Dongxu Optoelectronic Technology Co., Ltd. The First Quarterly Report 2016
Stock code ：000413,200413 Abbreviation：Dongxu Optoelectronic, Dongxu B Announcement：2016-053
Dongxu Optoelectronic Technology Co., Ltd.
The First Quarterly Report 2016
April 2016
1
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
I. Important Notice
The Board of Directors ,Supervisory Committee, all directors, supervisors and senior executives of the Company
hereby guarantees that there are no misstatement, misleading representation or important omissions in this report
and shall assume joint and several liability for the authenticity, accuracy and completeness of the contents hereof.
All of the directors presented the board meeting at which this Quarterly Report was examined.
Mr. Li Zhaoting, The Company leader, Mr.Zhou Bo, Chief financial officer and the Mr..Zhou Bo, the person in
charge of the accounting department (the person in charge of the accounting )declare: the financial report carried
in this report is authentic and completed
2
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
II. Main financial data and changes of shareholders
I. Main financial data and financial index
Whether it has retroactive adjustment or re-statement on previous accounting data for accounting policy changed
and accounting error correction or not.
□ Yes √ No
Changes of this period over same
This period Same period of last year
period of last year（％）
Operating income（RMB） 1,581,690,834.17 598,858,730.43 164.12%
Net profit attributable to the shareholders of
347,750,532.74 158,271,987.10 119.72%
the listed company（RMB）
Net profit after deducting of non-recurring
gain/loss attributable to the shareholders of 269,369,501.10 34,492,437.26 680.95%
listed company（RMB）
Cash flow generated by business operation,
-934,819,444.05 -58,734,373.46
net（RMB）
Basic earning per share(RMB/Share) 0.09 0.06 50.00%
Diluted gains per
0.09 0.06 50.00%
share(RMB/Share)(RMB/Share)
Weighted average return on equity
2.40% 2.04% 0.36%
（%）
Changes of this period-end over
End of this period End of last period
same period-end of last year(%)
Gross assets（RMB） 28,606,491,414.24 28,798,623,253.33 -0.67%
Net assets attributable to the shareholders of
14,668,221,597.95 14,319,481,941.28 2.44%
the listed company（RMB）
Items and amount of non-current gains and losses
√ Applicable □ Not applicable
In RMB
Amount (Year-beginning to the
Items Notes
end of the report period.)
Non-current asset disposal gain/loss(including the write-off part for
-1,872.47
which assets impairment provision is made)
Govemment subsidy recognized in current gain and loss(excluding
95,649,849.99
those closely related to the Company’s business and granted under the
3
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
state’s policies)
Other non-operating income and expenditure beside for the above items 750,000.00
Other profit/loss that meet the definition of exceptional profit/loss 203,555.54
Less: Influenced amount of income tax 14,407,999.97
Amount of influence of minority interests（After tax） 3,812,501.45
Total 78,381,031.64 --
For the Company’s non-recurring gain/loss items as defined in the Explanatory Announcement No.1 on
information disclosure for Companies Offering their Securities to the Public-Non-recurring Gains and Losses and
its non-recurring gain/loss items as illustrated in the Explanatory Announcement No.1 on information Disclosure
for Companies offering their securities to the public-non-recurring Gains and losses which have been defined as
recurring gains and losses, it is necessary to explain the reason.
□ Applicable√ Not applicable
None of Non-recurring gain /loss items recognized as recurring gain /loss/items as defined by the information
disclosure explanatory Announcement No.1- Non –recurring gain/loss in the report period.
II. Total Shareholders and Shares Held by Top Ten Shareholders at the End of the Reporting
Period
1. About Total Common Shareholders, Total Preference Shareholders with the Voting Power Recovered
and the Shares Held by Top Ten Common Shareholders
In shares
Total preference shareholders with
Total number of common 210,114(including 191,376 shareholders holding A
the voting power recovered at the 0
shareholders at the period-end shares and 18,738 shareholders holding B shares)
end of the reporting period(if any)
Shares held by the top 10 shareholders
Amount of Pledging or freezing
Share
Properties of tradable shares Status
Shareholder name proportion Quantity
shareholder with Conditional of the Quantity
%
held shares
Domestic Non
Dongxu Group -State-owned legal 21.64% 829,975,697 829,975,697 Pledge 761,912,697
person
Domestic Non
Shijiazhuang Baoshi Electronic Group
-State-owned legal 8.67% 332,382,171 Pledge 300,920,148
Co., Ltd.
person
Minsheng Royal Fund Management Co.,
Ltd.-Ping An Bank-Ping An Trust-Ping
Other 4.78% 183,284,457 183,284,457
An Wealth* Huitai No.163 Single Fund
Trust
4
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
Bosera Capital-Ping An Bank- Ping An
Trust-Ping An Wealth* Huitai No.164 Other 4.36% 167,155,426 167,155,426
Single Fund Trust
Guangzhou Securities-China Guangfa
Bank-Guangzhou Securities No.2
Other 3.44% 131,964,809 131,964,809
Collective Asset Management Plan of
Kunpeng Dingcheng
HuaAn Future Asset-ICBC-No.1 Asset
Management Plan of Dongxu Other 2.52% 96,774,193 96,774,193
Optoelectronic’s Private Placement
Dongxu Optoelectronic Technology Co.,
Ltd-Phase 1 for Employee Stock Other 1.89% 72,639,296 72,639,296
Ownership Plan
State-owned legal
China Securities Finance Co., Ltd. 1.64% 62,771,232
person
Kunshan Development Zone State-owned legal
1.15% 43,988,269 43,988,269
State-invested Holding Co., Ltd. person
Bank of China－Huaxia New Economic
Other 0.95% 36,608,098
Mixed Securities Investment Funds
Shares held by the Top 10 Shareholders of Non-restricted shares
Number of the Share type
Shareholders’ Names
non-restricted shares held Share type Quantity
Shijiazhuang Baoshi Electronic Group Co., Ltd. 332,382,171 RMB Common shares 332,382,171
China Securities Finance Co., Ltd. 62,771,232 RMB Common shares 62,771,232
Bank of China－Huaxia New Economic Mixed
36,608,098 RMB Common shares 36,608,098
Securities Investment Funds
National social security fund 407 27,923,842 RMB Common shares 27,923,842
Central Huijin Investment Ltd. 24,205,500 RMB Common shares 24,205,500
Wang Wenxue 15,300,592 RMB Common shares 15,300,592
National social security fund 412 8,189,576 RMB Common shares 8,189,576
China Mensheng Bank－Oriental Featured mixed Open
7,000,000 RMB Common shares 7,000,000
Securities Investment Funds
Yinhua Funds－Agricultural Bank of China－Yinhua
6,632,927 RMB Common shares 6,632,927
CSI Financial Asset management Plan
China Mensheng Bank－Yinhua Shenzhen 100 index
6,462,257 RMB Common shares 6,462,257
securities investment fund
Shijiazhuang Baoshi Electronic Group Co., Ltd, the first 10 shareholders
Explanation on associated relationship or concerted
with unrestricted circulating shares and Dongxu Group Co., Ltd, Dongxu
action of the above shareholders
Optoelectronic Technology Co., Ltd., the first 10 shareholders-
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Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
Association relationship existed in Employee Stock Ownership Plan Phase
1, constituting the relationship of persons acting in concert.
Wang wenxue, the first 10 ordinary shareholders with shares without
restricted condition, separately held 15,300,592 of the Company’s shares
Note to the top 10 common stockholders involved in
by means of the securities accounts with customer credit guarantee of
margin financing & securities lending (If any)
China Securities , which separately occupy 0.40% of the Company’s total
shares.
Whether top ten common shareholders or top ten common shareholders with un-restrict shares held have a
buy-back agreement dealing in reporting period.
□ Yes √ No
The top ten common shareholders or top ten common shareholders with un-restrict shares held of the Company
have no buy –back agreement dealing in reporting period.
2.Total number of preferred shareholders and shareholding of top 10 preferred shareholders by the end of
the report period
□ Applicable √Not applicable
6
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
III Significant Events
I. Major changes of main accounting statement items and financial indicators in the reporting
period, as well as reasons for the changes
√ Applicable □ Not applicable
Same period of last Increase
Financial index This period(RMB) Main reason for change
year(RMB) /decrease
Consolidated Balance sheet index
Mainly due to the due in payment of purchase
Notes receivable -57.22%
21,825,778.49 51,014,152.00 money and endorsements increase
Mainly due to the increase of the advance
Prepayments 359.45% payment for procurement because of the
1,924,694,013.81 418,910,587.57
business growth
Engineering Mainly due to the increase of the procurement of
8802.22%
material 3,401,983.66 38,214.99 project goods and materials
Mainly due to adopting the note payment for the
Notes payable 33.36%
547,569,238.30 410,594,929.94 procurement
Mainly due to advances on sales by realized
Advance payment -98.27%
1,696,808.30 97,920,689.41 sales in the current period
Mainly due to the payment for the transfer of the
Advance receipts -69.99% equity held by Xufei and Xuxin original
161,989,524.74 539,796,113.78
shareholders
Consolidated income statement index
Mainly due to the increase in business revenue
Business income 164.12%
1,581,690,834.17 598,858,730.43 as the intensified market development efforts
Mainly due to the increase in operating income
Business cost 171.93%
1,052,404,374.82 387,008,712.20 resulted in the increase in operating costs
Mainly due to the increase in operating income
Business tax and
139.70% led to the increase of the corresponding business
surcharge 15,952,780.71 6,655,407.72
tax and surcharges
Mainly due to the increase in operating income
resulted in the increase in corresponding freight
Sales expense 130.33%
13,736,690.70 5,964,007.91 and miscellaneous charges, entertainment
expenses and travel expenses and so on
Administrative Mainly due to the business expansion led to the
59.06%
expense 117,505,746.39 73,873,638.77 increase in staff wages, research fees etc.
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Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
Asset impairment Mainly due to the increase in the quality of
-92.63%
loss 406,342.06 5,512,801.36 assets
Non-operational
-34.62% Mainly for the time delay of government subsidy
income 95,857,790.53 146,612,477.61
Income tax Mainly due to the business expansion resulted in
46.38%
expenses 60,750,772.80 41,500,719.51 the increase in profits
Consolidated Cash flow statement index
Mainly due to the business growth and the
Net Cash flow
increase in procurement led to the increase of
generated by -1491.61%
-934,819,444.05 -58,734,373.46 cash payment for the purchase of goods and
business operation
receiving service
Net cash flow Mainly due to the payment for the transfer of the
generated by -231.39% equity held by Xufei and Xuxin original
-465,514,552.86 -140,475,266.25
investment shareholders
Net cash flow Mainly due to the increase of repaying the
generated by -154.97% principal and paying the interests, and the
-424,474,217.67 772,255,350.24
financing reduction of financing amount
II. The progress of significant events and influence, as well as the analysis and explanation on
resolving proposal.
√Applicable □Not applicable
Examined an approved in the 18th board meeting of the seventh board of directors, the 20th meeting of the
seventh board of supervisors and 2016 first extraordinary general shareholder meeting convened by the company,
the company planned the non-public share-issuing for raising funds to invest and build the third 8.5-generation
production line of the TFT-LCD glass substrate project in Fuqing City, Fujian Province. Currently, the project has
been submitted to the China Securities Regulatory Commission (hereinafter referred to as "CSRC”) for
deliberation and the company has received the Notice of Feedback Opinions on the Review of the Project needed
Administrative Licensing from CSRC (No. 160620).
Description of the website for disclosing
Overview of material matters Date of disclosing
provisional announcements
The Announcement on Receiving the Notice
China Securities Journal , Securities Times, Shanghai
of Feedback Opinions on the Review of the
April 21,2016 Securities News ,Hong Kong Commercial Daily and
Project needed Administrative Licensing
www.cninfo.com.cn. Announcement No.2016-046
from CSRC
China Securities Journal , Securities Times, Shanghai
The Reply to the feedback opinions on the
April 26,2016 Securities News ,Hong Kong Commercial Daily and
application files for non-public share-issuing
www.cninfo.com.cn. Announcement No.2016-050
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Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
III. Commitments finished in implementation by the Company, shareholders, actual
controller, acquirer, directors, supervisors, senior executives or other related parties in the
reporting period and commitments unfinished in implementation at the end of the reporting
period
√Applicable □Not applicable
Time of
Period of
Commitment making Fulfillmen
Commitment Type Contents commitme
maker commitme t
nt
nt
If listed companies plans to sell tradable stocks
through the bid trading system of Shenzhen Stock
Exchange and sell greater than 5% of shares
Share within six months after the first sales, will
Shijiazhuang Under
Commitment on reduction disclose the contents specified by the Form Guide March 29, Long-term
Baoshi Electronics Fulfillmen
share reform commitme to Prompt Announcement of Removing 2007 effective
Group Co., Ltd t
nt Restriction on Sales of Non-tradable Stocks of
Listed Companies through the prompt
announcement of disclosing sales of listed
companies.
Commitment in
the acquisition
report or the
report on equity
changes
Commitment
made upon the
assets
replacement
1.From the date of commitment letter issued,
except the managed hosting company for
Dongxue Optoelectronic , this company and
Commitm
majority-owned subsidiaries do not in any way,
ents on
directly or indirectly engaged in business and
horizontal
Commitments Dongxue Optoelectronic and its subsidiaries are Under
competitio December Long-term
made upon Li Zhaoting the same, or similar, future Dongxue Fulfillmen
n, related 22, 2011 effective
issuance Optoelectronic shares and its subsidiaries are not t
transaction
engaged in the same or similar businesses.
and capital
2.The company assurances against the use of
occupation
precious stones share any act prejudicial to the
control relationship of Dongxu Optoelectronic
interests and its wholly-owned subsidiaries,
9
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
holding, or causing Dongxue Optoelectronic
shares and its wholly-owned subsidiaries, holding
form business competition decisions. 3. The
company will not directly invest, purchase and
Dongxu Optoelectronic identical or similar
business enterprises and projects.
4.If the assets owned by the Dongxu
Optoelectronic . compete with , the company will
adopt effective measures and give up the same
business.5. If the reason of the oneself is the
cause of horizontal competition with Baoshi
Stock and resulted in losses to Baoshi Stock,
the oneself will bear the relevant full
responsibilities.6. Under the circumstance with
in accordance with securities regulatory
conditions, the oneself promised that all the
stake that entrusted to the escrow company
managed by Baoshi Stock will be injected into
Baoshi Stock. As long as the oneself is the
actual controller of Baoshi Stock, the
commitment is valid.
1.From the date of commitment letter issued,
except the managed hosting company for
Dongxue Optoelectronic , this company and
majority-owned subsidiaries do not in any way,
directly or indirectly engaged in business and
Dongxue Optoelectronic and its subsidiaries are
the same, or similar, future Dongxue
Optoelectronic shares and its subsidiaries are not
Commitm
Dongxu Group, engaged in the same or similar businesses.
ents on
Dongxu 2.The company assurances against the use of
horizontal
Optoelectronic precious stones share any act prejudicial to the Under
competitio April Long-term
Investment Co., control relationship of Dongxu Optoelectronic Fulfillmen
n, related 1,2012 effective
Ltd., Shijiazhuang interests and its wholly-owned subsidiaries, t
transaction
Baoshi Electronics holding, or causing Dongxue Optoelectronic
and capital
Group Co., Ltd shares and its wholly-owned subsidiaries, holding
occupation
form business competition decisions. 3. The
company will not directly invest, purchase and
Dongxu Optoelectronic identical or similar
business enterprises and projects.
4.If the assets owned by the Dongxu
Optoelectronic . compete with , the company will
adopt effective measures and give up the same
business. 5. If the company has horizontal
10
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
competition with Dongxu Optoelectronic and lead
to lose to it, the company will bear all the
responsibilities.6. Before December 31, 2015, by
way of designated placement, the company will
transfer all the shares that Dongxu Optoelectronic
Investment, entrusted to Zhengzhou Xufei
company and all the shares that are entrusted to
Baoshi Group, to Dongxu Optoelectronics; Before
December 31, 2016, by way of designated
placement, the company will transfer all the
shares that Dongxu Group entrusted to Dongxu
Yingkou and Sichuan Xuhong to Dongxu
Optoelectronics. Within the time limit mentioned
above, if there were the external factors such as a
depression of industry as a whole, or the changes
in regulatory requirements, which lead to the
result that the shares of hosting company can not
meet the requirements of capital investment, Li
Zhaoting, the actual controller, Dongxu
Optoelectronic Investment , Dongxu Group and
Baoshi Group as well as the company will
actively negotiate with related parties, continue to
entrust the above mentioned shares and the power
of management to Dongxu Optoelectronics.
Within the period when the company is still the
controlling shareholder of Dongxu
Optoelectronics, the commitments are in effect.
To avoid the horizontal competition with the
issuer, the company’s actual controller-Zhaoting,
Li and the holding company-Dongxu group
promised: 1. As of this declaration and from the
date of commitment letter issued, except the
Commitm
managed hosting companies, the other companies
ents on
directly or indirectly controlled by the controller
horizontal
or holding company have no horizontal Under
Li Zhaoting; competitio December Long-term
competitions with Dongxu Optoelectronic Fulfillmen
Dongxu Group n, related 16,2015 effective
Technology Co., Ltd. 2. Any other companies t
transaction
controlled by the actual controller or holding
and capital
company shall avoid businesses identical or
occupation
similar to the company may lead to a competitive
relation and cannot do any harm activities to
Dongxu Optoelectronic Technology Co., Ltd and
companies controlled by Dongxu Optoelectronic
Technology Co., Ltd as long as there are no
11
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
alterations of the actual controller and the holding
company. Any businesses opportunities under the
main business scope of Dongxu Optoelectronic
Technology Co., Ltd and its controlled companies
shall not take by the companies controlled by the
actual controller or the holding company, and the
business opportunities shall be given to Dongxu
Optoelectronic Technology Co., Ltd and its
controlled companies.3. As long as the actual
controller and the holding company are the same,
the actual controller and the holding company
shall continue to strictly performance the relevant
declarations and commitments of avoiding
horizontal competition.
As of the
date of
Share Dongxu Group Co., Ltd. subscribed for 25.01%
disclosure
limited of the shares privately issued by the Company and April April
Dongxu Group of the
commitme promised that the period of sale restriction of such 18,2013 18,2016
report has
nt shares was 36 months from the first day of listing.
been
completed
Guangzhou
Securities Co.,
Ltd., Huaan It was promised that after Dongxu Optoelectronic
Future Asset Technology Co., Ltd completed the non public
Management Share issuance of shares to the company and specific
Under
(Shanghai) Co., limited objects for raising funds, the new shares December December
Fulfillmen
Ltd.;Minsheng commitme subscribed by the company shall not be 16,2015 16,2016
t
Bank Fund nt transferred to any others in 12 months
Management Co., commenced from the publicly listed date of the
Ltd.; Boshi Assets new shares
Management Co.,
Ltd.
Dongxu The company, one of the subscription objects,
Group;Changjiang promised that after Dongxu Optoelectronic
Securities Technology Co., Ltd completed the non public
(Shanghai )Asset issuance of shares to the company and specific
Under
Management Co., objects for raising funds, the shares (New shares) December December
Fulfillmen
Ltd.;Kunshan issued by Dongxu Optoelectronic Technology 16,2015 16,2018
t
Development Co., Ltd and subscribed by the company shall not
Zone State be transferred to any others in 36 months
Investment Co., commenced from the publicly listed date of the
Ltd.;Beijing new shares.
12
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
Yingfei Hailin
Investment Center
(Limited
partnership).
In view of:The main business of Dongxu
Optoelectronic is the production of TFT-LCD
glass substrate, and the company now is applying
for non-public offering of ,bonds (2) Dongxu
Group is the controlling shareholder of Dongxu
Optoelectronic; and during the period of holding,
Dongxu Group has signed patent license contracts
separately with Dongxu Optoelectronic and its
subsidiaries including Wuhu Dongxu
Optoelectronic Science and Technology Co., Ltd.
(hereinafter referred to as Wuhu Optoelectronic),
Wuhu Dongxu Optoelectronic Equipment
Technology Co., Ltd. (hereinafter referred to as
Wuhu Equipment) and Shijiazhuang Dongxu
Optoelectronic Equipment Technology Co., Ltd.
(hereinafter referred to as Shijiazhuang
Equipment). For this purpose, Dongxu Group has
Other made following promises: Any patents related to Valid for 5 Under
February
Dongxu Gruop Commitm panel display glass substrate not included in the years Fulfillmen
8,2015
ent aforesaid Contract on the Licensing of Patent t
Exploitation obtained by Dongxu group in the
future, Dongxu group shall sign a free contract of
licensing the new pertinent patents with the
company and the company’s subsidiaries (Wuhu
Optoelectronic Technology Co.,Ltd, Wuhu
Equipment Company and Shijiazhuang
Equipment Company) with the same articles of
the former patent licensing contract. After the
company successfully completed the issuance of
corporate bonds, whether Dongxu group control
the company during the duration of the bonds,
Dongxu group shall renew the patent licensing
contract unreserved with the company and the
company’s subsidiaries (Wuhu Optoelectronic
Technology Co.,Ltd, Wuhu Equipment Company
and Shijiazhuang Equipment Company) under the
company’s requirement until the bonds expired.
In view of:
Other June Long-term Under
Dongxu Gruop The main business of Dongxu Optoelectronic is
Commitm 17,2015 effective Fulfillmen
the production of TFT-LCD glass substrate, and
13
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
ent the company now is applying for non-public t
offering of stock; (2) Dongxu Group is the
controlling shareholder of Dongxu
Optoelectronic; and during the period of holding,
Dongxu Group has signed patent license contracts
separately with Dongxu Optoelectronic and its
subsidiaries including Wuhu Dongxu
Optoelectronic Science and Technology Co., Ltd.
(hereinafter referred to as Wuhu Optoelectronic),
Wuhu Dongxu Optoelectronic Equipment
Technology Co., Ltd. (hereinafter referred to as
Wuhu Equipment) and Shijiazhuang Dongxu
Optoelectronic Equipment Technology Co., Ltd.
(hereinafter referred to as Shijiazhuang
Equipment). For this purpose, Dongxu Group has
made following promises: within the term of
validity involving patent right stated in patent
license contracts, whether Dongxu Optoelectronic
is in the control of Dongxu Group or not, Dongxu
Group promises that when the above mentioned
patent license contracts expire, the group will
unconditionally renew the contracts with Dongxu
Optoelectronic and its subsidiaries (Wuhu
Optoelectronic, Wuhu Equipment, Shijiazhuang
Equipment and etc) according to the terms of
original contracts based on the requirements of
Dongxu Optoelectronic.
(a) Promised that not freely or unfairly transfer
interests to other units or individuals, nor adopt
other ways to jeopardize the company’s interests.
(b) Promised that restrict the post consumer
Li Zhaoting,
behaviors of the directors and senior management
Gongxin, Zhou
personnel. (c) Promised that not use the
Bo, Niu Jianlin,
company's assets to engage in the investment
Lu Guihua, Mu
Other &consuming activities which are irrelevant to Under
Tiehu, Zhang February Long-term
Commitm perform the duties. (d) Promised that the salary Fulfillmen
Shuangcai, Shi 6,2016 effective
ent system set up by the board of directors or the t
Zhiqiang , Xiao
Remuneration Committee is relevant to the
Zhaoxiong, Liu
implementation status of the company’s fill-up
Wentai and Zhou
return measures. (e) Promised that the vesting
Bo
conditions of the company’s equity incentive are
relevant to the implementation status of the
company’s fill-up return measures. (f) Promised
the full implementation of the relevant fill-up
14
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
return measures established by the company and
any commitment related to the fill-up return
measures, if such commitment is breached and
resulted in losses to the company or the investors,
the concerning party shall take the responsibility
for compensating the company or the investors
according to the law. As one of the relevant
responsibility bodies of the fill-up return
measures, if the oneself breaches the above-said
commitments or refuse to fulfill the above-said
commitments, the oneself agrees the punishments
or relevant supervise measures carried out in
accordance with the regulations and rules issued
or enacted by CSRC, Shenzhen Stock Exchange
and other securities regulatory organizations.
Not act in excess of authority to interfere the
Other Under
Dongxu Group, Li company’s management and operating February Long-term
Commitm Fulfillmen
Zhaoting activities, not encroach on the interests of the 6,2016 effective
ent t
company.
In view of: Dongxu Optoelectronic Technology
Co., Ltd. is applying for public offering of
corporate bonds, and the total scale of bonds will
not exceed 1 billion yuan. After the deduction of
issue expenses, all the funds raised are planed to
be used to supplement the liquidity and support
the R&D, production and material purchase of
glass substrate and the equipment. Thus, the
To raise demands of business operation and expansion in
Dongxu
funds to the company will be satisfied. The company Valid for 5 Under
Optoelectronic February
use the promises: 1. The funds raised through the public years Fulfillmen
Technology Co., 10,2015
commitme offering of corporate bonds will not be directly or t
Ltd.
nt indirectly invested in real estate development
business, or used to increase the capital fund or as
loans in subsidiaries engaged in real estate
business; 2. the funds raised through the public
offering of corporate bonds will not be used for
real estate development business in any form. The
term of validity of the promises is consistent with
the duration of the corporate bonds issued in the
company this time.
Equity incentive
commitment
Other Dongxu Group Share The holding company-Dongxu group and its July April 11, As of the
15
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
commitments holdings controlled subsidiaries have planned to buy the 11,2015 2016 date of
made to commitme company’s shares in the transaction market (i.e disclosure
minority nt secondary market) via Trading System of the of the
shareholders Shenzhen Stock Exchange with the total amount report has
no more than RMB 100 million in six months been
commenced from the date of the announcement completed
(Jul 11, 2015). Dongxu group promised that it .
will not reduce its stake in six months
subsequently. In light of Dongxu Optoelectronic
Technology Co., Ltd planned to release its 2015
annual report on Feb 6, 2016, and the impact of
the window period for regular reports, the
company’s controlling shareholder plans to
extend three months for the plan of buying shares,
beyond that, any other commitments unchanged.
Jixing New Material Investment (HK) Co., Ltd.
and Lubao, Wang (The legal representative of the
company (HK)) jointly promised that the net
Performan profits after tax attributable to Jixing New
ce Material Investment Co., Ltd in year 2015, year
Wang Lubao,
commitme 2016, year 2017 shall accordingly be not less than
Jixing New Under
nt and RMB30 million, RMB60 million, RMB 100 January December
Material Fulfillmen
compensat million. If the net profits attributable to Jixing 20,2015 31,2018
Investment (HK) t
ion New Material Investment Co., Ltd after audited in
Co., Ltd.
arrangeme any year of year 2015, year 2016 and year 2017
nts are less than the promised net profits, the
difference shall be compensated by Jixing New
Material Investment (HK) Co., Ltd. and Lubao,
Wang in cash.
To ensure Dongxu Optoelectronic Technology
Co., Ltd realizing expected benefits on the M&A
of Shanghai Tanyuan Huigu New Materials
Technology Co., Ltd, the promisee voluntarily
Performan
promised the profits of Shanghai Tanyuan Huigu
ce
Guo Shouwu, Ma New Materials Technology Co., Ltd for the next
commitme
Shengjie, Wu three years as follows: (a) Business performance Under
nt and March December
Haixia , Shen commitment: the net profits of Shanghai Tanyuan Fulfillmen
compensat 8,2016 31,2018
Wenzhuo and Huigu New Materials Technology Co., Ltd in t
ion
Shenli year-2016, year-2017, year-2018 shall
arrangeme
accordingly not be less than RMB 5 million,
nts
RMB 10 million, RMB 20 million. (b)
Compensation mode: if the net profits of
Shanghai Tanyuan Huigu New Materials
Technology Co., Ltd in year-2016, year-2017,
16
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
year-2018 accordingly do not reach the promised
net profits, the promised party shall fully
compensate the difference by cash.
Executed timely
Yes
or not?
IV．Prediction of Business performance for January- June 2016
Estimation of accumulative net profit from the beginning of the year to the end of next report period to be loss
probably or the warning of its material change compared with the corresponding period of the last year and
explanation of reason.
□ Applicable √ Not applicable
V Securities investments
□ Applicable √ Not applicable
No such cases in the Reporting Period
VI. Investment in derivatives
□ Applicable √Not applicable
No such cases in the Reporting Period
VII. Registration form of such Activities as Reception, Research, Communication, Interview
in the Reporting Period
√Applicable □Not applicable
Reception time Way of reception Types of visitors Basic index
Juchao website(www.cninfo.com.cn) :
February 18,2016 By Phone Organization
Investor relations information
Juchao website(www.cninfo.com.cn):
March 10,2016 Field research Organization
Investor relations information
January 1, 2016 -March 31,2016 By Phone Individual None
VIII. External guarantee get out of line
□ Applicable √Not applicable
The Company has no external guarantee get out of the line in the Period
IX. Controlling shareholder and its related parties occupying non-business capital of the listed company
□ Applicable √Not applicable
17
Dongxu Optoelectronic Technology Co., Ltd.The First Quarterly Report 2016
There are no controlling shareholder and its related parties occupying non-business capital of the listed company
in Period
Dongxu Optoelectronic Technology Co., Ltd.
Board Chairman: Li Zhaoting
Issue day approved by the Board of Directors：April 28,2016
18
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