Shanghai Putailai New Energy Technology Co.Ltd(603659) 2021 special assurance report on the deposit and use of raised funds December 31, 2021
Shanghai Putailai New Energy Technology Co.Ltd(603659)
catalogue
Page 1 Shanghai Putailai New Energy Technology Co.Ltd(603659)
Special assurance report on the deposit and use of raised funds in 2021 1 1 – 2 II Shanghai Putailai New Energy Technology Co.Ltd(603659)
Special report on the deposit and use of raised funds in 2021 3 – 15
Shanghai Putailai New Energy Technology Co.Ltd(603659)
Special report on the deposit and use of raised funds in 2021
1、 Basic information of raised funds
（1） Actual amount of raised funds and arrival time of funds
1. Shanghai Putailai New Energy Technology Co.Ltd(603659) (hereinafter referred to as “the company” or “the company”) was approved by the CSRC’s zjxk [2017] No. 1823 document, and the lead underwriter Sinolink Securities Co.Ltd(600109) issued 63702900 ordinary shares (A shares) to the public through the Shanghai stock exchange system through the combination of inquiry and placement of offline investors and online subscription and fixed price issuance according to market value, with an issue price of RMB 16.53 per share, The total amount of funds raised is 1053089 million yuan, after deducting the underwriting Commission and recommendation fee of 447032 million yuan (excluding tax), The lead underwriter Sinolink Securities Co.Ltd(600109) remitted 7993287 million yuan into the company’s raised funds supervision account, Ningde branch account of Fujian strait bank Co., Ltd. (Account No.: 1 Ningxia Western Venture Industrial Co.Ltd(000557) 012 Ningbo Shuanglin Auto Parts Co.Ltd(300100) 7) and 20897700 yuan into Shanghai Branch of Ningbo Tongshang Bank Co., Ltd. (Account No.: 1100084655 China Vanke Co.Ltd(000002) ) on October 30, 2017. In addition, after deducting the additional external expenses related to the issuance of equity securities such as audit fees, lawyer fees and issuance handling fees of 9.1944 million yuan (excluding tax), the net amount of funds raised by the company this time is 9991863 million yuan. The availability of the above raised funds was verified by Zhonghui Certified Public Accountants (special general partnership), and the capital verification report (Zhonghui Keyan [2017] No. 4956) was issued on October 30, 2017.
2. The company has approved the public issuance of convertible corporate bonds of RMB 870 million with the approval of the China Securities Regulatory Commission (CSRC) zjxk [2019] No. 2318 document. After the convertible corporate bonds issued by the company are closed on the equity registration date (December 31, 2019), the original shareholders of the company registered in China depository and Clearing Co., Ltd. Shanghai branch have priority in placing, and the balance after the priority placement of the original shareholders (including the part abandoned by the original shareholders) is issued to the public investors through the trading system of Shanghai stock exchange online, China Securities Co.Ltd(601066) as the recommendation institution for the issuance of convertible bonds. The company publicly issued convertible corporate bonds with a face value of RMB 100 each, issued 8.7 million pieces, issued at a price of RMB 100 each, and raised a total of RMB 870 million. After deducting the underwriting and recommendation expenses including tax of RMB 4.5 million and other issuance expenses including tax of RMB 966000 from the total amount of convertible corporate bonds issued to the public, the actual net amount of funds raised is RMB 864534000. The above funds raised have been verified by Ernst & Young Certified Public Accountants (special general partnership), The special assurance report (anyong Huaming (2020) Yan Zi No. 61453494b01) was issued on January 16, 2020.
3. According to the reply on approving Shanghai Putailai New Energy Technology Co.Ltd(603659) non-public Development Bank shares (zjxk [2020] No. 2226 document of China Securities Regulatory Commission), the company issued 50706791 ordinary shares in the form of non-public offering, with a par value of RMB 1.00 per share. The price of this issuance is 90.55 yuan / share, and the total amount of issuance is 45914999 million yuan. After deducting the issuance cost of 4.535 million yuan, the net amount of funds actually raised is 45869964 million yuan. The above funds were in place on November 25, 2020, verified by Ernst & Young Huaming Certified Public Accountants (special general partnership) and issued the capital verification report (Ernst & Young Huaming (2020) Yan Zi No. 61453494b03) on November 25, 2020.
（2） Use and balance of raised amount
1. Funds raised from initial public offering
As of December 31, 2020, the balance of funds raised from the balance of the company’s initial public offering (including the net amount of interest income deducting bank charges) was 379034 million yuan.
In 2021, the company actually used 38.341 million yuan of raised funds for the initial public offering of shares. Among them, 38 million yuan was used for the “capacity expansion and R & D center construction project of 20000 tons of high-performance lithium-ion battery cathode materials per year”; The construction project of “high safety lithium ion battery functional coating diaphragm production base and R & D center” uses 341000 yuan. In 2021, the net interest income and financial income generated from the raised funds were 452400 yuan. As of December 31, 2021, all the projects raised and invested in the company’s initial public offering of shares have been closed, and the balance of raised funds of 14800 yuan has been transferred to the general account of the company, and the balance of raised funds account is 0 yuan.
2. Funds raised by public issuance of convertible corporate bonds
As of December 31, 2020, the balance of funds raised from the balance of convertible corporate bonds publicly issued by the company (including net interest income and wealth management income) was 17817889 million yuan.
In 2021, the company publicly issued convertible corporate bonds and actually used 1826689 million yuan of raised funds for investment projects. Of which, 1420608 million yuan was used for the “construction project of functional coating diaphragm production base for high safety lithium ion battery”; 406082 million yuan will be used in the project of “30000 tons of high-performance lithium-ion battery cathode materials (carbonization and other main processes) per year”. In 2021, the raised funds generated net interest income and financial management income of 4.769 million yuan. As of December 31, 2021, all the projects raised and invested by the company’s public issuance of convertible corporate bonds have been closed, and the balance of raised funds of 216900 yuan has been transferred to the general account of the company, and the balance of raised funds account is 0.01 yuan.
3. Funds raised by non-public offering of shares
As of December 31, 2020, the balance of funds raised from the company’s non-public offering of shares was 34177456 million yuan. In 2021, the company paid 660400 yuan for non-public offering and 15 Jiangsu Sinopep-Allsino Biopharmaceutical Co.Ltd(688076) 00 yuan was actually raised for non-public offering projects. Of which, 224203 million yuan was used for the “construction project of cathode materials for high-performance lithium ion batteries with an annual output of 50000 tons”; 1028584 million yuan was used for the project of “acquiring 49% equity of Shandong Xingfeng”; “Graphitization project of cathode materials for lithium ion batteries with an annual output of 50000 tons” uses 428021700 yuan; “Lithium ion battery diaphragm project with an annual output of 249 million square meters” uses 466015500 yuan; 2977298 million yuan will be used for the “project with an annual output of 500 million square meters of new coated diaphragm for high safety power battery”; The “supplementary working capital project” used 251761900 yuan. As of December 31, 2021, the balance of the raised fund account is 1590954100 yuan (including the net interest income and financial income of the current year).
2、 Management of raised funds
（1） Management of raised funds
According to the law of the people’s Republic of China on the protection and management of the interests of listed companies, and the law of the people’s Republic of China on the supervision and administration of the use of funds raised by listed companies, No. 2, the law on the protection and management of the interests of listed companies, and the law of the people’s Republic of China on the supervision and administration of the use of funds raised by listed companies The company has formulated the Shanghai Putailai New Energy Technology Co.Ltd(603659) raised funds management system (hereinafter referred to as the management system) in accordance with the provisions of relevant laws, regulations and normative documents such as the stock listing rules of Shanghai Stock Exchange (revised in 2022) and the measures for the management of raised funds of listed companies of Shanghai Stock Exchange (revised in 2013). According to the management system, the company adopts a special account storage system for the raised funds and establishes a special account for the raised funds in the bank. At the same time, the company and the recommendation institution China Merchants Securities Co.Ltd(600999) cooperate with Ningde branch of Fujian strait bank Co., Ltd., Shanghai Branch of Ningbo Tongshang Bank Co., Ltd., China Merchants Bank Co.Ltd(600036) Dongguan Nancheng sub branch, Industrial Bank Co.Ltd(601166) Ningde branch, China Minsheng Banking Corp.Ltd(600016) Shanghai Branch, China Merchants Bank Co.Ltd(600036) Shanghai Lianyang sub branch China Merchants Bank Co.Ltd(600036) Shanghai Branch, Bank Of Ningbo Co.Ltd(002142) Shanghai Yangpu sub branch, Bank of Wenzhou Co., Ltd. Shanghai Xuhui sub branch, China Merchants Bank Co.Ltd(600036) Dongguan branch, China Citic Bank Corporation Limited(601998) Shanghai Branch signed the tripartite supervision agreement on the storage of special account for raised funds, which defined the rights and obligations of all parties. The company has strictly complied with the use of the raised funds, so as to facilitate the management and use of the raised funds and supervise their use, so as to ensure that the special funds are used for special purposes.
（2） Special account storage of raised funds
As of December 31, 2021, the company has opened a special account for the raised funds from initial public offering as follows:
Account no. of the opening bank of the company name of the raised investment project account balance remarks (yuan)
Fujian strait bank Co., Ltd. has an annual output of 20000 tons of high-performance lithium ion
The Company Limited Ningde branch 1 Ningxia Western Venture Industrial Co.Ltd(000557) 012 Ningbo Shuanglin Auto Parts Co.Ltd(300100) 07 battery cathode material capacity expansion and – R & D center construction project, coating equipment
Construction of production base and R & D Center
The company has set up a project of Ningbo Tongshang Bank Co., Ltd. and a production base of 1100084655 China Vanke Co.Ltd(000002) pool functional coating diaphragm of Shanghai Branch of high safety lithium ion Battery Co., Ltd
And R & D center construction project
Jiangxi Zichen technology has Fujian strait bank Co., Ltd. Ningde branch 1 5I5J Holding Group Co.Ltd(000560) 36890010002, with an annual output of 20000 tons of high-performance lithium ion
Capacity expansion and of battery cathode materials
Liyang Zichen new materials Fujian strait bank Co., Ltd. R & D center construction project – Technology Co., Ltd. Ningde branch 1 Shanxi Fenghuo Electronics Co.Ltd(000561) 28970010001
Jiangxi Jiatuo intelligent sets up the coating equipment production base and R & D center of Ningbo Tongshang Bank Co., Ltd. Shanghai Branch 1100177555 Ping An Bank Co.Ltd(000001)
Liyang Jiatuo intelligent design China Merchants Bank Co.Ltd(600036) Co., Ltd. center construction project — Dongguan Nancheng sub branch of Equipment Co., Ltd. 769906518410588
High safety lithium ion battery function of ningdezhuo high tech materials Industrial Bank Co.Ltd(601166) Co., Ltd
Technology Co., Ltd. Ningde branch 137010100125893 coating diaphragm production base and R & D center construction project
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