山东三元生物科技股份有限公司 监事会议事规则 二〇二四年四月 | 第一章 | 总 则 | 2 | | --- | --- | --- | | 第二章 | 监事会的职权 | 2 | | 第三章 | 监事会议案 | 3 | | 第四章 | 监事会的召集与通知 | 4 | | 第五章 | 监事会的召开与表决 | 5 | | 第六章 | 监事会会议记录 | 5 | | 第七章 | 附 则 | 6 | 山东三元生物科技股份有限公司 监事会议事规则 第一章 总 则 第一条 为规范山东三元生物科技股份有限公司（以下简称"公司"）监事会 日常运作，根据《中华人民共和国公司法》（以下简称"《公司法》"）、《上市公 司治理准则》、《上市公司章程指引》、《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、法规的规定，以及《山东三元生物科技股份有限公司章程》（以下简 称"《公司章程》"）等有关规定，特制定本规则。 第二条 监事会对公司高级管理人员实行监督，保障股东利益、公司利益和 员工的利益不受侵犯。 第三条 监事会依据有关法律、法规、《公司章程》及本规则的规 ...

证券代码：301206 证券简称：三元生物 公告编号：2024-027 山东三元生物科技股份有限公司 第四届董事会第二十次会议决议公告 本公司及董事会全体成员保证公告内容的真实、准确和完整，没有虚假记载、 误导性陈述或者重大遗漏。 一、会议召开和出席情况 山东三元生物科技股份有限公司（以下简称"公司"）第四届董事会第二十 次会议于 2024 年 4 月 22 日上午 9:30 在公司会议室以现场+视频方式召开。会议 通知于 4 月 11 日以书面、电话方式通知到各位董事，本次会议应到董事 9 人， 实到董事 9 人，会议由董事长聂在建主持，董事会秘书、总经理、财务总监、全 体监事列席本次会议。会议的召集、召开和表决程序符合《公司法》和《公司章 程》的有关规定，所作决议合法有效。 二、议案审议情况 本次会议以记名投票表决方式表决通过如下议案： （一）审议通过《2023 年度总经理工作报告》； 公司总经理程保华先生向董事会作 2023 年度总经理工作报告，并向董事会 汇报了 2023 年度公司经营情况以及 2024 年度经营计划。 表决结果：9 票同意，0 票反对，0 票弃权。 回避表决情况：本议案不涉及回避表决 ...

山东三元生物科技股份有限公司 2023年度独立董事述职报告 （杨公随） 尊敬的各位股东及股东代表： 杨公随先生，1966年出生，中国国籍，无境外永久居留权，技术经济及管 理专业，博士研究生学历，会计学教授，注册会计师。1988年7月至2004年8月， 就职于山东经济学院，历任会计系讲师、会计学院副教授；2004年9月至2005年 6月，就职于清华大学，任访问学者；2005年7月至2005年10月，就职于山东经 济学院会计学院，任副教授；2005年11月至今，任山东财经大学会计学院，任 教授；2020年10月至今，就职于山东三元生物科技股份有限公司，任公司独立 董事；2020年12月09日至今，就职于山东新石基教育科技有限公司，任监事； 2020年12月22日至今，就职于中科云极（山东）智能科技有限公司，任监事； 2022年6月23日至今，就职于山东明仁福瑞达制药股份有限公司，任董事；2022 年12月27日至今，就职于山东弘宇精机股份有限公司，任独立董事。 本人未持有公司股份，与公司控股股东、实际控制人、持有公司5%以上股 份股东及公司其他董事、监事、高级管理人员不存在关联关系，亦不存在影响 独立性的情形。 ...

关于山东三元生物科技股份有限公司 2023 年度募集资金存放与使用情况的专项核查报告 中信建投证券股份有限公司（以下简称"中信建投证券"或"保荐机构"） 作为山东三元生物科技股份有限公司（以下简称"三元生物"或"公司"）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》《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》及《深圳证券交易所创业板上市公司自律监管指南第 2 号——公 告格式》等法律法规的相关规定，对三元生物 2023 年度募集资金存放与使用情 况进行了核查，核查的具体情况如下： 一、募集资金基本情况 （一）实际募集资金金额、资金到账情况 经中国证券监督管理委员会《关于同意山东三元生物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】4073 号）核准，并经深圳证券交 易所同意,公司向社会公众公开发行人民币普通股（A 股）3,372.10 万股，每股面 值为人民币 1.00 元，发行价格为人民币 109.30 元/股，募集资金总额为人民币 ...

深 圳 证 券 交 易 所 创业板监管函〔2024〕第 25 号 山东三元生物科技股份有限公司董事会： 2022 年 1 月 28 日，你公司董事会审议通过拟使用不超 过 33 亿元暂时闲置的募集资金进行现金管理的议案，并于 当日使用暂时闲置募集资金 5 亿元进行现金管理，但你公司 直至 2022 年 2 月 15 日才披露上述事项。 你公司的上述行为违反了本所《创业板股票上市规则》 （2020 年 12 月修订）第 1.4 条和《上市公司自律监管指引第 2 号——创业板上市公司规范运作》第 6.3.9 条的规定。请 你公司董事会充分重视上述问题，吸取教训，及时整改，杜 绝上述问题的再次发生。 我部提醒你公司：上市公司必须按照国家法律、法规和 本所《创业板股票上市规则》，认真和及时地履行信息披露 义务。上市公司的董事会全体成员必须保证信息披露内容真 1 关于对山东三元生物科技股份有限公司的 监管函 特此函告。 深圳证券交易所 创业板公司管理部 2024 年 3 月 4 日 2 实、准确、完整，没有虚假记载、误导性陈述或重大遗漏， 并就其保证承担个别和连带的责任。 ...

本公司及董事会全体成员保证公告内容的真实、准确和完整，没有虚假记载、 误导性陈述或者重大遗漏。 山东三元生物科技股份有限公司（以下简称"公司"）于 2024 年 2 月 29 日 收到中国证券监督管理委员会山东监管局出具的《关于对山东三元生物科技股份 有限公司采取出具警示函措施的决定》〔2024〕26 号（以下简称"《警示函》"） 现将相关内容公告如下： 一、《警示函》的内容 山东三元生物科技股份有限公司： 证券代码：301206 证券简称：三元生物 公告编号：2024-018 山东三元生物科技股份有限公司 关于收到山东监管局出具警示函的公告 特此公告 山东三元生物科技股份有限公司 2022 年 1 月 28 日，你公司使用暂时闲置募集资金 5 亿元进行现金管理。该 事项未在董事会审议后 2 个交易日内公告，直至 2022 年 2 月 15 日才予以披露。 上述行为违反了《上市公司信息披露管理办法》（证监会令第 182 号）第三 条第一款、《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》（证监会公告〔2022〕15 号）第八条第二款的规定。根据《上市公司信息 披露管理办法》（证监会令第 ...

证券代码：301206 证券简称：三元生物 公告编号：2024-015 山东三元生物科技股份有限公司 关于控股股东、实际控制人、董事长及高级管理人员 增持公司股份计划实施进展的公告 公司控股股东、实际控制人、董事长聂在建先生；总经理程保华先生保证向 本公司提供的信息内容真实、准确、完整，没有虚假记载、误导性陈述或重大遗 漏。 本公司及董事会全体成员保证公告内容的真实、准确和完整，没有虚假记载、 误导性陈述或者重大遗漏。 1 / 5 1、增持计划主体：公司控股股东、实际控制人、董事长聂在建先生；总经 理程保华先生。 2、增持计划实施前，聂在建先生直接持有公司股份 92,946,000 股，占公司 当前总股本的 45.94%；程保华先生直接持有公司股份 2,028,000 股，占公司当前 总股本的 1.00%。 3、截至本公告披露前 12 个月内，聂在建先生、程保华先生未披露过增持计 划。 4、截至本公告披露前 6 个月内，聂在建先生、程保华先生未减持公司股份， 亦未披露减持计划。 二、增持计划的主要内容 特别提示： 1、山东三元生物科技股份有限公司（以下简称"公司"）于 2024 年 2 月 7 日在巨潮资讯网 ...

证券代码：301206 证券简称：三元生物 公告编号：2024-014 山东三元生物科技股份有限公司 本公司及董事会全体成员保证公告内容的真实、准确和完整，没有虚假记载、 误导性陈述或者重大遗漏。 特别提示： 1、持有山东三元生物科技股份有限公司（以下简称"公司"或"三元生物"） 股份 92,946,000 股（占公司当前总股本的 45.94%）的控股股东、实际控制人、 董事长聂在建先生；持有公司股份 2,028,000 股（占公司当前总股本的 1.00%） 的总经理程保华先生基于对公司未来持续稳定发展和长期投资价值的信心，拟使 用自有资金计划自本公告披露之日起 6 个月内，通过深圳证券交易所系统以集中 竞价交易或大宗交易方式增持公司股份，合计拟增持金额不低于人民币 850 万元 且不超过人民币 1100 万元。 2、本次增持计划不设置价格区间，增持主体将基于对公司股票价值的合理 判断，结合公司股票价格波动情况及资本市场整体趋势，在增持计划期间内择机 实施增持。 公司于近日收到控股股东、实际控制人、董事长聂在建先生、总经理程保华 先生出具的《关于增持公司股份计划的告知函》，现将有关情况公告如下： 一、计划增持 ...

Financial Performance - Revenue for Q3 2023 reached ¥115,878,873.28, an increase of 9.23% compared to the same period last year, but a decrease of 37.66% year-to-date[4] - Net profit attributable to shareholders for Q3 2023 was ¥8,355,862.63, down 73.87% year-on-year, and down 72.43% year-to-date[4] - Basic earnings per share for Q3 2023 was ¥0.04, a decrease of 75.00% compared to the same period last year[4] - The total operating revenue for the third quarter of 2023 was CNY 351,192,635.35, a decrease of 37.5% compared to CNY 563,363,651.68 in the same period last year[25] - The net profit for Q3 2023 was CNY 41,672,900.57, a decrease of 72.5% compared to CNY 151,155,941.78 in Q3 2022[26] - Operating profit for Q3 2023 was CNY 44,871,999.14, down 73.6% from CNY 169,888,387.28 in Q3 2022[26] - The total comprehensive income for Q3 2023 was CNY 41,672,900.57, a decrease of 72.5% from CNY 151,155,941.78 in the same quarter last year[27] - Basic and diluted earnings per share for Q3 2023 were both CNY 0.21, compared to CNY 0.76 in Q3 2022[27] Assets and Liabilities - Total assets at the end of Q3 2023 were ¥4,755,601,460.68, a decrease of 2.35% from the end of the previous year[4] - The total assets as of September 30, 2023, were CNY 4,755,601,460.68, down from CNY 4,869,919,341.29 at the beginning of the year, a decrease of 2.3%[23] - The total liabilities decreased to CNY 234,780,503.70 from CNY 249,143,294.88, indicating a reduction of 5.8%[23] - The company's equity attributable to shareholders decreased to CNY 4,520,820,956.98 from CNY 4,620,776,046.41, a decline of 2.2%[23] Cash Flow - Cash flow from operating activities for the first nine months of 2023 was ¥21,942,222.52, down 75.73% year-on-year due to increased market competition[11] - Cash flow from operating activities generated a net amount of CNY 21,942,222.52, significantly lower than CNY 90,426,851.62 in the previous year[30] - The company's cash and cash equivalents decreased to CNY 117,966,133.78 from CNY 489,042,093.26 at the beginning of the year, representing a decline of 75.9%[21] - The company experienced a cash and cash equivalents net decrease of CNY -363,462,995.99, compared to an increase of CNY 256,890,519.32 in Q3 2022[30] - Total cash flow from investment activities was negative at CNY -251,828,518.11, compared to CNY -3,282,248,061.08 in the same period last year[30] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 16,770[13] - The total number of restricted shares at the beginning of the period was 92,946,000, with no shares released during the period, maintaining the same amount at the end[16] - 24,780,000 shares were released from restrictions for Shandong Luxin Qisheng Investment Management Co., Ltd. on February 10, 2023[16] - The company has a total of 12,852,000 restricted shares held by the shareholder Moxian, which were also released on February 10, 2023[16] - The management's locked shares include 2,160,000 shares for Li Dechun, with 25% of the total shares eligible for circulation each year during the tenure[16] - The shareholder Wang Meihua holds 2,745,395 shares, with 91,000 shares held through a regular account and 2,653,995 shares through a margin account[16] - The company reported a total of 5,400,000 restricted shares held by Shandong Kexin Venture Capital Co., Ltd., which were released on February 10, 2023[16] - The shareholder Zhang Yanjie has 2,206,697 restricted shares, all of which were released on February 10, 2023[16] - The total number of restricted shares held by the management team is subject to a 25% annual release during their tenure[16] - The company has a total of 1,137,258 restricted shares held by the shareholder Wang Meihua, which are also subject to the same release conditions[16] - The company has not disclosed any relationships or agreements among the top ten unrestricted shareholders[16] Operational Changes - The company decided to cancel the plan to use CNY 790 million of raised funds for permanent working capital supplementation due to lower than expected working capital needs[19] - The company held meetings to approve changes to its business scope and amendments to its articles of association to align with current operational needs[18] Other Income - Investment income for the first nine months of 2023 was ¥83,866,978.78, an increase of 39.56% compared to the same period last year[10] - Other income for the first nine months of 2023 was ¥821,692.01, a decrease of 87.55% year-on-year due to reduced government subsidies[10] Research and Development - Research and development expenses increased to CNY 36,626,985.64, up 14.5% from CNY 31,870,190.36 in the same period last year[26]

Financial Performance - The company's revenue for the first half of 2023 was ¥235.31 million, a decrease of 48.54% compared to ¥457.28 million in the same period last year[26]. - The net profit attributable to shareholders was ¥33.32 million, down 72.04% from ¥119.18 million year-on-year[26]. - The net cash flow from operating activities was ¥245.78 thousand, a significant decline of 99.24% compared to ¥32.36 million in the previous year[26]. - Basic and diluted earnings per share were both ¥0.16, representing a decrease of 73.77% from ¥0.61 in the same period last year[26]. - The total assets at the end of the reporting period were ¥4.71 billion, a decrease of 3.24% from ¥4.87 billion at the end of the previous year[26]. - The net assets attributable to shareholders decreased by 2.34% to ¥4.51 billion from ¥4.62 billion at the end of the previous year[26]. - The company's gross profit margin for the first half of 2023 was only 0.12%, a sharp decline from 41.99% in 2021 and 14.06% in 2022, reflecting increased cost pressures[120]. - The company's production capacity utilization rate was below 50% in the first half of 2023, indicating a risk of overcapacity in the erythritol market[123]. Market and Industry Trends - The company operates in the functional sugar industry, focusing on the research, production, and sales of products like erythritol and allulose[34]. - The functional sugar market has seen a surge in demand due to the rising trend of sugar reduction, with erythritol becoming a widely used sweetener across various sectors[35]. - Recent government policies support the functional sugar industry, promoting health-conscious consumption and encouraging the use of low-sugar alternatives[39]. - The "Healthy China 2030" initiative emphasizes the importance of health and nutrition, which aligns with the company's product offerings[40]. - The competitive landscape has intensified, with many new entrants in the erythritol market, impacting overall profitability[37]. - The anticipated growth in the sugar-free beverage market will further drive the downstream demand for erythritol[44]. Research and Development - The company is committed to innovation in product development to meet the evolving consumer preferences for healthier options[35]. - The company focuses on the research and development of functional sugars, particularly erythritol and allulose, to meet the growing demand for health-oriented products[47]. - The company has developed a new strain of yeast that can increase the purity of residual erythritol from below 50% to over 70%, and further to 80% after repeated trials, enhancing extraction efficiency[70]. - Research and development investment amounted to ¥21,561,358.95, a slight decrease of 2.85% from ¥22,192,798.83 in the previous year[79]. Corporate Governance and Shareholder Relations - The company emphasizes the protection of shareholder rights and has established a robust governance structure to enhance operational transparency[136]. - The company plans not to distribute cash dividends, issue bonus shares, or increase capital using reserves[5]. - The controlling shareholder and senior management have committed to not transferring or entrusting the management of their shares for 36 months post-IPO[141]. - The company has established a clear framework for share management to align with corporate governance standards[141]. - The company has committed to improving its profit distribution policy to enhance investor returns, particularly focusing on independent directors and minority shareholders' feedback[147]. Cash Management and Fund Utilization - The company plans to use up to RMB 2.4 billion of temporarily idle raised funds for cash management, effective for 12 months from the approval date[170]. - The company has incurred a net income of RMB 1,232.49 million from interest on the raised funds[98]. - The total amount raised from the initial public offering was CNY 368,570.53 million, with a net amount of CNY 354,664.46 million after deducting issuance costs of CNY 13,906.07 million[102]. - The company will strengthen fundraising management to ensure that the raised funds are used for their intended purposes and achieve expected benefits[147]. Strategic Outlook - The company provided a positive outlook for the second half of 2023, expecting continued growth and market expansion[142]. - The company aims to expand its market presence in key regions, targeting a 15% increase in market share by the end of 2024[142]. - The company is exploring strategic acquisitions to enhance its market position and product offerings[142]. - The company plans to enhance its product range by accelerating the development of new products such as allulose and high-quality stevia sugar, aiming to diversify its offerings[115]. Compliance and Regulatory Matters - The company has updated its pollutant discharge permit, valid from August 24, 2022, to August 23, 2027, indicating compliance with environmental regulations[133]. - The company adheres to ISO 14001 environmental management standards, ensuring sustainable production practices[134]. - The semi-annual financial report for 2023 has not been audited yet, which is standard practice for this period[154]. - The company has maintained a clean integrity status with no penalties or rectifications required[156].