国泰君安证券股份有限公司 关于 河南易成新能源股份有限公司 向特定对象发行股票 之 发行保荐书 保荐人（主承销商） 二〇二三年八月 声明 国泰君安证券股份有限公司（以下简称"国泰君安"或"保荐人"）接受河 南易成新能源股份有限公司（以下简称"易成新能"、"公司"或"发行人"） 的委托，担任易成新能向特定对象发行股票（以下简称"本次发行"）的保荐人， 指定颜圣知、陈浪作为具体负责推荐的保荐代表人，为本次发行出具发行保荐书。 国泰君安及其保荐代表人根据《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》"）、《上市 公司证券发行注册管理办法》（以下简称"《注册管理办法》"）等有关法律、 法规和中国证券监督管理委员会、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、行业执业规范和道德准则出具发行保荐书， 并保证所出具文件的真实性、准确性和完整性。 在本发行保荐书中，除上下文另有所指，释义与《河南易成新能源股份有限 公司向特定对象发行股票募集说明书》相同。 3-1-1 | 声明 | 1 | | --- | --- | | 目 录 | 2 | ...

河南守正创新会计师事务所（普通合伙） 关于河南易成新能源股份有限公司 申请向特定对象发行股票的审核问询函之回复 河南守正创新会计师事务所（普通合伙） 二○二三年八月二十二日 深圳证券交易所： 根据贵所 2023 年 8 月 4 日出具的《关于河南易成新能源股份有限公司申请 向特定对象发行股票的审核问询函》（审核函〔2023〕020121 号）（以下简称"审 核问询函"）的有关要求，要求公司会同国泰君安证券股份有限公司（以下简称 "国泰君安证券"或"保荐人"）、河南守正创新会计师事务所（普通合伙）（以 下简称"申报会计师"）、国浩律师（天津）事务所（以下简称"发行人律师"） 等相关各方，对问询函所列问题进行了逐项落实和核查，并就问询函进行逐项回 复，我所现就函件中需要会计师说明情况的部分内容回复如下： 7-2-1 | | 目录 | 2 | | --- | --- | --- | | 问题 | 1： | 3 | | 问题 | 2： 10 | | | 问题 | 3： 57 | | | 问题 | 4： 62 | | 问题 1： 本次拟发行不超过人民币 250,000.00 万元，发行方式为竞价发行。公司控股 股东中国 ...

国泰君安证券股份有限公司 国泰君安证券股份有限公司（以下简称"国泰君安"或"保荐人"）接受河 南易成新能源股份有限公司（以下简称"易成新能"、"发行人"或"公司"）的 委托，担任易成新能 2023 年度向特定对象发行股票的保荐人。 保荐人及指定的保荐代表人根据《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》"）、《上市公司证券发 行注册管理办法》（以下简称"《注册管理办法》"）等有关法律、法规和中国证券 监督管理委员会（以下简称"中国证监会"）、深圳证券交易所（以下简称"深交 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、行业 执业规范和道德准则出具上市保荐书，并保证所出具文件的真实、准确、完整。 关于 河南易成新能源股份有限公司 向特定对象发行股票 之 上市保荐书 保荐人（主承销商） 二〇二三年八月 声 明 在本上市保荐书中，除上下文另有所指，释义与《河南易成新能源股份有限 公司向特定对象发行股票募集说明书》相同。 3-3-1 | | | | 声 | 明 | 1 | | --- | --- | --- | | 目 | 录 | 2 | | ...

国浩律师（天津）事务所 关 于 河南易成新能源股份有限公司 2023 年度向特定对象发行 A 股股票 之 补充法律意见书一 天津市和平区曲阜道 38 号中国人寿金融中心 28 层 邮编：300042 Floor 28, China Life Financial Center, No.38 Qufu Road, Heping District, Tianjin 300042, China 电话/Tel： +86 22 8558 6588 传真/Fax： +86 22 8558 6677 网址/Website： http：//www.grandall.com.cn 2023 年 8 月 国浩律师（天津）事务所 补充法律意见书一 释 义 | 释 义 | 2 | | --- | --- | | 第一节 | 引言 6 | | 第二节 | 正文 7 | | 第一部分 | 《问询函》的问题答复 7 | | 问题 | 1 7 | | 问题 | 2 16 | | 问题 | 3 23 | | 问题 | 4 28 | | | 其他问题 35 | | 第二部分 | 发行人本次发行相关情况的更新 39 | | | 一、本次发行的批准和 ...

河南易成新能源股份有限公司 与 国泰君安证券股份有限公司 关于河南易成新能源股份有限公司 申请向特定对象发行股票的审核问询函之回复 保荐人（主承销商） 二〇二三年八月 深圳证券交易所： 根据贵所 2023 年 8 月 4 日出具的《关于河南易成新能源股份有限公司申请 向特定对象发行股票的审核问询函》（审核函〔2023〕020121 号）（以下简称"问 询函"）的要求，河南易成新能源股份有限公司（以下简称"易成新能"、"公司" 或"发行人"）会同国泰君安证券股份有限公司（以下简称"国泰君安证券"或 "保荐人"）、河南守正创新会计师事务所（普通合伙）（以下简称"申报会计师"）、 国浩律师（天津）事务所（以下简称"发行人律师"）等相关各方，对问询函所 列问题进行了逐项落实和核查，并就问询函进行逐项回复，同时按照问询函的要 求对《河南易成新能源股份有限公司向特定对象发行股票募集说明书》（以下简 称"募集说明书"）进行了修订和补充。 7-1-1 | | 目录 | 2 | | --- | --- | --- | | 问题 | 1： 3 | | | 问题 | 2： 14 | | | 问题 | 3： 68 | | | 问题 ...

股票代码：300080 股票简称：易成新能 河南易成新能源股份有限公司 向特定对象发行股票 募集说明书 （修订稿） 保荐人（主承销商） （住所：中国（上海）自由贸易试验区商城路 618 号） 二〇二三年八月 河南易成新能源股份有限公司 募集说明书（修订稿） 声明 本公司全体董事、监事、高级管理人员承诺本募集说明书不存在任何虚假记 载、误导性陈述或重大遗漏，并保证所披露信息的真实、准确、完整。 公司负责人、主管会计工作负责人及会计机构负责人（会计主管人员）保证 本募集说明书中财务会计报告真实、完整。 证券监督管理机构及其他政府部门对本次发行所作的任何决定，均不表明其 对发行人所发行证券的价值或投资者的收益作出实质性判断或者保证。任何与之 相反的声明均属虚假不实陈述。 根据《证券法》的规定，证券依法发行后，发行人经营与收益的变化，由发 行人自行负责，由此变化引致的投资风险，由投资者自行负责。 投资者应当认真阅读发行人公开披露的信息，自主判断企业的投资价值，自 主做出投资决策，若对本募集说明书存在任何疑问，应咨询自己的股票经纪人、 律师、会计师或其他专业顾问。 1-1-1 河南易成新能源股份有限公司 募集说明书（修 ...

5、问：请介绍一下负极材料业务基本情况？ 回答要点：公司负极材料的研发、生产和销售在全资子公 司易成瀚博、中平瀚博、南阳天成，控股子公司青海天蓝运营。 公司通过构建"石墨化—负极材料—锂离子电池"的产业链发 展模式，构建石墨、负极一体化产能，加快形成负极材料全产 业链优势，青海、南阳项目建成后，将立马发挥绿电和电价优 势，降低负极材料生产成本，提升盈利能力。 3、问：能否详细介绍一下公司发展战略？ 证券代码：300080 证券简称：易成新能 河南易成新能源股份有限公司投资者关系活动记录表 回答要点：公司将借助国家发展战略新兴产业的东风，围 绕"建设一流新能源新材料产业"企业愿景，力争到"十四五" 末，实现"三六"发展目标。"三"是：风电、光伏电站开发 建设规模达到 3GW；"六"为：实现年产 10 万吨大规格超高功 率石墨电极、10 万吨锂离子电池用负极材料、10 万吨石墨化 生产线、10 万吨针状焦和中间相焦、10GWh 动力锂离子电池、 10GW 高效单晶硅太阳能电池，推动一流新能源新材料产业初 步成型。 编号：2023-003 4、问：请介绍一下公司电池片业务相关情况？ | | □特定对象调研 √分析师 ...

Financial Performance - The company reported a total revenue of RMB 2,176,149,426 for the first half of 2023, reflecting an increase compared to the previous period[26]. - The company's operating revenue for the reporting period was approximately ¥4.89 billion, a decrease of 0.53% compared to the same period last year[27]. - Net profit attributable to shareholders was approximately ¥84.42 million, an increase of 15.42% year-over-year[27]. - The net profit after deducting non-recurring gains and losses was approximately ¥72.39 million, reflecting a year-over-year increase of 14.37%[27]. - The net cash flow from operating activities was approximately ¥150.31 million, a significant improvement of 134.71% compared to the previous year[27]. - Total assets at the end of the reporting period reached approximately ¥14.28 billion, representing a growth of 6.20% from the end of the previous year[27]. - The company reported a total of 839.27 million yuan in revenue for the first half of 2023[86]. - The company reported a revenue of 78.59 million, representing a 1.84% increase compared to the previous period[93]. - The company reported a revenue of 2.634 billion with a year-on-year growth of 12.08% as of March 31, 2023[97]. - The company has projected a revenue target of 19.2 billion for the upcoming fiscal year, aiming for a growth rate of 32.9%[97]. Capital and Shareholder Information - The registered capital of the company increased from RMB 2,161,880,058 to RMB 2,176,149,426 due to the conversion of convertible bonds[26]. - The company has a total of 14,269,368 shares converted from convertible bonds at a conversion price of RMB 4.59 per share[26]. - The company has a total of 5,915,987 shares under lock-up agreements, with 3,689,550 shares released during the reporting period[109]. - The controlling shareholder, China Pingmei Shenma Group, has completed the purchase of 36,166,944 shares, accounting for 1.66% of the total share capital, with a total investment of approximately 199.59 million yuan[143]. - The top ten shareholders include Kaifeng State-owned Capital Investment Group with 269,597,800 shares (12.39%) and Henan Science and Technology Investment Co., Ltd. with 119,367,904 shares (5.49%)[148]. - The company has not reported any changes in the voting rights arrangement among its shareholders[150]. - The company has not conducted any repurchase transactions among the top ten shareholders during the reporting period[150]. Risk Management and Compliance - The company has emphasized the importance of risk management and has detailed its risk factors and response strategies in the report[4]. - The management has committed to ensuring the accuracy and completeness of the financial report, with key personnel signing off on the document[3]. - The company has established a self-monitoring scheme for environmental compliance, including manual monitoring and third-party verification as per relevant regulations[63]. - The company has actively cooperated with authorities to complete rectifications following administrative penalties related to environmental compliance[57]. - The company has not experienced any major litigation or arbitration matters during the reporting period[80]. - The company has not issued any non-standard audit reports for the previous year[80]. Environmental Initiatives - During the reporting period, Anshan Zhongte New Material Technology Co., Ltd. paid a total of 12,372.4 yuan in environmental protection tax and invested 355,227 yuan in environmental protection measures[56]. - Qinghai Tianlan New Energy Materials Co., Ltd. was fined 130,000 yuan for failing to operate dust collection facilities, but this violation was not deemed significant and did not adversely affect the company's operations[57]. - Kaifeng Pingmei New Carbon Material Technology Co., Ltd. implemented a self-monitoring plan and regularly disclosed pollution monitoring data on the national pollutant discharge permit information management platform[57]. - Henan Yicheng New Energy Co., Ltd. utilized existing flue gas heat recovery to maximize energy savings and reduce emissions, while also adopting photovoltaic technology to decrease energy consumption[59]. - Anshan Zhongte New Material Technology Co., Ltd. converted all street and landscape lights to solar power, saving 29,463 kWh of electricity and reducing carbon emissions by 21,343 kg in the first half of 2023[59]. - Henan Yicheng Hanbo Energy Technology Co., Ltd. conducted environmental protection training for all employees to enhance awareness and ensure effective management of environmental risks[68]. - Kaifeng Pingmei New Carbon Material Technology Co., Ltd. continued to implement energy-saving and emission-reduction measures, actively adopting photovoltaic technology for green electricity substitution[70]. Market and Product Development - The company is focused on expanding its market presence and enhancing its product offerings in the renewable energy sector[19]. - The company continues to invest in new technologies and product development to strengthen its competitive position in the market[19]. - The company is focused on the renewable energy and new materials sectors, with key products including high-efficiency monocrystalline silicon cells and lithium-ion batteries[38]. - The global photovoltaic market is expected to see an average annual new installed capacity of 301-359 GW from 2023 to 2025, driven by declining costs and green recovery initiatives[40]. - The market share of TOPCon technology in the photovoltaic sector is projected to reach around 40% by the end of 2023[40]. - The company is actively involved in market expansion through strategic partnerships with various related parties[93]. - The company is committed to enhancing its product offerings through ongoing research and development initiatives[93]. - The company is exploring potential mergers and acquisitions to strengthen its market position and expand its operational capabilities[93]. - The company is adopting a direct sales and agency model for its products, enhancing market reach and customer service through selected agents[192]. Financial Transactions and Guarantees - The actual amount of related party transactions for the first half of 2023 was 83.28 million yuan, which is within the expected range of 408.84 million yuan[86]. - The company engaged in related party transactions with Henan Tiantong Electric Power Co., Ltd., amounting to 3.09 million yuan, representing 7.23% of similar transactions[75]. - Related party transactions with Pingdingshan Yicheng New Materials Co., Ltd. totaled 0.02 million yuan, accounting for 0.05% of similar transactions[75]. - The company has provided guarantees for its subsidiaries, with a total guarantee amount of 11 million yuan[89]. - The company has confirmed that there are no overdue commitments from its actual controllers or shareholders as of the reporting date[78]. - The company provided guarantees totaling 39.15 million to its subsidiaries during the reporting period[114]. - The company has approved guarantees for subsidiaries totaling 77,290 RMB, with actual guarantees amounting to 73,669.44 RMB[134]. Share Issuance and Acquisitions - The company plans to issue A-shares to specific investors as part of its refinancing strategy, with the proposal approved by the board and shareholders[138]. - The company received notification from the Shenzhen Stock Exchange regarding the acceptance of its application for issuing shares to specific investors[139]. - The company canceled the acquisition of a 40% stake in Sichuan Kaitan New Materials Technology Co., Ltd., as approved by the board[140]. - The company has reduced the number of limited sale condition shares from 954,347,029 to 950,657,479, a decrease of 3,689,550 shares, representing a change from 43.85% to 43.69% of total shares[142]. - The number of unrestricted sale condition shares increased from 1,221,802,397 to 1,225,491,947, an increase of 3,689,550 shares, representing a change from 56.15% to 56.31% of total shares[142]. Asset and Liability Overview - As of June 30, 2023, the total assets of Henan Yicheng New Energy Co., Ltd. reached approximately CNY 14.28 billion, an increase from CNY 13.45 billion at the beginning of the year, reflecting a growth of about 6.2%[161]. - The company's current assets totaled approximately CNY 7.57 billion, up from CNY 6.84 billion at the start of the year, indicating an increase of around 10.7%[175]. - Long-term equity investments decreased from CNY 298.73 million to CNY 264.88 million, a decline of approximately 11.3%[162]. - The company's short-term borrowings rose to CNY 1.48 billion, compared to CNY 1.39 billion at the beginning of the year, marking an increase of about 6.2%[162]. - The total liabilities increased to CNY 7.57 billion, up from CNY 6.73 billion, representing a growth of approximately 12.5%[162]. - The company's total equity reached ¥6,596,612,074.78, an increase from ¥6,483,420,290.44, indicating a growth of about 1.75%[178]. - The total assets amounted to ¥14,279,935,141.41, up from ¥13,446,133,677.07, representing an increase of approximately 6.16%[178].

证券代码：300080 证券简称：易成新能 公告编号：2023-082 河南易成新能源股份有限公司 第六届董事会第六次会议决议公告 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、误导性陈述或重大遗漏。 一、董事会会议召开情况 河南易成新能源股份有限公司（以下简称"公司"）第六届董事会第六次会议 于 2023 年 8 月 18 日上午 10：00 通过腾讯会议以现场和视频表决相结合的方式 召开。 本次会议的通知已于 2023 年 8 月 7 日以电子邮件、专人送达、电话和微信 等方式送达至全体董事。本次会议由公司董事长王安乐先生召集并主持，应出席 董事 9 人，实际出席董事 9 人，公司董事会秘书出席会议，公司监事列席会议， 本次会议的召集、召开符合《公司法》、《公司章程》及《董事会议事规则》等有 关规定。 二、董事会会议审议情况 经与会董事认真审议，全体董事以记名投票的方式审议并表决了如下议案： （一）审议通过了《关于 2023 年半年度报告及其摘要的议案》 经审议，公司《2023 年半年度报告》及《2023 年半年度报告摘要》符合法律、 行政法规、中国证监会和深圳证券交易所的规定 ...

证券代码：300080 证券简称：易成新能 公告编号：2023-087 河南易成新能源股份有限公司 关于补充审议关联交易的议案 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、误导性陈述或重大遗漏。 河南易成新能源股份有限公司（以下简称"公司"）在向特定对象发行 A 股 股票再融资项目推进过程中，经自查发现 2022 年度公司与河南博灿新材料科技 有限公司（以下简称"河南博灿"）、四川省开炭新材料科技有限公司（以下简称 "四川开炭"）发生关联交易，存在未按照单独议案的形式履行关联交易相关审 议程序的情形。公司结合相关法律、法规和规章制度及公司的实际情况，现提交 公司董事会补充审议。 公司于 2023 年 8 月 18 日召开了第六届董事会第六次会议审议通过了《关于 补充审议关联交易的议案》，本次关联交易的补充审议事项已经公司独立董事事 前认可，本议案涉及与参股公司的关联交易，不涉及与控股股东及其下属企业的 关联交易，独立董事发表了明确同意的独立意见。现将有关事项公告如下： 一、关联交易概述 2022 年，公司与河南博灿发生关联交易，关联交易金额合计为 391.62 万元， 其中关联采 ...