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方正电机(002196)公告正文

方正电机:2018年第三季度报告正文

公告日期 2018-10-26
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 2018 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:2018-083




      浙江方正电机股份有限公司 2018 年第三季度报告正文




1
浙江方正电机股份有限公司 2018 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 2018 年第三季度报告正文




                                        第二节 公司基本情况

一、主要会计数据和财务指标

公司是否需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)                             3,360,011,880.46                3,292,284,612.78                       2.06%

    归属于上市公司股东的净资产
                                             2,515,001,457.39                2,464,755,570.72                       2.04%
    (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)                    335,530,268.32                     0.19%          930,916,155.78              5.96%

    归属于上市公司股东的净利润
                                       12,424,534.33                -57.89%              56,915,118.18             -34.11%
    (元)

    归属于上市公司股东的扣除非
                                       12,021,804.53                -58.06%              52,480,297.31             -35.74%
    经常性损益的净利润(元)

    经营活动产生的现金流量净额
                                       31,046,835.31                294.84%             -49,336,271.92            -213.06%
    (元)

    基本每股收益(元/股)                      0.0283               -57.19%                     0.1285             -33.80%

    稀释每股收益(元/股)                      0.0278               -57.49%                     0.1265             -34.11%

    加权平均净资产收益率                       0.50%                 -0.72%                     2.29%               -1.33%

非经常性损益项目和金额
√ 适用 □ 不适用
                                                                                                                   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
                                                                             -1,015,398.32
    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
                                                                                 6,061,859.80
    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,
                                                                                         0.00
    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                                         -697,757.28



3
浙江方正电机股份有限公司 2018 年第三季度报告正文


    减:所得税影响额                                                     -86,116.67

    合计                                                               4,434,820.87              --

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                       33,378                                                         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       16.74%        74,263,167      66,657,375   质押               74,193,283

    青岛金石灏汭投     境内非国有
                                         7.05%        31,269,159      31,269,159   质押               20,846,080
    资有限公司         法人

    卓斌               境内自然人        6.74%        29,886,877      19,822,735

    翁伟文             境内自然人        3.48%        15,451,622      14,768,716   质押               11,365,156

    红塔资产-浙商银
    行-红塔资产鑫瑞
                       其他              2.08%         9,240,000               0
    1 号资产管理计
    划

    南华期货股份有
    限公司-南华期货
                       其他              2.00%         8,870,000               0
    立风 2 号资产管
    理计划

    徐正敏             境内自然人        0.76%         3,364,535       1,922,591

    樊青樟             境内自然人        0.56%         2,480,905               0

    中国人寿保险股
    份有限公司-传统
                       其他              0.53%         2,340,690               0
    -普通保险产品
    -005L-CT001 深

    冒晓建             境内自然人        0.52%         2,293,233       1,719,925


4
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                          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

    卓斌                                                              10,064,142   人民币普通股        10,064,142

    红塔资产-浙商银行-红塔资产鑫
                                                                       9,240,000   人民币普通股         9,240,000
    瑞 1 号资产管理计划

    南华期货股份有限公司-南华期
                                                                       8,870,000   人民币普通股         8,870,000
    货立风 2 号资产管理计划

    张敏                                                               7,605,792   人民币普通股         7,605,792

    樊青樟                                                             2,480,905   人民币普通股         2,480,905

    中国人寿保险股份有限公司-传
    统-普通保险产品-005L-CT001                                         2,340,690   人民币普通股         2,340,690
    深

    常峥                                                               2,048,486   人民币普通股         2,048,486

    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证                                         1,761,680   人民币普通股         1,761,680
    券投资基金

    万向创业投资股份有限公司                                           1,700,000   人民币普通股         1,700,000

    徐正敏                                                             1,441,911   人民币普通股         1,441,944

    上述股东关联关系或一致行动     本公司未知持股 5%以上股东或前 10 名股东之间是否存在关联关系或属于《上市公司
    的说明                         股东持股变动信息披露管理办法》规定的一致行动人。

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 2018 年第三季度报告正文




                                             第三节 重要事项

一、报告期主要财务数据、财务指标发生变动的情况及原因

√ 适用 □ 不适用
1、货币资金较期初数减少 54.89%,主要系本年汽车新能源业务货款回收以票据为主;
2、预付账款较期初数增加 145.68%,主要系本年大宗商品采购量增加,预付增加;
3、其他应收款较期初数增加 92.94%,主要系本年应收房屋设备租赁费增加;
4、其他流动资产较期初数增加 87.03%,主要系期末留抵税额增加;
5、在建工程较期初数增加 124.22%,主要系本年固定资产采购增加;
6、长期待摊费用较期初数增加 45.68%,主要系本年模具摊销增加;
7、短期借款较期初数增加 44.49%,主要系本年公司新能源业务增长,投入增加;
8、预收账款较期初数增加 44.97%,主要系本年预收货款增加;
9、应交税费较期初数减少 61.87%,主要系期末未交税费减少;
10、其他应付款较期初数增加 84.66%,主要系本年应付利息增加;
11、税金及附加较上年同期数减少 119.05%,主要系本期房产税及土地使用税退回;
12、财务费用较上年同期数增加 116.99%%,主要系本期银行借款利息支出增加;
13、资产减值损失较上年同期数增加 418.90%,主要系本年应收账款减值增加;
14、投资收益较上年同期数增加 905.03%,主要系本年对外投资收益增加。




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


               重要事项概述                            披露日期                   临时报告披露网站查询索引

                                                                             详见巨潮资讯网
    浙江方正电机股份有限公司关于非公                                         http://www.cninfo.com.cn《关于非公开
                                         2018 年 08 月 21 日
    开发行股票获得中国证监会核准批复                                         发行股票获得中国证监会核准批复的
                                                                             公告》公告号:2018-071


三、公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内超期未履行
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

    收购报告书或权益变动报告书中



6
浙江方正电机股份有限公司 2018 年第三季度报告正文


    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
                                                           标的股份上
                                                           市之日起满
                                 冒晓建;徐
                                                           24 个月且
                                 迪;徐正敏;   股份限售承                2015 年 12
    资产重组时所作承诺                                     2016 年经                 2018-12-29   正在履行
                                 朱玥奋;祝    诺                        月 29 日
                                                           审计的扣除
                                 轲卿;卓斌
                                                           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%。
                                                           本人同意本


7
浙江方正电机股份有限公司 2018 年第三季度报告正文


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


8
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           数的,首期
                                                           解锁 30%;
                                              股份限售承                2015 年 12
                                 曹冠晖                    第二期解                  2018-12-29   正在履行
                                              诺                        月 29 日
                                                           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


9
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   机股份总数
                                                   的百分之二
                                                   十五;本人


10
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           净利润不低
                                              股份限售承   于承诺利润   2015 年 12
                                 吴进山                                              2018-12-29   正在履行
                                              诺           数的,首期   月 29 日
                                                           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


11
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   机收购该部
                                                   分股份。前
                                                   述锁定期满


12
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           仕股权认购
                                                           的方正电机
                                                           股份自标的
                                                           股份上市之
                                 马文奇;吴    股份限售承                2015 年 12
                                                           日起满 12                 2016-12-29   履行完毕
                                 宝才         诺                        月 29 日
                                                           个月解锁
                                                           100%。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


13
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   三年,自标
                                                   的股份上市
                                                   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
                                                   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


14
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                 资管理有限                                          2018-12-29   正在履行
                                              诺           30%,满 36   月 29 日
                                 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
                                                           本单位以持
                                                           续拥有权益
                                 青岛金石灏
                                              股份限售承   时间超过     2015 年 12
                                 汭投资有限                                          2016-12-29   履行完毕
                                              诺           12 个月的    月 29 日
                                 公司
                                                           德沃仕股权
                                                           认购的方正
                                                           电机股份自

15
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           标的股份上
                                                           市之日起满
                                                           12 个月解
                                                           锁 100%。
                                                           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
                                 杭州杭开电   股份限售承   且经审计的   2015 年 12
                                                                                     2018-12-29   正在履行
                                 气有限公司   诺           2015 年扣    月 29 日
                                                           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


16
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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%。

                                                           募集配套资
                                                           金认购方作
                                                           出如下承
                                                           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
                                 青岛金石灏
                                                           方,本人/
                                 汭投资有限   股份限售承                 2015 年 12
                                                           本单位承                   2018-12-29   正在履行
                                 公司;翁伟    诺                         月 29 日
                                                           诺:本人/
                                 文;张敏
                                                           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


17
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           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
                                 翁伟文;张    募集资金使   条件生效的     2015 年 12
                                                                                       2018-12-29   正在履行
                                 敏           用承诺       股份认购协     月 29 日
                                                           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


18
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           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
                                 青岛金石灏
                                              募集资金使   法,不存在     2015 年 12
                                 汭投资有限                                            2018-12-29   正在履行
                                              用承诺       信托、代持     月 29 日
                                 公司
                                                           股、委托除
                                                           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
                                                           认购协议


19
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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)
                                                   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


20
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           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
                                              股份限售承   方式转让,     2014 年 09
                                 翁伟文                                                2017-09-26   履行完毕
                                              诺           包括但不限     月 26 日
                                                           于通过证券
                                                           市场公开转
                                                           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


21
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   孳息的股
                                                   份,亦遵照
                                                   上述锁定期
                                                   进行锁定。
                                                   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


22
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           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:“1、以
                                                           其持有的深
                                 常峥;陈德                 圳市高科润
                                 刚;冯松娣;                电子科技有
                                 龚宇;何东                 限公司股权
                                 飞;胡袁淼;                所认购而取
                                 金英杰;李                 得的方正电
                                 军;李凌;李                机股份,自
                                 艳宁;廉海                 该等股份上
                                 涛;罗汝洪;                市之日起三
                                 罗轶;皮引                 十六个月内
                                 群;任彦明;                将不以任何
                                              股份限售承                  2014 年 09
                                 邵世梅;沈                 方式转让,                  2017-09-26   履行完毕
                                              诺                          月 26 日
                                 士忠;唐永                 包括但不限
                                 强;王坚;王                于通过证券
                                 剑川;王瑞                 市场公开转
                                 红;吴军;吴                让或通过协
                                 甜香;吴正                 议方式转
                                 华;杨静;殷                让,也不由
                                 安辉;詹舵;                方正电机回
                                 张洪亮;张                 购(因深圳
                                 天福;赵璋                 市高科润电
                                 华                        子有限公司
                                                           未实现承诺
                                                           业绩的情形
                                                           除外)。该等
                                                           股份由于方


23
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           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
                                 胡宏;华鑫
                                                           按中国证监
                                 国际信托有   股份限售承                 2013 年 08
                                                           会的有关规                 2016-08-16   履行完毕
                                 限公司;钱    诺                         月 16 日
                                                           定,非公开
                                 进;张敏
                                                           发行股票上
                                                           市之日起三
                                                           十六个月
                                                           内,不转让
                                                           或者委托他


24
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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。

 首次公开发行或再融资时所作承
 诺

 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
                                                           的重大民事
                                                           诉讼或者仲
                                              关于同业竞
                                 冒晓建;徐                 裁。”2、“本
                                              争、关联交
                                 迪;徐正敏;                人/本单位       2015 年 12   2018 年 12
 其他对公司中小股东所作承诺                   易、资金占                                             正在履行
                                 朱玥奋;祝                 不存在因涉      月 29 日     月 29 日
                                              用方面的承
                                 轲卿;卓斌                 嫌与本次重
                                              诺
                                                           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


25
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   形,不存在
                                                   以代持、代
                                                   理、信托或


26
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   在法律纠纷
                                                   或潜在法律
                                                   纠纷。在本


27
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   制性条款。
                                                   本人保证不
                                                   存在任何正


28
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   目,亦不参
                                                   与拥有、管
                                                   理、控制、


29
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   任。”5、“本
                                                   人与方正电
                                                   机及其股东


30
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   本人及本人
                                                   投资或控制
                                                   的其他企业


31
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   上市规则》
                                                   等有关规定
                                                   履行信息披


32
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   或者立案侦
                                                   查且尚未结
                                                   案的情况。
                                                   最近三十六


33
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           假出资、延
                                                           期出资、抽
                                              关于同业竞   逃出资等违
                                 青岛金石灏   争、关联交   反其作为股
                                                                          2015 年 12   2018 年 12
                                 汭投资有限   易、资金占   东所应当承                               正在履行
                                                                          月 29 日     月 29 日
                                 公司         用方面的承   担的义务及
                                              诺           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。本
                                                           单位合法拥
                                                           有德沃仕股
                                                           权的完整权
                                                           利,该等股


34
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   行完毕之
                                                   前,本单位
                                                   保证不就本
                                                   单位所持德
                                                   沃仕的股权


35
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   位转让德沃
                                                   仕股权的诉
                                                   讼、仲裁或
                                                   纠纷。”2、
                                                   “本公司持
                                                   有上市公司


36
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           德沃仕相同
                                                           或相近的业
                                 杭州杭开电   关于同业竞   务或项目,
                                 气有限公     争、关联交   亦不参与拥
                                                                         2015 年 12   2018 年 12
                                 司;浙江德    易、资金占   有、管理、                              正在履行
                                                                         月 29 日     月 29 日
                                 石投资管理   用方面的承   控制、投资
                                 有限公司     诺           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
                                                           三方合资、
                                                           合作、联营
                                                           或采取租赁
                                                           经营、承包
                                                           经营、委托


37
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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
                                                           单位及主要
                                                           管理人员最
                                                           近五年内未
                                              关于同业竞   受过行政处
                                 曹冠晖;马    争、关联交   罚(与证券
                                                                           2015 年 12
                                 文奇;吴宝    易、资金占   市场明显无                   2018-12-29   正在履行
                                                                           月 29 日
                                 才;吴进山    用方面的承   关的除外)、
                                              诺           刑事处罚或
                                                           者涉及与经
                                                           济纠纷有关
                                                           的重大民事
                                                           诉讼或者仲
                                                           裁。”2、“本
                                                           人/本单位
                                                           不存在因涉


38
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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


39
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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


40
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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


41
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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


42
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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


43
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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,
                                                   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


44
浙江方正电机股份有限公司 2018 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/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
                                                   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


45
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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、


46
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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


47
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                         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。

                                                         "公司分红
                                                         政策及未来
                                                         三年(2018
                                                         年-2020
                                                         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
                                                         比例:根据
                                                         《公司章
                                 浙江方正电
                                                         程》的规定, 2017 年 09   2019 年 09
                                 机股份有限   分红承诺                                          正在履行
                                                         在公司现金    月 20 日    月 20 日
                                 公司
                                                         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
                                                         金方式累计
                                                         分配的利润
                                                         不少于最近


48
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                         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
                                                         (2018 年
                                                         -2020 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。

                                 浙江方正电              "公司分红
                                                                       2015 年 07   2017 年 07
                                 机股份有限   分红承诺   政策及未来                              履行完毕
                                                                       月 03 日     月 03 日
                                 公司                    三年(2015


49
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   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
                                                   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
                                                   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


50
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                         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。

                                                         公司分红政
                                                         策及未来三
                                                         年(2012 年
                                                         -2014 年)
                                                         的具体股东
                                 浙江方正电
                                                         回报规划:    2012 年 10   2014 年 10
                                 机股份有限   分红承诺                                           履行完毕
                                                         1、分红方     月 23 日     月 23 日
                                 公司
                                                         式:公司可
                                                         以采取现金
                                                         或者股票方
                                                         式分配股
                                                         利,可以进


51
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                   行中期现金
                                                   分红。2、公
                                                   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
                                                   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


52
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                           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。

                                                           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
                                              关于同业竞   构成直接或
                                              争、关联交   间接同业竞
                                                                         2007 年 12
                                 张敏         易、资金占   争的业务或                 9999-12-12   正在履行
                                                                         月 12 日
                                              用方面的承   活动; 2、
                                              诺           本人在今后
                                                           的任何时间
                                                           不会以任何
                                                           方式经营或
                                                           从事与浙江
                                                           方正电机股
                                                           份有限公司
                                                           构成直接或
                                                           间接竞争的


53
浙江方正电机股份有限公司 2018 年第三季度报告正文


                                                         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
                                                         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。

 承诺是否按时履行                是


四、对 2018 年度经营业绩的预计

2018 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

 2018 年度归属于上市公司股东的净利润变动
                                                               -50.00%      至                       -30.00%
 幅度

 2018 年度归属于上市公司股东的净利润变动
                                                                  6,614.8   至                       9,260.72
 区间(万元)

 2017 年度归属于上市公司股东的净利润(万
                                                                                                    13,229.59
 元)

                                           新能源业务增长不及预期,气体机业务下滑,研发费用增加。
 业绩变动的原因说明




54
浙江方正电机股份有限公司 2018 年第三季度报告正文


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、委托理财

□ 适用 √ 不适用
公司报告期不存在委托理财。


九、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。




55
浙江方正电机股份有限公司 2018 年第三季度报告正文




此页为《浙江方正电机股份有限公司 2018 年第三季度报告正文》之签字盖章页:




                                                   浙江方正电机股份有限公司

                                                    法定代表人:   张   敏

                                                      二 0 一八年十月二十六日




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