一、董事会会议召开情况 上能电气股份有限公司（以下简称"公司"）第三届董事会第二十六次会议 通知已于 2024 年 4 月 11 日通过邮件的方式送达。会议于 2024 年 4 月 22 日以现 场结合通讯的方式召开。本次会议应出席董事 9 人，实际出席董事 9 人，公司监 事及高级管理人员列席了会议。会议由公司董事长吴强先生主持，本次会议的召 开符合有关法律、法规及《公司章程》的相关规定。 二、董事会会议审议情况 1、审议通过了《关于公司 2023 年度总经理工作报告的议案》； 公司总经理段育鹤先生向董事会汇报了 2023 年度工作情况并获董事会的一 致认可和通过。 证券代码：300827 证券简称：上能电气 公告编号：2024-011 上能电气股份有限公司 第三届董事会第二十六次会议决议公告 本公司及董事会全体成员保证信息披露内容的真实、准确和完整，没有虚 假记载、误导性陈述或重大遗漏。 表决结果：经审议，同意 9 票，反对 0 票，弃权 0 票。 2、审议通过了《关于公司 2023 年度董事会工作报告的议案》； 具体内容详见同日披露在巨潮资讯网（http：//www.cninfo.com.cn）的《20 ...

公证天业会计师事务所（特殊普通合伙） Gongzheng Tianye Certified Public Accountants, SGP 中国．江苏．无锡 Wuxi．Jiangsu．China 总机：86（510）68798988 Tel：86（510）68798988 传真：86（510）68567788 Fax：86（510）68567788 电子信箱：mail@gztycpa.cn E-mail：mail@gztycpa.cn 内部控制鉴证报告 苏公W[2024]E1169号 上能电气股份有限公司全体股东： 我们接受委托，对上能电气股份有限公司（以下简称上能电气）董事会《内 部控制自我评价报告》涉及的2023年12月31日财务报告内部控制有效性的认定进 行了鉴证。 四、鉴证意见 一、董事会对内部控制的责任 按照《企业内部控制基本规范》的规定，建立健全和有效实施内部控制，并 评价其有效性是上能电气董事会的责任。 二、注册会计师的责任 我们的责任是在执行鉴证工作的基础上对财务报告内部控制有效性发表鉴 证意见。我们按照《中国注册会计师其他鉴证业务准则第 3101 号—历史财务信 息审计或审阅以外的鉴证业务》 ...

关于上能电气股份有限公司 《2023年度内部控制自我评价报告》的核查意见 兴业证券股份有限公司（以下简称"兴业证券"或"保荐机构"）作为上能电气 股份有限公司（以下简称"上能电气"或"公司"）首次公开发行股票并在创业板上 市及持续督导、2022年创业板向不特定对象发行可转换公司债券及持续督导的保 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》等相关规定，对上能电气《2023年度内部控制自我评价报告》的相关 情况进行了核查，并出具核查意见如下： 兴业证券股份有限公司 二、公司对内部控制情况总体评价 根据上市公司内部控制自我评价报告：根据公司财务报告内部控制重大缺陷 的认定情况，于内部控制评价报告基准日，不存在财务报告内部控制重大缺陷， 董事会认为，公司已按照企业内部控制规范体系和相关规定的要求在所有重大方 面保持了有效的财务报告内部控制。 基本反映了其内部控制制度的建设及运行情况。 提请公司持续加强内部控制规范体系建设，遵守资本市场规范，严格执行上 市公司内部控制制度，提升内部控制有效性，提高上市公司质量 ...

Financial Performance and Revenue - The company's revenue for the four quarters of 2023 were 620.15 million yuan, 1.56 billion yuan, 1.13 billion yuan, and 1.62 billion yuan respectively, with net profits attributable to shareholders of 36.52 million yuan, 98.63 million yuan, 73.31 million yuan, and 77.41 million yuan respectively[20] - Total revenue in 2023 was 4.93 billion yuan, a year-on-year increase of 110.93%[56] - Revenue from the photovoltaic industry was 2.88 billion yuan, accounting for 58.36% of total revenue, a year-on-year increase of 135.13%[56] - Revenue from the energy storage industry was 1.93 billion yuan, accounting for 39.06% of total revenue, a year-on-year increase of 88.62%[56] - Revenue from mainland China (excluding Hong Kong, Macao, and Taiwan) was 4.24 billion yuan, accounting for 86.02% of total revenue, a year-on-year increase of 111.80%[71] - Revenue from overseas (including Hong Kong, Macao, and Taiwan) was 689.73 million yuan, accounting for 13.98% of total revenue, a year-on-year increase of 105.75%[71] - Sales expenses in 2023 were 235.50 million yuan, a year-on-year increase of 113.21%, mainly due to increased market development costs[74] - R&D expenses in 2023 were 268.57 million yuan, a year-on-year increase of 86.14%, mainly due to increased R&D investment[74] - Inverter sales volume reached 23,469.09 MW, a 132.65% increase compared to the previous period[86] - Inverter production volume reached 24,457.67 MW, a 78.27% increase compared to the previous period[86] - Inverter inventory volume reached 5,921.79 MW, a 19.13% increase compared to the previous period[86] - Total sales from the top 5 customers amounted to 1,349,460,272.30 RMB, accounting for 27.37% of total annual sales[100] - Operating cash inflow increased by 42.72% due to higher shipments and increased collections[102] - Operating cash outflow increased by 53.04% due to higher payments for matured liabilities[102] - Net cash flow from operating activities decreased by 124.04% due to higher payments for matured liabilities[102] - Cash outflow from financing activities increased by 35.72% due to higher repayments of matured loans[102] - Net increase in cash and cash equivalents decreased by 35.76% due to higher payments for matured liabilities[102] - Restricted cash and equivalents total 403,861,817.62 yuan, including 365,990,424.09 yuan in monetary funds, 27,871,393.53 yuan in receivables, and 10,000,000.00 yuan in accounts receivable[106] - The company's cash flow from operating activities showed significant fluctuations, with negative cash flow in Q1 and Q3, and positive cash flow in Q2 and Q4[20] Dividend and Profit Distribution - The company's profit distribution plan approved by the board is to distribute a cash dividend of 1 yuan per 10 shares (tax included) based on a total of 358,038,965 shares, with no bonus shares or capital reserve transfers[1] - 23,761,039.61 RMB in cash dividends were distributed to all shareholders, with a base of 249,023,909 shares, at a rate of 0.954167 RMB per 10 shares[196] - 106,924,715 shares were transferred to all shareholders as capital reserve, at a rate of 4.293753 shares per 10 shares[196] Market Position and Industry Trends - The company ranked first in China for domestic third-party large-power PCS (215kW and above) shipments in 2021, 2022, and 2023, according to EESA Energy Storage Leader Alliance statistics[11] - The global photovoltaic installed capacity is projected to reach 5,400GW by 2030 and 18,200GW by 2050, driven by policies and the need to control global warming to within 1.5°C above pre-industrial levels[7] - China's new PV installations reached 216.88GW in 2023, with cumulative installed capacity exceeding 600GW, both ranking first globally[46] - Global new PV installations will drive rapid growth in the demand for PV inverters, with 176GW of PV system inverters expected to exceed their 10-year lifespan by 2024, creating significant replacement demand[35] Product and Technology Development - The company's energy storage converter and system integration products have been successfully applied in multiple demonstration projects, establishing a strong market reputation[11] - The company's photovoltaic inverter technology is rapidly upgrading to adapt to new component electrical characteristics, driving the rapid iteration of inverter and supporting product technologies[9] - The company's active power filter and low-voltage static var generator products are designed with modular parallel configurations, suitable for various power distribution systems[34] - The company's energy storage products include AC and DC energy storage converters, with AC converters covering a power range of 125~8000kW and DC converters using 182kW modular design, expandable to MW-level systems[36] - The company provides PV monitoring equipment for various scenarios, including data collection sticks, data collectors, and sub-array controllers, supporting multiple communication methods like 4G, WiFi, and Ethernet[38] - The Sienergy smart energy management system offers advanced features such as I-V curve scanning and discrete rate analysis for large-scale ground power stations, enabling intelligent operation and maintenance[38] - The Enjoy SOLAR smart energy management system is designed for distributed scenarios, offering remote monitoring, fault diagnosis, and device debugging through mobile and web interfaces[40] - The company's main products include PV inverters, energy storage bidirectional converters, and active power filters, providing solutions for PV power generation and energy storage integration[47] - The company's string PV inverters cover a wide power range, from 3.0kW to 125kW, with models like SN3.0/3.68/4.0/5.0/6.0 HS and SN100/110/125PT[48] - The company's active power filters are available in cabinet, rack, and wall-mounted configurations, with current ratings ranging from 0-750A[49] - The company's low-voltage static var generators are offered in cabinet, rack, and wall-mounted designs, with capacities ranging from 0-600kvar[50] - The company is developing a 3.6MW centralized inverter optimized for overseas large-capacity power plants, which is expected to be a main product for overseas markets[91] R&D and Innovation - The company plans to increase R&D investment, accelerate the launch of new products, optimize product upgrades, and strengthen operational management to reduce costs and enhance market competitiveness[33] - The company's R&D investment in 2023 was 268 million yuan, accounting for 5.44% of revenue, an increase of 86.14% year-on-year[54] - The company has 411 full-time R&D personnel, including 1 academician from the Chinese Academy of Sciences, 3 postdoctoral researchers, and 29 external experts[54] - The company has accumulated 214 authorized patents, including 26 invention patents, 150 utility model patents, 38 design patents, and 76 software copyrights[54] Overseas Expansion and Market Strategy - The company's overseas business is growing, with increasing export share, which may lead to exchange rate fluctuations impacting financial performance[4] - Overseas market expansion will target Europe, the Middle East, North America, Southeast Asia, and Brazil, building on existing growth in China and India[121] - The company will enhance its global after-sales service platform to improve response speed, service quality, and standardization to support international operations[121] - In 2024, the company will focus on expanding sales channels in major European countries such as Germany, Italy, Spain, Belgium, the Netherlands, the UK, Poland, and the Czech Republic, aiming for large-scale sales[157] - The company will strengthen its domestic market presence, achieve breakthroughs in the industrial and commercial sectors, and improve channel coverage to enhance market share[157] - The company faces risks from increased overseas business and potential foreign exchange fluctuations, which may impact financial performance[159] - The company will use foreign exchange hedging tools to mitigate the impact of exchange rate fluctuations on financial results[159] - The company will continue to expand its international market presence while closely monitoring international trade protection measures and potential disputes[165] Corporate Governance and Board Activities - The company's Board of Directors consists of 9 members, including 3 independent directors, accounting for one-third of the total number of directors[130] - The company's Supervisory Board is composed of 3 members, including 1 employee representative supervisor[131] - The company has an independent financial department with dedicated financial personnel, operating under the "Enterprise Accounting Standards" and maintaining an independent accounting system[137] - The company's main business is the research, production, and sales of power electronic equipment, focusing on power electronic conversion technology for photovoltaic power generation, electrochemical energy storage, and power quality management[138] - The company's Audit Committee held 4 meetings in 2023, reviewing various financial and operational reports, including the 2022 annual financial report and the 2023 semi-annual report[142][147] - The company's Nomination Committee held 1 meeting in 2023, adjusting the membership of the Audit Committee[147] - The company's Remuneration and Assessment Committee held 4 meetings in 2023, reviewing the 2023 annual remuneration plan and other related matters[147] - The company's Board of Directors has established specialized committees including the Strategy Committee, Audit Committee, Nomination Committee, and Remuneration and Assessment Committee, with independent directors holding the majority in three of these committees[152] - The company's Supervisory Board conducted regular reviews of the company's financial status, management performance, and the use of raised funds, ensuring compliance with regulations and protecting the interests of the company and its shareholders[131] - The company held multiple investor meetings in 2023, discussing annual performance, future plans, and overseas market expansion[126] - The company held multiple shareholder meetings in 2023, with participation rates ranging from 50.50% to 55.23%[176] - The company has established a transparent performance evaluation and incentive mechanism for senior management, ensuring compliance with legal and regulatory requirements[153] - The company maintains independent operations in assets, personnel, finance, and business, with no significant conflicts of interest with controlling shareholders[174] - Total compensation for directors, supervisors, and senior management in the reporting period amounted to 3.974 million yuan[180] - The company's total share capital increased to 249,023,909 shares due to the conversion of "Shangneng Convertible Bonds"[187] - The company held 11 board meetings during the reporting period, with all directors attending at least 9 meetings in person and 2 via teleconference[185] - Independent directors received an allowance of 78,000 yuan each for their services[180] - The company's convertible bonds triggered the conditional redemption clause on May 5, 2023, leading to the redemption of 11,423,045 shares[187] - The company's information disclosure complies with Shenzhen Stock Exchange regulations and ensures equal access to information for all shareholders[186] - The company has established multiple investor communication channels, including dedicated phone lines and email addresses[186] - The company's board of directors held 11 meetings in 2023, with detailed resolutions published on the Cninfo website[181][184] Risk Management and Mitigation - Risks include increased trade protectionism and international friction, which may impact the company's global competitiveness[125] - The company will strengthen accounts receivable management to mitigate bad debt risks due to rapid customer growth[124] - The company faces risks from increased overseas business and potential foreign exchange fluctuations, which may impact financial performance[159] - The company will use foreign exchange hedging tools to mitigate the impact of exchange rate fluctuations on financial results[159] - The company will continue to expand its international market presence while closely monitoring international trade protection measures and potential disputes[165] Capital and Fund Management - The company has completed the liquidity replenishment project, with a cumulative investment of 120 million yuan and a remaining balance of 19,500 yuan (interest generated, permanently replenished as liquidity)[155] - As of December 31, 2023, the company had 100 million yuan in idle raised funds used for cash management, with the remaining funds stored in the raised funds account[155] - The company changed the implementation location of the "Annual Production of 5GW Energy Storage Converter and Energy Storage System Integration Project" and the "R&D Center Expansion Project" to the southeast side of the intersection of Jinzhou Road and Beizhou Road in the Industrial Transformation Agglomeration Area of Huishan District, obtaining the property rights certificate Su (2023) Wuxi Real Estate Certificate No. 0115265[133] Shareholder and Investor Relations - The company held multiple investor meetings in 2023, discussing annual performance, future plans, and overseas market expansion[126] - The company held multiple shareholder meetings in 2023, with participation rates ranging from 50.50% to 55.23%[176] - The company has established multiple investor communication channels, including dedicated phone lines and email addresses[186] - The company's information disclosure complies with Shenzhen Stock Exchange regulations and ensures equal access to information for all shareholders[186] - The company's board of directors held 11 meetings in 2023, with detailed resolutions published on the Cninfo website[181][184] - 93,150,000 shares were released from lock-up on April 19, 2023, with 55,120,500 shares actually becoming tradable[189] - 195.8837 million restricted shares were granted to 153 incentive recipients, with 1 participant abandoning 2,859 shares[197] - The total number of shares held by major shareholders or top 10 shareholders (excluding shares lent through securities lending) is 108[190]

上能电气股份有限公司 2024 年第一季度报告 证券代码：300827 证券简称：上能电气 公告编号：2024-010 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。 1 上能电气股份有限公司 2024 年第一季度报告 重要内容提示： 1.董事会、监事会及董事、监事、高级管理人员保证季度报告的真实、准确、完整，不存在虚假记载、误导性陈述或重 大遗漏，并承担个别和连带的法律责任。 2.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)声明：保证季度报告中财务信息的真实、准确、 完整。 3.第一季度报告是否经过审计 □是 否 上能电气股份有限公司 2024 年第一季度报告 一、主要财务数据 （一） 主要会计数据和财务指标 公司是否需追溯调整或重述以前年度会计数据 是 □否 追溯调整或重述原因 □会计政策变更 □会计差错更正 □同一控制下企业合并 其他原因 | --- | --- | --- | --- | --- | |------------------------------------------------------|------------- ...

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。 上能电气股份有限公司（以下简称"公司"）于 2024 年 4 月 22 日召开了第 三届董事会第二十六次会议和第三届监事会第二十四次会议，审议通过了《关于 续聘公证天业会计师事务所（特殊普通合伙）为公司 2024 年度审计机构的议案》， 公司董事会同意续聘公证天业会计师事务所（特殊普通合伙）（以下简称"公证 天业"）为公司 2024 年度审计机构，本议案尚需提交公司 2023 年度股东大会审 议。现将有关情况公告如下： 证券代码：300827 证券简称：上能电气 公告编号：2024-017 上能电气股份有限公司 关于续聘公证天业会计师事务所（特殊普通合伙） 为公司 2024 年度审计机构的公告 一、拟续聘会计师事务所的基本情况 （一）机构信息 1、基本信息： （6）人员信息：截至 2023 年末，公证天业合伙人数量 58 人，注册会计师 人数 334 人，签署过证券服务业务审计报告的注册会计师人数 142 人。 （7）业务规模：公证天业 2023 年度经审计的收入总额 30,171.48 万元，审 计业务收入 2 ...

证券代码：300827 证券简称：上能电气 公告编号：2024-012 上能电气股份有限公司 第三届监事会第二十四次会议决议公告 2023 年度公司监事会按照法律、法规及《公司章程》的相关规定，审议了 公司报告期内的定期报告、对外投资、募集资金的使用情况等事项，同时定期检 查了公司内控制度的执行情况，勤勉尽职地履行了监事会的各项职责，维护了股 东尤其是中小股东的合法权益。 本公司及监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。 一、监事会会议召开情况 上能电气股份有限公司（以下简称"公司"）第三届监事会第二十四次会议 通知已于 2024 年 4 月 11 日通过邮件的方式送达。会议于 2023 年 4 月 22 日在以 现场结合通讯的方式召开。本次会议应出席监事 3 人，实际出席监事 3 人。董事 会秘书陈运萍列席了本次监事会会议。会议由监事会主席刘德龙先生主持，本次 会议的召开符合有关法律法规及《公司章程》的相关规定。 二、监事会会议审议情况 经监事会审议，形成决议如下： 1、审议通过了《关于公司 2023 年度监事会工作报告的议案》； 具体内容详见同日披露在巨潮资 ...

2023 年度独立董事述职报告 （熊源泉） 各位股东及股东代表： 作为上能电气股份有限公司（以下简称"公司"）的独立董事，本人根据《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》、《公司章程》及《上 市公司独立董事管理办法》等相关法律、法规、规章制度的规定和要求，恪尽职 守，勤勉尽责，及时出席相关会议，认真审议董事会各项议案，不受公司大股东、 实际控制人或者其他与公司存在利益关系的单位与个人的影响，对公司重大事项 发表独立意见，切实维护了公司整体利益和全体股东的合法权益。现就本人 2023 年度任职情况汇报如下： 2、出席股东大会情况 2023 年度在本人任期内，公司共召开 6 次股东大会，本人列席了 6 次股东 大会。 3、参与董事会专门委员会工作情况 一、基本情况 熊源泉，1966 年出生，中国国籍，无境外永久居留权，博士研究生学历， 东南大学教授，博士生导师。现任江西金糠新材料科技有限公司执行董事、南京 源紫尚蓝能源科技有限公司监事。2021 年 10 月起任公司独立董事。 报告期内，本人作为公司独立董事任职符合 ...

一、被提名人已经通过 上能电气 股份有限公司第 三 届董事 会提名委员会或者独立董事专门会议资格审查，提名人与被提名人 不存在利害关系或者其他可能影响独立履职情形的密切关系。 ☑ 是 □ 否 如否，请详细说明：______________________________ 上能电气股份有限公司独立董事提名人声明与承诺 提名人上能电气股份有限公司董事会现就提名权小锋为上能电 气股份有限公司第 四 届董事会独立董事候选人发表公开声明。被 提名人已书面同意作为 上能电气 股份有限公司第 四 届董事会独 立董事候选人（参见该独立董事候选人声明）。本次提名是在充分了 解被提名人职业、学历、职称、详细的工作经历、全部兼职、有无 重大失信等不良记录等情况后作出的，本提名人认为被提名人符合 相关法律、行政法规、部门规章、规范性文件和深圳证券交易所业 务规则对独立董事候选人任职资格及独立性的要求，具体声明并承 诺如下事项： 如否，请详细说明：______________________________ 三、被提名人符合中国证监会《上市公司独立董事管理办法》 和深圳证券交易所业务规则规定的独立董事任职资格和条件。 ☑ 是 □ 否 ...

上能电气股份有限公司独立董事提名人声明与承诺 提名人上能电气股份有限公司董事会现就提名纪志成为上能电 气股份有限公司第 四 届董事会独立董事候选人发表公开声明。被 提名人已书面同意作为 上能电气 股份有限公司第 四 届董事会独 立董事候选人（参见该独立董事候选人声明）。本次提名是在充分了 解被提名人职业、学历、职称、详细的工作经历、全部兼职、有无 重大失信等不良记录等情况后作出的，本提名人认为被提名人符合 相关法律、行政法规、部门规章、规范性文件和深圳证券交易所业 务规则对独立董事候选人任职资格及独立性的要求，具体声明并承 诺如下事项： 一、被提名人已经通过 上能电气 股份有限公司第 三 届董事 会提名委员会或者独立董事专门会议资格审查，提名人与被提名人 不存在利害关系或者其他可能影响独立履职情形的密切关系。 ☑ 是 □ 否 如否，请详细说明：______________________________ 二、被提名人不存在《中华人民共和国公司法》第一百四十六 条等规定不得担任公司董事的情形。 ☑ 是 □ 否 如否，请详细说明：______________________________ 三、被提名人符合中国证 ...