中泰证券股份有限公司 关于 山东阳谷华泰化工股份有限公司 向不特定对象发行可转换公司债券 之 上市保荐书 保荐人（主承销商） （济南市市中区经七路 86 号） 二零二三年八月 山东阳谷华泰化工股份有限公司 上市保荐书 保荐人及保荐代表人声明 中泰证券股份有限公司（以下简称"中泰证券"、"保荐人"或"本保荐人"） 接受山东阳谷华泰化工股份有限公司（以下简称"公司"、"发行人"或"阳谷 华泰"）的委托，担任其向不特定对象发行可转换公司债券项目的保荐人，并指 定陈凤华、李志斌担任本次保荐工作的保荐代表人。 中泰证券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"《发行注册管理办法》"）、《证券 发行上市保荐业务管理办法》等有关法律、法规和中国证监会、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 范和道德准则出具本上市保荐书，并保证所出具文件的真实性、准确性和完整性。 若因保荐人为发行人本次发行制作、出具的文件有虚假记载、误导性陈述或者重 大遗漏，给投资者 ...

法律意见书 观意字（2023）第 005867 号 北京观韬中茂律师事务所 法律意见书 北京观韬中茂律师事务所 北京观韬中茂律师事务所 关于山东阳谷华泰化工股份有限公司 向不特定对象发行可转换公司债券 在深圳证券交易所上市的 关于山东阳谷华泰化工股份有限公司 向不特定对象发行可转换公司债券 在深圳证券交易所上市的 法律意见书 观意字（2023）第 005867 号 致：山东阳谷华泰化工股份有限公司 本所接受山东阳谷华泰化工股份有限公司（以下简称"发行人"）的委托，根 据《公司法》《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》"）、《可转换公司债券管理办法》（以下简称"《可转债管理办法》"）、《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》（下称"《自律 监管指引第 15 号》"）、《深圳证券交易所创业板股票上市规则》（以下简称"《上 市规则》"）以及《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，按照律 师行业公认 ...

上市公告书 保荐人（主承销商） （济南市市中区经七路 86 号） 二零二三年八月 证券代码：300121 证券简称：阳谷华泰 公告编号：2023-055 山东阳谷华泰化工股份有限公司 向不特定对象发行可转换公司债券 之 第一节 重要声明与提示 山东阳谷华泰化工股份有限公司（以下简称"阳谷华泰"、"发行人"、"公司" 或"本公司"）全体董事、监事、高级管理人员保证本上市公告书的真实性、准 确性、完整性，承诺上市公告书不存在虚假记载、误导性陈述或重大遗漏，并对 其内容的真实性、准确性和完整性承担个别及连带的法律责任。 根据《公司法》《证券法》等有关法律、法规的规定，本公司董事、高级管 理人员已依法履行诚信和勤勉尽责的义务和责任。 山东阳谷华泰化工股份有限公司向不特定对象发行可转换公司债券 上市公告书 中国证监会、深交所、其他政府机关对本次向不特定对象发行可转换公司债 券上市及有关事项的意见，均不表明对本公司的任何保证。 本公司及上市保荐人提醒广大投资者注意，凡本上市公告书未涉及的有关内 容，请投资者查阅 2023 年 7 月 25 日披露于巨潮资讯网（www.cninfo.com.cn）的 《山东阳谷华泰化工股份 ...

证券代码：300121 证券简称：阳谷华泰 公告编号：2023-056 山 东阳谷华泰化工股份有限公司 关 于控股股东部分股权质押及解除质押的公告 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。 山东阳谷华泰化工股份有限公司（以下简称"公司"）于今日收到控股股东、实 际控制人王传华先生的通知，王传华先生对其持有的部分公司股份办理了股票质押 及解除质押业务，具体事项如下： | | 是否为控 | | | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 股东名 | 股股东或 | 本次质押数 | 占其所 | 占公司 | 是否为 | 是否为 | 质押起 | 质押到 | | 质押用 | | | 第一大股 | | 持股份 | 总股本 | | 补充质 | | | 质权人 | | | 称 | 东及其一 | 量（万股） | 比例 | 比例 | 限售股 | 押 | 始日 | 期日 | | 途 | | | 致行动人 | | | | | | | | | | | | | ...

证券代码：300121 证券简称：阳谷华泰 山东阳谷华泰化工股份有限公司 投资者关系活动记录表 | --- | --- | --- | --- | |------------------------|------------------------------|-----------------------------------|------------------------| | | | | 编号：2023-001 | | | □特定对象调研 | □分析师会议 | | | | □媒体采访 | ■业绩说明会 | | | 投资者关系活动类别 | □新闻发布会 | □路演活动 | | | | □现场参观 | | | | | □其他 | | | | 参与单位名称及人员姓名 | 参与公司 2022 | 年年度报告网上说明会的投资者 | | | 时间 | 2023 年 5 月 8 日(周一 | )下午 15:00-17:00 | | | 地点 | 全景网"投资者关系互动平台"（ | https://ir.p5w.net | ） | | | | | | | 上市公司接待人员姓名 | | | | | | 生，保荐代表人 ...

Financial Performance - The company's revenue for Q1 2023 was ¥810,642,072.40, a decrease of 5.23% compared to ¥855,370,681.93 in the same period last year[5] - Net profit attributable to shareholders was ¥88,495,499.60, down 22.12% from ¥113,624,957.18 year-on-year[5] - Basic and diluted earnings per share decreased by 26.67% to ¥0.22 from ¥0.30 in the previous year[5] - Total operating revenue for Q1 2023 was CNY 810,642,072.40, a decrease of 5.2% compared to CNY 855,370,681.93 in the same period last year[23] - Operating profit for Q1 2023 was CNY 112,355,963.67, down 19.3% from CNY 139,161,225.21 in the same period last year[24] - The company experienced a total comprehensive income of CNY 88,633,300.89, a decrease of 21.9% from CNY 113,521,646.29 in Q1 2022[24] Cash Flow and Liquidity - The net cash flow from operating activities increased significantly by 129.58%, reaching ¥125,062,007.30 compared to ¥54,473,093.19 in Q1 2022[5] - Cash and cash equivalents at the end of Q1 2023 were CNY 375,727,206.15, slightly up from CNY 374,574,314.47 at the beginning of the year[20] - Cash flow from operating activities increased to CNY 125,062,007.30, compared to CNY 54,473,093.19 in Q1 2022, representing a significant improvement[26] - The cash flow from financing activities showed a net outflow of CNY -71,804,201.03, an improvement from CNY -94,284,019.81 in Q1 2022[27] Assets and Liabilities - Total assets at the end of Q1 2023 were ¥3,605,872,109.99, reflecting a 1.82% increase from ¥3,541,251,869.73 at the end of the previous year[5] - The company reported a total of 38,552,426.00 in assets and 24,015,164.00 in liabilities for the first quarter of 2023[15] - Total liabilities decreased to CNY 731,472,282.67 from CNY 761,959,868.02, a reduction of 4.0%[22] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 16,695[9] - The company reported a total of 93,557,010 shares held by major shareholders, with Wang Chuanhua holding 93,557,010 shares[10] - Yin Yu Rong holds 34,222,500 shares, representing 8.45% of the total shares[10] - The company has a diverse shareholder base, including pension funds and asset management firms[10] - The total number of shares under lock-up for executives is subject to a maximum of 25% of their total holdings per year[13] Research and Development - The company's R&D expenses decreased by 36.47% to ¥20,420,385.66 from ¥32,141,414.68 in the same period last year[8] - The company’s long-term prepaid expenses increased by 188.88% to ¥4,529,704.83 due to increased R&D consulting service fees[8] Investment Activities - The company reported a significant increase in investment income, which rose by 113.70% to ¥1,965,201.85 from ¥919,600.00 year-on-year[8] - The company plans to raise up to RMB 650 million through the issuance of convertible bonds, with RMB 460 million allocated for a project to produce 65,000 tons of high-performance rubber additives annually[16] - The company aims to use RMB 190 million from the bond issuance to supplement working capital[16] - The company has engaged in various investment partnerships, with specific amounts released for asset management plans, including 4,296,545.00 and 842,459.00 for different funds[14] Compliance and Regulations - The company is actively managing its shareholder structure, with a focus on compliance with lock-up regulations[13] - The company is monitoring potential relationships among shareholders to ensure compliance with regulations[11] - The company has received approval from the Shenzhen Stock Exchange for its application to issue convertible bonds, confirming compliance with issuance and listing conditions[18] - The company has updated its application documents in accordance with the new registration system implemented on February 17, 2023[18]

Financial Performance - The company's operating revenue for 2022 was CNY 3,517,195,750.32, representing a 30.01% increase compared to CNY 2,705,300,823.52 in 2021[32]. - The net profit attributable to shareholders for 2022 was CNY 515,372,948.98, an increase of 81.52% from CNY 283,924,923.34 in the previous year[32]. - The net profit after deducting non-recurring gains and losses was CNY 504,890,376.76, up 90.77% from CNY 264,654,653.90 in 2021[32]. - The basic earnings per share for 2022 was CNY 1.34, a 74.03% increase from CNY 0.77 in 2021[32]. - The total assets at the end of 2022 amounted to CNY 3,541,251,869.73, reflecting a 33.28% increase from CNY 2,656,976,117.04 at the end of 2021[32]. - The net assets attributable to shareholders at the end of 2022 were CNY 2,779,292,001.71, which is a 44.16% increase from CNY 1,927,927,248.07 in 2021[32]. - The cash flow from operating activities for 2022 was CNY 335,023,950.53, a significant increase of 124.04% compared to CNY 149,537,092.96 in 2021[32]. - The company reported quarterly revenues of CNY 855,370,681.93, CNY 966,698,000.33, CNY 875,044,331.69, and CNY 820,082,736.37 for Q1, Q2, Q3, and Q4 respectively[34]. - The company achieved a total operating revenue of CNY 3,517,195,750.3 in 2022, representing a year-on-year increase of 30.01%[56]. - The total profit reached CNY 627.13 million, marking an increase of 80.08% compared to the previous year[97]. Research and Development - The company emphasizes the importance of R&D in maintaining competitive advantage, possessing a national-level engineering technology R&D center unique to the rubber additive industry in China[11]. - The company has increased investment in marketing and technology R&D to enhance product competitiveness in a fragmented market with intense competition[7]. - The company faces risks related to the timely conversion of R&D results into marketable products, which is critical for maintaining industry leadership[11]. - The company has developed new rubber additives for electric vehicle tires, including silane coupling agents and white carbon black dispersants, which have been well received in the market[47]. - The company has 101 patents related to rubber additives, indicating a strong research and development capability[50]. - The company has established a national-level engineering technology research center for rubber additives, enhancing its R&D and testing capabilities[47]. - The company has implemented various talent incentive policies and performance evaluation systems to enhance employee engagement in R&D[55]. - The number of R&D personnel increased to 267 in 2022, up by 2.30% from 261 in 2021, with a proportion of 13.69% of total employees[72]. - R&D investment amounted to CNY 157,823,247.17 in 2022, representing 4.49% of operating revenue, a decrease from 5.71% in 2021[72]. Market and Industry Trends - The total revenue of the rubber additive industry in China reached 32.45 billion yuan in 2022, representing a year-on-year growth of 10%[43]. - The total sales of rubber additives in 2022 amounted to 31.45 billion yuan, with an increase of 8.82% compared to the previous year[43]. - The total production volume of rubber additives was 1.3749 million tons in 2022, showing a slight growth of 0.33% year-on-year[43]. - The export volume of rubber additives reached 393,900 tons in 2022, which is a year-on-year increase of 4.87%[43]. - The export value of rubber additives was 10.443 billion yuan in 2022, reflecting a growth of 13.51% compared to 2021[43]. - The industry concentration ratio among the top ten companies in the rubber additive sector was 66.3% in 2020, indicating a trend towards increased market concentration[44]. - The target production volume for rubber additives by the end of the 14th Five-Year Plan (2025) is projected to be 1.73 million tons, with an average annual growth rate of 5.7%[43]. Corporate Governance and Compliance - The company has a governance structure that complies with legal and regulatory requirements without significant discrepancies[108]. - The company has independent management personnel who do not hold positions in controlling shareholders' other enterprises[109]. - The company has established independent bank accounts, avoiding shared accounts with controlling shareholders[109]. - The company has a complete governance structure with no mixed operations with controlling shareholders[110]. - The company has established a strong governance framework with independent directors to ensure compliance and ethical management practices[117]. - The company reported zero significant defects in financial and non-financial reports for 2022[155]. - The internal control audit confirmed that the company maintained effective financial reporting internal controls as of December 31, 2022[159]. - The company has complied with all relevant environmental protection laws and regulations during its operations[162]. Environmental and Safety Practices - The company has implemented comprehensive waste treatment facilities to minimize environmental impact[163]. - The company reported a total wastewater discharge of 233,860 tons, with COD levels maintained at ≤40 mg/L, complying with industrial wastewater discharge standards[164]. - The company achieved a total of 9.7036 tons of air pollutants emissions, including nitrogen oxides at 12.4915 tons, all within regulatory limits[166]. - The company has established a safety production management system, achieving a secondary safety production standardization certificate from the Shandong Provincial Emergency Management Department[175]. - The company has maintained a 100% compliance rate with environmental regulations, with no administrative penalties for environmental issues during the reporting period[172]. - The company has actively engaged in safety inspections and has rectified all identified issues according to regulatory requirements[179]. - The company has established a comprehensive safety training plan for different positions, enhancing employees' safety awareness and operational skills[178]. Future Outlook and Strategic Plans - The company plans to continue expanding its market presence and investing in new product development to sustain growth[32]. - The company aims to achieve a green production rate of over 97% for rubber additives by 2025, as part of its commitment to sustainable development[45]. - The company plans to enhance its research and development capabilities to become a world-leading manufacturer of rubber additives[97]. - The company aims to promote the construction of smart factories to achieve lean management and automation[97]. - The company is expanding its core business in rubber additives while exploring opportunities in health-related chemicals and fine chemicals[97]. - The company has outlined future growth strategies, including potential mergers and acquisitions to strengthen its market position[116]. - The company plans to achieve a revenue of 3.5 billion yuan and a total profit of 600 million yuan in 2023, emphasizing that this plan does not constitute a performance commitment to investors[98]. Employee Engagement and Compensation - The company has implemented a differentiated compensation policy to enhance competitiveness, including bonuses, year-end evaluations, stock incentives, and promotions[135]. - Training programs are tailored to different positions, including onboarding, quality system audits, and safety training, aimed at improving employee skills and knowledge[136]. - The company has a stock incentive plan approved in 2021, aimed at motivating employees and aligning their interests with shareholders[143]. - The total pre-tax remuneration for directors and senior management amounted to CNY 5.67 million[125]. - The company has established a performance evaluation mechanism linking senior management compensation to company performance[147]. Risk Management - The company acknowledges the risk of product and raw material price fluctuations impacting operational performance and plans to invest in new technologies to mitigate these risks[8]. - The company is actively monitoring macroeconomic conditions and industry policies to adjust its operational strategies accordingly to mitigate risks from demand fluctuations[6]. - The supervisory board found no risks during its oversight activities in the reporting period, indicating effective risk management[133].

证券代码：300121 证券简称：阳谷华泰 山东阳谷华泰化工股份有限公司 投资者关系活动记录表 编号：2017-002 | --- | --- | --- | |----------------|------------------------|--------------------------------------------------------| | | | | | | ■ | 特定对象调研 □分析师会议 | | 投资者关系活动 | □ 媒体采访 □业绩说明会 | | | 类别 | □ 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） | | 参与单位名称及 | | 永域（深圳）资产管理有限公司 苗丰沛，核子资本 晏沣林、 | | 人员姓名 | | 刘文生，国泰君安证券 戴一览，平安创赢资本管理有限公司 | | | | 卢毅，华泰期货 纪元菲，长江投资（芜湖）有限公司 潘新 | | | | 民，中银基金 王寒，鼎锋资产 吕宏亮，杭州伟梦钢铁贸易有 | | | | 限公司期货投资部 马龙岩，海际证券 王颖楠，中财招商投资 | | | | ...

证券代码：300121 证券简称：阳谷华泰 山东阳谷华泰化工股份有限公司 投资者关系活动记录表 编号：2017-001 | --- | --- | --- | |----------------|-------------------------|-------------------------------------------------------| | | ■ | 特定对象调研 □分析师会议 | | 投资者关系活动 | □ 媒体采访 □业绩说明会 | | | 类别 | □ 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） | | 参与单位名称及 | 长江证券 谢楠 | | | 人员姓名 | 董事会秘书 贺玉广 | | | 时间 | 2017 年 7 月 11 | 日 | | 地点 | 阳谷华泰会议室 | | | 上市公司接待人 | | | | 员姓名 | 董事会秘书 贺玉广 | | | 投资者关系活动 | 1 | 、公司目前生产情况、产品价格如何？ | | 主要内容介绍 | | 公司目前产能利用率较高，整体开工率达到 9 成以上， | | ...

证券代码：300121 证券简称：阳谷华泰 山东阳谷华泰化工股份有限公司 投资者关系活动记录表 编号：2017-003 | --- | --- | --- | |----------------|--------------------------|--------------------------------------------------------| | | | | | | ■ | 特定对象调研 □分析师会议 | | 投资者关系活动 | □ | 媒体采访 □业绩说明会 | | 类别 | □ 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） | | 参与单位名称及 | | 中泰证券 孙琦祥，安信证券 袁善宸，汇丰晋信基金管理有限 | | 人员姓名 | 公司 骆志远 | | | 时间 | 2017 年 11 月 28 | 日 | | 地点 | 阳谷华泰会议室 | | | 上市公司接待人 | | | | 员姓名 | 总经理助理 王超 | | | 投资者关系活动 | 以上人员于 | 2017 年 11 月 28 日到山东阳谷华泰化工股 | | ...