海通证券股份有限公司 关于深圳市南极光电子科技股份有限公司 2023 年半年度跟踪报告 | 保荐机构名称：海通证券股份有限公司 | 被保荐公司简称：南极光 | | | --- | --- | --- | | 保荐代表人姓名：龚思琪 | 联系电话：0755- | 25869929 | | 保荐代表人姓名：谭璐璐 | 联系电话：0755- | 25869808 | 一、保荐工作概述 | 项目 | 工作内容 | | --- | --- | | 1、公司信息披露审阅情况 | | | （1）是否及时审阅公司信息披露文件 | 是 | | （2）未及时审阅公司信息披露文件的次数 | 次 0 | | 2、督导公司建立健全并有效执行规章制度的情况 | | | （1）是否督导公司建立健全规章制度（包括但不限于 | | | 防止关联方占用公司资源的制度、募集资金管理制度、 | 是 | | 内控制度、内部审计制度、关联交易制度） | | | （2）公司是否有效执行相关规章制度 | 是 | | 3、募集资金监督情况 | | | （1）查询公司募集资金专户次数 | 1 次 | | （2）公司募集资金项目进展是否与信息披露文件一致 | 是 ...

Financial Performance - The company reported a revenue of RMB 500 million for the first half of 2023, representing a year-on-year increase of 20%[1]. - The net profit attributable to shareholders was RMB 100 million, up 15% compared to the same period last year[1]. - The company's operating revenue for the reporting period was ¥244,262,971.92, a decrease of 43.20% compared to the same period last year[25]. - The net profit attributable to shareholders was -¥78,702,133.99, reflecting a significant decline of 1,003.63% year-over-year[25]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was -¥83,716,372.93, a decrease of 1,561.15% compared to the previous year[25]. - The cash flow from operating activities was -¥886,386.30, representing a decline of 101.02% compared to the same period last year[25]. - The company reported a significant decrease in investment amounting to ¥23,691,633.87, down 64.93% from ¥67,559,335.94 in the previous year[71]. - The total revenue for the first half of 2023 was CNY 702 million, reflecting a decrease of 4.6% year-over-year[179]. - The net profit attributable to shareholders for the first half of 2023 was CNY 444 million, down 8.1% from the previous year[179]. Market Expansion and Product Development - The company plans to launch two new products in Q4 2023, aiming to capture a larger market share in the LED sector[1]. - Future guidance indicates a projected revenue growth of 25% for the second half of 2023, driven by increased demand and market expansion efforts[1]. - Market expansion strategies include entering Southeast Asian markets, with an expected revenue contribution of RMB 30 million by the end of 2023[1]. - The company is focusing on the development of Mini/Micro-LED technology, which is becoming a major trend in the display technology market[33]. - The company plans to enhance customer loyalty and expand its customer base to mitigate risks associated with high customer concentration[92]. - The company is actively expanding its customer base and enhancing customer stickiness through customized R&D efforts[51]. Research and Development - The company is investing RMB 50 million in R&D for new technologies, focusing on Mini LED and Micro LED innovations[1]. - Research and development expenses amounted to CNY 18.07 million, a decrease of 10.03% compared to the previous year[58]. - The company has allocated 190.5 million RMB for research and development in new technologies[185]. - The company is actively researching new display technologies such as Mini-LED and Micro-LED to enhance product offerings and competitiveness[95]. Financial Position and Assets - Total assets at the end of the reporting period were ¥1,197,384,315.52, down 7.71% from the end of the previous year[26]. - The net assets attributable to shareholders at the end of the reporting period were ¥748,965,740.85, a decrease of 8.19% compared to the previous year[26]. - The company's total assets decreased to CNY 1,164,863,480.79 in the first half of 2023 from CNY 1,213,779,555.23 in the same period of 2022, a decline of 4.0%[165]. - The company's equity attributable to shareholders decreased to CNY 748,965,740.85 from CNY 815,752,395.61, reflecting a decline of about 8.2%[161]. Risks and Challenges - The company has identified potential risks including supply chain disruptions and market competition, with strategies in place to mitigate these risks[1]. - The company experienced a significant increase in credit impairment losses, totaling CNY -18.50 million, up 554.84% year-over-year[60]. - The company faces risks related to intellectual property litigation, with a potential compensation claim increasing from 3.99 million yuan to 51.07 million yuan[95]. - The company has successfully defended against a lawsuit regarding trade secret infringement, but the outcome of the appeal remains uncertain[96]. Corporate Governance and Compliance - The company has established a robust corporate governance system to protect the rights of shareholders and creditors, ensuring transparency and timely information disclosure[109]. - The company has achieved ISO 14001:2015 environmental management system certification, demonstrating its commitment to environmental protection and pollution control[111]. - The company has not reported any non-operating fund occupation by controlling shareholders or related parties during the reporting period[115]. - The half-year financial report has not been audited, indicating that the financial results are still subject to review[117]. Shareholder Information - The total number of ordinary shareholders at the end of the reporting period is 12,904[145]. - Major shareholders include Pan Lianxing and Jiang Faming, each holding 26.30% of shares, totaling 50,129,600 shares[145]. - The company has a total of 190,572,083 shares outstanding, with no changes in shareholding structure reported[144]. - The largest shareholder, Pan Lianxing, has pledged 13,638,880 shares, while Jiang Faming has pledged 5,900,000 shares[145].

证券代码：300940 证券简称：南极光 公告编号：2023-040 深圳市南极光电子科技股份有限公司 第二届董事会第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。 表决结果：同意 7 票、反对 0 票、弃权 0 票。 具体内容详见公司同日披露于巨潮资讯网（www.cninfo.com.cn）的《2023 年半年度报告》《2023 年半年度报告摘要》。 2、审议通过了《关于 2023 年半年度募集资金存放与使用情况的专项报告的 议案》。 一、董事会会议召开情况 深圳市南极光电子科技股份有限公司（以下简称"公司"）第二届董事会第 十六次会议于 2023 年 8 月 28 日在公司会议室以现场会议结合通讯的形式召开。 会议通知已于 2023 年 8 月 17 日以邮件、电话、书面等方式发出。本次会议应出 席董事 7 人，实际出席会议董事 7 人，其中施金平先生以通讯方式出席会议。会 议由董事长姜发明先生主持，公司监事、高级管理人员列席了本次会议。本次会 议的召集、召开程序及表决方式符合《中华人民共和国公司法》《中华人民共和 国证券法》等有关法律 ...

深圳市南极光电子科技股份有限公司 独立董事关于第二届董事会第十六次会议 相关事项的独立意见 根据《中华人民共和国公司法》（以下简称《公司法》）、《上市公司独立董事 规则》《深圳市南极光电子科技股份有限公司章程》《深圳市南极光电子科技股份 有限公司独立董事工作制度》等有关规定，我们作为深圳市南极光电子科技股份 有限公司（以下简称"公司"）的独立董事,基于独立判断的立场，经认真审阅， 现就公司第二届董事会第十六次会议审议的相关事项，发表独立意见如下： 一、关于 2023 年半年度募集资金存放与使用情况的专项报告的独立意见 公司《关于 2023 年半年度募集资金存放与使用情况的专项报告》内容真实、 准确、完整，如实反映了公司 2023 年半年度募集资金存放与使用的实际情况。 公司 2023 年半年度募集资金的存放和使用符合中国证券监督管理委员会、深圳 证券交易所以及公司《募集资金管理制度》的相关规定，不存在违规使用募集资 金的行为，不存在改变或变相改变募集资金投向和损害股东利益的情况。 因此，独立董事一致同意公司《关于 2023 年半年度募集资金存放与使用情 况的专项报告》。 二、关于控股股东及其他关联方占用公司资 ...

证券代码：300940 证券简称：南极光 公告编号：2023-043 深圳市南极光电子科技股份有限公司 2023 年半年度计提资产减值准备及核销资产的公告 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。 深圳市南极光电子科技股份有限公司（以下简称"公司"）根据《企业会计 准则》及公司相关会计政策的规定，对已发生减值损失的部分资产计提了资产减 值准备，并对部分已无使用价值及转让价值的资产进行了核销。现根据《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》等规定，将具体情况公告如下： 一、本次计提资产减值准备及核销资产情况概述 （一）本次计提资产减值准备原因 依据《企业会计准则第 8 号——资产减值》和公司相关会计政策的规定，基 于谨慎性原则，为真实、准确地反映公司财务状况、资产价值及经营情况，公司 对合并报表范围内截止 2023 年 6 月 30 日的应收账款、应收票据、应收款项融资、 其他应收款、存货、长期股权投资、长期应收款、固定资产、在建工程、无形资 产等资产进行了全面清查，对应收款项回收的可 ...

单位：万元 非经营性资金占用 资金占用方名称 占用方与上 市公司的关 联关系 上市公司核 算的会计科 目 2023 年期 初占用资金 余额 2023 年半年度 占用累计发生 金额（不含利 息） 2023 年半 年度占用资 金的利息 （如有） 2023 年半 年度偿还 累计发生 金额 2023 年半 年度期末占 用资金余额 占用形成 原因 占用性质 控股股东、实际控制 人及其附属企业 小计 前控股股东、实际控 制人及其附属企业 小计 其他关联方及附属企 业 小计 总计 其它关联资金往来 资金往来方名称 往来方与上 市公司的关 联关系 上市公司核 算的会计科 目 2023 年期 初往来资金 余额 2023 年半年度 往来累计发生 金额（不含利 息） 2023 年半 年度往来资 金的利息 （如有） 2023 年半 年度偿还 累计发生 金额 2023 年半 年度期末往 来资金余额 往来形成 原因 往来性质 （经营性往 来、非经营 性往来） 深圳市南极光电子科技股份有限公司 2023 年半年度非经营性资金占用及其他关联资金往来情况汇总表 1 / 2 法定代表人：姜发明 主管会计工作负责人：黄丽华 会计机构负责人：潘玮雯 ...

证券代码：300940 证券简称：南极光 公告编号：2023-042 深圳市南极光电子科技股份有限公司董事会 关于 2023 年半年度募集资金存放与使用情况的专项报告 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。 一、募集资金基本情况 （一）实际募集资金金额和资金到账情况 经中国证券监督管理委员会《关于同意深圳市南极光电子科技股份有限公司 首次公开发行股票注册的批复》（证监许可〔2021〕9 号）同意注册，深圳市南极 光电子科技股份有限公司（以下简称"公司"）首次公开发行人民币普通股（A 股）股票 29,606,423 股，发行价格为 12.76 元/股，募集资金总额为人民币 377,777,957.48 元，扣除发行费用人民币 45,350,505.26 元，实际募集资金净 额为人民币 332,427,452.22 元。募集资金已于 2021 年 1 月 29 日划至公司指定 账户。上述募集资金到位情况已由信永中和会计师事务所（特殊普通合伙）审验， 并于 2021 年 1 月 29 日出具了"XYZH/2021GZAA50004 号"验资报告。 （二）募集 ...

一、监事会会议召开情况 深圳市南极光电子科技股份有限公司（以下简称"公司"）第二届监事会 第十五次会议于 2023 年 8 月 28 日在公司会议室以现场会议结合通讯的形式召 开。会议通知已于 2023 年 8 月 17 日以邮件、电话、书面等方式发出。本次会 议应出席监事 3 人，实际出席会议监事 3 人，其中胡星飞先生以通讯方式出席 会议。会议由监事会主席方荣华女士主持，公司董事会秘书和证券事务代表列 席了本次会议。本次会议的召集、召开程序及表决方式符合《中华人民共和国 公司法》《中华人民共和国证券法》等有关法律、行政法规、部门规章、规范性 文件和《公司章程》的有关规定，会议合法、有效。 二、监事会会议审议情况 经与会监事认真审议，充分讨论，审慎表决，会议审议通过了以下议案： 证券代码：300940 证券简称：南极光 公告编号：2023-041 深圳市南极光电子科技股份有限公司 第二届监事会第十五次会议决议公告 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。 表决结果：同意 3 票、反对 0 票、弃权 0 票。 具体内容详见公司同日披露于巨潮资讯网（www ...

股东 名称 是否为控股股东或 第一大股东及其一 致行动人 本次解除质押 股份数量 （股） 占其所持 股份比例 占公司总 股本比例 质押起始 日 质押解除 日 质权人 姜发明 是 3,200,000 6.38% 1.68% 2022 年 8 月 2 日 2023 年 8 月 22 日 深圳市中小 担 小 额 贷 款 有 限 公司 （一）本次股份解除质押基本情况 截至公告披露日，上述股东及其一致行动人所持质押股份情况如下： 股东名称 持股数量 （股） 持股比 例 本次解除 质押前质 押股份数 量 （股） 本次解除 质押后质 押股份数 量（股） 占其所 持股份 比例 占公司 总股本 比例 已质押股份情况 未质押股份情况 已质押股 份限售和 冻结、标 记数量 （股） 占已 质押 股份 比例 未质押股份 限售和冻结 数量（股） 占未 质押 股份 比例 姜发明 50,129,600 26.37% 10,900,0 00 7,700,000 15.36% 4.05% 7,700,000 100% 42,429,600 100% 潘连兴 50,129,600 26.37% 13,638,8 80 13,638,88 0 27 ...

Financial Performance - The company's revenue for Q1 2023 was ¥94,259,852.85, a decrease of 53.73% compared to ¥203,708,261.76 in the same period last year[4] - The net profit attributable to shareholders decreased by 357.40%, resulting in a loss of ¥30,240,815.40, compared to a profit of ¥11,726,925.96 in the previous year[4] - The net profit attributable to shareholders after deducting non-recurring gains and losses fell by 433.80%, amounting to a loss of ¥34,918,789.81[4] - Basic and diluted earnings per share both decreased by 357.42%, resulting in -¥0.1596 per share[4] - The company reported a net loss for the quarter, with total operating costs exceeding total operating revenue, leading to a challenging financial performance[19] - The company reported a net loss of CNY 30,240,815.40 in Q1 2023, compared to a net profit of CNY 11,748,617.32 in the same period last year, representing a significant decline[20] - Operating profit for the quarter was CNY -34,501,476.12, down from CNY 12,715,292.79 in Q1 2022, indicating a negative performance trend[20] - The company reported a total comprehensive loss of CNY -30,243,116.64 for the quarter, compared to a comprehensive income of CNY 11,752,234.19 in Q1 2022[21] Assets and Liabilities - Total assets at the end of the reporting period were ¥1,217,500,366.95, a decrease of 6.16% from ¥1,292,250,669.42 at the end of the previous year[5] - The total assets as of March 31, 2023, were RMB 1,217,500,366.95, down from RMB 1,297,382,379.97 at the beginning of the year, representing a decline of 6.2%[17] - The total liabilities decreased to RMB 425,670,325.68 from RMB 481,629,984.36, a reduction of 11.6%[17] - The total equity attributable to shareholders was RMB 791,830,041.27, down from RMB 815,752,395.61, reflecting a decrease of 2.9%[17] - The equity attributable to shareholders decreased by 2.93%, amounting to ¥791,830,041.27 compared to ¥815,161,320.12 at the end of the previous year[5] Cash Flow and Operating Activities - The net cash flow from operating activities improved by 56.70%, reaching -¥13,741,161.84, compared to -¥31,731,178.39 in the same period last year[4] - Cash flow from operating activities showed a net outflow of CNY -13,741,161.84, an improvement from the outflow of CNY -31,731,178.39 in the same quarter last year[24] - The company’s cash and cash equivalents at the end of the period stood at CNY 252,701,495.07, down from CNY 313,812,770.79 at the end of Q1 2022[24] - Cash and cash equivalents at the end of Q1 2023 amounted to RMB 332,458,620.35, a decrease of 9.3% from RMB 366,552,910.99 at the beginning of the year[15] Costs and Expenses - The total operating costs for Q1 2023 were RMB 130,707,770.30, down from RMB 191,702,522.17, reflecting a reduction of 31.8% year-over-year[19] - The company incurred R&D expenses of CNY 8,550,577.10, which is an increase of 15.1% compared to CNY 7,427,633.00 in Q1 2022, reflecting a commitment to innovation[20] - The company’s financial expenses increased to CNY 836,071.22 from CNY 101,944.29 in the previous year, indicating rising costs[20] Market Conditions and Strategy - The company attributed the decline in revenue and profit to a sluggish terminal demand due to macroeconomic conditions and intense industry competition[10] - The company has not disclosed any new product launches or market expansion strategies during this reporting period[25] Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 13,130[11] - The inventory at the end of Q1 2023 was RMB 38,827,852.36, slightly down from RMB 38,971,435.67, a decrease of 0.4%[16] - Accounts receivable decreased to RMB 197,020,226.15 from RMB 228,935,876.98, indicating a reduction of 13.9%[15]