公司按照风险导向原则确定纳入评价范围的主要单位、业务和事项以及高风 险领域。纳入评价范围的主要单位包括：苏州天华新能源科技股份有限公司、全 资子公司及控股子公司。纳入评价范围单位资产总额占公司合并财务报表资产总 额的100%，营业收入合计占公司合并财务报表营业收入总额的100%。 纳入评价范围的主要业务和事项包括：内部环境、风险评估、控制活动，信 息与沟通、内部监督；重点关注的高风险领域主要包括市场竞争加剧风险、经营 管理风险、原材料市场价格波动风险、应收账款风险、汇率波动风险等。 天风证券股份有限公司 关于苏州天华新能源科技股份有限公司 2024 年度内部控制评价报告的核查意见 天风证券股份有限公司（以下简称"天风证券"、"保荐机构"）作为苏州天华 新能源科技股份有限公司（以下简称"天华新能"或者"公司"）持续督导的保荐机 构，根据《证券发行上市保荐业务管理办法》、《深圳证券交易所创业板股票上 市规则》、《深圳证券交易所上市公司自律监管指引第2号——创业板上市公司 规范运作》、《深圳证券交易所上市公司自律监管指引第13号——保荐业务》等 有关规定，对天华新能2024年度内部控制评价报告进行了审慎核查，核查情 ...

天风证券股份有限公司 截至 2024 年 12 月 31 日，公司累计使用募集资金 239,367.12 万元，永久补 充流动资金 29,967.57 万元，加上募集资金专户利息收入 2,969.74 万元，募集资 金专户余额为 7,781.88 万元。 二、募集资金存放和管理情况 根据有关法律法规的规定，遵循规范、安全、高效、透明的原则，公司制定 了《募集资金管理办法》，对募集资金的存储、审批、使用、管理与监督做出了 明确的规定，以在制度上保证募集资金的规范使用。 2022 年 12 月，公司和保荐机构天风证券股份有限公司分别与招商银行股份 有限公司苏州分行、中国农业银行股份有限公司昆山分行、广发银行股份有限公 司苏州分行签署《募集资金监管协议》，在招商银行股份有限公司苏州分行开设 募集资金专项账户（账号：512904054810818）、中国农业银行股份有限公司昆 山分行开设募集资金专项账户（账号：10530301040025505）、广发银行股份有 限公司苏州分行开设募集资金专项账户（账号：9550888168168516686）。公司 募集资金监管协议与深圳证券交易所募集资金监管协议范本不存在重大差异 ...

Financial Performance - The company's revenue for Q1 2025 was ¥1,687,622,325.51, a decrease of 3.80% compared to ¥1,754,354,489.87 in the same period last year[4] - Net profit attributable to shareholders was ¥3,258,768.72, down 99.35% from ¥502,005,129.18 year-on-year[4] - The total comprehensive income for the current period is ¥9,054,485.62, a decrease from ¥585,882,616.77 in the previous period[25] - Net profit for the current period is ¥7,225,184.11, a significant decline of 98.86% compared to ¥633,844,099.24 in the previous period[24] - The company's weighted average return on equity decreased to 0.03% from 4.11% in the previous year[4] Cash Flow - The net cash flow from operating activities was -¥522,206,294.79, a decline of 187.38% compared to ¥597,653,712.78 in the previous year[4] - Cash inflow from operating activities decreased to ¥663,548,872.64, down 65.24% from ¥1,911,646,440.79 in the previous period[27] - The net cash flow from operating activities was -$522.21 million, a significant decrease compared to $597.65 million in the previous period, indicating a decline in operational efficiency[28] - The total cash and cash equivalents at the end of the period decreased to $2.20 billion from $7.71 billion, highlighting liquidity challenges[28] - The net cash flow from investment activities was -$2.37 billion, worsening from -$323.51 million, indicating increased investment risks[28] Assets and Liabilities - Total assets increased by 12.77% to ¥19,785,762,786.74 from ¥17,545,051,088.73 at the end of the previous year[4] - The total liabilities increased to ¥4,551,054,277.34, up 28.83% from ¥3,531,949,262.82 in the previous period[22] - Total equity increased to ¥15,234,708,509.40, up 8.69% from ¥14,013,101,825.91 in the previous period[22] - The total non-current assets rose to approximately ¥12.88 billion from ¥10.30 billion, an increase of about 24.97%[19] Operational Metrics - The financial expenses surged by 194.79% to ¥22,247,843.18, primarily due to a decrease in interest income[10] - The company recorded a 93.44% drop in other income, totaling ¥24,908,560.02, attributed to reduced government subsidies received[10] - Total operating costs increased to ¥1,731,811,670.26, up 9.36% from ¥1,583,167,043.23 in the previous period[23] - Research and development expenses decreased to ¥19,485,107.33, down 12.54% from ¥22,242,814.77 in the previous period[23] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 70,485[11] - The company has a total of 158,742,936 shares under lock-up agreements, with specific release schedules for executives[15] Strategic Developments - The company signed a lithium resource development investment agreement with the Kebbi State government in Nigeria, indicating a strategic move towards resource expansion[17] Inventory and Receivables - The company reported a significant increase in accounts receivable, which rose by 58.32% to ¥584,546,423.31 due to higher sales in March[8] - Current assets decreased to approximately ¥6.91 billion from ¥7.25 billion, a decline of about 4.66%[19] - Inventory levels decreased to approximately ¥2.07 billion from ¥2.32 billion, reflecting a decline of about 11.29%[20] Borrowings and Debt Management - The company reported a significant increase in short-term borrowings, which rose by 113.62% to ¥2,248,479,636.15 due to new bank loans[8] - The company's long-term borrowings increased to ¥619,120,000.00, up from ¥560,740,000.00 in the previous period[22] - The company paid $186.50 million in debt repayments, down from $580.83 million, suggesting a strategic shift in debt management[28]

Financial Performance - The company's operating revenue for 2024 was ¥6,608,250,041.33, a decrease of 36.87% compared to ¥10,467,716,682.13 in 2023[17]. - Net profit attributable to shareholders for 2024 was ¥847,645,088.60, down 48.91% from ¥1,659,076,244.79 in 2023[17]. - The net profit after deducting non-recurring gains and losses for 2024 was ¥440,822,472.33, a decline of 67.98% compared to ¥1,376,614,343.13 in 2023[17]. - The net cash flow from operating activities for 2024 was ¥1,436,184,370.21, a decrease of 65.58% from ¥4,172,340,575.03 in 2023[17]. - The total assets at the end of 2024 were ¥17,545,051,088.73, down 7.00% from ¥18,866,120,267.36 at the end of 2023[17]. - The company reported a basic earnings per share of ¥1.01 for 2024, a decrease of 49.25% from ¥1.99 in 2023[17]. - The total operating revenue for 2024 was approximately ¥6.61 billion, a decrease of 36.87% compared to ¥10.47 billion in 2023[114]. - The lithium battery materials sector accounted for 87.07% of total revenue in 2024, generating approximately ¥5.75 billion, down 40.70% from ¥9.70 billion in 2023[114]. - The overseas revenue accounted for 18.42% of total revenue in 2024, significantly down 57.85% from the previous year[114]. - The revenue from the domestic market (excluding Hong Kong, Macau, and Taiwan) was ¥4,705,196,913.60, reflecting a decrease of 37.93% year-over-year[117]. Dividend and Shareholder Information - The company plans to distribute a cash dividend of 6.00 RMB per 10 shares to all shareholders, based on a total of 830,750,788 shares[4]. - The company distributed a cash dividend of 10.00 CNY per 10 shares, totaling 831 million CNY for the 2023 profit distribution plan[169]. - The company has maintained continuous cash dividends since its listing, focusing on long-term shareholder returns[168]. - The company held 3 shareholder meetings and 9 board meetings during the reporting period, ensuring compliance with relevant regulations[172][174]. - The total remuneration for directors, supervisors, and senior management during the reporting period amounted to CNY 10.26 million[192]. - The highest remuneration was received by the Chairman, Pei Zhenhua, totaling CNY 1.73 million[192]. Research and Development - The company is focusing on the lithium-ion battery materials industry, with key products including battery-grade lithium hydroxide and lithium carbonate[26]. - The company is actively exploring next-generation battery technologies, including solid-state and flow battery systems, with established platforms for research and testing[86]. - The company has formed a high-end joint research team with Dalian University of Technology to develop new ion exchange membrane materials with performance and cost advantages[86]. - The company is developing spinel structure nickel manganese lithium cathode materials for high energy density lithium-ion batteries, aiming for commercialization to enhance market positioning[125]. - The company is investing in R&D, allocating 10% of its revenue towards developing new technologies and products[187]. - R&D investment amounted to ¥91,445,600.87 in 2024, representing 1.38% of operating revenue, up from 0.86% in 2023[128]. - The company increased its R&D personnel by 15.34% from 528 in 2023 to 609 in 2024, with a notable rise in master's degree holders by 80.95%[128]. Market Trends and Industry Insights - The demand for high-performance cathode materials is increasing, driven by the growth in the power battery sector[28]. - Global proven lithium resources increased by 9.5% year-on-year to 115 million metric tons, primarily concentrated in the "lithium triangle" of South America and Australia, accounting for 49% of total resources[29]. - In 2024, China's power and energy storage battery sales are projected to reach 1,039.5 GWh, representing a year-on-year growth of 42.4%[35]. - The penetration rate of electric vehicles (EVs) in China is expected to exceed 40% in 2024, with total EV sales reaching 12.89 million units, a year-on-year increase of 35.5%[40]. - The global demand for lithium resources is anticipated to grow rapidly due to the ongoing energy transition and advancements in renewable energy technologies[48]. Corporate Governance and Compliance - The company emphasizes the importance of risk awareness regarding forward-looking statements in the annual report[4]. - The company’s financial report is guaranteed to be true, accurate, and complete by its board of directors and management[4]. - The company has implemented measures to enhance corporate governance and ensure compliance with legal and regulatory requirements[172]. - The governance status of the company aligns with the regulations set by the China Securities Regulatory Commission[177]. - The company received the highest rating of A in the Shenzhen Stock Exchange's information disclosure assessment for two consecutive years[176]. Strategic Initiatives and Future Plans - The company aims to maximize shareholder and social interests through technological innovation and market expansion in 2024[83]. - The company plans to deepen its overseas lithium mine resource layout and optimize cost monitoring systems to enhance operational efficiency[155]. - The company will invest in R&D for advanced materials, including silicon-based materials and solid-state battery technologies, to strengthen its competitive edge in the new energy materials sector[156]. - The company aims to improve its market share in high-value medical consumables through innovative product offerings[127]. - The company intends to accelerate partnerships with European and American automotive companies and establish a global marketing network in the medical sector[157]. Risk Management - The company acknowledges risks from macroeconomic changes and market competition, emphasizing the need for robust risk management strategies[162][163]. - The company is committed to improving accounts receivable management to mitigate risks associated with growing receivables[164]. - The company will utilize hedging strategies to manage risks from raw material price fluctuations, particularly for lithium concentrate[165]. Operational Efficiency - The company aims to improve operational efficiency, targeting a 15% reduction in costs by the end of 2024[187]. - The company has implemented an ERP and MES system for operational management in lithium battery materials, ensuring timely production based on market demand[97]. - The company will implement a three-tier lean improvement mechanism to optimize operational efficiency and reduce product costs[159].

天风证券股份有限公司 保荐代表人签字：_________________ _____________________ 汪寅生 徐云涛 | 2.是否在股票上市后 6 个月内建立内部审计制度并设立内部审计部门 | √ | | --- | --- | | （如适用） | | | 3.内部审计部门和审计委员会的人员构成是否合规（如适用） | √ | | 4.审计委员会是否至少每季度召开一次会议，审议内部审计部门提交的 | √ | | 工作计划和报告等（如适用） | | | 5.审计委员会是否至少每季度向董事会报告一次内部审计工作进度、质 | √ | | 量及发现的重大问题等（如适用） | | | 6.内部审计部门是否至少每季度向审计委员会报告一次内部审计工作 | | | 计划的执行情况以及内部审计工作中发现的问题等（如适用） | √ | | 7.内部审计部门是否至少每季度对募集资金的存放与使用情况进行一 | √ | | 次审计（如适用） | | | 8.内部审计部门是否在每个会计年度结束前二个月内向审计委员会提 | √ | | 交次一年度内部审计工作计划（如适用） | | | 9.内部审计部门是否在每个会计年度结束后 ...

天风证券股份有限公司 关于苏州天华新能源科技股份有限公司 2024 年度持续督导培训情况的报告 三、培训效果 对于本次持续督导培训工作，公司与相关人员给予了积极配合，保证了本次 培训的顺利开展。全体参与培训的人员均进行了认真学习，对上市公司内幕交易、 关联交易、重大信息披露、股份减持等规定有了更加深入的理解和掌握，参加人 员均表示在日常工作过程中要严格遵守相关法律法规。本次持续督导培训总体上 天风证券股份有限公司作为苏州天华新能源科技股份有限公司（以下简称 "天华新能"或"公司"）向特定对象发行股票并在创业板上市的保荐机构，根 据《证券发行上市保荐业务管理办法》《深圳证券交易所上市公司自律监管指引 第 13 号——保荐业务》等要求，对天华新能进行了 2024 年度持续督导培训。现 将培训情况报告如下： 一、培训基本情况 培训时间：2025 年 3 月 20 日 培训方式：本次培训采用集中培训与自学相结合的方式 参加人员：公司董事、监事、高级管理人员等 二、培训内容 本次培训的内容包括上市公司内幕交易、关联交易、重大信息披露、股份减 持规定等，主要结合《公司法》《证券法》《上市公司监管指引第 5 号——上市 公 ...

证券代码：300390 证券简称：天华新能 公告编号：2025-011 苏州天华新能源科技股份有限公司 关于调整 2022 年限制性股票激励计划授予价格的公告 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。 苏州天华新能源科技股份有限公司（以下简称"公司"）于 2025 年 3 月 20 日召开的第六届董事会第二十四次会议和第六届监事会第十六次会议审议通过 了《关于调整 2022 年限制性股票激励计划授予价格的议案》，现将相关事项公 告如下： 一、公司 2022 年限制性股票激励计划已履行的相关审批程序 1、2022 年 2 月 8 日，公司召开第五届董事会第二十二次会议，会议审议通 过了《关于公司<2022 年限制性股票激励计划（草案）>及其摘要的议案》《关 于公司<2022 年限制性股票激励计划实施考核管理办法>的议案》《关于提请股 东大会授权董事会办理股权激励计划相关事宜的议案》等议案，公司独立董事就 本次股权激励计划是否有利于公司的持续发展及是否存在损害公司及全体股东 利益的情形发表了独立意见。 2、2022 年 2 月 8 日，公司召开第五届监事会第 ...

证券代码：300390 证券简称：天华新能 公告编号：2025-010 苏州天华新能源科技股份有限公司 关于开展期货套期保值业务的公告 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、交易目的：为避免锂电材料价格波动带来的不利影响，苏州天华新能源科技 股份有限公司（以下简称"公司"）拟开展期货套期保值业务，通过期货套期保值的 避险机制降低市场价格波动给公司带来的经营风险，保持公司经营业绩持续稳定。 2、交易金额：公司开展期货套期保值业务，所需交易保证金上限不超过人民币 5 亿元；任一交易日持有的最高合约价值不超过人民币 20 亿元，上述额度在有效期 限内可循环滚动使用。本次业务期限内任一时点的交易金额（含前述交易的收益进 行再交易的相关金额）将不超过前述已审议额度。 3、公司拟开展的期货套期保值的品种为与公司及控股子公司生产经营有直接关 系的锂盐及生产锂盐所需原材料等相关期货品种。交易场所包括符合国内监管要求 的公开交易所及具备合法资质的境外交易所。 4、审议程序：该事项已经公司第六届董事会第二十四次会议审议通过。本次交 易事项在董事会审批 ...

苏州天华新能源科技股份有限公司 关于开展期货套期保值业务的可行性分析报告 苏州天华新能源科技股份有限公司(以下简称"公司")拟使用自有及自筹 资金利用期货工具开展套期保值业务，现结合生产经营实际，将开展套期保值 业务的可行性分析报告如下： 一、开展期货套期保值业务的目的 近年来，宏观因素影响及行业供需阶段性调整明显，国内商品材料、产品 价格波动幅度巨大，公司主要产品受价格波动影响产生经营利润波动风险，并 导致整体业绩波动。为促进公司生产经营稳健开展，充分利用期货衍生品工具， 目的是借助套期保值功能进行风险对冲，规避市场价格波动风险，提升公司的 持续盈利能力和综合竞争能力，减少因商品原材料价格波动、产成品价格波动 对公司生产经营产生的不利影响，提升公司抗风险能力，增强经营稳健性，公 司拟根据相关法律法规及公司规定，开展期货套期保值业务。 二、套期保值的开展方式 1、套期保值品种：公司开展期货套期保值业务的期货品种为与公司及控股 子公司生产经营有直接关系的锂盐及生产锂盐所需原材料等相关期货品种。 2、交易工具和场所：交易工具为远期、期货、期权等衍生品合约。交易场 所包括符合国内监管要求的公开交易所及具备合法资质的 ...

证券代码：300390 证券简称：天华新能 公告编号：2025-009 苏州天华新能源科技股份有限公司 关于第六届监事会第十六次会议决议的公告 本公司及监事会全体成员保证信息披露的内容真实、准确、完整，没有虚假 记载、误导性陈述或重大遗漏。 苏州天华新能源科技股份有限公司（以下简称"公司"）第六届监事会第十六 次会议于 2025 年 3 月 20 日下午在公司三楼会议室以现场方式召开，会议由公司 监事会主席陈雪荣主持，公司全体监事出席了会议，应参与表决监事 3 人，实际 表决监事 3 人。本次会议通知于 2025 年 3 月 14 日以书面送达方式发出，会议的 召开符合《公司法》和《公司章程》规定，会议召开合法、有效。 与会监事认真审议并经过记名投票方式表决，一致通过以下决议： 1、审议通过《关于开展期货套期保值业务的议案》 监事会认为：公司开展期货套期保值业务，有利于充分利用期货等衍生产品 市场功能，合理降低生产经营所需原材料价格波动给公司经营带来的不利影响， 不存在损害公司和全体股东利益的情形，符合国家相关法律、法规及《公司章程》 的有关规定。 表决结果：3 票同意，0 票反对，0 票弃权。 具体内容详见 ...