The Third Quarterly Report 2016
Stock code ：000413,200413 Abbreviation：Dongxu Optoelectronic, Dongxu B Announcement：2016-113
Dongxu Optoelectronic Technology Co., Ltd.
The Third Quarterly Report 2016
October 2016
1
The Third 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.Gao Feipeng, 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
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The Third 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
As at the end of the reporting Changed （%）over end of
As at the end of last year
period prev. year
Gross assets（RMB） 39,342,234,739.38 28,798,623,253.33 36.61%
Net assets attributable to the
shareholders of the listed company 21,766,571,634.57 14,319,481,941.28 52.01%
（RMB）
Increase/decrease over Between beginning of
Changed （%）over
Reporting period the same period of last the year to the end of
end of prev. year
year（%） the report period
Operating income（RMB） 1,379,624,393.30 38.15% 4,261,683,547.71 68.92%
Net profit attributable to the
shareholders of the listed company 255,873,197.91 -24.70% 801,836,908.63 8.37%
（RMB）
Net profit after deducting of
non-recurring gain/loss attributable
158,346,261.62 49.41% 618,240,914.75 95.18%
to the shareholders of listed
company（RMB）
Cash flow generated by business
-- -- 1,629,350,095.12 22.47%
operation, net（RMB）
Basic earning per
0.06 -53.85% 0.20 -28.57%
share(RMB/Share)
Diluted gains per
0.06 -53.85% 0.20 -28.57%
share(RMB/Share)(RMB/Share)
Weighted average income/asset
1.51% -2.03% 5.23% -2.54%
ratio（%）
In RMB
Amount from beginning of
Items the year to the end of the Notes
report period
Non-current asset disposal gain/loss(including the write-off part
-4,535.74
for which assets impairment provision is made)
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The Third Quarterly Report 2016
Government subsidies recognized in current gain and
loss(excluding those closely related to the Company’s business 195,277,780.91
and granted under the state’s policies)
Gain/loss on loans obtained by entrusting others 2,165,094.33
Other non-operating income and expenditure beside for the above
711,781.87
items
Less: Influenced amount of income tax 4,418,812.65
Amount of influence of minority interests（After tax） 10,135,314.84
Total 183,595,993.88 --
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.
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The Third Quarterly Report 2016
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 314,070(including 296,583 shareholders holding A the voting power
0
shareholders at the period-end shares and 17,487 shareholders holding B shares) recovered at the end
of the reporting
period(if any)
Shares held by the top 10 shareholders
Amount of Pledging or freezing
Share
Properties of tradable shares
Shareholder name proportion Quantity Status of the
shareholder with Conditional Quantity
% shares
held
Domestic Non
Dongxu Group -State-owned legal 11.37% 561,483,467 Pledge 522,238,042
person
Domestic Non
Shijiazhuang Baoshi Electronic
-State-owned legal 6.73% 332,382,171 Pledge 148,856,500
Group Co., Ltd.
person
China Fund Management Co.,
Ltd.－Huaxia Bank－TTCO Trust
Co., Ltd.－TTCO Trust Co., Ltd. Other 4.51% 222,575,516
－Shunjing No.5 Single capital
trust
Minsheng Royal Fund
Management Co., Ltd.-Ping An
Bank-Ping An Trust-Ping An Other 3.71% 183,284,457
Wealth* Huitai No.163 Single
Fund Trust
Bosera Capital-Ping An Bank-
Ping An Trust-Ping An Wealth* Other 3.38% 167,155,426
Huitai No.164 Single Fund Trust
Guangzhou Securities-China
Guangfa Bank-Guangzhou
Securities No.2 Collective Asset Other 2.67% 131,964,809
Management Plan of Kunpeng
Dingcheng
Sws Mu Fund Management
Other 2.25% 111,287,758
Co.,Ltd.－China Merchants
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The Third Quarterly Report 2016
Bank－Huarun Shen State
investment trust－Ruihua
increase funds No. 2 Collective
capital trust plan
Penghua Fund－Ningbo Bank－
Daye Trust－Daye TrustDongxu
Other 2.25% 111,287,758
Optoelectronic increase funds II
Single fund trust
STAS Asset Management－
Ningbo Bank－Minsheng Trust－
China Minsheng TrustZhixin Other 2.25% 111,287,758
No.208 Dongxu Optoelectronic
increase collective fund trust plan
Domestic Non
Shenzhen Taianer Information
-State-owned legal 2.24% 110,492,845
Technology Co., Ltd.
person
Domestic Non
Qianhai Equity Investment Fund
-State-owned legal 2.24% 110,492,845
(LP)
person
Nuoan Fund-Industrial
Securities-Nanjing Shuangan Other 2.24% 110,492,845
Assets Management Co., Ltd.
Shares held by the Top 10 Shareholders of Non-restricted shares
Number of the non-restricted shares Share type
Shareholders’ Names
held Share type Quantity
RMB Common
Shijiazhuang Baoshi Electronic Group Co., Ltd. 332,382,171 332,382,171
shares
RMB Common
Dongxu Group 121,600,770 121,600,770
shares
RMB Common
China Securities Finance Co., Ltd. 54,333,771 54,333,771
shares
Bank of China－Huaxia New Economic Mixed RMB Common
36,608,098 36,608,098
Securities Investment Funds shares
RMB Common
Central Huijin Investment Ltd. 24,205,500 24,205,500
shares
RMB Common
Xie Xiantuan 16,188,700 16,188,700
shares
RMB Common
Wang Yong 7,430,000 7,430,000
shares
Yinhua Funds－Agricultural Bank of China－Yinhua 6,632,927 RMB Common 6,632,927
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The Third Quarterly Report 2016
CSI Financial Asset management Plan shares
Foreign shares
placed in
China Merchants Securities(HK) Co., Ltd. 6,199,611 6,199,611
domestic
exchange
China Mensheng Bank－Yinhua Shenzhen 100 index RMB Common
4,995,557 4,995,557
securities investment fund shares
Among the top ten shareholders holding non-restricted negotiable shares,
Dongxu Group and Baoshi Group have relationship and constitute persons
Explanation on shareholders participating in the margin taking concerted action. The Company does not know whether there is
trading business relationship between the other top 8 shareholders holding non-restricted
negotiable shares and between such shareholders and the other top 8
shareholders.
The natural persons in the top ten Non-restricted common stockholders
Participation of top 10 unconditional common share Xie Xiantuan holds 15,688.700 shares through stock account with credit
shareholders in securities margin trading (if any) transaction and guarantee of Huatai Securities Co., Ltd., taking 0.32% of
the total shares in the company.
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
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
Amount at the beginning
Items in Amount at the end of Rate of
No of period Reason for change
statements period/ This period change（%）
/Same period of last year
Monetary Mainly due to sales increase and
1 22,239,580,714.19 12,409,510,170.26 79.21%
capital will increase the funds in place
2 Other account 55,197,871.28 65.58% Mainly due to financial leases
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The Third Quarterly Report 2016
receivable 91,394,960.37 lead to margin
Construction in Mainly due to construction in
3 1,896,280,268.51 3,433,016,388.90 -44.76%
process progress into fixed assets
Other Mainly due to the project
4 non-current 243,279,174.31 52.46% prepayment is reclassified to this
370,900,829.95
assets subject
Advances Mainly due to in advance to pay
5 97,920,689.41 255.35%
received 347,957,086.36 back the principal
Mainly due to Zhengzhou Xufei,
Other account Shijiazhuang Xuxin new
6 539,796,113.78 -64.58%
payable 191,189,379.56 shareholders to pay the original
equity
Non-current
Mainly due to financial leases and
7 liability due in 1 1,665,978,540.07 876,987,200.00 89.97%
borrowings increased
year
Long-term Mainly due to increase in
8 57,000,000.00 1561.51%
account payable 947,062,155.36 financial leasing
Deferred Mainly due to leaseback
9 246,925,387.61 41.33%
income 348,982,112.26 leaseback
Mainly due to the current
high-end equipment and technical
Operational
10 4,261,683,547.71 2,522,921,170.69 68.92% services, LCD glass substrate,
income
sapphire material sales revenue
increased
Mainly due to the increase in
11 Operational cost 2,883,454,282.36 1,526,856,989.57 88.85% sales revenue led to an increase in
operating costs
Mainly due to increase in the
company's income and the
corresponding expenditure of the
12 Sales expense 28,022,381.82 72.75%
48,408,463.62 shipping costs, wages and
benefits, advertising and other
increase
Mainly due to provision for bad
Asset
13 -4,875,826.03 217.72% debts is increased in the current
impairment loss 5,739,824.95
period
Non-operational Mainly due to reduction in
14 504,291,218.44 -61.09%
income 196,230,891.80 government grants received
Net cash flow Mainly due to increase funds in
15 8,960,824,235.97 2,105,064,497.79 325.68%
generated by place
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The Third Quarterly Report 2016
financing
II. The progress of significant events and influence, as well as the analysis and explanation on resolving
proposal.
√ Applicable □ Not applicable
On July 28, 2016, the China Securities Regulatory Commission (CSRC) issued the Reply on Approval of
Non-public Issuance of Shares by Dongxu Optoelectronic Technology Co.,Ltd by CSRC [2016] No. 1322 and
approved the company’s non-public share-issuance of issuing no more than 1,104,928,457 new shares.
On August 12, 2016, Zhongxing Caiguanghua Certified Public Accountants (Special General Partnership) issued
the Capital Verification Report of ZXCGHSYZ (2016) No. 105007 to verify the non-public to issue
1,104,928,457 ordinary shares (A shares)(par value per share is RMB 1.00) with the issuing price of 6.29 yuan /
share, and the company has totally raised RMB 6,949,999,994.53.
On August 18, 2015, the company has completed the registration and trusteeship procedure of the shares issued in
the non-public share-issuance in China Securities Depository and Clearing Co., Ltd Shenzhen Branch.
August 26, 2016, the new shares have been listed on the Shenzhen Stock Exchange, the limited period of 12
months, is expected to be traded on August 26, 2017 (in case of non-trading days postponed)
Description of the website for disclosing provisional
Overview of material matters Date of disclosing
announcements
Non-public offering through China Securities Journal , Securities Times, Shanghai Securities
May 19,2016
examination News ,Hong Kong Commercial Daily and www.cninfo.com.cn.
The CSRC issued a formal hair China Securities Journal , Securities Times, Shanghai Securities
July 28,2016
staling document News ,Hong Kong Commercial Daily and www.cninfo.com.cn.
China Securities Journal , Securities Times, Shanghai Securities
Listing Report August 25,2016
News ,Hong Kong Commercial Daily and www.cninfo.com.cn.
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 Fulfillme
Commitment Type Contents making commitme
maker nt
commitment nt
If listed companies plans to sell tradable stocks
Shijiazhuang through the bid trading system of Shenzhen
Baoshi Share Stock Exchange and sell greater than 5% of Under
Commitment on March 29, Long-term
Electronics reduction shares within six months after the first sales, Fulfillme
share reform 2007 effective
Group Co., commitment will disclose the contents specified by the Form nt
Ltd Guide to Prompt Announcement of Removing
Restriction on Sales of Non-tradable Stocks of
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The Third Quarterly Report 2016
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
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 engaged in the same or similar businesses.
2.The company assurances against the use of
precious stones share any act prejudicial to the
control relationship of Dongxu Optoelectronic
Commitmen
interests and its wholly-owned subsidiaries,
ts on
holding, or causing Dongxue Optoelectronic
horizontal
Commitments shares and its wholly-owned subsidiaries, Under
competition, December Long-term
made upon Li Zhaoting holding form business competition decisions. 3. Fulfillme
related 22, 2011 effective
issuance The company will not directly invest, purchase nt
transaction
and Dongxu Optoelectronic identical or similar
and capital
business enterprises and projects.
occupation
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
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The Third Quarterly Report 2016
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 engaged in the same or similar businesses.
2.The company assurances against the use of
precious stones share any act prejudicial to the
control relationship of Dongxu Optoelectronic
interests and its wholly-owned subsidiaries,
holding, or causing Dongxue Optoelectronic
shares and its wholly-owned subsidiaries,
Dongxu holding form business competition decisions. 3.
Group, The company will not directly invest, purchase
Commitmen
Dongxu and Dongxu Optoelectronic identical or similar
ts on
Optoelectronic business enterprises and projects.
horizontal
Investment 4.If the assets owned by the Dongxu Under
competition, Long-term
Co., Ltd., Optoelectronic . compete with , the company April 1,2012 Fulfillme
related effective
Shijiazhuang will adopt effective measures and give up the nt
transaction
Baoshi same business. 5. If the company has horizontal
and capital
Electronics competition with Dongxu Optoelectronic and
occupation
Group Co., lead to lose to it, the company will bear all the
Ltd 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
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The Third Quarterly Report 2016
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.
Dongxu Group Co., Ltd. subscribed for 25.01%
Share of the shares privately issued by the Company
Dongxu April April Complete
limited and promised that the period of sale restriction
Group 18,2013 18,2016 d
commitment of such shares was 36 months from the first day
of listing.
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.
Other Valid for 5 Under
Dongxu (hereinafter referred to as Wuhu Equipment) February
Commitmen years Fulfillme
Group and Shijiazhuang Dongxu Optoelectronic 8,2015
t nt
Equipment Technology Co., Ltd. (hereinafter
referred to as Shijiazhuang Equipment). For this
purpose, Dongxu Group has made following
promises: Any patents related to panel display
glass substrate not included in the aforesaid
Contract on the Licensing of Patent
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
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The Third Quarterly Report 2016
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.
Dongxu investment/Baoshi group promised the
net profit level of the next three years and profit
compensation scheme in respective to Xuxin
Optoelectronic Technology Co., Ltd as follows:
The Net profits after deducting non-recurring
gain or loss that are attributable to Xuxin
Optoelectronic Technology Co., Ltd in year
2015, year 2016, year 2017, year 2018 shall
Dongxu
accordingly be not less than
Optoelectronic Performance
RMB23.3488million, RMB55.4205million,
Investment commitment
RMB 86.6277million, RMB 158.345 million. If
Co., Ltd., and Under
any year’s actual net profits are less than the March December
Shijiazhuang compensatio Fulfillme
estimated profits as aforesaid within the 2,2015 31,2018
Baoshi n nt
compensation period, Baoshi group shall make
Electronics arrangement
up the difference in accordance with the
Group Co., s
aforesaid principles in cash to Dongxu
Ltd
Optoelectronic Technology Co., Ltd; If the
actual net profits are not less than the estimated
profits, there is no need for Dongxu investment
Baoshi group to carry out the compensation.
The compensation period includes the year
contained the date on which the transaction
completed and the subsequent two consecutive
accounting years.
In view of:
The main business of Dongxu Optoelectronic is
the production of TFT-LCD glass substrate, and
Other Under
Dongxu the company now is applying for non-public June 17, Long-term
Commitmen Fulfillme
Group offering of stock; (2) Dongxu Group is the 2015 effective
t nt
controlling shareholder of Dongxu
Optoelectronic; and during the period of
holding, Dongxu Group has signed patent
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The Third Quarterly Report 2016
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.
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 managed hosting
companies, the other companies directly or
Commitmen
indirectly controlled by the controller or
ts on
holding company have no horizontal
horizontal
Li Zhaoting; competitions with Dongxu Optoelectronic December Under
competition, Long-term
Dongxu Technology Co., Ltd. 2. Any other companies 16, Fulfillme
related effective
Group controlled by the actual controller or holding 2015 nt
transaction
company shall avoid businesses identical or
and capital
similar to the company may lead to a
occupation
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 alterations of the actual controller
and the holding company. Any businesses
opportunities under the main business scope of
14
The Third Quarterly Report 2016
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.
Dongxu
Group;Changj
The company, one of the subscription objects,
iang Securities
promised that after Dongxu Optoelectronic
(Shanghai )As
Technology Co., Ltd completed the non public
set
issuance of shares to the company and specific
Management
objects for raising funds, the shares (New
Co.,
shares) issued by Dongxu Optoelectronic
Ltd.;Kunshan
Share Technology Co., Ltd and subscribed by the Under
Development December16 December
limited company shall not be transferred to any others Fulfillme
Zone State ,2015 16,2018
commitment in 36 months commenced from the publicly nt
Investment
listed date of the new shares. As a result of the
Co.,
issuance of new shares by the Company to the
Ltd.;Beijing
Company, the shareholding of Dongxu
Yingfei Hailin
Optoelectronic Co., Ltd. by Dongxu
Investment
Optoelectronic Co., Ltd. will also be subject to
Center
the above commitments.
(Limited
partnership).
Guangzhou
Securities Co.,
Ltd., Huaan
It was promised that after Dongxu
Future Asset
Optoelectronic Technology Co., Ltd completed
Management
the non public issuance of shares to the
(Shanghai) Share Under
company and specific objects for raising funds, December16 December
Co., limited Fulfillme
the new shares subscribed by the company shall ,2015 16,2016
Ltd.;Minsheng commitment nt
not be transferred to any others in 12 months
Bank Fund
commenced from the publicly listed date of the
Management
new shares
Co., Ltd.;
Boshi Assets
Management
15
The Third Quarterly Report 2016
Co., Ltd.
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 demands of business
operation and expansion in the company will be
Dongxu To raise
satisfied. The company promises: 1. The funds Under
Optoelectronic funds to use February 10, Valid for 5
raised through the public offering of corporate Fulfillme
Technology the 2016 years
bonds will not be directly or indirectly invested nt
Co., Ltd. commitment
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.
Qianhai The subscription of this issue a total of nine,
Equity namely Qianhai Equity Investment Fund
Investment (LP);AEGON-Industrial Fund,Shenzhen
Fund Taianer Information Technology Co.,
(LP);AEGON- Ltd.,Penghua Fund Management Co.,
Industrial Ltd.;China Fund Management Co., Ltd.,China
Fund;Shenzhe Life AMP Asset Management Co., Ltd.,Nuoan
n Taianer Fund Management Co., Ltd.,Zhongou STAS
Information Share Asset Management(Shanghai)Co., Ltd. And Under
August August
Technology limited Sws Mu Fund Management Co., Ltd.The Fulfillme
26,2016 25,2017
Co., commitment aforesaid issuer has issued the following nt
Ltd.;Penghua commitments on the non-public issue of shares:
Fund The allocated shares shall not be transferred
Management within 12 months from the date of listing of the
Co., new shares and apply for new shares in the new
Ltd.;China shares within 12 months Increase the shares to
Fund lock.
Management
Co.,
16
The Third Quarterly Report 2016
Ltd.;China
Life AMP
Asset
Management
Co.,
Ltd.;Nuoan
Fund
Management
Co.,
Ltd.;Zhongou
STAS Asset
Management(
Shanghai)Co.,
Ltd.;Sws Mu
Fund
Management
Co., Ltd.
Equity incentive
commitment
Jixing New Material Investment (HK) Co., Ltd.
and Lubao, Wang (The legal representative of
the company (HK)) jointly promised that the net
profits after tax attributable to Jixing New
Performance
Material Investment Co., Ltd in year 2015, year
Wang Lvbao, commitment
2016, year 2017 shall accordingly be not less
Jixing New and Under
than RMB30 million, RMB60 million, RMB January Long-term
Material compensatio Fulfillme
100 million. If the net profits attributable to 20,2015 effective
Investment n nt
Jixing New Material Investment Co., Ltd after
(HK) Co., Ltd. arrangement
audited in any year of year 2015, year 2016 and
Other s
year 2017 are less than the promised net profits,
commitments the difference shall be compensated by Jixing
made to New Material Investment (HK) Co., Ltd. and
minority Lubao, Wang in cash.
shareholders
Not act in excess of authority to interfere the
Dongxu Other Under
company’s management and operating February Long-term
Group,Li Commitmen Fulfillme
activities, not encroach on the interests of the 6,2016 effective
Zhaoting t nt
company.
Li Zhaoting, (a) Promised that not freely or unfairly transfer
Zhou Bo,Niu interests to other units or individuals, nor adopt
Other Under
Jianlin, Gong other ways to jeopardize the company’s February Long-term
Commitmen Fulfillme
Xin, Lu interests. (b) Promised that restrict the post 6,2016 effective
t nt
Guihua, Mu consumer behaviors of the directors and senior
Tiehu, Zhang management personnel. (c) Promised that not
17
The Third Quarterly Report 2016
Shuangcai, use the company's assets to engage in the
Shi Zhiqiang , investment &consuming activities which are
Liu irrelevant to perform the duties. (d) Promised
Wentai,Xiao that the salary system set up by the board of
Zhaoxiong directors or the Remuneration Committee is
and Zhou Bo relevant to the implementation status of the
company’s fill-up return measures. (e)
Promised that the vesting 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 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.
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 promised the profits of Shanghai
Performance
Guo Shouwu, Tanyuan Huigu New Materials Technology Co.,
commitment
Ma Shengjie, Ltd for the next three years as follows: (a)
and Under
Wu Haixia , Business performance commitment: the net March December
compensatio Fulfillme
Shen profits of Shanghai Tanyuan Huigu New 8,2016 31,2019
n nt
Wenzhuo and Materials Technology Co., Ltd in year-2016,
arrangement
Shen Li year-2017, year-2018 shall accordingly not be
s
less than RMB 5 million, 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, year-2018 accordingly do not reach
18
The Third Quarterly Report 2016
the promised net profits, the promised party
shall fully compensate the difference by cash.
Executed timely
Yes
or not?
Notes: The above-mentioned commitment party Mu Tiehu, Zhou Bo, Niu Jianlin, Shi Zhiqiang, Xiao Zhaoxiong
have been elected as a director of the board of directors is no longer a senior executive positions.
IV．Prediction of Business performance for 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. Investment in securities
□ Applicable √Not applicable
No Securities investment in period
VI. Investment in derivatives
□ Applicable √Not applicable
There is no derivative investment during the report 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
Shenzhen Stock Exchange site
February 18,2016 By Phone Organization
interactive company zone
Shenzhen Stock Exchange site
March 10,2016 Field research Organization
interactive company zone
Shenzhen Stock Exchange site
September 8,2016 Field research Organization
interactive company zone
January 1,2016 to September 30,2016 By Phone Individual None
VIII. Outward Guarantee against the Regulations
□ Applicable √ Not applicable
The Company had no guarantee outside against the regulation in the reporting period.
IX. Non-operational Occupancy of the Company’s Capital by the Controlling Shareholder and its Related
Parties
□ Applicable √ Not applicable
The Company had no non-operational fund occupation from controlling shareholders and its related party.
19
The Third Quarterly Report 2016
Dongxu Optoelectronic Technology Co., Ltd.
Board Chairman: Li Zhaoting
Issue day approved by the Board of Directors：October 31,2016
20
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