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
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 recovered at the 0
shareholders at the period-end shares and 17,487 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
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 Group
-State-owned legal 6.73% 332,382,171 Pledge 148,856,500
Co., Ltd.
person
China Fund Management Co., Ltd.－
Huaxia Bank－TTCO Trust Co., Ltd.
Other 4.51% 222,575,516
－TTCO Trust Co., Ltd.－Shunjing
No.5 Single capital trust
Minsheng Royal Fund Management
Co., Ltd.-Ping An Bank-Ping An
Other 3.71% 183,284,457
Trust-Ping An Wealth* Huitai No.163
Single Fund Trust
Bosera Capital-Ping An Bank- Ping
An Trust-Ping An Wealth* Huitai Other 3.38% 167,155,426
No.164 Single Fund Trust
Guangzhou Securities-China Guangfa
Bank-Guangzhou Securities No.2
Other 2.67% 131,964,809
Collective Asset Management Plan of
Kunpeng Dingcheng
Sws Mu Fund Management Co.,Ltd.
－China Merchants Bank－Huarun
Shen State investment trust－Ruihua Other 2.25% 111,287,758
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
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The Third Quarterly Report 2016
Single fund trust
STAS Asset Management－Ningbo
Bank－Minsheng Trust－China
Minsheng TrustZhixin No.208 Other 2.25% 111,287,758
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 (LP) -State-owned legal 2.24% 110,492,845
person
Nuoan Fund-Industrial
Securities-Nanjing Shuangan Assets Other 2.24% 110,492,845
Management Co., Ltd.
Shares held by the Top 10 Shareholders of Non-restricted shares
Number of the non-restricted Share type
Shareholders’ Names
shares held Share type Quantity
332,382,1
Shijiazhuang Baoshi Electronic Group Co., Ltd. 332,382,171 RMB Common shares
71
121,600,7
Dongxu Group 121,600,770 RMB Common shares
70
54,333,77
China Securities Finance Co., Ltd. 54,333,771 RMB Common shares
1
Bank of China－Huaxia New Economic Mixed Securities 36,608,09
36,608,098 RMB Common shares
Investment Funds 8
24,205,50
Central Huijin Investment Ltd. 24,205,500 RMB Common shares
0
16,188,70
Xie Xiantuan 16,188,700 RMB Common shares
0
Wang Yong 7,430,000 RMB Common shares 7,430,000
Yinhua Funds－Agricultural Bank of China－Yinhua CSI
6,632,927 RMB Common shares 6,632,927
Financial Asset management Plan
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
4,995,557 RMB Common shares 4,995,557
securities investment fund
Explanation on shareholders participating in the margin Among the top ten shareholders holding non-restricted negotiable
trading business shares, Dongxu Group and Baoshi Group have relationship and
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The Third Quarterly Report 2016
constitute persons taking concerted action. The Company does not
know whether there is 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
Participation of top 10 unconditional common share stockholders Xie Xiantuan holds 15,688.700 shares through stock
shareholders in securities margin trading (if any) account with credit 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
Mainly due to sales increase and
1 Monetary capital 22,239,580,714.19 12,409,510,170.26 79.21%
will increase the funds in place
Other account Mainly due to financial leases
2 55,197,871.28 65.58%
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
Mainly due to the project
Other non-current
4 243,279,174.31 52.46% prepayment is reclassified to this
assets 370,900,829.95
subject
Advances Mainly due to in advance to pay
5 97,920,689.41 255.35%
received 347,957,086.36 back the principal
6 Other account 539,796,113.78 -64.58% Mainly due to Zhengzhou Xufei,
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The Third Quarterly Report 2016
payable 191,189,379.56 Shijiazhuang Xuxin new
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
Mainly due to leaseback
9 Deferred income 246,925,387.61 41.33%
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 impairment
13 -4,875,826.03 217.72% debts is increased in the current
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 generated by 8,960,824,235.97 2,105,064,497.79 325.68%
place
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
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The Third Quarterly Report 2016
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
Commitmen Commitment Fulfillm
Type Contents making commitme
t maker ent
commitment nt
If listed companies plans to sell tradable stocks through
the bid trading system of Shenzhen Stock Exchange and
Shijiazhuang
Share sell greater than 5% of shares within six months after the
Commitmen Baoshi Under
reduction first sales, will disclose the contents specified by the March 29, Long-term
t on share Electronics Fulfillm
commitme Form Guide to Prompt Announcement of Removing 2007 effective
reform Group Co., ent
nt Restriction on Sales of Non-tradable Stocks of Listed
Ltd
Companies through the prompt announcement of
disclosing sales of listed companies.
Commitmen
t in the
acquisition
report or the
report on
equity
changes
Commitmen
t made upon
the assets
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The Third Quarterly Report 2016
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 interests and its wholly-owned
Commitm
subsidiaries, holding, or causing Dongxue Optoelectronic
ents on
shares and its wholly-owned subsidiaries, holding form
horizontal
business competition decisions. 3. The company will not Under
competitio December Long-term
Li Zhaoting directly invest, purchase and Dongxu Optoelectronic Fulfillm
n, related 22, 2011 effective
identical or similar business enterprises and projects. ent
transaction
4.If the assets owned by the Dongxu Optoelectronic .
and capital
compete with , the company will adopt effective measures
occupation
and give up the same business.5. If the reason of the
oneself is the cause of horizontal competition with
Commitmen
Baoshi Stock and resulted in losses to Baoshi Stock,
ts made
the oneself will bear the relevant full
upon
responsibilities.6. Under the circumstance with in
issuance
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 ,
Dongxu
this company and majority-owned subsidiaries do not in
Group,
Commitm any way, directly or indirectly engaged in business and
Dongxu
ents on Dongxue Optoelectronic and its subsidiaries are the same,
Optoelectronic
horizontal or similar, future Dongxue Optoelectronic shares and its
Investment Under
competitio subsidiaries are not engaged in the same or similar Long-term
Co., Ltd., April 1,2012 Fulfillm
n, related businesses. effective
Shijiazhuang ent
transaction 2.The company assurances against the use of precious
Baoshi
and capital stones share any act prejudicial to the control relationship
Electronics
occupation of Dongxu Optoelectronic interests and its wholly-owned
Group Co.,
subsidiaries, holding, or causing Dongxue Optoelectronic
Ltd
shares and its wholly-owned subsidiaries, holding form
business competition decisions. 3. The company will not
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The Third Quarterly Report 2016
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 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.
Share Dongxu Group Co., Ltd. subscribed for 25.01% of the
Dongxu limited shares privately issued by the Company and promised April April Complet
Group commitme that the period of sale restriction of such shares was 36 18,2013 18,2016 ed
nt 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
Other shareholder of Dongxu Optoelectronic; and during the Valid for 5 Under
Dongxu February
Commitm period of holding, Dongxu Group has signed patent years Fulfillm
Group 8,2015
ent license contracts separately with Dongxu Optoelectronic ent
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.
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The Third Quarterly Report 2016
(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: 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 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
Dongxu Optoelectronic Technology Co., Ltd in year 2015, year
Performan
Optoelectronic 2016, year 2017, year 2018 shall accordingly be not less
ce
Investment than RMB23.3488million, RMB55.4205million, RMB
commitme
Co., Ltd., 86.6277million, RMB 158.345 million. If any year’s Under
nt and March December
Shijiazhuang actual net profits are less than the estimated profits as Fulfillm
compensat 2,2015 31,2018
Baoshi aforesaid within the compensation period, Baoshi group ent
ion
Electronics shall make up the difference in accordance with the
arrangeme
Group Co., aforesaid principles in cash to Dongxu Optoelectronic
nts
Ltd 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.
Dongxu Other In view of: June 17, Long-term Under
Group Commitm The main business of Dongxu Optoelectronic is the 2015 effective Fulfillm
12
The Third Quarterly Report 2016
ent production of TFT-LCD glass substrate, and the company ent
now is applying for non-public 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.
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 indirectly controlled by the
Commitm controller or holding company have no horizontal
ents on competitions with Dongxu Optoelectronic Technology
horizontal Co., Ltd. 2. Any other companies controlled by the actual
Li Zhaoting; December Under
competitio controller or holding company shall avoid businesses Long-term
Dongxu 16, Fulfillm
n, related identical or similar to the company may lead to a effective
Group 2015 ent
transaction competitive relation and cannot do any harm activities to
and capital Dongxu Optoelectronic Technology Co., Ltd and
occupation 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
Dongxu Optoelectronic Technology Co., Ltd and its
controlled companies shall not take by the companies
controlled by the actual controller or the holding
13
The Third Quarterly Report 2016
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
iang Securities
(Shanghai )As The company, one of the subscription objects, promised
set that after Dongxu Optoelectronic Technology Co., Ltd
Management completed the non public issuance of shares to the
Co., company and specific objects for raising funds, the shares
Ltd.;Kunshan Share (New shares) issued by Dongxu Optoelectronic
Under
Development limited Technology Co., Ltd and subscribed by the company shall December16 December
Fulfillm
Zone State commitme not be transferred to any others in 36 months commenced ,2015 16,2018
ent
Investment nt from the publicly listed date of the new shares. As a result
Co., of the issuance of new shares by the Company to the
Ltd.;Beijing Company, the shareholding of Dongxu Optoelectronic
Yingfei Hailin Co., Ltd. by Dongxu Optoelectronic Co., Ltd. will also be
Investment subject to the above commitments.
Center
(Limited
partnership).
Guangzhou
Securities Co.,
Ltd., Huaan
Future Asset
Management It was promised that after Dongxu Optoelectronic
(Shanghai) Share Technology Co., Ltd completed the non public issuance
Under
Co., limited of shares to the company and specific objects for raising December16 December
Fulfillm
Ltd.;Minsheng commitme funds, the new shares subscribed by the company shall ,2015 16,2016
ent
Bank Fund nt not be transferred to any others in 12 months commenced
Management from the publicly listed date of the new shares
Co., Ltd.;
Boshi Assets
Management
Co., Ltd.
Dongxu To raise In view of: Dongxu Optoelectronic Technology Co., Ltd.
Under
Optoelectronic funds to is applying for public offering of corporate bonds, and the February 10, Valid for 5
Fulfillm
Technology use the total scale of bonds will not exceed 1 billion yuan. After 2016 years
ent
Co., Ltd. commitme the deduction of issue expenses, all the funds raised are
14
The Third Quarterly Report 2016
nt 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
satisfied. The company promises: 1. The funds raised
through the public offering of corporate bonds will not be
directly or 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.
Qianhai
Equity
Investment
Fund
(LP);AEGON-
Industrial
Fund;Shenzhe
n Taianer The subscription of this issue a total of nine, namely
Information Qianhai Equity Investment Fund (LP);AEGON-Industrial
Technology Fund,Shenzhen Taianer Information Technology Co.,
Co., Ltd.,Penghua Fund Management Co., Ltd.;China Fund
Ltd.;Penghua Management Co., Ltd.,China Life AMP Asset
Fund Management Co., Ltd.,Nuoan Fund Management Co.,
Share
Management Ltd.,Zhongou STAS Asset Management(Shanghai)Co., Under
limited August August
Co., Ltd. And Sws Mu Fund Management Co., Ltd.The Fulfillm
commitme 26,2016 25,2017
Ltd.;China aforesaid issuer has issued the following commitments on ent
nt
Fund the non-public issue of shares: The allocated shares shall
Management not be transferred within 12 months from the date of
Co., listing of the new shares and apply for new shares in the
Ltd.;China new shares within 12 months Increase the shares to lock.
Life AMP
Asset
Management
Co.,
Ltd.;Nuoan
Fund
Management
Co.,
Ltd.;Zhongou
15
The Third Quarterly Report 2016
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
Performan (HK)) jointly promised that the net profits after tax
ce attributable to Jixing New Material Investment Co., Ltd
Wang Lvbao,
commitme in year 2015, year 2016, year 2017 shall accordingly be
Jixing New Under
nt and not less than RMB30 million, RMB60 million, RMB 100 January Long-term
Material Fulfillm
compensat million. If the net profits attributable to Jixing New 20,2015 effective
Investment ent
ion Material Investment Co., Ltd after audited in any year of
(HK) Co., Ltd.
arrangeme year 2015, year 2016 and year 2017 are less than the
nts promised net profits, the difference shall be compensated
by Jixing New Material Investment (HK) Co., Ltd. and
Lubao, Wang in cash.
Dongxu Other Not act in excess of authority to interfere the company’s Under
February Long-term
Group,Li Commitm management and operating activities, not encroach on the Fulfillm
6,2016 effective
Other Zhaoting ent interests of the company. ent
commitment (a) Promised that not freely or unfairly transfer interests
s made to to other units or individuals, nor adopt other ways to
minority jeopardize the company’s interests. (b) Promised that
shareholders Li Zhaoting, restrict the post consumer behaviors of the directors and
Zhou Bo,Niu senior management personnel. (c) Promised that not use
Jianlin, Gong the company's assets to engage in the investment
Xin, Lu &consuming activities which are irrelevant to perform the
Guihua, Mu duties. (d) Promised that the salary system set up by the
Other Under
Tiehu, Zhang board of directors or the Remuneration Committee is February Long-term
Commitm Fulfillm
Shuangcai, relevant to the implementation status of the company’s 6,2016 effective
ent ent
Shi Zhiqiang , fill-up return measures. (e) Promised that the vesting
Liu conditions of the company’s equity incentive are relevant
Wentai,Xiao to the implementation status of the company’s fill-up
Zhaoxiong return measures. (f) Promised the full implementation of
and Zhou Bo 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
16
The Third Quarterly Report 2016
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
Performan
Tanyuan Huigu New Materials Technology Co., Ltd for
Guo Shouwu, ce
the next three years as follows: (a) Business performance
Ma Shengjie, commitme
commitment: the net profits of Shanghai Tanyuan Huigu Under
Wu Haixia , nt and March December
New Materials Technology Co., Ltd in year-2016, Fulfillm
Shen compensat 8,2016 31,2019
year-2017, year-2018 shall accordingly not be less than ent
Wenzhuo and ion
RMB 5 million, RMB 10 million, RMB 20 million. (b)
Shen Li arrangeme
Compensation mode: if the net profits of Shanghai
nts
Tanyuan Huigu New Materials Technology Co., Ltd in
year-2016, year-2017, year-2018 accordingly do not
reach the promised net profits, the promised party shall
fully compensate the difference by cash.
Executed
timely or Yes
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
17
The Third Quarterly Report 2016
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.
Dongxu Optoelectronic Technology Co., Ltd.
Board Chairman: Li Zhaoting
Issue day approved by the Board of Directors：October 31,2016
18
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