| 证券代码：301046 | 证券简称：能辉科技 | 公告编号：2023-075 | | --- | --- | --- | | 债券代码：123185 | 债券简称：能辉转债 | | 上海能辉科技股份有限公司 关于能辉转债预计触发转股价格向下修正条件的 提示性公告 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。 特别提示： | | | 5、自 2023 年 8 月 20 日至 2023 年 9 月 1 日，公司股票已有 10 个交易日的 收盘价低于当期转股价格 37.71 元/股的 85%，如后续公司股票收盘价格继续低 于当期转股价的 85%，预计将可能触发"能辉转债"转股价格向下修正条件。若 触发条件，公司将按照《上海能辉科技股份有限公司创业板向不特定对象发行可 转换公司债券募集说明书》（以下简称"《募集说明书》"）的约定及时履行后续审 议程序和信息披露义务。敬请广大投资者注意投资风险。 一、可转换公司债券基本情况 1、可转换公司债券发行情况 经中国证券监督管理委员会"证监许可〔2023〕221 号"文同意注册，上海能 辉科技股份有限公司（以下简称"公司 ...

Group 1: Photovoltaic Power Station Projects - As of June 30, the company has 16 photovoltaic EPC projects in hand, with a total uncompleted contract amount exceeding 1 billion yuan, including 10 centralized photovoltaic power station projects. Performance is expected to reflect in Q3 and Q4 as existing projects progress [1] - The company has 16 household distributed photovoltaic EPC projects, with a total uncompleted contract amount nearing 400 million yuan. Performance from these projects is anticipated in Q3 and beyond [2] Group 2: Electric Heavy Truck Battery Swap Business - The company signed an investment contract with the local government of Luoshan County, Henan Province, to establish a research and production base for electric heavy truck energy storage battery assemblies and charging/swap equipment [3] - The initial phase includes a collaboration to launch 100 battery swap heavy trucks, aiming to create a large-scale operational ecosystem for electric heavy trucks and charging stations, focusing on the southern Henan and northern Hubei regions [3]

Financial Performance - The company reported a significant decline in performance, facing risks such as intensified competition in the photovoltaic industry and a decrease in gross margins [3]. - The company's operating revenue for the first half of 2023 was ¥184,850,149.56, a decrease of 11.67% compared to ¥209,283,578.21 in the same period last year [24]. - Net profit attributable to shareholders was ¥5,831,858.16, down 63.66% from ¥16,046,563.10 year-on-year [24]. - The net profit after deducting non-recurring gains and losses was ¥4,538,840.51, reflecting a decline of 66.67% compared to ¥13,617,961.64 in the previous year [24]. - The company reported a basic earnings per share of ¥0.04, down 63.64% from ¥0.11 in the same period last year [24]. - The company's total revenue for the reporting period was ¥184,850,149.56, a decrease of 11.67% compared to ¥209,283,578.21 in the same period last year [100]. - Operating costs decreased by 14.17% to ¥133,806,628.30 from ¥155,900,099.93 year-on-year [100]. - Research and development expenses were ¥9,342,174.24, down 14.75% from ¥10,958,770.45 in the previous year [100]. - The gross profit margin for the photovoltaic power station system integration segment was 24.77%, a slight increase of 2.12% compared to the previous year [102]. Risk Factors - The company has outlined various risk factors including fluctuations in raw material prices and accounts receivable recovery risks [3]. - The company reported a significant risk of declining gross margins due to increased competition and potential changes in project costs and pricing [132]. - The company acknowledges risks related to the volatility of raw material prices, particularly polysilicon and photovoltaic components, and is enhancing supply chain management to mitigate these risks [135]. - The company has established a strict credit management system to address the risks associated with accounts receivable [137]. Corporate Governance - No cash dividends or stock bonuses will be distributed to shareholders for this period [4]. - The management team has confirmed the accuracy and completeness of the financial report [3]. - The company’s legal representatives have signed off on the financial statements, ensuring accountability [3]. - The semi-annual financial report was not audited [162]. - The company has not encountered any bankruptcy reorganization matters during the reporting period [163]. - The company has not received any non-standard audit reports for the previous year [163]. Investments and Financing - The company has completed the issuance of convertible bonds, raising a total of RMB 347.907 million, which will be used for investments in distributed photovoltaic power stations and to supplement working capital [44]. - The company reported a significant increase in cash flow from financing activities, totaling ¥393,435,517.54, a 892.44% increase from -¥49,648,852.21 in the previous year [100]. - The net increase in cash and cash equivalents was ¥102,129,017.82, representing a 308.15% increase compared to -¥49,064,825.37 last year [100]. - The company has committed to invest a total of 68,768 million CNY, with 58,267 million CNY already allocated, representing a progress rate of 84.73% [120]. - The company plans to enhance its comprehensive business capabilities with an investment of 16,091 million CNY, which is expected to be operational by December 2024 [119]. Market Position and Strategy - The company is focused on developing new technologies and products to enhance its market position [3]. - The company is actively involved in the electric heavy truck battery swap technology, with 5,729 battery swap heavy trucks sold in the first half of 2023, accounting for 49.59% of total sales [39]. - The company is actively expanding into new business areas such as energy storage microgrids and electric heavy truck battery swap technology, although these areas currently have limited scale [138]. - The company aims to strengthen its market position by deepening its presence in regions like Guizhou, Guangdong, Guangxi, and Yunnan, while also exploring overseas markets for household energy storage [134]. - The company is enhancing its core competitiveness by continuously investing in R&D, focusing on photovoltaic, energy storage microgrid, and electric heavy truck battery swap technologies [94]. Legal Matters - The company is involved in ongoing litigation related to construction contracts, with claims amounting to approximately 1.075 million yuan [165]. - The company is contesting a labor contract dispute with a claim of approximately 78,360 yuan [165]. - The company has proposed jurisdictional objections in several ongoing legal cases [165]. Research and Development - The company is planning to enhance its research and development capabilities to improve its one-stop service in the new energy sector and increase business value [130]. - The company has developed a 2.5MW/5MWh standard liquid-cooled energy storage product, which supports various communication protocols and enhances the safety of energy storage systems [96]. - The company is upgrading its electric heavy truck battery swap system, incorporating advanced navigation and control technologies to improve reliability and efficiency [97]. Corporate Social Responsibility - The company emphasizes its commitment to corporate social responsibility, focusing on green initiatives and community development through renewable energy projects [156].

| 证券代码：301046 | 证券简称：能辉科技 | 公告编号：2023-071 | | --- | --- | --- | | 债券代码：123185 | 债券简称：能辉转债 | | 第三届监事会第十二次会议决议公告 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。 一、监事会会议召开情况 上海能辉科技股份有限公司（以下简称"公司"）第三届监事会第十二次会议 于 2023 年 8 月 24 日下午以通讯方式召开，会议通知于 2023 年 8 月 14 日以书 面方式发出，本次会议由公司监事会主席熊天柱先生召集并主持，会议应出席监 事 3 名，实际出席监事 3 名。公司部分高级管理人员列席了本次会议。会议召 集、召开、表决程序符合《公司法》及《公司章程》的有关规定。 二、监事会会议审议情况 全体与会监事经认真审议和表决，形成以下决议： （一）审议通过《关于<2023 年半年度报告>及其摘要的议案》 经审核，监事会认为：董事会编制和审核的公司《2023 年半年度报告》及摘 要的程序符合法律、法规、中国证监会和深圳证券交易所的相关规定，报告内容 真实、准确、完整地 ...

根据《企业会计准则》及公司会计政策等相关规定，公司对合并财务报表 范围内截至2023年6月30日的应收票据、应收账款、其他应收款、合同资产、 存货、固定资产、无形资产等资产进行了减值测试，判断存在可能发生减值的 迹象，确定了需要计提资产减值准备的资产项目。 2023年1-6月，公司计提应收票据减值准备0.25万元，计提应收账款坏账准 备972.62万元，计提其他应收款减值准备39.75万元，计提合同资产减值准备 180.35万元，上述四项合计计提资产减值准备1,192.97万元。 | 证券代码：301046 | 证券简称：能辉科技 | 公告编号：2023-074 | | --- | --- | --- | | 债券代码：123185 | 债券简称：能辉转债 | | 上海能辉科技股份有限公司 关于2023年1-6月计提资产减值准备的公告 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。 上海能辉科技股份有限公司（以下简称"公司"或"本公司"）根据《企业会 计准则》以及公司会计政策等相关规定，于2023年6月30日对各类应收款项、合 同资产、存货、固定资产、长期股权 ...

| | 上海能辉储能科技有限公司 | 子公司 | 其他应收款 | | 50.00 | | 50.00 暂 | 借 | 非经营性 | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | | | | | | 款 | | | | | 怀集能辉新能源有限公司 | 子公司 | 其他应收款 | | 0.05 | | 0.05 暂 | 借 | 非经营性 | | | | | | | | | 款 | | | | | 河南省绿色生态新能源科技有限公 | 子公司 | 其他应收款 | | 16,375.05 | | 16,375.05 暂 | 借 | 非经营性 | | | 司 | | | | | | 款 | | | | 其他关联方及其附属企 | | | | | | | | | | | 业 | | | | | | | | | | | 总计 | - | - | - | 4,902.39 | 25,552.82 | - 1,450.00 29,005.21 | | - | | 2023 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 编制单位：上海能辉 ...

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 | 不适用 | | 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 | | | | 是 | | 资金管理制度、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 | 每月 1 次 | | （2）公司募集资金项目进展是否与信息披露文 | 是 | | 件一致 | | | 4、公司治理督导情况 | | | （1）列席公司股东大会次数 | 次 0 | | （2）列席公司董事会次数 | 0 次 | | （3）列席公司监事会次数 | 0 次 | | 5、现场检查情况 | | | （1）现场检查次数 | 0 次 | 1 | （2）现场检查报告是否按照本所规定报送 | 不适用 | ...

海通证券股份有限公司关于上海能辉科技股份有限公司 使用部分闲置募集资金进行现金管理的核查意见 海通证券股份有限公司（以下简称"海通证券"或"保荐机构"）作为上海能辉 科技股份有限公司（以下简称"能辉科技"或"公司"）持续督导保荐机构，根据《证 券发行上市保荐业务管理办法》《上市公司监管指引第2号——上市公司募集资金 管理和使用的监管要求（2022年修订）》《深圳证券交易所上市公司自律监管指引 第13号——保荐业务》《深圳证券交易所创业板股票上市规则（2023年修订）》《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，对公司使用部分闲置募集资金进行现金管理的事项进行了核查，具体情 况如下： 一、募集资金的基本情况 经中国证券监督管理委员会《关于同意上海能辉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]2256 号）同意，并经深圳证券交易所同 意，公司首次公开发行人民币普通股（A 股）3,737.00 万股，每股面值人民币 1.00 元，每股发行价格为人民币 8.34 元，本次发行募集资金总额为人民币 31,166.58 万元，扣除发行费用（不含税）人民币 ...

上海能辉科技股份有限公司 2023 年半年度募集资金存放与使用情况专项报告 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。 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》及相关公告格式指引的要求，上海能辉科技股份有限公司（以下简称"公 司"）编制了 2023 年半年度募集资金存放与使用情况专项报告，具体情况如下： 一、募集资金基本情况 首次公开发行股票募集资金情况 1、实际募集资金金额、资金到账时间 经中国证券监督管理委员会《关于同意上海能辉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]2256 号）同意，并经深圳证券交易所同 意，公司首次公开发行人民币普通股（A 股）3,737 万股，每股面值人民币 1.00 元，每股发行价格为人民币 8.34 元，本次发行募集资金总额为人民币 31,166.58 万元，扣除发行费用（不含税）人民币 7,006.93 万元，实际募集资金净额为人民 币 24,159.65 万元。 | 证券代码：301046 | 证券简称：能辉科技 | 公告编号：2023-072 | | ...

| 证券代码：301046 | 证券简称：能辉科技 | 公告编号：2023-073 | | --- | --- | --- | | 债券代码：123185 | 债券简称：能辉转债 | | 上海能辉科技股份有限公司 关于使用部分闲置募集资金进行现金管理的公告 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。 重要提示： 1. 投资种类：商业银行安全性高、流动性好（期限不超过十二个月）的定 期存款、结构性存款、通知存款、保本理财、收益凭证等产品。 2. 投资金额：不超过人民币 10,000 万元（含本数）的首次公开发行股票的 闲置募集资金进行现金管理，在上述额度内，进行现金管理的资金可滚动使用。 3. 特别风险提示：公司拟进行现金管理品种为商业银行安全性高、流动性 好的产品，公司将严格筛选投资对象，选择与信誉好、规模大、有能力保障资金 安全的商业银行进行现金管理业务合作，但不排除受到市场波动和业务操作等的 影响产生投资风险，敬请投资者注意投资风险。 上海能辉科技股份有限公司（以下简称"公司"）于 2023 年 8 月 24 日召开第 三届董事会第十三次会议和第三届监 ...