杭州国泰环保科技股份有限公司 独立董事工作制度 杭州国泰环保科技股份有限公司 独立董事工作制度 第一章 总则 第二章 独立董事的任职条件 第四条 担任公司独立董事应当符合以下基本条件： （一）根据法律、行政法规及其他有关规定，具备担任公司董事的资格； （二）具有《管理办法》及本制度所要求的独立性； （三）具备上市公司运作的基本知识，熟悉相关法律、行政法规、规章及规 则； （四）具有五年以上履行独立董事职责所必需的法律、会计或者经济等工作 经验； （五）具有良好的个人品德，不存在重大失信等不良记录； （六）法律、行政法规、中国证券监督管理委员会（以下简称"中国证监会"） 第一条 为进一步完善杭州国泰环保科技股份有限公司(以下简称"公司") 的治理结构，切实保护中小股东及利益相关者的利益，促进公司的规范运作，根 据《中华人民共和国公司法》（以下简称《公司法》）《上市公司独立董事管理 办法》（以下简称《管理办法》）《深圳证券交易所创业板股票上市规则》（以 下简称《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《杭州国泰环保科技股份有限公司章程》（以下简称《公 司章程》）等相关规 ...

Financial Performance - The company's operating revenue for Q3 2023 was ¥73,468,953, a decrease of 19.01% compared to the same period last year[5]. - Net profit attributable to shareholders for Q3 2023 was ¥31,991,793, down 10.07% year-on-year[5]. - The basic earnings per share for Q3 2023 was ¥0.40, representing a decline of 32.20% compared to the previous year[5]. - The company's revenue for the first nine months of 2023 was CNY 91,650,782.55, a decrease of 34.02% compared to CNY 138,904,630.56 in the same period of 2022[10]. - Total revenue for Q3 2023 was approximately ¥235.94 million, a decrease of 15% compared to ¥277.08 million in the same period last year[21]. - The net profit for Q3 2023 was CNY 115,702,784.10, an increase of 4.9% compared to CNY 111,135,311.29 in Q3 2022[23]. - The company recorded a total profit of CNY 131,875,776.35 for Q3 2023, compared to CNY 127,973,367.12 in the same quarter last year[23]. Assets and Liabilities - Total assets as of September 30, 2023, reached ¥1,489,717,734, an increase of 134.82% from the beginning of the year[5]. - The company's total liabilities increased to approximately ¥68.43 million from ¥62.92 million, reflecting a rise in short-term and long-term obligations[20]. - The company's cash and cash equivalents increased significantly to ¥1,043.12 million from ¥241.81 million at the beginning of the year, representing a growth of over 332%[19]. - The total assets of the company reached approximately ¥1.49 billion, a substantial increase from ¥634.42 million at the start of the year[20]. - The equity attributable to shareholders rose to approximately ¥1.41 billion from ¥560.11 million, indicating strong growth in shareholder value[20]. Cash Flow - The company reported a net cash flow from operating activities of ¥129,897,458, a decrease of 7.27% compared to the previous year[5]. - The net cash flow from financing activities increased significantly to CNY 735,669,431.39, a change of 1234.61% from -CNY 64,839,158.46 in the previous year[10]. - The cash flow from operating activities netted CNY 129,897,458.25, a decrease of 7.5% compared to CNY 140,084,559.80 in Q3 2022[24]. - The total cash and cash equivalents at the end of the period reached CNY 1,042,300,107.10, up from CNY 219,346,502.12 at the end of Q3 2022[25]. Expenses and Costs - Operating expenses increased by 39.11% to CNY 21,273,130.17, primarily due to increased listing costs[10]. - Total operating costs for Q3 2023 were approximately ¥118.28 million, down 27% from ¥161.38 million in the previous year[21]. - Research and development expenses for Q3 2023 were approximately ¥17.16 million, an increase of 9% compared to ¥15.68 million in the previous year, indicating a commitment to innovation[21]. - Other income saw a significant decline of 37.66%, totaling CNY 7,905,711.06, attributed to a decrease in input tax credit amounts[10]. - The company experienced a 97.96% drop in investment income, which amounted to CNY 12,229.04, due to reduced returns from financial product investments[10]. Shareholder Information - The total number of ordinary shareholders at the end of the reporting period was 14,467, with no preferred shareholders[12]. - The top shareholder, Chen Baixiao, holds 36.38% of the shares, amounting to 29,100,000 shares[12]. Government Support and Subsidies - The company received government subsidies amounting to ¥10,241,300 during the reporting period, primarily for fiscal support[7]. - The company reported a 2941.28% increase in non-operating income, reaching CNY 7,000,000.00, mainly from increased government subsidies[10]. Inventory and Fixed Assets - The company's inventory increased by 100.79% to ¥4,412,780.74, attributed to higher material procurement[9]. - The company reported a decrease in fixed assets by 40.72% to ¥14,264,175.98, mainly due to the transfer of fixed asset renovations to construction in progress[9]. - The company has seen a 40.16% increase in construction in progress, totaling ¥192,978,510.90, due to investments in fundraising projects[9]. Other Information - The company has plans for market expansion and new product development, although specific details were not disclosed in the report[21]. - The company did not report any net profit from mergers under common control for the current and previous periods[23]. - The company has not yet audited the Q3 2023 report[26].

二、本次上市流通的限售股形成后至今公司股本数量变化情况 国信证券股份有限公司 关于杭州国泰环保科技股份有限公司 首次公开发行网下配售限售股份上市流通的核查意见 国信证券股份有限公司（以下简称"国信证券"或"保荐机构"）作为杭州 国泰环保科技股份有限公司（以下简称"国泰环保"或"公司"）首次公开发行 股票并在创业板上市的保荐机构和持续督导机构，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 13 号——保荐业务》等相关规定履行持续督导职责，就国泰环 保首次公开发行网下配售限售股份上市流通的事项进行核查，核查情况及核查意 见如下： 一、首次公开发行网下配售股份概况 根据中国证券监督管理委员会《关于同意杭州国泰环保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[2022]2677 号）核准，深圳证券交易所 《关于杭州国泰环保科技股份有限公司人民币普通股股票在创业板上市的通知》 （深证上〔2023〕261 号）同意，杭州国泰环保科技股份有限公司（以下简称"公 司"）首次公开发行人民币普通股（A 股）股票 20,000,000 股，并于 20 ...

根据中国证券监督管理委员会《关于同意杭州国泰环保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[2022]2677 号）核准，深圳证券交易所 《关于杭州国泰环保科技股份有限公司人民币普通股股票在创业板上市的通知》 （深证上〔2023〕261 号）同意，杭州国泰环保科技股份有限公司（以下简称"公 司"）首次公开发行人民币普通股（A 股）股票 20,000,000 股，并于 2023 年 4 月 4 日在深圳证券交易所创业板上市。首次公开发行股票完成后公司总股本为 80,000,000 股，其中有流通限制或限售安排的股份数量为 62,932,306 股，占发行 后总股本的比例为 78.67%；其中无限售条件流通股票数量为 17,067,694 股，占 发行后总股本的比例为 21.33%。 证券代码：301203 证券简称：国泰环保 公告编号:2023-039 杭州国泰环保科技股份有限公司 关于首次公开发行网下配售限售股份上市流通的提示 性公告 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。 特别提示： 1、杭州国泰环保科技股份有限公司（以下简称"公司"） ...

证券代码：301203 证券简称：国泰环保 公告编号：2023-038 杭州国泰环保科技股份有限公司 关于公司与专业机构合作投资的公告 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。 一、本次与专业机构合作投资基本情况 为实现公司战略层面的全面布局，充分借助专业战略合作伙伴的投资经验、 优质资源和专业能力，进一步提升公司综合竞争力和整体价值，杭州国泰环保科 技股份有限公司（以下简称"公司"或"国泰环保"）于 2023 年 9 月 19 日与浙江 乐朴创业投资有限责任公司、深圳乐朴创业投资有限公司、沃新林、陆炜、张宇、 罗鑫捷、赵茹、姜新华、苗蕾、金雪、翟立刚、顾杰峰签署了《安吉浙复股权投 资合伙企业（有限合伙）合伙协议》，国泰环保拟作为有限合伙人，使用自有资 金 1,000 万元认缴安吉浙复股权投资合伙企业（有限合伙）（以下简称"标的企 业"）的合伙份额，占比 13.07%。 2023 年 9 月 19 日安吉浙复股权投资合伙企业（有限合伙）完成工商设立登 记，标的企业的相关信息详见本公告"三、投资标的基本情况"。 根据《深圳证券交易所上市公司自律监管指引第 ...

Capital and Shareholder Information - The company reported a registered capital increase from RMB 60 million to RMB 80 million[21]. - The company plans not to distribute cash dividends or issue bonus shares for the half-year period[92]. - The company reported a total share capital increase from 60,000,000 shares to 80,000,000 shares due to the issuance of 20,000,000 new shares[130]. - As of the reporting period, the company has 17,067,694 unrestricted shares and 62,932,306 restricted shares[130]. - Major shareholder Chen Baixiao holds 36.38% of the shares, totaling 29,100,000 shares[138]. - The company has a total of 62,925,906 shares, including 2,932,306 shares under lock-up restrictions[134]. - The company’s major shareholder, Chen Baixiao, holds 29,100,000 restricted shares, which are subject to a lock-up period until October 4, 2026[133]. Financial Performance - The company's operating revenue for the reporting period was ¥162,471,837.83, a decrease of 12.82% compared to the same period last year[22]. - Net profit attributable to shareholders was ¥80,775,157.03, representing an increase of 10.05% year-on-year[22]. - The net profit attributable to shareholders after deducting non-recurring gains and losses was ¥71,656,127.20, up by 8.40% from the previous year[22]. - Cash flow from operating activities decreased by 26.48% to ¥91,132,011.88 compared to the same period last year[22]. - Total assets at the end of the reporting period reached ¥1,444,649,468.21, an increase of 127.71% compared to the end of the previous year[22]. - The company's total equity attributable to shareholders increased to CNY 1,265,316,701.63 from CNY 472,368,438.79, indicating strong growth in shareholder value[158]. - The company reported a significant increase in user data, reflecting a growing customer base in the environmental technology sector[136]. Research and Development - The company plans to enhance its R&D capabilities by upgrading its research center's hardware and software facilities using raised funds[49]. - The company emphasizes talent development and has established partnerships with universities to strengthen its R&D team and innovation capabilities[50]. - Research and development expenses were approximately ¥9.14 million, down 14.88% from ¥10.73 million in the previous year[60]. - The company has allocated CNY 200 million for research and development in new environmental technologies for the upcoming fiscal year[179]. - The company has developed a lithium battery production NMP recovery system and thermal energy recovery equipment, which meets the needs of lithium battery manufacturers during the coating and baking process, with multiple systems sold and delivered during the reporting period[35]. Technology and Innovation - The company has over 10 mature ecological restoration technologies, including oil pollution control and in-situ dredging, which are pioneering in the domestic market[36]. - The company's deep dehydration technology can reduce sludge moisture content from 65%-99% to around 45%, demonstrating significant economic efficiency and cost advantages[51]. - The deep dehydration technology allows for a 90% reduction in energy consumption compared to traditional mechanical dehydration and thermal drying methods[54]. - The company’s sludge treatment technology offers over 90% savings in investment and over 50% savings in operating costs compared to international brands, highlighting its economic and energy-saving advantages[41]. - The company is focused on developing intelligent sludge treatment equipment to enhance the entire sludge treatment process, aligning with international leading standards[46]. Market and Business Strategy - The company is focusing on expanding its sludge treatment services in economically developed regions and large cities[32]. - The company targets sludge treatment projects with a capacity of over 500 tons/day, focusing on economically developed medium and large cities due to their high sludge generation and urgent treatment needs[39]. - The company is exploring various business models, including partnerships and acquisitions, to upgrade traditional projects and reduce operational costs significantly[41]. - The company aims to achieve high-standard sludge treatment projects to replace imported equipment and break international monopolies[46]. - The company plans to expand its market presence and invest in new technologies to enhance operational efficiency[176]. Compliance and Governance - The company emphasizes the importance of risk management and has outlined potential risks and countermeasures in the report[4]. - The company’s financial report is guaranteed to be true, accurate, and complete by its management team[4]. - The company is committed to integrating ESG principles into its operations, enhancing governance quality while pursuing performance and quality improvements[96]. - The company emphasizes employee rights protection, adhering to labor laws and providing a comprehensive management system for recruitment, training, and career development[98]. - The company has established a supplier evaluation system to foster win-win relationships with suppliers and enhance customer satisfaction through continuous innovation and service improvement[98]. Government and Policy Support - National policies support the accelerated development of sludge treatment, emphasizing green development and environmental protection, which aligns with the company's operational goals[44]. - The company received government subsidies amounting to ¥10,211,800.00 during the reporting period, primarily from fiscal support funds[27]. - The company has confirmed revenue of ¥7,000,000.00 from government subsidies, which accounts for 7.46% of total profit[64]. Operational Efficiency - Operating costs decreased by 31.08% to ¥65.75 million from ¥95.40 million, primarily due to reduced revenue and corresponding cost declines[60]. - The company’s projects have operated without faults for over 15 years, demonstrating strong safety and stability in technology[54]. - The company has established long-term projects such as the Hangzhou Qige project, which handles over 96% of the living sewage in the main urban area of Hangzhou[33]. - The company has ongoing major orders in the energy-saving and environmental protection sector, with significant investments exceeding ¥5,000,000.00, although specific details were not disclosed[62]. Financial Stability and Investments - The total cash and cash equivalents at the end of the reporting period reached ¥1,012,309,980.39, representing 70.07% of total assets, an increase of 31.95% from the previous year[64]. - The company reported a total investment of ¥62,483,177.41 during the reporting period, which is an increase of 88.90% compared to ¥33,077,788.64 in the same period last year[67]. - The company has extended the implementation deadline for fundraising projects to January 15, 2025, due to various factors affecting execution[69]. - The company has not engaged in any derivative investments or entrusted loans during the reporting period[79]. - The company has not reported any significant changes in the feasibility of the committed investment projects[72].

目 录 一、以自筹资金预先投入募投项目的鉴证报告……………………第 1—2 页 二、以自筹资金预先投入募投项目的专项说明……………………第 3—4 页 关于杭州国泰环保科技股份有限公司 以自筹资金预先投入募投项目的 鉴证报告 天健审〔2023〕9133 号 杭州国泰环保科技股份有限公司全体股东： 我们鉴证了后附的杭州国泰环保科技股份有限公司（以下简称国泰环保公司） 管理层编制的《以自筹资金预先投入募投项目的专项说明》。 一、对报告使用者和使用目的的限定 二、管理层的责任 国泰环保公司管理层的责任是提供真实、合法、完整的相关资料，按照《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）》（证监会公告〔2022〕15 号）和《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》（深证上〔2022〕14 号）的要求编 制《以自筹资金预先投入募投项目的专项说明》，并保证其内容真实、准确、完 整，不存在虚假记载、误导性陈述或重大遗漏。 三、注册会计师的责任 我们的责任是在实施鉴证工作的基础上对国泰环保公司管理层编制的上述 第 1 页 共 4 页 说明独立地提 ...

证券代码：301203 证券简称：国泰环保 公告编号：2023-034 杭州国泰环保科技股份有限公司 第四届董事会第二次会议决议公告 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。 一、董事会会议召开情况 杭州国泰环保科技股份有限公司（以下简称"公司"）第四届董事会第二次会议 于2023年8月23日在公司八楼会议室以现场结合通讯形式召开。会议通知已于2023年 8月13日通过即时通讯工具、邮件、电话等方式送达全体董事。与会的各位董事已经 知悉与所议事项相关的必要信息。本次会议应表决董事9人，实际参与表决董事9人。 会议由董事长陈柏校先生召集并主持，全体监事、高级管理人员列席本次会议。会议 参与表决人数及召集、召开程序符合《公司法》等法律、法规、规范性文件和《公司 章程》的有关规定，会议决议合法、有效。 二、董事会会议审议情况 经与会董事表决，会议审议并通过如下议案： 2、审议通过《关于<2023 年半年度募集资金存放与使用情况专项报告>的议案》 经审议，董事会认为：2023 年半年度公司募集资金的存放和使用符合中国证监 会、深圳证券交易所关于上市公司募集资金存 ...

二、《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》 的独立意见 杭州国泰环保科技股份有限公司 独立董事独立意见 杭州国泰环保科技股份有限公司 独立董事关于第四届董事会第二次会议相关事项的 独立意见 根据《中华人民共和国公司法》、《上市公司独立董事规则》、《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、规范性文件及《公司章程》 的规定，我们作为杭州国泰环保科技股份有限公司（以下简称"公司"）独立董 事，本着认真负责的态度，经过认真审阅相关材料，现就公司第四届董事会第二 次会议相关事项发表如下专项说明和独立意见： 一、《关于使用募集资金置换预先投入资金的议案》的独立意见 经审核，我们认为：公司本次使用募集资金置换预先投入募投项目的自筹资 金的事项符合《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》《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《公司章程》的有关规定，且履行了必要的审批程序， 天健会计师事务所（特殊普通合伙）已出具专项鉴证报告 ...

经与会监事充分讨论、审议，形成决议如下： 1、审议通过《关于<2023 年半年度报告>及其摘要的议案》 证券代码：301203 证券简称：国泰环保 公告编号:2023-036 杭州国泰环保科技股份有限公司 第四届监事会第二次会议决议公告 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 杭州国泰环保科技股份有限公司（以下简称"公司"）于 2023 年 8 月 13 日 以电话、邮件、即时通讯工具形式向公司全体监事发出了召开第四届监事会第二 次会议的通知，2023 年 8 月 23 日以现场方式召开本次监事会。本次监事会应到 监事 3 人，实到监事 3 人。会议由监事会主席俞洪春召集并主持。本次会议的召 开与表决程序符合《公司法》和《公司章程》等有关规定。 二、监事会会议审议情况 经审核，监事会认为董事会编制和审议公司《2023 年半年度报告》及其摘要 的程序符合法律、行政法规、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，不存在任何虚假记载、误导性陈述或者重大遗漏。 表决结果：同意 3 票，反对 0 票，弃权 0 票。 ...