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方正电机(002196)公告正文

方正电机:2016年第三季度报告正文

公告日期 2016-10-27
股票简称:方正电机 股票代码:002196
                   浙江方正电机股份有限公司 2016 年第三季度报告正文




证券代码:002196            证券简称:方正电机                        公告编号:2016-077




     浙江方正电机股份有限公司 2016 年第三季度报告正文




                                                                                           1
                   浙江方正电机股份有限公司 2016 年第三季度报告正文



                             第一节 重要提示


    公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真

实、准确、完整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和

连带的法律责任。

    所有董事均已出席了审议本次季报的董事会会议。

    公司负责人张敏、主管会计工作负责人牟健及会计机构负责人(会计主管人

员)卢美玲声明:保证季度报告中财务报表的真实、准确、完整。




                                                                      2
                                浙江方正电机股份有限公司 2016 年第三季度报告正文




                              第二节 主要财务数据及股东变化

一、主要会计数据和财务指标

公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据
□ 是 √ 否

                                                                                                  本报告期末比上年度末增
                                       本报告期末                          上年度末
                                                                                                             减

 总资产(元)                                2,801,527,193.04                2,760,852,069.02                       1.47%

 归属于上市公司股东的净资产
                                             2,275,953,416.79                2,212,507,352.01                       2.87%
 (元)

                                                        本报告期比上年同                                 年初至报告期末比
                                    本报告期                                         年初至报告期末
                                                                期增减                                     上年同期增减

 营业收入(元)                     248,651,610.63                     42.36%           718,328,029.27             32.05%

 归属于上市公司股东的净利润
                                     22,708,353.95                     152.42%           71,764,571.80            294.64%
 (元)

 归属于上市公司股东的扣除非
                                     18,068,626.73                     154.28%           61,818,496.53            446.04%
 经常性损益的净利润(元)

 经营活动产生的现金流量净额
                                        --                        --                    -37,526,750.86            -312.22%
 (元)

 基本每股收益(元/股)                           0.09                  80.00%                     0.28            180.00%

 稀释每股收益(元/股)                           0.09                  80.00%                     0.28            180.00%

 加权平均净资产收益率                          1.00%                    -0.02%                  3.21%               1.21%

                                                                                                                   单位:元

                         项目                                    年初至报告期期末金额                     说明

 非流动资产处置损益(包括已计提资产减值准备的冲销部
                                                                                 1,929,591.54
 分)

 计入当期损益的政府补助(与企业业务密切相关,按照国家
                                                                                 6,481,258.09
 统一标准定额或定量享受的政府补助除外)

 除同公司正常经营业务相关的有效套期保值业务外,持有交
 易性金融资产、交易性金融负债产生的公允价值变动损益,
                                                                                 2,921,113.71
 以及处置交易性金融资产、交易性金融负债和可供出售金融
 资产取得的投资收益

 除上述各项之外的其他营业外收入和支出                                             948,628.86

 减:所得税影响额                                                                1,926,515.97

     少数股东权益影响额(税后)                                                   408,000.96



                                                                                                                             3
                                 浙江方正电机股份有限公司 2016 年第三季度报告正文


 合计                                                                    9,946,075.27               --

对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损益项目,以及把《公
开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益的项目,应
说明原因
□ 适用 √ 不适用
公司报告期不存在将根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义、列举的非经常性损益
项目界定为经常性损益的项目的情形。


二、报告期末股东总数及前十名股东持股情况表

1、普通股股东和表决权恢复的优先股股东数量及前 10 名股东持股情况表

                                                                                                             单位:股

                                                            报告期末表决权恢复的优先
 报告期末普通股股东总数                            28,805                                                         0
                                                            股股东总数(如有)

                                                前 10 名股东持股情况

                                                                    持有有限售条            质押或冻结情况
   股东名称           股东性质      持股比例         持股数量
                                                                    件的股份数量        股份状态          数量

 张敏            境内自然人              17.66%        46,831,716       42,794,716   质押                 35,577,381

 卓斌            境内自然人              10.99%        29,151,079       29,151,079

 青岛金石灏汭    境内非国有法
                                          7.54%        20,007,498       20,007,498   质押                 12,262,400
 投资有限公司    人

 翁伟文          境内自然人               4.37%        11,583,307       11,583,307   质押                  3,615,603

 全国社保基金
                 其他                     1.83%         4,861,890                0
 一零九组合

 钱进            境内自然人               1.49%         3,948,668                0

 杭州杭开电气    境内非国有法
                                          1.28%         3,383,864        3,383,864   质押                  3,380,000
 有限公司        人

 金英杰          境内自然人               1.24%         3,279,391        3,279,391   质押                  2,500,000

 徐正敏          境内自然人               1.07%         2,827,338        2,827,338

 吴宝才          境内自然人               0.92%         2,449,647        2,449,647   质押                  2,440,000

                                         前 10 名无限售条件股东持股情况

                                                                                               股份种类
            股东名称                           持有无限售条件股份数量
                                                                                        股份种类          数量

 全国社保基金一零九组合                                                  4,861,890   人民币普通股          4,861,890

 张敏                                                                    4,037,000   人民币普通股          4,037,000

 钱进                                                                    3,948,668   人民币普通股          3,948,668



                                                                                                                       4
                                浙江方正电机股份有限公司 2016 年第三季度报告正文


 中国人寿保险股份有限公司—
 分红—个人分红—005L—FH002                                         2,337,264     人民币普通股    2,337,264
 深

 胡宏                                                                1,974,334     人民币普通股    1,974,334

 中国建设银行股份有限公司—
 富国中证新能源汽车指数分级                                          1,061,495     人民币普通股    1,061,495
 证券投资基金

 万向创业投资股份有限公司                                            1,000,000     人民币普通股    1,000,000

 交通银行股份有限公司—长信
 量化中小盘股票型证券投资基                                           980,340      人民币普通股      980,340
 金

 华宝证券—广发银行—华宝证
 券华芮量化一号集合资产管理                                           882,230      人民币普通股      882,230
 计划

 浙商证券—工行—浙商汇金精
                                                                      876,726      人民币普通股      876,726
 选定增集合资产管理计划

 上述股东关联关系或一致行动      本公司未知前 10 名股东之间是否存在关联关系或属于《上市公司股东持股变动信息
 的说明                          披露管理办法》规定的一致行动人。

 前 10 名普通股股东参与融资融
                                 无
 券业务情况说明(如有)

公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回交易
□ 是 √ 否
公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内未进行约定购回交易。


2、公司优先股股东总数及前 10 名优先股股东持股情况表

□ 适用 √ 不适用




                                                                                                               5
                              浙江方正电机股份有限公司 2016 年第三季度报告正文




                                        第三节 重要事项

一、报告期主要会计报表项目、财务指标发生变动的情况及原因

√ 适用 □ 不适用
1、货币资币较期初数减少 61.38%,主要系募集资金用于在建工程和采购设备;
2、应收票据较期初数增加 135.71%,主要系本期应收票据到期托收,用于支付应付账款较少所致;
3、预付账款较期初数增加 174.37%,主要系本期预付设备款增加;
4、其他应收款较期初数增加 33.01%,主要系本期应收出口退税款增加;
5、在建工程较期初数增加 68.35%,主要系本期工程款增加;
6、递延所得税资产较期初数增加 34.14%,主要系本期确认股权激励费用导致的应纳企业所得税差异引起;
7、应交税费较期初数减少 64.30%,主要系应交税费减少;
8、应付股利较期初数增加 924.51%,主要系部分分红款未支付;
9、营业总收入较上年同期数增加 32.05%,主要系本期合并范围增加上海海能、杭州德沃仕影响以及新能源汽车驱动电机业
务有所增长;
10、销售费用较上年同期数增加 54.49%,主要系本期合并范围增加上海海能、杭州德沃仕影响以及新能源汽车驱动电机业
务有所增长;
11、管理费用较上年同期数增加 51.86%,主要系本期合并范围增加上海海能、杭州德沃仕影响以及新能源汽车驱动电机业
务有所增长;
12、财务费用较上年同期数增加 1117.37%,主要系本期借款增加,汇率变动影响;
13、资产减值损失较上年同期数增加 561.84%,主要系本期合并范围增加上海海能、杭州德沃仕影响;
14、营业外收入较上年同期数增加 267.27%,主要系本期合并范围增加上海海能、杭州德沃仕影响;
15、所得税费用较上年同期数增加 236.96%,主要系本期合并范围增加上海海能、杭州德沃仕影响;
16、净利润较上年同期数增加 298.75%,主要系本期合并范围增加上海海能、杭州德沃仕影响以及新能源汽车驱动电机业务
有所增长。




二、重要事项进展情况及其影响和解决方案的分析说明

□ 适用 √ 不适用




三、公司、股东、实际控制人、收购人、董事、监事、高级管理人员或其他关联方在报告期
内履行完毕及截至报告期末尚未履行完毕的承诺事项

√ 适用 □ 不适用

             承诺事由             承诺方      承诺类型      承诺内容     承诺时间   承诺期限     履行情况

 股改承诺



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                               浙江方正电机股份有限公司 2016 年第三季度报告正文



收购报告书或权益变动报告书中
所作承诺

                                                           “本次交易
                                                           中本人认购
                                                           的方正电机
                                                           股份分三期
                                                           解锁,首期
                                                           解锁:自标
                                                           的股份上市
                                                           之日起满
                                                           12 个月且
                                                           经审计的
                                                           2015 年扣
                                                           除非经常性
                                                           损益后实际
                                                           净利润不低
                                                           于承诺利润
                                                           数的,首期
                                                           解锁 30%;
                                                           第二期解
                                                           锁:自标的
                                 卓斌;冒晓
                                                           股份上市之
                                 建;徐正敏;   股份限售承                2015 年 12
资产重组时所作承诺                                         日起满 24                 2018-12-29   正在履行
                                 朱玥奋;徐    诺                        月 29 日
                                                           个月且
                                 迪;祝轲卿
                                                           2016 年经
                                                           审计的扣除
                                                           非经常损益
                                                           后实际净利
                                                           润不低于承
                                                           诺利润数
                                                           的,第二期
                                                           解锁 30%;
                                                           第三期解
                                                           锁:自标的
                                                           股份上市之
                                                           日起满 36
                                                           个月且
                                                           2017 年经
                                                           审计的扣除
                                                           非经常性损
                                                           益后实际净
                                                           利润不低于
                                                           承诺利润数


                                                                                                             7
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            的,第三期
                            解锁 40%。
                            本人同意本
                            次交易完成
                            后,若本人
                            担任方正电
                            机的董事、
                            监事或高级
                            管理人员,
                            本次交易中
                            本人认购的
                            方正电机股
                            份自在证券
                            交易所上市
                            之日起十二
                            个月内,不
                            转让或者委
                            托他人管
                            理,也不由
                            方正电机收
                            购该部分股
                            份。前述锁
                            定期满后,
                            本人在方正
                            电机担任董
                            事、监事或
                            高级管理人
                            员职务期
                            间,将向方
                            正电机申报
                            所直接或间
                            接持有的方
                            正电机的股
                            份及变动情
                            况,每年转
                            让的股份将
                            不会超过所
                            直接或间接
                            持有方正电
                            机股份总数
                            的百分之二
                            十五;本人
                            在离职后半
                            年内,将不


                                                   8
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            会转让所直
                            接或间接持
                            有的方正电
                            机股份。

                            “本次交易
                            中本人以持
                            续拥有权益
                            时间超过
                            12 个月的
                            德沃仕股权
                            认购的方正
                            电机股份分
                            三期解锁,
                            首期解锁:
                            自标的股份
                            上市之日起
                            满 12 个月
                            且经审计的
                            2015 年扣
                            除非经常性
                            损益后实际
                            净利润不低
                            于承诺利润
               股份限售承   数的,首期   2015 年 12                正在履行
  曹冠晖                                              2018-12-29
               诺           解锁 30%;   月 29 日                  中
                            第二期解
                            锁:自标的
                            股份上市之
                            日起满 24
                            个月且
                            2016 年经
                            审计的扣除
                            非经常损益
                            后实际净利
                            润不低于承
                            诺利润数
                            的,第二期
                            解锁 30%;
                            第三期解
                            锁:自标的
                            股份上市之
                            日起满 36
                            个月且
                            2017 年经


                                                                              9
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            审计的扣除
                            非经常性损
                            益后实际净
                            利润不低于
                            承诺利润数
                            的,第三期
                            解锁 40%。
                            本人同意本
                            次交易完成
                            后,若本人
                            担任方正电
                            机的董事、
                            监事或高级
                            管理人员,
                            本次交易中
                            本人认购的
                            方正电机股
                            份自在证券
                            交易所上市
                            之日起十二
                            个月内,不
                            转让或者委
                            托他人管
                            理,也不由
                            方正电机收
                            购该部分股
                            份。前述锁
                            定期满后,
                            本人在方正
                            电机担任董
                            事、监事或
                            高级管理人
                            员职务期
                            间,将向方
                            正电机申报
                            所直接或间
                            接持有的方
                            正电机的股
                            份及变动情
                            况,每年转
                            让的股份将
                            不会超过所
                            直接或间接
                            持有方正电


                                                   10
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            机股份总数
                            的百分之二
                            十五;本人
                            在离职后半
                            年内,将不
                            会转让所直
                            接或间接持
                            有的方正电
                            机股份。”

                            “本次交易
                            中本人以持
                            续拥有权益
                            时间超过
                            12 个月的
                            德沃仕股权
                            认购的方正
                            电机股份分
                            三期解锁,
                            首期解锁:
                            自标的股份
                            上市之日起
                            满 12 个月
                            且经审计的
                            2015 年扣
                            除非经常性
                            损益后实际
               股份限售承                2015 年 12                正在履行
  吴进山                    净利润不低                2018-12-29
               诺                        月 29 日                  中
                            于承诺利润
                            数的,首期
                            解锁 30%;
                            第二期解
                            锁:自标的
                            股份上市之
                            日起满 24
                            个月且
                            2016 年经
                            审计的扣除
                            非经常损益
                            后实际净利
                            润不低于承
                            诺利润数
                            的,第二期
                            解锁 30%;
                            第三期解


                                                                              11
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            锁:自标的
                            股份上市之
                            日起满 36
                            个月且
                            2017 年经
                            审计的扣除
                            非经常性损
                            益后实际净
                            利润不低于
                            承诺利润数
                            的,第三期
                            解锁 40%。
                            本人以持续
                            拥有权益时
                            间不足 12
                            个月的德沃
                            仕股权认购
                            的方正电机
                            股份的锁定
                            期为三年,
                            自标的股份
                            上市且完成
                            相应全部业
                            绩补偿承诺
                            之日起满
                            36 个月解
                            锁。本人同
                            意本次交易
                            完成后,若
                            本人担任方
                            正电机的董
                            事、监事或
                            高级管理人
                            员,本次交
                            易中本人认
                            购的方正电
                            机股份自在
                            证券交易所
                            上市之日起
                            十二个月
                            内,不转让
                            或者委托他
                            人管理,也
                            不由方正电


                                                   12
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            机收购该部
                            分股份。前
                            述锁定期满
                            后,本人在
                            方正电机担
                            任董事、监
                            事或高级管
                            理人员职务
                            期间,将向
                            方正电机申
                            报所直接或
                            间接持有的
                            方正电机的
                            股份及变动
                            情况,每年
                            转让的股份
                            将不会超过
                            所直接或间
                            接持有方正
                            电机股份总
                            数的百分之
                            二十五;本
                            人在离职后
                            半年内,将
                            不会转让所
                            直接或间接
                            持有的方正
                            电机股份。”

                            本次交易中
                            本人以持续
                            拥有权益时
                            间超过 12
                            个月的德沃
  马文奇;      股份限售承   仕股权认购     2015 年 12                正在履行
                                                        2016-12-29
  吴宝才       诺           的方正电机     月 29 日                  中
                            股份自标的
                            股份上市之
                            日起满 12
                            个月解锁
                            100%。

                            本次交易中
  青岛金石灏
               股份限售承   本单位以持     2015 年 12                正在履行
  汭投资有限                                            2016-12-29
               诺           续拥有权益     月 29 日                  中
  公司
                            时间超过

                                                                                13
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            12 个月的
                            德沃仕股权
                            认购的方正
                            电机股份自
                            标的股份上
                            市之日起满
                            12 个月解
                            锁 100%。

                            本次交易中
                            本单位以持
                            续拥有权益
                            时间超过
                            12 个月的
                            德沃仕股权
                            认购的方正
                            电机股份分
                            三期解锁,
                            即自标的股
                            份上市之日
                            起满 12 个
                            月解锁
                            30%,满 24
  浙江德石投
               股份限售承   个月解锁     2015 年 12                正在履行
  资管理有限                                          2018-12-29
               诺           30%,满 36   月 29 日                  中
  公司
                            个月解锁
                            40%。本单
                            位以持续拥
                            有权益时间
                            不足 12 个
                            月的德沃仕
                            股权认购的
                            方正电机股
                            份的锁定期
                            为三年,自
                            标的股份上
                            市之日起满
                            36 个月解
                            锁。

                            “本次交易
                            中杭开电气
  杭州杭开电   股份限售承   以持续拥有   2015 年 12                正在履行
                                                      2018-12-29
  气有限公司   诺           权益时间超   月 29 日                  中
                            过 12 个月
                            的德沃仕股

                                                                              14
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            权认购的方
                            正电机股份
                            分三期解
                            锁,首期解
                            锁:自标的
                            股份上市之
                            日起满 12
                            个月且经审
                            计的 2015
                            年扣除非经
                            常性损益后
                            实际净利润
                            不低于承诺
                            利润数的,
                            首期解锁
                            30%;第二
                            期解锁:自
                            标的股份上
                            市之日起满
                            24 个月且
                            2016 年经
                            审计的扣除
                            非经常损益
                            后实际净利
                            润不低于承
                            诺利润数
                            的,第二期
                            解锁 30%;
                            第三期解
                            锁:自标的
                            股份上市之
                            日起满 36
                            个月且
                            2017 年经
                            审计的扣除
                            非经常性损
                            益后实际净
                            利润不低于
                            承诺利润数
                            的,第三期
                            解锁 40%。”

  青岛金石灏                募集配套资
               股份限售承                  2015 年 12                正在履行
  汭投资有限                金认购方作                  2018-12-29
               诺                          月 29 日                  中
  公司;张敏;                出如下承


                                                                                15
浙江方正电机股份有限公司 2016 年第三季度报告正文


  翁伟文                    诺: 作为方
                            正电机本次
                            发行股份及
                            支付现金购
                            买资产并募
                            集配套资金
                            项目的现金
                            认购股份
                            方,本人/
                            本单位承
                            诺:本人/
                            本单位所认
                            购方正电机
                            本次发行的
                            新增股份,
                            自该股份发
                            行结束之日
                            起 36 个月
                            内不得转
                            让。”截至本
                            公告出具
                            日,交易对
                            方及配套融
                            资方关于股
                            份锁定的承
                            诺正在履行
                            过程中,未
                            出现违反上
                            述承诺的情
                            形。

                            张敏、翁伟
                            文作出如下
                            承诺: 本人
                            拟认购的方
                            正电机本次
                            非公开发行
  张敏、翁伟   募集资金使   的股份的资     2015 年 12                正在履行
                                                        2018-12-29
  文           用承诺       金来源合       月 29 日                  中
                            法,不存在
                            信托、代持
                            股、委托持
                            股或类似安
                            排。除了《浙
                            江方正电机


                                                                                16
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            股份有限公
                            司非公开发
                            行股份之附
                            条件生效的
                            股份认购协
                            议书》,不存
                            在与本次方
                            正电机重大
                            资产重组相
                            关的其他协
                            议或安排。
                            本人不涉及
                            任何重大未
                            履行的负债
                            或任何重大
                            诉讼或仲裁
                            案件。本人
                            未受到过中
                            国证监会或
                            其派出机构
                            或证券交易
                            所的任何形
                            式的处罚
                            (包括谴
                            责、罚款、
                            通报批评)
                            等。本人与
                            上海海能及
                            其股东、董
                            事、监事、
                            高级管理人
                            员和德沃仕
                            及其股东、
                            董事、监事、
                            高级管理人
                            员不存在任
                            何关联关
                            系,与上海
                            海能汽车电
                            子有限公司
                            及杭州德沃
                            仕电动科技
                            有限公司的
                            股东之间不


                                                   17
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            存在股份代
                            持或其他形
                            式的股份安
                            排。”

                            "金石灏汭
                            作出如下承
                            诺: 本单位
                            拟认购的方
                            正电机本次
                            非公开发行
                            的股份的资
                            金来源合
                            法,不存在
                            信托、代持
                            股、委托持
                            股或类似安
                            排。除了《浙
                            江方正电机
                            股份有限公
                            司非公开发
                            行股份之附
                            条件生效的
                            股份认购协
  青岛金石灏
               募集资金使   议书》,不存   2015 年 12                正在履行
  汭投资有限                                            2018-12-29
               用承诺       在与本次方     月 29 日                  中
  公司
                            正电机重大
                            资产重组相
                            关的其他协
                            议或安排。
                            本单位不涉
                            及任何重大
                            未履行的负
                            债或任何重
                            大诉讼或仲
                            裁案件。本
                            单位未受到
                            过中国证监
                            会或其派出
                            机构或证券
                            交易所的任
                            何形式的处
                            罚(包括谴
                            责、罚款、
                            通报批评)


                                                                                18
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            等。本单位
                            与上海海能
                            汽车电子有
                            限公司及其
                            股东、董事、
                            监事、高级
                            管理人员和
                            杭州德沃仕
                            电动科技有
                            限公司及其
                            董事、监事、
                            高级管理人
                            员不存在任
                            何关联关
                            系,与上海
                            海能汽车电
                            子有限公司
                            及杭州德沃
                            仕电动科技
                            有限公司的
                            股东之间不
                            存在股份代
                            持或其他形
                            式的股份安
                            排。”截至本
                            公告出具
                            日,配套融
                            资方的上述
                            承诺正在履
                            行过程中,
                            未出现违反
                            上述承诺的
                            情形。"

                            "股份限售
                            承诺内容如
  金英杰;常                 下:交易对
  峥;吴正华;                方承诺: 1、
  罗轶;吴军;                以其持有的
               股份限售承                  2014 年 09               正在履行
  何东飞;任                 深圳市高科                  2017-9-26
               诺                          月 26 日                 中
  彦明;胡袁                 润电子科技
  淼;张洪亮;                有限公司股
  廉海涛;邵                 权所认购而
  世梅;王剑                 取得的方正
  川;李军;皮                电机股份,


                                                                               19
浙江方正电机股份有限公司 2016 年第三季度报告正文


  引群;罗汝                 自该等股份
  洪;吴甜香;                上市之日起
  冯松娣;                   三十六个月
  张天福;沈                 内将不以任
  士忠;唐永                 何方式转
  强;殷安辉;                让,包括但
  李艳宁;李                 不限于通过
  凌;杨静;陈                证券市场公
  德刚;龚宇;                开转让或通
  詹舵;王坚;                过协议方式
  王瑞红;赵                 转让,也不
  璋华                      由方正电机
                            回购(因深
                            圳市高科润
                            电子有限公
                            司未实现承
                            诺业绩的情
                            形除外)。该
                            等股份由于
                            方正电机送
                            红股、转增
                            股本等原因
                            而孳息的股
                            份,亦遵照
                            上述锁定期
                            进行锁定。
                            2、若方正电
                            机 2016 年
                            度专项审计
                            报告、减值
                            测试报告出
                            具的日期晚
                            于所持股份
                            的限售期届
                            满之日,则
                            限售股份不
                            得转让;待
                            方正电机
                            2016 年度
                            的审计报告
                            出具以及减
                            值测试完毕
                            后,如其需
                            实行股份补


                                                   20
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            偿,则扣减
                            需进行股份
                            补偿部分
                            后,解禁所
                            持剩余股
                            份。"

                            "股份限售
                            承诺内容如
                            下:交易对
                            方翁伟文承
                            诺:“1、以
                            其持有的深
                            圳市高科润
                            电子科技有
                            限公司股权
                            所认购而取
                            得的方正电
                            机股份,自
                            该等股份上
                            市之日起三
                            十六个月内
                            将不以任何
                            方式转让,
                            包括但不限
               股份限售承   于通过证券     2014 年 09               正在履行
  翁伟文                                                2017-9-26
               诺           市场公开转     月 26 日                 中
                            让或通过协
                            议方式转
                            让,也不由
                            方正电机回
                            购(因深圳
                            市高科润电
                            子有限公司
                            未实现承诺
                            业绩的情形
                            除外)。该等
                            股份由于方
                            正电机送红
                            股、转增股
                            本等原因而
                            孳息的股
                            份,亦遵照
                            上述锁定期
                            进行锁定。


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            2、若其将来
                            成为方正电
                            机的董事、
                            监事或高级
                            管理人员,
                            除满足上述
                            锁定期外,
                            其直接或间
                            接持有方正
                            电机的股份
                            在其本人任
                            职期间内每
                            年转让的比
                            例不超过所
                            持方正电机
                            股份总数的
                            25%,在离
                            职后半年内
                            不转让,在
                            申报离任六
                            个月后的十
                            二个月内通
                            过证券交易
                            所挂牌交易
                            出售方正电
                            机股票数量
                            占其本人所
                            持有方正电
                            机股份总数
                            的比例不超
                            过 50%。3、
                            若方正电机
                            2016 年度
                            专项审计报
                            告、减值测
                            试报告出具
                            的日期晚于
                            所持股份的
                            限售期届满
                            之日,则限
                            售股份不得
                            转让;待方
                            正电机
                            2016 年度


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                              的审计报告
                              出具以及减
                              值测试完毕
                              后,如其需
                              实行股份补
                              偿,则扣减
                              需进行股份
                              补偿部分
                              后,解禁所
                              持剩余股
                              份。”

                              股份限售承
                              诺内容如
                              下:本次非
                              公开发行股
                              票的锁定期
                              按中国证监
                              会的有关规
                              定,非公开
                              发行股票上
  张敏;华鑫
                              市之日起三
  国际信托有     股份限售承                2013 年 08
                              十六个月                  2016-8-16    履行完毕
  限公司;钱      诺                        月 16 日
                              内,不转让
  进;胡宏
                              或者委托他
                              人管理持有
                              的在本次非
                              公开发行中
                              认购的股
                              份,也不由
                              方正电机回
                              购该部份股
                              份。

  张敏、通联
  创业投资股
  份有限公
  司、钱进、
  章则余、李
  锦火、胡宏、 股份限售承     股份限售承   2007 年 12   2010 年 12
                                                                     履行完毕
  张健、陈超、 诺             诺           月 12 日     月 13 日
  陈丽祖、陈
  荣昌、陈伟
  行、葛立中、
  韩福妹、胡
  洪然、孔庆

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                               浙江方正电机股份有限公司 2016 年第三季度报告正文


                                 成、蓝金申、
                                 毛国南、舒
                                 琳嫣、孙建
                                 荣、王缙成、
                                 王小元、王
                                 志伟、谢国
                                 伟、袁晓虹、
                                 张寅孩、朱
                                 勇虎、朱赵
                                 平、邹董雄

首次公开发行或再融资时所作承


股权激励承诺

                                                             "上海海能
                                                             全体股东作
                                                             出如下承
                                                             诺:1、“本
                                                             人最近五年
                                                             内未受过行
                                                             政处罚(与
                                                             证券市场明
                                                             显无关的除
                                                             外)、刑事处
                                                             罚或者涉及
                                                             与经济纠纷
                                                             有关的重大
                                                关于同业竞
                                 卓斌;冒晓                   民事诉讼或
                                                争、关联交
                                 建;徐正敏;                  者仲裁。”2、 2015 年 12                正在履行
其他对公司中小股东所作承诺                      易、资金占                              2018-12-29
                                 徐迪;朱玥                   “本人/本      月 29 日                 中
                                                用方面的承
                                 奋;祝轲卿                   单位不存在
                                                诺
                                                             因涉嫌与本
                                                             次重大资产
                                                             重组相关的
                                                             内幕交易被
                                                             立案调查或
                                                             者立案侦查
                                                             的情形,最
                                                             近 36 个月
                                                             内不存在因
                                                             与重大资产
                                                             重组相关的
                                                             内幕交易被
                                                             中国证监会


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            作出行政处
                            罚或者司法
                            机关依法追
                            究刑事责任
                            的情形。
                            “本人/本
                            单位不存在
                            依据《关于
                            加强与上市
                            公司重大资
                            产重组相关
                            股票异常交
                            易监管的暂
                            行规定》第
                            十三条不得
                            参与任何上
                            市公司重大
                            资产重组的
                            情形。”3、
                            “本人已经
                            依法对上海
                            海能履行全
                            额出资义
                            务,不存在
                            任何虚假出
                            资、延期出
                            资、抽逃出
                            资等违反其
                            作为股东所
                            应当承担的
                            义务及责任
                            的行为,本
                            人依法拥有
                            上述股权有
                            效的占有、
                            使用、收益
                            及处分权。
                            本人合法拥
                            有上海海能
                            股权的完整
                            权利,该等
                            股权不存在
                            限制或禁止
                            转让的情


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            形,不存在
                            以代持、代
                            理、信托或
                            其他方式持
                            有上海海能
                            股权的协议
                            或类似安
                            排,不代表
                            其他方的利
                            益,不存在
                            任何纠纷或
                            者潜在纠
                            纷,且该股
                            权未设定任
                            何抵押、质
                            押等他项权
                            利,亦未被
                            执法部门实
                            施扣押、查
                            封等使其权
                            利受到限制
                            的任何约
                            束;本人所
                            持上海海能
                            股权过户或
                            权属转移不
                            存在任何法
                            律障碍。同
                            时,本人保
                            证此种状况
                            持续至该股
                            权登记至方
                            正电机名
                            下。 本人确
                            认同意上海
                            海能历次的
                            股权转让行
                            为并放弃相
                            关的优先购
                            买权,上海
                            海能的历次
                            股权转让行
                            为均为合法
                            有效,不存


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            在法律纠纷
                            或潜在法律
                            纠纷。在本
                            人与方正电
                            机签署的协
                            议生效并执
                            行完毕之
                            前,本人保
                            证不就本人
                            所持上海海
                            能的股权设
                            置抵押、质
                            押等任何第
                            三人权利,
                            保证上海海
                            能正常、有
                            序、合法经
                            营,保证上
                            海海能不进
                            行与正常生
                            产经营无关
                            的资产处
                            置、对外担
                            保、利润分
                            配或增加重
                            大债务之行
                            为,保证上
                            海海能不进
                            行非法转
                            移、隐匿标
                            的资产行
                            为。如确有
                            需要,本人
                            须经方正电
                            机书面同意
                            后方可实
                            施。 本人保
                            证上海海能
                            或本人签署
                            的所有协议
                            或合同不存
                            在阻碍本人
                            转让上海海
                            能股权的限


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            制性条款。
                            本人保证不
                            存在任何正
                            在进行或潜
                            在的影响本
                            人转让上海
                            海能股权的
                            诉讼、仲裁
                            或纠纷。 上
                            海海能章
                            程、内部管
                            理制度文件
                            及其签署的
                            合同或协议
                            中不存在阻
                            碍本人转让
                            所持上海海
                            能股权的限
                            制性条款。”
                            4、“本人持
                            有方正电机
                            股票期间及
                            自上海海能
                            离职后三年
                            内,本人及
                            本人关系密
                            切的家庭成
                            员(成员范
                            围参照深交
                            所股票上市
                            规则)和本
                            人及本人关
                            系密切的家
                            庭成员控制
                            或实施重大
                            影响的企业
                            不拥有、管
                            理、控制、
                            投资、从事
                            其他任何与
                            方正电机及
                            上海海能相
                            同或相近的
                            业务或项


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            目,亦不参
                            与拥有、管
                            理、控制、
                            投资其他任
                            何与方正电
                            机及上海海
                            能相同或相
                            近的业务或
                            项目,亦不
                            谋求通过与
                            任何第三人
                            合资、合作、
                            联营或采取
                            租赁经营、
                            承包经营、
                            委托管理等
                            方式直接或
                            间接从事与
                            方正电机及
                            上海海能构
                            成竞争的业
                            务。本人持
                            有方正电机
                            股票期间及
                            自上海海能
                            离职后三年
                            内若违反上
                            述承诺的,
                            将立即停止
                            与方正电机
                            及上海海能
                            构成竞争之
                            业务,并采
                            取必要措施
                            予以纠正补
                            救;同时对
                            因本人未履
                            行本承诺函
                            所作的承诺
                            而给方正电
                            机及上海海
                            能造成一切
                            损失和后果
                            承担赔偿责


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            任。”5、“本
                            人与方正电
                            机及其股东
                            以及董事、
                            监事以及高
                            级管理人员
                            不存在任何
                            关联关系和
                            任何一致行
                            动关系。
                            “本人与为
                            本次交易提
                            供审计、评
                            估、法律及
                            财务顾问专
                            业服务的中
                            介机构及其
                            签字人员不
                            存在任何关
                            联关系。”6、
                            “本人将按
                            照《公司法》
                            等法律、法
                            规以及方正
                            电机公司章
                            程的有关规
                            定行使股东
                            权利;在股
                            东大会对涉
                            及本人的关
                            联交易进行
                            表决时,履
                            行回避表决
                            的义务。本
                            人将杜绝一
                            切非法占用
                            方正电机及
                            上海海能的
                            资金、资产
                            的行为,在
                            任何情况
                            下,不要求
                            方正电机及
                            上海海能向


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            本人及本人
                            投资或控制
                            的其他企业
                            提供任何形
                            式的担保。
                            本人将尽可
                            能地避免和
                            减少与方正
                            电机的关联
                            交易,不会
                            利用自身作
                            为方正电机
                            股东及上海
                            海能管理人
                            员之地位,
                            谋求与方正
                            电机及其所
                            属公司在业
                            务合作等方
                            面优于市场
                            第三方的权
                            利;不会谋
                            求与方正电
                            机及其所属
                            公司达成交
                            易的优先权
                            利;对无法
                            避免或者有
                            合理原因而
                            发生的关联
                            交易,将遵
                            循市场公
                            正、公平、
                            公开、等价
                            有偿的原
                            则,并依法
                            签订协议,
                            履行合法程
                            序,按照方
                            正电机公司
                            章程、有关
                            法律法规和
                            《深圳证券
                            交易所股票


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            上市规则》
                            等有关规定
                            履行信息披
                            露义务和办
                            理有关报批
                            程序,保证
                            不以与市场
                            价格相比显
                            失公允的条
                            件与方正电
                            机及其所属
                            公司进行交
                            易,不通过
                            关联交易损
                            害方正电机
                            及其他股东
                            的合法权
                            益。如因本
                            人未履行本
                            承诺函所作
                            的承诺而给
                            方正电机或
                            上海海能造
                            成一切损失
                            和后果,本
                            人承担赔偿
                            责任。”7、
                            “本人在本
                            次交易信息
                            公开前不存
                            在买卖相关
                            证券,或者
                            泄露该信
                            息,或者建
                            议他人买卖
                            相关证券等
                            内幕交易行
                            为。   本人
                            不存在因涉
                            嫌参与重大
                            资产重组相
                            关的内幕交
                            易被立案调
                            查或者立案


                                                   32
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            侦查且尚未
                            结案的情
                            况。    最近
                            三十六个月
                            内,本人未
                            曾因参与重
                            大资产重组
                            相关的内幕
                            交易被中国
                            证监会作出
                            行政处罚或
                            者司法机关
                            依法追究刑
                            事责任。”
                            截至本公告
                            出具日,上
                            海海能全体
                            股东上述承
                            诺正在履行
                            过程中,未
                            出现违反上
                            述承诺的情
                            形。"

                            "金石灏汭
                            作出如下承
                            诺: 1、“本
                            单位已经依
                            法对德沃仕
                            履行全额出
                            资义务,不
                            存在任何虚
               关于同业竞   假出资、延
  青岛金石灏   争、关联交   期出资、抽
                                           2015 年 12                正在履行
  汭投资有限   易、资金占   逃出资等违                  2018-12-29
                                           月 29 日                  中
  公司         用方面的承   反其作为股
               诺           东所应当承
                            担的义务及
                            责任的行
                            为,本单位
                            依法拥有上
                            述股权有效
                            的占有、使
                            用、收益及
                            处分权。


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            本单位合法
                            拥有德沃仕
                            股权的完整
                            权利,该等
                            股权不存在
                            限制或禁止
                            转让的情
                            形,不存在
                            以代持、代
                            理、信托或
                            其他方式持
                            有德沃仕股
                            权的协议或
                            类似安排,
                            不代表其他
                            方的利益,
                            不存在任何
                            纠纷或者潜
                            在纠纷,且
                            该股权未设
                            定任何抵
                            押、质押等
                            他项权利,
                            亦未被执法
                            部门实施扣
                            押、查封等
                            使其权利受
                            到限制的任
                            何约束;本
                            单位所持德
                            沃仕股权过
                            户或权属转
                            移不存在任
                            何法律障
                            碍。同时,
                            本单位保证
                            此种状况持
                            续至该股权
                            登记至方正
                            电机名下。
                            在本单位与
                            方正电机签
                            署的协议生
                            效并执行完


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            毕之前,本
                            单位保证不
                            就本单位所
                            持德沃仕的
                            股权设置抵
                            押、质押等
                            任何第三人
                            权利,保证
                            德沃仕正
                            常、有序、
                            合法经营,
                            保证德沃仕
                            不进行与正
                            常生产经营
                            无关的资产
                            处置、对外
                            担保、利润
                            分配或增加
                            重大债务之
                            行为,保证
                            德沃仕不进
                            行非法转
                            移、隐匿标
                            的资产行
                            为。如确有
                            需要,本单
                            位须经方正
                            电机书面同
                            意后方可实
                            施。 本单位
                            保证德沃仕
                            或本单位签
                            署的所有协
                            议或合同不
                            存在阻碍本
                            单位转让德
                            沃仕股权的
                            限制性条
                            款。    本
                            单位保证不
                            存在任何正
                            在进行或潜
                            在的影响本
                            单位转让德


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            沃仕股权的
                            诉讼、仲裁
                            或纠纷。”2、
                            “本公司持
                            有上市公司
                            占股本总额
                            比例超过
                            5%的期间
                            内,将按照
                            相关法律、
                            法规及中国
                            证监会的相
                            关规定,避
                            免与上市公
                            司之间的同
                            业竞争,不
                            从事与上市
                            公司实际从
                            事的经营范
                            围相同或类
                            似的营业活
                            动。"

                            "杭开电气、
                            浙江德石作
                            出如下承
                            诺: “本单
                            位不拥有、
                            管理、控制、
                            投资、从事
                            其他任何与
                            方正电机及
  杭州杭开电   关于同业竞
                            德沃仕相同
  气有限公     争、关联交
                            或相近的业      2015 年 12                正在履行
  司;浙江德    易、资金占                                2018-12-29
                            务或项目,      月 29 日                  中
  石投资管理   用方面的承
                            亦不参与拥
  有限公司     诺
                            有、管理、
                            控制、投资
                            其他任何与
                            方正电机及
                            德沃仕相同
                            或相近的业
                            务或项目,
                            亦不谋求通
                            过与任何第


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            三方合资、
                            合作、联营
                            或采取租赁
                            经营、承包
                            经营、委托
                            管理等方式
                            直接或间接
                            从事与方正
                            电机及德沃
                            仕构成竞争
                            的业务。
                            本单位若违
                            反上述承诺
                            的,将立即
                            停止与方正
                            电机及德沃
                            仕构成竞争
                            之业务,并
                            采取必要措
                            施予以纠正
                            补救;同时
                            对因本单位
                            未履行本承
                            诺函所作的
                            承诺而给方
                            正电机及德
                            沃仕造成一
                            切损失和后
                            果承担赔偿
                            责任。”

                            "德沃仕全
                            体股东作出
                            如下承诺:
                            1、“本人/
                            本单位及主
               关于同业竞
                            要管理人员
  曹冠晖;吴    争、关联交
                            最近五年内     2015 年 12                正在履行
  进山;马文    易、资金占                               2018-12-29
                            未受过行政     月 29 日                  中
  奇;吴宝才    用方面的承
                            处罚(与证
               诺
                            券市场明显
                            无关的除
                            外)、刑事处
                            罚或者涉及
                            与经济纠纷


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            有关的重大
                            民事诉讼或
                            者仲裁。”2、
                            “本人/本
                            单位不存在
                            因涉嫌与本
                            次重大资产
                            重组相关的
                            内幕交易被
                            立案调查或
                            者立案侦查
                            的情形,最
                            近 36 个月
                            内不存在因
                            与重大资产
                            重组相关的
                            内幕交易被
                            中国证监会
                            作出行政处
                            罚或者司法
                            机关依法追
                            究刑事责任
                            的情形。
                            “本人/本
                            单位不存在
                            依据《关于
                            加强与上市
                            公司重大资
                            产重组相关
                            股票异常交
                            易监管的暂
                            行规定》第
                            十三条不得
                            参与任何上
                            市公司重大
                            资产重组的
                            情形。”3、
                            “本人/本
                            单位已经依
                            法对德沃仕
                            履行全额出
                            资义务,不
                            存在任何虚
                            假出资、延


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            期出资、抽
                            逃出资等违
                            反其作为股
                            东所应当承
                            担的义务及
                            责任的行
                            为,本人/
                            本单位依法
                            拥有上述股
                            权有效的占
                            有、使用、
                            收益及处分
                            权。本人/
                            本单位合法
                            拥有德沃仕
                            股权的完整
                            权利,该等
                            股权不存在
                            限制或禁止
                            转让的情
                            形,不存在
                            以代持、代
                            理、信托或
                            其他方式持
                            有德沃仕股
                            权的协议或
                            类似安排,
                            不代表其他
                            方的利益,
                            不存在任何
                            纠纷或者潜
                            在纠纷,且
                            该股权未设
                            定任何抵
                            押、质押等
                            他项权利,
                            亦未被执法
                            部门实施扣
                            押、查封等
                            使其权利受
                            到限制的任
                            何约束;本
                            人/本单位
                            所持德沃仕


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            股权过户或
                            权属转移不
                            存在任何法
                            律障碍。同
                            时,本人/
                            本单位保证
                            此种状况持
                            续至该股权
                            登记至方正
                            电机名下。
                            本人/本单
                            位确认同意
                            德沃仕历次
                            的股权转让
                            行为并放弃
                            相关的优先
                            购买权,德
                            沃仕的历次
                            股权转让行
                            为均为合法
                            有效,不存
                            在法律纠纷
                            或潜在法律
                            纠纷。 在本
                            人/本单位
                            与方正电机
                            签署的协议
                            生效并执行
                            完毕之前,
                            本人/本单
                            位保证不就
                            本人/本单
                            位所持德沃
                            仕的股权设
                            置抵押、质
                            押等任何第
                            三人权利,
                            保证德沃仕
                            正常、有序、
                            合法经营,
                            保证德沃仕
                            不进行与正
                            常生产经营
                            无关的资产


                                                   40
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            处置、对外
                            担保、利润
                            分配或增加
                            重大债务之
                            行为,保证
                            德沃仕不进
                            行非法转
                            移、隐匿标
                            的资产行
                            为。如确有
                            需要,本人/
                            本单位须经
                            方正电机书
                            面同意后方
                            可实施。本
                            人/本单位
                            保证德沃仕
                            或本人/本
                            单位签署的
                            所有协议或
                            合同不存在
                            阻碍本人/
                            本单位转让
                            德沃仕股权
                            的限制性条
                            款。本人/
                            本单位保证
                            不存在任何
                            正在进行或
                            潜在的影响
                            本人/本单
                            位转让德沃
                            仕股权的诉
                            讼、仲裁或
                            纠纷。 德沃
                            仕章程、内
                            部管理制度
                            文件及其签
                            署的合同或
                            协议中不存
                            在阻碍本人
                            /本单位转
                            让所持德沃
                            仕股权的限


                                                   41
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            制性条款。”
                            4、“本人/
                            本单位与方
                            正电机及其
                            股东以及董
                            事、监事以
                            及高级管理
                            人员不存在
                            任何关联关
                            系和任何一
                            致行动关
                            系。   “本
                            人/本单位
                            与为本次交
                            易提供审
                            计、评估、
                            法律及财务
                            顾问专业服
                            务的中介机
                            构及其签字
                            人员不存在
                            任何关联关
                            系。”5、“本
                            人/本单位
                            将按照《公
                            司法》等法
                            律、法规以
                            及方正电机
                            公司章程的
                            有关规定行
                            使股东权
                            利;在股东
                            大会对涉及
                            本人/本单
                            位的关联交
                            易进行表决
                            时,履行回
                            避表决的义
                            务。 本人/
                            本单位将杜
                            绝一切非法
                            占用方正电
                            机及德沃仕
                            的资金、资


                                                   42
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            产的行为,
                            在任何情况
                            下,不要求
                            方正电机及
                            德沃仕向本
                            人/本单位
                            及本人/本
                            单位投资或
                            控制的其他
                            企业提供任
                            何形式的担
                            保。本人/
                            本单位将尽
                            可能地避免
                            和减少与方
                            正电机的关
                            联交易,不
                            会利用自身
                            作为方正电
                            机股东及德
                            沃仕管理人
                            员之地位,
                            谋求与方正
                            电机及其所
                            属公司在业
                            务合作等方
                            面优于市场
                            第三方的权
                            利;不会谋
                            求与方正电
                            机及其所属
                            公司达成交
                            易的优先权
                            利;对无法
                            避免或者有
                            合理原因而
                            发生的关联
                            交易,将遵
                            循市场公
                            正、公平、
                            公开、等价
                            有偿的原
                            则,并依法
                            签订协议,


                                                   43
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            履行合法程
                            序,按照方
                            正电机公司
                            章程、有关
                            法律法规和
                            《深圳证券
                            交易所股票
                            上市规则》
                            等有关规定
                            履行信息披
                            露义务和办
                            理有关报批
                            程序,保证
                            不以与市场
                            价格相比显
                            失公允的条
                            件与方正电
                            机及其所属
                            公司进行交
                            易,不通过
                            关联交易损
                            害方正电机
                            及其他股东
                            的合法权
                            益。如因本
                            人/本单位
                            未履行本承
                            诺函所作的
                            承诺而给方
                            正电机或德
                            沃仕造成一
                            切损失和后
                            果,本人/
                            本单位承担
                            赔偿责任。”
                            6、“本人/
                            本单位在本
                            次交易信息
                            公开前不存
                            在买卖相关
                            证券,或者
                            泄露该信
                            息,或者建
                            议他人买卖


                                                   44
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            相关证券等
                            内幕交易行
                            为。 本人/
                            本单位不存
                            在因涉嫌参
                            与重大资产
                            重组相关的
                            内幕交易被
                            立案调查或
                            者立案侦查
                            且尚未结案
                            的情况。
                            最近三十六
                            个月内,本
                            人/本单位
                            未曾因参与
                            重大资产重
                            组相关的内
                            幕交易被中
                            国证监会作
                            出行政处罚
                            或者司法机
                            关依法追究
                            刑事责任。”
                            7、“本人持
                            有方正电机
                            股票期间及
                            自德沃仕离
                            职后三年
                            内,本人及
                            本人关系密
                            切的家庭成
                            员(成员范
                            围参照深交
                            所股票上市
                            规则)和本
                            人及本人关
                            系密切的家
                            庭成员控制
                            或实施重大
                            影响的企业
                            不拥有、管
                            理、控制、
                            投资、从事


                                                   45
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            其他任何与
                            方正电机及
                            德沃仕相同
                            或相近的业
                            务或项目,
                            亦不参与拥
                            有、管理、
                            控制、投资
                            其他任何与
                            方正电机及
                            德沃仕相同
                            或相近的业
                            务或项目,
                            亦不谋求通
                            过与任何第
                            三人合资、
                            合作、联营
                            或采取租赁
                            经营、承包
                            经营、委托
                            管理等方式
                            直接或间接
                            从事与方正
                            电机及德沃
                            仕构成竞争
                            的业务。
                            本人持有方
                            正电机股票
                            期间及自德
                            沃仕离职后
                            三年内若违
                            反上述承诺
                            的,将立即
                            停止与方正
                            电机及德沃
                            仕构成竞争
                            之业务,并
                            采取必要措
                            施予以纠正
                            补救;同时
                            对因本人未
                            履行本承诺
                            函所作的承
                            诺而给方正


                                                   46
浙江方正电机股份有限公司 2016 年第三季度报告正文


                            电机及德沃
                            仕造成一切
                            损失和后果
                            承担赔偿责
                            任。”
                            截止本公告
                            出具日,德
                            沃仕全体股
                            东的上述承
                            诺正在履行
                            过程中,未
                            出现违反上
                            述承诺的情
                            形。"

                            "避免同业
                            竞争的承
                            诺:1、本人
                            目前未经营
                            或从事任何
                            在商业上对
                            浙江方正电
                            机股份有限
                            公司构成直
                            接或间接同
                            业竞争的业
                            务或活动;
                            2、本人在今
               关于同业竞
                            后的任何时
               争、关联交
                            间不会以任    2007 年 12                正在履行
  张敏         易、资金占                              9999-12-31
                            何方式经营    月 12 日                  中
               用方面的承
                            或从事与浙
               诺
                            江方正电机
                            股份有限公
                            司构成直接
                            或间接竞争
                            的业务或活
                            动。凡本人
                            有任何商业
                            机会可从
                            事、参与或
                            入股任何可
                            能会与浙江
                            方正电机股
                            份有限公司


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            生产经营构
                            成竞争的业
                            务,本人会
                            将上述商业
                            机会让予浙
                            江方正电机
                            股份有限公
                            司; 3、如果
                            本人违反上
                            述声明、保
                            证与承诺,
                            并造成浙江
                            方正电机股
                            份有限公司
                            经济损失
                            的,本人同
                            意赔偿相应
                            损失。 "

                            "公司分红
                            政策及未来
                            三年(2012
                            年-2014
                            年)的具体
                            股东回报规
                            划:1、分红
                            方式:公司
                            可以采取现
                            金或者股票
                            方式分配股
                            利,可以进
  浙江方正电
                            行中期现金     2012 年 10
  机股份有限   分红承诺                                 2014-10-23   履行完毕
                            分红。2、公    月 23 日
  公司
                            司利润分配
                            的最低分红
                            比例:根据
                            《公司章
                            程》的规定,
                            在公司现金
                            流满足公司
                            正常经营和
                            长期发展的
                            前提下,公
                            司原则上每
                            年进行一次


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            现金分红,
                            每年以现金
                            方式分配的
                            利润应不低
                            于当年实现
                            的可分配利
                            润的百分之
                            十,公司最
                            近三年以现
                            金方式累计
                            分配的利润
                            不少于最近
                            三年实现的
                            年均可分配
                            利润的百分
                            之三十,具
                            体分红比例
                            由公司董事
                            会根据中国
                            证监会的有
                            关规定和公
                            司经营情况
                            拟定,由公
                            司股东大会
                            审议决定。
                            3、未来三年
                            (2012 年
                            -2014 年)
                            公司可以根
                            据累计可供
                            分配利润、
                            公积金及现
                            金流状况,
                            在保证最低
                            现金分红比
                            例和公司股
                            本规模合理
                            的前提下,
                            采用股票股
                            利方式进行
                            利润分配。
                            4、如果未来
                            三年内公司
                            净利润保持


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            持续稳定增
                            长,公司可
                            以提高现金
                            分红比例或
                            者实施股票
                            股利分配,
                            加大对投资
                            者的回报力
                            度。"

                            "公司分红
                            政策及未来
                            三年(2015
                            年-2017
                            年)的具体
                            股东回报规
                            划 1、分红
                            方式:公司
                            可以采取现
                            金或者股票
                            方式分配股
                            利,可以进
                            行中期现金
                            分红。2、公
                            司利润分配
                            的最低分红
  浙江方正电                比例:根据
                                           2015 年 07              正在履行
  机股份有限   分红承诺     《公司章                    2017-7-3
                                           月 03 日                中
  公司                      程》的规定,
                            在公司现金
                            流满足公司
                            正常经营和
                            长期发展的
                            前提下,公
                            司原则上每
                            年进行一次
                            现金分红,
                            每年以现金
                            方式分配的
                            利润应不低
                            于当年实现
                            的可分配利
                            润的百分之
                            十,公司最
                            近三年以现


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浙江方正电机股份有限公司 2016 年第三季度报告正文


                            金方式累计
                            分配的利润
                            不少于最近
                            三年实现的
                            年均可分配
                            利润的百分
                            之三十,具
                            体分红比例
                            由公司董事
                            会根据中国
                            证监会的有
                            关规定和公
                            司经营情况
                            拟定,由公
                            司股东大会
                            审议决定。
                            3、未来三年
                            (2015 年
                            -2017 年)
                            公司可以根
                            据累计可供
                            分配利润、
                            公积金及现
                            金流状况,
                            在保证最低
                            现金分红比
                            例和公司股
                            本规模合理
                            的前提下,
                            采用股票股
                            利方式进行
                            利润分配。
                            4、如果未来
                            三年内公司
                            净利润保持
                            持续稳定增
                            长,公司可
                            以提高现金
                            分红比例或
                            者实施股票
                            股利分配,
                            加大对投资
                            者的回报力
                            度。"


                                                   51
                                 浙江方正电机股份有限公司 2016 年第三季度报告正文


 承诺是否按时履行                  是

 如承诺超期未履行完毕的,应当
 详细说明未完成履行的具体原因      无
 及下一步的工作计划


四、对 2016 年度经营业绩的预计

2016 年度预计的经营业绩情况:归属于上市公司股东的净利润为正值且不属于扭亏为盈的情形
归属于上市公司股东的净利润为正值且不属于扭亏为盈的情形

 2016 年度归属于上市公司股东的净利润变动
                                                                    110%      至                      160%
 幅度

 2016 年度归属于上市公司股东的净利润变动
                                                                   12,396     至                      15,347
 区间(万元)

 2015 年度归属于上市公司股东的净利润(万
                                                                                                          5,903
 元)

 业绩变动的原因说明                          系上海海能、杭州德沃仕财务数据合并及公司新能源汽车业务增长




五、以公允价值计量的金融资产

□ 适用 √ 不适用


六、违规对外担保情况

□ 适用 √ 不适用
公司报告期无违规对外担保情况。


七、控股股东及其关联方对上市公司的非经营性占用资金情况

□ 适用 √ 不适用
公司报告期不存在控股股东及其关联方对上市公司的非经营性占用资金。


八、报告期内接待调研、沟通、采访等活动登记表

□ 适用 √ 不适用
公司报告期内未发生接待调研、沟通、采访等活动。




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                      浙江方正电机股份有限公司 2016 年第三季度报告正文




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                                                          浙江方正电机股份有限公司



                                                          法定代表人:   张   敏

                                                           二 0 一六年十月二十六日




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