海泰新光: 募集资金管理制度

Core Viewpoint - The management system for fundraising at Qingdao Haitai Newlight Technology Co., Ltd. aims to regulate the use and management of raised funds, protect investor interests, and enhance the efficiency of fund utilization [1]. Group 1: General Principles - The system is established in accordance with relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China [1]. - The funds raised are defined as those obtained through public stock issuance or other equity-like securities, excluding funds raised for equity incentive plans [1]. Group 2: Fund Management and Usage - The company must ensure that any fundraising projects implemented through subsidiaries comply with this management system [2]. - Fund usage should adhere to principles of legality, compliance, and efficiency, with careful planning and risk control [2]. - The board of directors is responsible for monitoring the management and usage of raised funds to prevent investment risks [2]. - Major stakeholders, including controlling shareholders and related parties, are prohibited from misappropriating raised funds [2]. Group 3: Special Account Management - The company must open a special account for raised funds, ensuring that these funds are not mixed with other funds [3][4]. - A tripartite supervision agreement must be signed with the sponsor or independent financial advisor and the commercial bank within one month of fund arrival [4]. - The agreement must include details such as account numbers, project specifics, and withdrawal conditions [4]. Group 4: Fund Usage Regulations - If a fundraising project encounters significant changes, the company must reassess its feasibility and disclose the situation in the latest periodic report [7]. - The company is prohibited from using raised funds for high-risk financial investments or providing funds to related parties for improper benefits [8]. - All fund expenditures must follow a strict approval process, ensuring authenticity and legality [9]. Group 5: Cash Management and Idle Funds - Idle funds can be temporarily used for cash management, provided it does not affect the normal progress of fundraising projects [10][11]. - The company can use idle funds to supplement working capital under strict conditions, including a maximum duration of 12 months [12]. Group 6: Fund Usage Change Management - Any changes to fundraising project usage must be approved by the board and disclosed to shareholders [14]. - The company must conduct a feasibility analysis for any new investment projects to ensure they enhance competitiveness and mitigate risks [29]. Group 7: Fund Supervision - The company must accurately disclose the actual usage of raised funds and address any significant deviations from the investment plan [34]. - The financial department is required to maintain a detailed ledger of fund expenditures, and internal audits must occur quarterly [35]. - The sponsor or independent financial advisor must conduct regular oversight and report any irregularities [19].