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恩捷股份(002812)公告正文

创新股份:2016年第三季度报告正文

公告日期 2016-10-28
股票简称:恩捷股份 股票代码:002812
云南创新新材料股份有限公司 2016 年第三季度报告正文




证券代码:002812                             证券简称:创新股份   公告编号:012




                            云南创新新材料股份有限公司


                               2016 年第三季度报告正文




1
云南创新新材料股份有限公司 2016 年第三季度报告正文



                                        第一节 重要提示


      公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真

实、准确、完整,不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和

连带的法律责任。

      所有董事均已出席了审议本次季报的董事会会议。

      公司负责人李晓明、主管会计工作负责人王晓璐及会计机构负责人(会计主

管人员)刘连华声明:保证季度报告中财务报表的真实、准确、完整。




2
云南创新新材料股份有限公司 2016 年第三季度报告正文




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

一、主要会计数据和财务指标

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

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

    总资产(元)                                1,819,058,979.23                1,258,525,810.34                      44.54%

    归属于上市公司股东的净资产
                                                1,517,590,250.93                    739,380,885.86                   105.25%
    (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)                    294,049,461.17                      10.13%           805,021,840.94              0.21%

    归属于上市公司股东的净利润
                                       34,956,601.06                        4.59%          110,442,365.07             14.72%
    (元)

    归属于上市公司股东的扣除非
                                       33,143,101.47                      19.09%           101,422,849.69             15.75%
    经常性损益的净利润(元)

    经营活动产生的现金流量净额
                                           --                        --                     31,728,827.42            -61.70%
    (元)

    基本每股收益(元/股)                           0.32                   -3.03%                    1.07             11.46%

    稀释每股收益(元/股)                           0.32                   -3.03%                    1.07             11.46%

    加权平均净资产收益率                          3.68%                   -26.29%                  13.93%              2.88%

                                                                                                                      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
                                                                                     544,977.15
    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
                                                                                10,745,884.31
    统一标准定额或定量享受的政府补助除外)

    委托他人投资或管理资产的损益                                                      25,596.05

    除上述各项之外的其他营业外收入和支出                                            -705,262.94

    减:所得税影响额                                                                1,591,679.19

    合计                                                                            9,019,515.38               --

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


3
云南创新新材料股份有限公司 2016 年第三季度报告正文


□ 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                           40,014                                                        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

    玉溪合益投资      境内非国有法
                                          27.58%         36,929,000       36,929,000
    有限公司          人

    Paul Xiaoming
                      境外自然人          14.61%         19,558,500       19,558,500
    Lee

    上海国和现代
    服务业股权投      境内非国有法
                                           9.00%         12,048,000       12,048,000
    资基金合伙企      人
    业(有限合伙)

    Sherry Lee        境外自然人           5.97%          7,998,500        7,998,500

    玉溪合力投资      境内非国有法
                                           3.73%          4,998,000        4,998,000
    有限公司          人

    张勇              境内自然人           2.99%          4,000,000        4,000,000

    丁泳              境内自然人           2.99%          4,000,000        4,000,000

    上海绿新包装
                      境内非国有法
    材料科技股份                           2.54%          3,400,000        3,400,000
                      人
    有限公司

    吴耀荣            境内自然人           1.49%          2,000,000        2,000,000

    田友珊            境内自然人           1.35%          1,802,000        1,802,000

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

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

    何雪萍                                                                  805,642

    吴天然                                                                  405,975

    谭澍坚                                                                  231,000



4
云南创新新材料股份有限公司 2016 年第三季度报告正文


    许丽华                                                           150,000

    瞿东胜                                                           140,060

    汪海涛                                                           135,846

    陈新华                                                           120,000

    奚劼                                                              77,005

    楼春仙                                                            67,900

    吴吴                                                              65,986

    上述股东关联关系或一致行动
                                 公司未获知上述股东之间是否存在关联关系或一致行动关系。
    的说明

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
云南创新新材料股份有限公司 2016 年第三季度报告正文




                                        第三节 重要事项

一、报告期主要会计报表项目、财务指标发生变动的情况及原因

√ 适用 □ 不适用

                                                                                                    1   2   货 2    1
                                                                                                    4   8   币存2   6
                                                                                                    8   3   资货4   8
                                                                                                    ,   .   金 ,    ,
                                                                                                    4   4   增 5    7
                                                                                                    4   1   加 9    3
                                                                                                    4   %   , 8    1
                                                                                                    ,       主 ,    ,
                                                                                                    1       要 5    9
                                                                                                    5       系 5    5
                                                                                                    5       由 9    2
                                                                                                    .       于 .    .
                                                                                                    3       募 5    7
                                                                                                    2       集 5    4
                                                                                                            资
                                                                                                            金
                                                                                                            到
                                  期末数       期初数                                    569,146,
          资产负债表项目                                变动幅度   变动原因                                 账
                                  (元)       (元)                         货币资金     656.12
                                                                                                            。




    股改承诺



6
云南创新新材料股份有限公司 2016 年第三季度报告正文


    收购报告书或权益变动报告书中
    所作承诺

    资产重组时所作承诺

                                                             1、本公司控
                                                             股股东合益
                                                             投资承诺:
                                                             自发行人的
                                                             股票上市之
                                                             日起 36 个
                                                             月内,不转
                                                             让或委托他
                                                             人管理本次
                                                             发行前已持                 股东合益投
                                                             有的发行人                 资、李晓明
                                                             股份,也不                 家族、合力
                                                             由发行人回                 投资、李子
                                                             购该部分股                 华、许铭的
                                                             份。如在锁                 承诺期限为
                                                             定期满后两                 2016 年 9 月
                                                             年内减持所                 14 日至
                                                             持发行人股                 2019 年 9 月
                                                关于所持股
                                                             份的,则减                 14 日;股东
                                                份的流通限                                             尚在承诺
    首次公开发行或再融资时所作承   公司股东及                持价格(如    2016 年 09   上海国、丁
                                                制、对所持                                             履行期,严
    诺                             实际控制人                果因派息、    月 14 日     泳、张勇、
                                                股份自愿锁                                             格履行。
                                                             送股、资本                 上海绿新、
                                                定的承诺
                                                             公积转增股                 吴耀荣、田
                                                             本等原因进                 友珊、九和
                                                             行除权、除                 天诚、张虹、
                                                             息的,按有                 张明等的承
                                                             关规定进行                 诺期限为
                                                             相应调整,                 2016 年 9 月
                                                             下同)不低                 14 日至
                                                             于发行人首                 2017 年 9 月
                                                             次公开发行                 14 日。
                                                             股票的发行
                                                             价。发行人
                                                             上市后 6 个
                                                             月内,如其
                                                             股票连续
                                                             20 个交易
                                                             日的收盘价
                                                             (如有除
                                                             权、除息等



7
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     事项,按有
                                                     关规定进行
                                                     相应调整,
                                                     下同)均低
                                                     于发行价,
                                                     或者上市后
                                                     6 个月期末
                                                     收盘价低于
                                                     发行价,本
                                                     公司持有发
                                                     行人股票的
                                                     锁定期限自
                                                     动延长 6 个
                                                     月。如果未
                                                     履行持股意
                                                     向及减持意
                                                     向的承诺事
                                                     项,本公司
                                                     将在所承诺
                                                     的锁定期后
                                                     延长锁定期
                                                     6 个月。2、
                                                     实际控制人
                                                     李晓明家族
                                                     承诺:自发
                                                     行人的股票
                                                     上市之日起
                                                     36 个月内,
                                                     不转让或委
                                                     托他人管理
                                                     本次发行前
                                                     已持有的发
                                                     行人股份,
                                                     也不由发行
                                                     人回购该部
                                                     分股份。在
                                                     上述承诺的
                                                     限售期届满
                                                     后,在李晓
                                                     明、李晓华、
                                                     马燕任公司
                                                     董事、高级
                                                     管理人员期
                                                     间,每年转


8
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     让发行人股
                                                     份数量不超
                                                     过其所持有
                                                     的发行人股
                                                     份总数的
                                                     25%,在上
                                                     述人员离职
                                                     后 6 个月
                                                     内,不转让
                                                     所持有的发
                                                     行人股份。
                                                     如在锁定期
                                                     满后两年内
                                                     减持所持发
                                                     行人股份
                                                     的,则减持
                                                     价格不低于
                                                     发行人首次
                                                     公开发行股
                                                     票的发行
                                                     价。发行人
                                                     上市后 6 个
                                                     月内,如其
                                                     股票连续
                                                     20 个交易
                                                     日的收盘价
                                                     均低于发行
                                                     价,或者上
                                                     市后 6 个月
                                                     期末收盘价
                                                     低于发行
                                                     价,本家族
                                                     持有发行人
                                                     股票的锁定
                                                     期限自动延
                                                     长 6 个月。
                                                     如果未履行
                                                     持股意向及
                                                     减持意向的
                                                     承诺事项,
                                                     本家族将在
                                                     所承诺的锁
                                                     定期后延长
                                                     锁定期 6 个


9
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     月。不因职
                                                     务变更或者
                                                     离职,影响
                                                     承诺的效
                                                     力,本家族
                                                     仍将继续履
                                                     行上述承
                                                     诺。3、本公
                                                     司股东上海
                                                     国和承诺:
                                                     自发行人股
                                                     票上市之日
                                                     起 12 个月
                                                     内,不转让
                                                     或委托他人
                                                     管理本次发
                                                     行前已持有
                                                     的发行人股
                                                     份,也不由
                                                     发行人回购
                                                     该部分股
                                                     份。在承诺
                                                     的持股锁定
                                                     期满后两年
                                                     内,计划以
                                                     不低于每股
                                                     净资产的价
                                                     格减持完全
                                                     部发行人股
                                                     票。4、本公
                                                     司股东合力
                                                     投资承诺:
                                                     自发行人的
                                                     股票上市之
                                                     日起 36 个
                                                     月内,不转
                                                     让或委托他
                                                     人管理本次
                                                     发行前已持
                                                     有的发行人
                                                     股份,也不
                                                     由发行人回
                                                     购该部分股
                                                     份。5、本公


10
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     司股东李子
                                                     华承诺:自
                                                     发行人的股
                                                     票上市之日
                                                     起 36 个月
                                                     内,不转让
                                                     或委托他人
                                                     管理本次发
                                                     行前已持有
                                                     的发行人股
                                                     份,也不由
                                                     发行人回购
                                                     该部分股
                                                     份。6、本公
                                                     司股东许铭
                                                     承诺:自发
                                                     行人的股票
                                                     上市之日起
                                                     36 个月内,
                                                     不转让或者
                                                     委托他人管
                                                     理本次发行
                                                     前已持有的
                                                     发行人股
                                                     份,也不由
                                                     发行人回购
                                                     该部分股
                                                     份。在上述
                                                     承诺的限售
                                                     期届满后,
                                                     在任发行人
                                                     董事期间,
                                                     每年转让发
                                                     行人股份不
                                                     超过所持有
                                                     的发行人股
                                                     份总数的
                                                     25%;在离
                                                     职后 6 个月
                                                     内,不转让
                                                     所持有的发
                                                     行人股份。
                                                     如在锁定期
                                                     满后两年内


11
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     减持所持发
                                                     行人股份
                                                     的,则减持
                                                     价格不低于
                                                     发行人首次
                                                     公开发行股
                                                     票的发行
                                                     价;发行人
                                                     上市后 6 个
                                                     月内,如其
                                                     股票连续
                                                     20 个交易
                                                     日的收盘价
                                                     均低于发行
                                                     价,或者上
                                                     市后 6 个月
                                                     期末收盘价
                                                     低于发行
                                                     价,本公司
                                                     持有发行人
                                                     股票的锁定
                                                     期限自动延
                                                     长 6 个月。
                                                     本人不因职
                                                     务变更或者
                                                     离职,影响
                                                     承诺的效
                                                     力,本人仍
                                                     将继续履行
                                                     上述承诺。
                                                     7、本公司股
                                                     东丁泳、张
                                                     勇、上海绿
                                                     新、吴耀荣、
                                                     田友珊、九
                                                     和天诚、张
                                                     虹、张明等
                                                     承诺:自发
                                                     行人的股票
                                                     上市之日起
                                                     12 个月内,
                                                     不转让或委
                                                     托他人管理
                                                     本次发行前


12
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           已持有的发
                                                           行人股份,
                                                           也不由发行
                                                           人回购该部
                                                           分股份。

                                                           1、本公司董
                                                           事、高级管
                                                           理人员李晓
                                                           明、李晓华、
                                                           许铭、马伟
                                                           华、王晓璐
                                                           承诺:自发
                                                           行人股票上
                                                           市之日起
                                                           36 个月内,
                                                           不转让或者
                                                           委托他人管
                                                           理本次发行
                                                           前直接或间
                                                           接持有的发
                                                           行人股份,
                                                           也不由发行
                                              关于所持股   人回购该部
                                                                                       2016 年 9 月
                                 公司董事、   份的流通限   分股份。在                                 尚在承诺
                                                                          2016 年 09   14 日至
                                 监事、高级   制、对所持   上述承诺的                                 履行期,严
                                                                          月 14 日     2019 年 9 月
                                 管理人员     股份自愿锁   限售期届满                                 格履行。
                                                                                       14 日
                                              定的承诺     后,在任发
                                                           行人董事、
                                                           高级管理人
                                                           员期间,每
                                                           年转让直接
                                                           或间接持有
                                                           的发行人股
                                                           份数量不超
                                                           过所持有的
                                                           发行人股份
                                                           数量总数的
                                                           25%;在离
                                                           职后 6 个月
                                                           内,不转让
                                                           直接或间接
                                                           持有的发行
                                                           人股份。如
                                                           在锁定期满


13
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     后两年内减
                                                     持所持发行
                                                     人股份的,
                                                     则减持价格
                                                     不低于发行
                                                     人首次公开
                                                     发行股票的
                                                     发行价;发
                                                     行人上市后
                                                     6 个月内,
                                                     如其股票连
                                                     续 20 个交
                                                     易日的收盘
                                                     价均低于发
                                                     行价,或者
                                                     上市后 6 个
                                                     月期末收盘
                                                     价低于发行
                                                     价,本公司
                                                     持有发行人
                                                     股票的锁定
                                                     期限自动延
                                                     长 6 个月。
                                                     本人不因职
                                                     务变更或者
                                                     离职,影响
                                                     承诺的效
                                                     力,本人仍
                                                     将继续履行
                                                     上述承诺。
                                                     2、本公司监
                                                     事黄江岚、
                                                     杨跃、陈涛
                                                     承诺:自发
                                                     行人股票上
                                                     市之日起
                                                     36 个月内,
                                                     不转让或者
                                                     委托他人管
                                                     理本次发行
                                                     前直接或间
                                                     接持有的发
                                                     行人股份,
                                                     也不由发行


14
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           人回购该部
                                                           分股份;在
                                                           上述承诺的
                                                           限售期届满
                                                           后,在任发
                                                           行人监事期
                                                           间,每年转
                                                           让直接或间
                                                           接持有的发
                                                           行人股份数
                                                           量不超过所
                                                           持有的发行
                                                           人股份数量
                                                           总数的
                                                           25%;在离
                                                           职后 6 个月
                                                           内,不转让
                                                           直接或间接
                                                           持有的发行
                                                           人股份。本
                                                           人不因职务
                                                           变更或者离
                                                           职,影响承
                                                           诺的效力,
                                                           本人仍将继
                                                           续履行上述
                                                           承诺。

                                                           (一)公司
                                                           股价稳定的
                                                           承诺:公司
                                                           上市后 3 年
                                                           内股票收盘
                                                           价连续 20
                                 公司、控股                个交易日低
                                                                                      2016 年 9 月
                                 股东及实际   关于履行稳   于公司最近                                尚在承诺
                                                                         2016 年 09   14 日至
                                 控制人、董   定股价的承   一期经审计                                履行期,严
                                                                         月 14 日     2019 年 9 月
                                 事和高级管   诺           的每股净资                                格履行。
                                                                                      14 日
                                 理人员                    产,且同时
                                                           满足监管机
                                                           构对于回
                                                           购、增持公
                                                           司股份等行
                                                           为的规定,
                                                           则触发稳定


15
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     股价义务。
                                                     (二)公司
                                                     控股股东及
                                                     实际控制人
                                                     关于履行稳
                                                     定股价承
                                                     诺:1、于触
                                                     发稳定股价
                                                     义务之日起
                                                     10 个交易
                                                     日内,控股
                                                     股东及实际
                                                     控制人应通
                                                     过增持公司
                                                     股份的方式
                                                     以稳定发行
                                                     人股价,并
                                                     向公司送达
                                                     增持发行人
                                                     股票书面通
                                                     知(以下简
                                                     称“增持通
                                                     知书”),增
                                                     持通知书应
                                                     包括增持股
                                                     份数量、增
                                                     持价格确定
                                                     方式、增持
                                                     期限、增持
                                                     目标及其他
                                                     有关增持的
                                                     内容。控股
                                                     股东及实际
                                                     控制人应于
                                                     触发稳定股
                                                     价义务之日
                                                     起 3 个月内
                                                     以不高于人
                                                     民币 2,000
                                                     万元资金增
                                                     持股份,但
                                                     在上述期间
                                                     如股票收盘
                                                     价连续 20


16
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     个交易日高
                                                     于最近一期
                                                     经审计的每
                                                     股净资产,
                                                     则控股股东
                                                     及实际控制
                                                     人可中止实
                                                     施增持计
                                                     划。2、在履
                                                     行上述增持
                                                     或回购义务
                                                     时,应按照
                                                     深圳证券交
                                                     易所股票上
                                                     市规则及其
                                                     他适用的监
                                                     管规定履行
                                                     其相应的信
                                                     息披露义
                                                     务。3、在履
                                                     行上述增持
                                                     或回购义务
                                                     时,如根据
                                                     法律法规或
                                                     中国证监会
                                                     以及深圳证
                                                     券交易所的
                                                     有关规定,
                                                     需要顺延或
                                                     调整履行增
                                                     持或回购义
                                                     务的时点
                                                     的,依法顺
                                                     延或调整。
                                                     (三)公司
                                                     董事和高级
                                                     管理人员关
                                                     于履行稳定
                                                     股价承诺:
                                                     1、公司董事
                                                     (不包括独
                                                     立董事,下
                                                     同)、高级管
                                                     理人员应于


17
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     触发稳定股
                                                     价义务之日
                                                     起 10 个交
                                                     易日内(如
                                                     期间存在 N
                                                     个交易日限
                                                     制董事、高
                                                     级管理人员
                                                     买卖股票,
                                                     则董事、高
                                                     级管理人员
                                                     应于触发稳
                                                     定股价义务
                                                     之日起
                                                     10+N 个交
                                                     易日内),向
                                                     公司送达增
                                                     持通知书,
                                                     增持通知书
                                                     应包括增持
                                                     股份数量、
                                                     增持价格确
                                                     定方式、增
                                                     持期限、增
                                                     持目标及其
                                                     他有关增持
                                                     的内容,公
                                                     司董事、高
                                                     级管理人员
                                                     应于触发稳
                                                     定股价义务
                                                     之日起 3 个
                                                     月内增持公
                                                     司股份,其
                                                     累计增持资
                                                     金金额不高
                                                     于其上一年
                                                     度在发行人
                                                     领取的薪酬
                                                     总额及公司
                                                     对其现金股
                                                     利分配总额
                                                     之和的
                                                     30%。如上


18
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           述期间公司
                                                           股票收盘价
                                                           连续 20 个
                                                           交易日高于
                                                           最近一期经
                                                           审计的每股
                                                           净资产,则
                                                           董事、高级
                                                           管理人员可
                                                           中止实施增
                                                           持计划。2、
                                                           公司董事、
                                                           高级管理人
                                                           员在履行上
                                                           述增持或回
                                                           购义务时,
                                                           应按照深圳
                                                           证券交易所
                                                           股票上市规
                                                           则及其他适
                                                           用的监管规
                                                           定履行其相
                                                           应的信息披
                                                           露义务。3、
                                                           公司董事、
                                                           高级管理人
                                                           员在履行上
                                                           述增持或回
                                                           购义务时,
                                                           如根据法律
                                                           法规或中国
                                                           证监会以及
                                                           深圳证券交
                                                           易所的有关
                                                           规定,需要
                                                           顺延或调整
                                                           履行增持或
                                                           回购义务的
                                                           时点的,依
                                                           法顺延或调
                                                           整。

                                 公司、控股   关于首次公   (一)公司
                                                                         2016 年 09
                                 股东及实际   开发行股票   承诺 1、本                 长期有效   严格履行
                                                                         月 14 日
                                 控制人、董   相关文件真   公司首次公


19
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                 事、监事、   实性、准确   开发行招股
                                 高级管理人   性、完整性   说明书不存
                                 员           的承诺       在虚假记
                                                           载、误导性
                                                           陈述或者重
                                                           大遗漏。2、
                                                           若有权部门
                                                           认定:本公
                                                           司首次公开
                                                           发行招股说
                                                           明书有虚假
                                                           记载、误导
                                                           性陈述或者
                                                           重大遗漏,
                                                           对判断其是
                                                           否符合法律
                                                           规定的发行
                                                           条件构成重
                                                           大、实质影
                                                           响的,本公
                                                           司将依法回
                                                           购首次公开
                                                           发行的全部
                                                           新股。3、在
                                                           有权部门认
                                                           定本公司招
                                                           股说明书存
                                                           在对判断本
                                                           公司是否符
                                                           合法律规定
                                                           的发行条件
                                                           构成重大、
                                                           实质影响的
                                                           虚假记载、
                                                           误导性陈述
                                                           或者重大遗
                                                           漏后的 10
                                                           个交易日
                                                           内,本公司
                                                           董事会制订
                                                           股份回购方
                                                           案并提交股
                                                           东大会审议
                                                           批准,并经


20
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     相关主管部
                                                     门批准或核
                                                     准或备案
                                                     (若需要)
                                                     后,启动股
                                                     份回购措
                                                     施,将依法
                                                     回购首次公
                                                     开发行的全
                                                     部新股;回
                                                     购价格(如
                                                     果因派发现
                                                     金红利、送
                                                     股、转增股
                                                     本、增发新
                                                     股等原因进
                                                     行除权、除
                                                     息的,须按
                                                     照深圳证券
                                                     交易所的有
                                                     关规定作复
                                                     权处理,下
                                                     同)根据相
                                                     关法律法规
                                                     确定,且不
                                                     低于首次公
                                                     开发行股份
                                                     的发行价
                                                     格。4、本公
                                                     司首次公开
                                                     发行招股说
                                                     明书有虚假
                                                     记载、误导
                                                     性陈述或者
                                                     重大遗漏,
                                                     致使投资者
                                                     在证券交易
                                                     中遭受损失
                                                     的,本公司
                                                     将依法赔偿
                                                     投资者损
                                                     失。(二)公
                                                     司控股股东
                                                     及实际控制


21
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     人承诺 1、
                                                     发行人首次
                                                     公开发行招
                                                     股说明书不
                                                     存在虚假记
                                                     载、误导性
                                                     陈述或者重
                                                     大遗漏。2、
                                                     若有权部门
                                                     认定发行人
                                                     首次公开发
                                                     行招股说明
                                                     书有虚假记
                                                     载、误导性
                                                     陈述或者重
                                                     大遗漏,对
                                                     判断其是否
                                                     符合法律规
                                                     定的发行条
                                                     件构成重
                                                     大、实质影
                                                     响的,合益
                                                     投资及本家
                                                     族将依法购
                                                     回已转让的
                                                     原限售股
                                                     份;合益投
                                                     资及本家族
                                                     将在上述事
                                                     项认定后
                                                     10 个交易
                                                     日内制订股
                                                     份购回方案
                                                     并予以公告
                                                     购回事项,
                                                     采用二级市
                                                     场集中竞价
                                                     交易、大宗
                                                     交易、协议
                                                     转让、要约
                                                     收购等方式
                                                     依法购回首
                                                     次公开发行
                                                     股票时发行


22
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                            人股东发售
                                                            的原限售股
                                                            份。购回价
                                                            格依据协商
                                                            价格或二级
                                                            市场价格确
                                                            定,但是不
                                                            低于原转让
                                                            价格及依据
                                                            相关法律法
                                                            规及监管规
                                                            则确定的价
                                                            格。若合益
                                                            投资及本家
                                                            族购回已转
                                                            让的原限售
                                                            股份触发要
                                                            约收购条件
                                                            的,合益投
                                                            资及本家族
                                                            将依法履行
                                                            要约收购程
                                                            序,并履行
                                                            相应信息披
                                                            露义务。3、
                                                            若发行人首
                                                            次公开发行
                                                            招股说明书
                                                            有虚假记
                                                            载、误导性
                                                            陈述或者重
                                                            大遗漏,致
                                                            使投资者在
                                                            证券交易中
                                                            遭受损失的
                                                            合益投资及
                                                            本家族将依
                                                            法赔偿投资
                                                            者损失。

                                 控股股东及                 (一)控股
                                 实际控制                   股东及实际                            尚在承诺
                                               持股意向及                 2016 年 09
                                 人、持有 5%                控制人持股                 持股期间   履行期,严
                                               减持意向                   月 14 日
                                 以上股份的                 意向及减持                            格履行。
                                 股东上海国                 意向的承诺


23
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                 和                  1、合益投资
                                                     及本家族作
                                                     为发行人的
                                                     控股股东及
                                                     实际控制
                                                     人,严格按
                                                     照法律、法
                                                     规、规范性
                                                     文件规定及
                                                     监管要求持
                                                     有发行人的
                                                     股份,遵守
                                                     股份锁定期
                                                     限;锁定期
                                                     届满后,合
                                                     益投资及本
                                                     家族减持所
                                                     持有的发行
                                                     人股份应符
                                                     合相关法
                                                     律、法规、
                                                     规范性文件
                                                     及证券交易
                                                     所规则要
                                                     求。2、合益
                                                     投资及本家
                                                     族在发行人
                                                     上市后 3 年
                                                     内不减持直
                                                     接持有的发
                                                     行人股份;
                                                     发行人上市
                                                     满 3 年后,
                                                     合益投资及
                                                     本家族每年
                                                     转让直接或
                                                     间接持有的
                                                     发行人股份
                                                     不超过其所
                                                     直接或间接
                                                     持有发行人
                                                     股份总数的
                                                     25%。3、在
                                                     合益投资及


24
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     本家族承诺
                                                     的持股锁定
                                                     期满后两年
                                                     内,以不低
                                                     于发行人首
                                                     次公开发行
                                                     股票发行价
                                                     的价格减持
                                                     发行人股份
                                                     (若发生除
                                                     权除息事项
                                                     的,发行价
                                                     应相应作除
                                                     权除息处
                                                     理);持股锁
                                                     定期满后的
                                                     两年内,合
                                                     益投资及本
                                                     家族减持的
                                                     股份总数不
                                                     超过本次发
                                                     行前合益投
                                                     资及本家族
                                                     直接或间接
                                                     持有的全部
                                                     股份的
                                                     30%。4、在
                                                     合益投资及
                                                     本家族承诺
                                                     的持股锁定
                                                     期满后两年
                                                     内,合益投
                                                     资及本家族
                                                     通过二级市
                                                     场减持发行
                                                     人股份的价
                                                     格在满足合
                                                     益投资及本
                                                     家族已作出
                                                     的各项承诺
                                                     的前提下根
                                                     据减持当时
                                                     的市场价格
                                                     而定,具体


25
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     减持方案将
                                                     根据届时市
                                                     场情况拟
                                                     定。5、合益
                                                     投资及本家
                                                     族承诺将在
                                                     实施减持
                                                     时,提前 3
                                                     个交易日通
                                                     过发行人进
                                                     行公告,并
                                                     在 6 个月内
                                                     完成,同时
                                                     按照证券交
                                                     易所的规
                                                     则、准确、
                                                     完整地履行
                                                     信息披露义
                                                     务。(二)上
                                                     海国和持股
                                                     意向及减持
                                                     意向的承诺
                                                     1、在本企业
                                                     承诺的持股
                                                     锁定期满后
                                                     两年内,拟
                                                     通过包括但
                                                     不限于二级
                                                     市场集中竞
                                                     价交易、大
                                                     宗交易、协
                                                     议转让等方
                                                     式计划减持
                                                     完全部发行
                                                     人股票,减
                                                     持价格将不
                                                     低于每股净
                                                     资产的价
                                                     格,具体的
                                                     减持价格在
                                                     满足本企业
                                                     已作出的各
                                                     项承诺的前
                                                     提下根据减


26
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     持当时的市
                                                     场价格而
                                                     定;具体减
                                                     持方案将根
                                                     据届时市场
                                                     情况以及本
                                                     企业的经营
                                                     状况拟定。
                                                     2、本企业承
                                                     诺将在实施
                                                     减持时,提
                                                     前三个交易
                                                     日通过发行
                                                     人进行公
                                                     告,同时按
                                                     照证券交易
                                                     所的规则准
                                                     确、完整地
                                                     履行信息披
                                                     露义务,但
                                                     本企业持有
                                                     发行人股份
                                                     低于 5%以
                                                     下时除外。
                                                     3、本企业将
                                                     严格履行上
                                                     述承诺事
                                                     项,并承诺
                                                     将遵守如下
                                                     约束措施:
                                                     (1)如果未
                                                     履行上述承
                                                     诺事项,本
                                                     企业应获得
                                                     的发行人现
                                                     金分红由发
                                                     行人扣留,
                                                     归发行人所
                                                     有;(2)如
                                                     果未履行上
                                                     述承诺事
                                                     项,将根据
                                                     法律法规的
                                                     规定承担相


27
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           应的法律责
                                                           任。

                                                           (一)发行
                                                           人关于失信
                                                           补救措施的
                                                           承诺 1、如
                                                           本公司没有
                                                           采取承诺的
                                                           稳定股价的
                                                           具体措施,
                                                           公司承诺接
                                                           受以下约束
                                                           措施:(1)
                                                           本公司将在
                                                           公司股东大
                                                           会及中国证
                                                           监会指定报
                                                           刊上公开说
                                                           明未采取上
                                                           述稳定股价
                                 公司及其控                措施的具体
                                 股股东、实                原因并向公
                                              关于失信补
                                 际控制人、                司股东和社     2016 年 09
                                              救措施的承                               长期有效   严格履行
                                 董事、监事                会公众投资     月 14 日
                                              诺
                                 及高级管理                者道歉; 2)
                                 人员                      如果未履行
                                                           承诺事项,
                                                           致使投资者
                                                           在证券交易
                                                           中遭受损失
                                                           的,在被中
                                                           国证监会、
                                                           证券交易所
                                                           或司法机关
                                                           认定后,本
                                                           公司将依法
                                                           赔偿投资者
                                                           损失;(3)
                                                           股价稳定的
                                                           承诺为本公
                                                           司真实意思
                                                           表示,相关
                                                           责任主体自
                                                           愿接受监管


28
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     机构、自律
                                                     组织及社会
                                                     公众的监
                                                     督,若违反
                                                     承诺相关责
                                                     任主体将依
                                                     法承担相应
                                                     责任。2、如
                                                     控股股东及
                                                     实际控制人
                                                     已向公司送
                                                     达增持通知
                                                     书但未能实
                                                     际履行增持
                                                     义务的,则
                                                     公司有权将
                                                     相等金额的
                                                     应付控股股
                                                     东及实际控
                                                     制人现金分
                                                     红予以扣
                                                     留,直至控
                                                     股股东及实
                                                     际控制人履
                                                     行其增持义
                                                     务。3、如公
                                                     司董事、高
                                                     级管理人员
                                                     未能履行其
                                                     增持义务
                                                     的,则公司
                                                     有权将应付
                                                     董事、高级
                                                     管理人员薪
                                                     酬及现金分
                                                     红予以扣
                                                     留,直至董
                                                     事、高级管
                                                     理人员履行
                                                     其增持义
                                                     务。4、若本
                                                     次公开发行
                                                     股票的招股
                                                     说明书存在


29
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     有虚假记
                                                     载、误导性
                                                     陈述或者重
                                                     大遗漏的承
                                                     诺事项的,
                                                     则本公司将
                                                     及时进行公
                                                     告,并且本
                                                     公司将在定
                                                     期报告中披
                                                     露本公司、
                                                     本公司控股
                                                     股东、实际
                                                     控制人以及
                                                     本公司董
                                                     事、监事及
                                                     高级管理人
                                                     员关于信息
                                                     披露违规而
                                                     回购股份、
                                                     收购股份以
                                                     及赔偿损失
                                                     等承诺的履
                                                     行情况以及
                                                     未履行承诺
                                                     时的补救及
                                                     改正情况。
                                                     5、如因相关
                                                     法律法规、
                                                     政策变化、
                                                     自然灾害及
                                                     其他不可抗
                                                     力等本公司
                                                     无法控制的
                                                     客观原因导
                                                     致本公司承
                                                     诺未能履
                                                     行、确已无
                                                     法履行或无
                                                     法按期履行
                                                     的,本公司
                                                     将采取以下
                                                     措施:(1)
                                                     及时、充分


30
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     披露本公司
                                                     承诺未能履
                                                     行、无法履
                                                     行或无法按
                                                     期履行的具
                                                     体原因; 2)
                                                     向本公司的
                                                     投资者提出
                                                     补充承诺或
                                                     替代承诺
                                                     (相关承诺
                                                     需按法律、
                                                     法规、公司
                                                     章程的规定
                                                     履行相关审
                                                     批程序),以
                                                     尽可能保护
                                                     投资者的权
                                                     益。(二)控
                                                     股股东、实
                                                     际控制人关
                                                     于失信补救
                                                     措施的承诺
                                                     1、如控股股
                                                     东、实际控
                                                     制人已向发
                                                     行人送达增
                                                     持通知书但
                                                     未能实际履
                                                     行增持义务
                                                     的,则发行
                                                     人有权将相
                                                     等金额的应
                                                     付控股股
                                                     东、实际控
                                                     制人的现金
                                                     分红予以扣
                                                     留,直至控
                                                     股股东、实
                                                     际控制人履
                                                     行其增持义
                                                     务。2、控股
                                                     股东、实际
                                                     控制人已经


31
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     签署了关于
                                                     本次公开发
                                                     行股票的招
                                                     股说明书虚
                                                     假记载、误
                                                     导性陈述或
                                                     者重大遗漏
                                                     承诺函,控
                                                     股股东、实
                                                     际控制人以
                                                     当年度以及
                                                     以后年度发
                                                     行人利润分
                                                     配方案中控
                                                     股股东、实
                                                     际控制人享
                                                     有的利润分
                                                     配作为上述
                                                     承诺的履约
                                                     担保,且若
                                                     控股股东、
                                                     实际控制人
                                                     未履行上述
                                                     收购或赔偿
                                                     义务,则在
                                                     履行上述承
                                                     诺前,控股
                                                     股东、实际
                                                     控制人所持
                                                     的发行人股
                                                     份不得转
                                                     让。3、控股
                                                     股东、实际
                                                     控制人已经
                                                     签署了控股
                                                     股东及实际
                                                     控制人持股
                                                     意向及减持
                                                     意向的承
                                                     诺,控股股
                                                     东、实际控
                                                     制人将严格
                                                     履行上述承
                                                     诺事项,并


32
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     承诺将遵守
                                                     如下约束措
                                                     施:(1)如
                                                     果未履行上
                                                     述承诺事
                                                     项,控股股
                                                     东、实际控
                                                     制人应获得
                                                     的发行人现
                                                     金分红由发
                                                     行人扣留,
                                                     归发行人所
                                                     有;(2)如
                                                     果未履行上
                                                     述承诺事
                                                     项,控股股
                                                     东、实际控
                                                     制人将其所
                                                     承诺的锁定
                                                     期后延长锁
                                                     定期 6 个
                                                     月;(3)在
                                                     发行人任职
                                                     的人员从发
                                                     行人处应获
                                                     得的薪酬由
                                                     发行人扣
                                                     留,归发行
                                                     人所有; 4)
                                                     如果未履行
                                                     上述承诺事
                                                     项,致使投
                                                     资者在证券
                                                     交易中遭受
                                                     损失的,控
                                                     股股东、实
                                                     际控制人将
                                                     依法赔偿投
                                                     资者损失。
                                                     4、如因相关
                                                     法律法规、
                                                     政策变化、
                                                     自然灾害及
                                                     其他不可抗


33
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     力等控股股
                                                     东、实际控
                                                     制人无法控
                                                     制的客观原
                                                     因导致控股
                                                     股东、实际
                                                     控制人承诺
                                                     未能履行、
                                                     确已无法履
                                                     行或无法按
                                                     期履行的,
                                                     控股股东、
                                                     实际控制人
                                                     将敦促发行
                                                     人采取以下
                                                     措施:(1)
                                                     及时、充分
                                                     披露控股股
                                                     东、实际控
                                                     制人承诺未
                                                     能履行、无
                                                     法履行或无
                                                     法按期履行
                                                     的具体原
                                                     因;(2)向
                                                     发行人的投
                                                     资者提出补
                                                     充承诺或替
                                                     代承诺(相
                                                     关承诺需按
                                                     法律、法规、
                                                     公司章程的
                                                     规定履行相
                                                     关审批程
                                                     序),以尽可
                                                     能保护投资
                                                     者的权益。
                                                     (三)董事、
                                                     监事、高级
                                                     管理人员关
                                                     于失信补救
                                                     措施的承诺
                                                     1、如公司董
                                                     事、高级管


34
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     理人员未能
                                                     履行其增持
                                                     义务的,则
                                                     公司有权将
                                                     应付董事、
                                                     高级管理人
                                                     员的薪酬及
                                                     现金分红予
                                                     以扣留,直
                                                     至董事、高
                                                     级管理人员
                                                     履行其增持
                                                     义务。2、董
                                                     事、监事、
                                                     高级管理人
                                                     员就首次公
                                                     开发行股票
                                                     并上市信息
                                                     披露事宜做
                                                     出了相应承
                                                     诺,董事、
                                                     监事及高级
                                                     管理人员以
                                                     通过直接或
                                                     间接持有发
                                                     行人股份所
                                                     获得的发行
                                                     人当年度以
                                                     及以后年度
                                                     的分红及当
                                                     年及以后年
                                                     度从发行人
                                                     领取的薪酬
                                                     作为上述承
                                                     诺的履约担
                                                     保。3、如因
                                                     相关法律法
                                                     规、政策变
                                                     化、自然灾
                                                     害及其他不
                                                     可抗力等董
                                                     事、监事、
                                                     高级管理人
                                                     员无法控制


35
云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           的客观原因
                                                           导致董事、
                                                           监事、高级
                                                           管理人员承
                                                           诺未能履
                                                           行、确已无
                                                           法履行或无
                                                           法按期履行
                                                           的,董事、
                                                           监事、高级
                                                           管理人员将
                                                           采取以下措
                                                           施:(1)及
                                                           时、充分披
                                                           露本公司承
                                                           诺未能履
                                                           行、无法履
                                                           行或无法按
                                                           期履行的具
                                                           体原因; 2)
                                                           向公司的投
                                                           资者提出补
                                                           充承诺或替
                                                           代承诺(相
                                                           关承诺需按
                                                           法律、法规、
                                                           公司章程的
                                                           规定履行相
                                                           关审批程
                                                           序),以尽可
                                                           能保护投资
                                                           者的权益。

                                                           1、本承诺人
                                                           目前没有、
                                                           将来也不直
                                                           接或间接从
                                 公司实际控
                                                           事与发行人
                                 制人李晓明
                                              关于避免同   及其控股子     2012 年 11
                                 家族、合益                                            长期有效   严格履行
                                              业竞争承诺   公司现有及     月 10 日
                                 投资和合力
                                                           将来从事的
                                 投资
                                                           业务构成同
                                                           业竞争的任
                                                           何活动,并
                                                           愿意对违反


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云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     上述承诺而
                                                     给发行人造
                                                     成的经济损
                                                     失承担赔偿
                                                     责任。2、对
                                                     于本承诺人
                                                     直接和间接
                                                     控股的其他
                                                     企业,本承
                                                     诺人将通过
                                                     派出机构和
                                                     人员(包括
                                                     但不限于董
                                                     事、总经理
                                                     等)以及本
                                                     承诺人在该
                                                     等企业中的
                                                     控股地位,
                                                     保证该等企
                                                     业履行本承
                                                     诺函中与本
                                                     承诺人相同
                                                     的义务,保
                                                     证该等企业
                                                     不与发行人
                                                     及其控股子
                                                     公司进行同
                                                     业竞争,本
                                                     承诺人并愿
                                                     意对违反上
                                                     述承诺而给
                                                     发行人造成
                                                     的经济损失
                                                     承担全部赔
                                                     偿责任。3、
                                                     如果发行人
                                                     在其现有业
                                                     务的基础上
                                                     进一步拓展
                                                     其经营业务
                                                     范围,而本
                                                     承诺人及本
                                                     承诺人控制
                                                     的企业已对


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云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           此进行生
                                                           产、经营的,
                                                           本承诺人承
                                                           诺将该企业
                                                           所持有的可
                                                           能发生的同
                                                           业竞争业务
                                                           或股权进行
                                                           转让,并同
                                                           意发行人在
                                                           同等商业条
                                                           件下有优先
                                                           收购权和经
                                                           营权。4、除
                                                           对发行人的
                                                           投资以外,
                                                           本承诺人将
                                                           不在任何地
                                                           方以任何方
                                                           式投资或自
                                                           营发行人及
                                                           控股子公司
                                                           已经开发、
                                                           生产或经营
                                                           的产品(或
                                                           相类似的产
                                                           品、或在功
                                                           能上具有替
                                                           代作用的产
                                                           品)。

                                                           1、公司及其
                                                           控股股东、
                                                           实际控制人
                                                           关于对公司
                                 公司及其控                填补回报措
                                              关于对公司
                                 股股东、实                施能够得到
                                              填补回报措
                                 际控制人、                切实履行作      2016 年 09
                                              施能够得到                                长期有效   严格履行
                                 公司董事、                出的承诺:      月 14 日
                                              切实履行作
                                 高级管理人                不越权干预
                                              出的承诺
                                 员                        公司经营管
                                                           理活动,不
                                                           侵占公司利
                                                           益。2、董事、
                                                           高级管理人


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云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                           员关于对公
                                                           司填补回报
                                                           措施能够得
                                                           到切实履行
                                                           作出的承
                                                           诺:(1)承
                                                           诺不无偿或
                                                           以不公平条
                                                           件向其他单
                                                           位或者个人
                                                           输送利益,
                                                           也不采用其
                                                           他方式损害
                                                           公司利益;
                                                           (2)承诺对
                                                           董事和高级
                                                           管理人员的
                                                           职务消费行
                                                           为进行约
                                                           束;(3)承
                                                           诺不动用公
                                                           司资产从事
                                                           与其履行职
                                                           责无关的投
                                                           资、消费活
                                                           动;(4)承
                                                           诺由董事会
                                                           或薪酬委员
                                                           会制定的薪
                                                           酬制度与公
                                                           司填补回报
                                                           措施的执行
                                                           情况相挂
                                                           钩;(5)承
                                                           诺拟公布的
                                                           公司股权激
                                                           励的行权条
                                                           件与公司填
                                                           补回报措施
                                                           的执行情况
                                                           相挂钩。

                                 公司控股股   关于避免占   发行人控股
                                                                         2016 年 09
                                 东合益投     用发行人资   股东合益投                 长期有效   严格履行
                                                                         月 14 日
                                 资、实际控   金作出承诺   资、实际控


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云南创新新材料股份有限公司 2016 年第三季度报告正文


                                 制人李晓明   公司控股股   制人李晓明
                                 家族成员     东合益投     家族成员已
                                              资、实际控   就避免占用
                                              制人李晓明   发行人资金
                                              家族关于不   作出承诺:
                                              占用公司资   本承诺人、
                                              金的承诺     近亲属及所
                                                           控制的关联
                                                           企业在于云
                                                           南创新及其
                                                           子公司发生
                                                           的经营性资
                                                           金往来中,
                                                           严格限制占
                                                           用云南创新
                                                           及其子公司
                                                           资金;不得
                                                           要求云南创
                                                           新及其子公
                                                           司垫支工
                                                           资、福利、
                                                           保险、广告
                                                           等费用;不
                                                           谋求以下列
                                                           方式将云南
                                                           创新及其子
                                                           公司资金直
                                                           接或间接地
                                                           提供给本承
                                                           诺人、近亲
                                                           属及所控制
                                                           的关联企业
                                                           使用,包括:
                                                           1、有偿或无
                                                           偿地拆借资
                                                           金给本承诺
                                                           人、近亲属
                                                           及所控制的
                                                           关联企业使
                                                           用;2、通过
                                                           银行或非银
                                                           行金融机构
                                                           向本承诺
                                                           人、近亲属


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云南创新新材料股份有限公司 2016 年第三季度报告正文


                                                     及所控制的
                                                     关联企业提
                                                     供不具有商
                                                     业实质的委
                                                     托贷款;3、
                                                     委托本承诺
                                                     人、近亲属
                                                     及所控制的
                                                     关联企业进
                                                     行不具有商
                                                     业实质的投
                                                     资活动;4、
                                                     为本承诺
                                                     人、近亲属
                                                     及所控制的
                                                     关联企业开
                                                     具没有真实
                                                     交易背景的
                                                     商业承兑汇
                                                     票;5、代本
                                                     承诺人、近
                                                     亲属及所控
                                                     制的关联企
                                                     业偿还债
                                                     务;6、在没
                                                     有商品和劳
                                                     务对价情况
                                                     下以其他方
                                                     式向本承诺
                                                     人、近亲属
                                                     及所控制的
                                                     关联企业提
                                                     供资金;g、
                                                     中国证券监
                                                     督管理委员
                                                     会认定的其
                                                     他方式。

 股权激励承诺

 其他对公司中小股东所作承诺

 承诺是否按时履行                是




41
云南创新新材料股份有限公司 2016 年第三季度报告正文


四、对 2016 年度经营业绩的预计

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

 2016 年度归属于上市公司股东的净利润变动
                                                                   0.00%   至                      30.00%
 幅度

 2016 年度归属于上市公司股东的净利润变动
                                                              15,005.25    至                    19,506.82
 区间(万元)

 2015 年度归属于上市公司股东的净利润(万
                                                                                                 15,005.25
 元)

                                           虽然公司本年度由于受国家政策及烟草行业减产等原因的影响,但是液
 业绩变动的原因说明                        体包装盒业务和特种纸业务销量增加,盈利能力增强,因而公司对利润
                                           情况持乐观态度。


五、以公允价值计量的金融资产

□ 适用 √ 不适用


六、违规对外担保情况

□ 适用 √ 不适用
公司报告期无违规对外担保情况。


七、控股股东及其关联方对上市公司的非经营性占用资金情况

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


八、报告期内接待调研、沟通、采访等活动登记表

□ 适用 √ 不适用
公司报告期内未发生接待调研、沟通、采访等活动。




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云南创新新材料股份有限公司 2016 年第三季度报告正文


(此页无正文,为云南创新新材料股份有限公司及法定代表人关于《云南创新新材料股份有
限公司 2016 年第三季度报告正文》的签署页)




                                                     云南创新新材料股份有限公司



                                                     法定代表人:



                                                                    李 晓 明



                                                       2016 年 10 月 28 日




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