东方证券股份有限公司 关于开勒环境科技（上海）股份有限公司 2024 年度持续督导现场培训报告 2025年4月25日，东方证券保荐代表人王震在开勒股份会议室通过现场培训 结合发送学习资料要求持续自主学习的方式，对公司控股股东、实际控制人、 董事、监事、高级管理人员进行了培训。 二、本次培训的主要内容 本次培训的内容主要包括：上市公司持续督导主动告知事项、持续督导新 规、上市公司违规案例介绍、《上市公司监管指引第10号——市值管理》解读 等内容。 三、本次培训的效果 公司控股股东、实际控制人、董事、监事、高级管理人员等认真学习了本 次培训授课相关内容，通过本次培训加深了对相关业务规则的理解，明确了自 身行为规范，有助于公司进一步提高规范运作水平和信息披露质量。本次培训 达到了预期的目标，取得了良好的效果。 员进行了培训，现将培训情况报告如下： （此页无正文，为《东方证券股份有限公司关于开勒环境科技（上海）股份有限 公司 2024 年度持续督导现场培训报告》之签章页） 东方证券股份有限公司（以下简称"东方证券"、"保荐机构"）作为开 勒环境科技（上海）股份有限公司（以下简称"开勒股份"、"公司"）首次 公开发行股 ...

东方证券股份有限公司 关于开勒环境科技（上海）股份有限公司 根据公司财务报告内部控制重大缺陷的认定标准，于内部控制评价报告基准 日，未发现公司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 1 控制。 2024年度内部控制评价报告的核查意见 东方证券股份有限公司（以下简称"东方证券"、"保荐机构"）作为开 勒环境科技（上海）股份有限公司（以下简称"开勒股份"、"公司"）首次 公开发行股票的保荐机构，履行持续督导职责，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》等有关法律法规和规范性 文件的要求，就《开勒环境科技（上海）股份有限公司2024年度内部控制评价 报告》进行了核查，具体如下： 一、内部控制评价具体情况 （一）重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其 有效性，并如实披露内部控制评价报告是公司董事会的责任。监事会对董事会建 立和实施内部控制进行监督。经理层负责组织领导企业内部控制的日常运行 ...

二、前10名无限售条件股东持股情况 前十大流通股东累计持有： 1592.3万股，累计占流通股比： 37.48%，较上期变化： -197.58万股。 一、主要会计数据和财务指标 | 报告期指标 | 2024年年报 | 2023年年报 | 本年比上年增减(%) | 2022年年报 | | --- | --- | --- | --- | --- | | 基本每股收益（元） | -0.1600 | 0.4200 | -138.1 | 0.4700 | | 每股净资产（元） | 12.07 | 12.64 | -4.51 | 12.13 | | 每股公积金(元) | 6.53 | 6.5 | 0.46 | 6.41 | | 每股未分配利润(元) | 4.00 | 4.57 | -12.47 | 4.20 | | 每股经营现金流(元) | - | - | - | - | | 营业收入(亿元) | 3.31 | 3.69 | -10.3 | 3.04 | | 净利润(亿元) | -0.11 | 0.27 | -140.74 | 0.3 | | 净资产收益率(%) | -1.32 | 3.36 | -139.29 | 3.8 ...

第二条 董事会应当及时登记和报送内幕信息知情人档案，对内幕信息知情 人信息的真实性、准确性、完整性进行核查，保证内幕信息知情人档案的真实、 准确、及时和完整，董事长为主要负责人。董事会秘书负责办理公司内幕信息知 情人的登记入档和报送事宜，董事会办公室协助董事会秘书履行职责。董事长与 董事会秘书应当对内幕信息知情人档案的真实、准确和完整签署书面确认意见。 开勒环境科技（上海）股份有限公司 内幕信息知情人登记管理制度 （2025年04月修订） 第一章 总则 第三条 公司董事会秘书和董事会办公室负责证券监管机构、证券交易所、 证券公司等机构及新闻媒体、股东的接待、咨询（质询）、服务工作。 第四条 未经公司董事会批准同意，公司任何部门和个人不得向外界泄露、 报道、传送涉及公司的内幕信息和信息披露内容。对外报道、传送的文件、软（磁） 盘、录音（像）带、光盘等涉及内幕信息和信息披露内容的资料，须经董事会秘 书审核同意（并视重要程度呈报董事会审核），方可对外报道、传送。 第一条 为做好开勒环境科技（上海）股份有限公司（以下简称"公司"） 内幕信息保密工作，有效防范和打击内幕交易等证券违法违规行为，根据《中华 人民共和国证券 ...

开勒环境科技（上海）股份有限公司 董事会战略委员会工作细则 （2025 年 04 月修订） 第五条 战略委员会设主任委员（召集人）一名，负责主持委员会工作，主 任委员在委员内选举，并报请董事会批准产生。 第一章 总 则 第一条 为适应开勒环境科技（上海）股份有限公司（以下简称"公司"） 战略发展需要，增强公司核心竞争力，优化公司发展规划，健全投资决策程序， 加强决策科学性，提高重大投资的效益和效率，完善公司治理结构，根据《中华 人民共和国公司法》（以下简称"《公司法》"）、《中华人民共和国证券法》 （以下简称"《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》等相关法 律法规及《开勒环境科技（上海）股份有限公司章程》（以下简称"《公司章程》"） 的相关规定，公司特设立董事会战略委员会，并制定本工作细则。 第二条 董事会战略委员会是董事会按照股东会决议设立的专门工作机构， 主要负责对公司中长期发展战略和重大投资决策进行研究并提出建议，对执行情 况进行监督。 第二章 人员组成 第三条 战略委员会由三名董事组成，其中应包括董事长及至少一名独 ...

开勒环境科技（上海）股份有限公司 内部审计制度 （ 2025 年 04 月修订 ） 第一章 总则 第一条 为了加强开勒环境科技（上海）股份有限公司（以下简称"公司"） 内部审计工作，提升内部审计工作质量，增强公司自我约束，防范和控制公司经 营风险，根据《中华人民共和国审计法》《审计署关于内部审计工作的规定》《企 业内部控制基本规范》《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》等法律、法规及规范性文件以及《开勒环境科技（上海）股份 有限公司章程》的规定，结合公司实际情况，制定本制度。 第二条 本制度所称内部审计，是指由公司内部审计机构或审计人员，对公司 内部控制和风险管理的有效性、财务信息的真实性和完整性以及经营活动的效率和 效果等开展的一种独立客观的监督和评价活动。 第三条 本制度所称内部控制，是指公司董事会、高级管理人员及其他有关人 员为实现下列目标而提供合理保证的过程： （一）遵守国家法律、法规、规章及其他相关规定； （二）提高公司经营的效率和效果； （三）保障公司资产的安全； （四）确保公司信息披露的真实、准确、完整和公平。 第二章 内部审计机构与人员 第四条 审计部是公司内 ...

开勒环境科技(上海)股份有限公司 （一）工作履历、专业背景及任职情况 本人苗彬，中国国籍，无境外永久居留权，1983 年 6 月 5 日出生，毕业于 新加坡国立大学经济学专业。曾任上海财经大学经济学院助理教授、副教授；2018 年至 2020 年 7 月，任上海财经大学经济学院教授；2020 年 8 月至今，任中国人 民大学经济学院教授；2017 年 10 月至 2024 年 2 月，任公司独立董事。 （二）独立性情况 各位股东及股东代表： 报告期内，2024 年 1 月 1 日至 2024 年 2 月 2 日，本人作为开勒环境科技(上 海)股份有限公司（以下简称"公司"）的独立董事，严格按照《中华人民共和 国公司法》（以下简称"《公司法》"）《上市公司独立董事管理办法》等法律 法规、部门规章及规范性文件和《开勒环境科技（上海）股份有限公司章程》（以 下简称"《公司章程》"）、《开勒环境科技（上海）股份有限公司独立董事工 作制度》（以下简称"《独立董事工作制度》"）的规定和要求，认真履行职责， 充分发挥独立董事的独立作用，切实履行了独立董事的责任与义务。 2024 年 2 月，本人任期届满，不再担任公司第四届 ...

Financial Performance - The company's revenue for Q1 2025 was ¥37,912,797.39, a decrease of 20.13% compared to ¥47,468,456.47 in the same period last year[8] - The net loss attributable to shareholders was ¥5,168,408.69, an improvement of 44.54% from a loss of ¥9,319,390.73 in the previous year[8] - Basic earnings per share were -¥0.0801, showing a 44.53% improvement from -¥0.1444 in the previous year[8] - Total operating revenue decreased to ¥37,912,797.39 from ¥47,468,456.47, representing a decline of approximately 20.4% year-over-year[24] - Net profit for the period was a loss of ¥6,428,750.63, compared to a loss of ¥10,032,105.18 in the previous period, showing an improvement of approximately 35.5%[26] - The company reported a total comprehensive loss of ¥6,284,413.69, compared to a loss of ¥10,030,457.38 in the previous period, an improvement of approximately 37.3%[26] Cash Flow - The net cash flow from operating activities improved to -¥25,012,917.44, a 33.79% increase compared to -¥37,778,592.85 in the same period last year[8] - Cash flow from operating activities was ¥50,778,515.75, compared to ¥60,173,310.38 in the previous period, indicating a decrease of about 15.5%[28] - Net cash flow from operating activities was -$25.01 million, an improvement from -$37.78 million year-over-year[29] - Net cash flow from investment activities was ¥19,315,013.80, a decrease of 36.45% compared to ¥30,395,175.66 in the previous year[14] - Total cash inflow from investment activities was $195.30 million, compared to $239.63 million in the previous period[29] - Cash outflow from investment activities totaled $175.99 million, down from $209.23 million year-over-year[29] - Net cash flow from financing activities was -$4.12 million, worsening from -$2.91 million in the previous period[30] - The ending cash and cash equivalents balance was $64.22 million, down from $76.11 million year-over-year[30] Assets and Liabilities - Total assets decreased by 5.00% to ¥910,367,172.86 from ¥958,274,315.91 at the end of the previous year[8] - Current assets decreased to CNY 474,664,634.14 from CNY 522,033,595.49, reflecting a decline of about 9.1%[21] - Cash and cash equivalents stood at CNY 210,434,834.73, slightly down from CNY 213,825,047.54, a decrease of approximately 1.1%[20] - The company’s total liabilities decreased to ¥151,066,968.18 from ¥183,580,971.58, a reduction of about 17.7%[22] - The total equity attributable to shareholders decreased to ¥764,919,618.39 from ¥779,163,822.91, a decline of approximately 1.8%[22] - The company’s long-term borrowings decreased to ¥29,439,647.94 from ¥32,303,807.34, a reduction of about 8.6%[22] Accounts Receivable and Inventory - The company reported a significant increase in accounts receivable, rising by 362.84% to ¥1,010,745.10 due to an increase in commercial acceptance bills received[12] - Accounts receivable decreased to CNY 42,024,336.84 from CNY 54,338,433.30, representing a decline of about 22.7%[21] - Inventory increased to CNY 65,403,093.58 from CNY 60,676,825.75, showing an increase of approximately 7.5%[21] Research and Development - Research and development expenses decreased by 32.98% to ¥3,793,359.80, reflecting reduced investment in the industrial energy storage business[13] - Research and development expenses were ¥3,793,359.80, down from ¥5,660,188.06, a decrease of approximately 33.0% year-over-year[25] Shareholder Structure - The company has a significant shareholder structure, with the largest shareholder holding 25.73% of the shares[18] - The company’s employee stock ownership platform is managed by a significant shareholder, indicating a focus on employee engagement[18] - There were no changes reported in the number of preferred shareholders or restricted shares during the period[19] Other Income - The company recorded a significant increase in other income, which rose by 1212.23% to ¥18,560.38, attributed to an increase in non-recurring income[13] Audit Status - The company did not undergo an audit for the first quarter report[31]

Financial Performance - The company's net profit for the reporting period was negative, primarily due to a reduction in market demand for HVLS fans, leading to a decline in revenue and net profit compared to the same period last year [7]. - The company reported a basic earnings per share of -CNY 0.16 for 2024, a decrease of 138.10% from CNY 0.42 in 2023 [21]. - The net profit attributable to shareholders for 2024 was a loss of CNY 10,530,566.16, representing a decline of 139.22% from a profit of CNY 26,851,573.61 in 2023 [21]. - The company experienced a net loss of CNY 18,126,815.73 after deducting non-recurring gains and losses in 2024, compared to a profit of CNY 17,885,722.88 in 2023, marking a 201.35% decline [21]. - The company's operating revenue for 2024 was CNY 331,191,152.88, a decrease of 10.14% compared to CNY 368,581,262.85 in 2023 [21]. - The total assets at the end of 2024 were CNY 958,274,315.91, down 8.95% from CNY 1,052,421,374.13 at the end of 2023 [21]. - The weighted average return on equity for 2024 was -1.32%, down from 3.36% in 2023, indicating a significant decline in profitability [21]. - The company's gross profit margin for the general equipment manufacturing industry was 32.73%, a decrease of 6.57% year-on-year [85]. - The company reported a significant uncertainty regarding its ability to continue as a going concern, as indicated by the negative net profit figures over the last three accounting years [21]. Strategic Focus and Business Development - The company plans to continue focusing on the HVLS fan sector while actively implementing new business strategies to enhance profitability and operational efficiency [9]. - The company is committed to enhancing its comprehensive competitiveness while maintaining steady development in its main business [7]. - The company has outlined potential risks and corresponding countermeasures in its management discussion and analysis section, urging investors to remain aware of these factors [9]. - The company emphasizes that there are no significant risks to its ongoing operations despite the current challenges [9]. - The company is actively expanding its international presence by establishing subsidiaries in India, Mexico, and Singapore to enhance its global market share [35]. - The company aims to leverage its technological innovations and market experience to further penetrate both domestic and international markets [35]. - The company is focusing on expanding its lithium battery technology applications into various sectors, including clean home appliances and electric vehicles, to provide efficient and reliable customized products and services [78]. - The company is exploring potential mergers and acquisitions to strengthen its market position [165]. Research and Development - The company focuses on independent R&D, with a professional team dedicated to HVLS fans and lithium battery applications, continuously investing in technology innovation and product upgrades [56]. - The company achieved a research and development investment of CNY 22,750,925.05 in 2024, representing a 26.51% increase compared to the previous year [98]. - The proportion of R&D investment to operating revenue rose to 6.87% in 2024, up from 4.88% in 2023 [98]. - The company has developed multiple core patented technologies, including permanent magnet synchronous motor technology and innovative blade design, positioning it as a leader in the domestic HVLS fan market [35]. - The company is committed to innovation, with a dedicated R&D department led by experienced professionals [168]. Market Trends and Industry Insights - The HVLS fan industry in China has transitioned from foreign dominance to rapid domestic growth, with significant market expansion and technology maturity since 2008 [31]. - The market for HVLS fans is projected to continue growing due to increasing domestic demand and successful international market penetration, particularly in tropical and subtropical regions [32]. - Seasonal demand peaks for HVLS fans occur in the second and third quarters, driven by hot summer temperatures, although international market expansion is mitigating this seasonality [33]. - The UPS industry is experiencing a green technology upgrade, driven by global carbon neutrality strategies and government policies supporting data center construction [41][42]. - The commercial energy storage market is experiencing rapid growth, with a projected shipment volume of 170GWh in 2024, a 146% year-on-year increase, driven by strong overseas demand [39]. Governance and Management - The company has established a market value management system to enhance quality and shareholder returns, which was approved by the board on April 25, 2025 [140]. - The company held 4 shareholder meetings during the reporting period, ensuring compliance with legal procedures and protecting shareholder rights [144]. - The board of directors consists of 6 members, including 2 independent directors, and held 8 meetings in the reporting period, adhering to legal requirements [146]. - The supervisory board has 3 members, including 1 employee representative, and conducted 5 meetings, ensuring compliance with relevant laws [147]. - The company has implemented a performance evaluation and incentive mechanism linking management compensation to operational performance [149]. - The company actively communicates with stakeholders to balance interests among shareholders, employees, and society [150]. - The company emphasizes the importance of information disclosure and investor relations management, ensuring transparency and fairness for all investors [151]. Financial Management and Capital Structure - The company plans to distribute cash dividends of 4.0 yuan per 10 shares, totaling 25,822,080 yuan, based on a total share capital of 64,555,200 shares as of December 31, 2023 [191]. - The company has not proposed any cash dividend distribution despite having positive distributable profits for the reporting period [195]. - The company has established a three-party/four-party supervision agreement for the management of fundraising, ensuring compliance and transparency [115]. - The company has a governance structure that complies with legal regulations, including a board of directors and supervisory board, ensuring independent management [157]. - The company has a total of 85,623.87 hours of outsourced labor, with total payments amounting to 1,181,430.95 yuan [189]. Employee and Talent Management - The total number of employees at the end of the reporting period is 468, with 136 in the parent company and 332 in major subsidiaries [186]. - The company has established a standardized salary management system, linking employee compensation closely to performance and company operational status [187]. - The company emphasizes internal training for new employees and external training for specific employee groups to enhance skills [188]. - The company will enhance its employee training system to improve overall team capabilities and establish a performance-based compensation management system to boost employee motivation and responsibility [129]. Future Outlook and Strategic Initiatives - The company plans to expand its production base for high-efficiency motors, with a projected output of 3.88 million units by 2024 [117]. - The company is set to launch a new service management system by September 2024, with an expected operational capacity of 3.15 million [117]. - The company aims to enhance its core competitiveness by focusing on AI applications in smart office, smart travel, and smart healthcare sectors [126]. - The company anticipates that macroeconomic fluctuations may impact market demand, and it will enhance its operational management and market development efforts to mitigate risks [134]. - The company is committed to improving operational efficiency and reducing costs in the next financial period [165].

除了政务领域外，豫资开勒也在与各个头部客户共建"AI共生体"。在金融领域，与担保机构共建智能风 控系统，通过动态知识图谱、MCP协议等前沿技术，实现全流程信贷风险评估。在医疗领域，与三甲 医院合作开发全院级智慧科研辅助平台，覆盖实验设计、数据解析等全流程，提高科研人员的工作效 率，深度挖掘医疗数据价值。 从"智能语料平台"到"一站式智能政务办公平台"，豫资开勒始终以"央地协同、产学研用融合"为路径， 既夯实人工智能共性技术底座，又精准对接政务、金融、医疗等垂直领域刚需，加速 AI 技术在河南乃 至全国的规模化应用，助力谱写AI+产业高质量发展的新篇章。 作为河南省"人工智能+"行动的核心载体之一，该中心承载着河南对于发展AI产业的决心。根据《河南 省推动"人工智能+"行动计划（2024-2026年）》及最新工作要点，河南明确提出2025年底全省算力规模 突破94EFlops、跻身全国第一梯队的目标，并在医疗、教育、科研、工业、农业、文旅、城市管理、生 态环保、防灾减灾等"AI+"核心领域部署具体细则，由省级政府单位牵头落实产业转型任务。 未来，联合体将依托豫资开勒、河南新能源汽车产业研究院、郑州盛见网络在AI ...