华泰联合证券有限责任公司 关于上海富瀚微电子股份有限公司 使用部分闲置募集资金和自有资金进行现金管理 的核查意见 华泰联合证券有限责任公司（以下简称"华泰联合证券"、"保荐机构"） 作为上海富瀚微电子股份有限公司（以下简称"富瀚微"、"公司"）向不特定 对象发行可转换公司债券的保荐机构，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》及《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》等有关规定，华泰联合证券对富瀚微 使用部分闲置募集资金和自有资金进行现金管理的事项进行了审慎核查，具体情 况如下： 一、募集资金基本情况 经中国证券监督管理委员会《关于同意上海富瀚微电子股份有限公司向不特 定对象发行可转换公司债券注册的批复》（证监许可[2021]2259 号文）同意注册， 公司发行面值总额为 581,190,000 元的可转换公司债券，募集资金总额为 581,190,000 元 ， 扣 除 各 项 发 行 费 用 11,500,900.23 元 ， 募 集 资 金 净 额 为 569,689,099.77 元。立信会计事务所（特殊普通合伙）于 2021 年 8 ...

关于召开2023年度股东大会的通知 本公司及董事会全体成员保证公告内容真实、准确和完整，没有虚假记载、 误导性陈述或重大遗漏。 上海富瀚微电子股份有限公司（以下简称"公司"）第四届董事会第二十次会 议决定于2024年5月17日召开公司2023年度股东大会，现将本次会议的具体事项通 知如下： 一、召开会议的基本情况 | 证券代码：300613 | 证券简称：富瀚微 | 公告编号：2024-034 | | --- | --- | --- | | 债券代码：123122 | 债券简称：富瀚转债 | | 上海富瀚微电子股份有限公司 1、股东大会届次：2023年度股东大会 2、股东大会的召集人：公司董事会。 3、会议召开的合法、合规性：经公司第四届董事会第二十次会议审议通过， 决定召开2023年度股东大会。召集程序符合有关法律、行政法规、部门规章、规 范性文件和公司章程的规定。 4、会议召开的日期、时间： （1）现场会议召开时间：2024年5月17日（星期五）下午14:30 （2）网络投票时间：2024年5月17日 其中，通过深圳证券交易所交易系统进行网络投票的具体时间为：2024年5 月17日9:15-9:25、9: ...

| 证券代码：300613 | 证券简称：富瀚微 公告编码：2024-032 | | --- | --- | | 债券代码：123122 | 债券简称：富瀚转债 | 上海富瀚微电子股份有限公司 上海富瀚微电子股份有限公司（以下简称"富瀚微"或"公司"）于 2024 年 4 月 11 日召开第四届董事会第二十次会议及第四届监事会第十三次会议，审议通 过了《关于注销部分股票期权的议案》，同意将 2020 年股票期权激励计划、2021 年股票期权激励计划、2022 年股票期权计划中部分激励对象已获授但尚未行权 的部分股票期权合计 2,053,456 份进行注销。现对有关事项说明如下： 一、 股票期权激励计划已履行的审批程序 关于注销部分股票期权的公告 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： 本次期权注销数量：本次注销部分股票期权合计 2,053,456 份，其中： 1、注销 2020 年股票期权激励计划已获授但尚未行权的股票期权合计 12,821 份； 2、注销 2021 年股票期权激励计划已获授但尚未行权的股票期权合计 714,104 份， ...

Dividend Distribution - The company plans to distribute a cash dividend of 1.2 RMB per 10 shares (including tax) to all shareholders, with no bonus shares issued[7]. R&D and Innovation - The integrated circuit design industry is characterized by rapid technological upgrades and product iterations, necessitating continuous innovation and R&D investment to maintain competitiveness[4]. - The company emphasizes the importance of high-end technical talent, with a significant portion of R&D costs attributed to human resources, leading to ongoing increases in R&D expenses[6]. - The company is committed to enhancing R&D efficiency and maintaining leadership in core technologies to improve product competitiveness[4]. - The integration of AI technology in chip design is driving innovation and meeting diverse application needs, particularly in low-light conditions and multi-camera setups[25]. - The company’s R&D team is focused on continuous innovation in visual chip design, maintaining a leading position in the industry through iterative technology advancements[38]. - The company is in the R&D phase for high-performance AI edge computing chips, aiming to enhance market share and competitiveness[99]. - The new generation of full HD network camera SoC chips is in mass production, targeting higher-end products to meet customer demands[101]. - The new generation machine vision industrial camera project is in the R&D phase, filling a gap in the industrial vision ASIC chip field[101]. - The company has a total of 441 R&D personnel in 2023, an increase of 15.14% from 383 in 2022[125]. - The proportion of R&D personnel has slightly increased to 84.81% in 2023 from 84.55% in 2022[125]. - The number of master's degree holders among R&D personnel rose by 27.17%, from 184 in 2022 to 234 in 2023[125]. Market Performance - The domestic integrated circuit market is experiencing rapid growth, driven by strong demand in emerging applications such as 5G, IoT, and AI, despite a low self-sufficiency rate[21]. - The company achieved a net profit attributable to shareholders, excluding non-recurring gains and losses, of approximately ¥57.27 million in the latest quarter, showing a decrease from ¥66.66 million in the previous quarter[43]. - The company reported a significant increase in cash and cash equivalents, amounting to ¥1.68 billion, which represents 45.76% of total assets, up from 38.19% at the beginning of the year[54]. - The company’s total investment income was approximately ¥2.03 million, representing 0.82% of total profit, primarily driven by long-term equity investment gains[53]. - The company's revenue from integrated circuit design was ¥1,822,382,478.27, with a gross margin of 38.78%, reflecting a year-over-year decrease of 13.65% in revenue and 14.61% in costs[71]. - Revenue from professional video processing products was ¥1,218,584,019.30, with a gross margin of 38.04%, showing a decline of 21.06% in revenue compared to the previous year[71]. - The company experienced a 36.44% year-over-year increase in chip inventory, attributed to dynamic adjustments in inventory structure based on market conditions and customer demand[73]. - The top five customers accounted for 91.09% of the total annual sales, indicating a high customer concentration risk[77]. - The gross margin for smart automotive products was 44.64%, despite a revenue decline of 11.31% year-over-year[71]. - The company reported a significant increase in technical service revenue, which rose by 2,638.07% to CNY 74,643,571.91[92]. - The overseas sales increased by 47.76% to CNY 165,968,028.13, while domestic sales decreased by 17.11% to CNY 1,656,414,450.14[92]. Product Development - The company focuses on high-performance video codec SoCs and image signal processor chips to meet the growing demand in the digital video market[22]. - The market for automotive cameras is transitioning from aftermarket to original equipment manufacturer (OEM) installations, with increasing demand for intelligent camera systems in vehicles[28]. - The company has established a strong competitive advantage in the professional video processing SoC sector, with an expanding product line that supports intelligent features[28]. - The company has successfully launched its new generation of vehicle-mounted ISP products, which excel in low-light performance and have been widely adopted in various applications, including cabin monitoring and streaming media cameras[35]. - The AIoT chip products have expanded into multiple sectors, including education, retail, and industrial applications, significantly increasing market penetration and meeting diverse smart application needs[34]. - The company’s professional video processing chips are positioned to benefit from the ongoing transition to intelligent video processing, driven by increasing safety awareness and demand for high-definition solutions[36]. - The company launched competitive new products in the professional video processing sector, including multi-camera and low-power products, enhancing its market reputation[81]. - The company is developing a new generation low-power encoder, showing significant advantages in area and power consumption compared to previous models[101]. - The automotive image signal processing chip project is in trial production, addressing the growing market demand for automotive chips[101]. Financial Management - The net cash flow from operating activities was negative at approximately -¥18.77 million, a significant decline compared to positive cash flows of ¥83.19 million in the previous quarter[43]. - Operating cash inflow decreased by 25.10%, and net cash flow from operating activities fell by 27.06%, mainly due to reduced sales collections[103]. - The company reported a significant increase in investment activity cash inflow by 105.02% to 396,346,769.16 CNY[175]. - The company aims to optimize internal management and improve operational efficiency through enhanced cost control and risk management systems[176]. - The company reported a fair value change gain of RMB 3.52 million on financial assets during the reporting period[152]. - The company's derivative investments resulted in a total loss of RMB 105.96 million during the reporting period, with a fair value change loss of RMB 91.78 million at the end of the period[158]. - The total amount of derivative investments at the end of the reporting period was RMB 16,168.02 million, accounting for 5.80% of the company's net assets[157]. - The company utilized its own funds for derivative investments, with no significant changes in accounting policies compared to the previous reporting period[158]. - The company has not used RMB 154 million of the raised funds for principal-protected financial products and time deposits, with the remaining RMB 224.04 million stored in a dedicated account[159]. Strategic Planning - The company plans to continue focusing on three main business areas: professional video processing, smart IoT, and smart automotive, with ongoing new product development and market expansion[69]. - The company aims to become an internationally renowned and domestically leading provider of chip products and technology services in the smart vision field[149]. - The company plans to enhance market expansion by deepening cooperation with industry-leading clients and exploring various business cooperation models[151]. - The company is actively pursuing industry mergers and acquisitions to enhance its resilience and maximize synergies[176]. - The management emphasized the importance of enhancing operational efficiency, aiming to reduce costs by 8% through process optimization initiatives[192]. - The company is considering strategic acquisitions to enhance its technology portfolio, with a target of completing at least one acquisition by Q4 2023[192]. Governance and Compliance - The company adheres to legal regulations and maintains an independent business system, ensuring no illegal occupation of company funds by controlling shareholders[186]. - The board of directors consists of 9 members, including 3 independent directors, ensuring compliance with governance regulations[186]. - The company has established a comprehensive internal control system to manage risks and ensure normal business operations[187]. - The company has revised its independent director work system and established new working rules for the board's specialized committees[128]. Risk Management - The company faces risks related to high customer concentration, which could impact its financial stability if major clients change their procurement strategies[177]. - The company is committed to maintaining its innovation capabilities to keep pace with rapid technological advancements in the integrated circuit design industry[177]. - The company faces risks related to rising labor costs for R&D, as it is a labor-intensive company with a significant portion of R&D expenses attributed to personnel costs[179]. - The acquisition of subsidiary MoXing Technology may lead to losses or goodwill impairment if product sales do not meet expectations[180]. - The company aims to mitigate raw material price fluctuation risks through reasonable hedging strategies[158]. - The company has implemented risk control measures for foreign exchange hedging, including strict adherence to internal management systems and only engaging with qualified financial institutions[158]. - The company’s financial department is responsible for the unified management of foreign exchange hedging activities, ensuring compliance with established procedures[158]. Shareholder Engagement - The annual shareholders' meeting had a participation rate of 53.53% on May 19, 2023[190].

| 证券代码：300613 | 证券简称：富瀚微 | 公告编号：2024-025 | | --- | --- | --- | | 债券代码：123122 | 债券简称：富瀚转债 | | 上海富瀚微电子股份有限公司 第四届监事会第十三次会议决议公告 本公司及监事会全体成员保证公告内容真实、准确和完整，没有虚假记载、误 导性陈述或重大遗漏。 一、监事会会议召开情况 上海富瀚微电子股份有限公司（以下简称"公司"）第四届监事会第十三次会议 于 2024 年 4 月 11 日在公司会议室以现场方式召开，本次会议通知已于 2024 年 4 月 1 日以电子邮件、电话、书面等形式向全体监事发出。会议由监事会主席陈晓春 先生召集和主持，应参会监事 3 人，实际参会监事 3 人。会议的召集、召开、表决 符合《公司法》等法律、法规及《公司章程》，合法有效。 二、监事会会议审议情况 表决结果：同意 3 票；反对 0 票；弃权 0 票。 本议案尚需提交股东大会审议。 3、 审议通过《关于公司 2023 年度财务决算报告的议案》 经审核，监事会认为：该报告真实、客观地反映了公司 2023 年度财务状况以及 经营成果。具体内容详见同日披 ...

上海富瀚微电子股份有限公司 独立董事 2023 年度述职报告 各位股东及股东代表： 本人张文军作为上海富瀚微电子股份有限公司（以下简称"公司"）的独立董事， 严格按照《公司法》《证券法》《上市公司独立董事管理办法》等有关法律、法规、 规范性文件及《公司章程》《独立董事工作制度》的规定和要求，本着对全体股东 负责的态度，勤勉、忠实地履行独立董事职责，对公司重大事项发表客观、审慎、 公正的事前认可或独立意见，积极维护公司利益和股东特别是中小股东的合法权益。 现将本人 2023 年度履行独立董事职责情况作汇报如下： 一、独立董事的基本情况 （一）独立董事工作履历、专业背景及兼职情况 本人张文军，男，1963 年生，中国国籍，无境外永久居留权，毕业于上海交通 大学，博士学历。历任德国飞利浦工业公司工程师、上海交通大学电子信息与电气 工程学院教授、院长、上海交通大学副校长，现任上海交通大学电子信息与电气工 程学院讲席教授，兼任数字电视国家工程研究中心首席科学家、重庆广电数字传媒 股份有限公司独立董事；2021 年 5 月起至今任公司独立董事。 （二）独立性说明 在担任公司独立董事期间，本人未在公司担任除独立董事以外的任 ...

各位股东及股东代表： 本人张占平作为上海富瀚微电子股份有限公司（以下简称"公司"）的独立董事， 严格按照《公司法》《证券法》《上市公司独立董事管理办法》等有关法律、法规、 规范性文件及《公司章程》《独立董事工作制度》的规定和要求，本着对全体股东 负责的态度，勤勉、忠实地履行独立董事职责，对公司重大事项发表客观、审慎、 公正的事前认可或独立意见，积极维护公司利益和股东特别是中小股东的合法权益。 现将本人 2023 年度履行独立董事职责情况作汇报如下： 一、独立董事的基本情况 （一）独立董事工作履历、专业背景及兼职情况 上海富瀚微电子股份有限公司 独立董事 2023 年度述职报告 （二）任职董事会专门委员会工作情况 公司董事会设立了薪酬与考核委员会、审计与风险控制委员会、提名委员会及 战略委员会四个专门委员会。本人作为提名委员会主任委员、审计与风险控制委员 会委员，2023 年度按照《公司章程》《公司董事会议事规则》及各专业委员会议事 规则等相关规定，履行了相关职责。 本人作为公司董事会提名委员会主任委员，严格按照《独立董事工作制度》《董 事会提名委员会工作细则》积极履行职责，发挥提名委员会在聘任相关人选事项上 ...

具体修订对照情况如下： 上海富瀚微电子股份有限公司 《公司章程》修订对照表 | 序号 | 修订前条款 | 修订后条款 | | --- | --- | --- | | | 司生产经营造成重大影响，或公司 | 股东大会审议通过的下一年中期 | | | 自身经营状况发生较大变化时，公 | 分红条件和上限制定具体方案后， | | | 司可对利润分配政策进行调整。公 | 须在 2 个月内完成股利（或股份） | | | 司调整利润分配政策应由董事会做 | 的派发事项。 | | | 出专题论述，详细论证调整理由， | （七） 公司利润分配政策的变更 | | | 形成书面论证报告并经董事会审议 | 如遇到战争、自然灾害等不可抗 | | | 通过后提交股东大会特别决议通 | 力，或者公司外部经营环境变化并 | | | 过；独立董事应发表明确意见并公 | 对公司生产经营造成重大影响，或 | | | 开披露。审议利润分配政策变更事 | 公司自身经营状况发生较大变化 | | | 项时，公司为股东提供网络投票方 | 时，公司可对利润分配政策进行调 | | | 式，充分听取中小股东的意见。公 | 整。公司调整利润分配政策应由董 | | ...

上海富瀚微电子股份有限公司 2023 年度监事会工作报告 2023 年度，公司监事会严格按照《公司法》《证券法》《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》和《公司章程》等法律法规以及公司《监事会议事规则》等制度的规定， 本着对公司全体股东负责的原则，依法履行职责，独立行使职权，对公司的经营活 动、财务状况及董事及高级管理人员履行职责情况等方面进行了监督，促进公司的 规范运作，切实积极维护公司利益及股东合法权益。促进公司健康、持续发展。现 将 2023 年度监事会工作情况向各位股东汇报如下： 一、监事会会议召开情况 报告期内，公司监事会共召开会议 7 次，具体如下： | 会议日期 | | 召开届次 | 审议事项 | | --- | --- | --- | --- | | | | | 《关于公司 年年度报告及其摘要的议案》 2022 | | | | | 《关于公司 2022 年度监事会工作报告的议案》 | | | | | 《关于公司 2022 年度财务决算报告的议案》 | | | | | 《关于公司 年度利润分配预案的议案》 2022 | | ...

上海富瀚微电子股份有限公司董事会 关于 2023 年度证券与衍生品投资情况的专项说明 根据《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》《深圳证券交易所创业板上市公司自律监管指南第 1 号—业务办理》等 有关规定的要求，公司董事会对公司 2023 年度证券与衍生品投资情况进行了核 查，现将相关情况说明如下： 一、证券与衍生品投资审议批准情况 经公司 2022 年 10 月 27 日召开了第四届董事会第六次会议、第四届监事会 第四次会议，审议通过了《关于增加外汇套期保值业务额度的议案》，同意将公 司（含子公司）进行外汇套期保值业务的总额度由不超过 20,000 万元人民币或 等值外币增加至 50,000 万元人民币或等值外币；公司 2023 年 10 月 25 日召开第 四届董事会第十五次会议、第四届监事会第十次会议审议通过了《关于开展外汇 套期保值业务的议案》，为降低汇率波动风险，根据公司业务发展情况，董事会 同意公司（含子公司）继续开展外汇套期保值业务，总额度不超过 4 亿元人民币 或等值外币。上述额度自董事会审议批准之日起 12 个月内有效，额度在期限内 可循环滚动使用。具体 ...