted to ¥69,099,357.05, accounting for 20.39% of total profit[14]. - The company raised CNY 500,000,000.00 through borrowings in the first half of 2023, compared to CNY 317,968,740.43 in the same period of 2022[190]. - The company issued convertible bonds in 2020, raising a total of ¥80,000.00 million, with a net amount of ¥79,050.02 million after expenses[21]. - The total issuance of Qizheng Convertible Bonds is 8,000,000 with a total amount of 800,000,000 CNY, while the cumulative conversion amount is 619,400 CNY[197]. - The unconverted amount of Qizheng Convertible Bonds is 799,380,600 CNY, representing 99.92% of the total issuance[197]. Research and Development - The company is actively involved in the research and development of traditional Tibetan medicine, with successful projects in clinical research and product innovation[6]. - The company reported a significant increase in R&D investment due to rising demands for clinical research quality and product clinical value, leading to higher personnel and material input in clinical studies[48]. - Research and development expenses decreased to CNY 16,513,947.46 from CNY 22,467,858.67, a reduction of about 26.5%[186]. Marketing and Sales - The company has a marketing team of over 1,800 members and operates in more than 30 provinces and regions across the country[1]. - The core product, the analgesic patch, has achieved significant market recognition, ranking first in the TOP20 for external patches for musculoskeletal diseases in Chinese urban pharmacies in 2022[2]. - The company is expanding its product offerings across seven therapeutic areas, including respiratory, dermatology, pediatrics, gynecology, digestion, cardiovascular, and neurology[4]. - The company has initiated a digital marketing transformation to enhance e-commerce sales and strengthen new retail business development[1]. - The number of retail pharmacies in the country has exceeded 600,000, leading to a decline in single-store customer traffic, which has affected sales productivity[47]. Environmental and Social Responsibility - The company has established wastewater treatment facilities to reduce chemical oxygen demand and ammonia nitrogen levels, ensuring compliance with municipal discharge standards[57]. - The company achieved a 100% monitoring rate for wastewater discharge, with all parameters meeting national standards[82]. - The company has undergone a re-certification for ISO14001 environmental management system in 2023, ensuring adherence to environmental regulations[83]. - The company has actively monitored its environmental impact, with a focus on reducing carbon emissions and improving waste management practices[59]. Corporate Governance - The company has not engaged in any significant related party transactions during the reporting period[62]. - The company has not reported any non-standard audit opinions for the current reporting period[60]. - The company has not experienced any major asset or equity acquisition-related transactions during the reporting period[64]. - The company has not experienced any changes in its controlling shareholder during the reporting period[140]. Shareholder Information - The company has a total of 528,699,383 shares outstanding, with 99.72% being unrestricted shares[98]. - The company reported a total of 364,546,473 shares held by its largest shareholder, Gansu Qizheng Industrial Group Co., Ltd., representing 68.76% of total shares[134]. - The total number of unrestricted ordinary shares held by Gansu Qizheng Industrial Group Co., Ltd. at the end of the reporting period was 364,546,473 shares[156]. - The total number of unrestricted ordinary shares held by Tibet Yutuo Cultural Development Co., Ltd. at the end of the reporting period was 98,395,215 shares[156].

Corporate Governance - The company maintains complete control over its assets, with no instances of asset occupation by controlling shareholders or other shareholders[8]. - The company operates independently from its controlling shareholders, with a complete organizational structure and the ability to make independent financial decisions[7]. - The supervisory board consists of 4 members, including 2 employee supervisors, ensuring compliance with legal requirements[6]. - The company has established an independent financial department and a financial management system, ensuring independent financial operations[10]. - The company has a clear and independent property relationship with its controlling shareholders, with no guarantees provided for shareholders' debts[8]. - The company has no competition with its controlling shareholders, as its business activities are entirely independent[7]. - The company has implemented a robust internal control system in accordance with relevant laws and regulations[4]. - The company has actively participated in shareholder meetings and has adhered to the required procedures for supervisory board meetings[6]. - The company has not raised any objections to matters discussed in the board meetings during the reporting period[55]. Management and Remuneration - The company reported a total shareholding of 444,031 shares for the president, Liu Kailie, at the end of the period[24]. - The company has not experienced any changes in shareholding for the board members and supervisors during the reporting period[25]. - The chairman, Lei Jufang, has been in position since October 8, 2007, and is set to serve until May 13, 2024[26]. - The company has a total of 266,418 shares held by the Vice President of Operations, Xiao Jianqin, at the end of the period[24]. - The company has a total of 177,612 shares held by Vice President Wang Zhiqiang at the end of the period[24]. - The company has a total of 192,945 shares held by Vice President Li Jun at the end of the period[24]. - The company has a total of 133,209 shares held by Chief Scientist Chen Weiwu at the end of the period[24]. - The company has maintained a stable management team with no resignations or dismissals reported during the period[25]. - The total remuneration for directors, supervisors, and senior management during the reporting period amounted to 13.9881 million CNY[33]. - Liu Kailie, the President and Director, received a pre-tax remuneration of 2.8195 million CNY[33]. - The company has 7 directors, including 3 independent directors, and 4 supervisors[33]. - The performance evaluation for senior management is based on company performance and individual achievements, with annual target assessment agreements signed[33]. - The independent directors' remuneration standards are determined by the shareholders' meeting, covering reasonable expenses incurred while exercising their duties[33]. - The company has established a Nomination and Remuneration Committee to review and formulate remuneration policies for directors and senior management[33]. - The company’s operational vice president, Xiao Jianqin, received a pre-tax remuneration of 1.2712 million CNY[33]. - The total number of senior management personnel is 9, with one serving concurrently as a director[33]. - The remuneration for the independent director, Guo De'an, was 46,600 CNY[33]. - The company has a performance-based remuneration system that aligns with its operational results[33]. Financial Performance - The company reported a total revenue of 1.2 billion yuan for the fiscal year 2022, representing a year-over-year increase of 15%[39]. - The net profit attributable to shareholders for the fourth quarter was RMB 112,865,167.25, reflecting a decrease from the third quarter's RMB 127,221,135.64[117]. - The company reported a total net profit attributable to shareholders of RMB 472,408,229.26 for the entire year of 2022, marking a year-on-year increase of 15%[117]. - The gross profit margin for the year was reported at 60%, indicating strong profitability in its core business operations[1]. - The net profit attributable to shareholders for 2022 was ¥472,408,229.26, a decrease of 34.01% from ¥715,876,201.47 in 2021[137]. - The net profit excluding non-recurring gains and losses was ¥440,018,192.00, up 27.57% from ¥344,932,156.80 in 2021[137]. - The basic earnings per share for 2022 was ¥0.8919, down 34.14% from ¥1.3542 in 2021[137]. - The total assets attributable to shareholders at the end of 2022 were ¥5,886,644,252.44, an increase of 5.73% from ¥5,567,753,848.57 at the end of 2021[137]. Market Expansion and Product Development - The company is actively involved in various associations and has received multiple honors for its contributions to the industry[26]. - The company is expanding its market presence in Southeast Asia, targeting a 25% market share by 2025[39]. - New product launches included two innovative herbal medicine products, projected to contribute an additional 200 million yuan in revenue[39]. - The company plans to invest 100 million yuan in digital marketing initiatives to boost brand awareness[39]. - The company aims to achieve the strategic goal of being the "first in external pain relief and first in the Tibetan medicine market" through a multi-product marketing approach and modernization of Tibetan medicine[66]. - In 2023, the company initiated a new chapter in multi-product marketing, focusing on consolidating market share for core products and accelerating growth in key varieties such as Tie Bang Chui Pain Relief Ointment and Qing Peng Ointment[66]. - The company plans to expand its product cluster in seven major therapeutic areas, including respiratory, pediatrics, gynecology, digestion, cardiovascular, and neurology, with specific products targeting unmet clinical needs[69]. - The company is focusing on digital marketing transformation and expanding e-commerce platform sales to adapt to consumer trends[157]. - The company is enhancing its distribution channels, particularly focusing on B2C and O2O models to improve customer reach[1]. - The company is exploring potential mergers and acquisitions to strengthen its market position and diversify its product offerings[1]. Research and Development - Research and development expenses increased by 30% to 150 million yuan, focusing on new drug formulations[39]. - The company is committed to enhancing its research and development capabilities, focusing on the modernization of Tibetan medicine and the development of new products based on clinical needs[70]. - The company has established a strong R&D platform for Tibetan medicine products, ensuring quality and safety throughout the product lifecycle[70]. - The company has optimized its R&D system, enhancing product development capabilities and accelerating product launches[172]. - The company completed the key research tasks of the national key R&D project on Tibetan medicine, demonstrating significant advantages of its products in treating acute ischemic stroke compared to placebo[197]. - The clinical research on Baipai Ointment for diabetic peripheral neuropathy showed significant improvement in patients' symptoms of numbness and pain[197]. - The clinical study results indicated that Baipai Ointment significantly alleviates pain and improves function in patients with lumbar disc herniation[197]. - The company published a total of 24 papers during the reporting period, including 5 SCI articles[197]. - The company completed the Phase III clinical study of Cuotang Granules, showing good efficacy and safety in treating common cold symptoms[198]. - The production line for Cuotang Granules has been licensed, ensuring smooth progress for commercialization[198]. Sustainability and Compliance - The company is committed to complying with national policies and enhancing its product's clinical evidence chain to ensure sustainable business development[63]. - The company is committed to sustainable development practices, being recognized as a national green demonstration factory[188]. - The company emphasizes sustainable resource development and quality standard improvement in its research tasks[131]. - The company has established wild nurturing and artificial planting bases for Tibetan medicinal materials[163]. - The company has established a cultivation area of 100 acres for medicinal materials as part of a national major project for the cultivation demonstration base of Tibetan medicinal materials[174].

索 引 号 bm56000001/2023-00012426 分 类 发布机构 发文日期 1698971601000 名 称 关于对中勤万信会计师事务所（特殊普通合伙）及石朝欣、孙红玉采取出具警示函措施的决 定 西 藏 证 监 局 文 号 〔2023〕33号 主 题 词 2 0 2 3 年 1 0 月 3 1 日 经查，中勤万信会计师事务所（特殊普通合伙，以下简称中勤万信）在对 奇正藏药股份有限公司（以下简称奇正藏药）2022年年度报告执行审计工作 时，未能识别出公司与其控股股东共计1.11亿元的关联交易业务，导致奇正藏 药2022年年度审计报告及关联方资金占用报告披露不准确。 上述行为违反了《中国注册会计师审计准则第1323号——关联方》（2010 年修订）第二十六条第二项的规定、《上市公司信息披露管理办法》第四十五 条第一款、第四十六条的规定，签字会计师石朝欣、孙红玉对上述违规事项负 有主要责任。根据《上市公司信息披露管理办法》第五十五条规定，我局决定 对中勤万信及签字会计师石朝欣、孙红玉采取出具警示函的监督管理措施。你 们应认真吸取教训，严格遵照相关法律法规和中国注册会计师审计准则的规 定，切实提高审计 ...

雷菊芳、刘凯列、姚晓梅、冯平: | 索 | 引 | 号 | bm56000001/2023-00012427 | 分 | 类 | | --- | --- | --- | --- | --- | --- | | | 发布机构 | | 发文日期 1698971696000 | | | | 名 | | 称 | 关于对雷菊芳、刘凯列、姚晓梅、冯平采取出具警示函措施的决定 | | | | 文 | | 号 | 〔2023〕34号 题 | 主 | 词 | 西 藏 证 监 局 关于对雷菊芳、刘凯列、姚晓梅、冯平采取出具警示函措施的决定 〔2023〕34号 经查，西藏奇正藏药股份有限公司（以下简称奇正藏药或公司）与控股股 东甘肃奇正实业集团有限公司（以下简称奇正实业）自2022年8月至2023年3月 期间，累计交易可转让大额存单金额15,100万元，其中奇正藏药及其子公司向 奇正实业出售大额存单9,300万元，公司购买奇正实业大额存单5,800万元，该 行为构成关联交易且达到董事会审议及信息披露标准，但公司并未履行审议程 序，也未在临时报告及2022年年报、2023年半年报中披露相关信息。 雷菊芳作为公司董事长、刘凯列作为公司 ...

| 证券代码：002287 | 证券简称：奇正藏药 公告编号：2023-058 | | --- | --- | | 债券代码：128133 | 债券简称：奇正转债 | 西藏奇正藏药股份有限公司 关于公司及子公司签订 《募集资金三方监管协议之补充协议》的公告 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、误导性陈述或重大遗漏。 西藏奇正藏药股份有限公司（以下简称"公司"、"奇正藏药"）第五届董 事会第二十七次会议审议通过了《关于公司及子公司签订<募集资金三方监管协 议之补充协议>的议案》，为规范公司募集资金管理和使用，保护投资者的权益， 根据《深圳证券交易所上市公司规范运作指引》、《上市公司监管指引第 2 号— 上市公司募集资金管理和使用的监管要求》等相关法律法规以及公司募集资金管 理制度的相关规定，公司与兴业银行股份有限公司兰州分行（以下简称"兴业银 行"）、保荐机构申万宏源证券承销保荐有限责任公司（以下简称"申万宏源承 销保荐"）拟签订《募集资金三方监管协议之补充协议》（以下简称"《三方协 议补充协议（兴业 41441）》"）；公司及子公司甘肃佛阁藏药有限公司（以下 简称"甘肃佛 ...

西藏奇正藏药股份有限公司 审计报告 勤信审字【2023】第 1073 号 目 录 | 内 容 | 页 次 | | --- | --- | | 一、审计报告 | 1-4 | | 二、已审财务报表 | | | 1.合并资产负债表 | 5-6 | | 2.母公司资产负债表 | 7-8 | | 3.合并利润表 | 9 | | 4.母公司利润表 | 10 | | 5.合并现金流量表 | 11 | | 6.母公司现金流量表 | 12 | | 7.合并股东权益变动表 | 13-14 | | 8.母公司股东权益变动表 | 15-16 | | 三、财务报表附注 | 17-113 | 中勤万信会计师事务所 地址：北京西直门外大街 112 号阳光大厦 10 层 电话：（86-10）68360123 传真：（86-10）68360123-3000 邮编：100044 审 计 报 告 勤信审字【2023】第 1073 号 西藏奇正藏药股份有限公司全体股东： 一、审计意见 我们审计了西藏奇正藏药股份有限公司（以下简称"奇正藏药"）财务报表， 包括 2022 年 12 月 31 的合并及母公司资产负债表，2022 年度的合并及母公司利 润 ...

| 证券代码：002287 | 证券简称：奇正藏药 公告编号：2023-053 | | --- | --- | | 债券代码：128133 | 债券简称：奇正转债 | 西藏奇正藏药股份有限公司 关于获得政府补助的公告 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。 西藏奇正藏药股份有限公司（以下简称"公司"）于近日收到林芝市招商引 资局下发的奖励资金7,731.46万元，占公司最近一个会计年度经审计的归属于上 市公司股东净利润的16.36%。现将获取相关政府补助情况公告如下： 上述收到的 7,731.46 万元政府补助，均为与收益相关的政府补助。 2、补助的确认和计量 本次收到的补助均为与企业日常经营活动相关的政府补助，属于日常经营补 贴，计入"其他收益"。具体会计处理以审计机构年度审计确认后的结果为准。 3、补助对上市公司的影响 序 号 获 得 补 助 主 体 提供 补助 主体 获得补 助的原 因或项 目 补助依据 收到补助 时间 补助 形式 补助 金额 （万元） 占公 司最 近一 期经 审计 净利 润的 比例 是否 与公 司日 常经 营活 动相 关 是否 ...