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冰山B(200530.SZ)

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公司章程—冰山B(200530)
大冷B:公司章程(2020年3月)(英文版)(查看PDF公告PDF版下载)
公告日期:2020-03-19
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大冷股份:公司章程(2020年3月)(查看PDF公告PDF版下载)
公告日期:2020-03-19
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大冷B:公司章程(英文版)(查看PDF公告PDF版下载)
公告日期:2019-05-18
ARTICLES OF ASSOCIATION OF DALIAN REFRIGERATION CO., LTD. Approved by 2018 Shareholders’ General Meeting [English translation for reference only. Should there be any inconsistence between the Chinese and English version, then the Chinese version should prevail.] 1 CONTENTS Chapter 1 General Provisions…………………………………………………3 Chapter 2 Objectives, Scope of Business and Method of Operation……. ….4 Chapter 3 Registered Capital, Share and Share Certificates……….…….5 Chapter 4 Shareholders……………………………………………………...….10 Chapter 5 General Meeting………………………………………………….…12 Chapter 6 Board of Directors……………..……………………………………20 Chapter 7 Supervisory Board…………………………………………………28 Chapter 8 Business Management Structure……………………..……………30 Chapter 9 Labour and Personnel Management…………………..………….32 Chapter 10 Finance, Accounting and Auditing……………………………33 Chapter 11 Profits Distribution…………………………………………….35 Chapter 12 Merger and Division……………………………………………37 Chapter 13 Dissolution and Liquidation……………………………………38 Chapter 14 Disclosure of Information…………………………………….40 Chapter 15 Amendment of the Articles of Association………………..41 Chapter 16 Supplementary Provisions……………………………………41 2 Chapter 1 General Provisions Article 1. 1 Principles of the Articles of Association Pursuant to the "Company Law of the People's Republic of China" (the "Company Law") and other relevant laws, rules and regulations, the Articles of Association are prepared with a view to establishing the legal status of Dalian Refrigeration Company Limited (the "Company"), regulating the operations, management, organization and activities of the Company, and protecting the legal interests of the Company, shareholders and creditors. Article 1.2 Name, Address and Legal Representative of the Company The registered Chinese name of the Company is: 大连冷冻机股份有限公司 The English name of the Company is: Dalian Refrigeration Company Limited. The address of the Company is: 106 East Road of Liaohe, Dalian City Economic and Technological Development Zone with postcode 116630 The Chairman of the Company shall be the legal representative of the Company. Article 1. 3 Method of Establishing the Company The Dalian Bingshan Group Company acted as the promoter pursuant to the document No. (1993)7 issued by the Dalian Economic System Reform Committee, converted the stated-owned assets in Dalian Refrigeration Factory into state shares as authorized by the Dalian State-owned Assets Administration Bureau, and then set up the Company by way of a initial public offer of legal person shares, public individual shares and employee shares with the approval of the China Securities Regulatory Commission. The Company was registered with the Dalian Administrative Bureau For Industry and Commerce on 18th December, 1993 and obtained a business license No. 24236130-0. Article 1. 4 Form of the Company The Company takes the form of a company limited by shares, i.e. the entire capital of the Company is divided into shares with equal nominal value and the liability of a shareholder to the Company is limited to the nominal value of the shares held by the shareholder. The Company commits its entire assets to assume its liabilities. Article 1. 5 Legal Status of the Company The Company possesses the status of an independent legal person. The laws of the People's Republic of China (the "PRC") govern the Company's activities and protect the legal rights and interests of the Company. The Company shall enjoy exclusive proprietary rights over the assets injected into the Company by the shareholders (including the State). The Company shall have independent autonomy over its operation, management and financial budget, and shall enjoy civil rights and assume civil liabilities in accordance with the laws. Article 1.6 Principle of Purchasing Shares in the Company The Company shall ensure that the shares in the Company are purchased voluntarily and that the same rights in relation to the sharing of profits and the assumption of risks shall attach to shares of the same class. Article 1.7 External Investment The Company has the right to invest in other limited companies or joint stock companies and assumes liabilities as limited by the amount of investment. The Company shall not become a shareholder with unlimited liability of any profit-making organizations. Article 1.8 External guarantee The Company cannot guarantee for any entity without legal personality or personal, the 3 Company guarantee for the controlling shareholder and other related party must review and approval by the general meeting of shareholders.The total amount of guarantee issuance of the Company shall not exceed 50% of the net assets listed in the consolidated accounting statement for the last fiscal year. The procedure for approving guarantee issuance of the Company: the Company’s issuing any guarantee must be approved by the general shareholders meeting or the Board of Directors of the Company. Issuing any guarantee with the guaranteed amount accounting for less than 10% of the Company’s net assets audited recently shall be approved by 2/3 of the total directors of the Board. Any guarantee issuance with the guaranteed amount accounting for 10% or more of the Company’s net assets audited recently shall be approved by the general shareholders meeting of the Company. Any guarantee after the total amount of external guarantees provided by the Company and its holding subsidiaries reaches or exceeds 50% of the audited net assets as at the most recent period end must be approved by the general meeting of shareholders. Any guarantee after the total amount of external guarantees provided by the Company reaches or exceeds 30% of the audited total assets as at the most recent period end must be approved by the general meeting shareholders. The credit standing requirement for guaranteed objects: the bank credit rating shall not be lower than AA and the asset-liability ratio not higher than 70%. Article 1.9 Term of Operation The Company is deemed to be a joint stock company with a going concern except in the cases as described in Chapter 12 and Chapter 13. Article 1. 10 Legal Effect of the Articles of Association The Articles of Association are the rules of highest authority for the Company's organization and activities and shall be legally binding on the Company, the Company's shareholders, directors, supervisors, and general manager and other senior managing staff. As the Articles of Association are a public legal document, any acts of subscribing for the shares of the Company (whether the shares of the Company can be legally and successfully obtained or not) shall be considered to have the legal effect that: the person subscribing for the Company's shares has voluntarily accepted all the terms and conditions, and the binding effect of the Articles of Association on him without reservation. Chapter 2 Objectives, Scope of Business and Method of Operation Article 2.1 Objectives of the Company The objectives of the Company are: to follow the trend of the development of a socialist market economy; to implement scientific management; to fully utilize the existing human resources, financial resources and material resources to enable a stable and rapid development of the Company; to promote actively the development in refrigeration, air-conditioning and other businesses of the Company; to protect and increase its asset value; to safeguard the legal rights and interests of all shareholders to enable them to receive a satisfactory return on their investments. Article 2.2 Scope of Business The scope of business of the Company is as follows: Its main business is to process and manufacture refrigeration equipment and auxiliary machines, valves, component parts and the accessory products required in refrigeration 4 engineering packages. Subsidiary businesses include the design, manufacturing, installation, maintenance, calibration of refrigeration and air-conditioning systems and technical consultation, technical services, trading and supply of materials. As required by the business development of the Company, the Company may carry out other relevant businesses with the approval of the companies registration authority. Article 2.3 Mode of Operation The modes of operation of the Company include processing, manufacturing, wholesale, retail import and export, investment, selling agency, buying agency, leasing and servicing. As required by the business development of the Company, with the approval of the relevant government departments, the Company may establish joint ventures with domestic and foreign companies, or set up branches, representative offices or agency organizations within or outside the PRC. Article 2.4 Adjustment of the Scope of Business and the Mode of operation As required by the changing conditions of the market and the business development of the Company, the Company may adjust its business scope and operation mode. If the business scope and the operation mode is adjusted, the Articles of Association shall be amended accordingly and the amended Articles of Association shall be registered with the companies registration authority. If the business scope adjusted falls within the category of restricted business under the laws and regulations of the PRC, the approval of the relevant government departments shall be obtained. Chapter 3 Registered Capital, Share and Share Certificates Article 3.1 Registered Capital The registered capital of the Company shall be the total paid up capital of RMB 843,212,507. Article 3.2 Division of Registered Capital The total registered capital of the Company shall be divided into shares with equal nominal value 1 for which share certificates shall be issued. The Company has in issue 843,212,507shares in total, with a par value of RMB1.00 each. Article 3.3 Types and Composition of Registered Capital The shares issued by the Company are all ordinary shares. The shares of the Company are divided into Renminbi ordinary shares and domestically listed foreign investment shares. All these stocks are put on trust to China Securities Registry & Settlement Co., Ltd. Shenzhen Branch. Renminbi ordinary shares ("A Shares ") shall be held by legal persons or other organisations registered in the PRC, natural persons of PRC nationality, or entities stipulated by the laws of the PRC or approved by the relevant government authorities of the PRC. A Shares comprise State shares, legal person shares and public individual shares. Domestically listed foreign investment shares ("B Shares") shall be held by natural persons, legal persons, and other organizations of foreign countries; legal persons, natural persons and other organizations of Hong Kong, Macau and Taiwan; PRC nationals residing overseas or other investors as stipulated by the Securities Committee of the State Council. 5 The structure of the issued share capital of the Company is as follows: Type of shares Number of shares Renminbi ordinary shares 601,712,507 Domestically listed foreign investment shares 241,500,000 Article 3.4 Contribution of Share Capital Shareholders may, in accordance with the provisions of the Articles of Association and the PRC laws, make capital contributions to the Company in form of cash or by means of injection of tangible assets such as buildings, factories, machinery equipment or intangible assets such as industrial property rights, non-patented technologies and land use rights, in exchange for the shares of the Company. A good legal title held by the shareholders over the assets to be injected shall be a pre-requisite to the injection of assets in exchange for the shares of the Company. In addition I such injection of assets in exchange for the Company's shares shall comply with the Company Law and any conditions imposed by the Board of Directors of the Company. Article 3.5 Limitations on the Holding of Shares Any investor who comes to hold 5 percent of the shares issued by the Company directly or indirectly shall, within three days from the date on which such shareholding becomes a fact, submit a written report to China Securities Regulatory Committee and Shenzhen Stock Exchange, notify the Company and make the fact known to the general public. Once an investor holds 5 percent of the shares issued by the Company, he shall, pursuant to the provisions of the preceding paragraph, report and make announcement of each 5 percent increase or decrease in the proportion of the issued shares he holds of the Company through securities trading on a stock exchange. During the reporting period, and for two days after the report and announcement are made, the investor may not continue to purchase or sell shares of the Company. However, where the amount of shares held by an investor exceeds the abovementioned limitation of 5 per cent as a result of a decrease in the total number of shares of the Company, the above restrictions will not apply. If the shareholder described in the preceding paragraph sells , within six months of purchase, the shares he holds of the Company or repurchases the shares within six months after selling the same , the earnings so obtained by the shareholder shall belong to the Company and be recovered by the Board of Directors of the Company . However, a securities company that has a shareholding of not less than 5 percent due to purchase of the remaining shares not he capacity of a company that underwrites as the sole agent shall not be subject to the restriction of six months when selling the said shares. The provision of the preceding paragraph is suitable for directors, supervisors, general manager, and other senior mangers of the Company. In this Article, shares are deemed to be indirectly held by an individual or a legal person if the shares are held by the companies, beneficially owned by an individual or by the affiliates of the legal persons, or under the control of an individual or a legal person although held by other legal entities. Article 3.6 Share Issue Payment should be made in full upon subscription for new issued shares. Once subscribed, the shares cannot be returned. 6 The principles of openness, fairness and justice shall be observed in the issue of the Company's shares and the same rights, dividends I share of profits and assumption of risks shall attach to shares of the same class. The issue conditions and issue price for the shares under the same issue shall be the same. Shares may be issued at a par value or at a premium but shall not be issued at a discount. General meetings shall resolve the following matters when the Company intends to issue new shares: 1. type and number of the new shares; 2. placing price of the new shares; 3. type and number of the new shares to be issued to the existing shareholders. Article 3.7 Form and Registration of Share Certificates The issued share capital of the Company takes the form of share certificates which constitute the written evidence of the respective shareholdings of the shareholders, and are issued and signed by the Company. The Company uses the register of shareholders registered by the securities registration authorities as the evidence of the existing shareholdings. Registration records in the register of shareholders shall be conclusive evidence for such shareholdings. Article 3.8 Transfer and Trading of Shares Shareholders holding the Renminbi ordinary shares and domestically listed foreign investment shares of the Company may, subject to the laws, the trading regulations of the stock exchange on which the Company's shares are listed and other relevant regulations and laws, sell the shares held by them by agreement to other legal persons or natural persons who are legally eligible to hold such shares. However, any transfer of the state-owned shares shall be approved by the state-owned assets administration departments. The placing rights and other derivative rights attached to the shares held by the shareholders of the Company may be transferred and traded in accordance with the relevant laws and regulations. The Company shall only recognize the transferees of registered shares as the Company's shareholders after the names and addresses of the transferees have been recorded in the register of shareholders and verified by the statutory registration authorities. The Company’s directors, supervisors, general manager and other senior management members shall regularly declare to the Company their shareholdings in the Company and any changes during their tenure of office, and any share transfer by a director, supervisor, general manager or senior management member shall not exceed 25% of the total shares held by him/her in the Company each year during his/her tenure of office. Any shares of the Company held by them are prohibited being transferred within one year from the shares are listed and traded. Anyone above-mentioned shall not transfer his/her held shares of the Company within six months from his/her demission. The shares held by the promoter of the Company shall not be transferred within one year from the date of establishment of the Company. Article 3.9 Gift, Mortgage and Succession of Shares The Company's shareholders may transfer the shares of the Company held by them by way of gift, mortgage and succession in accordance with the laws and regulations. Any transfer of the Company's shares by way of gift and succession shall be registered with the statutory registration authorities upon presentation of valid and enforceable legal 7 documents. A mortgage over the Company's shares shall be registered with the registration authorities as required by the laws and regulations. The Company shall not accept any mortgage the subject of which are the Company's shares. Article 3.10 Amalgamation and Division of Shares As required by the production, operation and development of the Company, the Company may, subject to the proposal of the Board of Directors and the resolutions passed at a general meeting, amalgamate or divide the Company's shares in a specified ratio. Article 3.11 Increase of Issued Share Capital As required by business development of the Company, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, increase the Company's issued share capital by the followings means: 1. issuing shares in a public manner; 2. issuing shares in a non-public manner; 3. bonus issue to the existing shareholders; or 4. other methods in compliance with the relevant laws and regulations. Article 3.12 Re-issue of Share Certificates Where registered share certificates of the Company have been stolen, lost or destroyed, shareholders shall notify the Company or securities registration authorities appointed by the Company in writing, and shall apply to the People's Court for declaring such share certificates as null and void in accordance with the provisions of "The Code of Civil Procedures of the PRC". Upon declaration by the People's Court of such share certificates to be null and void, the shareholders may apply to the Company or securities registration authorities appointed by the Company for the re-issue of share certificates. Article 3.13 Other Classes of Shares Where necessary, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, issue preference shares or other classes of shares and corporate bonds (including but not limited to convertible bonds). Where preference shares or other classes of shares and corporate bonds are issued, in addition to the compliance with the relevant laws and regulations, the shareholders at general meeting shall lay down clear regulations to govern the rights and obligations of the holders of such securities, and the Articles of Association shall also be amended accordingly subject to the passing of relevant resolutions at the general meeting. Article 3.14 Reduction of Registered Capital In accordance with the laws, regulations and the provisions of the Articles of Association, the Company may reduce its registered capital. In the event that the Company reduces its registered capital, a balance sheet and a list of properties shall be prepared. The Company shall inform the creditors of its decision to reduce the registered capital within ten days since such a decision is made, and announce it on the newspapers specified in Art. 14 of the Articles of Association within 30 days. The creditors shall have the right to ask the Company to pay off the debits or provide appropriate guarantees for paying off the debts within 30 days from receiving the notice or within 45 days from the date of announcement if he/she does not receive the notice. 8 The Company's registered capital after reduction shall not be less than the statutory minimum amount. Article 3.15 Re-purchase of Shares In the following circumstances, the Company may re-purchase its issued shares in accordance with the procedures prescribed in the Articles of Association or laid down by the stock exchange where the shares are listed and with the approval of the relevant government departments: 1. cancellation of shares for the reduction of the Company's registered capital; 2. merger with other companies holding the Company's shares; 3. applying shares to employee stock ownership plan or equity incentive; 4. there is any shareholder who has objections on the general meeting’s decision for mergence or split of the Company and requests the Company to repurchase his/her shares; 5. applying shares to convert corporate bonds convertible to stocks issued by listed companies; or 6. necessity of listed companies to maintain company value and shareholders' rights and interests. Except in the above circumstances, the Company does not engage in trading in its stocks. The Company may repurchase shares in one of the following ways: 1. The way of centralized bidding in stock exchanges; 2. The mode of offer; 3. Other ways approved by CSRC. Where the Company purchases its shares under the circumstances specified in items (3), (5) and (6) of paragraph 1 of this article, it shall adopt an open and centralized trading method. Art. 3.16 Disposal of the Repurchased Shares Where the Company purchases its shares under the circumstances of items (1) and (2) of article 3.15 of the Articles of Association, it shall be decided by the shareholders' general meeting. Where the Company purchases its shares under the circumstances specified in items (3), (5) and (6) of article 3.15 of the Articles of Association, the decision of the board meeting attended by more than two-thirds of the directors shall be adopted. Where the Company purchases its shares in accordance with article 3.15 of the Articles of Association, if it belongs to the case of item (1), it shall cancel them within 10 days from the date of acquisition; if it belongs to items (2) and (4), it shall transfer or cancel them within 6 months; if it belongs to items (3), (5) and (6), the total number of shares held by the Company shall not exceed the number of 10% of the total shares the Company has issued, and shall transfer or cancel them within three years after disclosing the results of repurchase and the announcement of changes in shares. After the acquisition of the Company's shares, the Company shall fulfill its obligation of information disclosure in accordance with the provisions of the Securities Law. The par value of the cancelled shares shall be reduced from the registered capital of the Company. Article 3.17 Liability for Compensation The Company shall not be liable to compensate anyone who suffers losses resulting from the cancellation of the original share certificates or the re-issue of share certificates unless 9 the party concerned can prove that such losses are caused by the Company's omissions or fraudulent acts. Article 3.18 Financial Assistance The Company and its subsidiaries shall not in any way provide financial assistance to subscribers to subscribe for the Company's shares. The above-mentioned financial assistance refers to any gifts, guarantees, price reductions or advances for the purpose of reducing or exempting the subscribers' payment obligations for subscription of the Company's shares. Where the Company distributes new shares to shareholders in proportion to their shareholdings as a result of capitalization of provident funds or profits in accordance with the laws, the restriction stipulated in this Article shall not apply. Article 3.19 Registration of Changes When the increase or reduction of the Company's registered capital is subject to approval. such approval shall be sought from the approving authorities and the increase or reduction must be registered with the companies registration authorities. Chapter 4 Shareholders Article 4.1 Shareholders Holders of the Company's shares shall be the Company's shareholders. Subject to contrary evidence, the register of shareholders shall be the conclusive evidence of the identities of the Company's shareholders. In accordance with the Articles of Association and the laws and regulations, the shareholders' liabilities to the Company shall be limited to the nominal value of the shares held by them and the shareholders are entitled to the corresponding rights provided by the Articles of Association and the laws and regulations. In the event that any shareholder of the Company is a legal person, its rights shall be exercised by its legal representative or the agent of its legal representative on its behalf. Article 4.2 Shareholders' rights The shareholders of the Company's ordinary shares shall be entitled to the following rights: 1. to receive dividends and benefits in other forms on their shares; 2. to request, convene, preside or attend the general meetings of the Company in person or by proxy and exercise the rights to vote; 3. to conduct supervision, give suggestions and make queries in respect of the operation and financial management of the Company; 4. to transfer the shares held by them by way of transfer, gift or mortgage in accordance with the relevant laws and regulations and the Articles of Association; 5. to inspect the Company's Articles of Association, the list of shareholders, the minutes of general meetings, the minutes of the Board of Directors, the minutes of the Board of supervisors, and financial accounting report; 6. to be entitled to the net assets of the company in proportion to their shareholdings in the event that the Company becomes insolvent and is wound up; 7. to require the Company to acquire their shares for those shareholders who object to resolution on the merger and separation of the Company made by the shareholders’ general meeting; 8. to enjoy other rights as stipulated by the relevant laws and regulations and the Articles 10 of Association. For the procedure for convening a general meeting or a meeting of the Board of Directors or the method of voting in violation of the laws, regulations or these Articles of Association, or any resolution in violation of these Articles of Association, the shareholders shall have the right to appeal to the people’s court for cancellation within 60 days from the day when such resolution is adopted. In case of any director or senior management member, who violates the laws and regulations or these Articles of Association in his/her duty and causes loss to the Company, any shareholder(s) who individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to submit the written request to the Board of Supervisors for bringing suit to the people’s court. In case the Board of Supervisors violates the laws and regulations or these Articles of Association in its duty, which causes loss to the Company, any shareholder shall have the right to submit the written request to the Board of Directors for bringing suit to the people’s court. If the Board of Supervisors or Board of Directors refuses to bring suit after receiving the aforementioned written request, or fails to bring suit within 30 days after receiving the request, or fails to bring suit immediately in case of emergency, which may cause irretrievable impairment to the Company’s interest, the aforementioned shareholder(s) shall have the right to bring suit directly to the people’s court in his/her/their name(s) for the Company’s interest. In case any other person infringes the legal rights and interests of the Company, which causes loss to the Company, any shareholder(s) individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to bring suit to the people’s court as stipulated in the above two clauses. In case any director or senior management member violates the laws and regulations or these Articles of Association, which impairs the shareholders’ interest, any shareholder shall have the right to bright suit to the people’s court. Article 4.3 Shareholders' Obligations Shareholders holding ordinary shares shall perform the following obligations: 1. to observe the Articles of Association; 2. to pay up punctually for the shares subscribed in accordance with the method of subscription; 3. to obey and implement resolutions passed at general meetings pursuant to the laws; 4. to disclose certain information when their shareholdings reach the statutory prescribed amount; 5. not to engage in any malicious activities which are detrimental to the interests of the Company; 6. to perform other obligations stipulated in the relevant laws and regulations and the Articles of Association. Article 4.4 Behavior of controlling shareholders The proprietary shareholders and actual controllers of the Company shall have the obligation to be faithful to the company and social public shareholders. The proprietary shareholders should exercise the rights as contributors strictly by law, without detriment to the legal interests of the company and social public shareholders by taking advantage of any associate transaction, profit distribution, assets regrouping, external investment, occupation of funds, financial guarantee, etc. and no detriment to the interests of the 11 company and social public shareholders by taking advantage of the holding position. The controlling shareholder shall 1. strictly abide by the laws and regulations, and the conditions and procedures stipulated in the Articles of Association in nominating candidates of directors and supervisors; 2. not be engaged in any approval for the general meeting's resolutions on personnel election or for the Board of Directors' resolutions on personnel appointment; 3. not appoint or dismiss any senior staff members bypassing the general meeting and the Board of Directors; and 4. not intervene, directly or indirectly, the Company's decision-making and legal production and business activities, and not harm the interests of the Company and other shareholders. Article 4.5 Meaning of Controlling Shareholder The controlling shareholder mentioned in Article 4.4 refers to any person who satisfies any of the following conditions: 1. He can elect more than half of the Board of Directors when acting alone or in concert with other persons; 2. He can exercise or control over 30 per cent of the voting rights of the Company when acting alone or in concert with other persons; 3. He holds over 30 per cent of the issued shares of the Company when acting alone or in concert with other persons; or 4. He has actual control of the Company by any other means when acting alone or in concert with other persons. Article 4.6 The Composition of the Register of Shareholders The Company shall keep a complete register of its shareholders. The register of shareholders shall be registered by the securities registration authorities. Article 4.7 Registration Day of Shareholding Where the Company convenes a general meeting) distributes dividends) goes into liquidation or engages in other acts which require confirmation of shareholdings, the Board of Directors shall fix a day as a reference date for registration of shareholdings for confirmation purposes. At the close of such registration day) shareholders whose names appear on the register of shareholders shall be deemed to be the shareholders of the Company. The interval between the date of equity registration and the date of meeting shall be not more than 7 working days. Once the date of equity registration is confirmed, it shall not be altered. Chapter 5 General Meeting Article 5.1 General Meeting All the shareholders of the Company who are entitled to exercise their rights and powers of the Company in general meetings have the highest authority according to the Company Law and the Articles of Association. Article 5.2 Annual General Meeting and Extraordinary General Meeting A general meeting shall be either an annual general meeting or an extraordinary general meeting. The general meeting shall be held at a designated place in a manner of on-site meeting. The Company will also provide shareholders with the network facilities.Any shareholder, who attends the general meeting in one of the above manners, shall be 12 regarded as his/her presence. The general meeting on site shall not end up until the meeting in the network manner ends up. The general meeting shall be held at the location of the Company. Article 5.3 Annual General Meeting An annual general meeting shall be held once every year within 6 months after the end of every financial year. The interval between two annual general meetings shall not exceed 15 months. Article 5.4 Extraordinary General Meeting An extraordinary general meeting shall be convened within 2 months of the occurrence of any of the following events: 1. the Board of Directors considers it necessary or if proposed by the Supervisory Board; 2. a written request is made by a shareholder or shareholders holding more than 10 per cent (including 10 per cent) of the issued share capital of the Company; 3. the number of directors falls short by two-thirds of the statutory number or the number stipulated in the Articles of Association; 4. the Company's losses represent one-third or more of the total registered capital; 5. more than one half of the independent directors propose to convene the meeting. A written request by the shareholders holding 10 per cent or more of the issued share capital of the Company shall be submitted to the Board of Directors. Extraordinary general meeting shall not pass any resolution concerning proposals that are not set out in the notice of the meeting. For any proposal of independent directors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; or explain the reason and make announcement if it does not approve to convene the general meeting. For any proposal of the Board of Supervisors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the Board of Supervisors. The Board of Directors’ disapproval to convene the extraordinary general meeting or failure to give any feedback within ten days after receiving the proposal shall be regarded as the Board of Directors’ being unable to perform or failing to perform the obligations to convene the general meeting, and the Board of Supervisors may convene and preside over the meeting itself. For any proposal of shareholder(s) who individually or jointly holds 10% or more of the Company’s shares for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors 13 shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). If the Board of Directors does not approve to convene the extraordinary general meeting, or fails to give any feedback within ten days after receiving the proposal, the shareholder(s) who individually or jointly holds 10% or more of the Company’s shares shall have the right to submit proposal in written form to the Board of Supervisors for convening the extraordinary general meeting. The Board of Supervisors shall give the notification of convening the extraordinary general meeting within five days after receiving the proposal if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). The Board of Supervisors’ failure to give the notification of the general meeting within the specified period shall be regarded as its failure to convene and preside over the general meeting and any shareholder(s) individually or jointly holding 10% or more of the Company’s shares for a period of continuative 90 days may convene and preside over the general meeting themselves. The Board of Supervisors or shareholders shall inform in writing the Board of Directors of any decision to convene the general meeting themselves to file to the local agency of China Securities Regulatory Commission and the Securities Exchange. The convening shareholders shall have the shareholdings not less than 10% before the announcement of any general meeting’s resolution. The convening shareholders shall submit the necessary certificates to the local agency of China Securities Regulatory Commission and the Securities Exchange before giving the notice of the general meeting and making announcement of the general meeting’s resolution. For the general meeting convened by the Board of Supervisors or shareholders themselves, the Board of Directors and its secretary shall give cooperation. The Board of Directors shall provide the list of shareholders registered upon registration of shareholdings. For the general meeting convened by the Board of Supervisors or shareholders themselves, the necessary cost for the meeting shall be borne by the Company. Article 5.5 Functions and Powers of Shareholders in General Meeting Shareholders in general meeting shall have the following functions and powers: 1. to set the guiding principles of operation and to prepare investment proposals for the Company; 2. to elect and dismiss directors and fix their remuneration; 3. to elect and dismiss supervisors whose positions are occupied by the shareholders' representatives and fix their remuneration; 4. to examine and approve the reports of the Board of Directors; 5. to examine and approve the reports of the Supervisory Board; 6. to examine and approve the annual budget and final accounts of the Company; 7. to examine and approve the profit distribution proposal and the loss offset proposal of the Company; 8. to resolve on whether to increase or reduce the registered capital of the Company; 9. to resolve on the listing and trading of the Company's shares on a stock exchange. 10. to resolve on whether the Company should issue debentures; 11. to resolve on matters such as the merger, division, dissolution and liquidation of the 14 Company; 12. to appoint or dismiss accountants; 13. to amend the Articles of Association; 14. to review the proposals of the shareholders holding 3% or more of the voting shares issued by the Company; 15. to review the matters concerning guarantees described in Art. 1.8 of these Articles of Association; 16. to review the matters concerning purchase or sale of any major assets of the Company within one year, which exceeds 30% of the Company’s audited total assets as at the most recent period end; 17. to review and approving the matters concerning change of the use of raised funds; 18. to review the stock incentive plan; 19. to examine other matters that shall be decided at the general meeting as stipulated in the laws and regulations and the Articles of Association. Article 5.6 Convening of the General Meeting For convening a general meeting of shareholders, the convener shall inform all shareholders 20 days in advance of the date when the meeting is held. For convening an extraordinary general meeting, the convener shall inform all shareholders 15 days in advance of the date when the meeting is held. The convener shall ensure that the meeting of the general meeting of shareholders go in succession until the final resolution is made. Where the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special cause, necessary measures shall be taken to resume the meeting of the general meeting of shareholders or the meeting shall be directly terminated, and an announcement shall be made in a timely manner. At the same time, the convener shall report it to the dispatched office of the CSRC at the locality of the company and the stock exchange. The notice of the general meeting shall comply with the following requirements and shall be published by way of an announcement in the newspapers as selected by the Board of Directors in accordance with the laws and regulations and the Articles of Association: 1. the date, address and time of the general meeting shall be specified; 2. the proposals to be discussed in the general meeting shall be specified; 3. the registration date for the shareholdings of the shareholders who are entitled to attend the general meeting shall be specified; 4. the names, telephone numbers and fax numbers of the designated contact persons for the purpose of convening meeting shall be specified. A letter of appointment of proxy by the shareholders should be attached to the notice of the general meeting. To attend the general meeting, a shareholder or his proxy shall hold a certificate of attendance for the relevant general meeting. Such certificate shall show the name of the shareholder, the number of shares held or represented, the time of the shareholders' general meeting, the Company seal, the signature of the issuing person and the date of issue. Notice of the shareholders’ general meeting shall clearly specify the voting time and voting procedure of the network way. The starting time of the network voting of shareholders' general meeting should not earlier than 3:00 pm during the day before the shareholders' general meeting held, and not later than 9:30 am during the day the shareholders' general meeting held. The end time of the network voting should not earlier 15 than 3:00 pm during the day the shareholders' general meeting finished. Upon the announcement of the notice of the general meeting, all shareholders shall be deemed to have received notice of the general meeting. In case the Company has to postpone the general meeting for some reason, the notice of postponement shall be issued at least two work days before the original date when the general meeting is held. The Board of Directors shall state the reason and announce the date of the postponed meeting in the notice. After the notice of convening the general meeting is issued, the Board of Directors shall not issue new proposals for any items unlisted in the notice, and any changes to the original proposal shall be announced 15 days before the general meeting is held, or the meeting shall be postponed so that there is an interval of at least 15 days. Article 5.7 Presiding of the General Meeting The general meeting shall be presided over by the Chairman of the Board of Directors. In case the Chairman is unable or fails to perform his duty, the Vice Chairman shall preside over the meeting. If the Vice Chairman is unable or fails to perform his duty, a director elected by the majority of directors shall preside over the meeting. Any general meeting that is convened by the Board of Supervisors shall be presided over by the Chairman of the Board of Supervisors. In case the Chairman is unable or fails to perform his duty, a supervisor elected by the majority of supervisors shall preside over the meeting. The general meetings convened by shareholders themselves shall be presided over by a representative elected by the conveners. In case the meeting chairman breaches the rule of procedure during the meeting, which results in discontinuousness of the general meeting, the general meeting may elect a person to preside over the meeting by the attending shareholders holding the majority of voting shares. Article 5.8 Attendence Notice The shareholders who intend to attend the general meeting shall notify the Company of their attendances before the convening of the general meeting. The attendance notice shall specify the number of shares with the voting rights held by them and shall be delivered in written form. Article 5.9 Attendence and Proxy A shareholder may attend the general meeting in person, or may appoint a proxy in writing to attend the general meeting and exercise shareholder's rights on his behalf. If the shareholder attends the general meeting in person, he shall produce his identity card and proof of shareholding. To attend the meeting, a proxy shall carry with him the certificate of attendance of the relevant shareholder, letter of appointment and his own identity card, and shall exercise voting rights within the scope specified in the letter of appointment. A proxy does not have to be a shareholder of the Company. Where the shareholder is a legal person, the legal representative or the proxy appointed by the legal representative shall attend the general meeting. If a legal representative attends the general meeting, he shall produce his identity card, valid proof of his capacity as a legal representative and proof of shareholding. In case of a proxy attending the meeting, he shall produce his identity card and letter of appointment issued by the legal representative of the legal person shareholder in accordance with the laws, and proof of shareholding. The Company's Board of Directors, independent directors and other directors meeting the concerned conditions may acquire votes at the general meeting from shareholders of the 16 Company. Such acquirement of votes shall be unrequited, and the concerned information shall be disclosed to the persons whose votes are acquired. There is no limit on the percentage of acquiring votes. Article 5.10 Letter of Appointment of Proxy The letter of appointment of proxy issued by shareholders to appoint other persons to attend general meeting on their behalf shall specify the following information: 1. name of the proxy; 2. whether the proxy has the right to vote (where more than one proxy is appointed, the number of shares represented by each proxy shall be specified); 3. instructions such as "for", "against" or "abstain" for each proposed resolution as set out in the agenda of the general meeting; 4. whether the proxy has voting rights on any extraordinary proposals which may be included in the general meeting in accordance with the Articles of Association and if this is the case, detailed instructions for the exercise of the voting rights shall be specified; 5. the date of issue and the effective period; 6. signature (or chop) of the appointer. If the appointer is a legal person shareholder, the company seal shall be affixed thereto. Article 5.11 Sign-in Book of the Attendants A sign-in book of attendants of general meetings shall be prepared. The sign-in book shall specify the attendants' names, identity card number and addresses of residence or registered offices, number of shares with voting rights represented, and the names of the shareholders, and shall be filled in by the shareholders (or proxies) attending the general meeting. Article 5.12 Method of Voting For annual general meetings or general meetings ,convened at the proposal of hareholders or the Supervisory Board, voting by the method of communication is not allowable. Every ordinary share carries one voting right at the general meeting. Voting shall be done by open ballot and not by a simple show of hands. When voting at the general shareholders meeting, a shareholder (or his proxy) shall excise his voting power corresponding to the number of his votable shares. For common shares, one share stands for one vote except the stipulation in Article 5.13 for the accumulative voting system that shall be adopted in electing directors and supervisors. The Company’s shares held by the Company itself shall neither have the voting right nor enjoy the profit distribution. The same voting share shall be used in the on-site voting procedure or in the network voting procedure only. In case of any ballot duplication of the same voting share, the first voting shall be taken. While the shareholders’ general meeting considers significant matters affecting the interests of small and medium investors, small and medium investors should separate vote counting. The result of separate vote counting should be disclosed publicly timely. Article 5.13 Election of Directors and Supervisors Shareholders holding 3 per cent or more of the total issued shares with voting rights are entitled to propose candidates for directors and supervisors. The Company's Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company have the right to nominate independent director candidates. Before the election of directors and supervisors of the Company, the Board of Directors 17 shall provide the shareholders with the resumes and general information of the directors and supervisors. The list of candidates for the directors and supervisors should be submitted to the shareholders general meeting for voting in the manner of proposal. Election and dismissal of directors and supervisors shall be passed by more than half of the votes held by the shareholders present at the general meeting. The accession date of the new directors and the supervisor, if the election proposal is approved by the general meeting, shall be the date when the resolution is adopted at the general meeting. If the holding shareholders hold 30% or higher of the total shares of the Company, the accumulative voting procedure shall be adopted in voting for any proposal of electing directors or supervisors at the shareholders’ general meeting. It means that when two or more directors or supervisors are to be elected at the general shareholders meeting, every share held by voting shareholders (or their proxies) has the equal votes to the number of directors or supervisors to be elected, and a shareholder (or his proxy) may vote one person with all his votes or distribute his votes for multiple persons. The Board of Directors shall work out the implementation rules for the accumulative voting procedure for electing directors/supervisors according to these Articles of Association and submit it to the general shareholders meeting for approval and adoption. Article 5.14 Voting on Ordinary Resolutions Ordinary resolutions at the general meeting shall be passed by more than half of the votes held by the shareholders present at the general meeting. Article 5.15 Voting on Special Resolutions Special resolutions at the general meeting shall be passed by two-thirds or more of the votes held by the shareholders present at the general meeting. Resolutions proposed in relation to the following matters shall be special resolutions: 1. increase or decrease of the Company's registered capital; 2. issue of debentures by the Company; 3. merger, division, application for winding-up, dissolution and liquidation of the Company; 4. amendment of the Articles of Association; 5. the Company purchases its shares under the circumstances specified in items (1) and (2) of article 3.15 of the Articles of Association; 6. the Company’s purchase or sale of major assets or issuance of guarantees which exceed 30% of the audited total assets as at the most recent period end within one year; 7. the stock incentive plan; and 8. other matters required to be resolved by special resolutions as stipulated in the Articles of Association and the laws. Apart from the above matters which are required to be resolved by special resolutions, other matters shall be resolved by ordinary resolutions. Article 5.16 Results of the Voting The chairman should declare the number of shareholders and agents present at the meeting and their total shares before voting. Number of shareholders and their agents present at the meeting and their shares are subject to that in meeting registration. At least one lawyer, two or more shareholders’ representatives and one or more supervisors shall be involved in the check of voting for every proposed matter at the 18 shareholders general meeting, and publish the voting result at the meeting and record it in the meeting minutes. The chairman should declare the number of shareholders and proxies attending the meeting and the number of the total voting shares. The number of shareholders and proxies attending the meeting and the number of the total voting shares are subject to the record at the meeting. Before the voting result is formally announced, the listed companies, vote counters, vote counting supervisors, major shareholders and the network service provider, etc. involved in the voting at the general meeting of shareholders on the spot, through network or by any other means, shall be obliged to keep secrets to themselves. Article 5.17 Resolutions Proposed by Shareholders Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the general meeting for consideration. Article 5.18 Conditions of Resolutions Resolutions proposed by the shareholders shall satisfy the following conditions: 1. The proposed resolutions shall fall within the jurisdiction of the general meeting and their contents shall not contravene the laws and regulations and the Articles of Association; 2. The proposed resolutions shall be specific and precise; 3. The proposed resolutions shall be delivered in written form to the Board of Directors. Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the convenor in written form ten days before the shareholders’ general meeting is held. The convenor needs to issue a supplementary notice on shareholders’ general meeting and announce the contents of the provisional proposal within 2 days after receipt of the proposal. Any new distribution proposal presented by the first strong shareholder shall be submitted to the Board of Directors ten days before the annual general meeting is held, and announced by the Board of Directors. If the period is less than ten days, the first strong shareholder shall not make any new distribution proposals at that annual general meeting. The Board of Directors may request the proposers to amend proposed resolutions which do not satisfy the above conditions. The Board of Directors shall include in the agenda of the general meeting any amended proposed resolutions which have satisfied the above conditions in the above paragraph. The proposed resolutions shall become invalid and not be included in the agenda if the proposers do not amend the proposed resolutions or if amended proposed resolutions still do not satisfy the above conditions. The report of the Board of Directors submitted to the general meeting shall explain the handling of invalid proposed resolutions. Article 5.19 Minutes of General Meeting Minutes shall be prepared for general meeting recording the date, time and venue of the general meeting, the name of the Chairman of the general meeting, the agenda of the general meeting, a summary of comments given by each person present at the general meeting regarding every proposal, results of every resolution, inquires and suggestions made by the shareholders and the answers and explanations given by the directors and supervisors. The minutes shall be signed by the directors attending the general meeting 19 and the person preparing the minutes, and shall be kept with the Company's records together with the sign-in book of the shareholders present at the general meeting and the letter of appointment of proxy. Article 5.20 Right to Initiate Proceedings Where resolutions passed at the general meeting contravene the laws and regulations or infringe the legal rights and interests of the shareholders, the shareholders are entitled to commence proceedings at the People's Court to stop such illegal acts and infringement. Article 5.21 Witness of lawyers The Company's Board of Directors shall invite a lawyer holding the securities trade qualification to attend the general meeting, who shall give legal advice on concerned problems and make announcement. Article 5.22 Rules of Procedure for Shareholders’ General Meeting The Company may set out rules of procedure. The rules of procedure shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 5.23 Announcement on the Resolution of the General Meeting of Shareholders The resolution of the general meeting of shareholders shall be announced in a timely manner, and the announcement shall indicate the number of shareholders and proxies that attended the meeting, the number of the total voting shares and its proportion to the total voting shares of the company, the voting method, the voting result of each proposal and detailed contents of each resolution. The domestic-share holders and the foreign-share holders attending the meeting and their voting are counted and announced separately. If a proposal is not adopted or the general meeting of shareholders modifies the resolution of any previous general meeting of shareholders, it shall give a special explanation in the announcement on the resolution of the general meeting of shareholders. Chapter 6 Board of Directors Article 6.1 Board of Directors The Board of Directors of the Company is the standing executive organization of the shareholders in general meeting and shall be accountable to the shareholders at the general meeting. Article 6.2 Election of the Board of Directors Directors shall be natural persons and shall be elected by the shareholders at the general meeting. A director mayor may not be a shareholder of the Company.The term of office for the directors is 3 years and is renewable on re-appointment.However, the renewed term of office for the independent directors shall not exceed 6 years. The term of office commences from the day on which the relevant resolution is passed. Any director who has any wrongdoing during the term of office may be dismissed by an ordinary resolution passed at the general meeting. Article 6.3 Responsibilities of Directors Directors shall abide by the laws and regulations and the Articles of Association, shall owe a fiduciary duty to the Company, shall be diligent to the Company, shall safeguard the interests of the Company, shall not seek personal interests by taking advantage of their position and powers, shall not engage in business which competes with the business 20 of the Company or is detrimental to the interests of the Company and shall take the responsibilities as provided in Articles 59 to 63 of the Company Law. Article 6.4 Candidates for Directors Candidates for directors shall be nominated individually or jointly by the shareholders. In the election of the Board of Directors for a new term, persons nominated by the existing Board of Directors may also be the candidates for directors. Independent director candidates may be nominated by the Board of Directors, Supervisory Board, or a shareholder or shareholders holding 1% or more of the issued shares of the Company. Article 6.5 Composition of the Board of Directors The Board of Directors shall adopt the odd number system and shall consist of 9 directors with independent directors and directors. The Board of Directors shall have one chairman, one vice-chairman and three independent directors (at least one of them is the professional in accounting). The chairman and vice-chairman shall be the directors who are nominated by the shareholders, and may be elected or dismissed by more than half of all the directors. Article 6.6 Convening of Board Meetings Board meetings shall be held at least three times every year and shall be convened and presided by the Chairman. If the Chairman is unable to perform his duties, he may authorize the Vice-Chairman or other directors to take the chair. All directors shall be given ten day's notice of the board meeting. The notice of the board meeting shall specify the date and the venue of the board meeting name and the proposed resolutions to be passed at the board meeting. Except as otherwise stipulated in the Articles of Association, more than half of all the directors attending the board meeting shall be the quorum for board meetings. If the Chairman and the directors are unable to attend the board meeting, they may appoint proxies to attend the board meeting and vote on their behalf. Such appointment shall be in writing and the letter of appointment shall specify the authorities of the proxy. Directors who do not attend or appoint other directors as proxies to attend board meetings for two consecutive occasions shall be regarded as W1able to perform their duties and the Board of Directors may propose resolutions to the general meeting to dismiss such directors. Where the Board of Directors convenes an extraordinary board meeting, the method of giving notice of board meeting and the period of notice may be changed but all the directors shall be given five day's notice of the board meeting. Except with the consents of two-thirds or more of all the directors for holding the meeting in another place, the board meeting shall be held at the address of the Company. Article 6.7 Extraordinary Meetings The Board of Directors shall convene an extraordinary board meeting in the following circumstances: 1. where the Chairman deems it to be necessary; 2. where one-third of the directors suggest holding a board meeting; 3. where the General Manager of the Company suggests holding a board meeting; 4. where the Supervisory Board of the Company requests to hold a board meeting; 5. where more than half of all the independent directors requests to hold a board meeting. 6. shareholders holding 10% or more of the voting shares propose it. The Extraordinary Meeting of the Board of Directors may be held by communication 21 vote on the basis of the full expression of the directors, with resolution signed by directors attending the meeting. Article 6.8 Functions and Powers of the Board of Directors The Board of Directors shall have the following functions and powers: 1. to be responsible for convening general meetings and to report the work of the Board of Directors at the general meeting; 2. to implement resolutions passed at general meetings; 3. to elect the Chairman and Vice-Chairmen of the Board of Directors; 4. to determine on the production and business plans and investment strategies of the Company; 5. to formulate the annual financial budget and final accounts of the Company, and to propose the profits distribution plans or loss offset plans; 6. to formulate plans for the increase or decrease of the Company's registered capital, to extend the number of shares to be subscribed or to decide on matters in relation to the methods for the listing and trading of the shares of the Company, pledging, leasing, transfer and takeover of the material assets of the Company and plans for the issue of debentures; 7. to formulate plans for major acquisition, repurchase of the Company's shares under the circumstances specified in items (1) and (2) of article 3.15 of the Articles of Association , or merger, division, dissolution and change of the Company's form; 8. to determine purchase of the Company's shares under the circumstances specified in items (3), (5) and (6) of article 3.15 of the Articles of Association; 9. to determine the establishment of the internal management authorities of the Company, and to examine and approve rules and systems concerning the internal management of the Company; 10. to supervise, co-ordinate and direct the management and operation of the Company and its associated companies and enterprises; 11. to stipulate the amendment scheme for the Articles of Association; 12. to appoint and dismiss the General Manager) and to appoint and dismiss deputy general manager and other senior management personnel in accordance with the general manager's nomination, and to determine their remuneration and method of payment; 13. to appoint and dismiss the secretary of the Board of the Directors; 14. to compile, verify and issue discloseable information of the Company; 15. to appoint intermediary organizations (except accountants) to provide professional services to the Company, to appoint the directors of the Company, associated companies and enterprises (including any directors representing the Company in the joint ventures) and to propose to the general meeting to appoint) dismiss or terminate the service of the accountants; 16. to formulate the standard of salary and employees' welfare standard as well as the reward and penalty system for the employees; 17. to handle important external affairs of the Company; and 18. other functions and powers as stipulated in the Articles of Association or conferred by the shareholders at general meetings. The restrictive power of the Board of Directors in risk investment with the assets of the Company: Risk investment range: refrigeration and air conditioning industry and other fields. 22 Restrictive amount of fund for application: not exceeding 5% of the total assets audited most recently of the Company. Article 6.9 Duties and Powers of the Chairman The principal duties and powers of the Chairman are as follows: 1. to preside over and convene general meetings) to preside over board meetings and to represent the Board of Directors in reporting to the general meetings on the work of the Board of Directors; 2. to lead the work of the Board of Directors) to monitor and report the progress on the implementation of resolutions of the Board of Directors to the Board of Directors) to give guidance on the important business activities of the Company and to report important problems to the next board meeting; 3. to sign the share certificates of the Company and all documents and statements which shall be signed by the legal representative of the Company, to sign the resolutions and minutes of the board meetings and other important documents in the name of the Board of Directors; 4. to nominate candidates for the position of the General Manager for consideration and approval of the Board of Directors; 5. to exercise absolute discretion in decision-making and disposal concerning the business of the Company in emergencies arising from force majeure such as wars or serious natural disasters but such decision and disposal shall be made in the interests of the Company and shall be reported to the Board of Directors and shareholders at general meetings afterwards. 6. other duties and powers as stipulated in the Articles of Association or conferred by resolutions of the Board of Directors. Where the Chairman is unable to perform his duties for any reasons, he may authorize the Vice-Chairman or other directors to perform his duties on his behalf. Article 6.10 Dismissal of Directors Any director of the Company who commits any of the following acts during his term of office shall be dismissed in accordance with the procedures stipulated in the Articles of Association: 1. makes use of his position and powers to accept bribes or other illegal income or illegally takes the possession of the properties of the Company; 2. embezzles the funds of the Company or lends the funds of the Company to other persons or uses the Company's assets as security for the debts of other persons; 3. conducts business for himself or for others which competes with the Company or engages in activities which are detrimental to the interests of the Company; 4. affirmed by the securities administration department of the government as being prohibited to enter the market; 5. discloses without permission the confidential information of the Company which causes harm to the business and reputation of the Company; or 6. engages in other illegal activities as stipulated by the laws and regulations. Article 6.11 Resignation of Directors Directors may resign before the expiry of their terms of office. Unless a director's certain responsibilities have not been discharged, the resignation shall take immediate effect upon reporting to the Board of Directors and need not be approved by the shareholders in general meeting or the Board of Directors. The resignation in respect of the Chairman or 23 a director who is also the general manager, shall become effective only after an examination in respect of the resignation has been conducted. Any director who cannot resign as certain responsibilities have not been discharged or has not passed the examination in respect of the resignation but terminates the term of office without permission shall be liable to compensate for any loss incurred by the Company as a result. Article 6.12 Voting by the Board of Directors The system of “one person, one vote” shall apply to the meeting of the Board of Directors. Any resolution of the Board of Directors shall be adopted by the majority of all directors. Any director, who is associated with the enterprise concerned in the resolution matter of the Board meeting, shall neither exercise his/her voting right nor exercise the voting right as the proxy of other director. Such a Board meeting can be held with the majority of unassociated directors attending and any resolution made at the meeting shall be adopted by the majority of unassociated directors. In case there are less than three unassociated directors attending the Board meeting, the matter shall be submitted to the general meeting of shareholders for review. Except with the approval of more than half of all the directors (excluding the interested directors) or the approval of shareholders in general meeting, directors shall not enter into any contracts or transactions with the Company. Article 6.13 Written Resolutions The Board of Directors may pass a written resolution without convening a board meeting provided that the written resolution shall be circulated among and signed by all the directors. A written resolution shall take effect from the day when it is signed by the last director. A written resolution shall have the same effect as other resolutions passed by the Board of Directors. Article 6.14 Rules of Decisions of the Board of Directors The Board of Directors may set out rules of decisions to ensure that the Board of Directors can operate effectively and perform their duties properly. The rules of decisions of the Board of Directors shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 6.15 Minutes of Board Meeting Minutes of board meeting shall be prepared which shall record the agenda and the material contents of the board meeting including the date and venue of the board meeting, the name of the convener, the names of the directors present, the names of the directors who appoint proxies to attend the board meeting and the names of the proxies, the agenda, the voting method and result of every proposed resolution. The minutes shall be signed by all the directors present at the meeting (including the proxies appointed by the directors) and shall then be filed and shall not be destroyed for ten years.Directors are entitled to request to have certain notes recorded in the minutes. Directors shall be responsible for the resolutions of the board meeting. When the resolution of the Board of Directors is in contravention with the laws and regulations or the Articles of Association and causes serious losses to the Company, the directors approving the resolution shall be liable to compensate the Company. However, a director may be exempted from liabilities if it is proved and recorded in the minutes of board meeting that he objected to the relevant resolution during voting. Directors who neither attended the meeting, nor appointed proxies, nor provided written opinions regarding the 24 relevant resolution at the time of the board meeting or prior to the board meeting, shall be regarded as not having expressed any objections and shall not be exempted from liabilities. Article 6.16 Secretary of the Board of Directors The Company shall have a secretary of the Board of Directors. The Secretary shall be appointed and dismissed by the Board of Directors and shall be the Company's senior management personnel responsible for the secretarial matters of the Board of Directors and be accountable to the Board of Directors. The Secretary of the Board of Directors shall perform the following duties: 1. to prepare and submit reports and documents issued by the Board of Directors and the shareholders in general meeting as required by the relevant government departments; 2. to make preparations for the board meetings and general meetings and to be responsible for preparing the minutes of the meetings and for the safekeeping of documents and minutes of the meetings; 3. to assist the Board of Directors to comply with the relevant laws and regulations, the Articles of Association and various rules of the Company in the performance of their duties; 4. to be responsible for the disclosure of the Company's information in accordance with the laws; 5. to be responsible for the safe-keeping of the register of shareholders and the seal of the Board of Directors; 6. to handle relevant matters arising between the Company and the directors, securities management departments, stock exchange, shareholders and other relevant organizations; 7. to perform other duties as authorized by the Board of Directors. The position of the Secretary may be taken up by a director of the Company, but where an act shall be done by a director and the Secretary in separate capacities, the director who is also the Secretary shall not act in dual capacities. Article 6.17 Independent directors Independent directors are the directors who do not hold any positions in the Company other than the director, and have no relationship with the Company or major directors which may disturb their independent and objective judgments. An independent director shall have good faith and give encouragement to the Company and all shareholders. He shall earnestly fulfill his obligations according to the concerned laws and regulations and these Articles of Association, and protect the overall interests of the Company, in particular, shall concern about and protect the legal rights and interests of medium or minority shareholders. To be an independent shall meet the following basic conditions: 1. holding the qualification to be the director of a listed company according to the laws, administrative regulations and other relevant regulations; 2. being independent; 3. having the basic knowledge about operations of a listed company, and being familiar with relevant laws, administrative regulations and rules; 4. having the experience in laws, economy or other fields necessary to be an independent director; and 5. other conditions stipulated in these Articles of Association. The following persons shall not act as the independent directors: 25 1. A person holding the position in the Company or its subordinate entities, and his lineal relative and those keeping major social relations with him; 2. A natural-person shareholder who directly or indirectly holds 1% or more of the shares having been issued by the Company or is one of the first ten shareholders, and his lineal relatives; 3. The personnel in a shareholder unit directly or indirectly holding 5% or more of the shares having been issued by the Company or which is one of the first five shareholders of the Company, and their lineal relatives; 4. Anyone who has been at the states listed in the above three items within the past year; 5. Anyone who provides service as an accountant, lawyer or consultant to the Company or its subordinate entities; 6. Other persons stipulated in these Articles of Association; 7. Other persons identified by the China Securities Regulatory Commission. Nominating, electing and replacing independent directors shall be according to the following procedure: 1. The Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company may nominate independent director candidates, who shall be confirmed through voting at the general meeting; 2. Nominating an independent director shall obtain the consent from the nominated person. The nominating person shall have good knowledge about the occupation, educational background, professional qualification, detailed employment experience and all information about his part-time jobs of the nominated person, and shall give opinions about his qualification and independence as an independent director. The nominated person shall make public statements that he has no relationship with the Company which may disturb his independent and objective judgments; 3. Before the general meeting for voting the independent directors is held, the Company shall submit the information ab9ut all the nominated persons to the China Securities Regulatory Commission, its representative office at the location of the Company, and the stock exchange where the Company's shares are listed. If the Board of Directors has any objections about the conditions of any nominated person, the opinions in writing of the Board of Directors shall be attached. When the general meeting is held for electing the independent directors, the Board of Directors shall state whether or not the China Securities Regulatory Commission has any objections about the independent director candidates; 4. The term of office for the independent directors is the same as that for other directors of the Company, and is renewable on re-appointment. However, the renewed term of office shall not exceed 6 years; 5. In case of any independent director who does not attend personally the board meetings for successive three times, the Board of Directors shall submit a proposal to the general meeting for replacing him.Except for the cases above listed, and for the cases of preventing from being a director as stipulated in the Company Law, any independent director shall not be dismissed before expiration of his term of office. Anyone who is dismissed before expiration of his term of office shall be disclosed as a special matter. The dismissed independent director, if he thinks it improper that the Company dismisses him, may make public statement. 6. An independent director may resign from his office before expiration of his term of 26 office. In this case, the independent director shall hand the written resignation over to the Board of Directors stating the conditions related to his resignation or that he thinks necessary to draw attentions from the Company's shareholders or debt creditors. If the independent director's resignation results in that the number of independent directors in the Board of Directors is less than the quorum, the resignation report of this independent director shall not come into effect until a successor makes up his position. Apart from the authorities of office endued by the Company Law and other relevant laws and regulations, an independent director has the following special authorities of office: 1. Major associated transactions (the associated transactions to be reached between the Company and the associated party with the total value more than RMB 3 million or 5% of the Company's net assets recently audited) shall be agreed by the independent director before submitted to the Board of Directors for discussion; The independent director may invite an agency to issue the independent financial consultant's report, by which he can make the judgment. 2. He can make a motion to the Board of Directors for engaging or dismissing an accountant firm; 3. He can submit a proposal to the Board of Directors for convening an extraordinary general meeting; 4. He can propose to convene a board meeting; 5. He can independently engage external auditors and consultants; 6. He can acquire votes from shareholders before a general meeting is held. The independent director's exercising the above special authorities shall be subject to consent of one half of all the independent directors. If the proposals as above listed are not adopted or these authorities of office are unable to be exercised normally, the Company shall disclose the information. The independent director shall present his independent opinions on the following matters at the board meeting or general meeting: 1. nomination or dismissal of directors; 2. employment or dismissal of senior staff members; 3. salary and remuneration standard for the Company's directors and senior staff members; 4. existing or new loans or other current accounts of the Company's shareholders, actually controlling persons and associated entities from or with the Company with the total value more than RMB 3 million or 5% of the Company's net assets recently audited; and the Company's actions to collect such loans; 5. matters which may damage the rights and interests of medium and minority shareholders in his opinion; 6. other matters stipulated in these Articles of Association. In order to ensure the effective exercise of independent director's authorities of office, the Company shall provide the necessary conditions as below: 1. The Company ensures the independent directors having the same right to learn the truth as other directors doing. For any matters to be decided through resolutions of the board meeting, the Company must inform the independent directors in a legal time with a complete set of documents delivered to them. If any independent director thinks the documents incomplete, he may ask for supplements. When two or more independent directors believe that the documents are incomplete or the demonstration is not clear, they 27 may make a joint request in writing to the Board of Directors for postponing the board meeting or postponing review of that matter, and the Board of Director shall adopt it. 2. The Company offers the independent directors the work conditions necessary for their exercise of authorities. The secretary of the Board of Directors shall actively assist the independent director in his work. For any independent opinions, proposals and written statements made by the independent directors, which should be announced, the secretary shall timely deal with such announcements. 3. The concerned personnel of the Company shall cooperate in the independent director's exercise of authorities, without refusal, hindering, concealing, or intervening their independent exercise of authorities. 4. Expenses incurred in engagement of agencies by the independent directors and other expenses necessary for their exercise of authorities shall be borne by the Company. 5. The Company shall offer the independent directors appropriate allowances. The standard for the allowances shall be preplanned by the Board of Directors and adopted at the general meeting with disclosure on the Company's annual report. 6. The Company may establish the necessary liability insurance system for independent directors to minimize the independent director's risks in his exercise of authorities. Chapter 7 Supervisory Board Article 7. 1 Supervisory Board The Company shall have a Supervisory Board which shall be the supervising authority for the business operations of the Company. The Supervisory Board shall exercise a supervisory function over the senior management personnel such as the Board of Directors, individual directors and the general manager. The Supervisory Board shall be accountable to and shall report to the shareholders at general meetings. Article 7.2 Composition of Supervisory Board The Supervisory Board of the Company shall consist of three supervisors, two-thirds of whom shall be the representatives of the shareholders who shall be elected and dismissed by the shareholders in general meeting while the other one-third shall be the staff representative(s) of the Company who shall be elected and dismissed by the staff of the Company. The chairman of the Supervisory Board shall be elected and dismissed by more than two-thirds of all supervisors. Supervisors cannot concurrently be the directors, general manager, financial controller or other senior management personnel of the Company. Article 7.3 Term of Office of Supervisors A supervisor shall be appointed for a term of 3 years and may serve consecutive terms if reappointed. A supervisor may resign before the expiry of his term of office, and the provisions of Article 6.11 in respect of the resignation of directors are also applicable to supervisors. Article 7.4 Duties and Powers of the Supervisory Board The Supervisory Board shall have the following duties and powers: 1. Examining the Company’s regular reports prepared by the Board of Directors and giving the written opinions; 2. Examining the Company’s accounts; 3. Supervising the directors and senior management members’ act in their duty in the 28 Company and proposing to dismiss those violating the laws and regulations, these Articles of Association or resolutions of the general meeting; 4. Requiring the director or senior management member, whose act impairs the Company’s interest, to correct; 5. Proposing to convene an extraordinary general meeting or convening and presiding over the general meeting if the Board of Directors fails to perform its duty to convene and preside over the general meeting according to the Company Law; 6. Presenting proposals to the general meeting; 7. Bringing suit against directors or senior management members according to Art. 152 of the Company Act; 8. Conducting investigations on any abnormality of the Company’s operation; and 9. Exercising other authorities granted by the laws and regulations, these Articles of Association or the general meeting of shareholders. The Company shall be responsible for all costs arising from the engagement of professionals such as lawyers, registered accountants and auditors incurred by the Supervisory Board in the exercise of its functions. Article 7.5 Report of Illegal Activities Where the Board of Directors and the general manager act in contravention of any statutory regulations and the Articles of Association of the Company, the Supervisory Board shall promptly stop them. If the actions taken to stop the said activities prove to be ineffective, the situation shall be reported to the shareholders in general meeting and the relevant government authority. Article 7.6 Meetings of the Supervisory Board The Supervisory Board shall hold at least three meetings every year. The Supervisory Board shall hold at least one meeting every six month. Meetings of the Supervisory Board shall be convened by the chairman of the Supervisory Board and the chairman of the Supervisory Board shall decide on the time and method of giving notice of meeting. The notice of meeting shall include the date, the agenda and the venue of the meeting and the date of notice. Meetings of the Supervisory Board shall be presided over by the chairman of the Supervisory Board. In the event that he is not able to attend a meeting, he shall appoint another supervisor to preside over the meeting on his behalf. Where no appointment has been made, those supervisors who are present at the meeting shall elect a supervisor to preside over the meeting. Article 7.7 Special Meetings of the Supervisory Board The chairman of the Supervisory Board may convene special meetings based on actual needs or at the request of more than one-third of the supervisors. When requesting to convene a special meeting of the Supervisory Board, the supervisors shall clearly state the reason and purpose of the meeting. Article 7.8 Resolutions of the Supervisory Board Resolutions of the Board of Supervisors shall be adopted by the majority of all supervisors. Supervisors have the right to speak in the meetings of the Supervisory Board.The Supervisory Board shall put all proposed resolutions raised by any supervisors for voting. Article 7.9 Minutes of the Meeting of the Supervisory Board Minutes of the meetings of the Supervisory Board shall be prepared and signed by the 29 supervisors and the recorder present at the meeting. The supervisors are entitled to request certain matters to be noted in the minutes with respect to his opinions expressed. The provisions of Article 6.15 in relation to the preparation of the minutes of board meetings are also applicable to those of the meeting of the Supervisory Board. Article 7.10 Dismissal and Compensation Supervisors shall abide by all the laws and regulations and the Articles of Association and shall act in good faith and diligently. The provisions of Articles 6.10 and 6.15 with respect to the dismissal of and the compensation to the directors are also applicable to that of the supervisors. Chapter 8 Business Management Structure Article 8.1 General Manager and Deputy General Manager The Company shall adopt a system whereby the general manager assumes responsibility under the leadership of the Board of Directors. There shall be one general manager and several deputy general managers. Under the leadership of the Board of Directors, the general manager shall be responsible for the management of the day-to-day operations of the Company. The deputy general managers shall assist the general manager in his work and when the general manager is unable to perform his duties for any reason, the Board of Directors shall authorize a deputy general manager to perform the duties of the general manager. The Company shall have several functional departments working under the leadership of the general manager. The general manager is appointed for a term of 3 years and can serve consecutive terms if reappointed. Article 8.2 Election The general manager shall be nominated by the chairman and appointed by the Board of Directors. The deputy general managers and other senior management personnel shall be nominated by the general manager and appointed by the Board of Directors.The general manager and deputy general managers may also be the members of the Board of Directors. Any person who holds the position other than a director in the Company’s controlling shareholder or actual controller’s unit shall not hold any position in the senior management of the Company. Article 8.3 Resignation The general manager and deputy general manager can resign before the expiry of his term of office. A resignation report submitted to the Board of Directors shall only be effective after an examination on the resignation report has been completed. Those who resign before the examination is completed shall be responsible for any economic loss suffered by the Company. Article 8.4 Duties and Powers of the General Manager The general manager shall have the following duties and powers: 1. to attend the board meetings, to implement the Company's Articles of Association and resolutions passed at general meetings and board meetings, to be directly accountable to the Board of Directors and to report to the same on his work; 2. to be fully responsible for the Company's operation, management and routine business; 3. to formulate the Company's production, operation and development plans and the annual financial and accounting plans, and to propose the profits distribution plans and 30 losses offset plans; 4. to organize and prepare the Company's basic management systems, basic regulations and to render opinions on the establishment and adjustment of any part of the Company structure and to submit them to the Board of Directors for approval before implementation; 5. to nominate the deputy general managers and other senior management personnel and to appoint or dismiss other management personnel who are not required to be appointed or dismissed by the Board of Directors; 6. to decide on matters relating to the staff of the Company including rewards or penalties, promotion or demotion, increase or decrease in salary, appointment, dismissal and termination of service; 7. within the scope authorized by the Board of Directors, to represent the Company in handling external affairs and to enter into economic contracts and agreements, to represent the Company in performing obligations under the contracts and to check and supervise in order to ensure that all departments of the Company comply with the terms and conditions specified in the contracts; 8. to sign and issue documents concerning the daily business, the financial expenses and the administration of the Company; 9. to exercise other functions conferred by the Board of Directors. The general manager shall not, in performance of his duties, change the resolutions of the shareholders passed at general meetings and the resolutions of the Board of Directors and shall not exceed the authorized scope of his powers. Article 8.5 Duties and Powers of the Deputy General Manager The deputy general managers shall have the following duties and powers: 1. to assist in the work of the general manager and in the case where the general manager cannot exercise his duties and powers, to act on his behalf with the authorisation of the Board of Directors. 2. to be responsible for the management of the work of the designated departments. Article 8.6 Limitations on the Conduct of the Management Personnel 1. The directors, the general manager and the staff at all levels shall not engage in activities which compete with or jeopardise the interests of the Company. All the income received from the above activities shall belong to the Company. 2. The remuneration of the general manager and his interests in the Company shall be stated in the annual report. 3. The directors, the supervisors, the general manager and other senior management personnel shall not receive bribes or other illegal income in any way and shall not misappropriate the Company's properties to seek personal gain nor use the Company's assets as security for the liabilities of the Company's shareholders or other individuals. 4. Except with the approval of more than half of the directors (excluding the directors with an interest) or the approval of shareholders in general meetings, the general manager shall not enter into any contracts or transactions with the Company. 5. The directors, the supervisors and the general manager shall observe the Articles of Association, shall perform their duties in good faith, shall protect the Company's interests, and shall not make use of their office and powers in the Company to seek personal gain. 6. Under anyone of the following situations, a person shall not take the office of a director, the supervisor or the general manager of the Company: 31 (1) a person has no legal capacity or his legal capacity is restricted; or (2) in any other situations where the laws or regulations provide that a person is unsuitable for taking the office of a director, a supervisor or the general manager. Article 8.7 Penalties Where the Company suffers economic losses as a result of the contravention of the laws and regulations, the Articles of Association or the resolutions passed by shareholders in general meetings, practice of favoritism, malpractice or neglection of duties by senior management personnel such as the directors or the general manager) depending on the circumstances and upon approval by the Board of directors, the following punishments shall be imposed: 1. to restrict their rights; 2. to remove them from their office; 3. to hold them liable for any resulting economic loss; 4. where there is violation of law, to initiate proceedings in a judicial authority pursuant to the laws and to hold them legally liable. Chapter 9 Labour and Personnel Management Article 9.1 Labour and Personnel Management and Salary The Company is entitled to employ staff and to formulate its personnel management policies at its own discretion in accordance with the Labour Law of the People's Republic of China and statutory regulations and policies concerning labour and personnel management of Liaoning Province and Dalian Municipality. The Company is entitled to determine the salaries of the salaried personnel and the method of payment at its own discretion in accordance with the laws. Article 9.2 Employment Contracts The Company shall enter into employment contracts with its staff and workers to provide for the employment relationship and to clarify the rights and obligations of both parties. The Company is entitled to impose administrative penalties on unqualified staff, even to the extent of their dismissal or discharge from the Company. An employee who is dismissed shall be given one month's notice and shall be entitled to address his grievances to the relevant department of the Company and government department. Employees of the Company have the freedom to resign provided that necessary procedures in accordance with the Company's personnel management policies must be complied with. Resigning employees who fail to follow the prescribed procedures shall be liable for any economic loss suffered by the Company. Article 9.3 Employees Welfare The Company shall allocate funds to cover the insurance for the medical treatment, retirement and unemployment of its employees in accordance with the relevant laws and regulations of the State and Liaoning Province. Employees shall enjoy the corresponding insurance benefits. Article 9.4 Health and Safety at Work Labour protection and the related disputes shall be dealt with in accordance with the Labour Law of the People's Republic of China and other relevant statutory regulations. Article 9.5 Holidays The staff of the Company shall be entitled to holidays in accordance with the provisions of the laws and regulations of the State. 32 Article 9.6 Labour Union The Company's employees are entitled to form a labour union, to organize union activities and to safeguard their legal interests in accordance with the Labour Union Law of the People's Republic of China and other relevant regulations. The labour union of the Company is the representative of the staff's interests. Its primary objective is to protect the rights and material interests of the staff in accordance with the laws, to assist and supervise the use of the Company's reserves and public welfare fund, to organize the education of the staff on science and technology and to develop cultural and sports activities. When the Board of Directors of the Company is deciding on matters concerning the staff's personal interests including salaries, benefits, industrial safety, labour protection and labour insurance, the labour union and the staff of the Company shall be consulted and the representatives of labour union shall be invited to attend the relevant meetings. Chapter 10 Finance, Accounting and Auditing Article 10.1 Financial Systems The Company shall formulate its financial and accounting system and internal auditing system and shall prepare quarterly reports, interim reports and annual reports in accordance with the relevant laws and regulations of the State. Article 10.2 Accounting Year The Company shall adopt the Gregorian calendar year as its accounting year, which shall begin on 1st January and end on 31st December of each year. Article 10.3 Book-keeping System The Company shall adopt the accrual basis of accounting and the debit and credit double entry system as commonly used worldwide. Article 10.4 Denomination of Currency The Company shall adopt the Renminbi as the denomination of currency in preparation of its accounts. When converting Renminbi into other currencies, the exchange rate shall be fixed at the median of the buying and selling rates at the foreign exchange trading market as published by the People's Bank of China on the actual day of conversion. Business conducted in currencies other than the Renminbi shall be processed in accordance with the relevant laws and regulations relating to the foreign currency administration of the State. Article 10.5 Language for Bookkeeping The Company's vouchers, account books and statements shall all be prepared in Chinese.Books and statements may also be prepared in English if necessary, but the Chinese version shall prevail. Article 10.6 Quarterly Report, Interim Report and Annual Report An accounting firm registered in the People's Republic of China with authority to undertake securities business shall be appointed to examine and audit the Company's annual report and the audit report issued by the said accounting firm shall prevail. The Company's quarterly report, interim report and annual report shall be prepared according to the relevant laws and regulations. The Company's quarterly report shall be worked out within 30 days respectively after the third month and the ninth month of each accounting year, the interim report shall be worked out within 60 days after the first 6 months of each accounting year while the annual report shall be worked out within 120 33 days of the closing of the accounting year. Article 10.7 Statements The Company's accounting statements, statistical statements and relevant financial documents shall be submitted regularly to the financial department, taxation department and statistics department of the State. A copy of such documents shall be submitted to the government department in charge and shall be kept in the Company for shareholders' inspection. All accounting statements shall be kept by the Company for at least 10 years. Article 10.8 Financial Report For each accounting year, the Company shall maintain its financial report audited by an accounting firm at the registered address of the Company for the shareholders to inspect and photocopy and shall publish the financial report in accordance with the laws and regulations and the Articles of Association. The balance sheet and the profit and loss account for the accounting year shall be audited and signed by a registered accountant. Upon receipt of a shareholder's written request for the financial report and the relevant payment for reasonable printing and postage costs, the Company shall send out the financial report within three business days. The Company's financial report shall include (but not limited to) written explanations of the financial condition, a balance sheet (only applicable to an annual report), a statement on changes in financial position and a statement on profits distribution. Where necessary, the aforesaid financial statements may be presented in a summary form or as a brief report. Article 10.9 Internal Audit The Company shall adopt an internal auditing system. As prescribed in the Articles of Association, the internal auditing department shall carry out internal auditing and supervision of the Company's income and expenditure and economic activities under the leadership of the Board of Directors, and it shall be accountable to the Board of Directors. Article 10.10 Common Reserves The Company shall set up two kinds of common reserves: 1. Surplus common reserve which is divided into two kinds: (1) Statutory surplus common reserve. The Company shall allocate from the after-tax profits of the current year an amount not less than 10 per cent thereof to the surplus common reserve. However, in the event that the surplus common reserve has reached 50 per cent of the issued share capital, the allocation may be stopped; (2) Discretionary surplus common reserve shall be allocated and utilized in accordance with resolutions passed by shareholders in general meetings. 2. Capital common reserve. common reserve. The following sums shall be allocated to the capital: (1) premiums generated from the issue of securities in excess of their nominal value; (2) donations received; (3) other amounts which shall be included pursuant to the regulations of the State. Article 10.11 Use of Common Reserves The public reserve fund of the company is used for making up the company’s deficit, expanding production and business of the company or being transferred for increase of the capital of the company. However, the capital surplus shall not be used for makeup of 34 the company’s deficit. When the statutory surplus common reserve has been converted into capital, the balance of the statutory surplus common reserve shall not be less than 25 per cent of the registered capital. Article 10.12 Appointment of certified public accountants The Board of Directors shall not appoint any certified public accountants before the general meeting adopts the resolution. Chapter 11 Profits Distribution Article 11. 1 Paying Taxes in accordance with the Laws The Company shall implement the relevant taxation system of the State, shall pay taxes to the government in accordance with the laws and to accept the examination and supervision of the financial and taxation authorities of the State. Article 11.2 Distribution of After-tax Profits The Company's annual after-tax profits shall be distributed according to the following order and ratio: 1. for offsetting the losses of the previous year; 2. 10 per cent allocation to the statutory surplus common reserve; 3. allocation to discretionary surplus common reserve; 4. payment of dividends. The distribution ratio of the after-tax profits shall be recommended by the Board of Directors in accordance with the Company's business situation for the current year and shall be submitted to the shareholders in general meeting for examination and approval. It shall not be drawn any more in case the company’s accumulated legal reserve exceeds 50% of its registered capital. The company’s after-tax profit after any loss is made and the reserve is drawn should be distributed according to the shareholding of the shareholders, except that the profit can not be distributed according to the shareholding as specified in the Articles of Association. If the shareholders general meeting breaks the above regulation and distributes profit to the shareholders before making up the loss and drawing the legal public reserve, the shareholders must return to the company the profit distributed by breaking the regulations. The shares held by the company itself has nothing with the profit distribution. If the shareholders general meeting adopts resolutions on the profit distribution plan, the board of directors of the company shall finish the distribution of dividend (or share) within two months after the shareholders general meeting. Plan to repay the shareholders of the company: The company emphasizes ratioal investment return of shareholders and considers concurrently the sustainable development of the company. The company implements a positive profit distribution policy and maintains its continuity and stability. In principle, the company distributes dividends once each year and does this by cash in priority. The company will strive to distribute dividends in cash at a proportion exceeding the 35 minimum proportion as regulated by the Articles of Association of the company. Profit distribution decision-making procedure and mechanism of company: In drawing up the profit distribution preplan each year, the company should consider comprehensively such factors as the characteristics of the industry it is in, development stage, self operation mode, profit level, cash flow position and important fund disbursement arrangement, etc. The above profit distribution preplan can be submitted to the general shareholder meeting for review subject to agreement by more than half of all directors and independent directors expressing their explicit opinions on this. When the Board of Directors of the company reviews the above profit distribution preplan, it should carefully study and demonstrate such matters as company cash dividend distribution opportunity, condition and minimum proportion, etc. When the company reviews the above profit distribution preplan by holding a general shareholders meeting, it should communicate and exchange with shareholders, especially medium and small shareholders on its own initiative through multiple channels, sufficiently listen to the comments and appeals of medium and small shareholders and reply questions that medium and small shareholder concern about. Condition, decision-making procedure and mechanism for company to adjust profit distribution policy: In case of any force majeure or a substantial change in the external operating environment or self operation condition of the company, the company may adjust the profit distribution policy. The Board of Directors of the company is under way of studying and demonstrating the profit distribution policy. It should consider sufficiently the opinions of independent directors and medium and small shareholders; after adjustment, the profit distribution policy should not violate related regulations of China Securities Regulatory Commission and the securities exchange. An adjusted profit distribution policy can be submitted to the general shareholders meeting for review only subject to agreement by more than half of all directors and the independent directors making explicit comments. When the general shareholders meeting reviews an adjusted profit distribution policy, the voting method should meet related regulations of China Securities Regulatory Commission and the securities exchange and be passed by over 2/3 of voting rights held by the attending shareholders (including shareholder’s representatives). Article 11. 3 Dividends In principle, the Company shall distribute dividends based on the number of shares in issue once every year after the Company's final accounts at the end of the year (except pursuant to special resolutions passed by the shareholders’ general meeting). No fixed dividends shall be paid for ordinary shares and dividends may be paid in the following manner: 1. Cash: Cash dividends shall be declared in Renminbi. Dividends in respect of domestic shares shall be paid in Renminbi whereas dividends in respect of foreign investment shares shall be paid in Hong Kong Dollars. The exchange rate of Renminbi to Hong Kong Dollars shall be referred to the median exchange rate as quoted by the People's Bank of China on the first business day after the date of the general meeting. 2. Shares: Shareholders may receive proportional bonus shares for the types of shares 36 they hold in accordance with the laws. When the company distributes share dividends, it shall adopt cash dividend distribution method in priority. The company may, under the prerequisite of meeting cash dividend distribution proportion requirement, distribute profits by presenting bonus shares. When making profit distribution with bonus shares, such true and reasonable factors as company growth, dilution of net asset value per share, etc. should be available. When the company makes profit distribution, the minimum proportion of cash dividend distribution accounting for this profit distribution should reach 20%. The amount of dividend in cash distributed annually by the Company shall not be less than 10% of the net profit of the Company in that year, or the accumulated amount of dividend in cash in the past three years shall not be less than 30% of the annual net profit on the average made in the past three years. Article 11.4 Income Tax for Dividends When distributing dividends and bonuses, the Company shall withhold and pay on behalf of the shareholders taxes payable on dividends in accordance with the laws. After payment of tax, the dividends and other entitlements arising from the foreign investment shares may be remitted abroad. Article 11. 5 Notice of Distribution of Dividends The Company shall inform shareholders of distribution of dividends by publishing announcements in the newspapers specified in Chapter 14 of the Articles of Association. Chapter 12 Merger and Division Article 12.1 Resolutions and Approval Mergers or divisions of the Company shall be effected in accordance with the stipulations of the Articles of Association. A merger or division plan shall be adopted by the Board of Directors and relevant resolution shall be passed by shareholders in general meeting. A merger or division plan shall be submitted to the relevant examining and approving authority for approval. Article 12.2 Method and Procedures Mergers of the Company may be carried out by takeover or establishment of a new entity, and divisions of the Company may be carried out by sub-division or establishment of new entities. Mergers or divisions of the Company may be carried out in accordance with the following procedures: 1. the Board of Directors formulates the plans for merger or division; 2. all the parties involved in the merger or division sign a merger or division agreement; 3. shareholders in general meeting pass relevant resolution in accordance with the Articles of Association; 4. report to the departments authorized by the State Council for approval; 5. sort out matters in relation to financial claims and liabilities in accordance with laws, and 6. comply with the registration procedures. Article 12.3 Sorting Out Financial Claims and Liabilities 37 Within ten days after the passing of a resolution regarding merger or division by the shareholders in general meeting, notice shall be given to all the creditors. Such notice shall also be published in the newspapers specified in Chapter 14 within 30 days of the date of the resolution. Creditors who have received the notice are entitled within 30 days of the date of the notice, and creditors who have not received the notice are entitled within 45 days of the announcement, to request the Company to settle the debts or provide security for the liabilities. Article 12.4 Registration of Change The parties involved in a merger and division shall submit an application to the examining and approving authority of the State after the relevant agreement has been signed and shall within 30 days after obtaining the approval apply to the relevant company registration authority to register the change of registration of the original company or the establishment of the new company, or to cancel the registration of the original company, shall report to the taxation authority in charge to register the change in the particulars of the registration or to re-register or cancel the registration and shall publish an announcement in accordance with in Chapter 14 of the Articles of Association. Chapter 13 Dissolution and Liquidation Article 13.1 Conditions for Dissolution of the Company The Company shall be dissolved and liquidated on the occurrence of one of the following events: 1. The Company declares insolvent in accordance with the laws due to inability to settle debts due; 2. The Company is ordered to close down due to the serious violation of the laws and regulations of the State causing harm to the interests of the public; 3. The shareholders in general meeting decide that the Company should be wound up; 4. The Company has to be wound up due to the merger or division of the Company. Article 13.2 Liquidation after Dissolution The liquidation of the Company after termination shall be carried out according to the relevant procedures as stipulated by the laws as applicable to the particular cause of dissolution: 1. When the Company is declared insolvent in accordance with the law due to its inability to repay its debts due, the People's Court shall, in accordance with the relevant laws, organize the shareholders, the relevant authorities and the professionals to set up a liquidation committee to liquidate the Company; 2. When the Company is ordered to terminate its operation due to its contravention with the laws and regulations of the state and infringment of the public interests, the relevant authorities in charge shall organize the shareholders, the relevant authorities and the relevant professionals to set up a liquidation committee to liquidate the Company; 3. If the dissolution is consequential to a resolution of shareholders in general meeting, the liquidation committee shall be set up within 15 days from the date of the passing of such resolution and the members of the liquidation committee shall be selected by an ordinary resolution of shareholders in general meeting; 4. If the Company is terminated due to the dissolution resulting from a merger or division, the liquidation shall be carried out by all the parties involved in the merger or division in accordance with the relevant agreement signed in connection with the merger or division. 38 Article 13.3 Prohibition of New Business Activities After the liquidation committee has formed, the duties of the Board of Directors and the general manager shall be terminated immediately. During the period of liquidation, no new business activities shall be carried out by the Company. Article 13.4 Notice of and Application for Liquidation The Company shall inform its creditors within 10 days and a relevant announcement shall be published in accordance with Chapter 14 of the Articles of Association within 60 days after the establishment of the liquidation committee. Creditors who have received notice in writing shall, within 30 days upon receipt of the notice, or those who have not received notice in writing shall, within 45 days from the date of the announcement of the notice, declare their claims. When creditors declare their claims, they shall specify the relevant matters in relation to the claims and shall provide proofs of debt. The liquidation committee shall register the claims. Creditors who fail to file their claims within the above specified period shall not be included in the liquidation and can only request their debts to be settled from the remaining undistributed assets except for those creditors who believe that the Company is aware of their claims but fails to give them notice and are able to produce evidence of their claims. Article 13.5 Duties and Powers of Liquidation Committee The liquidation committee shall have the following duties and powers: 1. to examine the Company's properties, to prepare a balance sheet and a list of assets and to compile a liquidation plan; 2. to notify creditors or to make announcements; 3. to deal with and settle the outstanding business of the Company; 4. to settle outstanding taxes; 5. to deal with the Company's creditors and debtors and to dismiss the Company's staff; 6. to dispose of the remaining assets of the Company after settling the debts; 7. to represent the Company in civil legal proceedings; 8. to handle other matters specified by the laws and regulations and the Articles of Association. Article 13.6 Limitations on the Duties and Powers of the Liquidation Committee The liquidation committee shall not arrange settlements with creditors during the period for the filing of claims against the Company. The Company shall not however be released from the responsibility of compensating damages caused as a result of the deferred settlement. Notwithstanding the above, the liquidation committee may, with the permission of the court, settle those secured debts which will not prejudice the interests of other creditors. Article 13.7 Insolvency Declaration Whenever it is found that the Company's assets are insufficient to settle the debts, the liquidation committee shall immediately stop liquidation proceedings and shall lodge an application with the People's Court in accordance with the relevant procedures to declare the Company insolvent. Upon a ruling by the People's Court that the Company be declared insolvent, the liquidation committee shall hand over the liquidation matters to the insolvency committee. 39 Article 13.8 Order of Payment After the liquidation plan has been approved by shareholders in general meeting or the relevant government authority in charge, the Company's assets shall be appropriated to meet the liquidation expenses and thereafter be used for other payments in the following order: 1. salaries for the staff and labour insurance premium; 2. outstanding tax payments; 3. repayment of bank loans, the Company's bonds and other debts. Having settled liabilities according to the above order, the remaining assets shall be distributed to the shareholders in proportion to their respective shareholdings. Financial distributions in contravention of the aforesaid liquidation order shall be invalid. Creditors shall be entitled to demand the liquidation committee to recover the invalid distributions and to request compensation for any that losses incurred. Article 13.9 Cancellation of Registration Upon completion of liquidation, the liquidation committee shall present a liquidation report and shall prepare a statement of income and expenditure and various financial account books for the liquidation period. Upon certification by an accounting firm and approval by shareholders in general meeting and the relevant government department in charge, the liquidation committee shall lodge an application with the registration authority for cancellation of registration within 30 days from the granting of the approval and shall cancel the Company's registration at the taxation authority, pay all outstanding taxes, cancel tax payment invoices and relevant papers issued by the taxation authority, and announce the winding-up of the Company. Chapter 14 Disclosure of Information Article 14.1 Legal Basis Disclosure of information of the Company shall be subject to the requirements of the laws and regulations such as the "Company Law", "Provisional Regulations on the Administration of the Issue and Trading of Shares" and "Detailed Implementing Rules on Disclosure of Information for Companies Issuing Shares to the Public" and other stipulations regarding disclosure of information of the Stock Exchange on which the shares of the Company are listed. Article 14.2 Approval from Supervisory Authorities Before any disclosure of material events pursuant to the Articles of Association, the Company shall report to the China Securities Regulatory Commission and the stock exchange on which the shares of the Company are listed about the method and the contents of the disclosure. The announcement shall not be made until their approvals have been granted. Article 14.3 Mode of Announcement The announcements on material matters (including announcements of interim financial reports and annual financial reports to shareholders) as required by the provisions hereof and other relevant regulations shall be published in Chinese in the People's Republic of China in at least one of the national newspapers designated by the China Securities Regulatory Commission and at the same time in both Chinese and English overseas (including Hong Kong, Macau and Taiwan) in at least one Chinese and one English 40 newspaper. Where any discrepancies arise between the Chinese version and the English version in relation to the understanding and the interpretation of the announcement concerned, the Chinese version shall prevail. Article 14.4 Joint Liabilities The Board of Directors shall warrant that all information and documents disclosed to the public is true and do not contain any statements which are severely misleading or have important omission. All the members of the Board of Directors shall be jointly responsible for this. Article 14.5 Management of Relationship with Investors The company shall establish and perfect the work system for investors’ relationship management and shall strengthen actively communications and exchanges with shareholders, especially the social public ones, in multiple ways. The secretary of the Board of Directors of the Company shall be responsible concretely for the work of investor’s relationship management. Chapter 15 Amendment of the Articles of Association Article 15.1 Amendment to the Articles of Association The Company may amend the Articles of Association as required by changes in the relevant laws and regulations and the actual situation of the Company. Any amendment to the Articles of Association shall be made in accordance with the procedures prescribed herein. Article 15.2 Procedures for Amendments When amending the Company's Articles of Association, the following procedures shall be followed: 1. A resolution to amend the Articles of Association shall be passed by the Board of Directors which shall propose the amendment: 2. The shareholders shall be informed of the proposed amendments and a general meeting shall be convened to vote on the proposed amendments; 3. The shareholders in general meeting shall vote on the proposed amendments. If the resolution obtaining the number of affirmative votes specified in Article 5.15 of the Article of Association shall be passed. 4. The amended Articles of Association shall be registered in a manner as required by the registration authority and a relevant announcement shall be published. Article 15.3 Inspection and Filing After the Articles of Association have been amended, the amended Articles of Association shall be kept at the registered address of the Company for shareholders' inspection and shall be filed for record with the Dalian Securities Administration Office and the stock exchange on which the shares of the Company are listed. Chapter 16 Supplementary Provisions Article 16.1 Parts of Articles of Association All supplementary resolutions, articles of association and details relating to the Articles of Association passed by the shareholders in general meeting of the Company shall be integral parts of the Articles of Association. Article 16.2 Settlement of Matters Not Covered 41 Matters not covered by the Articles of Association shall be resolved at the next general meeting of shareholders in accordance with the Company Law and the relevant regulations. Article 16.3 Other Rules and Systems All rules and systems adopted by the Company which are inconsistent with the Articles of Association shall all be invalid. Article 16.4 Power of Interpretation of the Articles of Association The Board of Directors may interpret the provisions of the Articles of Association but the power of amendment shall be vested in the shareholders in general meetings. Disputes shall be dealt with in accordance with the procedures prescribed in the Articles of Association. Article 16.5 Effect of Figures The terms "above", "before", "at least", and "within" as mentioned in the Articles of Association shall be construed as inclusive of the figure itself. Article 16.6 Taking Effect The Articles of Association have been passed by the shareholders in general meeting. Article 16.7 Arbitration and Applicable Laws Disputes or claims regarding the rights and obligations specified in the Articles of Association and the relevant laws and regulations arising between the shareholders of the domestically listed foreign investment shares and the Company, between the shareholders of the domestically listed foreign shares and the Company's directors, supervisors, general manager or other senior management personnel, and between the shareholders of the domestically listed foreign shares and the shareholders of Renminbi ordinary shares, shall be handled by the China International Economic and Trade Arbitration Commission in accordance with its arbitration rules. The provisions of the above paragraph does not apply to cases in which the shareholders may initiate proceedings at the People's Court pursuant to Articles 5.20 and 6.17. Any disputes concerning the Articles of Association shall be governed by laws of PRC. 42
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大冷股份:公司章程(查看PDF公告PDF版下载)
公告日期:2019-05-18
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2018 年度股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………16 第六章 董事会………………………………………28 第七章 监事会………………………………………42 第八章 经营管理机构………………………………45 第九章 劳动与人事…………………………………49 第十章 财务、会计与审计…………………………50 第十一章 利润分配……………………………………54 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………58 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………63 第十六章 附则…………………………………………64 1 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所为:大连经济技术开发区辽河东路 106 号 邮政编码:116630 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 2 大连冷冻机股份有限公司 公司章程 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为任何非法人单位或个人提供担保。公司为股东、实际 控制人及其关联方提供担保,须经股东大会审批。公司对外担保总额 不得超过最近一个会计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 3 大连冷冻机股份有限公司 公司章程 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 4 大连冷冻机股份有限公司 公司章程 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币八亿四千三百二十一 万二千五百零七(843,212,507)元。 第 3.2 条 注册资本的划分 5 大连冷冻机股份有限公司 公司章程 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为八亿四千三百二十一万二千五百零七 (843,212,507)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为八亿四千三百二十一万二千五 百零七(843,212,507)股。 公司的股份构成为: 股份类别 股份数额 人民币普通股 六亿零一百七十一万二千五百零七(601,712,507)股 境内上市外资股 二亿四千一百五十万(241,500,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 并符合《公司法》。 第 3.5 条 股票持有限制 6 大连冷冻机股份有限公司 公司章程 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 7 大连冷冻机股份有限公司 公司章程 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 公司发起人所持股份自公司成立之日起一年内不得转让。 第 3.9 条 股票的赠与、抵押和继承 8 大连冷冻机股份有限公司 公司章程 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 9 大连冷冻机股份有限公司 公司章程 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份用于员工持股计划或者股权激励; 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 公司收购其股份的; 10 大连冷冻机股份有限公司 公司章程 5. 将股份用于转换上市公司发行的可转换为股票的公司债券; 6. 上市公司为维护公司价值及股东权益所必需。 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 证券交易所集中竞价交易方式; 2. 要约方式; 3. 中国证监会认可的其他方式。 公司因本条第一款第(三)项、第(五)项、第(六)项规定的 情形收购本公司股份的,应当通过公开的集中交易方式进行。 第 3.16 条 回购股份处理 公司因本章程第 3.15 条第(一)项、第(二)项情形收购公司 股份的,应当经股东大会决议。公司因本章程第 3.15 条第(三)项、 第(五)项、第(六)项规定的情形收购本公司股份的,应当经三分 之二以上董事出席的董事会会议决议。 公司依照本章程第 3.15 条规定收购公司股份后,属于第(一) 项情形的,应当自收购之日起 10 日内注销;属于第(二)项、第(四) 项情形的,应当在 6 个月内转让或者注销;属于第(三)项、第(五) 项、第(六)项情形的,公司合计持有的本公司股份数不得超过公司 已发行股份总额的 10%,并应当在披露回购结果暨股份变动公告后三 年内转让或者注销。 收购本公司股份后,公司应当依照《证券法》的规定履行信息披 露义务。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 11 大连冷冻机股份有限公司 公司章程 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 各种方式以减少或免除认购人购买公司股份的出资义务。 但公司依法将公积金或利润转为资本而向股东按原持股比例派 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 依照其所持有的股份份额获得股利和其他形式的利益分配; 12 大连冷冻机股份有限公司 公司章程 2. 依法请求、召集、主持、参加或者委派股东代理人参加股东 大会,并行使相应的表决权; 3. 对公司的经营进行监督,提出建议或者质询; 4. 依照法律、行政法规及公司章程的规定转让、赠与或质押其 所持有的股份; 5. 查阅公司章程、股东名册、股东大会会议记录、董事会会议 决议、监事会会议决议、财务会计报告; 6. 公司终止或者清算时,按其所持有的股份份额参加公司剩余 财产的分配; 7. 对股东大会作出的公司合并、分立决议持异议的股东,要求 公司收购其股份; 8. 法律、行政法规、部门规章或公司章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 13 大连冷冻机股份有限公司 公司章程 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 3. 服从和执行股东大会依法通过的决议; 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 14 大连冷冻机股份有限公司 公司章程 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 第 4.5 条 控股股东之含义 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 15 大连冷冻机股份有限公司 公司章程 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 会议形式召开。公司还将提供网络方式为股东参加股东大会提供便 利。股东通过上述方式参加股东大会的,视为出席。股东大会现场结 束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 16 大连冷冻机股份有限公司 公司章程 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 17 大连冷冻机股份有限公司 公司章程 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 第 5.5 条 股东大会的职权 股东大会行使下列职权: 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 18 大连冷冻机股份有限公司 公司章程 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 18. 审议股权激励计划; 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 19 大连冷冻机股份有限公司 公司章程 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知中应当明确载明网络方式的表决时间及表决程序。 股东大会网络投票的开始时间,不得早于现场股东大会召开前一日下 午 3:00,并不得迟于现场股东大会召开当日上午 9:30,其结束时间 不得早于现场股东大会结束当日下午 3:00。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 更股东大会召开时间的,不应因此而变更股权登记日。 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 20 大连冷冻机股份有限公司 公司章程 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。股东征集投票权没有最低持股比例限制。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 21 大连冷冻机股份有限公司 公司章程 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 自己的意思表决。 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 22 大连冷冻机股份有限公司 公司章程 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 股东大会审议影响中小投资者利益的重大事项时,对中小投资者 表决应当单独计票。单独计票结果应当及时公开披露。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 23 大连冷冻机股份有限公司 公司章程 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 5. 公司年度报告; 6. 除法律、行政法规规定或者公司章程规定应当以特别决议通 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 24 大连冷冻机股份有限公司 公司章程 5. 公司因本章程第 3.15 条第(一)项、第(二)项规定的情 形回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 25 大连冷冻机股份有限公司 公司章程 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 单独或者合计持有公司 3%以上股份的股东,可以在股东大会召 开 10 日前提出临时提案并书面提交召集人。召集人应当在收到提案 后 2 日内发出股东大会补充通知,公告临时提案的内容。 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 26 大连冷冻机股份有限公司 公司章程 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 27 大连冷冻机股份有限公司 公司章程 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 28 大连冷冻机股份有限公司 公司章程 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 保; 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 29 大连冷冻机股份有限公司 公司章程 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事会提名的人选亦可作为董事候选人。独立董事候选人可由 董事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东 30 大连冷冻机股份有限公司 公司章程 提名。 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。除本章程另有规定外,董事会会议必须有半数以上的董 事出席方能召开。董事长和董事因故不能参加会议可书面委托其他董 事作为代理人参加会议并表决。委托书应载明代理人的姓名,代理事 项、权限和有效期限,并由委托人签名或盖章。代为出席会议的董事 应当在授权范围内行使董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 31 大连冷冻机股份有限公司 公司章程 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用通讯 表决方式进行并作出决议,并由参会董事签字。 第 6.8 条 董事会的职权 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 32 大连冷冻机股份有限公司 公司章程 7. 拟订公司重大收购、因本章程第 3.15 条第(一)项、第(二) 项规定的情形回购本公司股票或者合并、分立、解散及变更公司形式 的方案; 8.决定公司因本章程第 3.15 条第(三)项、第(五)项、第(六) 项规定的情形收购本公司股份; 9. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 10. 监督、协调和指导公司及附属公司、企业的经营管理工作; 11. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 12. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 13. 聘任或者解聘董事会秘书; 14. 编制、核准和发布公司信息披露事项; 15. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 16. 听取公司经理的工作汇报并检查经理的工作; 17. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 18. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 33 大连冷冻机股份有限公司 公司章程 序;重大投资项目应当组织有关专家、专业人员进行评审。 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 4. 行使法定代表人的职权; 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 34 大连冷冻机股份有限公司 公司章程 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 35 大连冷冻机股份有限公司 公司章程 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 第 6.14 条 董事会议事规则 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 36 大连冷冻机股份有限公司 公司章程 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 37 大连冷冻机股份有限公司 公司章程 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 第 6.17 条 独立董事 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 38 大连冷冻机股份有限公司 公司章程 2. 具有独立性; 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 6. 公司章程规定的其他人员; 7. 中国证监会认定的其他人员。 独立董事的提名、选举和更换程序: 1. 董事会、监事会、单独或者合并持有公司已发行股份 1%以 上的股东可以提出独立董事候选人,并经股东大会选举决定。 2. 独立董事的提名人在提名前应当征得被提名人的同意。提名 人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部 兼职等情况,并对其担任独立董事的资格和独立性发表意见,被提名 人应当就其本人与公司之间不存在任何影响其独立客观判断的关系 39 大连冷冻机股份有限公司 公司章程 发表公开声明。 3. 在选举独立董事的股东大会召开前,公司应将所有被提名人 的有关材料同时报送中国证监会、公司所在地中国证监会派出机构和 公司股票挂牌交易的证券交易所。董事会对被提名人的有关情况有异 议的,应同时报送董事会的书面意见。在召开股东大会选举独立董事 时,董事会应对独立董事候选人是否被中国证监会提出异议的情况进 行说明。 4. 独立董事每届任期与公司其他董事任期相同,任期届满,连 选可以连任,但是连任时间不得超过六年。 5. 独立董事连续 3 次未亲自出席董事会会议的,由董事会提请 股东大会予以撤换。 除出现上述情况及《公司法》中规定的不得担任董事的情形外, 独立董事任期届满前不得无故被免职。提前免职的,公司应将其作为 特别披露事项予以披露,被免职的独立董事认为公司的免职理由不当 的,可以作出公开的声明。 6. 独立董事在任期届满前可以提出辞职。独立董事辞职应向董 事会提交书面辞职报告,对任何与其辞职有关或其认为有必要引起公 司股东和债权人注意的情况进行说明。如因独立董事辞职导致公司董 事会中独立董事所占的比例低于规定的最低要求时,该独立董事的辞 职报告应当在下任独立董事填补其缺额后生效。 独立董事除具有公司法和其他相关法律、法规赋予董事的职权 外,还具有以下特别职权: 1. 重大关联交易(指公司拟与关联人达成的总额高于 300 万元 或高于公司最近经审计净资产值的 5%的关联交易)应由独立董事认 可后,提交董事会讨论; 独立董事作出判断前,可以聘请中介机构出具独立财务顾问报 告,作为其判断的依据。 2. 向董事会提议聘用或解聘会计师事务所; 40 大连冷冻机股份有限公司 公司章程 3. 向董事会提请召开临时股东大会; 4. 提议召开董事会; 5. 独立聘请外部审计机构和咨询机构; 6. 可以在股东大会召开前公开向股东征集投票权。 独立董事行使上述特别职权应当取得全体独立董事的二分之一 以上同意。如上述提议未被采纳或上述职权不能正常行使,公司应将 有关情况予以披露。 独立董事应对以下事项向董事会或股东大会发表独立意见: 1. 提名、任免董事; 2. 聘任或解聘高级管理人员; 3. 公司董事、高级管理人员的薪酬; 4. 公司股东、实际控制人及其关联企业对公司现有或新发生的 总额高于 300 万元或高于公司最近经审计净资产值的 5%的借款或其 他资金往来,以及公司是否采取有效措施回收欠款; 5. 独立董事认为可能损害中小股东权益的事项; 6. 公司章程规定的其他事项。 为了保证独立董事有效行使职权,公司提供如下必要的条件: 1. 公司保证独立董事享有与其他董事同等的知情权。凡须经董 事会决策的事项,公司必须按法定的时间提前通知独立董事并同时提 供足够的资料,独立董事认为资料不充分的,可以要求补充。当 2 名 或 2 名以上独立董事认为资料不充分或论证不明确时,可联名书面向 董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采 纳。 2. 公司提供独立董事履行职责所必需的工作条件。董事会秘书 41 大连冷冻机股份有限公司 公司章程 应积极为独立董事履行职责提供协助。独立董事发表的独立意见、提 案及书面说明应当公告的,董事会秘书应及时办理公告事宜。 3. 独立董事行使职权时,公司有关人员应当积极配合,不得拒 绝、阻碍或隐瞒,不得干预其独立行使职权。 4. 独立董事聘请中介机构的费用及其他行使职权时所需的费用 由公司承担。 5. 公司给予独立董事适当的津贴。津贴的标准由董事会制订预 案,股东大会审议通过,并在公司年报中进行披露。 6. 公司可以建立必要的独立董事责任保险制度,以降低独立董 事正常履行职责可能引致的风险。 第七章 监事会 第 7.1 条 监事会 公司设监事会。监事会是公司业务活动的监督机构,对董事会、 董事以及总经理等高级管理人员行使监督职能。 监事会向股东大会负责并报告工作。 第 7.2 条 监事会组成 公司监事会由三名监事组成,其中三分之二为股东代表,由股东 大会选举产生和罢免,其余三分之一为公司职工代表,由公司职工选 举产生和罢免。 监事会主席由全部监事的三分之二以上选举产生和罢免。监事不 得兼任董事、总经理、财务负责人或其他高级管理职务。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的,不得担任公司的监事。 第 7.3 条 监事任期与辞职 42 大连冷冻机股份有限公司 公司章程 监事每届任期三年,可连选连任。 监事可以在任期届满以前提出辞职。本章程第 6.11 条有关董事 辞职的规定适用于监事。 第 7.4 条 监事会职权 监事会行使下列职权: 1. 应当对董事会编制的公司定期报告进行审核并提出书面审 核意见; 2. 检查公司财务; 3. 对董事、高级管理人员执行公司职务的行为进行监督,对违 反法律、行政法规、本章程或者股东大会决议的董事、高级管理人员 提出罢免的建议; 4. 当董事、高级管理人员的行为损害公司的利益时,要求董事、 高级管理人员予以纠正; 5. 提议召开临时股东大会,在董事会不履行《公司法》规定的 召集和主持股东大会职责时召集和主持股东大会; 6. 向股东大会提出提案; 7. 依照《公司法》第一百五十二条的规定,对董事、高级管理 人员提起诉讼; 8. 发现公司经营情况异常,可以进行调查; 9. 法律、法规和本章程规定或股东大会授予的其他职权。 监事会行使职权时,必要时可以聘请律师事务所、会计师事务所 等专业性机构给予帮助,由此所产生的费用由公司负担。 第 7.5 条 报告违规行为 43 大连冷冻机股份有限公司 公司章程 监事会对董事会、总经理和其他高级管理人员违反法规和本章程 的行为,应及时制止。在制止无效时,应向股东大会及政府有关机关 报告。 第 7.6 条 监事会会议 监事会每年至少举行三次会议。监事会每 6 个月至少召开一次会 议。 监事会会议由监事会主席召集。会议通知应当在会议召开十日前 书面送达全体监事。通知的内容应包括会议的日期、地点和会议期限、 事由及议题和发出通知的日期。 监事会会议由监事会主席主持。监事会主席不能履行职务或者不 履行职务的,由半数以上监事共同推举一名监事召集和主持监事会会 议。 第 7.7 条 监事会特别会议 监事会主席可根据实际需要或三分之一以上的监事的要求,召开 监事会特别会议。监事要求召开监事会特别会议时,应表明召开会议 的原因和目的。 第 7.8 条 监事会决议 监事会会议实行一人一票表决制度。监事会决议应由半数以上监 事表决同意,方能通过。监事在监事会会议上均有发言权。任何一位 监事所提的议案,监事会均应予以审议。 第 7.9 条 监事会会议记录 监事会会议应有记录。出席会议的监事和记录人应当在会议记录 上签名。监事有权要求在会议记录上对其发言作出某种说明性的记 载。监事会会议记录作为公司档案由董事会秘书保存,且十年内不得 销毁。本章程第 6.15 条有关董事会会议记录的规定,适用于监事会 会议记录。 第 7.10 条 免职和赔偿 44 大连冷冻机股份有限公司 公司章程 监事应当遵守法律、法规和章程的规定,履行诚信和勤勉义务。 前述第 6.10 条和 6.15 条关于董事的免职和赔偿的规定也适用于监事 的免职和赔偿。 监事连续两次不能亲自出席监事会会议的,视为不能履行职责, 股东大会或职工代表大会应当予以撤换。 第 7.11 条 监事会议事规则 监事会制定监事会议事规则,明确监事会的议事方式和表决程 序,以确保监事会的工作效率和科学决策。监事会议事规则作为章程 的附件,由监事会拟定,股东大会批准。 第八章 经营管理机构 第 8.1 条 总经理和副总经理 公司实行董事会领导下的总经理负责制,设总经理一名和副总经 理若干名。总经理在董事会的领导下负责公司的日常经营管理,副总 经理协助总经理工作。总经理因故不能行使职责时,董事会应授权一 名副总经理代行总经理职责。公司设若干职能部门。职能部门在总经 理领导下进行工作。 总经理任期三年,自董事会之聘任决议通过之日起计算。总经理 可以连聘连任。 第 8.2 条 选任 总经理由董事长提名、董事会聘任。副总经理和其他高级管理人 员由总经理提名、董事会聘任。总经理和副总经理可由董事会成员兼 任。但兼任总经理、副总经理或者其他高级管理人员职务的董事不得 超过公司董事总数的二分之一。 在公司控股股东、实际控制人单位担任除董事以外其他职务的人 员,不得担任公司的高级管理人员。 第 8.3 条 辞职 45 大连冷冻机股份有限公司 公司章程 总经理和副总经理可以在任期届满以前提出辞职。有关总经理辞 职的具体程序和办法由总经理与公司之间的劳务合同规定。在向董事 会提交辞职报告后,须经离职审计完成后,该辞职报告方能生效。未 通过离职审计擅自离职而给公司造成损失的,应当负担赔偿责任。 第 8.4 条 总经理的职权 总经理行使下列职权: 1. 列席董事会会议,执行本章程和股东大会、董事会决议,组 织实施公司年度计划和投资方案,直接对董事会负责并报告工作; 2. 全面负责公司的经营管理,主持公司的日常工作; 3. 制订公司生产经营发展计划、年度财务结算方案以及拟定利 润分配方案和亏损弥补方案; 4. 组织制定公司各项基本管理制度、基本规章及机构设置和调 整的意见,报董事会批准后执行; 5. 提名副总经理和其他高级管理人员,聘任或者解聘除应由董 事会聘任或解聘以外的其他管理人员; 6. 决定与公司员工有关的事项,包括奖惩、升降级、加减薪、 聘任、解聘和终止服务; 7. 在董事会授权的范围内代表公司处理对外事宜,签订各项经 济合同、协议,并代表公司履行合同的责任,检查和督促各部门履行 合同规定的条款; 8. 签发公司日常业务、财务开支和行政文件; 9. 提议召开董事会临时会议; 10. 行使董事会授予的其他职权。 总经理在其行使职权时,不得变更股东大会和董事会的决议或超 46 大连冷冻机股份有限公司 公司章程 越其授权的范围。非董事总经理在董事会上没有表决权。 第 8.5 条 副总经理的职权 副总经理的主要职责如下: 1. 协助总经理的工作并在总经理因故不能履行职务时并在经 董事会授权后,代总经理履行职权; 2. 负责管理所分工的部门的工作。 第 8.6 条 行为限制 1. 总经理及其他高级管理人员不得从事与公司有竞争或损害 公司利益的活动。从事上述活动所得的受益应当归公司所有; 2. 总经理及其他高级管理人员在公司拥有的权益必须在年度 报告中予以说明; 3. 总经理和其他高级管理人员不得利用职权收受贿赂或者获 取其他非法收入,不得侵占公司的财产或以任何方式挪用公司资产以 谋取私利,并不得以公司资产为公司股东或其他个人债务提供担保。 4. 总经理除董事会过半数董事(不包括有关之董事)或股东大 会批准外,不得同公司订立合同或者进行交易; 5. 总经理应当遵守法律、行政法规和公司章程,履行诚信和勤 勉的义务,维护公司利益并不得利用在公司的地位和职权为自己谋取 私利; 6. 总经理应当根据董事会或者监事会的要求,向董事会或者监 事会报告公司重大合同的签订、执行情况,资金运用情况和盈亏情况。 总经理必须保证该报告的真实性。 7. 总经理拟定有关职工工资、福利、安全生产以及劳动保护、 劳动保险、解聘(或开除)公司职工等涉及职工切身利益的问题时, 应当事先听取工会和职代会的意见。 47 大连冷冻机股份有限公司 公司章程 8. 总经理应当制订总经理工作细则,报董事会批准后实施。 总经理工作细则包括下列内容: 1. 总经理会议召开的条件、程序和参加的人员; 2. 总经理、副总经理及其他高级管理人员各自具体的职责及其 分工; 3. 公司资金、资产运用,签订重大合同的权限,以及向董事会、 监事会的报告制度; 4. 董事会认为必要的其他事项。 9. 有下列情况之一的,不得担任公司的总经理或其他高级管理 人员: (1) 无民事行为能力或者限制民事行为能力;或 (2) 《公司法》第 147 条规定的情形以及中国证监会确定为市场 禁入者,并且禁入尚未解除的人员; (3) 法律、法规规定不适合担任总经理或其他高级管理人员的其 他情况。 第 8.7 条 处罚 董事、总经理等高级管理人员违反法律、法规或本章程、股东大 会决议,徇私舞弊或失职、造成公司经济损失的,根据不同情况可给 予下列处罚: 1. 限制其权利; 2. 免除其所担任的职务; 3. 负责经济赔偿; 4. 触犯法律的,依法向司法机关起诉,追究其法律责任。 48 大连冷冻机股份有限公司 公司章程 第九章 劳动与人事 第 9.1 条 劳动人事和工资 公司有权根据《中华人民共和国劳动法》和辽宁省以及大连市的 有关劳动人事法规、政策规定自行聘用职工并制定人事管理制度。 本公司有权依法自行决定受薪人员的工资水平和支付方式。 第 9.2 条 劳动合同 公司应与职工订立劳动合同,确立劳动关系,明确双方的权利义 务。 公司有权对不合格员工进行行政处分直至辞退或开除、辞退员 工,必须提前一个月通知被辞退者。被辞退者有权向公司有关部门及 政府部门申诉。 本公司员工有辞职自由,但必须按公司有关的人事管理制度办理 手续。未经批准擅自离职者,须向公司赔偿由此造成的经济损失。 第 9.3 条 职工福利 公司执行国家和辽宁省有关法律和法规的规定,提取职工医疗、 退休、待业等保险基金。职工享受相应保险待遇。 第 9.4 条 劳动安全与卫生 劳动保护及有关争议按照《中华人民共和国劳动法》和其他有关 法规处理。 第 9.5 条 节假日 节假日按国家法律和法规规定执行。 第 9.6 条 职工工会 49 大连冷冻机股份有限公司 公司章程 公司职工有权按照《中华人民共和国工会法》及其他有关法律的 规定组织工会,开展工会活动,维护职工的合法权益。公司每年应提 取在职职工之工资总额的 2%以拨作为工会的活动经费。 公司工会是职工利益的代表。其基本任务是:依法维护职工的权 利和物质利益;协助和监督公司公积金和公益金的使用;组织职工学 习科学技术知识和开展文艺体育活动。 公司董事会研究决定有关职工工资、福利、安全生产以及劳动保 护和劳动保险等涉及职工切身利益的问题时,应当征询公司工会和职 工的意见,并邀请工会的代表列席有关会议。 第十章 财务、会计与审计 第 10.1 条 财务制度 公司按照国家有关法律、法规制订公司的财务会计制度和内部审 计制度,编制季度财务报告、中期财务报告和年度财务报告。 第 10.2 条 会计年度 公司的会计年度采用公历年制,自公历年一月一日起至十二月三 十一日止为一个会计年度。 第 10.3 条 记帐方式 公司采用国际通用的权责发生制和借贷复式记帐法记帐。 第 10.4 条 记帐本位币 公司采用人民币为记帐本位币。 人民币与其他货币兑换汇率的折算,按实际发生之日中国人民银 行公布的所涉外汇兑人民币之买卖汇价的中间价计算。 公司的非人民币业务按国家有关外汇管理的法律、法规以及规定 办理。 50 大连冷冻机股份有限公司 公司章程 第 10.5 条 记帐文字 公司的一切财务凭证、帐簿及报表均用中文书写。 在必要时,帐簿及报表也可用英文书写,但以中文表述为准。 第 10.6 条 季度财务报告、中期财务报告和年度财务报告 公司年度财务报告应聘请在中国注册的具有从事证券业务资格 的会计师事务所审计,并以其出具的审计报告书为准。 公司的季度财务报告、中期财务报告和年度财务报告按照有关法 律、法规的规定进行编制。公司季度财务报告应于每一会计年度的第 三个月、第九个月结束后的三十天内编制,中期财务报告应于每一会 计年度的前六个月结束后的六十天内编制,年度财务报告应于每一会 计年度结束后的一百二十天内编制。 公司年度财务报告以及进行中期利润分配的中期财务报告,包括 下列内容:资产负债表、利润表、利润分配表、现金流量表、会计报 表附注。公司不进行中期利润分配的,中期财务报告包括上款除利润 分配表以外的会计报表及附注。 第 10.7 条 报表 公司的会计报表、统计报表及有关财务文件应依法向国家财政税 务和统计部门定期呈报,并按有关法律和法规的规定抄报给政府主管 部门,并应放置于公司供股东查阅。 所有财务会计记录由公司保存至少十年。 第 10.8 条 财务报告 公司按每一会计年度,将经会计师事务所审计的公司财务报告备 置于公司所在地供股东查阅和复制,并依照法律、法规和公司章程的 规定予以公告。会计年度的资产负债表和损益表,必须经注册会计师 审核签字。公司在收到股东购买财务报告的书面要求并收到股东支付 合理的印刷及邮递等费用之日起的三个工作日内将财务报告寄出。 51 大连冷冻机股份有限公司 公司章程 公司的财务报告包括(但不限于)资产负债表(限于年度报告的)、 现金流量表和利润分配表,必要时,上述各项财务报表可采取摘要或 简报形式。 第 10.9 条 内部审计 公司实行内部审计制度,配备专职审计人员,对公司财务收支和 经济活动进行内部审计监督。内部审计部门依公司章程规定在董事会 领导下不定期对公司的财务收支和经济活动,进行内部审计监督,向 董事会负责并报告工作。公司内部审计制度和审计人员的职责,应当 经董事会批准后实施。 公司除法定的会计账册外,不另立会计账册。公司的资产,不以 任何个人名义开立帐户存储。 第 10.10 条 公积金 公司设公积金。公积金分两大类: 1. 盈余公积金。盈余公积金分为两种: (1) 法定盈余公积金:公司应在当年税后利润中提取不低于盈余 的百分之十作为盈余公积金,但盈余公积金已达注册资本的百分之五 十时可不再提取。 (2) 任意盈余公积金按照股东大会的决议提取和使用。 2. 资本公积金。下列款项应列入资本公积金: (1) 超过股票面额发行所得的溢价额; (2) 接受赠与; (3) 按国家有关规定应列入的其他款项。 第 10.11 条 公积金用途 公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为 52 大连冷冻机股份有限公司 公司章程 增加公司资本。但是,资本公积金将不用于弥补公司的亏损。 法定公积金转为资本时,所留存的该项公积金将不少于转增前公 司注册资本的 25%。 第 10.12 条 会计师事务所的聘任 公司聘用取得“从事证券相关业务资格”的会计师事务所进行会 计报表审计、净资产验证及其他相关的咨询服务等业务,聘期一年, 可以续聘。 公司聘用会计师事务所由董事会提出提案,股东大会表决通过。 会计师事务所的报酬由股东大会决定。董事会不得在股东大会决定前 委任会计师事务所。 经公司聘用的会计师事务所享有下列权利: 1. 查阅公司财务报表、记录和凭证,并有权要求公司的董事、 总经理或者其他高级管理人员提供有关的资料和说明; 2. 要求公司提供为会计师事务所履行职务所必需的其子公司 的资料和说明; 3. 列席股东大会,获得股东大会的通知或者与股东大会有关的 其他信息,在股东大会上就涉及其作为公司聘用的会计师事务所的事 宜发言。 公司解聘或者续聘会计师事务所由股东大会作出决定,并在有关 的报刊上予以披露,必要时说明更换原因,并报中国证监会和中国注 册会计师协会备案。 公司解聘或者不再续聘会计师事务所时,提前 30 天事先通知会 计师事务所,会计师事务所有权向股东大会陈述意见。会计师事务所 认为公司对其解聘或者不再续聘理由不当的,可以向中国证监会和中 国注册会计师协会提出申诉。会计师事务所提出辞聘的,应当向股东 大会说明公司有无不当情事。 53 大连冷冻机股份有限公司 公司章程 第十一章 利润分配 第 11.1 条 依法纳税 本公司执行国家有关的税收制度,依法向政府纳税,并接受国家 财税机关的核查和监督。 第 11.2 条 税后利润分配 本公司每年的税后利润,按下列顺序和比例分配: 1. 弥补上一年度亏损; 2. 提取百分之十的法定公积金; 3. 提取任意公积金; 4. 支付股利。 税后利润的具体分配比例由董事会根据公司该年度的经营状况 拟定,报股东大会决议通过。 公司法定公积金累计额为公司注册资本的 50%以上的,可以不再 提取。 公司弥补亏损和提取公积金后所余税后利润,按照股东持有的股 份比例分配,但本章程规定不按持股比例分配的除外。 股东大会违反前款规定,在公司弥补亏损和提取法定公积金之前 向股东分配利润的,股东必须将违反规定分配的利润退还公司。 公司持有的本公司股份不参与分配利润。 公司股东大会对利润分配方案作出决议后,公司董事会须在股东 大会召开后两个月内完成股利(或股份)的派发事项。 公司股东回报规划: 公司重视股东合理投资回报,并兼顾公司未来的可持续发展。 公司实施积极的利润分配政策,并保持连续性和稳定性。 公司原则上每年进行一次分红,并优先采取现金分红。 公司现金分红,努力超过公司章程规定的最低比例。 54 大连冷冻机股份有限公司 公司章程 公司利润分配的决策程序和机制: 公司在拟定每年的利润分配预案时,应综合考虑所处行业特点、 发展阶段、自身经营模式、盈利水平、现金流量状况以及是否有重大 资金支出安排等因素。上述利润分配预案,需经全体董事过半数同意 且独立董事对此发表明确意见后方能提交股东大会审议。 公司董事会在审议上述利润分配预案时,应认真研究和论证公司 现金分红的时机、条件和最低比例等事宜。 公司在召开股东大会审议上述利润分配预案时,应通过多种渠道 主动与股东特别是中小股东进行沟通和交流,充分听取中小股东的意 见和诉求,并及时答复中小股东关心的问题。 公司调整利润分配政策的条件、决策程序和机制: 如遇到不可抗力,或者公司外部经营环境或公司自身经营状况发 生较大变化时,公司可对利润分配政策进行调整。 公司董事会在研究论证调整利润分配政策的过程中,应当充分考 虑独立董事和中小股东的意见;调整后的利润分配政策不得违反中国 证监会和证券交易所的有关规定。 调整后的利润分配政策,经全体董事过半数同意且独立董事发表 明确意见后方能提交股东大会审议。股东大会审议调整后的利润分配 政策时,投票方式应符合中国证监会及证券交易所的有关规定,并经 出席股东(包括股东代理人)所持表决权的 2/3 以上通过。 第 11.3 条 股利 公司原则上每年分派股利一次,按股分配,在公司年终决算后进 行,但股东大会有特别决议除外。普通股不支付固定股息。股利分配 可单独或同时采取下列形式: 1. 现金。以人民币计算和宣布。人民币普通股的现金股利以人 民币支付,境内上市外资股的现金股利以港币支付,折算汇率按股东 大会决议日后的第一个工作日中国人民银行公布的人民币兑港币的 55 大连冷冻机股份有限公司 公司章程 中间价计算。 2. 股票。股东可按所持股份的种类比例依法分得相应种类的红 利股票。 公司分派股利时,优先采取现金分红方式。公司可以在满足现金 分红比例要求的前提下,采取发放股票股利的方式分配利润。采取股 票股利进行利润分配时,应当具有公司成长性、每股净资产的摊薄等 真实合理因素。 公司进行利润分配时,现金分红在本次利润分配中所占比例最低 应达到 20%。 公司每年现金分红不低于公司当年净利润的 10%,或最近三年累 计现金分红不低于最近三年实现的年均净利润的 30%。 第 11.4 条 股利所得税 公司在分配股息、红利时,按照国家法律规定代扣并代缴各股东 所获股利收入应缴的税金。境内上市外资股的股利和其他收益依法纳 税后,可以汇出中国境外。 第 11.5 条 分派股利公告 本公司分派股利,采用在本章程第十四章所指定的报刊公告的方 法通知股东。 第十二章 合并与分立 第 12.1 条 决议和批准 本公司的合并与分立,应按本章程规定,经董事会通过合并或分 立方案,并由股东大会作出决议,报请有关政府审批机关批准。 公司合并或者分立,按照下列程序办理: 1..董事会拟订合并或者分立方案; 56 大连冷冻机股份有限公司 公司章程 2..股东大会依照章程的规定作出决议; 3..各方当事人签订合并或者分立合同; 4..依法办理有关审批手续; 5..处理债权、债务等各项合并或者分立事宜; 6..办理解散登记或者变更登记。 公司合并或者分立时,公司董事会应当采取必要的措施保护反对 公司合并或者分立的股东的合法权益。 第 12.2 条 公司合并 公司合并可以采取吸收合并和新设合并两种形式。 公司合并应当由合并各方签订合并协议,并编制资产负债表及财 产清单。公司应当自作出合并决议之日起十日内通知债权人,并于三 十日内在在本章程第十四章所规定的报纸上公告。债权人自接到通知 书之日起三十日内,未接到通知书的自公告之日起四十五日内,可以 要求公司清偿债务或者提供相应的担保。不清偿债务或不提供相应担 保的,公司不得合并。 公司合并时,合并各方的债权、债务,应当由合并后存续的公司 或者新设立的公司承继。 第 12.3 条 公司分立 公司分立,应对其财产作相应的分割。 公司分立时,应当签订分立协议,并编制资产负债表及财产清单。 公司应当自作出分立决议之日起十日内通知债权人,并于三十日内在 在本章程第十四章所规定的报纸上公告。债权人自接到通知书之日起 三十日内,未接到通知书的自公告之日起四十五日内,可以要求公司 清偿债务或者提供相应的担保。不清偿债务或不提供相应担保的,公 司不得分立。 57 大连冷冻机股份有限公司 公司章程 公司分立前的债务按所达成的协议由分立后的公司承担。 第 12.4 条 变更登记 合并与分立方应于有关协议签订后向国家有关审批机关提出申 请报告,经批准后三十日内,向公司登记机关分别申请变更登记、设 立登记或注销登记,向主管税务机关申报处理变更登记、重新登记或 注销登记,并依本章程第十四章的规定进行公告。 第十三章 解散与清算 第 13.1 条 公司解散条件 公司有下列情形之一时,应予解散并进行清算: 1. 不能清偿到期债务而被依法宣告破产; 2. 严重违反国家法律和法规,危害社会公共利益被依法勒令停 业; 3. 股东大会决议解散; 4. 因公司合并或分立需要解散; 5. 公司经营管理发生严重困难,继续存续会使股东利益受到重 大损失,通过其他途径不能解决的,持有公司全部股东表决权 10%以 上的股东请求人民法院解散公司。 第 13.2 条 解散后的清算 公司解散后的清算,应当根据解散的原因依法按照下列程序进 行: 1. 公司因不能清偿到期债务、被依法宣告破产的,由人民法院 依照有关法律的规定,组织股东、有关机关和专业人员成立清算组对 公司进行清算。 2. 公司因违反国家法律和法规、危害社会公共利益被依法勒令 58 大连冷冻机股份有限公司 公司章程 停业而终止的,由有关政府主管机关组织股东、有关机关及有关专业 人员成立清算组对公司进行清算。 3. 公司因股东大会决议解散的,应当自有关决议通过之日起十 五天内成立清算组。清算组的成员由股东大会以普通决议的方式选 定。 4. 公司因合并或分立需解散的,清算工作由合并或者分立的各 方当事人依照合并或分立时签订的有关协议办理。 第 13.3 条 停止新的经营 清算组成立后,董事会、总经理的职责立即停止。清算期间,公 司不得开展新的经营活动。 第 13.4 条 清算公告和申报 公司清算组成立后,应在十日内通知债权人,并按照本章程第十 四章的规定于六十日内公告。债权人应自接到通知书之日起三十日 内,未接到通知书的自公告之日起四十五日内向清算组申报其债权。 债权人应当在上述规定的期限内向清算组申报其债权。债权人申 报债权时,应当说明债权的有关事项,并提供证明材料。清算组应当 对债权进行登记。 债权人未在上述规定的期限内申报债权的,不列入清算之列,只 能就未分配的剩余财产请求清偿。但债权人认为公司明知而未通知并 能提供证明材料者,不在此列。 第 13.5 条 清算组的职权 清算组在清算期间行使下列职权: 1. 清理公司财产、编制资产负债表和财产清单; 2. 通知或者公告债权人; 3. 处理与清算有关的公司未了结的业务; 59 大连冷冻机股份有限公司 公司章程 4. 清缴所欠税款; 5. 清理公司债权、债务,遣散公司从业人员; 6. 处理公司清偿债务后的剩余财产; 7. 代表公司进行民事诉讼活动;及 8. 法律、法规以及本章程规定的其他事项。 第 13.6 条 清算组的职权限制 清算组人员应当忠于职守,依法履行清算义务,不得利用职权收 受贿赂或者其他非法收入,不得侵占公司财产。 清算组人员因故意或者重大过失给公司或者债权人造成损失的, 应当承担赔偿责任。 清算组在清理公司财产、编制资产负债表和财产清单后,应当制 定清算方案,并报股东大会或者有关主管机关确认。 清算结束后,清算组应制作清算报告,并编制清算期内收支报表 和各种财务帐册,经会计师事务所验证,报股东大会或者有关主管机 关确认。 清算组在公司债权申报期间不得对债权人进行清偿,但公司不能 因此免除对延迟清偿所负的损害赔偿责任。 经法院许可,清算组可不拘上述规定,对有担保债务及无损于其 他债权人的债务进行清偿。 第 13.7 条 宣告破产 清算组在清理公司财产、编制资产负债表和财产清单后,认为公 司财产不足以清偿债务时,应立即停止清算,并按程序向人民法院申 请宣告破产。 公司经人民法院裁决宣告破产后,清算组应将清算事务移交给人 民法院。 60 大连冷冻机股份有限公司 公司章程 第 13.8 条 清偿顺序 在清算方案报股东大会或有关政府主管机关确认后,公司财产应 优先用以支付清算费用,然后按下列顺序清偿: 1. 支付职工工资和劳动保险费用; 2. 交纳公司所欠税款; 3. 清偿银行贷款、公司债券及其他债务。 按上述规定清理完毕后,剩余财产按股东各自的持股比例分配。 违反上述清算顺序所作的财务分配无效。债权人有权要求清算组 追还,并可请求赔偿所受的损失。 第 13.8 条 注销登记 清算组应当自股东大会或者有关主管机关对清算报告确认之日 起三十日内,向公司登记机关申请注销登记和向税务机关办理注销登 记,结清应缴税款、缴税发票和税务机关发给的有关证件,公告公司 终止。 第十四章 信息披露 第 14.1 条 法律依据 公司的信息披露应当按照《公司法》、《股票发行与交易管理暂行 条例》、《公开发行股票公司信息披露实施细则(试行)》、《国务院关 于股份有限公司境内上市外资股的规定》和《股份有限公司境内上市 外资股规定的实施细则》等法律和法规以及公司股票上市的证券交易 所的有关信息披露的规定执行。 第 14.2 条 监管机构的同意 公司在通过本章程的公告方式披露重大事件时,应当在公开该重 大事件之前向公司股票上市的证券交易所报告其披露的方式和内容。 61 大连冷冻机股份有限公司 公司章程 经上述机构同意后,方可进行公告。 第 14.3 条 通知 公司的通知以下列形式发出:以专人送出;以邮件方式送出;以 公告方式进行;公司章程规定的其他形式。 公司发出的通知,以公告方式进行的,一经公告,视为所有相关 人员收到通知。 公司召开股东大会的会议通知,按照本章程第 5.6 条进行。 公司召开董事会的会议通知,按照本章程第 14.3 条进行。 公司召开监事会的会议通知,按照本章程第 7.6 条进行。 公司通知以专人送出的,由被送达人在送达回执上签名(或盖 章),被送达人签收日期为送达日期;公司通知以邮件送出的,自交 付邮局之日起第四个工作日为送达日期;公司通知以公告方式送出 的,第一次公告刊登日为送达日期。 因意外遗漏未向某有权得到通知的人送出会议通知或者该等人 没有收到会议通知,会议及会议作出的决议并不因此无效。 第 14.4 条 公告方式 公司按本章程及有关规定而就重大事项(包括向股东公告季度报 告、中期报告及年度报告)发出的公告应在中国以中文在至少一份由 中国证券监督管理委员会指定的全国性报刊上刊登并且同时应在境 外(含港澳台地区)以中文和英文在至少一份中文报和英文报刊上刊 登。 如中文和英文在理解或解释方面存在任何不一致的情况,则以中 文为准。 公司指定《中国证券报》、《证券时报》为刊登公司公告和其他需 要披露信息的报刊。 62 大连冷冻机股份有限公司 公司章程 公司指定信息披露网站为:http://www.cninfo.com.cn。 第 14.5 条 连带责任 董事会应当保证公开披露的信息和文件的内容没有虚假、严重误 导性陈述或重大遗漏。董事会的成员应对此负连带责任。 第 14.6 条 投资者关系管理 公司积极建立健全投资者关系管理工作制度,通过多种形式主动 加强与股东特别是社会公众股股东的沟通和交流。公司董事会秘书具 体负责公司投资者关系管理工作。 第十五章 章程的修改 第 15.1 条 修改章程 有下列情形之一的,公司应当修改章程: 1. 《公司法》或有关法律、行政法规修改后,章程规定的事项 与修改后的法律、行政法规的规定相抵触; 2. 公司的情况发生变化,与章程记载的事项不一致; 3. 股东大会决定修改章程。 第 15.2 条 修改程序 修改公司章程,应遵循下列程序: 1. 由公司董事会会议通过修改章程的决议,提出修改方案; 2. 把上述修改方案通知股东,召集股东大会进行表决; 3. 股东大会对修改条款进行表决,获得本章程第 5.15 条规定 比例的股东表决同意的,即可通过。股东大会决议通过的章程修改事 项应经主管机关审批的,须报原审批的主管机关批准; 63 大连冷冻机股份有限公司 公司章程 4. 经修订的章程按公司登记机关的要求办理变更登记,并予以 公告。 第 15.3 条 查阅与备案 公司章程经修改后,应备置公司的法定住所供股东查阅,并报公 司所在地中国证监会派出机构和公司股票上市的证券交易所备案。 第十六章 附则 第 16.1 条 章程组成部分 本章程附件包括股东大会议事规则、董事会议事规则和监事会议 事规则。公司股东大会通过的有关本章程的补充决议、章程及细则, 均为本章程的组成部分。章程细则不得与本章程的规定相抵触。 第 16.2 条 未尽事宜处理 本章程的未尽事宜,根据《公司法》的有关规定,由下一次股东 大会修订通过。 第 16.3 条 其他规章制度 公司所定的规章制度,凡与本章程有抵触者,一律视为无效。 第 16.4 条 章程解释权 公司章程由公司董事会负责解释,修改权属于股东大会。 若有任何争议,则依本章程规定的程序办理。 第 16.5 条 文字 本章程以中文书写,其他任何语种或不同版本的章程与本章程有 歧义时,以在大连市工商行政管理局最近一次核准登记后的中文版章 程为准。 第 16.6 条 数字效力 64 大连冷冻机股份有限公司 公司章程 本章程述及的“以上”、“以前”、“至少”和“内”均包括本数。 第 16.7 条 生效 本章程经公司股东大会表决通过后生效。 第 16.8 条 仲裁与适用法律 关于境内上市外资股股东与公司之间、境内上市外资股股东与公 司董事、监事、总经理或者其它高级管理人员之间、境内上市外资股 股东与人民币普通股股东之间,基于公司章程及有关法律、法规规定 的权利义务发生与公司事务有关的争议或权利主张,应在中国国际经 济贸易仲裁委员会并按该机构的仲裁规则进行仲裁解决。 与本章程有关的一切争议,适用中华人民共和国法律。 65
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大冷股份:公司章程(2018年5月)(查看PDF公告PDF版下载)
公告日期:2018-05-19
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2017 年度股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………15 第六章 董事会………………………………………28 第七章 监事会………………………………………42 第八章 经营管理机构………………………………45 第九章 劳动与人事…………………………………49 第十章 财务、会计与审计…………………………50 第十一章 利润分配……………………………………54 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………58 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………63 第十六章 附则…………………………………………64 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所为:大连经济技术开发区辽河东路 106 号 邮政编码:116630 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 大连冷冻机股份有限公司 公司章程 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为任何非法人单位或个人提供担保。公司为股东、实际 控制人及其关联方提供担保,须经股东大会审批。公司对外担保总额 不得超过最近一个会计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 大连冷冻机股份有限公司 公司章程 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 大连冷冻机股份有限公司 公司章程 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币八亿五千五百九十万 八千九百八十一(855,908,981)元。 第 3.2 条 注册资本的划分 大连冷冻机股份有限公司 公司章程 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为八亿五千五百九十万八千九百八十一 (855,908,981)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为八亿五千五百九十万八千九百 八十一(855,908,981)股。 公司的股份构成为: 股份类别 股份数额 人民币普通股 六亿一千四百四十万八千九百八十一(614,408,981)股 境内上市外资股 二亿四千一百五十万(241,500,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 并符合《公司法》。 第 3.5 条 股票持有限制 大连冷冻机股份有限公司 公司章程 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 大连冷冻机股份有限公司 公司章程 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 公司发起人所持股份自公司成立之日起一年内不得转让。 第 3.9 条 股票的赠与、抵押和继承 大连冷冻机股份有限公司 公司章程 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 大连冷冻机股份有限公司 公司章程 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份奖励给本公司职工; 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 公司收购其股份的。 大连冷冻机股份有限公司 公司章程 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 向全体股东按照相同比例发出购回要约; 2. 通过公开交易方式购回; 3. 法律、行政法规规定和国务院证券主管部门批准的其它情 形。 第 3.16 条 回购股份处理 公司依照第 3.15 条规定收购本公司股份后,属于第(一)项情 形的,应当自收购之日起十日内注销;属于第(二)项、第(四)项 情形的,应当在六个月内转让或者注销。 公司依照第 3.15 条第(三)项规定收购的本公司股份,不得超 过本公司已发行股份总额的百分之五;用于收购的资金应当从公司的 税后利润中支出;所收购的股份应当在一年内转让给职工。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 各种方式以减少或免除认购人购买公司股份的出资义务。 但公司依法将公积金或利润转为资本而向股东按原持股比例派 大连冷冻机股份有限公司 公司章程 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 依照其所持有的股份份额获得股利和其他形式的利益分配; 2. 依法请求、召集、主持、参加或者委派股东代理人参加股东 大会,并行使相应的表决权; 3. 对公司的经营进行监督,提出建议或者质询; 4. 依照法律、行政法规及公司章程的规定转让、赠与或质押其 所持有的股份; 5. 查阅公司章程、股东名册、股东大会会议记录、董事会会议 决议、监事会会议决议、财务会计报告; 6. 公司终止或者清算时,按其所持有的股份份额参加公司剩余 财产的分配; 大连冷冻机股份有限公司 公司章程 7. 对股东大会作出的公司合并、分立决议持异议的股东,要求 公司收购其股份; 8. 法律、行政法规、部门规章或公司章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 3. 服从和执行股东大会依法通过的决议; 大连冷冻机股份有限公司 公司章程 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 大连冷冻机股份有限公司 公司章程 第 4.5 条 控股股东之含义 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 大连冷冻机股份有限公司 公司章程 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 会议形式召开。公司还将提供网络方式为股东参加股东大会提供便 利。股东通过上述方式参加股东大会的,视为出席。股东大会现场结 束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 大连冷冻机股份有限公司 公司章程 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 大连冷冻机股份有限公司 公司章程 第 5.5 条 股东大会的职权 股东大会行使下列职权: 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 大连冷冻机股份有限公司 公司章程 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 18. 审议股权激励计划; 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知中应当明确载明网络方式的表决时间及表决程序。 股东大会网络投票的开始时间,不得早于现场股东大会召开前一日下 大连冷冻机股份有限公司 公司章程 午 3:00,并不得迟于现场股东大会召开当日上午 9:30,其结束时间 不得早于现场股东大会结束当日下午 3:00。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 更股东大会召开时间的,不应因此而变更股权登记日。 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 大连冷冻机股份有限公司 公司章程 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。股东征集投票权没有最低持股比例限制。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 大连冷冻机股份有限公司 公司章程 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 自己的意思表决。 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 大连冷冻机股份有限公司 公司章程 股东大会审议影响中小投资者利益的重大事项时,对中小投资者 表决应当单独计票。单独计票结果应当及时公开披露。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 大连冷冻机股份有限公司 公司章程 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 5. 公司年度报告; 6. 除法律、行政法规规定或者公司章程规定应当以特别决议通 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 5. 回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 大连冷冻机股份有限公司 公司章程 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 大连冷冻机股份有限公司 公司章程 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 单独或者合计持有公司 3%以上股份的股东,可以在股东大会召 开 10 日前提出临时提案并书面提交召集人。召集人应当在收到提案 后 2 日内发出股东大会补充通知,公告临时提案的内容。 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 大连冷冻机股份有限公司 公司章程 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 大连冷冻机股份有限公司 公司章程 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 大连冷冻机股份有限公司 公司章程 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 保; 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 大连冷冻机股份有限公司 公司章程 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事会提名的人选亦可作为董事候选人。独立董事候选人可由 董事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东 提名。 大连冷冻机股份有限公司 公司章程 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。董事会会议必须有半数以上的董事出席方能召开。董事 长和董事因故不能参加会议可书面委托其他董事作为代理人参加会 议并表决。委托书应载明代理人的姓名,代理事项、权限和有效期限, 并由委托人签名或盖章。代为出席会议的董事应当在授权范围内行使 董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 大连冷冻机股份有限公司 公司章程 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用通讯 表决方式进行并作出决议,并由参会董事签字。 第 6.8 条 董事会的职权 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 大连冷冻机股份有限公司 公司章程 7. 拟订公司重大收购、回购本公司股票或者分立、合并、解散 的方案; 8. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 9. 监督、协调和指导公司及附属公司、企业的经营管理工作; 10. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 11. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 12. 聘任或者解聘董事会秘书; 13. 编制、核准和发布公司信息披露事项; 14. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 15. 听取公司经理的工作汇报并检查经理的工作; 16. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 17. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 序;重大投资项目应当组织有关专家、专业人员进行评审。 大连冷冻机股份有限公司 公司章程 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 4. 行使法定代表人的职权; 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 大连冷冻机股份有限公司 公司章程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 大连冷冻机股份有限公司 公司章程 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 第 6.14 条 董事会议事规则 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 大连冷冻机股份有限公司 公司章程 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 大连冷冻机股份有限公司 公司章程 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 第 6.17 条 独立董事 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 2. 具有独立性; 大连冷冻机股份有限公司 公司章程 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 6. 公司章程规定的其他人员; 7. 中国证监会认定的其他人员。 独立董事的提名、选举和更换程序: 1. 董事会、监事会、单独或者合并持有公司已发行股份 1%以 上的股东可以提出独立董事候选人,并经股东大会选举决定。 2. 独立董事的提名人在提名前应当征得被提名人的同意。提名 人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部 兼职等情况,并对其担任独立董事的资格和独立性发表意见,被提名 人应当就其本人与公司之间不存在任何影响其独立客观判断的关系 发表公开声明。 大连冷冻机股份有限公司 公司章程 3. 在选举独立董事的股东大会召开前,公司应将所有被提名人 的有关材料同时报送中国证监会、公司所在地中国证监会派出机构和 公司股票挂牌交易的证券交易所。董事会对被提名人的有关情况有异 议的,应同时报送董事会的书面意见。在召开股东大会选举独立董事 时,董事会应对独立董事候选人是否被中国证监会提出异议的情况进 行说明。 4. 独立董事每届任期与公司其他董事任期相同,任期届满,连 选可以连任,但是连任时间不得超过六年。 5. 独立董事连续 3 次未亲自出席董事会会议的,由董事会提请 股东大会予以撤换。 除出现上述情况及《公司法》中规定的不得担任董事的情形外, 独立董事任期届满前不得无故被免职。提前免职的,公司应将其作为 特别披露事项予以披露,被免职的独立董事认为公司的免职理由不当 的,可以作出公开的声明。 6. 独立董事在任期届满前可以提出辞职。独立董事辞职应向董 事会提交书面辞职报告,对任何与其辞职有关或其认为有必要引起公 司股东和债权人注意的情况进行说明。如因独立董事辞职导致公司董 事会中独立董事所占的比例低于规定的最低要求时,该独立董事的辞 职报告应当在下任独立董事填补其缺额后生效。 独立董事除具有公司法和其他相关法律、法规赋予董事的职权 外,还具有以下特别职权: 1. 重大关联交易(指公司拟与关联人达成的总额高于 300 万元 或高于公司最近经审计净资产值的 5%的关联交易)应由独立董事认 可后,提交董事会讨论; 独立董事作出判断前,可以聘请中介机构出具独立财务顾问报 告,作为其判断的依据。 2. 向董事会提议聘用或解聘会计师事务所; 3. 向董事会提请召开临时股东大会; 大连冷冻机股份有限公司 公司章程 4. 提议召开董事会; 5. 独立聘请外部审计机构和咨询机构; 6. 可以在股东大会召开前公开向股东征集投票权。 独立董事行使上述特别职权应当取得全体独立董事的二分之一 以上同意。如上述提议未被采纳或上述职权不能正常行使,公司应将 有关情况予以披露。 独立董事应对以下事项向董事会或股东大会发表独立意见: 1. 提名、任免董事; 2. 聘任或解聘高级管理人员; 3. 公司董事、高级管理人员的薪酬; 4. 公司股东、实际控制人及其关联企业对公司现有或新发生的 总额高于 300 万元或高于公司最近经审计净资产值的 5%的借款或其 他资金往来,以及公司是否采取有效措施回收欠款; 5. 独立董事认为可能损害中小股东权益的事项; 6. 公司章程规定的其他事项。 为了保证独立董事有效行使职权,公司提供如下必要的条件: 1. 公司保证独立董事享有与其他董事同等的知情权。凡须经董 事会决策的事项,公司必须按法定的时间提前通知独立董事并同时提 供足够的资料,独立董事认为资料不充分的,可以要求补充。当 2 名 或 2 名以上独立董事认为资料不充分或论证不明确时,可联名书面向 董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采 纳。 2. 公司提供独立董事履行职责所必需的工作条件。董事会秘书 应积极为独立董事履行职责提供协助。独立董事发表的独立意见、提 大连冷冻机股份有限公司 公司章程 案及书面说明应当公告的,董事会秘书应及时办理公告事宜。 3. 独立董事行使职权时,公司有关人员应当积极配合,不得拒 绝、阻碍或隐瞒,不得干预其独立行使职权。 4. 独立董事聘请中介机构的费用及其他行使职权时所需的费用 由公司承担。 5. 公司给予独立董事适当的津贴。津贴的标准由董事会制订预 案,股东大会审议通过,并在公司年报中进行披露。 6. 公司可以建立必要的独立董事责任保险制度,以降低独立董 事正常履行职责可能引致的风险。 第七章 监事会 第 7.1 条 监事会 公司设监事会。监事会是公司业务活动的监督机构,对董事会、 董事以及总经理等高级管理人员行使监督职能。 监事会向股东大会负责并报告工作。 第 7.2 条 监事会组成 公司监事会由三名监事组成,其中三分之二为股东代表,由股东 大会选举产生和罢免,其余三分之一为公司职工代表,由公司职工选 举产生和罢免。 监事会主席由全部监事的三分之二以上选举产生和罢免。监事不 得兼任董事、总经理、财务负责人或其他高级管理职务。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的,不得担任公司的监事。 第 7.3 条 监事任期与辞职 监事每届任期三年,可连选连任。 大连冷冻机股份有限公司 公司章程 监事可以在任期届满以前提出辞职。本章程第 6.11 条有关董事 辞职的规定适用于监事。 第 7.4 条 监事会职权 监事会行使下列职权: 1. 应当对董事会编制的公司定期报告进行审核并提出书面审 核意见; 2. 检查公司财务; 3. 对董事、高级管理人员执行公司职务的行为进行监督,对违 反法律、行政法规、本章程或者股东大会决议的董事、高级管理人员 提出罢免的建议; 4. 当董事、高级管理人员的行为损害公司的利益时,要求董事、 高级管理人员予以纠正; 5. 提议召开临时股东大会,在董事会不履行《公司法》规定的 召集和主持股东大会职责时召集和主持股东大会; 6. 向股东大会提出提案; 7. 依照《公司法》第一百五十二条的规定,对董事、高级管理 人员提起诉讼; 8. 发现公司经营情况异常,可以进行调查; 9. 法律、法规和本章程规定或股东大会授予的其他职权。 监事会行使职权时,必要时可以聘请律师事务所、会计师事务所 等专业性机构给予帮助,由此所产生的费用由公司负担。 第 7.5 条 报告违规行为 监事会对董事会、总经理和其他高级管理人员违反法规和本章程 大连冷冻机股份有限公司 公司章程 的行为,应及时制止。在制止无效时,应向股东大会及政府有关机关 报告。 第 7.6 条 监事会会议 监事会每年至少举行三次会议。监事会每 6 个月至少召开一次会 议。 监事会会议由监事会主席召集。会议通知应当在会议召开十日前 书面送达全体监事。通知的内容应包括会议的日期、地点和会议期限、 事由及议题和发出通知的日期。 监事会会议由监事会主席主持。监事会主席不能履行职务或者不 履行职务的,由半数以上监事共同推举一名监事召集和主持监事会会 议。 第 7.7 条 监事会特别会议 监事会主席可根据实际需要或三分之一以上的监事的要求,召开 监事会特别会议。监事要求召开监事会特别会议时,应表明召开会议 的原因和目的。 第 7.8 条 监事会决议 监事会会议实行一人一票表决制度。监事会决议应由半数以上监 事表决同意,方能通过。监事在监事会会议上均有发言权。任何一位 监事所提的议案,监事会均应予以审议。 第 7.9 条 监事会会议记录 监事会会议应有记录。出席会议的监事和记录人应当在会议记录 上签名。监事有权要求在会议记录上对其发言作出某种说明性的记 载。监事会会议记录作为公司档案由董事会秘书保存,且十年内不得 销毁。本章程第 6.15 条有关董事会会议记录的规定,适用于监事会 会议记录。 第 7.10 条 免职和赔偿 大连冷冻机股份有限公司 公司章程 监事应当遵守法律、法规和章程的规定,履行诚信和勤勉义务。 前述第 6.10 条和 6.15 条关于董事的免职和赔偿的规定也适用于监事 的免职和赔偿。 监事连续两次不能亲自出席监事会会议的,视为不能履行职责, 股东大会或职工代表大会应当予以撤换。 第 7.11 条 监事会议事规则 监事会制定监事会议事规则,明确监事会的议事方式和表决程 序,以确保监事会的工作效率和科学决策。监事会议事规则作为章程 的附件,由监事会拟定,股东大会批准。 第八章 经营管理机构 第 8.1 条 总经理和副总经理 公司实行董事会领导下的总经理负责制,设总经理一名和副总经 理若干名。总经理在董事会的领导下负责公司的日常经营管理,副总 经理协助总经理工作。总经理因故不能行使职责时,董事会应授权一 名副总经理代行总经理职责。公司设若干职能部门。职能部门在总经 理领导下进行工作。 总经理任期三年,自董事会之聘任决议通过之日起计算。总经理 可以连聘连任。 第 8.2 条 选任 总经理由董事长提名、董事会聘任。副总经理和其他高级管理人 员由总经理提名、董事会聘任。总经理和副总经理可由董事会成员兼 任。但兼任总经理、副总经理或者其他高级管理人员职务的董事不得 超过公司董事总数的二分之一。 在公司控股股东、实际控制人单位担任除董事以外其他职务的人 员,不得担任公司的高级管理人员。 第 8.3 条 辞职 大连冷冻机股份有限公司 公司章程 总经理和副总经理可以在任期届满以前提出辞职。有关总经理辞 职的具体程序和办法由总经理与公司之间的劳务合同规定。在向董事 会提交辞职报告后,须经离职审计完成后,该辞职报告方能生效。未 通过离职审计擅自离职而给公司造成损失的,应当负担赔偿责任。 第 8.4 条 总经理的职权 总经理行使下列职权: 1. 列席董事会会议,执行本章程和股东大会、董事会决议,组 织实施公司年度计划和投资方案,直接对董事会负责并报告工作; 2. 全面负责公司的经营管理,主持公司的日常工作; 3. 制订公司生产经营发展计划、年度财务结算方案以及拟定利 润分配方案和亏损弥补方案; 4. 组织制定公司各项基本管理制度、基本规章及机构设置和调 整的意见,报董事会批准后执行; 5. 提名副总经理和其他高级管理人员,聘任或者解聘除应由董 事会聘任或解聘以外的其他管理人员; 6. 决定与公司员工有关的事项,包括奖惩、升降级、加减薪、 聘任、解聘和终止服务; 7. 在董事会授权的范围内代表公司处理对外事宜,签订各项经 济合同、协议,并代表公司履行合同的责任,检查和督促各部门履行 合同规定的条款; 8. 签发公司日常业务、财务开支和行政文件; 9. 提议召开董事会临时会议; 10. 行使董事会授予的其他职权。 总经理在其行使职权时,不得变更股东大会和董事会的决议或超 越其授权的范围。非董事总经理在董事会上没有表决权。 大连冷冻机股份有限公司 公司章程 第 8.5 条 副总经理的职权 副总经理的主要职责如下: 1. 协助总经理的工作并在总经理因故不能履行职务时并在经 董事会授权后,代总经理履行职权; 2. 负责管理所分工的部门的工作。 第 8.6 条 行为限制 1. 总经理及其他高级管理人员不得从事与公司有竞争或损害 公司利益的活动。从事上述活动所得的受益应当归公司所有; 2. 总经理及其他高级管理人员在公司拥有的权益必须在年度 报告中予以说明; 3. 总经理和其他高级管理人员不得利用职权收受贿赂或者获 取其他非法收入,不得侵占公司的财产或以任何方式挪用公司资产以 谋取私利,并不得以公司资产为公司股东或其他个人债务提供担保。 4. 总经理除董事会过半数董事(不包括有关之董事)或股东大 会批准外,不得同公司订立合同或者进行交易; 5. 总经理应当遵守法律、行政法规和公司章程,履行诚信和勤 勉的义务,维护公司利益并不得利用在公司的地位和职权为自己谋取 私利; 6. 总经理应当根据董事会或者监事会的要求,向董事会或者监 事会报告公司重大合同的签订、执行情况,资金运用情况和盈亏情况。 总经理必须保证该报告的真实性。 7. 总经理拟定有关职工工资、福利、安全生产以及劳动保护、 劳动保险、解聘(或开除)公司职工等涉及职工切身利益的问题时, 应当事先听取工会和职代会的意见。 8. 总经理应当制订总经理工作细则,报董事会批准后实施。 大连冷冻机股份有限公司 公司章程 总经理工作细则包括下列内容: 1. 总经理会议召开的条件、程序和参加的人员; 2. 总经理、副总经理及其他高级管理人员各自具体的职责及其 分工; 3. 公司资金、资产运用,签订重大合同的权限,以及向董事会、 监事会的报告制度; 4. 董事会认为必要的其他事项。 9. 有下列情况之一的,不得担任公司的总经理或其他高级管理 人员: (1) 无民事行为能力或者限制民事行为能力;或 (2) 《公司法》第 147 条规定的情形以及中国证监会确定为市场 禁入者,并且禁入尚未解除的人员; (3) 法律、法规规定不适合担任总经理或其他高级管理人员的其 他情况。 第 8.7 条 处罚 董事、总经理等高级管理人员违反法律、法规或本章程、股东大 会决议,徇私舞弊或失职、造成公司经济损失的,根据不同情况可给 予下列处罚: 1. 限制其权利; 2. 免除其所担任的职务; 3. 负责经济赔偿; 4. 触犯法律的,依法向司法机关起诉,追究其法律责任。 大连冷冻机股份有限公司 公司章程 第九章 劳动与人事 第 9.1 条 劳动人事和工资 公司有权根据《中华人民共和国劳动法》和辽宁省以及大连市的 有关劳动人事法规、政策规定自行聘用职工并制定人事管理制度。 本公司有权依法自行决定受薪人员的工资水平和支付方式。 第 9.2 条 劳动合同 公司应与职工订立劳动合同,确立劳动关系,明确双方的权利义 务。 公司有权对不合格员工进行行政处分直至辞退或开除、辞退员 工,必须提前一个月通知被辞退者。被辞退者有权向公司有关部门及 政府部门申诉。 本公司员工有辞职自由,但必须按公司有关的人事管理制度办理 手续。未经批准擅自离职者,须向公司赔偿由此造成的经济损失。 第 9.3 条 职工福利 公司执行国家和辽宁省有关法律和法规的规定,提取职工医疗、 退休、待业等保险基金。职工享受相应保险待遇。 第 9.4 条 劳动安全与卫生 劳动保护及有关争议按照《中华人民共和国劳动法》和其他有关 法规处理。 第 9.5 条 节假日 节假日按国家法律和法规规定执行。 第 9.6 条 职工工会 大连冷冻机股份有限公司 公司章程 公司职工有权按照《中华人民共和国工会法》及其他有关法律的 规定组织工会,开展工会活动,维护职工的合法权益。公司每年应提 取在职职工之工资总额的 2%以拨作为工会的活动经费。 公司工会是职工利益的代表。其基本任务是:依法维护职工的权 利和物质利益;协助和监督公司公积金和公益金的使用;组织职工学 习科学技术知识和开展文艺体育活动。 公司董事会研究决定有关职工工资、福利、安全生产以及劳动保 护和劳动保险等涉及职工切身利益的问题时,应当征询公司工会和职 工的意见,并邀请工会的代表列席有关会议。 第十章 财务、会计与审计 第 10.1 条 财务制度 公司按照国家有关法律、法规制订公司的财务会计制度和内部审 计制度,编制季度财务报告、中期财务报告和年度财务报告。 第 10.2 条 会计年度 公司的会计年度采用公历年制,自公历年一月一日起至十二月三 十一日止为一个会计年度。 第 10.3 条 记帐方式 公司采用国际通用的权责发生制和借贷复式记帐法记帐。 第 10.4 条 记帐本位币 公司采用人民币为记帐本位币。 人民币与其他货币兑换汇率的折算,按实际发生之日中国人民银 行公布的所涉外汇兑人民币之买卖汇价的中间价计算。 公司的非人民币业务按国家有关外汇管理的法律、法规以及规定 办理。 大连冷冻机股份有限公司 公司章程 第 10.5 条 记帐文字 公司的一切财务凭证、帐簿及报表均用中文书写。 在必要时,帐簿及报表也可用英文书写,但以中文表述为准。 第 10.6 条 季度财务报告、中期财务报告和年度财务报告 公司年度财务报告应聘请在中国注册的具有从事证券业务资格 的会计师事务所审计,并以其出具的审计报告书为准。 公司的季度财务报告、中期财务报告和年度财务报告按照有关法 律、法规的规定进行编制。公司季度财务报告应于每一会计年度的第 三个月、第九个月结束后的三十天内编制,中期财务报告应于每一会 计年度的前六个月结束后的六十天内编制,年度财务报告应于每一会 计年度结束后的一百二十天内编制。 公司年度财务报告以及进行中期利润分配的中期财务报告,包括 下列内容:资产负债表、利润表、利润分配表、现金流量表、会计报 表附注。公司不进行中期利润分配的,中期财务报告包括上款除利润 分配表以外的会计报表及附注。 第 10.7 条 报表 公司的会计报表、统计报表及有关财务文件应依法向国家财政税 务和统计部门定期呈报,并按有关法律和法规的规定抄报给政府主管 部门,并应放置于公司供股东查阅。 所有财务会计记录由公司保存至少十年。 第 10.8 条 财务报告 公司按每一会计年度,将经会计师事务所审计的公司财务报告备 置于公司所在地供股东查阅和复制,并依照法律、法规和公司章程的 规定予以公告。会计年度的资产负债表和损益表,必须经注册会计师 审核签字。公司在收到股东购买财务报告的书面要求并收到股东支付 合理的印刷及邮递等费用之日起的三个工作日内将财务报告寄出。 大连冷冻机股份有限公司 公司章程 公司的财务报告包括(但不限于)资产负债表(限于年度报告的)、 现金流量表和利润分配表,必要时,上述各项财务报表可采取摘要或 简报形式。 第 10.9 条 内部审计 公司实行内部审计制度,配备专职审计人员,对公司财务收支和 经济活动进行内部审计监督。内部审计部门依公司章程规定在董事会 领导下不定期对公司的财务收支和经济活动,进行内部审计监督,向 董事会负责并报告工作。公司内部审计制度和审计人员的职责,应当 经董事会批准后实施。 公司除法定的会计账册外,不另立会计账册。公司的资产,不以 任何个人名义开立帐户存储。 第 10.10 条 公积金 公司设公积金。公积金分两大类: 1. 盈余公积金。盈余公积金分为两种: (1) 法定盈余公积金:公司应在当年税后利润中提取不低于盈余 的百分之十作为盈余公积金,但盈余公积金已达注册资本的百分之五 十时可不再提取。 (2) 任意盈余公积金按照股东大会的决议提取和使用。 2. 资本公积金。下列款项应列入资本公积金: (1) 超过股票面额发行所得的溢价额; (2) 接受赠与; (3) 按国家有关规定应列入的其他款项。 第 10.11 条 公积金用途 公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为 大连冷冻机股份有限公司 公司章程 增加公司资本。但是,资本公积金将不用于弥补公司的亏损。 法定公积金转为资本时,所留存的该项公积金将不少于转增前公 司注册资本的 25%。 第 10.12 条 会计师事务所的聘任 公司聘用取得“从事证券相关业务资格”的会计师事务所进行会 计报表审计、净资产验证及其他相关的咨询服务等业务,聘期一年, 可以续聘。 公司聘用会计师事务所由董事会提出提案,股东大会表决通过。 会计师事务所的报酬由股东大会决定。董事会不得在股东大会决定前 委任会计师事务所。 经公司聘用的会计师事务所享有下列权利: 1. 查阅公司财务报表、记录和凭证,并有权要求公司的董事、 总经理或者其他高级管理人员提供有关的资料和说明; 2. 要求公司提供为会计师事务所履行职务所必需的其子公司 的资料和说明; 3. 列席股东大会,获得股东大会的通知或者与股东大会有关的 其他信息,在股东大会上就涉及其作为公司聘用的会计师事务所的事 宜发言。 公司解聘或者续聘会计师事务所由股东大会作出决定,并在有关 的报刊上予以披露,必要时说明更换原因,并报中国证监会和中国注 册会计师协会备案。 公司解聘或者不再续聘会计师事务所时,提前 30 天事先通知会 计师事务所,会计师事务所有权向股东大会陈述意见。会计师事务所 认为公司对其解聘或者不再续聘理由不当的,可以向中国证监会和中 国注册会计师协会提出申诉。会计师事务所提出辞聘的,应当向股东 大会说明公司有无不当情事。 大连冷冻机股份有限公司 公司章程 第十一章 利润分配 第 11.1 条 依法纳税 本公司执行国家有关的税收制度,依法向政府纳税,并接受国家 财税机关的核查和监督。 第 11.2 条 税后利润分配 本公司每年的税后利润,按下列顺序和比例分配: 1. 弥补上一年度亏损; 2. 提取百分之十的法定公积金; 3. 提取任意公积金; 4. 支付股利。 税后利润的具体分配比例由董事会根据公司该年度的经营状况 拟定,报股东大会决议通过。 公司法定公积金累计额为公司注册资本的 50%以上的,可以不再 提取。 公司弥补亏损和提取公积金后所余税后利润,按照股东持有的股 份比例分配,但本章程规定不按持股比例分配的除外。 股东大会违反前款规定,在公司弥补亏损和提取法定公积金之前 向股东分配利润的,股东必须将违反规定分配的利润退还公司。 公司持有的本公司股份不参与分配利润。 公司股东大会对利润分配方案作出决议后,公司董事会须在股东 大会召开后两个月内完成股利(或股份)的派发事项。 公司股东回报规划: 公司重视股东合理投资回报,并兼顾公司未来的可持续发展。 公司实施积极的利润分配政策,并保持连续性和稳定性。 公司原则上每年进行一次分红,并优先采取现金分红。 公司现金分红,努力超过公司章程规定的最低比例。 大连冷冻机股份有限公司 公司章程 公司利润分配的决策程序和机制: 公司在拟定每年的利润分配预案时,应综合考虑所处行业特点、 发展阶段、自身经营模式、盈利水平、现金流量状况以及是否有重大 资金支出安排等因素。上述利润分配预案,需经全体董事过半数同意 且独立董事对此发表明确意见后方能提交股东大会审议。 公司董事会在审议上述利润分配预案时,应认真研究和论证公司 现金分红的时机、条件和最低比例等事宜。 公司在召开股东大会审议上述利润分配预案时,应通过多种渠道 主动与股东特别是中小股东进行沟通和交流,充分听取中小股东的意 见和诉求,并及时答复中小股东关心的问题。 公司调整利润分配政策的条件、决策程序和机制: 如遇到不可抗力,或者公司外部经营环境或公司自身经营状况发 生较大变化时,公司可对利润分配政策进行调整。 公司董事会在研究论证调整利润分配政策的过程中,应当充分考 虑独立董事和中小股东的意见;调整后的利润分配政策不得违反中国 证监会和证券交易所的有关规定。 调整后的利润分配政策,经全体董事过半数同意且独立董事发表 明确意见后方能提交股东大会审议。股东大会审议调整后的利润分配 政策时,投票方式应符合中国证监会及证券交易所的有关规定,并经 出席股东(包括股东代理人)所持表决权的 2/3 以上通过。 第 11.3 条 股利 公司原则上每年分派股利一次,按股分配,在公司年终决算后进 行,但股东大会有特别决议除外。普通股不支付固定股息。股利分配 可单独或同时采取下列形式: 1. 现金。以人民币计算和宣布。人民币普通股的现金股利以人 民币支付,境内上市外资股的现金股利以港币支付,折算汇率按股东 大会决议日后的第一个工作日中国人民银行公布的人民币兑港币的 大连冷冻机股份有限公司 公司章程 中间价计算。 2. 股票。股东可按所持股份的种类比例依法分得相应种类的红 利股票。 公司分派股利时,优先采取现金分红方式。公司可以在满足现金 分红比例要求的前提下,采取发放股票股利的方式分配利润。采取股 票股利进行利润分配时,应当具有公司成长性、每股净资产的摊薄等 真实合理因素。 公司进行利润分配时,现金分红在本次利润分配中所占比例最低 应达到 20%。 公司每年现金分红不低于公司当年净利润的 10%,或最近三年累 计现金分红不低于最近三年实现的年均净利润的 30%。 第 11.4 条 股利所得税 公司在分配股息、红利时,按照国家法律规定代扣并代缴各股东 所获股利收入应缴的税金。境内上市外资股的股利和其他收益依法纳 税后,可以汇出中国境外。 第 11.5 条 分派股利公告 本公司分派股利,采用在本章程第十四章所指定的报刊公告的方 法通知股东。 第十二章 合并与分立 第 12.1 条 决议和批准 本公司的合并与分立,应按本章程规定,经董事会通过合并或分 立方案,并由股东大会作出决议,报请有关政府审批机关批准。 公司合并或者分立,按照下列程序办理: 1..董事会拟订合并或者分立方案; 大连冷冻机股份有限公司 公司章程 2..股东大会依照章程的规定作出决议; 3..各方当事人签订合并或者分立合同; 4..依法办理有关审批手续; 5..处理债权、债务等各项合并或者分立事宜; 6..办理解散登记或者变更登记。 公司合并或者分立时,公司董事会应当采取必要的措施保护反对 公司合并或者分立的股东的合法权益。 第 12.2 条 公司合并 公司合并可以采取吸收合并和新设合并两种形式。 公司合并应当由合并各方签订合并协议,并编制资产负债表及财 产清单。公司应当自作出合并决议之日起十日内通知债权人,并于三 十日内在在本章程第十四章所规定的报纸上公告。债权人自接到通知 书之日起三十日内,未接到通知书的自公告之日起四十五日内,可以 要求公司清偿债务或者提供相应的担保。不清偿债务或不提供相应担 保的,公司不得合并。 公司合并时,合并各方的债权、债务,应当由合并后存续的公司 或者新设立的公司承继。 第 12.3 条 公司分立 公司分立,应对其财产作相应的分割。 公司分立时,应当签订分立协议,并编制资产负债表及财产清单。 公司应当自作出分立决议之日起十日内通知债权人,并于三十日内在 在本章程第十四章所规定的报纸上公告。债权人自接到通知书之日起 三十日内,未接到通知书的自公告之日起四十五日内,可以要求公司 清偿债务或者提供相应的担保。不清偿债务或不提供相应担保的,公 司不得分立。 大连冷冻机股份有限公司 公司章程 公司分立前的债务按所达成的协议由分立后的公司承担。 第 12.4 条 变更登记 合并与分立方应于有关协议签订后向国家有关审批机关提出申 请报告,经批准后三十日内,向公司登记机关分别申请变更登记、设 立登记或注销登记,向主管税务机关申报处理变更登记、重新登记或 注销登记,并依本章程第十四章的规定进行公告。 第十三章 解散与清算 第 13.1 条 公司解散条件 公司有下列情形之一时,应予解散并进行清算: 1. 不能清偿到期债务而被依法宣告破产; 2. 严重违反国家法律和法规,危害社会公共利益被依法勒令停 业; 3. 股东大会决议解散; 4. 因公司合并或分立需要解散; 5. 公司经营管理发生严重困难,继续存续会使股东利益受到重 大损失,通过其他途径不能解决的,持有公司全部股东表决权 10%以 上的股东请求人民法院解散公司。 第 13.2 条 解散后的清算 公司解散后的清算,应当根据解散的原因依法按照下列程序进 行: 1. 公司因不能清偿到期债务、被依法宣告破产的,由人民法院 依照有关法律的规定,组织股东、有关机关和专业人员成立清算组对 公司进行清算。 2. 公司因违反国家法律和法规、危害社会公共利益被依法勒令 大连冷冻机股份有限公司 公司章程 停业而终止的,由有关政府主管机关组织股东、有关机关及有关专业 人员成立清算组对公司进行清算。 3. 公司因股东大会决议解散的,应当自有关决议通过之日起十 五天内成立清算组。清算组的成员由股东大会以普通决议的方式选 定。 4. 公司因合并或分立需解散的,清算工作由合并或者分立的各 方当事人依照合并或分立时签订的有关协议办理。 第 13.3 条 停止新的经营 清算组成立后,董事会、总经理的职责立即停止。清算期间,公 司不得开展新的经营活动。 第 13.4 条 清算公告和申报 公司清算组成立后,应在十日内通知债权人,并按照本章程第十 四章的规定于六十日内公告。债权人应自接到通知书之日起三十日 内,未接到通知书的自公告之日起四十五日内向清算组申报其债权。 债权人应当在上述规定的期限内向清算组申报其债权。债权人申 报债权时,应当说明债权的有关事项,并提供证明材料。清算组应当 对债权进行登记。 债权人未在上述规定的期限内申报债权的,不列入清算之列,只 能就未分配的剩余财产请求清偿。但债权人认为公司明知而未通知并 能提供证明材料者,不在此列。 第 13.5 条 清算组的职权 清算组在清算期间行使下列职权: 1. 清理公司财产、编制资产负债表和财产清单; 2. 通知或者公告债权人; 3. 处理与清算有关的公司未了结的业务; 大连冷冻机股份有限公司 公司章程 4. 清缴所欠税款; 5. 清理公司债权、债务,遣散公司从业人员; 6. 处理公司清偿债务后的剩余财产; 7. 代表公司进行民事诉讼活动;及 8. 法律、法规以及本章程规定的其他事项。 第 13.6 条 清算组的职权限制 清算组人员应当忠于职守,依法履行清算义务,不得利用职权收 受贿赂或者其他非法收入,不得侵占公司财产。 清算组人员因故意或者重大过失给公司或者债权人造成损失的, 应当承担赔偿责任。 清算组在清理公司财产、编制资产负债表和财产清单后,应当制 定清算方案,并报股东大会或者有关主管机关确认。 清算结束后,清算组应制作清算报告,并编制清算期内收支报表 和各种财务帐册,经会计师事务所验证,报股东大会或者有关主管机 关确认。 清算组在公司债权申报期间不得对债权人进行清偿,但公司不能 因此免除对延迟清偿所负的损害赔偿责任。 经法院许可,清算组可不拘上述规定,对有担保债务及无损于其 他债权人的债务进行清偿。 第 13.7 条 宣告破产 清算组在清理公司财产、编制资产负债表和财产清单后,认为公 司财产不足以清偿债务时,应立即停止清算,并按程序向人民法院申 请宣告破产。 公司经人民法院裁决宣告破产后,清算组应将清算事务移交给人 民法院。 大连冷冻机股份有限公司 公司章程 第 13.8 条 清偿顺序 在清算方案报股东大会或有关政府主管机关确认后,公司财产应 优先用以支付清算费用,然后按下列顺序清偿: 1. 支付职工工资和劳动保险费用; 2. 交纳公司所欠税款; 3. 清偿银行贷款、公司债券及其他债务。 按上述规定清理完毕后,剩余财产按股东各自的持股比例分配。 违反上述清算顺序所作的财务分配无效。债权人有权要求清算组 追还,并可请求赔偿所受的损失。 第 13.8 条 注销登记 清算组应当自股东大会或者有关主管机关对清算报告确认之日 起三十日内,向公司登记机关申请注销登记和向税务机关办理注销登 记,结清应缴税款、缴税发票和税务机关发给的有关证件,公告公司 终止。 第十四章 信息披露 第 14.1 条 法律依据 公司的信息披露应当按照《公司法》、《股票发行与交易管理暂行 条例》、《公开发行股票公司信息披露实施细则(试行)》、《国务院关 于股份有限公司境内上市外资股的规定》和《股份有限公司境内上市 外资股规定的实施细则》等法律和法规以及公司股票上市的证券交易 所的有关信息披露的规定执行。 第 14.2 条 监管机构的同意 公司在通过本章程的公告方式披露重大事件时,应当在公开该重 大事件之前向公司股票上市的证券交易所报告其披露的方式和内容。 大连冷冻机股份有限公司 公司章程 经上述机构同意后,方可进行公告。 第 14.3 条 通知 公司的通知以下列形式发出:以专人送出;以邮件方式送出;以 公告方式进行;公司章程规定的其他形式。 公司发出的通知,以公告方式进行的,一经公告,视为所有相关 人员收到通知。 公司召开股东大会的会议通知,按照本章程第 5.6 条进行。 公司召开董事会的会议通知,按照本章程第 14.3 条进行。 公司召开监事会的会议通知,按照本章程第 7.6 条进行。 公司通知以专人送出的,由被送达人在送达回执上签名(或盖 章),被送达人签收日期为送达日期;公司通知以邮件送出的,自交 付邮局之日起第四个工作日为送达日期;公司通知以公告方式送出 的,第一次公告刊登日为送达日期。 因意外遗漏未向某有权得到通知的人送出会议通知或者该等人 没有收到会议通知,会议及会议作出的决议并不因此无效。 第 14.4 条 公告方式 公司按本章程及有关规定而就重大事项(包括向股东公告季度报 告、中期报告及年度报告)发出的公告应在中国以中文在至少一份由 中国证券监督管理委员会指定的全国性报刊上刊登并且同时应在境 外(含港澳台地区)以中文和英文在至少一份中文报和英文报刊上刊 登。 如中文和英文在理解或解释方面存在任何不一致的情况,则以中 文为准。 公司指定《中国证券报》、《证券时报》为刊登公司公告和其他需 要披露信息的报刊。 大连冷冻机股份有限公司 公司章程 公司指定信息披露网站为:http://www.cninfo.com.cn。 第 14.5 条 连带责任 董事会应当保证公开披露的信息和文件的内容没有虚假、严重误 导性陈述或重大遗漏。董事会的成员应对此负连带责任。 第 14.6 条 投资者关系管理 公司积极建立健全投资者关系管理工作制度,通过多种形式主动 加强与股东特别是社会公众股股东的沟通和交流。公司董事会秘书具 体负责公司投资者关系管理工作。 第十五章 章程的修改 第 15.1 条 修改章程 有下列情形之一的,公司应当修改章程: 1. 《公司法》或有关法律、行政法规修改后,章程规定的事项 与修改后的法律、行政法规的规定相抵触; 2. 公司的情况发生变化,与章程记载的事项不一致; 3. 股东大会决定修改章程。 第 15.2 条 修改程序 修改公司章程,应遵循下列程序: 1. 由公司董事会会议通过修改章程的决议,提出修改方案; 2. 把上述修改方案通知股东,召集股东大会进行表决; 3. 股东大会对修改条款进行表决,获得本章程第 5.15 条规定 比例的股东表决同意的,即可通过。股东大会决议通过的章程修改事 项应经主管机关审批的,须报原审批的主管机关批准; 大连冷冻机股份有限公司 公司章程 4. 经修订的章程按公司登记机关的要求办理变更登记,并予以 公告。 第 15.3 条 查阅与备案 公司章程经修改后,应备置公司的法定住所供股东查阅,并报公 司所在地中国证监会派出机构和公司股票上市的证券交易所备案。 第十六章 附则 第 16.1 条 章程组成部分 本章程附件包括股东大会议事规则、董事会议事规则和监事会议 事规则。公司股东大会通过的有关本章程的补充决议、章程及细则, 均为本章程的组成部分。章程细则不得与本章程的规定相抵触。 第 16.2 条 未尽事宜处理 本章程的未尽事宜,根据《公司法》的有关规定,由下一次股东 大会修订通过。 第 16.3 条 其他规章制度 公司所定的规章制度,凡与本章程有抵触者,一律视为无效。 第 16.4 条 章程解释权 公司章程由公司董事会负责解释,修改权属于股东大会。 若有任何争议,则依本章程规定的程序办理。 第 16.5 条 文字 本章程以中文书写,其他任何语种或不同版本的章程与本章程有 歧义时,以在大连市工商行政管理局最近一次核准登记后的中文版章 程为准。 大连冷冻机股份有限公司 公司章程 第 16.6 条 数字效力 本章程述及的“以上”、“以前”、“至少”和“内”均包括本数。 第 16.7 条 生效 本章程经公司股东大会表决通过后生效。 第 16.8 条 仲裁与适用法律 关于境内上市外资股股东与公司之间、境内上市外资股股东与公 司董事、监事、总经理或者其它高级管理人员之间、境内上市外资股 股东与人民币普通股股东之间,基于公司章程及有关法律、法规规定 的权利义务发生与公司事务有关的争议或权利主张,应在中国国际经 济贸易仲裁委员会并按该机构的仲裁规则进行仲裁解决。 与本章程有关的一切争议,适用中华人民共和国法律。
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大冷B:公司章程(2018年5月)(英文版)(查看PDF公告PDF版下载)
公告日期:2018-05-19
ARTICLES OF ASSOCIATION OF DALIAN REFRIGERATION CO., LTD. Approved by 2017 Shareholders’ General Meeting [English translation for reference only. Should there be any inconsistence between the Chinese and English version, then the Chinese version should prevail.] CONTENTS Chapter 1 General Provisions…………………………………………………3 Chapter 2 Objectives, Scope of Business and Method of Operation……. ….4 Chapter 3 Registered Capital, Share and Share Certificates……….…….5 Chapter 4 Shareholders……………………………………………………...….9 Chapter 5 General Meeting………………………………………………….…12 Chapter 6 Board of Directors……………..……………………………………20 Chapter 7 Supervisory Board…………………………………………………27 Chapter 8 Business Management Structure……………………..……………29 Chapter 9 Labour and Personnel Management…………………..………….31 Chapter 10 Finance, Accounting and Auditing……………………………32 Chapter 11 Profits Distribution…………………………………………….34 Chapter 12 Merger and Division……………………………………………37 Chapter 13 Dissolution and Liquidation……………………………………37 Chapter 14 Disclosure of Information…………………………………….40 Chapter 15 Amendment of the Articles of Association………………..40 Chapter 16 Supplementary Provisions……………………………………41 Chapter 1 General Provisions Article 1. 1 Principles of the Articles of Association Pursuant to the \"Company Law of the People's Republic of China\" (the \"Company Law\") and other relevant laws, rules and regulations, the Articles of Association are prepared with a view to establishing the legal status of Dalian Refrigeration Company Limited (the \"Company\"), regulating the operations, management, organization and activities of the Company, and protecting the legal interests of the Company, shareholders and creditors. Article 1.2 Name, Address and Legal Representative of the Company The registered Chinese name of the Company is: 大连冷冻机股份有限公司 The English name of the Company is: Dalian Refrigeration Company Limited. The address of the Company is: 106 East Road of Liaohe, Dalian City Economic and Technological Development Zone with postcode 116630 The Chairman of the Company shall be the legal representative of the Company. Article 1. 3 Method of Establishing the Company The Dalian Bingshan Group Company acted as the promoter pursuant to the document No. (1993)7 issued by the Dalian Economic System Reform Committee, converted the stated-owned assets in Dalian Refrigeration Factory into state shares as authorized by the Dalian State-owned Assets Administration Bureau, and then set up the Company by way of a initial public offer of legal person shares, public individual shares and employee shares with the approval of the China Securities Regulatory Commission. The Company was registered with the Dalian Administrative Bureau For Industry and Commerce on 18th December, 1993 and obtained a business license No. 24236130-0. Article 1. 4 Form of the Company The Company takes the form of a company limited by shares, i.e. the entire capital of the Company is divided into shares with equal nominal value and the liability of a shareholder to the Company is limited to the nominal value of the shares held by the shareholder. The Company commits its entire assets to assume its liabilities. Article 1. 5 Legal Status of the Company The Company possesses the status of an independent legal person. The laws of the People's Republic of China (the \"PRC\") govern the Company's activities and protect the legal rights and interests of the Company. The Company shall enjoy exclusive proprietary rights over the assets injected into the Company by the shareholders (including the State). The Company shall have independent autonomy over its operation, management and financial budget, and shall enjoy civil rights and assume civil liabilities in accordance with the laws. Article 1.6 Principle of Purchasing Shares in the Company The Company shall ensure that the shares in the Company are purchased voluntarily and that the same rights in relation to the sharing of profits and the assumption of risks shall attach to shares of the same class. Article 1.7 External Investment The Company has the right to invest in other limited companies or joint stock companies and assumes liabilities as limited by the amount of investment. The Company shall not become a shareholder with unlimited liability of any profit-making organizations. Article 1.8 External guarantee The Company cannot guarantee for any entity without legal personality or personal, the Company guarantee for the controlling shareholder and other related party must review and approval by the general meeting of shareholders.The total amount of guarantee issuance of the Company shall not exceed 50% of the net assets listed in the consolidated accounting statement for the last fiscal year. The procedure for approving guarantee issuance of the Company: the Company’s issuing any guarantee must be approved by the general shareholders meeting or the Board of Directors of the Company. Issuing any guarantee with the guaranteed amount accounting for less than 10% of the Company’s net assets audited recently shall be approved by 2/3 of the total directors of the Board. Any guarantee issuance with the guaranteed amount accounting for 10% or more of the Company’s net assets audited recently shall be approved by the general shareholders meeting of the Company. Any guarantee after the total amount of external guarantees provided by the Company and its holding subsidiaries reaches or exceeds 50% of the audited net assets as at the most recent period end must be approved by the general meeting of shareholders. Any guarantee after the total amount of external guarantees provided by the Company reaches or exceeds 30% of the audited total assets as at the most recent period end must be approved by the general meeting shareholders. The credit standing requirement for guaranteed objects: the bank credit rating shall not be lower than AA and the asset-liability ratio not higher than 70%. Article 1.9 Term of Operation The Company is deemed to be a joint stock company with a going concern except in the cases as described in Chapter 12 and Chapter 13. Article 1. 10 Legal Effect of the Articles of Association The Articles of Association are the rules of highest authority for the Company's organization and activities and shall be legally binding on the Company, the Company's shareholders, directors, supervisors, and general manager and other senior managing staff. As the Articles of Association are a public legal document, any acts of subscribing for the shares of the Company (whether the shares of the Company can be legally and successfully obtained or not) shall be considered to have the legal effect that: the person subscribing for the Company's shares has voluntarily accepted all the terms and conditions, and the binding effect of the Articles of Association on him without reservation. Chapter 2 Objectives, Scope of Business and Method of Operation Article 2.1 Objectives of the Company The objectives of the Company are: to follow the trend of the development of a socialist market economy; to implement scientific management; to fully utilize the existing human resources, financial resources and material resources to enable a stable and rapid development of the Company; to promote actively the development in refrigeration, air-conditioning and other businesses of the Company; to protect and increase its asset value; to safeguard the legal rights and interests of all shareholders to enable them to receive a satisfactory return on their investments. Article 2.2 Scope of Business The scope of business of the Company is as follows: Its main business is to process and manufacture refrigeration equipment and auxiliary machines, valves, component parts and the accessory products required in refrigeration engineering packages. Subsidiary businesses include the design, manufacturing, installation, maintenance, calibration of refrigeration and air-conditioning systems and technical consultation, technical services, trading and supply of materials. As required by the business development of the Company, the Company may carry out other relevant businesses with the approval of the companies registration authority. Article 2.3 Mode of Operation The modes of operation of the Company include processing, manufacturing, wholesale, retail import and export, investment, selling agency, buying agency, leasing and servicing. As required by the business development of the Company, with the approval of the relevant government departments, the Company may establish joint ventures with domestic and foreign companies, or set up branches, representative offices or agency organizations within or outside the PRC. Article 2.4 Adjustment of the Scope of Business and the Mode of operation As required by the changing conditions of the market and the business development of the Company, the Company may adjust its business scope and operation mode. If the business scope and the operation mode is adjusted, the Articles of Association shall be amended accordingly and the amended Articles of Association shall be registered with the companies registration authority. If the business scope adjusted falls within the category of restricted business under the laws and regulations of the PRC, the approval of the relevant government departments shall be obtained. Chapter 3 Registered Capital, Share and Share Certificates Article 3.1 Registered Capital The registered capital of the Company shall be the total paid up capital of RMB 855,908,981. Article 3.2 Division of Registered Capital The total registered capital of the Company shall be divided into shares with equal nominal value 1 for which share certificates shall be issued. The Company has in issue 855,908,981shares in total, with a par value of RMB1.00 each. Article 3.3 Types and Composition of Registered Capital The shares issued by the Company are all ordinary shares. The shares of the Company are divided into Renminbi ordinary shares and domestically listed foreign investment shares. All these stocks are put on trust to China Securities Registry & Settlement Co., Ltd. Shenzhen Branch. Renminbi ordinary shares (\"A Shares \") shall be held by legal persons or other organisations registered in the PRC, natural persons of PRC nationality, or entities stipulated by the laws of the PRC or approved by the relevant government authorities of the PRC. A Shares comprise State shares, legal person shares and public individual shares. Domestically listed foreign investment shares (\"B Shares\") shall be held by natural persons, legal persons, and other organizations of foreign countries; legal persons, natural persons and other organizations of Hong Kong, Macau and Taiwan; PRC nationals residing overseas or other investors as stipulated by the Securities Committee of the State Council. The structure of the issued share capital of the Company is as follows: Type of shares Number of shares Renminbi ordinary shares 614,408,981 Domestically listed foreign investment shares 241,500,000 Article 3.4 Contribution of Share Capital Shareholders may, in accordance with the provisions of the Articles of Association and the PRC laws, make capital contributions to the Company in form of cash or by means of injection of tangible assets such as buildings, factories, machinery equipment or intangible assets such as industrial property rights, non-patented technologies and land use rights, in exchange for the shares of the Company. A good legal title held by the shareholders over the assets to be injected shall be a pre-requisite to the injection of assets in exchange for the shares of the Company. In addition I such injection of assets in exchange for the Company's shares shall comply with the Company Law and any conditions imposed by the Board of Directors of the Company. Article 3.5 Limitations on the Holding of Shares Any investor who comes to hold 5 percent of the shares issued by the Company directly or indirectly shall, within three days from the date on which such shareholding becomes a fact, submit a written report to China Securities Regulatory Committee and Shenzhen Stock Exchange, notify the Company and make the fact known to the general public. Once an investor holds 5 percent of the shares issued by the Company, he shall, pursuant to the provisions of the preceding paragraph, report and make announcement of each 5 percent increase or decrease in the proportion of the issued shares he holds of the Company through securities trading on a stock exchange. During the reporting period, and for two days after the report and announcement are made, the investor may not continue to purchase or sell shares of the Company. However, where the amount of shares held by an investor exceeds the abovementioned limitation of 5 per cent as a result of a decrease in the total number of shares of the Company, the above restrictions will not apply. If the shareholder described in the preceding paragraph sells , within six months of purchase, the shares he holds of the Company or repurchases the shares within six months after selling the same , the earnings so obtained by the shareholder shall belong to the Company and be recovered by the Board of Directors of the Company . However, a securities company that has a shareholding of not less than 5 percent due to purchase of the remaining shares not he capacity of a company that underwrites as the sole agent shall not be subject to the restriction of six months when selling the said shares. The provision of the preceding paragraph is suitable for directors, supervisors, general manager, and other senior mangers of the Company. In this Article, shares are deemed to be indirectly held by an individual or a legal person if the shares are held by the companies, beneficially owned by an individual or by the affiliates of the legal persons, or under the control of an individual or a legal person although held by other legal entities. Article 3.6 Share Issue Payment should be made in full upon subscription for new issued shares. Once subscribed, the shares cannot be returned. The principles of openness, fairness and justice shall be observed in the issue of the Company's shares and the same rights, dividends I share of profits and assumption of risks shall attach to shares of the same class. The issue conditions and issue price for the shares under the same issue shall be the same. Shares may be issued at a par value or at a premium but shall not be issued at a discount. General meetings shall resolve the following matters when the Company intends to issue new shares: 1. type and number of the new shares; 2. placing price of the new shares; 3. type and number of the new shares to be issued to the existing shareholders. Article 3.7 Form and Registration of Share Certificates The issued share capital of the Company takes the form of share certificates which constitute the written evidence of the respective shareholdings of the shareholders, and are issued and signed by the Company. The Company uses the register of shareholders registered by the securities registration authorities as the evidence of the existing shareholdings. Registration records in the register of shareholders shall be conclusive evidence for such shareholdings. Article 3.8 Transfer and Trading of Shares Shareholders holding the Renminbi ordinary shares and domestically listed foreign investment shares of the Company may, subject to the laws, the trading regulations of the stock exchange on which the Company's shares are listed and other relevant regulations and laws, sell the shares held by them by agreement to other legal persons or natural persons who are legally eligible to hold such shares. However, any transfer of the state-owned shares shall be approved by the state-owned assets administration departments. The placing rights and other derivative rights attached to the shares held by the shareholders of the Company may be transferred and traded in accordance with the relevant laws and regulations. The Company shall only recognize the transferees of registered shares as the Company's shareholders after the names and addresses of the transferees have been recorded in the register of shareholders and verified by the statutory registration authorities. The Company’s directors, supervisors, general manager and other senior management members shall regularly declare to the Company their shareholdings in the Company and any changes during their tenure of office, and any share transfer by a director, supervisor, general manager or senior management member shall not exceed 25% of the total shares held by him/her in the Company each year during his/her tenure of office. Any shares of the Company held by them are prohibited being transferred within one year from the shares are listed and traded. Anyone above-mentioned shall not transfer his/her held shares of the Company within six months from his/her demission. The shares held by the promoter of the Company shall not be transferred within one year from the date of establishment of the Company. Article 3.9 Gift, Mortgage and Succession of Shares The Company's shareholders may transfer the shares of the Company held by them by way of gift, mortgage and succession in accordance with the laws and regulations. Any transfer of the Company's shares by way of gift and succession shall be registered with the statutory registration authorities upon presentation of valid and enforceable legal documents. A mortgage over the Company's shares shall be registered with the registration authorities as required by the laws and regulations. The Company shall not accept any mortgage the subject of which are the Company's shares. Article 3.10 Amalgamation and Division of Shares As required by the production, operation and development of the Company, the Company may, subject to the proposal of the Board of Directors and the resolutions passed at a general meeting, amalgamate or divide the Company's shares in a specified ratio. Article 3.11 Increase of Issued Share Capital As required by business development of the Company, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, increase the Company's issued share capital by the followings means: 1. issuing shares in a public manner; 2. issuing shares in a non-public manner; 3. bonus issue to the existing shareholders; or 4. other methods in compliance with the relevant laws and regulations. Article 3.12 Re-issue of Share Certificates Where registered share certificates of the Company have been stolen, lost or destroyed, shareholders shall notify the Company or securities registration authorities appointed by the Company in writing, and shall apply to the People's Court for declaring such share certificates as null and void in accordance with the provisions of \"The Code of Civil Procedures of the PRC\". Upon declaration by the People's Court of such share certificates to be null and void, the shareholders may apply to the Company or securities registration authorities appointed by the Company for the re-issue of share certificates. Article 3.13 Other Classes of Shares Where necessary, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, issue preference shares or other classes of shares and corporate bonds (including but not limited to convertible bonds). Where preference shares or other classes of shares and corporate bonds are issued, in addition to the compliance with the relevant laws and regulations, the shareholders at general meeting shall lay down clear regulations to govern the rights and obligations of the holders of such securities, and the Articles of Association shall also be amended accordingly subject to the passing of relevant resolutions at the general meeting. Article 3.14 Reduction of Registered Capital In accordance with the laws, regulations and the provisions of the Articles of Association, the Company may reduce its registered capital. In the event that the Company reduces its registered capital, a balance sheet and a list of properties shall be prepared. The Company shall inform the creditors of its decision to reduce the registered capital within ten days since such a decision is made, and announce it on the newspapers specified in Art. 14 of the Articles of Association within 30 days. The creditors shall have the right to ask the Company to pay off the debits or provide appropriate guarantees for paying off the debts within 30 days from receiving the notice or within 45 days from the date of announcement if he/she does not receive the notice. The Company's registered capital after reduction shall not be less than the statutory minimum amount. Article 3.15 Re-purchase of Shares In the following circumstances, the Company may re-purchase its issued shares in accordance with the procedures prescribed in the Articles of Association or laid down by the stock exchange where the shares are listed and with the approval of the relevant government departments: 1. cancellation of shares for the reduction of the Company's registered capital; 2. merger with other companies holding the Company's shares; 3. encouraging the Company’s employees by issuing shares to them; or 4. there is any shareholder who has objections on the general meeting’s decision for mergence or split of the Company and requests the Company to repurchase his/her shares. Art. 3.16 Disposal of the Repurchased Shares After repurchasing its shares as stipulated in Art. 3.15, the Company shall write off these shares within ten days from the purchasing day if it is as described in Paragraph (1) or transfer or write off these shares within six months if it is as described in Paragraphs (2) and (4). Any shares repurchased by the Company as stipulated in Art. 3.15 (3) shall not exceed 5% of the total shares that have been issued by the Company; the source of any funds for such repurchase shall be taken from the after-tax profit of the Company; and the repurchased shares shall be transferred to the employees within one year. Article 3.17 Liability for Compensation The Company shall not be liable to compensate anyone who suffers losses resulting from the cancellation of the original share certificates or the re-issue of share certificates unless the party concerned can prove that such losses are caused by the Company's omissions or fraudulent acts. Article 3.18 Financial Assistance The Company and its subsidiaries shall not in any way provide financial assistance to subscribers to subscribe for the Company's shares. The above-mentioned financial assistance refers to any gifts, guarantees, price reductions or advances for the purpose of reducing or exempting the subscribers' payment obligations for subscription of the Company's shares. Where the Company distributes new shares to shareholders in proportion to their shareholdings as a result of capitalization of provident funds or profits in accordance with the laws, the restriction stipulated in this Article shall not apply. Article 3.19 Registration of Changes When the increase or reduction of the Company's registered capital is subject to approval. such approval shall be sought from the approving authorities and the increase or reduction must be registered with the companies registration authorities. Chapter 4 Shareholders Article 4.1 Shareholders Holders of the Company's shares shall be the Company's shareholders. Subject to contrary evidence, the register of shareholders shall be the conclusive evidence of the identities of the Company's shareholders. In accordance with the Articles of Association and the laws and regulations, the shareholders' liabilities to the Company shall be limited to the nominal value of the shares held by them and the shareholders are entitled to the corresponding rights provided by the Articles of Association and the laws and regulations. In the event that any shareholder of the Company is a legal person, its rights shall be exercised by its legal representative or the agent of its legal representative on its behalf. Article 4.2 Shareholders' rights The shareholders of the Company's ordinary shares shall be entitled to the following rights: 1. to receive dividends and benefits in other forms on their shares; 2. to request, convene, preside or attend the general meetings of the Company in person or by proxy and exercise the rights to vote; 3. to conduct supervision, give suggestions and make queries in respect of the operation and financial management of the Company; 4. to transfer the shares held by them by way of transfer, gift or mortgage in accordance with the relevant laws and regulations and the Articles of Association; 5. to inspect the Company's Articles of Association, the list of shareholders, the minutes of general meetings, the minutes of the Board of Directors, the minutes of the Board of supervisors, and financial accounting report; 6. to be entitled to the net assets of the company in proportion to their shareholdings in the event that the Company becomes insolvent and is wound up; 7. to require the Company to acquire their shares for those shareholders who object to resolution on the merger and separation of the Company made by the shareholders’ general meeting; 8. to enjoy other rights as stipulated by the relevant laws and regulations and the Articles of Association. For the procedure for convening a general meeting or a meeting of the Board of Directors or the method of voting in violation of the laws, regulations or these Articles of Association, or any resolution in violation of these Articles of Association, the shareholders shall have the right to appeal to the people’s court for cancellation within 60 days from the day when such resolution is adopted. In case of any director or senior management member, who violates the laws and regulations or these Articles of Association in his/her duty and causes loss to the Company, any shareholder(s) who individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to submit the written request to the Board of Supervisors for bringing suit to the people’s court. In case the Board of Supervisors violates the laws and regulations or these Articles of Association in its duty, which causes loss to the Company, any shareholder shall have the right to submit the written request to the Board of Directors for bringing suit to the people’s court. If the Board of Supervisors or Board of Directors refuses to bring suit after receiving the aforementioned written request, or fails to bring suit within 30 days after receiving the request, or fails to bring suit immediately in case of emergency, which may cause irretrievable impairment to the Company’s interest, the aforementioned shareholder(s) shall have the right to bring suit directly to the people’s court in his/her/their name(s) for the Company’s interest. In case any other person infringes the legal rights and interests of the Company, which causes loss to the Company, any shareholder(s) individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to bring suit to the people’s court as stipulated in the above two clauses. In case any director or senior management member violates the laws and regulations or these Articles of Association, which impairs the shareholders’ interest, any shareholder shall have the right to bright suit to the people’s court. Article 4.3 Shareholders' Obligations Shareholders holding ordinary shares shall perform the following obligations: 1. to observe the Articles of Association; 2. to pay up punctually for the shares subscribed in accordance with the method of subscription; 3. to obey and implement resolutions passed at general meetings pursuant to the laws; 4. to disclose certain information when their shareholdings reach the statutory prescribed amount; 5. not to engage in any malicious activities which are detrimental to the interests of the Company; 6. to perform other obligations stipulated in the relevant laws and regulations and the Articles of Association. Article 4.4 Behavior of controlling shareholders The proprietary shareholders and actual controllers of the Company shall have the obligation to be faithful to the company and social public shareholders. The proprietary shareholders should exercise the rights as contributors strictly by law, without detriment to the legal interests of the company and social public shareholders by taking advantage of any associate transaction, profit distribution, assets regrouping, external investment, occupation of funds, financial guarantee, etc. and no detriment to the interests of the company and social public shareholders by taking advantage of the holding position. The controlling shareholder shall 1. strictly abide by the laws and regulations, and the conditions and procedures stipulated in the Articles of Association in nominating candidates of directors and supervisors; 2. not be engaged in any approval for the general meeting's resolutions on personnel election or for the Board of Directors' resolutions on personnel appointment; 3. not appoint or dismiss any senior staff members bypassing the general meeting and the Board of Directors; and 4. not intervene, directly or indirectly, the Company's decision-making and legal production and business activities, and not harm the interests of the Company and other shareholders. Article 4.5 Meaning of Controlling Shareholder The controlling shareholder mentioned in Article 4.4 refers to any person who satisfies any of the following conditions: 1. He can elect more than half of the Board of Directors when acting alone or in concert with other persons; 2. He can exercise or control over 30 per cent of the voting rights of the Company when acting alone or in concert with other persons; 3. He holds over 30 per cent of the issued shares of the Company when acting alone or in concert with other persons; or 4. He has actual control of the Company by any other means when acting alone or in concert with other persons. Article 4.6 The Composition of the Register of Shareholders The Company shall keep a complete register of its shareholders. The register of shareholders shall be registered by the securities registration authorities. Article 4.7 Registration Day of Shareholding Where the Company convenes a general meeting) distributes dividends) goes into liquidation or engages in other acts which require confirmation of shareholdings, the Board of Directors shall fix a day as a reference date for registration of shareholdings for confirmation purposes. At the close of such registration day) shareholders whose names appear on the register of shareholders shall be deemed to be the shareholders of the Company. The interval between the date of equity registration and the date of meeting shall be not more than 7 working days. Once the date of equity registration is confirmed, it shall not be altered. Chapter 5 General Meeting Article 5.1 General Meeting All the shareholders of the Company who are entitled to exercise their rights and powers of the Company in general meetings have the highest authority according to the Company Law and the Articles of Association. Article 5.2 Annual General Meeting and Extraordinary General Meeting A general meeting shall be either an annual general meeting or an extraordinary general meeting. The general meeting shall be held at a designated place in a manner of on-site meeting. The Company will also provide shareholders with the network facilities.Any shareholder, who attends the general meeting in one of the above manners, shall be regarded as his/her presence. The general meeting on site shall not end up until the meeting in the network manner ends up. The general meeting shall be held at the location of the Company. Article 5.3 Annual General Meeting An annual general meeting shall be held once every year within 6 months after the end of every financial year. The interval between two annual general meetings shall not exceed 15 months. Article 5.4 Extraordinary General Meeting An extraordinary general meeting shall be convened within 2 months of the occurrence of any of the following events: 1. the Board of Directors considers it necessary or if proposed by the Supervisory Board; 2. a written request is made by a shareholder or shareholders holding more than 10 per cent (including 10 per cent) of the issued share capital of the Company; 3. the number of directors falls short by two-thirds of the statutory number or the number stipulated in the Articles of Association; 4. the Company's losses represent one-third or more of the total registered capital; 5. more than one half of the independent directors propose to convene the meeting. A written request by the shareholders holding 10 per cent or more of the issued share capital of the Company shall be submitted to the Board of Directors. Extraordinary general meeting shall not pass any resolution concerning proposals that are not set out in the notice of the meeting. For any proposal of independent directors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; or explain the reason and make announcement if it does not approve to convene the general meeting. For any proposal of the Board of Supervisors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the Board of Supervisors. The Board of Directors’ disapproval to convene the extraordinary general meeting or failure to give any feedback within ten days after receiving the proposal shall be regarded as the Board of Directors’ being unable to perform or failing to perform the obligations to convene the general meeting, and the Board of Supervisors may convene and preside over the meeting itself. For any proposal of shareholder(s) who individually or jointly holds 10% or more of the Company’s shares for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). If the Board of Directors does not approve to convene the extraordinary general meeting, or fails to give any feedback within ten days after receiving the proposal, the shareholder(s) who individually or jointly holds 10% or more of the Company’s shares shall have the right to submit proposal in written form to the Board of Supervisors for convening the extraordinary general meeting. The Board of Supervisors shall give the notification of convening the extraordinary general meeting within five days after receiving the proposal if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). The Board of Supervisors’ failure to give the notification of the general meeting within the specified period shall be regarded as its failure to convene and preside over the general meeting and any shareholder(s) individually or jointly holding 10% or more of the Company’s shares for a period of continuative 90 days may convene and preside over the general meeting themselves. The Board of Supervisors or shareholders shall inform in writing the Board of Directors of any decision to convene the general meeting themselves to file to the local agency of China Securities Regulatory Commission and the Securities Exchange. The convening shareholders shall have the shareholdings not less than 10% before the announcement of any general meeting’s resolution. The convening shareholders shall submit the necessary certificates to the local agency of China Securities Regulatory Commission and the Securities Exchange before giving the notice of the general meeting and making announcement of the general meeting’s resolution. For the general meeting convened by the Board of Supervisors or shareholders themselves, the Board of Directors and its secretary shall give cooperation. The Board of Directors shall provide the list of shareholders registered upon registration of shareholdings. For the general meeting convened by the Board of Supervisors or shareholders themselves, the necessary cost for the meeting shall be borne by the Company. Article 5.5 Functions and Powers of Shareholders in General Meeting Shareholders in general meeting shall have the following functions and powers: 1. to set the guiding principles of operation and to prepare investment proposals for the Company; 2. to elect and dismiss directors and fix their remuneration; 3. to elect and dismiss supervisors whose positions are occupied by the shareholders' representatives and fix their remuneration; 4. to examine and approve the reports of the Board of Directors; 5. to examine and approve the reports of the Supervisory Board; 6. to examine and approve the annual budget and final accounts of the Company; 7. to examine and approve the profit distribution proposal and the loss offset proposal of the Company; 8. to resolve on whether to increase or reduce the registered capital of the Company; 9. to resolve on the listing and trading of the Company's shares on a stock exchange. 10. to resolve on whether the Company should issue debentures; 11. to resolve on matters such as the merger, division, dissolution and liquidation of the Company; 12. to appoint or dismiss accountants; 13. to amend the Articles of Association; 14. to review the proposals of the shareholders holding 3% or more of the voting shares issued by the Company; 15. to review the matters concerning guarantees described in Art. 1.8 of these Articles of Association; 16. to review the matters concerning purchase or sale of any major assets of the Company within one year, which exceeds 30% of the Company’s audited total assets as at the most recent period end; 17. to review and approving the matters concerning change of the use of raised funds; 18. to review the stock incentive plan; 19. to examine other matters that shall be decided at the general meeting as stipulated in the laws and regulations and the Articles of Association. Article 5.6 Convening of the General Meeting For convening a general meeting of shareholders, the convener shall inform all shareholders 20 days in advance of the date when the meeting is held. For convening an extraordinary general meeting, the convener shall inform all shareholders 15 days in advance of the date when the meeting is held. The convener shall ensure that the meeting of the general meeting of shareholders go in succession until the final resolution is made. Where the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special cause, necessary measures shall be taken to resume the meeting of the general meeting of shareholders or the meeting shall be directly terminated, and an announcement shall be made in a timely manner. At the same time, the convener shall report it to the dispatched office of the CSRC at the locality of the company and the stock exchange. The notice of the general meeting shall comply with the following requirements and shall be published by way of an announcement in the newspapers as selected by the Board of Directors in accordance with the laws and regulations and the Articles of Association: 1. the date, address and time of the general meeting shall be specified; 2. the proposals to be discussed in the general meeting shall be specified; 3. the registration date for the shareholdings of the shareholders who are entitled to attend the general meeting shall be specified; 4. the names, telephone numbers and fax numbers of the designated contact persons for the purpose of convening meeting shall be specified. A letter of appointment of proxy by the shareholders should be attached to the notice of the general meeting. To attend the general meeting, a shareholder or his proxy shall hold a certificate of attendance for the relevant general meeting. Such certificate shall show the name of the shareholder, the number of shares held or represented, the time of the shareholders' general meeting, the Company seal, the signature of the issuing person and the date of issue. Notice of the shareholders’ general meeting shall clearly specify the voting time and voting procedure of the network way. The starting time of the network voting of shareholders' general meeting should not earlier than 3:00 pm during the day before the shareholders' general meeting held, and not later than 9:30 am during the day the shareholders' general meeting held. The end time of the network voting should not earlier than 3:00 pm during the day the shareholders' general meeting finished. Upon the announcement of the notice of the general meeting, all shareholders shall be deemed to have received notice of the general meeting. In case the Company has to postpone the general meeting for some reason, the notice of postponement shall be issued at least two work days before the original date when the general meeting is held. The Board of Directors shall state the reason and announce the date of the postponed meeting in the notice. After the notice of convening the general meeting is issued, the Board of Directors shall not issue new proposals for any items unlisted in the notice, and any changes to the original proposal shall be announced 15 days before the general meeting is held, or the meeting shall be postponed so that there is an interval of at least 15 days. Article 5.7 Presiding of the General Meeting The general meeting shall be presided over by the Chairman of the Board of Directors. In case the Chairman is unable or fails to perform his duty, the Vice Chairman shall preside over the meeting. If the Vice Chairman is unable or fails to perform his duty, a director elected by the majority of directors shall preside over the meeting. Any general meeting that is convened by the Board of Supervisors shall be presided over by the Chairman of the Board of Supervisors. In case the Chairman is unable or fails to perform his duty, a supervisor elected by the majority of supervisors shall preside over the meeting. The general meetings convened by shareholders themselves shall be presided over by a representative elected by the conveners. In case the meeting chairman breaches the rule of procedure during the meeting, which results in discontinuousness of the general meeting, the general meeting may elect a person to preside over the meeting by the attending shareholders holding the majority of voting shares. Article 5.8 Attendence Notice The shareholders who intend to attend the general meeting shall notify the Company of their attendances before the convening of the general meeting. The attendance notice shall specify the number of shares with the voting rights held by them and shall be delivered in written form. Article 5.9 Attendence and Proxy A shareholder may attend the general meeting in person, or may appoint a proxy in writing to attend the general meeting and exercise shareholder's rights on his behalf. If the shareholder attends the general meeting in person, he shall produce his identity card and proof of shareholding. To attend the meeting, a proxy shall carry with him the certificate of attendance of the relevant shareholder, letter of appointment and his own identity card, and shall exercise voting rights within the scope specified in the letter of appointment. A proxy does not have to be a shareholder of the Company. Where the shareholder is a legal person, the legal representative or the proxy appointed by the legal representative shall attend the general meeting. If a legal representative attends the general meeting, he shall produce his identity card, valid proof of his capacity as a legal representative and proof of shareholding. In case of a proxy attending the meeting, he shall produce his identity card and letter of appointment issued by the legal representative of the legal person shareholder in accordance with the laws, and proof of shareholding. The Company's Board of Directors, independent directors and other directors meeting the concerned conditions may acquire votes at the general meeting from shareholders of the Company. Such acquirement of votes shall be unrequited, and the concerned information shall be disclosed to the persons whose votes are acquired. There is no limit on the percentage of acquiring votes. Article 5.10 Letter of Appointment of Proxy The letter of appointment of proxy issued by shareholders to appoint other persons to attend general meeting on their behalf shall specify the following information: 1. name of the proxy; 2. whether the proxy has the right to vote (where more than one proxy is appointed, the number of shares represented by each proxy shall be specified); 3. instructions such as \"for\", \"against\" or \"abstain\" for each proposed resolution as set out in the agenda of the general meeting; 4. whether the proxy has voting rights on any extraordinary proposals which may be included in the general meeting in accordance with the Articles of Association and if this is the case, detailed instructions for the exercise of the voting rights shall be specified; 5. the date of issue and the effective period; 6. signature (or chop) of the appointer. If the appointer is a legal person shareholder, the company seal shall be affixed thereto. Article 5.11 Sign-in Book of the Attendants A sign-in book of attendants of general meetings shall be prepared. The sign-in book shall specify the attendants' names, identity card number and addresses of residence or registered offices, number of shares with voting rights represented, and the names of the shareholders, and shall be filled in by the shareholders (or proxies) attending the general meeting. Article 5.12 Method of Voting For annual general meetings or general meetings ,convened at the proposal of hareholders or the Supervisory Board, voting by the method of communication is not allowable. Every ordinary share carries one voting right at the general meeting. Voting shall be done by open ballot and not by a simple show of hands. When voting at the general shareholders meeting, a shareholder (or his proxy) shall excise his voting power corresponding to the number of his votable shares. For common shares, one share stands for one vote except the stipulation in Article 5.13 for the accumulative voting system that shall be adopted in electing directors and supervisors. The Company’s shares held by the Company itself shall neither have the voting right nor enjoy the profit distribution. The same voting share shall be used in the on-site voting procedure or in the network voting procedure only. In case of any ballot duplication of the same voting share, the first voting shall be taken. While the shareholders’ general meeting considers significant matters affecting the interests of small and medium investors, small and medium investors should separate vote counting. The result of separate vote counting should be disclosed publicly timely. Article 5.13 Election of Directors and Supervisors Shareholders holding 3 per cent or more of the total issued shares with voting rights are entitled to propose candidates for directors and supervisors. The Company's Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company have the right to nominate independent director candidates. Before the election of directors and supervisors of the Company, the Board of Directors shall provide the shareholders with the resumes and general information of the directors and supervisors. The list of candidates for the directors and supervisors should be submitted to the shareholders general meeting for voting in the manner of proposal. Election and dismissal of directors and supervisors shall be passed by more than half of the votes held by the shareholders present at the general meeting. The accession date of the new directors and the supervisor, if the election proposal is approved by the general meeting, shall be the date when the resolution is adopted at the general meeting. If the holding shareholders hold 30% or higher of the total shares of the Company, the accumulative voting procedure shall be adopted in voting for any proposal of electing directors or supervisors at the shareholders’ general meeting. It means that when two or more directors or supervisors are to be elected at the general shareholders meeting, every share held by voting shareholders (or their proxies) has the equal votes to the number of directors or supervisors to be elected, and a shareholder (or his proxy) may vote one person with all his votes or distribute his votes for multiple persons. The Board of Directors shall work out the implementation rules for the accumulative voting procedure for electing directors/supervisors according to these Articles of Association and submit it to the general shareholders meeting for approval and adoption. Article 5.14 Voting on Ordinary Resolutions Ordinary resolutions at the general meeting shall be passed by more than half of the votes held by the shareholders present at the general meeting. Article 5.15 Voting on Special Resolutions Special resolutions at the general meeting shall be passed by two-thirds or more of the votes held by the shareholders present at the general meeting. Resolutions proposed in relation to the following matters shall be special resolutions: 1. increase or decrease of the Company's registered capital; 2. issue of debentures by the Company; 3. merger, division, application for winding-up, dissolution and liquidation of the Company; 4. amendment of the Articles of Association; 5. change to the Company's classification and the method of trading shares; 6. the Company’s purchase or sale of major assets or issuance of guarantees which exceed 30% of the audited total assets as at the most recent period end within one year; 7. the stock incentive plan; and 8. other matters required to be resolved by special resolutions as stipulated in the Articles of Association and the laws; Apart from the above matters which are required to be resolved by special resolutions, other matters shall be resolved by ordinary resolutions. Article 5.16 Results of the Voting The chairman should declare the number of shareholders and agents present at the meeting and their total shares before voting. Number of shareholders and their agents present at the meeting and their shares are subject to that in meeting registration. At least one lawyer, two or more shareholders’ representatives and one or more supervisors shall be involved in the check of voting for every proposed matter at the shareholders general meeting, and publish the voting result at the meeting and record it in the meeting minutes. The chairman should declare the number of shareholders and proxies attending the meeting and the number of the total voting shares. The number of shareholders and proxies attending the meeting and the number of the total voting shares are subject to the record at the meeting. Before the voting result is formally announced, the listed companies, vote counters, vote counting supervisors, major shareholders and the network service provider, etc. involved in the voting at the general meeting of shareholders on the spot, through network or by any other means, shall be obliged to keep secrets to themselves. Article 5.17 Resolutions Proposed by Shareholders Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the general meeting for consideration. Article 5.18 Conditions of Resolutions Resolutions proposed by the shareholders shall satisfy the following conditions: 1. The proposed resolutions shall fall within the jurisdiction of the general meeting and their contents shall not contravene the laws and regulations and the Articles of Association; 2. The proposed resolutions shall be specific and precise; 3. The proposed resolutions shall be delivered in written form to the Board of Directors. Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the convenor in written form ten days before the shareholders’ general meeting is held. The convenor needs to issue a supplementary notice on shareholders’ general meeting and announce the contents of the provisional proposal within 2 days after receipt of the proposal. Any new distribution proposal presented by the first strong shareholder shall be submitted to the Board of Directors ten days before the annual general meeting is held, and announced by the Board of Directors. If the period is less than ten days, the first strong shareholder shall not make any new distribution proposals at that annual general meeting. The Board of Directors may request the proposers to amend proposed resolutions which do not satisfy the above conditions. The Board of Directors shall include in the agenda of the general meeting any amended proposed resolutions which have satisfied the above conditions in the above paragraph. The proposed resolutions shall become invalid and not be included in the agenda if the proposers do not amend the proposed resolutions or if amended proposed resolutions still do not satisfy the above conditions. The report of the Board of Directors submitted to the general meeting shall explain the handling of invalid proposed resolutions. Article 5.19 Minutes of General Meeting Minutes shall be prepared for general meeting recording the date, time and venue of the general meeting, the name of the Chairman of the general meeting, the agenda of the general meeting, a summary of comments given by each person present at the general meeting regarding every proposal, results of every resolution, inquires and suggestions made by the shareholders and the answers and explanations given by the directors and supervisors. The minutes shall be signed by the directors attending the general meeting and the person preparing the minutes, and shall be kept with the Company's records together with the sign-in book of the shareholders present at the general meeting and the letter of appointment of proxy. Article 5.20 Right to Initiate Proceedings Where resolutions passed at the general meeting contravene the laws and regulations or infringe the legal rights and interests of the shareholders, the shareholders are entitled to commence proceedings at the People's Court to stop such illegal acts and infringement. Article 5.21 Witness of lawyers The Company's Board of Directors shall invite a lawyer holding the securities trade qualification to attend the general meeting, who shall give legal advice on concerned problems and make announcement. Article 5.22 Rules of Procedure for Shareholders’ General Meeting The Company may set out rules of procedure. The rules of procedure shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 5.23 Announcement on the Resolution of the General Meeting of Shareholders The resolution of the general meeting of shareholders shall be announced in a timely manner, and the announcement shall indicate the number of shareholders and proxies that attended the meeting, the number of the total voting shares and its proportion to the total voting shares of the company, the voting method, the voting result of each proposal and detailed contents of each resolution. The domestic-share holders and the foreign-share holders attending the meeting and their voting are counted and announced separately. If a proposal is not adopted or the general meeting of shareholders modifies the resolution of any previous general meeting of shareholders, it shall give a special explanation in the announcement on the resolution of the general meeting of shareholders. Chapter 6 Board of Directors Article 6.1 Board of Directors The Board of Directors of the Company is the standing executive organization of the shareholders in general meeting and shall be accountable to the shareholders at the general meeting. Article 6.2 Election of the Board of Directors Directors shall be natural persons and shall be elected by the shareholders at the general meeting. A director mayor may not be a shareholder of the Company.The term of office for the directors is 3 years and is renewable on re-appointment.However, the renewed term of office for the independent directors shall not exceed 6 years. The term of office commences from the day on which the relevant resolution is passed. Any director who has any wrongdoing during the term of office may be dismissed by an ordinary resolution passed at the general meeting. Article 6.3 Responsibilities of Directors Directors shall abide by the laws and regulations and the Articles of Association, shall owe a fiduciary duty to the Company, shall be diligent to the Company, shall safeguard the interests of the Company, shall not seek personal interests by taking advantage of their position and powers, shall not engage in business which competes with the business of the Company or is detrimental to the interests of the Company and shall take the responsibilities as provided in Articles 59 to 63 of the Company Law. Article 6.4 Candidates for Directors Candidates for directors shall be nominated individually or jointly by the shareholders. In the election of the Board of Directors for a new term, persons nominated by the existing Board of Directors may also be the candidates for directors. Independent director candidates may be nominated by the Board of Directors, Supervisory Board, or a shareholder or shareholders holding 1% or more of the issued shares of the Company. Article 6.5 Composition of the Board of Directors The Board of Directors shall adopt the odd number system and shall consist of 9 directors with independent directors and directors. The Board of Directors shall have one chairman, one vice-chairman and three independent directors (at least one of them is the professional in accounting). The chairman and vice-chairman shall be the directors who are nominated by the shareholders, and may be elected or dismissed by more than half of all the directors. Article 6.6 Convening of Board Meetings Board meetings shall be held at least three times every year and shall be convened and presided by the Chairman. If the Chairman is unable to perform his duties, he may authorize the Vice-Chairman or other directors to take the chair. All directors shall be given ten day's notice of the board meeting. The notice of the board meeting shall specify the date and the venue of the board meeting name and the proposed resolutions to be passed at the board meeting. More than half of all the directors attending the board meeting shall be the quorum for board meetings. If the Chairman and the directors are unable to attend the board meeting, they may appoint proxies to attend the board meeting and vote on their behalf. Such appointment shall be in writing and the letter of appointment shall specify the authorities of the proxy. Directors who do not attend or appoint other directors as proxies to attend board meetings for two consecutive occasions shall be regarded as W1able to perform their duties and the Board of Directors may propose resolutions to the general meeting to dismiss such directors. Where the Board of Directors convenes an extraordinary board meeting, the method of giving notice of board meeting and the period of notice may be changed but all the directors shall be given five day's notice of the board meeting. Except with the consents of two-thirds or more of all the directors for holding the meeting in another place, the board meeting shall be held at the address of the Company. Article 6.7 Extraordinary Meetings The Board of Directors shall convene an extraordinary board meeting in the following circumstances: 1. where the Chairman deems it to be necessary; 2. where one-third of the directors suggest holding a board meeting; 3. where the General Manager of the Company suggests holding a board meeting; 4. where the Supervisory Board of the Company requests to hold a board meeting; 5. where more than half of all the independent directors requests to hold a board meeting. 6. shareholders holding 10% or more of the voting shares propose it. The Extraordinary Meeting of the Board of Directors may be held by communication vote on the basis of the full expression of the directors, with resolution signed by directors attending the meeting. Article 6.8 Functions and Powers of the Board of Directors The Board of Directors shall have the following fW1ctions and powers: 1. to be responsible for convening general meetings and to report the work of the Board of Directors at the general meeting; 2. to implement resolutions passed at general meetings; 3. to elect the Chairman and Vice-Chairmen of the Board of Directors; 4. to determine on the production and business plans and investment strategies of the Company; 5. to formulate the annual financial budget and final accounts of the Company, and to propose the profits distribution plans) the issue of shares or loss offset plans; 6. to formulate plans for the increase or decrease of the Company's registered capital, to extend the number of shares to be subscribed) or to decide on matters in relation to the methods for the listing and trading of the shares of the Company, pledging, leasing, transfer and takeover of the material assets of the Company and plans for the issue of debentures; 7. to formulate plans for the division, merger, dissolution and liquidation of the Company; 8. to determine the establishment of the internal management authorities of the Company, and to examine and approve rules and systems concerning the internal management of the Company; 9. to supervise, co-ordinate and direct the management and operation of the Company and its associated companies and enterprises; 10. to stipulate the amendment scheme for the Articles of Association; 11. to appoint and dismiss the General Manager) and to appoint and dismiss deputy general manager and other senior management personnel in accordance with the general manager's nomination, and to determine their remuneration and method of payment; 12. to appoint and dismiss the secretary of the Board of the Directors; 13. to compile, verify and issue discloseable information of the Company; 14. to appoint intermediary organizations (except accountants) to provide professional services to the Company, to appoint the directors of the Company, associated companies and enterprises (including any directors representing the Company in the joint ventures) and to propose to the general meeting to appoint) dismiss or terminate the service of the accountants; 15. to formulate the standard of salary and employees' welfare standard as well as the reward and penalty system for the employees; 16. to handle important external affairs of the Company; and 17. other functions and powers as stipulated in the Articles of Association or conferred by the shareholders at general meetings. The restrictive power of the Board of Directors in risk investment with the assets of the Company: Risk investment range: refrigeration and air conditioning industry and other fields. Restrictive amount of fund for application: not exceeding 5% of the total assets audited most recently of the Company. Article 6.9 Duties and Powers of the Chairman The principal duties and powers of the Chairman are as follows: 1. to preside over and convene general meetings) to preside over board meetings and to represent the Board of Directors in reporting to the general meetings on the work of the Board of Directors; 2. to lead the work of the Board of Directors) to monitor and report the progress on the implementation of resolutions of the Board of Directors to the Board of Directors) to give guidance on the important business activities of the Company and to report important problems to the next board meeting; 3. to sign the share certificates of the Company and all documents and statements which shall be signed by the legal representative of the Company, to sign the resolutions and minutes of the board meetings and other important documents in the name of the Board of Directors; 4. to nominate candidates for the position of the General Manager for consideration and approval of the Board of Directors; 5. to exercise absolute discretion in decision-making and disposal concerning the business of the Company in emergencies arising from force majeure such as wars or serious natural disasters but such decision and disposal shall be made in the interests of the Company and shall be reported to the Board of Directors and shareholders at general meetings afterwards. 6. other duties and powers as stipulated in the Articles of Association or conferred by resolutions of the Board of Directors. Where the Chairman is unable to perform his duties for any reasons, he may authorize the Vice-Chairman or other directors to perform his duties on his behalf. Article 6.10 Dismissal of Directors Any director of the Company who commits any of the following acts during his term of office shall be dismissed in accordance with the procedures stipulated in the Articles of Association: 1. makes use of his position and powers to accept bribes or other illegal income or illegally takes the possession of the properties of the Company; 2. embezzles the funds of the Company or lends the funds of the Company to other persons or uses the Company's assets as security for the debts of other persons; 3. conducts business for himself or for others which competes with the Company or engages in activities which are detrimental to the interests of the Company; 4. affirmed by the securities administration department of the government as being prohibited to enter the market; 5. discloses without permission the confidential information of the Company which causes harm to the business and reputation of the Company; or 6. engages in other illegal activities as stipulated by the laws and regulations. Article 6.11 Resignation of Directors Directors may resign before the expiry of their terms of office. Unless a director's certain responsibilities have not been discharged, the resignation shall take immediate effect upon reporting to the Board of Directors and need not be approved by the shareholders in general meeting or the Board of Directors. The resignation in respect of the Chairman or a director who is also the general manager, shall become effective only after an examination in respect of the resignation has been conducted. Any director who cannot resign as certain responsibilities have not been discharged or has not passed the examination in respect of the resignation but terminates the term of office without permission shall be liable to compensate for any loss incurred by the Company as a result. Article 6.12 Voting by the Board of Directors The system of “one person, one vote” shall apply to the meeting of the Board of Directors. Any resolution of the Board of Directors shall be adopted by the majority of all directors. Any director, who is associated with the enterprise concerned in the resolution matter of the Board meeting, shall neither exercise his/her voting right nor exercise the voting right as the proxy of other director. Such a Board meeting can be held with the majority of unassociated directors attending and any resolution made at the meeting shall be adopted by the majority of unassociated directors. In case there are less than three unassociated directors attending the Board meeting, the matter shall be submitted to the general meeting of shareholders for review. Except with the approval of more than half of all the directors (excluding the interested directors) or the approval of shareholders in general meeting, directors shall not enter into any contracts or transactions with the Company. Article 6.13 Written Resolutions The Board of Directors may pass a written resolution without convening a board meeting provided that the written resolution shall be circulated among and signed by all the directors. A written resolution shall take effect from the day when it is signed by the last director. A written resolution shall have the same effect as other resolutions passed by the Board of Directors. Article 6.14 Rules of Decisions of the Board of Directors The Board of Directors may set out rules of decisions to ensure that the Board of Directors can operate effectively and perform their duties properly. The rules of decisions of the Board of Directors shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 6.15 Minutes of Board Meeting Minutes of board meeting shall be prepared which shall record the agenda and the material contents of the board meeting including the date and venue of the board meeting, the name of the convener, the names of the directors present, the names of the directors who appoint proxies to attend the board meeting and the names of the proxies, the agenda, the voting method and result of every proposed resolution. The minutes shall be signed by all the directors present at the meeting (including the proxies appointed by the directors) and shall then be filed and shall not be destroyed for ten years.Directors are entitled to request to have certain notes recorded in the minutes. Directors shall be responsible for the resolutions of the board meeting. When the resolution of the Board of Directors is in contravention with the laws and regulations or the Articles of Association and causes serious losses to the Company, the directors approving the resolution shall be liable to compensate the Company. However, a director may be exempted from liabilities if it is proved and recorded in the minutes of board meeting that he objected to the relevant resolution during voting. Directors who neither attended the meeting, nor appointed proxies, nor provided written opinions regarding the relevant resolution at the time of the board meeting or prior to the board meeting, shall be regarded as not having expressed any objections and shall not be exempted from liabilities. Article 6.16 Secretary of the Board of Directors The Company shall have a secretary of the Board of Directors. The Secretary shall be appointed and dismissed by the Board of Directors and shall be the Company's senior management personnel responsible for the secretarial matters of the Board of Directors and be accountable to the Board of Directors. The Secretary of the Board of Directors shall perform the following duties: 1. to prepare and submit reports and documents issued by the Board of Directors and the shareholders in general meeting as required by the relevant government departments; 2. to make preparations for the board meetings and general meetings and to be responsible for preparing the minutes of the meetings and for the safekeeping of documents and minutes of the meetings; 3. to assist the Board of Directors to comply with the relevant laws and regulations, the Articles of Association and various rules of the Company in the performance of their duties; 4. to be responsible for the disclosure of the Company's information in accordance with the laws; 5. to be responsible for the safe-keeping of the register of shareholders and the seal of the Board of Directors; 6. to handle relevant matters arising between the Company and the directors, securities management departments, stock exchange, shareholders and other relevant organizations; 7. to perform other duties as authorized by the Board of Directors. The position of the Secretary may be taken up by a director of the Company, but where an act shall be done by a director and the Secretary in separate capacities, the director who is also the Secretary shall not act in dual capacities. Article 6.17 Independent directors Independent directors are the directors who do not hold any positions in the Company other than the director, and have no relationship with the Company or major directors which may disturb their independent and objective judgments. An independent director shall have good faith and give encouragement to the Company and all shareholders. He shall earnestly fulfill his obligations according to the concerned laws and regulations and these Articles of Association, and protect the overall interests of the Company, in particular, shall concern about and protect the legal rights and interests of medium or minority shareholders. To be an independent shall meet the following basic conditions: 1. holding the qualification to be the director of a listed company according to the laws, administrative regulations and other relevant regulations; 2. being independent; 3. having the basic knowledge about operations of a listed company, and being familiar with relevant laws, administrative regulations and rules; 4. having the experience in laws, economy or other fields necessary to be an independent director; and 5. other conditions stipulated in these Articles of Association. The following persons shall not act as the independent directors: 1. A person holding the position in the Company or its subordinate entities, and his lineal relative and those keeping major social relations with him; 2. A natural-person shareholder who directly or indirectly holds 1% or more of the shares having been issued by the Company or is one of the first ten shareholders, and his lineal relatives; 3. The personnel in a shareholder unit directly or indirectly holding 5% or more of the shares having been issued by the Company or which is one of the first five shareholders of the Company, and their lineal relatives; 4. Anyone who has been at the states listed in the above three items within the past year; 5. Anyone who provides service as an accountant, lawyer or consultant to the Company or its subordinate entities; 6. Other persons stipulated in these Articles of Association; 7. Other persons identified by the China Securities Regulatory Commission. Nominating, electing and replacing independent directors shall be according to the following procedure: 1. The Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company may nominate independent director candidates, who shall be confirmed through voting at the general meeting; 2. Nominating an independent director shall obtain the consent from the nominated person. The nominating person shall have good knowledge about the occupation, educational background, professional qualification, detailed employment experience and all information about his part-time jobs of the nominated person, and shall give opinions about his qualification and independence as an independent director. The nominated person shall make public statements that he has no relationship with the Company which may disturb his independent and objective judgments; 3. Before the general meeting for voting the independent directors is held, the Company shall submit the information ab9ut all the nominated persons to the China Securities Regulatory Commission, its representative office at the location of the Company, and the stock exchange where the Company's shares are listed. If the Board of Directors has any objections about the conditions of any nominated person, the opinions in writing of the Board of Directors shall be attached. When the general meeting is held for electing the independent directors, the Board of Directors shall state whether or not the China Securities Regulatory Commission has any objections about the independent director candidates; 4. The term of office for the independent directors is the same as that for other directors of the Company, and is renewable on re-appointment. However, the renewed term of office shall not exceed 6 years; 5. In case of any independent director who does not attend personally the board meetings for successive three times, the Board of Directors shall submit a proposal to the general meeting for replacing him.Except for the cases above listed, and for the cases of preventing from being a director as stipulated in the Company Law, any independent director shall not be dismissed before expiration of his term of office. Anyone who is dismissed before expiration of his term of office shall be disclosed as a special matter. The dismissed independent director, if he thinks it improper that the Company dismisses him, may make public statement. 6. An independent director may resign from his office before expiration of his term of office. In this case, the independent director shall hand the written resignation over to the Board of Directors stating the conditions related to his resignation or that he thinks necessary to draw attentions from the Company's shareholders or debt creditors. If the independent director's resignation results in that the number of independent directors in the Board of Directors is less than the quorum, the resignation report of this independent director shall not come into effect until a successor makes up his position. Apart from the authorities of office endued by the Company Law and other relevant laws and regulations, an independent director has the following special authorities of office: 1. Major associated transactions (the associated transactions to be reached between the Company and the associated party with the total value more than RMB 3 million or 5% of the Company's net assets recently audited) shall be agreed by the independent director before submitted to the Board of Directors for discussion; The independent director may invite an agency to issue the independent financial consultant's report, by which he can make the judgment. 2. He can make a motion to the Board of Directors for engaging or dismissing an accountant firm; 3. He can submit a proposal to the Board of Directors for convening an extraordinary general meeting; 4. He can propose to convene a board meeting; 5. He can independently engage external auditors and consultants; 6. He can acquire votes from shareholders before a general meeting is held. The independent director's exercising the above special authorities shall be subject to consent of one half of all the independent directors. If the proposals as above listed are not adopted or these authorities of office are unable to be exercised normally, the Company shall disclose the information. The independent director shall present his independent opinions on the following matters at the board meeting or general meeting: 1. nomination or dismissal of directors; 2. employment or dismissal of senior staff members; 3. salary and remuneration standard for the Company's directors and senior staff members; 4. existing or new loans or other current accounts of the Company's shareholders, actually controlling persons and associated entities from or with the Company with the total value more than RMB 3 million or 5% of the Company's net assets recently audited; and the Company's actions to collect such loans; 5. matters which may damage the rights and interests of medium and minority shareholders in his opinion; 6. other matters stipulated in these Articles of Association. In order to ensure the effective exercise of independent director's authorities of office, the Company shall provide the necessary conditions as below: 1. The Company ensures the independent directors having the same right to learn the truth as other directors doing. For any matters to be decided through resolutions of the board meeting, the Company must inform the independent directors in a legal time with a complete set of documents delivered to them. If any independent director thinks the documents incomplete, he may ask for supplements. When two or more independent directors believe that the documents are incomplete or the demonstration is not clear, they may make a joint request in writing to the Board of Directors for postponing the board meeting or postponing review of that matter, and the Board of Director shall adopt it. 2. The Company offers the independent directors the work conditions necessary for their exercise of authorities. The secretary of the Board of Directors shall actively assist the independent director in his work. For any independent opinions, proposals and written statements made by the independent directors, which should be announced, the secretary shall timely deal with such announcements. 3. The concerned personnel of the Company shall cooperate in the independent director's exercise of authorities, without refusal, hindering, concealing, or intervening their independent exercise of authorities. 4. Expenses incurred in engagement of agencies by the independent directors and other expenses necessary for their exercise of authorities shall be borne by the Company. 5. The Company shall offer the independent directors appropriate allowances. The standard for the allowances shall be preplanned by the Board of Directors and adopted at the general meeting with disclosure on the Company's annual report. 6. The Company may establish the necessary liability insurance system for independent directors to minimize the independent director's risks in his exercise of authorities. Chapter 7 Supervisory Board Article 7. 1 Supervisory Board The Company shall have a Supervisory Board which shall be the supervising authority for the business operations of the Company. The Supervisory Board shall exercise a supervisory function over the senior management personnel such as the Board of Directors, individual directors and the general manager. The Supervisory Board shall be accountable to and shall report to the shareholders at general meetings. Article 7.2 Composition of Supervisory Board The Supervisory Board of the Company shall consist of three supervisors, two-thirds of whom shall be the representatives of the shareholders who shall be elected and dismissed by the shareholders in general meeting while the other one-third shall be the staff representative(s) of the Company who shall be elected and dismissed by the staff of the Company. The chairman of the Supervisory Board shall be elected and dismissed by more than two-thirds of all supervisors. Supervisors cannot concurrently be the directors, general manager, financial controller or other senior management personnel of the Company. Article 7.3 Term of Office of Supervisors A supervisor shall be appointed for a term of 3 years and may serve consecutive terms if reappointed. A supervisor may resign before the expiry of his term of office, and the provisions of Article 6.11 in respect of the resignation of directors are also applicable to supervisors. Article 7.4 Duties and Powers of the Supervisory Board The Supervisory Board shall have the following duties and powers: 1. Examining the Company’s regular reports prepared by the Board of Directors and giving the written opinions; 2. Examining the Company’s accounts; 3. Supervising the directors and senior management members’ act in their duty in the Company and proposing to dismiss those violating the laws and regulations, these Articles of Association or resolutions of the general meeting; 4. Requiring the director or senior management member, whose act impairs the Company’s interest, to correct; 5. Proposing to convene an extraordinary general meeting or convening and presiding over the general meeting if the Board of Directors fails to perform its duty to convene and preside over the general meeting according to the Company Law; 6. Presenting proposals to the general meeting; 7. Bringing suit against directors or senior management members according to Art. 152 of the Company Act; 8. Conducting investigations on any abnormality of the Company’s operation; and 9. Exercising other authorities granted by the laws and regulations, these Articles of Association or the general meeting of shareholders. The Company shall be responsible for all costs arising from the engagement of professionals such as lawyers, registered accountants and auditors incurred by the Supervisory Board in the exercise of its functions. Article 7.5 Report of Illegal Activities Where the Board of Directors and the general manager act in contravention of any statutory regulations and the Articles of Association of the Company, the Supervisory Board shall promptly stop them. If the actions taken to stop the said activities prove to be ineffective, the situation shall be reported to the shareholders in general meeting and the relevant government authority. Article 7.6 Meetings of the Supervisory Board The Supervisory Board shall hold at least three meetings every year. The Supervisory Board shall hold at least one meeting every six month. Meetings of the Supervisory Board shall be convened by the chairman of the Supervisory Board and the chairman of the Supervisory Board shall decide on the time and method of giving notice of meeting. The notice of meeting shall include the date, the agenda and the venue of the meeting and the date of notice. Meetings of the Supervisory Board shall be presided over by the chairman of the Supervisory Board. In the event that he is not able to attend a meeting, he shall appoint another supervisor to preside over the meeting on his behalf. Where no appointment has been made, those supervisors who are present at the meeting shall elect a supervisor to preside over the meeting. Article 7.7 Special Meetings of the Supervisory Board The chairman of the Supervisory Board may convene special meetings based on actual needs or at the request of more than one-third of the supervisors. When requesting to convene a special meeting of the Supervisory Board, the supervisors shall clearly state the reason and purpose of the meeting. Article 7.8 Resolutions of the Supervisory Board Resolutions of the Board of Supervisors shall be adopted by the majority of all supervisors. Supervisors have the right to speak in the meetings of the Supervisory Board.The Supervisory Board shall put all proposed resolutions raised by any supervisors for voting. Article 7.9 Minutes of the Meeting of the Supervisory Board Minutes of the meetings of the Supervisory Board shall be prepared and signed by the supervisors and the recorder present at the meeting. The supervisors are entitled to request certain matters to be noted in the minutes with respect to his opinions expressed. The provisions of Article 6.15 in relation to the preparation of the minutes of board meetings are also applicable to those of the meeting of the Supervisory Board. Article 7.10 Dismissal and Compensation Supervisors shall abide by all the laws and regulations and the Articles of Association and shall act in good faith and diligently. The provisions of Articles 6.10 and 6.15 with respect to the dismissal of and the compensation to the directors are also applicable to that of the supervisors. Chapter 8 Business Management Structure Article 8.1 General Manager and Deputy General Manager The Company shall adopt a system whereby the general manager assumes responsibility under the leadership of the Board of Directors. There shall be one general manager and several deputy general managers. Under the leadership of the Board of Directors, the general manager shall be responsible for the management of the day-to-day operations of the Company. The deputy general managers shall assist the general manager in his work and when the general manager is unable to perform his duties for any reason, the Board of Directors shall authorize a deputy general manager to perform the duties of the general manager. The Company shall have several functional departments working under the leadership of the general manager. The general manager is appointed for a term of 3 years and can serve consecutive terms if reappointed. Article 8.2 Election The general manager shall be nominated by the chairman and appointed by the Board of Directors. The deputy general managers and other senior management personnel shall be nominated by the general manager and appointed by the Board of Directors.The general manager and deputy general managers may also be the members of the Board of Directors. Any person who holds the position other than a director in the Company’s controlling shareholder or actual controller’s unit shall not hold any position in the senior management of the Company. Article 8.3 Resignation The general manager and deputy general manager can resign before the expiry of his term of office. A resignation report submitted to the Board of Directors shall only be effective after an examination on the resignation report has been completed. Those who resign before the examination is completed shall be responsible for any economic loss suffered by the Company. Article 8.4 Duties and Powers of the General Manager The general manager shall have the following duties and powers: 1. to attend the board meetings, to implement the Company's Articles of Association and resolutions passed at general meetings and board meetings, to be directly accountable to the Board of Directors and to report to the same on his work; 2. to be fully responsible for the Company's operation, management and routine business; 3. to formulate the Company's production, operation and development plans and the annual financial and accounting plans, and to propose the profits distribution plans and losses offset plans; 4. to organize and prepare the Company's basic management systems, basic regulations and to render opinions on the establishment and adjustment of any part of the Company structure and to submit them to the Board of Directors for approval before implementation; 5. to nominate the deputy general managers and other senior management personnel and to appoint or dismiss other management personnel who are not required to be appointed or dismissed by the Board of Directors; 6. to decide on matters relating to the staff of the Company including rewards or penalties, promotion or demotion, increase or decrease in salary, appointment, dismissal and termination of service; 7. within the scope authorized by the Board of Directors, to represent the Company in handling external affairs and to enter into economic contracts and agreements, to represent the Company in performing obligations under the contracts and to check and supervise in order to ensure that all departments of the Company comply with the terms and conditions specified in the contracts; 8. to sign and issue documents concerning the daily business, the financial expenses and the administration of the Company; 9. to exercise other functions conferred by the Board of Directors. The general manager shall not, in performance of his duties, change the resolutions of the shareholders passed at general meetings and the resolutions of the Board of Directors and shall not exceed the authorized scope of his powers. Article 8.5 Duties and Powers of the Deputy General Manager The deputy general managers shall have the following duties and powers: 1. to assist in the work of the general manager and in the case where the general manager cannot exercise his duties and powers, to act on his behalf with the authorisation of the Board of Directors. 2. to be responsible for the management of the work of the designated departments. Article 8.6 Limitations on the Conduct of the Management Personnel 1. The directors, the general manager and the staff at all levels shall not engage in activities which compete with or jeopardise the interests of the Company. All the income received from the above activities shall belong to the Company. 2. The remuneration of the general manager and his interests in the Company shall be stated in the annual report. 3. The directors, the supervisors, the general manager and other senior management personnel shall not receive bribes or other illegal income in any way and shall not misappropriate the Company's properties to seek personal gain nor use the Company's assets as security for the liabilities of the Company's shareholders or other individuals. 4. Except with the approval of more than half of the directors (excluding the directors with an interest) or the approval of shareholders in general meetings, the general manager shall not enter into any contracts or transactions with the Company. 5. The directors, the supervisors and the general manager shall observe the Articles of Association, shall perform their duties in good faith, shall protect the Company's interests, and shall not make use of their office and powers in the Company to seek personal gain. 6. Under anyone of the following situations, a person shall not take the office of a director, the supervisor or the general manager of the Company: (1) a person has no legal capacity or his legal capacity is restricted; or (2) in any other situations where the laws or regulations provide that a person is unsuitable for taking the office of a director, a supervisor or the general manager. Article 8.7 Penalties Where the Company suffers economic losses as a result of the contravention of the laws and regulations, the Articles of Association or the resolutions passed by shareholders in general meetings, practice of favoritism, malpractice or neglection of duties by senior management personnel such as the directors or the general manager) depending on the circumstances and upon approval by the Board of directors, the following punishments shall be imposed: 1. to restrict their rights; 2. to remove them from their office; 3. to hold them liable for any resulting economic loss; 4. where there is violation of law, to initiate proceedings in a judicial authority pursuant to the laws and to hold them legally liable. Chapter 9 Labour and Personnel Management Article 9.1 Labour and Personnel Management and Salary The Company is entitled to employ staff and to formulate its personnel management policies at its own discretion in accordance with the Labour Law of the People's Republic of China and statutory regulations and policies concerning labour and personnel management of Liaoning Province and Dalian Municipality. The Company is entitled to determine the salaries of the salaried personnel and the method of payment at its own discretion in accordance with the laws. Article 9.2 Employment Contracts The Company shall enter into employment contracts with its staff and workers to provide for the employment relationship and to clarify the rights and obligations of both parties. The Company is entitled to impose administrative penalties on unqualified staff, even to the extent of their dismissal or discharge from the Company. An employee who is dismissed shall be given one month's notice and shall be entitled to address his grievances to the relevant department of the Company and government department. Employees of the Company have the freedom to resign provided that necessary procedures in accordance with the Company's personnel management policies must be complied with. Resigning employees who fail to follow the prescribed procedures shall be liable for any economic loss suffered by the Company. Article 9.3 Employees Welfare The Company shall allocate funds to cover the insurance for the medical treatment, retirement and unemployment of its employees in accordance with the relevant laws and regulations of the State and Liaoning Province. Employees shall enjoy the corresponding insurance benefits. Article 9.4 Health and Safety at Work Labour protection and the related disputes shall be dealt with in accordance with the Labour Law of the People's Republic of China and other relevant statutory regulations. Article 9.5 Holidays The staff of the Company shall be entitled to holidays in accordance with the provisions of the laws and regulations of the State. Article 9.6 Labour Union The Company's employees are entitled to form a labour union, to organize union activities and to safeguard their legal interests in accordance with the Labour Union Law of the People's Republic of China and other relevant regulations. The labour union of the Company is the representative of the staff's interests. Its primary objective is to protect the rights and material interests of the staff in accordance with the laws, to assist and supervise the use of the Company's reserves and public welfare fund, to organize the education of the staff on science and technology and to develop cultural and sports activities. When the Board of Directors of the Company is deciding on matters concerning the staff's personal interests including salaries, benefits, industrial safety, labour protection and labour insurance, the labour union and the staff of the Company shall be consulted and the representatives of labour union shall be invited to attend the relevant meetings. Chapter 10 Finance, Accounting and Auditing Article 10.1 Financial Systems The Company shall formulate its financial and accounting system and internal auditing system and shall prepare quarterly reports, interim reports and annual reports in accordance with the relevant laws and regulations of the State. Article 10.2 Accounting Year The Company shall adopt the Gregorian calendar year as its accounting year, which shall begin on 1st January and end on 31st December of each year. Article 10.3 Book-keeping System The Company shall adopt the accrual basis of accounting and the debit and credit double entry system as commonly used worldwide. Article 10.4 Denomination of Currency The Company shall adopt the Renminbi as the denomination of currency in preparation of its accounts. When converting Renminbi into other currencies, the exchange rate shall be fixed at the median of the buying and selling rates at the foreign exchange trading market as published by the People's Bank of China on the actual day of conversion. Business conducted in currencies other than the Renminbi shall be processed in accordance with the relevant laws and regulations relating to the foreign currency administration of the State. Article 10.5 Language for Bookkeeping The Company's vouchers, account books and statements shall all be prepared in Chinese.Books and statements may also be prepared in English if necessary, but the Chinese version shall prevail. Article 10.6 Quarterly Report, Interim Report and Annual Report An accounting firm registered in the People's Republic of China with authority to undertake securities business shall be appointed to examine and audit the Company's annual report and the audit report issued by the said accounting firm shall prevail. The Company's quarterly report, interim report and annual report shall be prepared according to the relevant laws and regulations. The Company's quarterly report shall be worked out within 30 days respectively after the third month and the ninth month of each accounting year, the interim report shall be worked out within 60 days after the first 6 months of each accounting year while the annual report shall be worked out within 120 days of the closing of the accounting year. Article 10.7 Statements The Company's accounting statements, statistical statements and relevant financial documents shall be submitted regularly to the financial department, taxation department and statistics department of the State. A copy of such documents shall be submitted to the government department in charge and shall be kept in the Company for shareholders' inspection. All accounting statements shall be kept by the Company for at least 10 years. Article 10.8 Financial Report For each accounting year, the Company shall maintain its financial report audited by an accounting firm at the registered address of the Company for the shareholders to inspect and photocopy and shall publish the financial report in accordance with the laws and regulations and the Articles of Association. The balance sheet and the profit and loss account for the accounting year shall be audited and signed by a registered accountant. Upon receipt of a shareholder's written request for the financial report and the relevant payment for reasonable printing and postage costs, the Company shall send out the financial report within three business days. The Company's financial report shall include (but not limited to) written explanations of the financial condition, a balance sheet (only applicable to an annual report), a statement on changes in financial position and a statement on profits distribution. Where necessary, the aforesaid financial statements may be presented in a summary form or as a brief report. Article 10.9 Internal Audit The Company shall adopt an internal auditing system. As prescribed in the Articles of Association, the internal auditing department shall carry out internal auditing and supervision of the Company's income and expenditure and economic activities under the leadership of the Board of Directors, and it shall be accountable to the Board of Directors. Article 10.10 Common Reserves The Company shall set up two kinds of common reserves: 1. Surplus common reserve which is divided into two kinds: (1) Statutory surplus common reserve. The Company shall allocate from the after-tax profits of the current year an amount not less than 10 per cent thereof to the surplus common reserve. However, in the event that the surplus common reserve has reached 50 per cent of the issued share capital, the allocation may be stopped; (2) Discretionary surplus common reserve shall be allocated and utilized in accordance with resolutions passed by shareholders in general meetings. 2. Capital common reserve. common reserve. The following sums shall be allocated to the capital: (1) premiums generated from the issue of securities in excess of their nominal value; (2) donations received; (3) other amounts which shall be included pursuant to the regulations of the State. Article 10.11 Use of Common Reserves The public reserve fund of the company is used for making up the company’s deficit, expanding production and business of the company or being transferred for increase of the capital of the company. However, the capital surplus shall not be used for makeup of the company’s deficit. When the statutory surplus common reserve has been converted into capital, the balance of the statutory surplus common reserve shall not be less than 25 per cent of the registered capital. Article 10.12 Appointment of certified public accountants The Board of Directors shall not appoint any certified public accountants before the general meeting adopts the resolution. Chapter 11 Profits Distribution Article 11. 1 Paying Taxes in accordance with the Laws The Company shall implement the relevant taxation system of the State, shall pay taxes to the government in accordance with the laws and to accept the examination and supervision of the financial and taxation authorities of the State. Article 11.2 Distribution of After-tax Profits The Company's annual after-tax profits shall be distributed according to the following order and ratio: 1. for offsetting the losses of the previous year; 2. 10 per cent allocation to the statutory surplus common reserve; 3. allocation to discretionary surplus common reserve; 4. payment of dividends. The distribution ratio of the after-tax profits shall be recommended by the Board of Directors in accordance with the Company's business situation for the current year and shall be submitted to the shareholders in general meeting for examination and approval. It shall not be drawn any more in case the company’s accumulated legal reserve exceeds 50% of its registered capital. The company’s after-tax profit after any loss is made and the reserve is drawn should be distributed according to the shareholding of the shareholders, except that the profit can not be distributed according to the shareholding as specified in the Articles of Association. If the shareholders general meeting breaks the above regulation and distributes profit to the shareholders before making up the loss and drawing the legal public reserve, the shareholders must return to the company the profit distributed by breaking the regulations. The shares held by the company itself has nothing with the profit distribution. If the shareholders general meeting adopts resolutions on the profit distribution plan, the board of directors of the company shall finish the distribution of dividend (or share) within two months after the shareholders general meeting. Plan to repay the shareholders of the company: The company emphasizes ratioal investment return of shareholders and considers concurrently the sustainable development of the company. The company implements a positive profit distribution policy and maintains its continuity and stability. In principle, the company distributes dividends once each year and does this by cash in priority. The company will strive to distribute dividends in cash at a proportion exceeding the minimum proportion as regulated by the Articles of Association of the company. Profit distribution decision-making procedure and mechanism of company: In drawing up the profit distribution preplan each year, the company should consider comprehensively such factors as the characteristics of the industry it is in, development stage, self operation mode, profit level, cash flow position and important fund disbursement arrangement, etc. The above profit distribution preplan can be submitted to the general shareholder meeting for review subject to agreement by more than half of all directors and independent directors expressing their explicit opinions on this. When the Board of Directors of the company reviews the above profit distribution preplan, it should carefully study and demonstrate such matters as company cash dividend distribution opportunity, condition and minimum proportion, etc. When the company reviews the above profit distribution preplan by holding a general shareholders meeting, it should communicate and exchange with shareholders, especially medium and small shareholders on its own initiative through multiple channels, sufficiently listen to the comments and appeals of medium and small shareholders and reply questions that medium and small shareholder concern about. Condition, decision-making procedure and mechanism for company to adjust profit distribution policy: In case of any force majeure or a substantial change in the external operating environment or self operation condition of the company, the company may adjust the profit distribution policy. The Board of Directors of the company is under way of studying and demonstrating the profit distribution policy. It should consider sufficiently the opinions of independent directors and medium and small shareholders; after adjustment, the profit distribution policy should not violate related regulations of China Securities Regulatory Commission and the securities exchange. An adjusted profit distribution policy can be submitted to the general shareholders meeting for review only subject to agreement by more than half of all directors and the independent directors making explicit comments. When the general shareholders meeting reviews an adjusted profit distribution policy, the voting method should meet related regulations of China Securities Regulatory Commission and the securities exchange and be passed by over 2/3 of voting rights held by the attending shareholders (including shareholder’s representatives). Article 11. 3 Dividends In principle, the Company shall distribute dividends based on the number of shares in issue once every year after the Company's final accounts at the end of the year (except pursuant to special resolutions passed by the shareholders’ general meeting). No fixed dividends shall be paid for ordinary shares and dividends may be paid in the following manner: 1. Cash: Cash dividends shall be declared in Renminbi. Dividends in respect of domestic shares shall be paid in Renminbi whereas dividends in respect of foreign investment shares shall be paid in Hong Kong Dollars. The exchange rate of Renminbi to Hong Kong Dollars shall be referred to the median exchange rate as quoted by the People's Bank of China on the first business day after the date of the general meeting. 2. Shares: Shareholders may receive proportional bonus shares for the types of shares they hold in accordance with the laws. When the company distributes share dividends, it shall adopt cash dividend distribution method in priority. The company may, under the prerequisite of meeting cash dividend distribution proportion requirement, distribute profits by presenting bonus shares. When making profit distribution with bonus shares, such true and reasonable factors as company growth, dilution of net asset value per share, etc. should be available. When the company makes profit distribution, the minimum proportion of cash dividend distribution accounting for this profit distribution should reach 20%. The amount of dividend in cash distributed annually by the Company shall not be less than 10% of the net profit of the Company in that year, or the accumulated amount of dividend in cash in the past three years shall not be less than 30% of the annual net profit on the average made in the past three years. Article 11.4 Income Tax for Dividends When distributing dividends and bonuses, the Company shall withhold and pay on behalf of the shareholders taxes payable on dividends in accordance with the laws. After payment of tax, the dividends and other entitlements arising from the foreign investment shares may be remitted abroad. Article 11. 5 Notice of Distribution of Dividends The Company shall inform shareholders of distribution of dividends by publishing announcements in the newspapers specified in Chapter 14 of the Articles of Association. Chapter 12 Merger and Division Article 12.1 Resolutions and Approval Mergers or divisions of the Company shall be effected in accordance with the stipulations of the Articles of Association. A merger or division plan shall be adopted by the Board of Directors and relevant resolution shall be passed by shareholders in general meeting. A merger or division plan shall be submitted to the relevant examining and approving authority for approval. Article 12.2 Method and Procedures Mergers of the Company may be carried out by takeover or establishment of a new entity, and divisions of the Company may be carried out by sub-division or establishment of new entities. Mergers or divisions of the Company may be carried out in accordance with the following procedures: 1. the Board of Directors formulates the plans for merger or division; 2. all the parties involved in the merger or division sign a merger or division agreement; 3. shareholders in general meeting pass relevant resolution in accordance with the Articles of Association; 4. report to the departments authorized by the State Council for approval; 5. sort out matters in relation to financial claims and liabilities in accordance with laws, and 6. comply with the registration procedures. Article 12.3 Sorting Out Financial Claims and Liabilities Within ten days after the passing of a resolution regarding merger or division by the shareholders in general meeting, notice shall be given to all the creditors. Such notice shall also be published in the newspapers specified in Chapter 14 within 30 days of the date of the resolution. Creditors who have received the notice are entitled within 30 days of the date of the notice, and creditors who have not received the notice are entitled within 45 days of the announcement, to request the Company to settle the debts or provide security for the liabilities. Article 12.4 Registration of Change The parties involved in a merger and division shall submit an application to the examining and approving authority of the State after the relevant agreement has been signed and shall within 30 days after obtaining the approval apply to the relevant company registration authority to register the change of registration of the original company or the establishment of the new company, or to cancel the registration of the original company, shall report to the taxation authority in charge to register the change in the particulars of the registration or to re-register or cancel the registration and shall publish an announcement in accordance with in Chapter 14 of the Articles of Association. Chapter 13 Dissolution and Liquidation Article 13.1 Conditions for Dissolution of the Company The Company shall be dissolved and liquidated on the occurrence of one of the following events: 1. The Company declares insolvent in accordance with the laws due to inability to settle debts due; 2. The Company is ordered to close down due to the serious violation of the laws and regulations of the State causing harm to the interests of the public; 3. The shareholders in general meeting decide that the Company should be wound up; 4. The Company has to be wound up due to the merger or division of the Company. Article 13.2 Liquidation after Dissolution The liquidation of the Company after termination shall be carried out according to the relevant procedures as stipulated by the laws as applicable to the particular cause of dissolution: 1. When the Company is declared insolvent in accordance with the law due to its inability to repay its debts due, the People's Court shall, in accordance with the relevant laws, organize the shareholders, the relevant authorities and the professionals to set up a liquidation committee to liquidate the Company; 2. When the Company is ordered to terminate its operation due to its contravention with the laws and regulations of the state and infringment of the public interests, the relevant authorities in charge shall organize the shareholders, the relevant authorities and the relevant professionals to set up a liquidation committee to liquidate the Company; 3. If the dissolution is consequential to a resolution of shareholders in general meeting, the liquidation committee shall be set up within 15 days from the date of the passing of such resolution and the members of the liquidation committee shall be selected by an ordinary resolution of shareholders in general meeting; 4. If the Company is terminated due to the dissolution resulting from a merger or division, the liquidation shall be carried out by all the parties involved in the merger or division in accordance with the relevant agreement signed in connection with the merger or division. Article 13.3 Prohibition of New Business Activities After the liquidation committee has formed, the duties of the Board of Directors and the general manager shall be terminated immediately. During the period of liquidation, no new business activities shall be carried out by the Company. Article 13.4 Notice of and Application for Liquidation The Company shall inform its creditors within 10 days and a relevant announcement shall be published in accordance with Chapter 14 of the Articles of Association within 60 days after the establishment of the liquidation committee. Creditors who have received notice in writing shall, within 30 days upon receipt of the notice, or those who have not received notice in writing shall, within 45 days from the date of the announcement of the notice, declare their claims. When creditors declare their claims, they shall specify the relevant matters in relation to the claims and shall provide proofs of debt. The liquidation committee shall register the claims. Creditors who fail to file their claims within the above specified period shall not be included in the liquidation and can only request their debts to be settled from the remaining undistributed assets except for those creditors who believe that the Company is aware of their claims but fails to give them notice and are able to produce evidence of their claims. Article 13.5 Duties and Powers of Liquidation Committee The liquidation committee shall have the following duties and powers: 1. to examine the Company's properties, to prepare a balance sheet and a list of assets and to compile a liquidation plan; 2. to notify creditors or to make announcements; 3. to deal with and settle the outstanding business of the Company; 4. to settle outstanding taxes; 5. to deal with the Company's creditors and debtors and to dismiss the Company's staff; 6. to dispose of the remaining assets of the Company after settling the debts; 7. to represent the Company in civil legal proceedings; 8. to handle other matters specified by the laws and regulations and the Articles of Association. Article 13.6 Limitations on the Duties and Powers of the Liquidation Committee The liquidation committee shall not arrange settlements with creditors during the period for the filing of claims against the Company. The Company shall not however be released from the responsibility of compensating damages caused as a result of the deferred settlement. Notwithstanding the above, the liquidation committee may, with the permission of the court, settle those secured debts which will not prejudice the interests of other creditors. Article 13.7 Insolvency Declaration Whenever it is found that the Company's assets are insufficient to settle the debts, the liquidation committee shall immediately stop liquidation proceedings and shall lodge an application with the People's Court in accordance with the relevant procedures to declare the Company insolvent. Upon a ruling by the People's Court that the Company be declared insolvent, the liquidation committee shall hand over the liquidation matters to the insolvency committee. Article 13.8 Order of Payment After the liquidation plan has been approved by shareholders in general meeting or the relevant government authority in charge, the Company's assets shall be appropriated to meet the liquidation expenses and thereafter be used for other payments in the following order: 1. salaries for the staff and labour insurance premium; 2. outstanding tax payments; 3. repayment of bank loans, the Company's bonds and other debts. Having settled liabilities according to the above order, the remaining assets shall be distributed to the shareholders in proportion to their respective shareholdings. Financial distributions in contravention of the aforesaid liquidation order shall be invalid. Creditors shall be entitled to demand the liquidation committee to recover the invalid distributions and to request compensation for any that losses incurred. Article 13.9 Cancellation of Registration Upon completion of liquidation, the liquidation committee shall present a liquidation report and shall prepare a statement of income and expenditure and various financial account books for the liquidation period. Upon certification by an accounting firm and approval by shareholders in general meeting and the relevant government department in charge, the liquidation committee shall lodge an application with the registration authority for cancellation of registration within 30 days from the granting of the approval and shall cancel the Company's registration at the taxation authority, pay all outstanding taxes, cancel tax payment invoices and relevant papers issued by the taxation authority, and announce the winding-up of the Company. Chapter 14 Disclosure of Information Article 14.1 Legal Basis Disclosure of information of the Company shall be subject to the requirements of the laws and regulations such as the \"Company Law\", \"Provisional Regulations on the Administration of the Issue and Trading of Shares\" and \"Detailed Implementing Rules on Disclosure of Information for Companies Issuing Shares to the Public\" and other stipulations regarding disclosure of information of the Stock Exchange on which the shares of the Company are listed. Article 14.2 Approval from Supervisory Authorities Before any disclosure of material events pursuant to the Articles of Association, the Company shall report to the China Securities Regulatory Commission and the stock exchange on which the shares of the Company are listed about the method and the contents of the disclosure. The announcement shall not be made until their approvals have been granted. Article 14.3 Mode of Announcement The announcements on material matters (including announcements of interim financial reports and annual financial reports to shareholders) as required by the provisions hereof and other relevant regulations shall be published in Chinese in the People's Republic of China in at least one of the national newspapers designated by the China Securities Regulatory Commission and at the same time in both Chinese and English overseas (including Hong Kong, Macau and Taiwan) in at least one Chinese and one English newspaper. Where any discrepancies arise between the Chinese version and the English version in relation to the understanding and the interpretation of the announcement concerned, the Chinese version shall prevail. Article 14.4 Joint Liabilities The Board of Directors shall warrant that all information and documents disclosed to the public is true and do not contain any statements which are severely misleading or have important omission. All the members of the Board of Directors shall be jointly responsible for this. Article 14.5 Management of Relationship with Investors The company shall establish and perfect the work system for investors’ relationship management and shall strengthen actively communications and exchanges with shareholders, especially the social public ones, in multiple ways. The secretary of the Board of Directors of the Company shall be responsible concretely for the work of investor’s relationship management. Chapter 15 Amendment of the Articles of Association Article 15.1 Amendment to the Articles of Association The Company may amend the Articles of Association as required by changes in the relevant laws and regulations and the actual situation of the Company. Any amendment to the Articles of Association shall be made in accordance with the procedures prescribed herein. Article 15.2 Procedures for Amendments When amending the Company's Articles of Association, the following procedures shall be followed: 1. A resolution to amend the Articles of Association shall be passed by the Board of Directors which shall propose the amendment: 2. The shareholders shall be informed of the proposed amendments and a general meeting shall be convened to vote on the proposed amendments; 3. The shareholders in general meeting shall vote on the proposed amendments. If the resolution obtaining the number of affirmative votes specified in Article 5.15 of the Article of Association shall be passed. 4. The amended Articles of Association shall be registered in a manner as required by the registration authority and a relevant announcement shall be published. Article 15.3 Inspection and Filing After the Articles of Association have been amended, the amended Articles of Association shall be kept at the registered address of the Company for shareholders' inspection and shall be filed for record with the Dalian Securities Administration Office and the stock exchange on which the shares of the Company are listed. Chapter 16 Supplementary Provisions Article 16.1 Parts of Articles of Association All supplementary resolutions, articles of association and details relating to the Articles of Association passed by the shareholders in general meeting of the Company shall be integral parts of the Articles of Association. Article 16.2 Settlement of Matters Not Covered Matters not covered by the Articles of Association shall be resolved at the next general meeting of shareholders in accordance with the Company Law and the relevant regulations. Article 16.3 Other Rules and Systems All rules and systems adopted by the Company which are inconsistent with the Articles of Association shall all be invalid. Article 16.4 Power of Interpretation of the Articles of Association The Board of Directors may interpret the provisions of the Articles of Association but the power of amendment shall be vested in the shareholders in general meetings. Disputes shall be dealt with in accordance with the procedures prescribed in the Articles of Association. Article 16.5 Effect of Figures The terms \"above\", \"before\", \"at least\", and \"within\" as mentioned in the Articles of Association shall be construed as inclusive of the figure itself. Article 16.6 Taking Effect The Articles of Association have been passed by the shareholders in general meeting. Article 16.7 Arbitration and Applicable Laws Disputes or claims regarding the rights and obligations specified in the Articles of Association and the relevant laws and regulations arising between the shareholders of the domestically listed foreign investment shares and the Company, between the shareholders of the domestically listed foreign shares and the Company's directors, supervisors, general manager or other senior management personnel, and between the shareholders of the domestically listed foreign shares and the shareholders of Renminbi ordinary shares, shall be handled by the China International Economic and Trade Arbitration Commission in accordance with its arbitration rules. The provisions of the above paragraph does not apply to cases in which the shareholders may initiate proceedings at the People's Court pursuant to Articles 5.20 and 6.17. Any disputes concerning the Articles of Association shall be governed by laws of PRC.
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大冷股份:公司章程(2017年5月)(查看PDF公告PDF版下载)
公告日期:2017-05-20
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2016 年度股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………15 第六章 董事会………………………………………28 第七章 监事会………………………………………42 第八章 经营管理机构………………………………45 第九章 劳动与人事…………………………………49 第十章 财务、会计与审计…………………………50 第十一章 利润分配……………………………………54 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………58 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………63 第十六章 附则…………………………………………64 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所为:大连经济技术开发区辽河东路 106 号 邮政编码:116630 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 大连冷冻机股份有限公司 公司章程 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为任何非法人单位或个人提供担保。公司为股东、实际 控制人及其关联方提供担保,须经股东大会审批。公司对外担保总额 不得超过最近一个会计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 大连冷冻机股份有限公司 公司章程 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 大连冷冻机股份有限公司 公司章程 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币六亿一千一百七十七 万六千五百五十八(611,776,558)元。 第 3.2 条 注册资本的划分 大连冷冻机股份有限公司 公司章程 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为六亿一千一百七十七万六千五百五十八 (611,776,558)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为六亿一千一百七十七万六千五 百五十八(611,776,558)股。 公司的股份构成为: 股份类别 股份数额 人民币普通股 四亿三千九百二十七万六千五百五十八(439,276,558)股 境内上市外资股 一亿七千二百五十万(172,500,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 并符合《公司法》。 第 3.5 条 股票持有限制 大连冷冻机股份有限公司 公司章程 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 大连冷冻机股份有限公司 公司章程 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 公司发起人所持股份自公司成立之日起一年内不得转让。 第 3.9 条 股票的赠与、抵押和继承 大连冷冻机股份有限公司 公司章程 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 大连冷冻机股份有限公司 公司章程 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份奖励给本公司职工; 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 公司收购其股份的。 大连冷冻机股份有限公司 公司章程 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 向全体股东按照相同比例发出购回要约; 2. 通过公开交易方式购回; 3. 法律、行政法规规定和国务院证券主管部门批准的其它情 形。 第 3.16 条 回购股份处理 公司依照第 3.15 条规定收购本公司股份后,属于第(一)项情 形的,应当自收购之日起十日内注销;属于第(二)项、第(四)项 情形的,应当在六个月内转让或者注销。 公司依照第 3.15 条第(三)项规定收购的本公司股份,不得超 过本公司已发行股份总额的百分之五;用于收购的资金应当从公司的 税后利润中支出;所收购的股份应当在一年内转让给职工。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 各种方式以减少或免除认购人购买公司股份的出资义务。 但公司依法将公积金或利润转为资本而向股东按原持股比例派 大连冷冻机股份有限公司 公司章程 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 依照其所持有的股份份额获得股利和其他形式的利益分配; 2. 依法请求、召集、主持、参加或者委派股东代理人参加股东 大会,并行使相应的表决权; 3. 对公司的经营进行监督,提出建议或者质询; 4. 依照法律、行政法规及公司章程的规定转让、赠与或质押其 所持有的股份; 5. 查阅公司章程、股东名册、股东大会会议记录、董事会会议 决议、监事会会议决议、财务会计报告; 6. 公司终止或者清算时,按其所持有的股份份额参加公司剩余 财产的分配; 大连冷冻机股份有限公司 公司章程 7. 对股东大会作出的公司合并、分立决议持异议的股东,要求 公司收购其股份; 8. 法律、行政法规、部门规章或公司章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 3. 服从和执行股东大会依法通过的决议; 大连冷冻机股份有限公司 公司章程 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 大连冷冻机股份有限公司 公司章程 第 4.5 条 控股股东之含义 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 大连冷冻机股份有限公司 公司章程 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 会议形式召开。公司还将提供网络方式为股东参加股东大会提供便 利。股东通过上述方式参加股东大会的,视为出席。股东大会现场结 束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 大连冷冻机股份有限公司 公司章程 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 大连冷冻机股份有限公司 公司章程 第 5.5 条 股东大会的职权 股东大会行使下列职权: 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 大连冷冻机股份有限公司 公司章程 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 18. 审议股权激励计划; 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知中应当明确载明网络方式的表决时间及表决程序。 股东大会网络投票的开始时间,不得早于现场股东大会召开前一日下 大连冷冻机股份有限公司 公司章程 午 3:00,并不得迟于现场股东大会召开当日上午 9:30,其结束时间 不得早于现场股东大会结束当日下午 3:00。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 更股东大会召开时间的,不应因此而变更股权登记日。 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 大连冷冻机股份有限公司 公司章程 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 大连冷冻机股份有限公司 公司章程 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 自己的意思表决。 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 大连冷冻机股份有限公司 公司章程 股东大会审议影响中小投资者利益的重大事项时,对中小投资者 表决应当单独计票。单独计票结果应当及时公开披露。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 大连冷冻机股份有限公司 公司章程 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 5. 公司年度报告; 6. 除法律、行政法规规定或者公司章程规定应当以特别决议通 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 5. 回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 大连冷冻机股份有限公司 公司章程 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 大连冷冻机股份有限公司 公司章程 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 单独或者合计持有公司 3%以上股份的股东,可以在股东大会召 开 10 日前提出临时提案并书面提交召集人。召集人应当在收到提案 后 2 日内发出股东大会补充通知,公告临时提案的内容。 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 大连冷冻机股份有限公司 公司章程 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 大连冷冻机股份有限公司 公司章程 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 大连冷冻机股份有限公司 公司章程 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 保; 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 大连冷冻机股份有限公司 公司章程 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事会提名的人选亦可作为董事候选人。独立董事候选人可由 董事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东 提名。 大连冷冻机股份有限公司 公司章程 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。董事会会议必须有半数以上的董事出席方能召开。董事 长和董事因故不能参加会议可书面委托其他董事作为代理人参加会 议并表决。委托书应载明代理人的姓名,代理事项、权限和有效期限, 并由委托人签名或盖章。代为出席会议的董事应当在授权范围内行使 董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 大连冷冻机股份有限公司 公司章程 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用通讯 表决方式进行并作出决议,并由参会董事签字。 第 6.8 条 董事会的职权 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 大连冷冻机股份有限公司 公司章程 7. 拟订公司重大收购、回购本公司股票或者分立、合并、解散 的方案; 8. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 9. 监督、协调和指导公司及附属公司、企业的经营管理工作; 10. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 11. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 12. 聘任或者解聘董事会秘书; 13. 编制、核准和发布公司信息披露事项; 14. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 15. 听取公司经理的工作汇报并检查经理的工作; 16. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 17. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 序;重大投资项目应当组织有关专家、专业人员进行评审。 大连冷冻机股份有限公司 公司章程 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 4. 行使法定代表人的职权; 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 大连冷冻机股份有限公司 公司章程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 大连冷冻机股份有限公司 公司章程 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 第 6.14 条 董事会议事规则 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 大连冷冻机股份有限公司 公司章程 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 大连冷冻机股份有限公司 公司章程 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 第 6.17 条 独立董事 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 2. 具有独立性; 大连冷冻机股份有限公司 公司章程 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 6. 公司章程规定的其他人员; 7. 中国证监会认定的其他人员。 独立董事的提名、选举和更换程序: 1. 董事会、监事会、单独或者合并持有公司已发行股份 1%以 上的股东可以提出独立董事候选人,并经股东大会选举决定。 2. 独立董事的提名人在提名前应当征得被提名人的同意。提名 人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部 兼职等情况,并对其担任独立董事的资格和独立性发表意见,被提名 人应当就其本人与公司之间不存在任何影响其独立客观判断的关系 发表公开声明。 大连冷冻机股份有限公司 公司章程 3. 在选举独立董事的股东大会召开前,公司应将所有被提名人 的有关材料同时报送中国证监会、公司所在地中国证监会派出机构和 公司股票挂牌交易的证券交易所。董事会对被提名人的有关情况有异 议的,应同时报送董事会的书面意见。在召开股东大会选举独立董事 时,董事会应对独立董事候选人是否被中国证监会提出异议的情况进 行说明。 4. 独立董事每届任期与公司其他董事任期相同,任期届满,连 选可以连任,但是连任时间不得超过六年。 5. 独立董事连续 3 次未亲自出席董事会会议的,由董事会提请 股东大会予以撤换。 除出现上述情况及《公司法》中规定的不得担任董事的情形外, 独立董事任期届满前不得无故被免职。提前免职的,公司应将其作为 特别披露事项予以披露,被免职的独立董事认为公司的免职理由不当 的,可以作出公开的声明。 6. 独立董事在任期届满前可以提出辞职。独立董事辞职应向董 事会提交书面辞职报告,对任何与其辞职有关或其认为有必要引起公 司股东和债权人注意的情况进行说明。如因独立董事辞职导致公司董 事会中独立董事所占的比例低于规定的最低要求时,该独立董事的辞 职报告应当在下任独立董事填补其缺额后生效。 独立董事除具有公司法和其他相关法律、法规赋予董事的职权 外,还具有以下特别职权: 1. 重大关联交易(指公司拟与关联人达成的总额高于 300 万元 或高于公司最近经审计净资产值的 5%的关联交易)应由独立董事认 可后,提交董事会讨论; 独立董事作出判断前,可以聘请中介机构出具独立财务顾问报 告,作为其判断的依据。 2. 向董事会提议聘用或解聘会计师事务所; 3. 向董事会提请召开临时股东大会; 大连冷冻机股份有限公司 公司章程 4. 提议召开董事会; 5. 独立聘请外部审计机构和咨询机构; 6. 可以在股东大会召开前公开向股东征集投票权。 独立董事行使上述特别职权应当取得全体独立董事的二分之一 以上同意。如上述提议未被采纳或上述职权不能正常行使,公司应将 有关情况予以披露。 独立董事应对以下事项向董事会或股东大会发表独立意见: 1. 提名、任免董事; 2. 聘任或解聘高级管理人员; 3. 公司董事、高级管理人员的薪酬; 4. 公司股东、实际控制人及其关联企业对公司现有或新发生的 总额高于 300 万元或高于公司最近经审计净资产值的 5%的借款或其 他资金往来,以及公司是否采取有效措施回收欠款; 5. 独立董事认为可能损害中小股东权益的事项; 6. 公司章程规定的其他事项。 为了保证独立董事有效行使职权,公司提供如下必要的条件: 1. 公司保证独立董事享有与其他董事同等的知情权。凡须经董 事会决策的事项,公司必须按法定的时间提前通知独立董事并同时提 供足够的资料,独立董事认为资料不充分的,可以要求补充。当 2 名 或 2 名以上独立董事认为资料不充分或论证不明确时,可联名书面向 董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采 纳。 2. 公司提供独立董事履行职责所必需的工作条件。董事会秘书 应积极为独立董事履行职责提供协助。独立董事发表的独立意见、提 大连冷冻机股份有限公司 公司章程 案及书面说明应当公告的,董事会秘书应及时办理公告事宜。 3. 独立董事行使职权时,公司有关人员应当积极配合,不得拒 绝、阻碍或隐瞒,不得干预其独立行使职权。 4. 独立董事聘请中介机构的费用及其他行使职权时所需的费用 由公司承担。 5. 公司给予独立董事适当的津贴。津贴的标准由董事会制订预 案,股东大会审议通过,并在公司年报中进行披露。 6. 公司可以建立必要的独立董事责任保险制度,以降低独立董 事正常履行职责可能引致的风险。 第七章 监事会 第 7.1 条 监事会 公司设监事会。监事会是公司业务活动的监督机构,对董事会、 董事以及总经理等高级管理人员行使监督职能。 监事会向股东大会负责并报告工作。 第 7.2 条 监事会组成 公司监事会由三名监事组成,其中三分之二为股东代表,由股东 大会选举产生和罢免,其余三分之一为公司职工代表,由公司职工选 举产生和罢免。 监事会主席由全部监事的三分之二以上选举产生和罢免。监事不 得兼任董事、总经理、财务负责人或其他高级管理职务。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的,不得担任公司的监事。 第 7.3 条 监事任期与辞职 监事每届任期三年,可连选连任。 大连冷冻机股份有限公司 公司章程 监事可以在任期届满以前提出辞职。本章程第 6.11 条有关董事 辞职的规定适用于监事。 第 7.4 条 监事会职权 监事会行使下列职权: 1. 应当对董事会编制的公司定期报告进行审核并提出书面审 核意见; 2. 检查公司财务; 3. 对董事、高级管理人员执行公司职务的行为进行监督,对违 反法律、行政法规、本章程或者股东大会决议的董事、高级管理人员 提出罢免的建议; 4. 当董事、高级管理人员的行为损害公司的利益时,要求董事、 高级管理人员予以纠正; 5. 提议召开临时股东大会,在董事会不履行《公司法》规定的 召集和主持股东大会职责时召集和主持股东大会; 6. 向股东大会提出提案; 7. 依照《公司法》第一百五十二条的规定,对董事、高级管理 人员提起诉讼; 8. 发现公司经营情况异常,可以进行调查; 9. 法律、法规和本章程规定或股东大会授予的其他职权。 监事会行使职权时,必要时可以聘请律师事务所、会计师事务所 等专业性机构给予帮助,由此所产生的费用由公司负担。 第 7.5 条 报告违规行为 监事会对董事会、总经理和其他高级管理人员违反法规和本章程 大连冷冻机股份有限公司 公司章程 的行为,应及时制止。在制止无效时,应向股东大会及政府有关机关 报告。 第 7.6 条 监事会会议 监事会每年至少举行三次会议。监事会每 6 个月至少召开一次会 议。 监事会会议由监事会主席召集。会议通知应当在会议召开十日前 书面送达全体监事。通知的内容应包括会议的日期、地点和会议期限、 事由及议题和发出通知的日期。 监事会会议由监事会主席主持。监事会主席不能履行职务或者不 履行职务的,由半数以上监事共同推举一名监事召集和主持监事会会 议。 第 7.7 条 监事会特别会议 监事会主席可根据实际需要或三分之一以上的监事的要求,召开 监事会特别会议。监事要求召开监事会特别会议时,应表明召开会议 的原因和目的。 第 7.8 条 监事会决议 监事会会议实行一人一票表决制度。监事会决议应由半数以上监 事表决同意,方能通过。监事在监事会会议上均有发言权。任何一位 监事所提的议案,监事会均应予以审议。 第 7.9 条 监事会会议记录 监事会会议应有记录。出席会议的监事和记录人应当在会议记录 上签名。监事有权要求在会议记录上对其发言作出某种说明性的记 载。监事会会议记录作为公司档案由董事会秘书保存,且十年内不得 销毁。本章程第 6.15 条有关董事会会议记录的规定,适用于监事会 会议记录。 第 7.10 条 免职和赔偿 大连冷冻机股份有限公司 公司章程 监事应当遵守法律、法规和章程的规定,履行诚信和勤勉义务。 前述第 6.10 条和 6.15 条关于董事的免职和赔偿的规定也适用于监事 的免职和赔偿。 监事连续两次不能亲自出席监事会会议的,视为不能履行职责, 股东大会或职工代表大会应当予以撤换。 第 7.11 条 监事会议事规则 监事会制定监事会议事规则,明确监事会的议事方式和表决程 序,以确保监事会的工作效率和科学决策。监事会议事规则作为章程 的附件,由监事会拟定,股东大会批准。 第八章 经营管理机构 第 8.1 条 总经理和副总经理 公司实行董事会领导下的总经理负责制,设总经理一名和副总经 理若干名。总经理在董事会的领导下负责公司的日常经营管理,副总 经理协助总经理工作。总经理因故不能行使职责时,董事会应授权一 名副总经理代行总经理职责。公司设若干职能部门。职能部门在总经 理领导下进行工作。 总经理任期三年,自董事会之聘任决议通过之日起计算。总经理 可以连聘连任。 第 8.2 条 选任 总经理由董事长提名、董事会聘任。副总经理和其他高级管理人 员由总经理提名、董事会聘任。总经理和副总经理可由董事会成员兼 任。但兼任总经理、副总经理或者其他高级管理人员职务的董事不得 超过公司董事总数的二分之一。 在公司控股股东、实际控制人单位担任除董事以外其他职务的人 员,不得担任公司的高级管理人员。 第 8.3 条 辞职 大连冷冻机股份有限公司 公司章程 总经理和副总经理可以在任期届满以前提出辞职。有关总经理辞 职的具体程序和办法由总经理与公司之间的劳务合同规定。在向董事 会提交辞职报告后,须经离职审计完成后,该辞职报告方能生效。未 通过离职审计擅自离职而给公司造成损失的,应当负担赔偿责任。 第 8.4 条 总经理的职权 总经理行使下列职权: 1. 列席董事会会议,执行本章程和股东大会、董事会决议,组 织实施公司年度计划和投资方案,直接对董事会负责并报告工作; 2. 全面负责公司的经营管理,主持公司的日常工作; 3. 制订公司生产经营发展计划、年度财务结算方案以及拟定利 润分配方案和亏损弥补方案; 4. 组织制定公司各项基本管理制度、基本规章及机构设置和调 整的意见,报董事会批准后执行; 5. 提名副总经理和其他高级管理人员,聘任或者解聘除应由董 事会聘任或解聘以外的其他管理人员; 6. 决定与公司员工有关的事项,包括奖惩、升降级、加减薪、 聘任、解聘和终止服务; 7. 在董事会授权的范围内代表公司处理对外事宜,签订各项经 济合同、协议,并代表公司履行合同的责任,检查和督促各部门履行 合同规定的条款; 8. 签发公司日常业务、财务开支和行政文件; 9. 提议召开董事会临时会议; 10. 行使董事会授予的其他职权。 总经理在其行使职权时,不得变更股东大会和董事会的决议或超 越其授权的范围。非董事总经理在董事会上没有表决权。 大连冷冻机股份有限公司 公司章程 第 8.5 条 副总经理的职权 副总经理的主要职责如下: 1. 协助总经理的工作并在总经理因故不能履行职务时并在经 董事会授权后,代总经理履行职权; 2. 负责管理所分工的部门的工作。 第 8.6 条 行为限制 1. 总经理及其他高级管理人员不得从事与公司有竞争或损害 公司利益的活动。从事上述活动所得的受益应当归公司所有; 2. 总经理及其他高级管理人员在公司拥有的权益必须在年度 报告中予以说明; 3. 总经理和其他高级管理人员不得利用职权收受贿赂或者获 取其他非法收入,不得侵占公司的财产或以任何方式挪用公司资产以 谋取私利,并不得以公司资产为公司股东或其他个人债务提供担保。 4. 总经理除董事会过半数董事(不包括有关之董事)或股东大 会批准外,不得同公司订立合同或者进行交易; 5. 总经理应当遵守法律、行政法规和公司章程,履行诚信和勤 勉的义务,维护公司利益并不得利用在公司的地位和职权为自己谋取 私利; 6. 总经理应当根据董事会或者监事会的要求,向董事会或者监 事会报告公司重大合同的签订、执行情况,资金运用情况和盈亏情况。 总经理必须保证该报告的真实性。 7. 总经理拟定有关职工工资、福利、安全生产以及劳动保护、 劳动保险、解聘(或开除)公司职工等涉及职工切身利益的问题时, 应当事先听取工会和职代会的意见。 8. 总经理应当制订总经理工作细则,报董事会批准后实施。 大连冷冻机股份有限公司 公司章程 总经理工作细则包括下列内容: 1. 总经理会议召开的条件、程序和参加的人员; 2. 总经理、副总经理及其他高级管理人员各自具体的职责及其 分工; 3. 公司资金、资产运用,签订重大合同的权限,以及向董事会、 监事会的报告制度; 4. 董事会认为必要的其他事项。 9. 有下列情况之一的,不得担任公司的总经理或其他高级管理 人员: (1) 无民事行为能力或者限制民事行为能力;或 (2) 《公司法》第 147 条规定的情形以及中国证监会确定为市场 禁入者,并且禁入尚未解除的人员; (3) 法律、法规规定不适合担任总经理或其他高级管理人员的其 他情况。 第 8.7 条 处罚 董事、总经理等高级管理人员违反法律、法规或本章程、股东大 会决议,徇私舞弊或失职、造成公司经济损失的,根据不同情况可给 予下列处罚: 1. 限制其权利; 2. 免除其所担任的职务; 3. 负责经济赔偿; 4. 触犯法律的,依法向司法机关起诉,追究其法律责任。 大连冷冻机股份有限公司 公司章程 第九章 劳动与人事 第 9.1 条 劳动人事和工资 公司有权根据《中华人民共和国劳动法》和辽宁省以及大连市的 有关劳动人事法规、政策规定自行聘用职工并制定人事管理制度。 本公司有权依法自行决定受薪人员的工资水平和支付方式。 第 9.2 条 劳动合同 公司应与职工订立劳动合同,确立劳动关系,明确双方的权利义 务。 公司有权对不合格员工进行行政处分直至辞退或开除、辞退员 工,必须提前一个月通知被辞退者。被辞退者有权向公司有关部门及 政府部门申诉。 本公司员工有辞职自由,但必须按公司有关的人事管理制度办理 手续。未经批准擅自离职者,须向公司赔偿由此造成的经济损失。 第 9.3 条 职工福利 公司执行国家和辽宁省有关法律和法规的规定,提取职工医疗、 退休、待业等保险基金。职工享受相应保险待遇。 第 9.4 条 劳动安全与卫生 劳动保护及有关争议按照《中华人民共和国劳动法》和其他有关 法规处理。 第 9.5 条 节假日 节假日按国家法律和法规规定执行。 第 9.6 条 职工工会 大连冷冻机股份有限公司 公司章程 公司职工有权按照《中华人民共和国工会法》及其他有关法律的 规定组织工会,开展工会活动,维护职工的合法权益。公司每年应提 取在职职工之工资总额的 2%以拨作为工会的活动经费。 公司工会是职工利益的代表。其基本任务是:依法维护职工的权 利和物质利益;协助和监督公司公积金和公益金的使用;组织职工学 习科学技术知识和开展文艺体育活动。 公司董事会研究决定有关职工工资、福利、安全生产以及劳动保 护和劳动保险等涉及职工切身利益的问题时,应当征询公司工会和职 工的意见,并邀请工会的代表列席有关会议。 第十章 财务、会计与审计 第 10.1 条 财务制度 公司按照国家有关法律、法规制订公司的财务会计制度和内部审 计制度,编制季度财务报告、中期财务报告和年度财务报告。 第 10.2 条 会计年度 公司的会计年度采用公历年制,自公历年一月一日起至十二月三 十一日止为一个会计年度。 第 10.3 条 记帐方式 公司采用国际通用的权责发生制和借贷复式记帐法记帐。 第 10.4 条 记帐本位币 公司采用人民币为记帐本位币。 人民币与其他货币兑换汇率的折算,按实际发生之日中国人民银 行公布的所涉外汇兑人民币之买卖汇价的中间价计算。 公司的非人民币业务按国家有关外汇管理的法律、法规以及规定 办理。 大连冷冻机股份有限公司 公司章程 第 10.5 条 记帐文字 公司的一切财务凭证、帐簿及报表均用中文书写。 在必要时,帐簿及报表也可用英文书写,但以中文表述为准。 第 10.6 条 季度财务报告、中期财务报告和年度财务报告 公司年度财务报告应聘请在中国注册的具有从事证券业务资格 的会计师事务所审计,并以其出具的审计报告书为准。 公司的季度财务报告、中期财务报告和年度财务报告按照有关法 律、法规的规定进行编制。公司季度财务报告应于每一会计年度的第 三个月、第九个月结束后的三十天内编制,中期财务报告应于每一会 计年度的前六个月结束后的六十天内编制,年度财务报告应于每一会 计年度结束后的一百二十天内编制。 公司年度财务报告以及进行中期利润分配的中期财务报告,包括 下列内容:资产负债表、利润表、利润分配表、现金流量表、会计报 表附注。公司不进行中期利润分配的,中期财务报告包括上款除利润 分配表以外的会计报表及附注。 第 10.7 条 报表 公司的会计报表、统计报表及有关财务文件应依法向国家财政税 务和统计部门定期呈报,并按有关法律和法规的规定抄报给政府主管 部门,并应放置于公司供股东查阅。 所有财务会计记录由公司保存至少十年。 第 10.8 条 财务报告 公司按每一会计年度,将经会计师事务所审计的公司财务报告备 置于公司所在地供股东查阅和复制,并依照法律、法规和公司章程的 规定予以公告。会计年度的资产负债表和损益表,必须经注册会计师 审核签字。公司在收到股东购买财务报告的书面要求并收到股东支付 合理的印刷及邮递等费用之日起的三个工作日内将财务报告寄出。 大连冷冻机股份有限公司 公司章程 公司的财务报告包括(但不限于)资产负债表(限于年度报告的)、 现金流量表和利润分配表,必要时,上述各项财务报表可采取摘要或 简报形式。 第 10.9 条 内部审计 公司实行内部审计制度,配备专职审计人员,对公司财务收支和 经济活动进行内部审计监督。内部审计部门依公司章程规定在董事会 领导下不定期对公司的财务收支和经济活动,进行内部审计监督,向 董事会负责并报告工作。公司内部审计制度和审计人员的职责,应当 经董事会批准后实施。 公司除法定的会计账册外,不另立会计账册。公司的资产,不以 任何个人名义开立帐户存储。 第 10.10 条 公积金 公司设公积金。公积金分两大类: 1. 盈余公积金。盈余公积金分为两种: (1) 法定盈余公积金:公司应在当年税后利润中提取不低于盈余 的百分之十作为盈余公积金,但盈余公积金已达注册资本的百分之五 十时可不再提取。 (2) 任意盈余公积金按照股东大会的决议提取和使用。 2. 资本公积金。下列款项应列入资本公积金: (1) 超过股票面额发行所得的溢价额; (2) 接受赠与; (3) 按国家有关规定应列入的其他款项。 第 10.11 条 公积金用途 公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为 大连冷冻机股份有限公司 公司章程 增加公司资本。但是,资本公积金将不用于弥补公司的亏损。 法定公积金转为资本时,所留存的该项公积金将不少于转增前公 司注册资本的 25%。 第 10.12 条 会计师事务所的聘任 公司聘用取得“从事证券相关业务资格”的会计师事务所进行会 计报表审计、净资产验证及其他相关的咨询服务等业务,聘期一年, 可以续聘。 公司聘用会计师事务所由董事会提出提案,股东大会表决通过。 会计师事务所的报酬由股东大会决定。董事会不得在股东大会决定前 委任会计师事务所。 经公司聘用的会计师事务所享有下列权利: 1. 查阅公司财务报表、记录和凭证,并有权要求公司的董事、 总经理或者其他高级管理人员提供有关的资料和说明; 2. 要求公司提供为会计师事务所履行职务所必需的其子公司 的资料和说明; 3. 列席股东大会,获得股东大会的通知或者与股东大会有关的 其他信息,在股东大会上就涉及其作为公司聘用的会计师事务所的事 宜发言。 公司解聘或者续聘会计师事务所由股东大会作出决定,并在有关 的报刊上予以披露,必要时说明更换原因,并报中国证监会和中国注 册会计师协会备案。 公司解聘或者不再续聘会计师事务所时,提前 30 天事先通知会 计师事务所,会计师事务所有权向股东大会陈述意见。会计师事务所 认为公司对其解聘或者不再续聘理由不当的,可以向中国证监会和中 国注册会计师协会提出申诉。会计师事务所提出辞聘的,应当向股东 大会说明公司有无不当情事。 大连冷冻机股份有限公司 公司章程 第十一章 利润分配 第 11.1 条 依法纳税 本公司执行国家有关的税收制度,依法向政府纳税,并接受国家 财税机关的核查和监督。 第 11.2 条 税后利润分配 本公司每年的税后利润,按下列顺序和比例分配: 1. 弥补上一年度亏损; 2. 提取百分之十的法定公积金; 3. 提取任意公积金; 4. 支付股利。 税后利润的具体分配比例由董事会根据公司该年度的经营状况 拟定,报股东大会决议通过。 公司法定公积金累计额为公司注册资本的 50%以上的,可以不再 提取。 公司弥补亏损和提取公积金后所余税后利润,按照股东持有的股 份比例分配,但本章程规定不按持股比例分配的除外。 股东大会违反前款规定,在公司弥补亏损和提取法定公积金之前 向股东分配利润的,股东必须将违反规定分配的利润退还公司。 公司持有的本公司股份不参与分配利润。 公司股东大会对利润分配方案作出决议后,公司董事会须在股东 大会召开后两个月内完成股利(或股份)的派发事项。 公司股东回报规划: 公司重视股东合理投资回报,并兼顾公司未来的可持续发展。 公司实施积极的利润分配政策,并保持连续性和稳定性。 公司原则上每年进行一次分红,并优先采取现金分红。 公司现金分红,努力超过公司章程规定的最低比例。 大连冷冻机股份有限公司 公司章程 公司利润分配的决策程序和机制: 公司在拟定每年的利润分配预案时,应综合考虑所处行业特点、 发展阶段、自身经营模式、盈利水平、现金流量状况以及是否有重大 资金支出安排等因素。上述利润分配预案,需经全体董事过半数同意 且独立董事对此发表明确意见后方能提交股东大会审议。 公司董事会在审议上述利润分配预案时,应认真研究和论证公司 现金分红的时机、条件和最低比例等事宜。 公司在召开股东大会审议上述利润分配预案时,应通过多种渠道 主动与股东特别是中小股东进行沟通和交流,充分听取中小股东的意 见和诉求,并及时答复中小股东关心的问题。 公司调整利润分配政策的条件、决策程序和机制: 如遇到不可抗力,或者公司外部经营环境或公司自身经营状况发 生较大变化时,公司可对利润分配政策进行调整。 公司董事会在研究论证调整利润分配政策的过程中,应当充分考 虑独立董事和中小股东的意见;调整后的利润分配政策不得违反中国 证监会和证券交易所的有关规定。 调整后的利润分配政策,经全体董事过半数同意且独立董事发表 明确意见后方能提交股东大会审议。股东大会审议调整后的利润分配 政策时,投票方式应符合中国证监会及证券交易所的有关规定,并经 出席股东(包括股东代理人)所持表决权的 2/3 以上通过。 第 11.3 条 股利 公司原则上每年分派股利一次,按股分配,在公司年终决算后进 行,但股东大会有特别决议除外。普通股不支付固定股息。股利分配 可单独或同时采取下列形式: 1. 现金。以人民币计算和宣布。人民币普通股的现金股利以人 民币支付,境内上市外资股的现金股利以港币支付,折算汇率按股东 大会决议日后的第一个工作日中国人民银行公布的人民币兑港币的 大连冷冻机股份有限公司 公司章程 中间价计算。 2. 股票。股东可按所持股份的种类比例依法分得相应种类的红 利股票。 公司分派股利时,优先采取现金分红方式。公司可以在满足现金 分红比例要求的前提下,采取发放股票股利的方式分配利润。采取股 票股利进行利润分配时,应当具有公司成长性、每股净资产的摊薄等 真实合理因素。 公司进行利润分配时,现金分红在本次利润分配中所占比例最低 应达到 20%。 公司每年现金分红不低于公司当年净利润的 10%,或最近三年累 计现金分红不低于最近三年实现的年均净利润的 30%。 第 11.4 条 股利所得税 公司在分配股息、红利时,按照国家法律规定代扣并代缴各股东 所获股利收入应缴的税金。境内上市外资股的股利和其他收益依法纳 税后,可以汇出中国境外。 第 11.5 条 分派股利公告 本公司分派股利,采用在本章程第十四章所指定的报刊公告的方 法通知股东。 第十二章 合并与分立 第 12.1 条 决议和批准 本公司的合并与分立,应按本章程规定,经董事会通过合并或分 立方案,并由股东大会作出决议,报请有关政府审批机关批准。 公司合并或者分立,按照下列程序办理: 1..董事会拟订合并或者分立方案; 大连冷冻机股份有限公司 公司章程 2..股东大会依照章程的规定作出决议; 3..各方当事人签订合并或者分立合同; 4..依法办理有关审批手续; 5..处理债权、债务等各项合并或者分立事宜; 6..办理解散登记或者变更登记。 公司合并或者分立时,公司董事会应当采取必要的措施保护反对 公司合并或者分立的股东的合法权益。 第 12.2 条 公司合并 公司合并可以采取吸收合并和新设合并两种形式。 公司合并应当由合并各方签订合并协议,并编制资产负债表及财 产清单。公司应当自作出合并决议之日起十日内通知债权人,并于三 十日内在在本章程第十四章所规定的报纸上公告。债权人自接到通知 书之日起三十日内,未接到通知书的自公告之日起四十五日内,可以 要求公司清偿债务或者提供相应的担保。不清偿债务或不提供相应担 保的,公司不得合并。 公司合并时,合并各方的债权、债务,应当由合并后存续的公司 或者新设立的公司承继。 第 12.3 条 公司分立 公司分立,应对其财产作相应的分割。 公司分立时,应当签订分立协议,并编制资产负债表及财产清单。 公司应当自作出分立决议之日起十日内通知债权人,并于三十日内在 在本章程第十四章所规定的报纸上公告。债权人自接到通知书之日起 三十日内,未接到通知书的自公告之日起四十五日内,可以要求公司 清偿债务或者提供相应的担保。不清偿债务或不提供相应担保的,公 司不得分立。 大连冷冻机股份有限公司 公司章程 公司分立前的债务按所达成的协议由分立后的公司承担。 第 12.4 条 变更登记 合并与分立方应于有关协议签订后向国家有关审批机关提出申 请报告,经批准后三十日内,向公司登记机关分别申请变更登记、设 立登记或注销登记,向主管税务机关申报处理变更登记、重新登记或 注销登记,并依本章程第十四章的规定进行公告。 第十三章 解散与清算 第 13.1 条 公司解散条件 公司有下列情形之一时,应予解散并进行清算: 1. 不能清偿到期债务而被依法宣告破产; 2. 严重违反国家法律和法规,危害社会公共利益被依法勒令停 业; 3. 股东大会决议解散; 4. 因公司合并或分立需要解散; 5. 公司经营管理发生严重困难,继续存续会使股东利益受到重 大损失,通过其他途径不能解决的,持有公司全部股东表决权 10%以 上的股东请求人民法院解散公司。 第 13.2 条 解散后的清算 公司解散后的清算,应当根据解散的原因依法按照下列程序进 行: 1. 公司因不能清偿到期债务、被依法宣告破产的,由人民法院 依照有关法律的规定,组织股东、有关机关和专业人员成立清算组对 公司进行清算。 2. 公司因违反国家法律和法规、危害社会公共利益被依法勒令 大连冷冻机股份有限公司 公司章程 停业而终止的,由有关政府主管机关组织股东、有关机关及有关专业 人员成立清算组对公司进行清算。 3. 公司因股东大会决议解散的,应当自有关决议通过之日起十 五天内成立清算组。清算组的成员由股东大会以普通决议的方式选 定。 4. 公司因合并或分立需解散的,清算工作由合并或者分立的各 方当事人依照合并或分立时签订的有关协议办理。 第 13.3 条 停止新的经营 清算组成立后,董事会、总经理的职责立即停止。清算期间,公 司不得开展新的经营活动。 第 13.4 条 清算公告和申报 公司清算组成立后,应在十日内通知债权人,并按照本章程第十 四章的规定于六十日内公告。债权人应自接到通知书之日起三十日 内,未接到通知书的自公告之日起四十五日内向清算组申报其债权。 债权人应当在上述规定的期限内向清算组申报其债权。债权人申 报债权时,应当说明债权的有关事项,并提供证明材料。清算组应当 对债权进行登记。 债权人未在上述规定的期限内申报债权的,不列入清算之列,只 能就未分配的剩余财产请求清偿。但债权人认为公司明知而未通知并 能提供证明材料者,不在此列。 第 13.5 条 清算组的职权 清算组在清算期间行使下列职权: 1. 清理公司财产、编制资产负债表和财产清单; 2. 通知或者公告债权人; 3. 处理与清算有关的公司未了结的业务; 大连冷冻机股份有限公司 公司章程 4. 清缴所欠税款; 5. 清理公司债权、债务,遣散公司从业人员; 6. 处理公司清偿债务后的剩余财产; 7. 代表公司进行民事诉讼活动;及 8. 法律、法规以及本章程规定的其他事项。 第 13.6 条 清算组的职权限制 清算组人员应当忠于职守,依法履行清算义务,不得利用职权收 受贿赂或者其他非法收入,不得侵占公司财产。 清算组人员因故意或者重大过失给公司或者债权人造成损失的, 应当承担赔偿责任。 清算组在清理公司财产、编制资产负债表和财产清单后,应当制 定清算方案,并报股东大会或者有关主管机关确认。 清算结束后,清算组应制作清算报告,并编制清算期内收支报表 和各种财务帐册,经会计师事务所验证,报股东大会或者有关主管机 关确认。 清算组在公司债权申报期间不得对债权人进行清偿,但公司不能 因此免除对延迟清偿所负的损害赔偿责任。 经法院许可,清算组可不拘上述规定,对有担保债务及无损于其 他债权人的债务进行清偿。 第 13.7 条 宣告破产 清算组在清理公司财产、编制资产负债表和财产清单后,认为公 司财产不足以清偿债务时,应立即停止清算,并按程序向人民法院申 请宣告破产。 公司经人民法院裁决宣告破产后,清算组应将清算事务移交给人 民法院。 大连冷冻机股份有限公司 公司章程 第 13.8 条 清偿顺序 在清算方案报股东大会或有关政府主管机关确认后,公司财产应 优先用以支付清算费用,然后按下列顺序清偿: 1. 支付职工工资和劳动保险费用; 2. 交纳公司所欠税款; 3. 清偿银行贷款、公司债券及其他债务。 按上述规定清理完毕后,剩余财产按股东各自的持股比例分配。 违反上述清算顺序所作的财务分配无效。债权人有权要求清算组 追还,并可请求赔偿所受的损失。 第 13.8 条 注销登记 清算组应当自股东大会或者有关主管机关对清算报告确认之日 起三十日内,向公司登记机关申请注销登记和向税务机关办理注销登 记,结清应缴税款、缴税发票和税务机关发给的有关证件,公告公司 终止。 第十四章 信息披露 第 14.1 条 法律依据 公司的信息披露应当按照《公司法》、《股票发行与交易管理暂行 条例》、《公开发行股票公司信息披露实施细则(试行)》、《国务院关 于股份有限公司境内上市外资股的规定》和《股份有限公司境内上市 外资股规定的实施细则》等法律和法规以及公司股票上市的证券交易 所的有关信息披露的规定执行。 第 14.2 条 监管机构的同意 公司在通过本章程的公告方式披露重大事件时,应当在公开该重 大事件之前向公司股票上市的证券交易所报告其披露的方式和内容。 大连冷冻机股份有限公司 公司章程 经上述机构同意后,方可进行公告。 第 14.3 条 通知 公司的通知以下列形式发出:以专人送出;以邮件方式送出;以 公告方式进行;公司章程规定的其他形式。 公司发出的通知,以公告方式进行的,一经公告,视为所有相关 人员收到通知。 公司召开股东大会的会议通知,按照本章程第 5.6 条进行。 公司召开董事会的会议通知,按照本章程第 14.3 条进行。 公司召开监事会的会议通知,按照本章程第 7.6 条进行。 公司通知以专人送出的,由被送达人在送达回执上签名(或盖 章),被送达人签收日期为送达日期;公司通知以邮件送出的,自交 付邮局之日起第四个工作日为送达日期;公司通知以公告方式送出 的,第一次公告刊登日为送达日期。 因意外遗漏未向某有权得到通知的人送出会议通知或者该等人 没有收到会议通知,会议及会议作出的决议并不因此无效。 第 14.4 条 公告方式 公司按本章程及有关规定而就重大事项(包括向股东公告季度报 告、中期报告及年度报告)发出的公告应在中国以中文在至少一份由 中国证券监督管理委员会指定的全国性报刊上刊登并且同时应在境 外(含港澳台地区)以中文和英文在至少一份中文报和英文报刊上刊 登。 如中文和英文在理解或解释方面存在任何不一致的情况,则以中 文为准。 公司指定《中国证券报》、《证券时报》为刊登公司公告和其他需 要披露信息的报刊。 大连冷冻机股份有限公司 公司章程 公司指定信息披露网站为:http://www.cninfo.com.cn。 第 14.5 条 连带责任 董事会应当保证公开披露的信息和文件的内容没有虚假、严重误 导性陈述或重大遗漏。董事会的成员应对此负连带责任。 第 14.6 条 投资者关系管理 公司积极建立健全投资者关系管理工作制度,通过多种形式主动 加强与股东特别是社会公众股股东的沟通和交流。公司董事会秘书具 体负责公司投资者关系管理工作。 第十五章 章程的修改 第 15.1 条 修改章程 有下列情形之一的,公司应当修改章程: 1. 《公司法》或有关法律、行政法规修改后,章程规定的事项 与修改后的法律、行政法规的规定相抵触; 2. 公司的情况发生变化,与章程记载的事项不一致; 3. 股东大会决定修改章程。 第 15.2 条 修改程序 修改公司章程,应遵循下列程序: 1. 由公司董事会会议通过修改章程的决议,提出修改方案; 2. 把上述修改方案通知股东,召集股东大会进行表决; 3. 股东大会对修改条款进行表决,获得本章程第 5.15 条规定 比例的股东表决同意的,即可通过。股东大会决议通过的章程修改事 项应经主管机关审批的,须报原审批的主管机关批准; 大连冷冻机股份有限公司 公司章程 4. 经修订的章程按公司登记机关的要求办理变更登记,并予以 公告。 第 15.3 条 查阅与备案 公司章程经修改后,应备置公司的法定住所供股东查阅,并报公 司所在地中国证监会派出机构和公司股票上市的证券交易所备案。 第十六章 附则 第 16.1 条 章程组成部分 本章程附件包括股东大会议事规则、董事会议事规则和监事会议 事规则。公司股东大会通过的有关本章程的补充决议、章程及细则, 均为本章程的组成部分。章程细则不得与本章程的规定相抵触。 第 16.2 条 未尽事宜处理 本章程的未尽事宜,根据《公司法》的有关规定,由下一次股东 大会修订通过。 第 16.3 条 其他规章制度 公司所定的规章制度,凡与本章程有抵触者,一律视为无效。 第 16.4 条 章程解释权 公司章程由公司董事会负责解释,修改权属于股东大会。 若有任何争议,则依本章程规定的程序办理。 第 16.5 条 文字 本章程以中文书写,其他任何语种或不同版本的章程与本章程有 歧义时,以在大连市工商行政管理局最近一次核准登记后的中文版章 程为准。 大连冷冻机股份有限公司 公司章程 第 16.6 条 数字效力 本章程述及的“以上”、“以前”、“至少”和“内”均包括本数。 第 16.7 条 生效 本章程经公司股东大会表决通过后生效。 第 16.8 条 仲裁与适用法律 关于境内上市外资股股东与公司之间、境内上市外资股股东与公 司董事、监事、总经理或者其它高级管理人员之间、境内上市外资股 股东与人民币普通股股东之间,基于公司章程及有关法律、法规规定 的权利义务发生与公司事务有关的争议或权利主张,应在中国国际经 济贸易仲裁委员会并按该机构的仲裁规则进行仲裁解决。 与本章程有关的一切争议,适用中华人民共和国法律。
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大冷B:公司章程(2016年3月)(英文版)(查看PDF公告PDF版下载)
公告日期:2016-03-30
ARTICLES OF ASSOCIATION OF DALIAN REFRIGERATION CO., LTD. Approved by nd 2 Extraordinary Shareholders’ General Meeting for 2016 [English translation for reference only. Should there be any inconsistence between the Chinese and English version, then the Chinese version should prevail.] CONTENTS Chapter 1 General Provisions…………………………………………………3 Chapter 2 Objectives, Scope of Business and Method of Operation……. ….4 Chapter 3 Registered Capital, Share and Share Certificates……….…….5 Chapter 4 Shareholders……………………………………………………...….9 Chapter 5 General Meeting………………………………………………….…12 Chapter 6 Board of Directors……………..……………………………………20 Chapter 7 Supervisory Board…………………………………………………27 Chapter 8 Business Management Structure……………………..……………29 Chapter 9 Labour and Personnel Management…………………..………….31 Chapter 10 Finance, Accounting and Auditing……………………………32 Chapter 11 Profits Distribution…………………………………………….34 Chapter 12 Merger and Division……………………………………………37 Chapter 13 Dissolution and Liquidation……………………………………37 Chapter 14 Disclosure of Information…………………………………….40 Chapter 15 Amendment of the Articles of Association………………..40 Chapter 16 Supplementary Provisions……………………………………41 Chapter 1 General Provisions Article 1. 1 Principles of the Articles of Association Pursuant to the \"Company Law of the People's Republic of China\" (the \"Company Law\") and other relevant laws, rules and regulations, the Articles of Association are prepared with a view to establishing the legal status of Dalian Refrigeration Company Limited (the \"Company\"), regulating the operations, management, organization and activities of the Company, and protecting the legal interests of the Company, shareholders and creditors. Article 1.2 Name, Address and Legal Representative of the Company The registered Chinese name of the Company is: 大连冷冻机股份有限公司 The English name of the Company is: Dalian Refrigeration Company Limited. The first address of the Company is: 888 Southwest Road, Shahekou District, Dalian Municipality, People's Republic of China with postcode 116033 The second address of the Company is: 106 East Road of Liaohe, Dalian City Economic and Technological Development Zone with postcode 116630 The Chairman of the Company shall be the legal representative of the Company. Article 1. 3 Method of Establishing the Company The Dalian Bingshan Group Company acted as the promoter pursuant to the document No. (1993)7 issued by the Dalian Economic System Reform Committee, converted the stated-owned assets in Dalian Refrigeration Factory into state shares as authorized by the Dalian State-owned Assets Administration Bureau, and then set up the Company by way of a initial public offer of legal person shares, public individual shares and employee shares with the approval of the China Securities Regulatory Commission. The Company was registered with the Dalian Administrative Bureau For Industry and Commerce on 18th December, 1993 and obtained a business license No. 24236130-0. Article 1. 4 Form of the Company The Company takes the form of a company limited by shares, i.e. the entire capital of the Company is divided into shares with equal nominal value and the liability of a shareholder to the Company is limited to the nominal value of the shares held by the shareholder. The Company commits its entire assets to assume its liabilities. Article 1. 5 Legal Status of the Company The Company possesses the status of an independent legal person. The laws of the People's Republic of China (the \"PRC\") govern the Company's activities and protect the legal rights and interests of the Company. The Company shall enjoy exclusive proprietary rights over the assets injected into the Company by the shareholders (including the State). The Company shall have independent autonomy over its operation, management and financial budget, and shall enjoy civil rights and assume civil liabilities in accordance with the laws. Article 1.6 Principle of Purchasing Shares in the Company The Company shall ensure that the shares in the Company are purchased voluntarily and that the same rights in relation to the sharing of profits and the assumption of risks shall attach to shares of the same class. Article 1.7 External Investment The Company has the right to invest in other limited companies or joint stock companies and assumes liabilities as limited by the amount of investment. The Company shall not become a shareholder with unlimited liability of any profit-making organizations. Article 1.8 External guarantee The Company cannot guarantee for any entity without legal personality or personal, the Company guarantee for the controlling shareholder and other related party must review and approval by the general meeting of shareholders.The total amount of guarantee issuance of the Company shall not exceed 50% of the net assets listed in the consolidated accounting statement for the last fiscal year. The procedure for approving guarantee issuance of the Company: the Company’s issuing any guarantee must be approved by the general shareholders meeting or the Board of Directors of the Company. Issuing any guarantee with the guaranteed amount accounting for less than 10% of the Company’s net assets audited recently shall be approved by 2/3 of the total directors of the Board. Any guarantee issuance with the guaranteed amount accounting for 10% or more of the Company’s net assets audited recently shall be approved by the general shareholders meeting of the Company. Any guarantee after the total amount of external guarantees provided by the Company and its holding subsidiaries reaches or exceeds 50% of the audited net assets as at the most recent period end must be approved by the general meeting of shareholders. Any guarantee after the total amount of external guarantees provided by the Company reaches or exceeds 30% of the audited total assets as at the most recent period end must be approved by the general meeting shareholders. The credit standing requirement for guaranteed objects: the bank credit rating shall not be lower than AA and the asset-liability ratio not higher than 70%. Article 1.9 Term of Operation The Company is deemed to be a joint stock company with a going concern except in the cases as described in Chapter 12 and Chapter 13. Article 1. 10 Legal Effect of the Articles of Association The Articles of Association are the rules of highest authority for the Company's organization and activities and shall be legally binding on the Company, the Company's shareholders, directors, supervisors, and general manager and other senior managing staff. As the Articles of Association are a public legal document, any acts of subscribing for the shares of the Company (whether the shares of the Company can be legally and successfully obtained or not) shall be considered to have the legal effect that: the person subscribing for the Company's shares has voluntarily accepted all the terms and conditions, and the binding effect of the Articles of Association on him without reservation. Chapter 2 Objectives, Scope of Business and Method of Operation Article 2.1 Objectives of the Company The objectives of the Company are: to follow the trend of the development of a socialist market economy; to implement scientific management; to fully utilize the existing human resources, financial resources and material resources to enable a stable and rapid development of the Company; to promote actively the development in refrigeration, air-conditioning and other businesses of the Company; to protect and increase its asset value; to safeguard the legal rights and interests of all shareholders to enable them to receive a satisfactory return on their investments. Article 2.2 Scope of Business The scope of business of the Company is as follows: Its main business is to process and manufacture refrigeration equipment and auxiliary machines, valves, component parts and the accessory products required in refrigeration engineering packages. Subsidiary businesses include the design, manufacturing, installation, maintenance, calibration of refrigeration and air-conditioning systems and technical consultation, technical services, trading and supply of materials. As required by the business development of the Company, the Company may carry out other relevant businesses with the approval of the companies registration authority. Article 2.3 Mode of Operation The modes of operation of the Company include processing, manufacturing, wholesale, retail import and export, investment, selling agency, buying agency, leasing and servicing. As required by the business development of the Company, with the approval of the relevant government departments, the Company may establish joint ventures with domestic and foreign companies, or set up branches, representative offices or agency organizations within or outside the PRC. Article 2.4 Adjustment of the Scope of Business and the Mode of operation As required by the changing conditions of the market and the business development of the Company, the Company may adjust its business scope and operation mode. If the business scope and the operation mode is adjusted, the Articles of Association shall be amended accordingly and the amended Articles of Association shall be registered with the companies registration authority. If the business scope adjusted falls within the category of restricted business under the laws and regulations of the PRC, the approval of the relevant government departments shall be obtained. Chapter 3 Registered Capital, Share and Share Certificates Article 3.1 Registered Capital The registered capital of the Company shall be the total paid up capital of RMB 360,164,975. Article 3.2 Division of Registered Capital The total registered capital of the Company shall be divided into shares with equal nominal value 1 for which share certificates shall be issued. The Company has in issue 360,164,975 shares in total, with a par value of RMB1.00 each. Article 3.3 Types and Composition of Registered Capital The shares issued by the Company are all ordinary shares. The shares of the Company are divided into Renminbi ordinary shares and domestically listed foreign investment shares. All these stocks are put on trust to China Securities Registry & Settlement Co., Ltd. Shenzhen Branch. Renminbi ordinary shares (\"A Shares \") shall be held by legal persons or other organisations registered in the PRC, natural persons of PRC nationality, or entities stipulated by the laws of the PRC or approved by the relevant government authorities of the PRC. A Shares comprise State shares, legal person shares and public individual shares. Domestically listed foreign investment shares (\"B Shares\") shall be held by natural persons, legal persons, and other organizations of foreign countries; legal persons, natural persons and other organizations of Hong Kong, Macau and Taiwan; PRC nationals residing overseas or other investors as stipulated by the Securities Committee of the State Council. The structure of the issued share capital of the Company is as follows: Type of shares Number of shares Renminbi ordinary shares 245,164,975 Domestically listed foreign investment shares 115,000,000 Article 3.4 Contribution of Share Capital Shareholders may, in accordance with the provisions of the Articles of Association and the PRC laws, make capital contributions to the Company in form of cash or by means of injection of tangible assets such as buildings, factories, machinery equipment or intangible assets such as industrial property rights, non-patented technologies and land use rights, in exchange for the shares of the Company. A good legal title held by the shareholders over the assets to be injected shall be a pre-requisite to the injection of assets in exchange for the shares of the Company. In addition I such injection of assets in exchange for the Company's shares shall comply with the Company Law and any conditions imposed by the Board of Directors of the Company. Article 3.5 Limitations on the Holding of Shares Any investor who comes to hold 5 percent of the shares issued by the Company directly or indirectly shall, within three days from the date on which such shareholding becomes a fact, submit a written report to China Securities Regulatory Committee and Shenzhen Stock Exchange, notify the Company and make the fact known to the general public. Once an investor holds 5 percent of the shares issued by the Company, he shall, pursuant to the provisions of the preceding paragraph, report and make announcement of each 5 percent increase or decrease in the proportion of the issued shares he holds of the Company through securities trading on a stock exchange. During the reporting period, and for two days after the report and announcement are made, the investor may not continue to purchase or sell shares of the Company. However, where the amount of shares held by an investor exceeds the abovementioned limitation of 5 per cent as a result of a decrease in the total number of shares of the Company, the above restrictions will not apply. If the shareholder described in the preceding paragraph sells , within six months of purchase, the shares he holds of the Company or repurchases the shares within six months after selling the same , the earnings so obtained by the shareholder shall belong to the Company and be recovered by the Board of Directors of the Company . However, a securities company that has a shareholding of not less than 5 percent due to purchase of the remaining shares not he capacity of a company that underwrites as the sole agent shall not be subject to the restriction of six months when selling the said shares. The provision of the preceding paragraph is suitable for directors, supervisors, general manager, and other senior mangers of the Company. In this Article, shares are deemed to be indirectly held by an individual or a legal person if the shares are held by the companies, beneficially owned by an individual or by the affiliates of the legal persons, or under the control of an individual or a legal person although held by other legal entities. Article 3.6 Share Issue Payment should be made in full upon subscription for new issued shares. Once subscribed, the shares cannot be returned. The principles of openness, fairness and justice shall be observed in the issue of the Company's shares and the same rights, dividends I share of profits and assumption of risks shall attach to shares of the same class. The issue conditions and issue price for the shares under the same issue shall be the same. Shares may be issued at a par value or at a premium but shall not be issued at a discount. General meetings shall resolve the following matters when the Company intends to issue new shares: 1. type and number of the new shares; 2. placing price of the new shares; 3. type and number of the new shares to be issued to the existing shareholders. Article 3.7 Form and Registration of Share Certificates The issued share capital of the Company takes the form of share certificates which constitute the written evidence of the respective shareholdings of the shareholders, and are issued and signed by the Company. The Company uses the register of shareholders registered by the securities registration authorities as the evidence of the existing shareholdings. Registration records in the register of shareholders shall be conclusive evidence for such shareholdings. Article 3.8 Transfer and Trading of Shares Shareholders holding the Renminbi ordinary shares and domestically listed foreign investment shares of the Company may, subject to the laws, the trading regulations of the stock exchange on which the Company's shares are listed and other relevant regulations and laws, sell the shares held by them by agreement to other legal persons or natural persons who are legally eligible to hold such shares. However, any transfer of the state-owned shares shall be approved by the state-owned assets administration departments. The placing rights and other derivative rights attached to the shares held by the shareholders of the Company may be transferred and traded in accordance with the relevant laws and regulations. The Company shall only recognize the transferees of registered shares as the Company's shareholders after the names and addresses of the transferees have been recorded in the register of shareholders and verified by the statutory registration authorities. The Company’s directors, supervisors, general manager and other senior management members shall regularly declare to the Company their shareholdings in the Company and any changes during their tenure of office, and any share transfer by a director, supervisor, general manager or senior management member shall not exceed 25% of the total shares held by him/her in the Company each year during his/her tenure of office. Any shares of the Company held by them are prohibited being transferred within one year from the shares are listed and traded. Anyone above-mentioned shall not transfer his/her held shares of the Company within six months from his/her demission. The shares held by the promoter of the Company shall not be transferred within one year from the date of establishment of the Company. Article 3.9 Gift, Mortgage and Succession of Shares The Company's shareholders may transfer the shares of the Company held by them by way of gift, mortgage and succession in accordance with the laws and regulations. Any transfer of the Company's shares by way of gift and succession shall be registered with the statutory registration authorities upon presentation of valid and enforceable legal documents. A mortgage over the Company's shares shall be registered with the registration authorities as required by the laws and regulations. The Company shall not accept any mortgage the subject of which are the Company's shares. Article 3.10 Amalgamation and Division of Shares As required by the production, operation and development of the Company, the Company may, subject to the proposal of the Board of Directors and the resolutions passed at a general meeting, amalgamate or divide the Company's shares in a specified ratio. Article 3.11 Increase of Issued Share Capital As required by business development of the Company, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, increase the Company's issued share capital by the followings means: 1. issuing shares in a public manner; 2. issuing shares in a non-public manner; 3. bonus issue to the existing shareholders; or 4. other methods in compliance with the relevant laws and regulations. Article 3.12 Re-issue of Share Certificates Where registered share certificates of the Company have been stolen, lost or destroyed, shareholders shall notify the Company or securities registration authorities appointed by the Company in writing, and shall apply to the People's Court for declaring such share certificates as null and void in accordance with the provisions of \"The Code of Civil Procedures of the PRC\". Upon declaration by the People's Court of such share certificates to be null and void, the shareholders may apply to the Company or securities registration authorities appointed by the Company for the re-issue of share certificates. Article 3.13 Other Classes of Shares Where necessary, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, issue preference shares or other classes of shares and corporate bonds (including but not limited to convertible bonds). Where preference shares or other classes of shares and corporate bonds are issued, in addition to the compliance with the relevant laws and regulations, the shareholders at general meeting shall lay down clear regulations to govern the rights and obligations of the holders of such securities, and the Articles of Association shall also be amended accordingly subject to the passing of relevant resolutions at the general meeting. Article 3.14 Reduction of Registered Capital In accordance with the laws, regulations and the provisions of the Articles of Association, the Company may reduce its registered capital. In the event that the Company reduces its registered capital, a balance sheet and a list of properties shall be prepared. The Company shall inform the creditors of its decision to reduce the registered capital within ten days since such a decision is made, and announce it on the newspapers specified in Art. 14 of the Articles of Association within 30 days. The creditors shall have the right to ask the Company to pay off the debits or provide appropriate guarantees for paying off the debts within 30 days from receiving the notice or within 45 days from the date of announcement if he/she does not receive the notice. The Company's registered capital after reduction shall not be less than the statutory minimum amount. Article 3.15 Re-purchase of Shares In the following circumstances, the Company may re-purchase its issued shares in accordance with the procedures prescribed in the Articles of Association or laid down by the stock exchange where the shares are listed and with the approval of the relevant government departments: 1. cancellation of shares for the reduction of the Company's registered capital; 2. merger with other companies holding the Company's shares; 3. encouraging the Company’s employees by issuing shares to them; or 4. there is any shareholder who has objections on the general meeting’s decision for mergence or split of the Company and requests the Company to repurchase his/her shares. Art. 3.16 Disposal of the Repurchased Shares After repurchasing its shares as stipulated in Art. 3.15, the Company shall write off these shares within ten days from the purchasing day if it is as described in Paragraph (1) or transfer or write off these shares within six months if it is as described in Paragraphs (2) and (4). Any shares repurchased by the Company as stipulated in Art. 3.15 (3) shall not exceed 5% of the total shares that have been issued by the Company; the source of any funds for such repurchase shall be taken from the after-tax profit of the Company; and the repurchased shares shall be transferred to the employees within one year. Article 3.17 Liability for Compensation The Company shall not be liable to compensate anyone who suffers losses resulting from the cancellation of the original share certificates or the re-issue of share certificates unless the party concerned can prove that such losses are caused by the Company's omissions or fraudulent acts. Article 3.18 Financial Assistance The Company and its subsidiaries shall not in any way provide financial assistance to subscribers to subscribe for the Company's shares. The above-mentioned financial assistance refers to any gifts, guarantees, price reductions or advances for the purpose of reducing or exempting the subscribers' payment obligations for subscription of the Company's shares. Where the Company distributes new shares to shareholders in proportion to their shareholdings as a result of capitalization of provident funds or profits in accordance with the laws, the restriction stipulated in this Article shall not apply. Article 3.19 Registration of Changes When the increase or reduction of the Company's registered capital is subject to approval. such approval shall be sought from the approving authorities and the increase or reduction must be registered with the companies registration authorities. Chapter 4 Shareholders Article 4.1 Shareholders Holders of the Company's shares shall be the Company's shareholders. Subject to contrary evidence, the register of shareholders shall be the conclusive evidence of the identities of the Company's shareholders. In accordance with the Articles of Association and the laws and regulations, the shareholders' liabilities to the Company shall be limited to the nominal value of the shares held by them and the shareholders are entitled to the corresponding rights provided by the Articles of Association and the laws and regulations. In the event that any shareholder of the Company is a legal person, its rights shall be exercised by its legal representative or the agent of its legal representative on its behalf. Article 4.2 Shareholders' rights The shareholders of the Company's ordinary shares shall be entitled to the following rights: 1. to receive dividends and benefits in other forms on their shares; 2. to request, convene, preside or attend the general meetings of the Company in person or by proxy and exercise the rights to vote; 3. to conduct supervision, give suggestions and make queries in respect of the operation and financial management of the Company; 4. to transfer the shares held by them by way of transfer, gift or mortgage in accordance with the relevant laws and regulations and the Articles of Association; 5. to inspect the Company's Articles of Association, the list of shareholders, the minutes of general meetings, the minutes of the Board of Directors, the minutes of the Board of supervisors, and financial accounting report; 6. to be entitled to the net assets of the company in proportion to their shareholdings in the event that the Company becomes insolvent and is wound up; 7. to require the Company to acquire their shares for those shareholders who object to resolution on the merger and separation of the Company made by the shareholders’ general meeting; 8. to enjoy other rights as stipulated by the relevant laws and regulations and the Articles of Association. For the procedure for convening a general meeting or a meeting of the Board of Directors or the method of voting in violation of the laws, regulations or these Articles of Association, or any resolution in violation of these Articles of Association, the shareholders shall have the right to appeal to the people’s court for cancellation within 60 days from the day when such resolution is adopted. In case of any director or senior management member, who violates the laws and regulations or these Articles of Association in his/her duty and causes loss to the Company, any shareholder(s) who individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to submit the written request to the Board of Supervisors for bringing suit to the people’s court. In case the Board of Supervisors violates the laws and regulations or these Articles of Association in its duty, which causes loss to the Company, any shareholder shall have the right to submit the written request to the Board of Directors for bringing suit to the people’s court. If the Board of Supervisors or Board of Directors refuses to bring suit after receiving the aforementioned written request, or fails to bring suit within 30 days after receiving the request, or fails to bring suit immediately in case of emergency, which may cause irretrievable impairment to the Company’s interest, the aforementioned shareholder(s) shall have the right to bring suit directly to the people’s court in his/her/their name(s) for the Company’s interest. In case any other person infringes the legal rights and interests of the Company, which causes loss to the Company, any shareholder(s) individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to bring suit to the people’s court as stipulated in the above two clauses. In case any director or senior management member violates the laws and regulations or these Articles of Association, which impairs the shareholders’ interest, any shareholder shall have the right to bright suit to the people’s court. Article 4.3 Shareholders' Obligations Shareholders holding ordinary shares shall perform the following obligations: 1. to observe the Articles of Association; 2. to pay up punctually for the shares subscribed in accordance with the method of subscription; 3. to obey and implement resolutions passed at general meetings pursuant to the laws; 4. to disclose certain information when their shareholdings reach the statutory prescribed amount; 5. not to engage in any malicious activities which are detrimental to the interests of the Company; 6. to perform other obligations stipulated in the relevant laws and regulations and the Articles of Association. Article 4.4 Behavior of controlling shareholders The proprietary shareholders and actual controllers of the Company shall have the obligation to be faithful to the company and social public shareholders. The proprietary shareholders should exercise the rights as contributors strictly by law, without detriment to the legal interests of the company and social public shareholders by taking advantage of any associate transaction, profit distribution, assets regrouping, external investment, occupation of funds, financial guarantee, etc. and no detriment to the interests of the company and social public shareholders by taking advantage of the holding position. The controlling shareholder shall 1. strictly abide by the laws and regulations, and the conditions and procedures stipulated in the Articles of Association in nominating candidates of directors and supervisors; 2. not be engaged in any approval for the general meeting's resolutions on personnel election or for the Board of Directors' resolutions on personnel appointment; 3. not appoint or dismiss any senior staff members bypassing the general meeting and the Board of Directors; and 4. not intervene, directly or indirectly, the Company's decision-making and legal production and business activities, and not harm the interests of the Company and other shareholders. Article 4.5 Meaning of Controlling Shareholder The controlling shareholder mentioned in Article 4.4 refers to any person who satisfies any of the following conditions: 1. He can elect more than half of the Board of Directors when acting alone or in concert with other persons; 2. He can exercise or control over 30 per cent of the voting rights of the Company when acting alone or in concert with other persons; 3. He holds over 30 per cent of the issued shares of the Company when acting alone or in concert with other persons; or 4. He has actual control of the Company by any other means when acting alone or in concert with other persons. Article 4.6 The Composition of the Register of Shareholders The Company shall keep a complete register of its shareholders. The register of shareholders shall be registered by the securities registration authorities. Article 4.7 Registration Day of Shareholding Where the Company convenes a general meeting) distributes dividends) goes into liquidation or engages in other acts which require confirmation of shareholdings, the Board of Directors shall fix a day as a reference date for registration of shareholdings for confirmation purposes. At the close of such registration day) shareholders whose names appear on the register of shareholders shall be deemed to be the shareholders of the Company. The interval between the date of equity registration and the date of meeting shall be not more than 7 working days. Once the date of equity registration is confirmed, it shall not be altered. Chapter 5 General Meeting Article 5.1 General Meeting All the shareholders of the Company who are entitled to exercise their rights and powers of the Company in general meetings have the highest authority according to the Company Law and the Articles of Association. Article 5.2 Annual General Meeting and Extraordinary General Meeting A general meeting shall be either an annual general meeting or an extraordinary general meeting. The general meeting shall be held at a designated place in a manner of on-site meeting. The Company will also provide shareholders with the network facilities.Any shareholder, who attends the general meeting in one of the above manners, shall be regarded as his/her presence. The general meeting on site shall not end up until the meeting in the network manner ends up. The general meeting shall be held at the location of the Company. Article 5.3 Annual General Meeting An annual general meeting shall be held once every year within 6 months after the end of every financial year. The interval between two annual general meetings shall not exceed 15 months. Article 5.4 Extraordinary General Meeting An extraordinary general meeting shall be convened within 2 months of the occurrence of any of the following events: 1. the Board of Directors considers it necessary or if proposed by the Supervisory Board; 2. a written request is made by a shareholder or shareholders holding more than 10 per cent (including 10 per cent) of the issued share capital of the Company; 3. the number of directors falls short by two-thirds of the statutory number or the number stipulated in the Articles of Association; 4. the Company's losses represent one-third or more of the total registered capital; 5. more than one half of the independent directors propose to convene the meeting. A written request by the shareholders holding 10 per cent or more of the issued share capital of the Company shall be submitted to the Board of Directors. Extraordinary general meeting shall not pass any resolution concerning proposals that are not set out in the notice of the meeting. For any proposal of independent directors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; or explain the reason and make announcement if it does not approve to convene the general meeting. For any proposal of the Board of Supervisors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the Board of Supervisors. The Board of Directors’ disapproval to convene the extraordinary general meeting or failure to give any feedback within ten days after receiving the proposal shall be regarded as the Board of Directors’ being unable to perform or failing to perform the obligations to convene the general meeting, and the Board of Supervisors may convene and preside over the meeting itself. For any proposal of shareholder(s) who individually or jointly holds 10% or more of the Company’s shares for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). If the Board of Directors does not approve to convene the extraordinary general meeting, or fails to give any feedback within ten days after receiving the proposal, the shareholder(s) who individually or jointly holds 10% or more of the Company’s shares shall have the right to submit proposal in written form to the Board of Supervisors for convening the extraordinary general meeting. The Board of Supervisors shall give the notification of convening the extraordinary general meeting within five days after receiving the proposal if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). The Board of Supervisors’ failure to give the notification of the general meeting within the specified period shall be regarded as its failure to convene and preside over the general meeting and any shareholder(s) individually or jointly holding 10% or more of the Company’s shares for a period of continuative 90 days may convene and preside over the general meeting themselves. The Board of Supervisors or shareholders shall inform in writing the Board of Directors of any decision to convene the general meeting themselves to file to the local agency of China Securities Regulatory Commission and the Securities Exchange. The convening shareholders shall have the shareholdings not less than 10% before the announcement of any general meeting’s resolution. The convening shareholders shall submit the necessary certificates to the local agency of China Securities Regulatory Commission and the Securities Exchange before giving the notice of the general meeting and making announcement of the general meeting’s resolution. For the general meeting convened by the Board of Supervisors or shareholders themselves, the Board of Directors and its secretary shall give cooperation. The Board of Directors shall provide the list of shareholders registered upon registration of shareholdings. For the general meeting convened by the Board of Supervisors or shareholders themselves, the necessary cost for the meeting shall be borne by the Company. Article 5.5 Functions and Powers of Shareholders in General Meeting Shareholders in general meeting shall have the following functions and powers: 1. to set the guiding principles of operation and to prepare investment proposals for the Company; 2. to elect and dismiss directors and fix their remuneration; 3. to elect and dismiss supervisors whose positions are occupied by the shareholders' representatives and fix their remuneration; 4. to examine and approve the reports of the Board of Directors; 5. to examine and approve the reports of the Supervisory Board; 6. to examine and approve the annual budget and final accounts of the Company; 7. to examine and approve the profit distribution proposal and the loss offset proposal of the Company; 8. to resolve on whether to increase or reduce the registered capital of the Company; 9. to resolve on the listing and trading of the Company's shares on a stock exchange. 10. to resolve on whether the Company should issue debentures; 11. to resolve on matters such as the merger, division, dissolution and liquidation of the Company; 12. to appoint or dismiss accountants; 13. to amend the Articles of Association; 14. to review the proposals of the shareholders holding 3% or more of the voting shares issued by the Company; 15. to review the matters concerning guarantees described in Art. 1.8 of these Articles of Association; 16. to review the matters concerning purchase or sale of any major assets of the Company within one year, which exceeds 30% of the Company’s audited total assets as at the most recent period end; 17. to review and approving the matters concerning change of the use of raised funds; 18. to review the stock incentive plan; 19. to examine other matters that shall be decided at the general meeting as stipulated in the laws and regulations and the Articles of Association. Article 5.6 Convening of the General Meeting For convening a general meeting of shareholders, the convener shall inform all shareholders 20 days in advance of the date when the meeting is held. For convening an extraordinary general meeting, the convener shall inform all shareholders 15 days in advance of the date when the meeting is held. The convener shall ensure that the meeting of the general meeting of shareholders go in succession until the final resolution is made. Where the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special cause, necessary measures shall be taken to resume the meeting of the general meeting of shareholders or the meeting shall be directly terminated, and an announcement shall be made in a timely manner. At the same time, the convener shall report it to the dispatched office of the CSRC at the locality of the company and the stock exchange. The notice of the general meeting shall comply with the following requirements and shall be published by way of an announcement in the newspapers as selected by the Board of Directors in accordance with the laws and regulations and the Articles of Association: 1. the date, address and time of the general meeting shall be specified; 2. the proposals to be discussed in the general meeting shall be specified; 3. the registration date for the shareholdings of the shareholders who are entitled to attend the general meeting shall be specified; 4. the names, telephone numbers and fax numbers of the designated contact persons for the purpose of convening meeting shall be specified. A letter of appointment of proxy by the shareholders should be attached to the notice of the general meeting. To attend the general meeting, a shareholder or his proxy shall hold a certificate of attendance for the relevant general meeting. Such certificate shall show the name of the shareholder, the number of shares held or represented, the time of the shareholders' general meeting, the Company seal, the signature of the issuing person and the date of issue. Notice of the shareholders’ general meeting shall clearly specify the voting time and voting procedure of the network way. The starting time of the network voting of shareholders' general meeting should not earlier than 3:00 pm during the day before the shareholders' general meeting held, and not later than 9:30 am during the day the shareholders' general meeting held. The end time of the network voting should not earlier than 3:00 pm during the day the shareholders' general meeting finished. Upon the announcement of the notice of the general meeting, all shareholders shall be deemed to have received notice of the general meeting. In case the Company has to postpone the general meeting for some reason, the notice of postponement shall be issued at least two work days before the original date when the general meeting is held. The Board of Directors shall state the reason and announce the date of the postponed meeting in the notice. After the notice of convening the general meeting is issued, the Board of Directors shall not issue new proposals for any items unlisted in the notice, and any changes to the original proposal shall be announced 15 days before the general meeting is held, or the meeting shall be postponed so that there is an interval of at least 15 days. Article 5.7 Presiding of the General Meeting The general meeting shall be presided over by the Chairman of the Board of Directors. In case the Chairman is unable or fails to perform his duty, the Vice Chairman shall preside over the meeting. If the Vice Chairman is unable or fails to perform his duty, a director elected by the majority of directors shall preside over the meeting. Any general meeting that is convened by the Board of Supervisors shall be presided over by the Chairman of the Board of Supervisors. In case the Chairman is unable or fails to perform his duty, a supervisor elected by the majority of supervisors shall preside over the meeting. The general meetings convened by shareholders themselves shall be presided over by a representative elected by the conveners. In case the meeting chairman breaches the rule of procedure during the meeting, which results in discontinuousness of the general meeting, the general meeting may elect a person to preside over the meeting by the attending shareholders holding the majority of voting shares. Article 5.8 Attendence Notice The shareholders who intend to attend the general meeting shall notify the Company of their attendances before the convening of the general meeting. The attendance notice shall specify the number of shares with the voting rights held by them and shall be delivered in written form. Article 5.9 Attendence and Proxy A shareholder may attend the general meeting in person, or may appoint a proxy in writing to attend the general meeting and exercise shareholder's rights on his behalf. If the shareholder attends the general meeting in person, he shall produce his identity card and proof of shareholding. To attend the meeting, a proxy shall carry with him the certificate of attendance of the relevant shareholder, letter of appointment and his own identity card, and shall exercise voting rights within the scope specified in the letter of appointment. A proxy does not have to be a shareholder of the Company. Where the shareholder is a legal person, the legal representative or the proxy appointed by the legal representative shall attend the general meeting. If a legal representative attends the general meeting, he shall produce his identity card, valid proof of his capacity as a legal representative and proof of shareholding. In case of a proxy attending the meeting, he shall produce his identity card and letter of appointment issued by the legal representative of the legal person shareholder in accordance with the laws, and proof of shareholding. The Company's Board of Directors, independent directors and other directors meeting the concerned conditions may acquire votes at the general meeting from shareholders of the Company. Such acquirement of votes shall be unrequited, and the concerned information shall be disclosed to the persons whose votes are acquired. Article 5.10 Letter of Appointment of Proxy The letter of appointment of proxy issued by shareholders to appoint other persons to attend general meeting on their behalf shall specify the following information: 1. name of the proxy; 2. whether the proxy has the right to vote (where more than one proxy is appointed, the number of shares represented by each proxy shall be specified); 3. instructions such as \"for\", \"against\" or \"abstain\" for each proposed resolution as set out in the agenda of the general meeting; 4. whether the proxy has voting rights on any extraordinary proposals which may be included in the general meeting in accordance with the Articles of Association and if this is the case, detailed instructions for the exercise of the voting rights shall be specified; 5. the date of issue and the effective period; 6. signature (or chop) of the appointer. If the appointer is a legal person shareholder, the company seal shall be affixed thereto. Article 5.11 Sign-in Book of the Attendants A sign-in book of attendants of general meetings shall be prepared. The sign-in book shall specify the attendants' names, identity card number and addresses of residence or registered offices, number of shares with voting rights represented, and the names of the shareholders, and shall be filled in by the shareholders (or proxies) attending the general meeting. Article 5.12 Method of Voting For annual general meetings or general meetings ,convened at the proposal of hareholders or the Supervisory Board, voting by the method of communication is not allowable. Every ordinary share carries one voting right at the general meeting. Voting shall be done by open ballot and not by a simple show of hands. When voting at the general shareholders meeting, a shareholder (or his proxy) shall excise his voting power corresponding to the number of his votable shares. For common shares, one share stands for one vote except the stipulation in Article 5.13 for the accumulative voting system that shall be adopted in electing directors and supervisors. The Company’s shares held by the Company itself shall neither have the voting right nor enjoy the profit distribution. The same voting share shall be used in the on-site voting procedure or in the network voting procedure only. In case of any ballot duplication of the same voting share, the first voting shall be taken. While the shareholders’ general meeting considers significant matters affecting the interests of small and medium investors, small and medium investors should separate vote counting. The result of separate vote counting should be disclosed publicly timely. Article 5.13 Election of Directors and Supervisors Shareholders holding 3 per cent or more of the total issued shares with voting rights are entitled to propose candidates for directors and supervisors. The Company's Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company have the right to nominate independent director candidates. Before the election of directors and supervisors of the Company, the Board of Directors shall provide the shareholders with the resumes and general information of the directors and supervisors. The list of candidates for the directors and supervisors should be submitted to the shareholders general meeting for voting in the manner of proposal. Election and dismissal of directors and supervisors shall be passed by more than half of the votes held by the shareholders present at the general meeting. The accession date of the new directors and the supervisor, if the election proposal is approved by the general meeting, shall be the date when the resolution is adopted at the general meeting. If the holding shareholders hold 30% or higher of the total shares of the Company, the accumulative voting procedure shall be adopted in voting for any proposal of electing directors or supervisors at the shareholders’ general meeting. It means that when two or more directors or supervisors are to be elected at the general shareholders meeting, every share held by voting shareholders (or their proxies) has the equal votes to the number of directors or supervisors to be elected, and a shareholder (or his proxy) may vote one person with all his votes or distribute his votes for multiple persons. The Board of Directors shall work out the implementation rules for the accumulative voting procedure for electing directors/supervisors according to these Articles of Association and submit it to the general shareholders meeting for approval and adoption. Article 5.14 Voting on Ordinary Resolutions Ordinary resolutions at the general meeting shall be passed by more than half of the votes held by the shareholders present at the general meeting. Article 5.15 Voting on Special Resolutions Special resolutions at the general meeting shall be passed by two-thirds or more of the votes held by the shareholders present at the general meeting. Resolutions proposed in relation to the following matters shall be special resolutions: 1. increase or decrease of the Company's registered capital; 2. issue of debentures by the Company; 3. merger, division, application for winding-up, dissolution and liquidation of the Company; 4. amendment of the Articles of Association; 5. change to the Company's classification and the method of trading shares; 6. the Company’s purchase or sale of major assets or issuance of guarantees which exceed 30% of the audited total assets as at the most recent period end within one year; 7. the stock incentive plan; and 8. other matters required to be resolved by special resolutions as stipulated in the Articles of Association and the laws; Apart from the above matters which are required to be resolved by special resolutions, other matters shall be resolved by ordinary resolutions. Article 5.16 Results of the Voting The chairman should declare the number of shareholders and agents present at the meeting and their total shares before voting. Number of shareholders and their agents present at the meeting and their shares are subject to that in meeting registration. At least one lawyer, two or more shareholders’ representatives and one or more supervisors shall be involved in the check of voting for every proposed matter at the shareholders general meeting, and publish the voting result at the meeting and record it in the meeting minutes. The chairman should declare the number of shareholders and proxies attending the meeting and the number of the total voting shares. The number of shareholders and proxies attending the meeting and the number of the total voting shares are subject to the record at the meeting. Before the voting result is formally announced, the listed companies, vote counters, vote counting supervisors, major shareholders and the network service provider, etc. involved in the voting at the general meeting of shareholders on the spot, through network or by any other means, shall be obliged to keep secrets to themselves. Article 5.17 Resolutions Proposed by Shareholders Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the general meeting for consideration. Article 5.18 Conditions of Resolutions Resolutions proposed by the shareholders shall satisfy the following conditions: 1. The proposed resolutions shall fall within the jurisdiction of the general meeting and their contents shall not contravene the laws and regulations and the Articles of Association; 2. The proposed resolutions shall be specific and precise; 3. The proposed resolutions shall be delivered in written form to the Board of Directors. Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the convenor in written form ten days before the shareholders’ general meeting is held. The convenor needs to issue a supplementary notice on shareholders’ general meeting and announce the contents of the provisional proposal within 2 days after receipt of the proposal. Any new distribution proposal presented by the first strong shareholder shall be submitted to the Board of Directors ten days before the annual general meeting is held, and announced by the Board of Directors. If the period is less than ten days, the first strong shareholder shall not make any new distribution proposals at that annual general meeting. The Board of Directors may request the proposers to amend proposed resolutions which do not satisfy the above conditions. The Board of Directors shall include in the agenda of the general meeting any amended proposed resolutions which have satisfied the above conditions in the above paragraph. The proposed resolutions shall become invalid and not be included in the agenda if the proposers do not amend the proposed resolutions or if amended proposed resolutions still do not satisfy the above conditions. The report of the Board of Directors submitted to the general meeting shall explain the handling of invalid proposed resolutions. Article 5.19 Minutes of General Meeting Minutes shall be prepared for general meeting recording the date, time and venue of the general meeting, the name of the Chairman of the general meeting, the agenda of the general meeting, a summary of comments given by each person present at the general meeting regarding every proposal, results of every resolution, inquires and suggestions made by the shareholders and the answers and explanations given by the directors and supervisors. The minutes shall be signed by the directors attending the general meeting and the person preparing the minutes, and shall be kept with the Company's records together with the sign-in book of the shareholders present at the general meeting and the letter of appointment of proxy. Article 5.20 Right to Initiate Proceedings Where resolutions passed at the general meeting contravene the laws and regulations or infringe the legal rights and interests of the shareholders, the shareholders are entitled to commence proceedings at the People's Court to stop such illegal acts and infringement. Article 5.21 Witness of lawyers The Company's Board of Directors shall invite a lawyer holding the securities trade qualification to attend the general meeting, who shall give legal advice on concerned problems and make announcement. Article 5.22 Rules of Procedure for Shareholders’ General Meeting The Company may set out rules of procedure. The rules of procedure shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 5.23 Announcement on the Resolution of the General Meeting of Shareholders The resolution of the general meeting of shareholders shall be announced in a timely manner, and the announcement shall indicate the number of shareholders and proxies that attended the meeting, the number of the total voting shares and its proportion to the total voting shares of the company, the voting method, the voting result of each proposal and detailed contents of each resolution. The domestic-share holders and the foreign-share holders attending the meeting and their voting are counted and announced separately. If a proposal is not adopted or the general meeting of shareholders modifies the resolution of any previous general meeting of shareholders, it shall give a special explanation in the announcement on the resolution of the general meeting of shareholders. Chapter 6 Board of Directors Article 6.1 Board of Directors The Board of Directors of the Company is the standing executive organization of the shareholders in general meeting and shall be accountable to the shareholders at the general meeting. Article 6.2 Election of the Board of Directors Directors shall be natural persons and shall be elected by the shareholders at the general meeting. A director mayor may not be a shareholder of the Company.The term of office for the directors is 3 years and is renewable on re-appointment.However, the renewed term of office for the independent directors shall not exceed 6 years. The term of office commences from the day on which the relevant resolution is passed. Any director who has any wrongdoing during the term of office may be dismissed by an ordinary resolution passed at the general meeting. Article 6.3 Responsibilities of Directors Directors shall abide by the laws and regulations and the Articles of Association, shall owe a fiduciary duty to the Company, shall be diligent to the Company, shall safeguard the interests of the Company, shall not seek personal interests by taking advantage of their position and powers, shall not engage in business which competes with the business of the Company or is detrimental to the interests of the Company and shall take the responsibilities as provided in Articles 59 to 63 of the Company Law. Article 6.4 Candidates for Directors Candidates for directors shall be nominated individually or jointly by the shareholders. In the election of the Board of Directors for a new term, persons nominated by the existing Board of Directors may also be the candidates for directors. Independent director candidates may be nominated by the Board of Directors, Supervisory Board, or a shareholder or shareholders holding 1% or more of the issued shares of the Company. Article 6.5 Composition of the Board of Directors The Board of Directors shall adopt the odd number system and shall consist of 9 directors with independent directors and directors. The Board of Directors shall have one chairman, one vice-chairman and three independent directors (at least one of them is the professional in accounting). The chairman and vice-chairman shall be the directors who are nominated by the shareholders, and may be elected or dismissed by more than half of all the directors. Article 6.6 Convening of Board Meetings Board meetings shall be held at least three times every year and shall be convened and presided by the Chairman. If the Chairman is unable to perform his duties, he may authorize the Vice-Chairman or other directors to take the chair. All directors shall be given ten day's notice of the board meeting. The notice of the board meeting shall specify the date and the venue of the board meeting name and the proposed resolutions to be passed at the board meeting. More than half of all the directors attending the board meeting shall be the quorum for board meetings. If the Chairman and the directors are unable to attend the board meeting, they may appoint proxies to attend the board meeting and vote on their behalf. Such appointment shall be in writing and the letter of appointment shall specify the authorities of the proxy. Directors who do not attend or appoint other directors as proxies to attend board meetings for two consecutive occasions shall be regarded as W1able to perform their duties and the Board of Directors may propose resolutions to the general meeting to dismiss such directors. Where the Board of Directors convenes an extraordinary board meeting, the method of giving notice of board meeting and the period of notice may be changed but all the directors shall be given five day's notice of the board meeting. Except with the consents of two-thirds or more of all the directors for holding the meeting in another place, the board meeting shall be held at the address of the Company. Article 6.7 Extraordinary Meetings The Board of Directors shall convene an extraordinary board meeting in the following circumstances: 1. where the Chairman deems it to be necessary; 2. where one-third of the directors suggest holding a board meeting; 3. where the General Manager of the Company suggests holding a board meeting; 4. where the Supervisory Board of the Company requests to hold a board meeting; 5. where more than half of all the independent directors requests to hold a board meeting. 6. shareholders holding 10% or more of the voting shares propose it. The Extraordinary Meeting of the Board of Directors may be held by communication vote on the basis of the full expression of the directors, with resolution signed by directors attending the meeting. Article 6.8 Functions and Powers of the Board of Directors The Board of Directors shall have the following fW1ctions and powers: 1. to be responsible for convening general meetings and to report the work of the Board of Directors at the general meeting; 2. to implement resolutions passed at general meetings; 3. to elect the Chairman and Vice-Chairmen of the Board of Directors; 4. to determine on the production and business plans and investment strategies of the Company; 5. to formulate the annual financial budget and final accounts of the Company, and to propose the profits distribution plans) the issue of shares or loss offset plans; 6. to formulate plans for the increase or decrease of the Company's registered capital, to extend the number of shares to be subscribed) or to decide on matters in relation to the methods for the listing and trading of the shares of the Company, pledging, leasing, transfer and takeover of the material assets of the Company and plans for the issue of debentures; 7. to formulate plans for the division, merger, dissolution and liquidation of the Company; 8. to determine the establishment of the internal management authorities of the Company, and to examine and approve rules and systems concerning the internal management of the Company; 9. to supervise, co-ordinate and direct the management and operation of the Company and its associated companies and enterprises; 10. to stipulate the amendment scheme for the Articles of Association; 11. to appoint and dismiss the General Manager) and to appoint and dismiss deputy general manager and other senior management personnel in accordance with the general manager's nomination, and to determine their remuneration and method of payment; 12. to appoint and dismiss the secretary of the Board of the Directors; 13. to compile, verify and issue discloseable information of the Company; 14. to appoint intermediary organizations (except accountants) to provide professional services to the Company, to appoint the directors of the Company, associated companies and enterprises (including any directors representing the Company in the joint ventures) and to propose to the general meeting to appoint) dismiss or terminate the service of the accountants; 15. to formulate the standard of salary and employees' welfare standard as well as the reward and penalty system for the employees; 16. to handle important external affairs of the Company; and 17. other functions and powers as stipulated in the Articles of Association or conferred by the shareholders at general meetings. The restrictive power of the Board of Directors in risk investment with the assets of the Company: Risk investment range: refrigeration and air conditioning industry and other fields. Restrictive amount of fund for application: not exceeding 5% of the total assets audited most recently of the Company. Article 6.9 Duties and Powers of the Chairman The principal duties and powers of the Chairman are as follows: 1. to preside over and convene general meetings) to preside over board meetings and to represent the Board of Directors in reporting to the general meetings on the work of the Board of Directors; 2. to lead the work of the Board of Directors) to monitor and report the progress on the implementation of resolutions of the Board of Directors to the Board of Directors) to give guidance on the important business activities of the Company and to report important problems to the next board meeting; 3. to sign the share certificates of the Company and all documents and statements which shall be signed by the legal representative of the Company, to sign the resolutions and minutes of the board meetings and other important documents in the name of the Board of Directors; 4. to nominate candidates for the position of the General Manager for consideration and approval of the Board of Directors; 5. to exercise absolute discretion in decision-making and disposal concerning the business of the Company in emergencies arising from force majeure such as wars or serious natural disasters but such decision and disposal shall be made in the interests of the Company and shall be reported to the Board of Directors and shareholders at general meetings afterwards. 6. other duties and powers as stipulated in the Articles of Association or conferred by resolutions of the Board of Directors. Where the Chairman is unable to perform his duties for any reasons, he may authorize the Vice-Chairman or other directors to perform his duties on his behalf. Article 6.10 Dismissal of Directors Any director of the Company who commits any of the following acts during his term of office shall be dismissed in accordance with the procedures stipulated in the Articles of Association: 1. makes use of his position and powers to accept bribes or other illegal income or illegally takes the possession of the properties of the Company; 2. embezzles the funds of the Company or lends the funds of the Company to other persons or uses the Company's assets as security for the debts of other persons; 3. conducts business for himself or for others which competes with the Company or engages in activities which are detrimental to the interests of the Company; 4. affirmed by the securities administration department of the government as being prohibited to enter the market; 5. discloses without permission the confidential information of the Company which causes harm to the business and reputation of the Company; or 6. engages in other illegal activities as stipulated by the laws and regulations. Article 6.11 Resignation of Directors Directors may resign before the expiry of their terms of office. Unless a director's certain responsibilities have not been discharged, the resignation shall take immediate effect upon reporting to the Board of Directors and need not be approved by the shareholders in general meeting or the Board of Directors. The resignation in respect of the Chairman or a director who is also the general manager, shall become effective only after an examination in respect of the resignation has been conducted. Any director who cannot resign as certain responsibilities have not been discharged or has not passed the examination in respect of the resignation but terminates the term of office without permission shall be liable to compensate for any loss incurred by the Company as a result. Article 6.12 Voting by the Board of Directors The system of “one person, one vote” shall apply to the meeting of the Board of Directors. Any resolution of the Board of Directors shall be adopted by the majority of all directors. Any director, who is associated with the enterprise concerned in the resolution matter of the Board meeting, shall neither exercise his/her voting right nor exercise the voting right as the proxy of other director. Such a Board meeting can be held with the majority of unassociated directors attending and any resolution made at the meeting shall be adopted by the majority of unassociated directors. In case there are less than three unassociated directors attending the Board meeting, the matter shall be submitted to the general meeting of shareholders for review. Except with the approval of more than half of all the directors (excluding the interested directors) or the approval of shareholders in general meeting, directors shall not enter into any contracts or transactions with the Company. Article 6.13 Written Resolutions The Board of Directors may pass a written resolution without convening a board meeting provided that the written resolution shall be circulated among and signed by all the directors. A written resolution shall take effect from the day when it is signed by the last director. A written resolution shall have the same effect as other resolutions passed by the Board of Directors. Article 6.14 Rules of Decisions of the Board of Directors The Board of Directors may set out rules of decisions to ensure that the Board of Directors can operate effectively and perform their duties properly. The rules of decisions of the Board of Directors shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 6.15 Minutes of Board Meeting Minutes of board meeting shall be prepared which shall record the agenda and the material contents of the board meeting including the date and venue of the board meeting, the name of the convener, the names of the directors present, the names of the directors who appoint proxies to attend the board meeting and the names of the proxies, the agenda, the voting method and result of every proposed resolution. The minutes shall be signed by all the directors present at the meeting (including the proxies appointed by the directors) and shall then be filed and shall not be destroyed for ten years.Directors are entitled to request to have certain notes recorded in the minutes. Directors shall be responsible for the resolutions of the board meeting. When the resolution of the Board of Directors is in contravention with the laws and regulations or the Articles of Association and causes serious losses to the Company, the directors approving the resolution shall be liable to compensate the Company. However, a director may be exempted from liabilities if it is proved and recorded in the minutes of board meeting that he objected to the relevant resolution during voting. Directors who neither attended the meeting, nor appointed proxies, nor provided written opinions regarding the relevant resolution at the time of the board meeting or prior to the board meeting, shall be regarded as not having expressed any objections and shall not be exempted from liabilities. Article 6.16 Secretary of the Board of Directors The Company shall have a secretary of the Board of Directors. The Secretary shall be appointed and dismissed by the Board of Directors and shall be the Company's senior management personnel responsible for the secretarial matters of the Board of Directors and be accountable to the Board of Directors. The Secretary of the Board of Directors shall perform the following duties: 1. to prepare and submit reports and documents issued by the Board of Directors and the shareholders in general meeting as required by the relevant government departments; 2. to make preparations for the board meetings and general meetings and to be responsible for preparing the minutes of the meetings and for the safekeeping of documents and minutes of the meetings; 3. to assist the Board of Directors to comply with the relevant laws and regulations, the Articles of Association and various rules of the Company in the performance of their duties; 4. to be responsible for the disclosure of the Company's information in accordance with the laws; 5. to be responsible for the safe-keeping of the register of shareholders and the seal of the Board of Directors; 6. to handle relevant matters arising between the Company and the directors, securities management departments, stock exchange, shareholders and other relevant organizations; 7. to perform other duties as authorized by the Board of Directors. The position of the Secretary may be taken up by a director of the Company, but where an act shall be done by a director and the Secretary in separate capacities, the director who is also the Secretary shall not act in dual capacities. Article 6.17 Independent directors Independent directors are the directors who do not hold any positions in the Company other than the director, and have no relationship with the Company or major directors which may disturb their independent and objective judgments. An independent director shall have good faith and give encouragement to the Company and all shareholders. He shall earnestly fulfill his obligations according to the concerned laws and regulations and these Articles of Association, and protect the overall interests of the Company, in particular, shall concern about and protect the legal rights and interests of medium or minority shareholders. To be an independent shall meet the following basic conditions: 1. holding the qualification to be the director of a listed company according to the laws, administrative regulations and other relevant regulations; 2. being independent; 3. having the basic knowledge about operations of a listed company, and being familiar with relevant laws, administrative regulations and rules; 4. having the experience in laws, economy or other fields necessary to be an independent director; and 5. other conditions stipulated in these Articles of Association. The following persons shall not act as the independent directors: 1. A person holding the position in the Company or its subordinate entities, and his lineal relative and those keeping major social relations with him; 2. A natural-person shareholder who directly or indirectly holds 1% or more of the shares having been issued by the Company or is one of the first ten shareholders, and his lineal relatives; 3. The personnel in a shareholder unit directly or indirectly holding 5% or more of the shares having been issued by the Company or which is one of the first five shareholders of the Company, and their lineal relatives; 4. Anyone who has been at the states listed in the above three items within the past year; 5. Anyone who provides service as an accountant, lawyer or consultant to the Company or its subordinate entities; 6. Other persons stipulated in these Articles of Association; 7. Other persons identified by the China Securities Regulatory Commission. Nominating, electing and replacing independent directors shall be according to the following procedure: 1. The Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company may nominate independent director candidates, who shall be confirmed through voting at the general meeting; 2. Nominating an independent director shall obtain the consent from the nominated person. The nominating person shall have good knowledge about the occupation, educational background, professional qualification, detailed employment experience and all information about his part-time jobs of the nominated person, and shall give opinions about his qualification and independence as an independent director. The nominated person shall make public statements that he has no relationship with the Company which may disturb his independent and objective judgments; 3. Before the general meeting for voting the independent directors is held, the Company shall submit the information ab9ut all the nominated persons to the China Securities Regulatory Commission, its representative office at the location of the Company, and the stock exchange where the Company's shares are listed. If the Board of Directors has any objections about the conditions of any nominated person, the opinions in writing of the Board of Directors shall be attached. When the general meeting is held for electing the independent directors, the Board of Directors shall state whether or not the China Securities Regulatory Commission has any objections about the independent director candidates; 4. The term of office for the independent directors is the same as that for other directors of the Company, and is renewable on re-appointment. However, the renewed term of office shall not exceed 6 years; 5. In case of any independent director who does not attend personally the board meetings for successive three times, the Board of Directors shall submit a proposal to the general meeting for replacing him.Except for the cases above listed, and for the cases of preventing from being a director as stipulated in the Company Law, any independent director shall not be dismissed before expiration of his term of office. Anyone who is dismissed before expiration of his term of office shall be disclosed as a special matter. The dismissed independent director, if he thinks it improper that the Company dismisses him, may make public statement. 6. An independent director may resign from his office before expiration of his term of office. In this case, the independent director shall hand the written resignation over to the Board of Directors stating the conditions related to his resignation or that he thinks necessary to draw attentions from the Company's shareholders or debt creditors. If the independent director's resignation results in that the number of independent directors in the Board of Directors is less than the quorum, the resignation report of this independent director shall not come into effect until a successor makes up his position. Apart from the authorities of office endued by the Company Law and other relevant laws and regulations, an independent director has the following special authorities of office: 1. Major associated transactions (the associated transactions to be reached between the Company and the associated party with the total value more than RMB 3 million or 5% of the Company's net assets recently audited) shall be agreed by the independent director before submitted to the Board of Directors for discussion; The independent director may invite an agency to issue the independent financial consultant's report, by which he can make the judgment. 2. He can make a motion to the Board of Directors for engaging or dismissing an accountant firm; 3. He can submit a proposal to the Board of Directors for convening an extraordinary general meeting; 4. He can propose to convene a board meeting; 5. He can independently engage external auditors and consultants; 6. He can acquire votes from shareholders before a general meeting is held. The independent director's exercising the above special authorities shall be subject to consent of one half of all the independent directors. If the proposals as above listed are not adopted or these authorities of office are unable to be exercised normally, the Company shall disclose the information. The independent director shall present his independent opinions on the following matters at the board meeting or general meeting: 1. nomination or dismissal of directors; 2. employment or dismissal of senior staff members; 3. salary and remuneration standard for the Company's directors and senior staff members; 4. existing or new loans or other current accounts of the Company's shareholders, actually controlling persons and associated entities from or with the Company with the total value more than RMB 3 million or 5% of the Company's net assets recently audited; and the Company's actions to collect such loans; 5. matters which may damage the rights and interests of medium and minority shareholders in his opinion; 6. other matters stipulated in these Articles of Association. In order to ensure the effective exercise of independent director's authorities of office, the Company shall provide the necessary conditions as below: 1. The Company ensures the independent directors having the same right to learn the truth as other directors doing. For any matters to be decided through resolutions of the board meeting, the Company must inform the independent directors in a legal time with a complete set of documents delivered to them. If any independent director thinks the documents incomplete, he may ask for supplements. When two or more independent directors believe that the documents are incomplete or the demonstration is not clear, they may make a joint request in writing to the Board of Directors for postponing the board meeting or postponing review of that matter, and the Board of Director shall adopt it. 2. The Company offers the independent directors the work conditions necessary for their exercise of authorities. The secretary of the Board of Directors shall actively assist the independent director in his work. For any independent opinions, proposals and written statements made by the independent directors, which should be announced, the secretary shall timely deal with such announcements. 3. The concerned personnel of the Company shall cooperate in the independent director's exercise of authorities, without refusal, hindering, concealing, or intervening their independent exercise of authorities. 4. Expenses incurred in engagement of agencies by the independent directors and other expenses necessary for their exercise of authorities shall be borne by the Company. 5. The Company shall offer the independent directors appropriate allowances. The standard for the allowances shall be preplanned by the Board of Directors and adopted at the general meeting with disclosure on the Company's annual report. 6. The Company may establish the necessary liability insurance system for independent directors to minimize the independent director's risks in his exercise of authorities. Chapter 7 Supervisory Board Article 7. 1 Supervisory Board The Company shall have a Supervisory Board which shall be the supervising authority for the business operations of the Company. The Supervisory Board shall exercise a supervisory function over the senior management personnel such as the Board of Directors, individual directors and the general manager. The Supervisory Board shall be accountable to and shall report to the shareholders at general meetings. Article 7.2 Composition of Supervisory Board The Supervisory Board of the Company shall consist of three supervisors, two-thirds of whom shall be the representatives of the shareholders who shall be elected and dismissed by the shareholders in general meeting while the other one-third shall be the staff representative(s) of the Company who shall be elected and dismissed by the staff of the Company. The chairman of the Supervisory Board shall be elected and dismissed by more than two-thirds of all supervisors. Supervisors cannot concurrently be the directors, general manager, financial controller or other senior management personnel of the Company. Article 7.3 Term of Office of Supervisors A supervisor shall be appointed for a term of 3 years and may serve consecutive terms if reappointed. A supervisor may resign before the expiry of his term of office, and the provisions of Article 6.11 in respect of the resignation of directors are also applicable to supervisors. Article 7.4 Duties and Powers of the Supervisory Board The Supervisory Board shall have the following duties and powers: 1. Examining the Company’s regular reports prepared by the Board of Directors and giving the written opinions; 2. Examining the Company’s accounts; 3. Supervising the directors and senior management members’ act in their duty in the Company and proposing to dismiss those violating the laws and regulations, these Articles of Association or resolutions of the general meeting; 4. Requiring the director or senior management member, whose act impairs the Company’s interest, to correct; 5. Proposing to convene an extraordinary general meeting or convening and presiding over the general meeting if the Board of Directors fails to perform its duty to convene and preside over the general meeting according to the Company Law; 6. Presenting proposals to the general meeting; 7. Bringing suit against directors or senior management members according to Art. 152 of the Company Act; 8. Conducting investigations on any abnormality of the Company’s operation; and 9. Exercising other authorities granted by the laws and regulations, these Articles of Association or the general meeting of shareholders. The Company shall be responsible for all costs arising from the engagement of professionals such as lawyers, registered accountants and auditors incurred by the Supervisory Board in the exercise of its functions. Article 7.5 Report of Illegal Activities Where the Board of Directors and the general manager act in contravention of any statutory regulations and the Articles of Association of the Company, the Supervisory Board shall promptly stop them. If the actions taken to stop the said activities prove to be ineffective, the situation shall be reported to the shareholders in general meeting and the relevant government authority. Article 7.6 Meetings of the Supervisory Board The Supervisory Board shall hold at least three meetings every year. The Supervisory Board shall hold at least one meeting every six month. Meetings of the Supervisory Board shall be convened by the chairman of the Supervisory Board and the chairman of the Supervisory Board shall decide on the time and method of giving notice of meeting. The notice of meeting shall include the date, the agenda and the venue of the meeting and the date of notice. Meetings of the Supervisory Board shall be presided over by the chairman of the Supervisory Board. In the event that he is not able to attend a meeting, he shall appoint another supervisor to preside over the meeting on his behalf. Where no appointment has been made, those supervisors who are present at the meeting shall elect a supervisor to preside over the meeting. Article 7.7 Special Meetings of the Supervisory Board The chairman of the Supervisory Board may convene special meetings based on actual needs or at the request of more than one-third of the supervisors. When requesting to convene a special meeting of the Supervisory Board, the supervisors shall clearly state the reason and purpose of the meeting. Article 7.8 Resolutions of the Supervisory Board Resolutions of the Board of Supervisors shall be adopted by the majority of all supervisors. Supervisors have the right to speak in the meetings of the Supervisory Board.The Supervisory Board shall put all proposed resolutions raised by any supervisors for voting. Article 7.9 Minutes of the Meeting of the Supervisory Board Minutes of the meetings of the Supervisory Board shall be prepared and signed by the supervisors and the recorder present at the meeting. The supervisors are entitled to request certain matters to be noted in the minutes with respect to his opinions expressed. The provisions of Article 6.15 in relation to the preparation of the minutes of board meetings are also applicable to those of the meeting of the Supervisory Board. Article 7.10 Dismissal and Compensation Supervisors shall abide by all the laws and regulations and the Articles of Association and shall act in good faith and diligently. The provisions of Articles 6.10 and 6.15 with respect to the dismissal of and the compensation to the directors are also applicable to that of the supervisors. Chapter 8 Business Management Structure Article 8.1 General Manager and Deputy General Manager The Company shall adopt a system whereby the general manager assumes responsibility under the leadership of the Board of Directors. There shall be one general manager and several deputy general managers. Under the leadership of the Board of Directors, the general manager shall be responsible for the management of the day-to-day operations of the Company. The deputy general managers shall assist the general manager in his work and when the general manager is unable to perform his duties for any reason, the Board of Directors shall authorize a deputy general manager to perform the duties of the general manager. The Company shall have several functional departments working under the leadership of the general manager. The general manager is appointed for a term of 3 years and can serve consecutive terms if reappointed. Article 8.2 Election The general manager shall be nominated by the chairman and appointed by the Board of Directors. The deputy general managers and other senior management personnel shall be nominated by the general manager and appointed by the Board of Directors.The general manager and deputy general managers may also be the members of the Board of Directors. Any person who holds the position other than a director in the Company’s controlling shareholder or actual controller’s unit shall not hold any position in the senior management of the Company. Article 8.3 Resignation The general manager and deputy general manager can resign before the expiry of his term of office. A resignation report submitted to the Board of Directors shall only be effective after an examination on the resignation report has been completed. Those who resign before the examination is completed shall be responsible for any economic loss suffered by the Company. Article 8.4 Duties and Powers of the General Manager The general manager shall have the following duties and powers: 1. to attend the board meetings, to implement the Company's Articles of Association and resolutions passed at general meetings and board meetings, to be directly accountable to the Board of Directors and to report to the same on his work; 2. to be fully responsible for the Company's operation, management and routine business; 3. to formulate the Company's production, operation and development plans and the annual financial and accounting plans, and to propose the profits distribution plans and losses offset plans; 4. to organize and prepare the Company's basic management systems, basic regulations and to render opinions on the establishment and adjustment of any part of the Company structure and to submit them to the Board of Directors for approval before implementation; 5. to nominate the deputy general managers and other senior management personnel and to appoint or dismiss other management personnel who are not required to be appointed or dismissed by the Board of Directors; 6. to decide on matters relating to the staff of the Company including rewards or penalties, promotion or demotion, increase or decrease in salary, appointment, dismissal and termination of service; 7. within the scope authorized by the Board of Directors, to represent the Company in handling external affairs and to enter into economic contracts and agreements, to represent the Company in performing obligations under the contracts and to check and supervise in order to ensure that all departments of the Company comply with the terms and conditions specified in the contracts; 8. to sign and issue documents concerning the daily business, the financial expenses and the administration of the Company; 9. to exercise other functions conferred by the Board of Directors. The general manager shall not, in performance of his duties, change the resolutions of the shareholders passed at general meetings and the resolutions of the Board of Directors and shall not exceed the authorized scope of his powers. Article 8.5 Duties and Powers of the Deputy General Manager The deputy general managers shall have the following duties and powers: 1. to assist in the work of the general manager and in the case where the general manager cannot exercise his duties and powers, to act on his behalf with the authorisation of the Board of Directors. 2. to be responsible for the management of the work of the designated departments. Article 8.6 Limitations on the Conduct of the Management Personnel 1. The directors, the general manager and the staff at all levels shall not engage in activities which compete with or jeopardise the interests of the Company. All the income received from the above activities shall belong to the Company. 2. The remuneration of the general manager and his interests in the Company shall be stated in the annual report. 3. The directors, the supervisors, the general manager and other senior management personnel shall not receive bribes or other illegal income in any way and shall not misappropriate the Company's properties to seek personal gain nor use the Company's assets as security for the liabilities of the Company's shareholders or other individuals. 4. Except with the approval of more than half of the directors (excluding the directors with an interest) or the approval of shareholders in general meetings, the general manager shall not enter into any contracts or transactions with the Company. 5. The directors, the supervisors and the general manager shall observe the Articles of Association, shall perform their duties in good faith, shall protect the Company's interests, and shall not make use of their office and powers in the Company to seek personal gain. 6. Under anyone of the following situations, a person shall not take the office of a director, the supervisor or the general manager of the Company: (1) a person has no legal capacity or his legal capacity is restricted; or (2) in any other situations where the laws or regulations provide that a person is unsuitable for taking the office of a director, a supervisor or the general manager. Article 8.7 Penalties Where the Company suffers economic losses as a result of the contravention of the laws and regulations, the Articles of Association or the resolutions passed by shareholders in general meetings, practice of favoritism, malpractice or neglection of duties by senior management personnel such as the directors or the general manager) depending on the circumstances and upon approval by the Board of directors, the following punishments shall be imposed: 1. to restrict their rights; 2. to remove them from their office; 3. to hold them liable for any resulting economic loss; 4. where there is violation of law, to initiate proceedings in a judicial authority pursuant to the laws and to hold them legally liable. Chapter 9 Labour and Personnel Management Article 9.1 Labour and Personnel Management and Salary The Company is entitled to employ staff and to formulate its personnel management policies at its own discretion in accordance with the Labour Law of the People's Republic of China and statutory regulations and policies concerning labour and personnel management of Liaoning Province and Dalian Municipality. The Company is entitled to determine the salaries of the salaried personnel and the method of payment at its own discretion in accordance with the laws. Article 9.2 Employment Contracts The Company shall enter into employment contracts with its staff and workers to provide for the employment relationship and to clarify the rights and obligations of both parties. The Company is entitled to impose administrative penalties on unqualified staff, even to the extent of their dismissal or discharge from the Company. An employee who is dismissed shall be given one month's notice and shall be entitled to address his grievances to the relevant department of the Company and government department. Employees of the Company have the freedom to resign provided that necessary procedures in accordance with the Company's personnel management policies must be complied with. Resigning employees who fail to follow the prescribed procedures shall be liable for any economic loss suffered by the Company. Article 9.3 Employees Welfare The Company shall allocate funds to cover the insurance for the medical treatment, retirement and unemployment of its employees in accordance with the relevant laws and regulations of the State and Liaoning Province. Employees shall enjoy the corresponding insurance benefits. Article 9.4 Health and Safety at Work Labour protection and the related disputes shall be dealt with in accordance with the Labour Law of the People's Republic of China and other relevant statutory regulations. Article 9.5 Holidays The staff of the Company shall be entitled to holidays in accordance with the provisions of the laws and regulations of the State. Article 9.6 Labour Union The Company's employees are entitled to form a labour union, to organize union activities and to safeguard their legal interests in accordance with the Labour Union Law of the People's Republic of China and other relevant regulations. The labour union of the Company is the representative of the staff's interests. Its primary objective is to protect the rights and material interests of the staff in accordance with the laws, to assist and supervise the use of the Company's reserves and public welfare fund, to organize the education of the staff on science and technology and to develop cultural and sports activities. When the Board of Directors of the Company is deciding on matters concerning the staff's personal interests including salaries, benefits, industrial safety, labour protection and labour insurance, the labour union and the staff of the Company shall be consulted and the representatives of labour union shall be invited to attend the relevant meetings. Chapter 10 Finance, Accounting and Auditing Article 10.1 Financial Systems The Company shall formulate its financial and accounting system and internal auditing system and shall prepare quarterly reports, interim reports and annual reports in accordance with the relevant laws and regulations of the State. Article 10.2 Accounting Year The Company shall adopt the Gregorian calendar year as its accounting year, which shall begin on 1st January and end on 31st December of each year. Article 10.3 Book-keeping System The Company shall adopt the accrual basis of accounting and the debit and credit double entry system as commonly used worldwide. Article 10.4 Denomination of Currency The Company shall adopt the Renminbi as the denomination of currency in preparation of its accounts. When converting Renminbi into other currencies, the exchange rate shall be fixed at the median of the buying and selling rates at the foreign exchange trading market as published by the People's Bank of China on the actual day of conversion. Business conducted in currencies other than the Renminbi shall be processed in accordance with the relevant laws and regulations relating to the foreign currency administration of the State. Article 10.5 Language for Bookkeeping The Company's vouchers, account books and statements shall all be prepared in Chinese.Books and statements may also be prepared in English if necessary, but the Chinese version shall prevail. Article 10.6 Quarterly Report, Interim Report and Annual Report An accounting firm registered in the People's Republic of China with authority to undertake securities business shall be appointed to examine and audit the Company's annual report and the audit report issued by the said accounting firm shall prevail. The Company's quarterly report, interim report and annual report shall be prepared according to the relevant laws and regulations. The Company's quarterly report shall be worked out within 30 days respectively after the third month and the ninth month of each accounting year, the interim report shall be worked out within 60 days after the first 6 months of each accounting year while the annual report shall be worked out within 120 days of the closing of the accounting year. Article 10.7 Statements The Company's accounting statements, statistical statements and relevant financial documents shall be submitted regularly to the financial department, taxation department and statistics department of the State. A copy of such documents shall be submitted to the government department in charge and shall be kept in the Company for shareholders' inspection. All accounting statements shall be kept by the Company for at least 10 years. Article 10.8 Financial Report For each accounting year, the Company shall maintain its financial report audited by an accounting firm at the registered address of the Company for the shareholders to inspect and photocopy and shall publish the financial report in accordance with the laws and regulations and the Articles of Association. The balance sheet and the profit and loss account for the accounting year shall be audited and signed by a registered accountant. Upon receipt of a shareholder's written request for the financial report and the relevant payment for reasonable printing and postage costs, the Company shall send out the financial report within three business days. The Company's financial report shall include (but not limited to) written explanations of the financial condition, a balance sheet (only applicable to an annual report), a statement on changes in financial position and a statement on profits distribution. Where necessary, the aforesaid financial statements may be presented in a summary form or as a brief report. Article 10.9 Internal Audit The Company shall adopt an internal auditing system. As prescribed in the Articles of Association, the internal auditing department shall carry out internal auditing and supervision of the Company's income and expenditure and economic activities under the leadership of the Board of Directors, and it shall be accountable to the Board of Directors. Article 10.10 Common Reserves The Company shall set up two kinds of common reserves: 1. Surplus common reserve which is divided into two kinds: (1) Statutory surplus common reserve. The Company shall allocate from the after-tax profits of the current year an amount not less than 10 per cent thereof to the surplus common reserve. However, in the event that the surplus common reserve has reached 50 per cent of the issued share capital, the allocation may be stopped; (2) Discretionary surplus common reserve shall be allocated and utilized in accordance with resolutions passed by shareholders in general meetings. 2. Capital common reserve. common reserve. The following sums shall be allocated to the capital: (1) premiums generated from the issue of securities in excess of their nominal value; (2) donations received; (3) other amounts which shall be included pursuant to the regulations of the State. Article 10.11 Use of Common Reserves The public reserve fund of the company is used for making up the company’s deficit, expanding production and business of the company or being transferred for increase of the capital of the company. However, the capital surplus shall not be used for makeup of the company’s deficit. When the statutory surplus common reserve has been converted into capital, the balance of the statutory surplus common reserve shall not be less than 25 per cent of the registered capital. Article 10.12 Appointment of certified public accountants The Board of Directors shall not appoint any certified public accountants before the general meeting adopts the resolution. Chapter 11 Profits Distribution Article 11. 1 Paying Taxes in accordance with the Laws The Company shall implement the relevant taxation system of the State, shall pay taxes to the government in accordance with the laws and to accept the examination and supervision of the financial and taxation authorities of the State. Article 11.2 Distribution of After-tax Profits The Company's annual after-tax profits shall be distributed according to the following order and ratio: 1. for offsetting the losses of the previous year; 2. 10 per cent allocation to the statutory surplus common reserve; 3. allocation to discretionary surplus common reserve; 4. payment of dividends. The distribution ratio of the after-tax profits shall be recommended by the Board of Directors in accordance with the Company's business situation for the current year and shall be submitted to the shareholders in general meeting for examination and approval. It shall not be drawn any more in case the company’s accumulated legal reserve exceeds 50% of its registered capital. The company’s after-tax profit after any loss is made and the reserve is drawn should be distributed according to the shareholding of the shareholders, except that the profit can not be distributed according to the shareholding as specified in the Articles of Association. If the shareholders general meeting breaks the above regulation and distributes profit to the shareholders before making up the loss and drawing the legal public reserve, the shareholders must return to the company the profit distributed by breaking the regulations. The shares held by the company itself has nothing with the profit distribution. If the shareholders general meeting adopts resolutions on the profit distribution plan, the board of directors of the company shall finish the distribution of dividend (or share) within two months after the shareholders general meeting. Plan to repay the shareholders of the company: The company emphasizes ratioal investment return of shareholders and considers concurrently the sustainable development of the company. The company implements a positive profit distribution policy and maintains its continuity and stability. In principle, the company distributes dividends once each year and does this by cash in priority. The company will strive to distribute dividends in cash at a proportion exceeding the minimum proportion as regulated by the Articles of Association of the company. Profit distribution decision-making procedure and mechanism of company: In drawing up the profit distribution preplan each year, the company should consider comprehensively such factors as the characteristics of the industry it is in, development stage, self operation mode, profit level, cash flow position and important fund disbursement arrangement, etc. The above profit distribution preplan can be submitted to the general shareholder meeting for review subject to agreement by more than half of all directors and independent directors expressing their explicit opinions on this. When the Board of Directors of the company reviews the above profit distribution preplan, it should carefully study and demonstrate such matters as company cash dividend distribution opportunity, condition and minimum proportion, etc. When the company reviews the above profit distribution preplan by holding a general shareholders meeting, it should communicate and exchange with shareholders, especially medium and small shareholders on its own initiative through multiple channels, sufficiently listen to the comments and appeals of medium and small shareholders and reply questions that medium and small shareholder concern about. Condition, decision-making procedure and mechanism for company to adjust profit distribution policy: In case of any force majeure or a substantial change in the external operating environment or self operation condition of the company, the company may adjust the profit distribution policy. The Board of Directors of the company is under way of studying and demonstrating the profit distribution policy. It should consider sufficiently the opinions of independent directors and medium and small shareholders; after adjustment, the profit distribution policy should not violate related regulations of China Securities Regulatory Commission and the securities exchange. An adjusted profit distribution policy can be submitted to the general shareholders meeting for review only subject to agreement by more than half of all directors and the independent directors making explicit comments. When the general shareholders meeting reviews an adjusted profit distribution policy, the voting method should meet related regulations of China Securities Regulatory Commission and the securities exchange and be passed by over 2/3 of voting rights held by the attending shareholders (including shareholder’s representatives). Article 11. 3 Dividends In principle, the Company shall distribute dividends based on the number of shares in issue once every year after the Company's final accounts at the end of the year (except pursuant to special resolutions passed by the shareholders’ general meeting). No fixed dividends shall be paid for ordinary shares and dividends may be paid in the following manner: 1. Cash: Cash dividends shall be declared in Renminbi. Dividends in respect of domestic shares shall be paid in Renminbi whereas dividends in respect of foreign investment shares shall be paid in Hong Kong Dollars. The exchange rate of Renminbi to Hong Kong Dollars shall be referred to the median exchange rate as quoted by the People's Bank of China on the first business day after the date of the general meeting. 2. Shares: Shareholders may receive proportional bonus shares for the types of shares they hold in accordance with the laws. When the company distributes share dividends, it shall adopt cash dividend distribution method in priority. The company may, under the prerequisite of meeting cash dividend distribution proportion requirement, distribute profits by presenting bonus shares. When making profit distribution with bonus shares, such true and reasonable factors as company growth, dilution of net asset value per share, etc. should be available. When the company makes profit distribution, the minimum proportion of cash dividend distribution accounting for this profit distribution should reach 20%. The amount of dividend in cash distributed annually by the Company shall not be less than 10% of the net profit of the Company in that year, or the accumulated amount of dividend in cash in the past three years shall not be less than 30% of the annual net profit on the average made in the past three years. Article 11.4 Income Tax for Dividends When distributing dividends and bonuses, the Company shall withhold and pay on behalf of the shareholders taxes payable on dividends in accordance with the laws. After payment of tax, the dividends and other entitlements arising from the foreign investment shares may be remitted abroad. Article 11. 5 Notice of Distribution of Dividends The Company shall inform shareholders of distribution of dividends by publishing announcements in the newspapers specified in Chapter 14 of the Articles of Association. Chapter 12 Merger and Division Article 12.1 Resolutions and Approval Mergers or divisions of the Company shall be effected in accordance with the stipulations of the Articles of Association. A merger or division plan shall be adopted by the Board of Directors and relevant resolution shall be passed by shareholders in general meeting. A merger or division plan shall be submitted to the relevant examining and approving authority for approval. Article 12.2 Method and Procedures Mergers of the Company may be carried out by takeover or establishment of a new entity, and divisions of the Company may be carried out by sub-division or establishment of new entities. Mergers or divisions of the Company may be carried out in accordance with the following procedures: 1. the Board of Directors formulates the plans for merger or division; 2. all the parties involved in the merger or division sign a merger or division agreement; 3. shareholders in general meeting pass relevant resolution in accordance with the Articles of Association; 4. report to the departments authorized by the State Council for approval; 5. sort out matters in relation to financial claims and liabilities in accordance with laws, and 6. comply with the registration procedures. Article 12.3 Sorting Out Financial Claims and Liabilities Within ten days after the passing of a resolution regarding merger or division by the shareholders in general meeting, notice shall be given to all the creditors. Such notice shall also be published in the newspapers specified in Chapter 14 within 30 days of the date of the resolution. Creditors who have received the notice are entitled within 30 days of the date of the notice, and creditors who have not received the notice are entitled within 45 days of the announcement, to request the Company to settle the debts or provide security for the liabilities. Article 12.4 Registration of Change The parties involved in a merger and division shall submit an application to the examining and approving authority of the State after the relevant agreement has been signed and shall within 30 days after obtaining the approval apply to the relevant company registration authority to register the change of registration of the original company or the establishment of the new company, or to cancel the registration of the original company, shall report to the taxation authority in charge to register the change in the particulars of the registration or to re-register or cancel the registration and shall publish an announcement in accordance with in Chapter 14 of the Articles of Association. Chapter 13 Dissolution and Liquidation Article 13.1 Conditions for Dissolution of the Company The Company shall be dissolved and liquidated on the occurrence of one of the following events: 1. The Company declares insolvent in accordance with the laws due to inability to settle debts due; 2. The Company is ordered to close down due to the serious violation of the laws and regulations of the State causing harm to the interests of the public; 3. The shareholders in general meeting decide that the Company should be wound up; 4. The Company has to be wound up due to the merger or division of the Company. Article 13.2 Liquidation after Dissolution The liquidation of the Company after termination shall be carried out according to the relevant procedures as stipulated by the laws as applicable to the particular cause of dissolution: 1. When the Company is declared insolvent in accordance with the law due to its inability to repay its debts due, the People's Court shall, in accordance with the relevant laws, organize the shareholders, the relevant authorities and the professionals to set up a liquidation committee to liquidate the Company; 2. When the Company is ordered to terminate its operation due to its contravention with the laws and regulations of the state and infringment of the public interests, the relevant authorities in charge shall organize the shareholders, the relevant authorities and the relevant professionals to set up a liquidation committee to liquidate the Company; 3. If the dissolution is consequential to a resolution of shareholders in general meeting, the liquidation committee shall be set up within 15 days from the date of the passing of such resolution and the members of the liquidation committee shall be selected by an ordinary resolution of shareholders in general meeting; 4. If the Company is terminated due to the dissolution resulting from a merger or division, the liquidation shall be carried out by all the parties involved in the merger or division in accordance with the relevant agreement signed in connection with the merger or division. Article 13.3 Prohibition of New Business Activities After the liquidation committee has formed, the duties of the Board of Directors and the general manager shall be terminated immediately. During the period of liquidation, no new business activities shall be carried out by the Company. Article 13.4 Notice of and Application for Liquidation The Company shall inform its creditors within 10 days and a relevant announcement shall be published in accordance with Chapter 14 of the Articles of Association within 60 days after the establishment of the liquidation committee. Creditors who have received notice in writing shall, within 30 days upon receipt of the notice, or those who have not received notice in writing shall, within 45 days from the date of the announcement of the notice, declare their claims. When creditors declare their claims, they shall specify the relevant matters in relation to the claims and shall provide proofs of debt. The liquidation committee shall register the claims. Creditors who fail to file their claims within the above specified period shall not be included in the liquidation and can only request their debts to be settled from the remaining undistributed assets except for those creditors who believe that the Company is aware of their claims but fails to give them notice and are able to produce evidence of their claims. Article 13.5 Duties and Powers of Liquidation Committee The liquidation committee shall have the following duties and powers: 1. to examine the Company's properties, to prepare a balance sheet and a list of assets and to compile a liquidation plan; 2. to notify creditors or to make announcements; 3. to deal with and settle the outstanding business of the Company; 4. to settle outstanding taxes; 5. to deal with the Company's creditors and debtors and to dismiss the Company's staff; 6. to dispose of the remaining assets of the Company after settling the debts; 7. to represent the Company in civil legal proceedings; 8. to handle other matters specified by the laws and regulations and the Articles of Association. Article 13.6 Limitations on the Duties and Powers of the Liquidation Committee The liquidation committee shall not arrange settlements with creditors during the period for the filing of claims against the Company. The Company shall not however be released from the responsibility of compensating damages caused as a result of the deferred settlement. Notwithstanding the above, the liquidation committee may, with the permission of the court, settle those secured debts which will not prejudice the interests of other creditors. Article 13.7 Insolvency Declaration Whenever it is found that the Company's assets are insufficient to settle the debts, the liquidation committee shall immediately stop liquidation proceedings and shall lodge an application with the People's Court in accordance with the relevant procedures to declare the Company insolvent. Upon a ruling by the People's Court that the Company be declared insolvent, the liquidation committee shall hand over the liquidation matters to the insolvency committee. Article 13.8 Order of Payment After the liquidation plan has been approved by shareholders in general meeting or the relevant government authority in charge, the Company's assets shall be appropriated to meet the liquidation expenses and thereafter be used for other payments in the following order: 1. salaries for the staff and labour insurance premium; 2. outstanding tax payments; 3. repayment of bank loans, the Company's bonds and other debts. Having settled liabilities according to the above order, the remaining assets shall be distributed to the shareholders in proportion to their respective shareholdings. Financial distributions in contravention of the aforesaid liquidation order shall be invalid. Creditors shall be entitled to demand the liquidation committee to recover the invalid distributions and to request compensation for any that losses incurred. Article 13.9 Cancellation of Registration Upon completion of liquidation, the liquidation committee shall present a liquidation report and shall prepare a statement of income and expenditure and various financial account books for the liquidation period. Upon certification by an accounting firm and approval by shareholders in general meeting and the relevant government department in charge, the liquidation committee shall lodge an application with the registration authority for cancellation of registration within 30 days from the granting of the approval and shall cancel the Company's registration at the taxation authority, pay all outstanding taxes, cancel tax payment invoices and relevant papers issued by the taxation authority, and announce the winding-up of the Company. Chapter 14 Disclosure of Information Article 14.1 Legal Basis Disclosure of information of the Company shall be subject to the requirements of the laws and regulations such as the \"Company Law\", \"Provisional Regulations on the Administration of the Issue and Trading of Shares\" and \"Detailed Implementing Rules on Disclosure of Information for Companies Issuing Shares to the Public\" and other stipulations regarding disclosure of information of the Stock Exchange on which the shares of the Company are listed. Article 14.2 Approval from Supervisory Authorities Before any disclosure of material events pursuant to the Articles of Association, the Company shall report to the China Securities Regulatory Commission and the stock exchange on which the shares of the Company are listed about the method and the contents of the disclosure. The announcement shall not be made until their approvals have been granted. Article 14.3 Mode of Announcement The announcements on material matters (including announcements of interim financial reports and annual financial reports to shareholders) as required by the provisions hereof and other relevant regulations shall be published in Chinese in the People's Republic of China in at least one of the national newspapers designated by the China Securities Regulatory Commission and at the same time in both Chinese and English overseas (including Hong Kong, Macau and Taiwan) in at least one Chinese and one English newspaper. Where any discrepancies arise between the Chinese version and the English version in relation to the understanding and the interpretation of the announcement concerned, the Chinese version shall prevail. Article 14.4 Joint Liabilities The Board of Directors shall warrant that all information and documents disclosed to the public is true and do not contain any statements which are severely misleading or have important omission. All the members of the Board of Directors shall be jointly responsible for this. Article 14.5 Management of Relationship with Investors The company shall establish and perfect the work system for investors’ relationship management and shall strengthen actively communications and exchanges with shareholders, especially the social public ones, in multiple ways. The secretary of the Board of Directors of the Company shall be responsible concretely for the work of investor’s relationship management. Chapter 15 Amendment of the Articles of Association Article 15.1 Amendment to the Articles of Association The Company may amend the Articles of Association as required by changes in the relevant laws and regulations and the actual situation of the Company. Any amendment to the Articles of Association shall be made in accordance with the procedures prescribed herein. Article 15.2 Procedures for Amendments When amending the Company's Articles of Association, the following procedures shall be followed: 1. A resolution to amend the Articles of Association shall be passed by the Board of Directors which shall propose the amendment: 2. The shareholders shall be informed of the proposed amendments and a general meeting shall be convened to vote on the proposed amendments; 3. The shareholders in general meeting shall vote on the proposed amendments. If the resolution obtaining the number of affirmative votes specified in Article 5.15 of the Article of Association shall be passed. 4. The amended Articles of Association shall be registered in a manner as required by the registration authority and a relevant announcement shall be published. Article 15.3 Inspection and Filing After the Articles of Association have been amended, the amended Articles of Association shall be kept at the registered address of the Company for shareholders' inspection and shall be filed for record with the Dalian Securities Administration Office and the stock exchange on which the shares of the Company are listed. Chapter 16 Supplementary Provisions Article 16.1 Parts of Articles of Association All supplementary resolutions, articles of association and details relating to the Articles of Association passed by the shareholders in general meeting of the Company shall be integral parts of the Articles of Association. Article 16.2 Settlement of Matters Not Covered Matters not covered by the Articles of Association shall be resolved at the next general meeting of shareholders in accordance with the Company Law and the relevant regulations. Article 16.3 Other Rules and Systems All rules and systems adopted by the Company which are inconsistent with the Articles of Association shall all be invalid. Article 16.4 Power of Interpretation of the Articles of Association The Board of Directors may interpret the provisions of the Articles of Association but the power of amendment shall be vested in the shareholders in general meetings. Disputes shall be dealt with in accordance with the procedures prescribed in the Articles of Association. Article 16.5 Effect of Figures The terms \"above\", \"before\", \"at least\", and \"within\" as mentioned in the Articles of Association shall be construed as inclusive of the figure itself. Article 16.6 Taking Effect The Articles of Association have been passed by the shareholders in general meeting. Article 16.7 Arbitration and Applicable Laws Disputes or claims regarding the rights and obligations specified in the Articles of Association and the relevant laws and regulations arising between the shareholders of the domestically listed foreign investment shares and the Company, between the shareholders of the domestically listed foreign shares and the Company's directors, supervisors, general manager or other senior management personnel, and between the shareholders of the domestically listed foreign shares and the shareholders of Renminbi ordinary shares, shall be handled by the China International Economic and Trade Arbitration Commission in accordance with its arbitration rules. The provisions of the above paragraph does not apply to cases in which the shareholders may initiate proceedings at the People's Court pursuant to Articles 5.20 and 6.17. Any disputes concerning the Articles of Association shall be governed by laws of PRC.
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大冷股份:公司章程(2016年3月)(查看PDF公告PDF版下载)
公告日期:2016-03-30
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2016 年第二次临时股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………15 第六章 董事会………………………………………28 第七章 监事会………………………………………42 第八章 经营管理机构………………………………45 第九章 劳动与人事…………………………………49 第十章 财务、会计与审计…………………………50 第十一章 利润分配……………………………………54 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………58 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………63 第十六章 附则…………………………………………64 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所一为:中国大连市沙河口区西南路 888 号 邮政编码:116033 公司的住所二为:大连经济技术开发区辽河东路 106 号 邮政编码:116630 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 大连冷冻机股份有限公司 公司章程 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为任何非法人单位或个人提供担保。公司为股东、实际 控制人及其关联方提供担保,须经股东大会审批。公司对外担保总额 不得超过最近一个会计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 大连冷冻机股份有限公司 公司章程 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 大连冷冻机股份有限公司 公司章程 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币三亿六千零一十六万 四千九百七十五(360,164,975)元。 大连冷冻机股份有限公司 公司章程 第 3.2 条 注册资本的划分 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为三亿六千零一十六万四千九百七十五 (360,164,975)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为三亿六千零一十六万四千九百 七十五(360,164,975)股。 公司的股份构成为: 股份类别 股份数额 人民币普通股 二亿四千五百一十六万四千九百七十五(245,164,975)股 境内上市外资股 一亿一千五百万(115,000,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 并符合《公司法》。 大连冷冻机股份有限公司 公司章程 第 3.5 条 股票持有限制 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 大连冷冻机股份有限公司 公司章程 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 公司发起人所持股份自公司成立之日起一年内不得转让。 大连冷冻机股份有限公司 公司章程 第 3.9 条 股票的赠与、抵押和继承 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 大连冷冻机股份有限公司 公司章程 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份奖励给本公司职工; 大连冷冻机股份有限公司 公司章程 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 公司收购其股份的。 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 向全体股东按照相同比例发出购回要约; 2. 通过公开交易方式购回; 3. 法律、行政法规规定和国务院证券主管部门批准的其它情 形。 第 3.16 条 回购股份处理 公司依照第 3.15 条规定收购本公司股份后,属于第(一)项情 形的,应当自收购之日起十日内注销;属于第(二)项、第(四)项 情形的,应当在六个月内转让或者注销。 公司依照第 3.15 条第(三)项规定收购的本公司股份,不得超 过本公司已发行股份总额的百分之五;用于收购的资金应当从公司的 税后利润中支出;所收购的股份应当在一年内转让给职工。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 大连冷冻机股份有限公司 公司章程 各种方式以减少或免除认购人购买公司股份的出资义务。 但公司依法将公积金或利润转为资本而向股东按原持股比例派 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 依照其所持有的股份份额获得股利和其他形式的利益分配; 2. 依法请求、召集、主持、参加或者委派股东代理人参加股东 大会,并行使相应的表决权; 3. 对公司的经营进行监督,提出建议或者质询; 4. 依照法律、行政法规及公司章程的规定转让、赠与或质押其 所持有的股份; 5. 查阅公司章程、股东名册、股东大会会议记录、董事会会议 决议、监事会会议决议、财务会计报告; 大连冷冻机股份有限公司 公司章程 6. 公司终止或者清算时,按其所持有的股份份额参加公司剩余 财产的分配; 7. 对股东大会作出的公司合并、分立决议持异议的股东,要求 公司收购其股份; 8. 法律、行政法规、部门规章或公司章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 大连冷冻机股份有限公司 公司章程 3. 服从和执行股东大会依法通过的决议; 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 大连冷冻机股份有限公司 公司章程 第 4.5 条 控股股东之含义 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 大连冷冻机股份有限公司 公司章程 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 会议形式召开。公司还将提供网络方式为股东参加股东大会提供便 利。股东通过上述方式参加股东大会的,视为出席。股东大会现场结 束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 大连冷冻机股份有限公司 公司章程 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 大连冷冻机股份有限公司 公司章程 第 5.5 条 股东大会的职权 股东大会行使下列职权: 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 大连冷冻机股份有限公司 公司章程 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 18. 审议股权激励计划; 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知中应当明确载明网络方式的表决时间及表决程序。 股东大会网络投票的开始时间,不得早于现场股东大会召开前一日下 大连冷冻机股份有限公司 公司章程 午 3:00,并不得迟于现场股东大会召开当日上午 9:30,其结束时间 不得早于现场股东大会结束当日下午 3:00。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 更股东大会召开时间的,不应因此而变更股权登记日。 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 大连冷冻机股份有限公司 公司章程 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 大连冷冻机股份有限公司 公司章程 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 自己的意思表决。 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 大连冷冻机股份有限公司 公司章程 股东大会审议影响中小投资者利益的重大事项时,对中小投资者 表决应当单独计票。单独计票结果应当及时公开披露。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 大连冷冻机股份有限公司 公司章程 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 5. 公司年度报告; 6. 除法律、行政法规规定或者公司章程规定应当以特别决议通 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 5. 回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 大连冷冻机股份有限公司 公司章程 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 大连冷冻机股份有限公司 公司章程 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 单独或者合计持有公司 3%以上股份的股东,可以在股东大会召 开 10 日前提出临时提案并书面提交召集人。召集人应当在收到提案 后 2 日内发出股东大会补充通知,公告临时提案的内容。 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 大连冷冻机股份有限公司 公司章程 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 大连冷冻机股份有限公司 公司章程 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 大连冷冻机股份有限公司 公司章程 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 保; 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 大连冷冻机股份有限公司 公司章程 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事会提名的人选亦可作为董事候选人。独立董事候选人可由 董事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东 提名。 大连冷冻机股份有限公司 公司章程 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。董事会会议必须有半数以上的董事出席方能召开。董事 长和董事因故不能参加会议可书面委托其他董事作为代理人参加会 议并表决。委托书应载明代理人的姓名,代理事项、权限和有效期限, 并由委托人签名或盖章。代为出席会议的董事应当在授权范围内行使 董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 大连冷冻机股份有限公司 公司章程 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用通讯 表决方式进行并作出决议,并由参会董事签字。 第 6.8 条 董事会的职权 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 大连冷冻机股份有限公司 公司章程 7. 拟订公司重大收购、回购本公司股票或者分立、合并、解散 的方案; 8. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 9. 监督、协调和指导公司及附属公司、企业的经营管理工作; 10. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 11. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 12. 聘任或者解聘董事会秘书; 13. 编制、核准和发布公司信息披露事项; 14. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 15. 听取公司经理的工作汇报并检查经理的工作; 16. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 17. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 序;重大投资项目应当组织有关专家、专业人员进行评审。 大连冷冻机股份有限公司 公司章程 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 4. 行使法定代表人的职权; 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 大连冷冻机股份有限公司 公司章程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 大连冷冻机股份有限公司 公司章程 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 第 6.14 条 董事会议事规则 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 大连冷冻机股份有限公司 公司章程 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 大连冷冻机股份有限公司 公司章程 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 第 6.17 条 独立董事 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 2. 具有独立性; 大连冷冻机股份有限公司 公司章程 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 6. 公司章程规定的其他人员; 7. 中国证监会认定的其他人员。 独立董事的提名、选举和更换程序: 1. 董事会、监事会、单独或者合并持有公司已发行股份 1%以 上的股东可以提出独立董事候选人,并经股东大会选举决定。 2. 独立董事的提名人在提名前应当征得被提名人的同意。提名 人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部 兼职等情况,并对其担任独立董事的资格和独立性发表意见,被提名 人应当就其本人与公司之间不存在任何影响其独立客观判断的关系 发表公开声明。 大连冷冻机股份有限公司 公司章程 3. 在选举独立董事的股东大会召开前,公司应将所有被提名人 的有关材料同时报送中国证监会、公司所在地中国证监会派出机构和 公司股票挂牌交易的证券交易所。董事会对被提名人的有关情况有异 议的,应同时报送董事会的书面意见。在召开股东大会选举独立董事 时,董事会应对独立董事候选人是否被中国证监会提出异议的情况进 行说明。 4. 独立董事每届任期与公司其他董事任期相同,任期届满,连 选可以连任,但是连任时间不得超过六年。 5. 独立董事连续 3 次未亲自出席董事会会议的,由董事会提请 股东大会予以撤换。 除出现上述情况及《公司法》中规定的不得担任董事的情形外, 独立董事任期届满前不得无故被免职。提前免职的,公司应将其作为 特别披露事项予以披露,被免职的独立董事认为公司的免职理由不当 的,可以作出公开的声明。 6. 独立董事在任期届满前可以提出辞职。独立董事辞职应向董 事会提交书面辞职报告,对任何与其辞职有关或其认为有必要引起公 司股东和债权人注意的情况进行说明。如因独立董事辞职导致公司董 事会中独立董事所占的比例低于规定的最低要求时,该独立董事的辞 职报告应当在下任独立董事填补其缺额后生效。 独立董事除具有公司法和其他相关法律、法规赋予董事的职权 外,还具有以下特别职权: 1. 重大关联交易(指公司拟与关联人达成的总额高于 300 万元 或高于公司最近经审计净资产值的 5%的关联交易)应由独立董事认 可后,提交董事会讨论; 独立董事作出判断前,可以聘请中介机构出具独立财务顾问报 告,作为其判断的依据。 2. 向董事会提议聘用或解聘会计师事务所; 3. 向董事会提请召开临时股东大会; 大连冷冻机股份有限公司 公司章程 4. 提议召开董事会; 5. 独立聘请外部审计机构和咨询机构; 6. 可以在股东大会召开前公开向股东征集投票权。 独立董事行使上述特别职权应当取得全体独立董事的二分之一 以上同意。如上述提议未被采纳或上述职权不能正常行使,公司应将 有关情况予以披露。 独立董事应对以下事项向董事会或股东大会发表独立意见: 1. 提名、任免董事; 2. 聘任或解聘高级管理人员; 3. 公司董事、高级管理人员的薪酬; 4. 公司股东、实际控制人及其关联企业对公司现有或新发生的 总额高于 300 万元或高于公司最近经审计净资产值的 5%的借款或其 他资金往来,以及公司是否采取有效措施回收欠款; 5. 独立董事认为可能损害中小股东权益的事项; 6. 公司章程规定的其他事项。 为了保证独立董事有效行使职权,公司提供如下必要的条件: 1. 公司保证独立董事享有与其他董事同等的知情权。凡须经董 事会决策的事项,公司必须按法定的时间提前通知独立董事并同时提 供足够的资料,独立董事认为资料不充分的,可以要求补充。当 2 名 或 2 名以上独立董事认为资料不充分或论证不明确时,可联名书面向 董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采 纳。 2. 公司提供独立董事履行职责所必需的工作条件。董事会秘书 应积极为独立董事履行职责提供协助。独立董事发表的独立意见、提 大连冷冻机股份有限公司 公司章程 案及书面说明应当公告的,董事会秘书应及时办理公告事宜。 3. 独立董事行使职权时,公司有关人员应当积极配合,不得拒 绝、阻碍或隐瞒,不得干预其独立行使职权。 4. 独立董事聘请中介机构的费用及其他行使职权时所需的费用 由公司承担。 5. 公司给予独立董事适当的津贴。津贴的标准由董事会制订预 案,股东大会审议通过,并在公司年报中进行披露。 6. 公司可以建立必要的独立董事责任保险制度,以降低独立董 事正常履行职责可能引致的风险。 第七章 监事会 第 7.1 条 监事会 公司设监事会。监事会是公司业务活动的监督机构,对董事会、 董事以及总经理等高级管理人员行使监督职能。 监事会向股东大会负责并报告工作。 第 7.2 条 监事会组成 公司监事会由三名监事组成,其中三分之二为股东代表,由股东 大会选举产生和罢免,其余三分之一为公司职工代表,由公司职工选 举产生和罢免。 监事会主席由全部监事的三分之二以上选举产生和罢免。监事不 得兼任董事、总经理、财务负责人或其他高级管理职务。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的,不得担任公司的监事。 第 7.3 条 监事任期与辞职 监事每届任期三年,可连选连任。 大连冷冻机股份有限公司 公司章程 监事可以在任期届满以前提出辞职。本章程第 6.11 条有关董事 辞职的规定适用于监事。 第 7.4 条 监事会职权 监事会行使下列职权: 1. 应当对董事会编制的公司定期报告进行审核并提出书面审 核意见; 2. 检查公司财务; 3. 对董事、高级管理人员执行公司职务的行为进行监督,对违 反法律、行政法规、本章程或者股东大会决议的董事、高级管理人员 提出罢免的建议; 4. 当董事、高级管理人员的行为损害公司的利益时,要求董事、 高级管理人员予以纠正; 5. 提议召开临时股东大会,在董事会不履行《公司法》规定的 召集和主持股东大会职责时召集和主持股东大会; 6. 向股东大会提出提案; 7. 依照《公司法》第一百五十二条的规定,对董事、高级管理 人员提起诉讼; 8. 发现公司经营情况异常,可以进行调查; 9. 法律、法规和本章程规定或股东大会授予的其他职权。 监事会行使职权时,必要时可以聘请律师事务所、会计师事务所 等专业性机构给予帮助,由此所产生的费用由公司负担。 第 7.5 条 报告违规行为 监事会对董事会、总经理和其他高级管理人员违反法规和本章程 大连冷冻机股份有限公司 公司章程 的行为,应及时制止。在制止无效时,应向股东大会及政府有关机关 报告。 第 7.6 条 监事会会议 监事会每年至少举行三次会议。监事会每 6 个月至少召开一次会 议。 监事会会议由监事会主席召集。会议通知应当在会议召开十日前 书面送达全体监事。通知的内容应包括会议的日期、地点和会议期限、 事由及议题和发出通知的日期。 监事会会议由监事会主席主持。监事会主席不能履行职务或者不 履行职务的,由半数以上监事共同推举一名监事召集和主持监事会会 议。 第 7.7 条 监事会特别会议 监事会主席可根据实际需要或三分之一以上的监事的要求,召开 监事会特别会议。监事要求召开监事会特别会议时,应表明召开会议 的原因和目的。 第 7.8 条 监事会决议 监事会会议实行一人一票表决制度。监事会决议应由半数以上监 事表决同意,方能通过。监事在监事会会议上均有发言权。任何一位 监事所提的议案,监事会均应予以审议。 第 7.9 条 监事会会议记录 监事会会议应有记录。出席会议的监事和记录人应当在会议记录 上签名。监事有权要求在会议记录上对其发言作出某种说明性的记 载。监事会会议记录作为公司档案由董事会秘书保存,且十年内不得 销毁。本章程第 6.15 条有关董事会会议记录的规定,适用于监事会 会议记录。 第 7.10 条 免职和赔偿 大连冷冻机股份有限公司 公司章程 监事应当遵守法律、法规和章程的规定,履行诚信和勤勉义务。 前述第 6.10 条和 6.15 条关于董事的免职和赔偿的规定也适用于监事 的免职和赔偿。 监事连续两次不能亲自出席监事会会议的,视为不能履行职责, 股东大会或职工代表大会应当予以撤换。 第 7.11 条 监事会议事规则 监事会制定监事会议事规则,明确监事会的议事方式和表决程 序,以确保监事会的工作效率和科学决策。监事会议事规则作为章程 的附件,由监事会拟定,股东大会批准。 第八章 经营管理机构 第 8.1 条 总经理和副总经理 公司实行董事会领导下的总经理负责制,设总经理一名和副总经 理若干名。总经理在董事会的领导下负责公司的日常经营管理,副总 经理协助总经理工作。总经理因故不能行使职责时,董事会应授权一 名副总经理代行总经理职责。公司设若干职能部门。职能部门在总经 理领导下进行工作。 总经理任期三年,自董事会之聘任决议通过之日起计算。总经理 可以连聘连任。 第 8.2 条 选任 总经理由董事长提名、董事会聘任。副总经理和其他高级管理人 员由总经理提名、董事会聘任。总经理和副总经理可由董事会成员兼 任。但兼任总经理、副总经理或者其他高级管理人员职务的董事不得 超过公司董事总数的二分之一。 在公司控股股东、实际控制人单位担任除董事以外其他职务的人 员,不得担任公司的高级管理人员。 第 8.3 条 辞职 大连冷冻机股份有限公司 公司章程 总经理和副总经理可以在任期届满以前提出辞职。有关总经理辞 职的具体程序和办法由总经理与公司之间的劳务合同规定。在向董事 会提交辞职报告后,须经离职审计完成后,该辞职报告方能生效。未 通过离职审计擅自离职而给公司造成损失的,应当负担赔偿责任。 第 8.4 条 总经理的职权 总经理行使下列职权: 1. 列席董事会会议,执行本章程和股东大会、董事会决议,组 织实施公司年度计划和投资方案,直接对董事会负责并报告工作; 2. 全面负责公司的经营管理,主持公司的日常工作; 3. 制订公司生产经营发展计划、年度财务结算方案以及拟定利 润分配方案和亏损弥补方案; 4. 组织制定公司各项基本管理制度、基本规章及机构设置和调 整的意见,报董事会批准后执行; 5. 提名副总经理和其他高级管理人员,聘任或者解聘除应由董 事会聘任或解聘以外的其他管理人员; 6. 决定与公司员工有关的事项,包括奖惩、升降级、加减薪、 聘任、解聘和终止服务; 7. 在董事会授权的范围内代表公司处理对外事宜,签订各项经 济合同、协议,并代表公司履行合同的责任,检查和督促各部门履行 合同规定的条款; 8. 签发公司日常业务、财务开支和行政文件; 9. 提议召开董事会临时会议; 10. 行使董事会授予的其他职权。 总经理在其行使职权时,不得变更股东大会和董事会的决议或超 越其授权的范围。非董事总经理在董事会上没有表决权。 大连冷冻机股份有限公司 公司章程 第 8.5 条 副总经理的职权 副总经理的主要职责如下: 1. 协助总经理的工作并在总经理因故不能履行职务时并在经 董事会授权后,代总经理履行职权; 2. 负责管理所分工的部门的工作。 第 8.6 条 行为限制 1. 总经理及其他高级管理人员不得从事与公司有竞争或损害 公司利益的活动。从事上述活动所得的受益应当归公司所有; 2. 总经理及其他高级管理人员在公司拥有的权益必须在年度 报告中予以说明; 3. 总经理和其他高级管理人员不得利用职权收受贿赂或者获 取其他非法收入,不得侵占公司的财产或以任何方式挪用公司资产以 谋取私利,并不得以公司资产为公司股东或其他个人债务提供担保。 4. 总经理除董事会过半数董事(不包括有关之董事)或股东大 会批准外,不得同公司订立合同或者进行交易; 5. 总经理应当遵守法律、行政法规和公司章程,履行诚信和勤 勉的义务,维护公司利益并不得利用在公司的地位和职权为自己谋取 私利; 6. 总经理应当根据董事会或者监事会的要求,向董事会或者监 事会报告公司重大合同的签订、执行情况,资金运用情况和盈亏情况。 总经理必须保证该报告的真实性。 7. 总经理拟定有关职工工资、福利、安全生产以及劳动保护、 劳动保险、解聘(或开除)公司职工等涉及职工切身利益的问题时, 应当事先听取工会和职代会的意见。 8. 总经理应当制订总经理工作细则,报董事会批准后实施。 大连冷冻机股份有限公司 公司章程 总经理工作细则包括下列内容: 1. 总经理会议召开的条件、程序和参加的人员; 2. 总经理、副总经理及其他高级管理人员各自具体的职责及其 分工; 3. 公司资金、资产运用,签订重大合同的权限,以及向董事会、 监事会的报告制度; 4. 董事会认为必要的其他事项。 9. 有下列情况之一的,不得担任公司的总经理或其他高级管理 人员: (1) 无民事行为能力或者限制民事行为能力;或 (2) 《公司法》第 147 条规定的情形以及中国证监会确定为市场 禁入者,并且禁入尚未解除的人员; (3) 法律、法规规定不适合担任总经理或其他高级管理人员的其 他情况。 第 8.7 条 处罚 董事、总经理等高级管理人员违反法律、法规或本章程、股东大 会决议,徇私舞弊或失职、造成公司经济损失的,根据不同情况可给 予下列处罚: 1. 限制其权利; 2. 免除其所担任的职务; 3. 负责经济赔偿; 4. 触犯法律的,依法向司法机关起诉,追究其法律责任。 大连冷冻机股份有限公司 公司章程 第九章 劳动与人事 第 9.1 条 劳动人事和工资 公司有权根据《中华人民共和国劳动法》和辽宁省以及大连市的 有关劳动人事法规、政策规定自行聘用职工并制定人事管理制度。 本公司有权依法自行决定受薪人员的工资水平和支付方式。 第 9.2 条 劳动合同 公司应与职工订立劳动合同,确立劳动关系,明确双方的权利义 务。 公司有权对不合格员工进行行政处分直至辞退或开除、辞退员 工,必须提前一个月通知被辞退者。被辞退者有权向公司有关部门及 政府部门申诉。 本公司员工有辞职自由,但必须按公司有关的人事管理制度办理 手续。未经批准擅自离职者,须向公司赔偿由此造成的经济损失。 第 9.3 条 职工福利 公司执行国家和辽宁省有关法律和法规的规定,提取职工医疗、 退休、待业等保险基金。职工享受相应保险待遇。 第 9.4 条 劳动安全与卫生 劳动保护及有关争议按照《中华人民共和国劳动法》和其他有关 法规处理。 第 9.5 条 节假日 节假日按国家法律和法规规定执行。 第 9.6 条 职工工会 大连冷冻机股份有限公司 公司章程 公司职工有权按照《中华人民共和国工会法》及其他有关法律的 规定组织工会,开展工会活动,维护职工的合法权益。公司每年应提 取在职职工之工资总额的 2%以拨作为工会的活动经费。 公司工会是职工利益的代表。其基本任务是:依法维护职工的权 利和物质利益;协助和监督公司公积金和公益金的使用;组织职工学 习科学技术知识和开展文艺体育活动。 公司董事会研究决定有关职工工资、福利、安全生产以及劳动保 护和劳动保险等涉及职工切身利益的问题时,应当征询公司工会和职 工的意见,并邀请工会的代表列席有关会议。 第十章 财务、会计与审计 第 10.1 条 财务制度 公司按照国家有关法律、法规制订公司的财务会计制度和内部审 计制度,编制季度财务报告、中期财务报告和年度财务报告。 第 10.2 条 会计年度 公司的会计年度采用公历年制,自公历年一月一日起至十二月三 十一日止为一个会计年度。 第 10.3 条 记帐方式 公司采用国际通用的权责发生制和借贷复式记帐法记帐。 第 10.4 条 记帐本位币 公司采用人民币为记帐本位币。 人民币与其他货币兑换汇率的折算,按实际发生之日中国人民银 行公布的所涉外汇兑人民币之买卖汇价的中间价计算。 公司的非人民币业务按国家有关外汇管理的法律、法规以及规定 办理。 大连冷冻机股份有限公司 公司章程 第 10.5 条 记帐文字 公司的一切财务凭证、帐簿及报表均用中文书写。 在必要时,帐簿及报表也可用英文书写,但以中文表述为准。 第 10.6 条 季度财务报告、中期财务报告和年度财务报告 公司年度财务报告应聘请在中国注册的具有从事证券业务资格 的会计师事务所审计,并以其出具的审计报告书为准。 公司的季度财务报告、中期财务报告和年度财务报告按照有关法 律、法规的规定进行编制。公司季度财务报告应于每一会计年度的第 三个月、第九个月结束后的三十天内编制,中期财务报告应于每一会 计年度的前六个月结束后的六十天内编制,年度财务报告应于每一会 计年度结束后的一百二十天内编制。 公司年度财务报告以及进行中期利润分配的中期财务报告,包括 下列内容:资产负债表、利润表、利润分配表、现金流量表、会计报 表附注。公司不进行中期利润分配的,中期财务报告包括上款除利润 分配表以外的会计报表及附注。 第 10.7 条 报表 公司的会计报表、统计报表及有关财务文件应依法向国家财政税 务和统计部门定期呈报,并按有关法律和法规的规定抄报给政府主管 部门,并应放置于公司供股东查阅。 所有财务会计记录由公司保存至少十年。 第 10.8 条 财务报告 公司按每一会计年度,将经会计师事务所审计的公司财务报告备 置于公司所在地供股东查阅和复制,并依照法律、法规和公司章程的 规定予以公告。会计年度的资产负债表和损益表,必须经注册会计师 审核签字。公司在收到股东购买财务报告的书面要求并收到股东支付 合理的印刷及邮递等费用之日起的三个工作日内将财务报告寄出。 大连冷冻机股份有限公司 公司章程 公司的财务报告包括(但不限于)资产负债表(限于年度报告的)、 现金流量表和利润分配表,必要时,上述各项财务报表可采取摘要或 简报形式。 第 10.9 条 内部审计 公司实行内部审计制度,配备专职审计人员,对公司财务收支和 经济活动进行内部审计监督。内部审计部门依公司章程规定在董事会 领导下不定期对公司的财务收支和经济活动,进行内部审计监督,向 董事会负责并报告工作。公司内部审计制度和审计人员的职责,应当 经董事会批准后实施。 公司除法定的会计账册外,不另立会计账册。公司的资产,不以 任何个人名义开立帐户存储。 第 10.10 条 公积金 公司设公积金。公积金分两大类: 1. 盈余公积金。盈余公积金分为两种: (1) 法定盈余公积金:公司应在当年税后利润中提取不低于盈余 的百分之十作为盈余公积金,但盈余公积金已达注册资本的百分之五 十时可不再提取。 (2) 任意盈余公积金按照股东大会的决议提取和使用。 2. 资本公积金。下列款项应列入资本公积金: (1) 超过股票面额发行所得的溢价额; (2) 接受赠与; (3) 按国家有关规定应列入的其他款项。 第 10.11 条 公积金用途 公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为 大连冷冻机股份有限公司 公司章程 增加公司资本。但是,资本公积金将不用于弥补公司的亏损。 法定公积金转为资本时,所留存的该项公积金将不少于转增前公 司注册资本的 25%。 第 10.12 条 会计师事务所的聘任 公司聘用取得“从事证券相关业务资格”的会计师事务所进行会 计报表审计、净资产验证及其他相关的咨询服务等业务,聘期一年, 可以续聘。 公司聘用会计师事务所由董事会提出提案,股东大会表决通过。 会计师事务所的报酬由股东大会决定。董事会不得在股东大会决定前 委任会计师事务所。 经公司聘用的会计师事务所享有下列权利: 1. 查阅公司财务报表、记录和凭证,并有权要求公司的董事、 总经理或者其他高级管理人员提供有关的资料和说明; 2. 要求公司提供为会计师事务所履行职务所必需的其子公司 的资料和说明; 3. 列席股东大会,获得股东大会的通知或者与股东大会有关的 其他信息,在股东大会上就涉及其作为公司聘用的会计师事务所的事 宜发言。 公司解聘或者续聘会计师事务所由股东大会作出决定,并在有关 的报刊上予以披露,必要时说明更换原因,并报中国证监会和中国注 册会计师协会备案。 公司解聘或者不再续聘会计师事务所时,提前 30 天事先通知会 计师事务所,会计师事务所有权向股东大会陈述意见。会计师事务所 认为公司对其解聘或者不再续聘理由不当的,可以向中国证监会和中 国注册会计师协会提出申诉。会计师事务所提出辞聘的,应当向股东 大会说明公司有无不当情事。 大连冷冻机股份有限公司 公司章程 第十一章 利润分配 第 11.1 条 依法纳税 本公司执行国家有关的税收制度,依法向政府纳税,并接受国家 财税机关的核查和监督。 第 11.2 条 税后利润分配 本公司每年的税后利润,按下列顺序和比例分配: 1. 弥补上一年度亏损; 2. 提取百分之十的法定公积金; 3. 提取任意公积金; 4. 支付股利。 税后利润的具体分配比例由董事会根据公司该年度的经营状况 拟定,报股东大会决议通过。 公司法定公积金累计额为公司注册资本的 50%以上的,可以不再 提取。 公司弥补亏损和提取公积金后所余税后利润,按照股东持有的股 份比例分配,但本章程规定不按持股比例分配的除外。 股东大会违反前款规定,在公司弥补亏损和提取法定公积金之前 向股东分配利润的,股东必须将违反规定分配的利润退还公司。 公司持有的本公司股份不参与分配利润。 公司股东大会对利润分配方案作出决议后,公司董事会须在股东 大会召开后两个月内完成股利(或股份)的派发事项。 公司股东回报规划: 公司重视股东合理投资回报,并兼顾公司未来的可持续发展。 公司实施积极的利润分配政策,并保持连续性和稳定性。 公司原则上每年进行一次分红,并优先采取现金分红。 公司现金分红,努力超过公司章程规定的最低比例。 大连冷冻机股份有限公司 公司章程 公司利润分配的决策程序和机制: 公司在拟定每年的利润分配预案时,应综合考虑所处行业特点、 发展阶段、自身经营模式、盈利水平、现金流量状况以及是否有重大 资金支出安排等因素。上述利润分配预案,需经全体董事过半数同意 且独立董事对此发表明确意见后方能提交股东大会审议。 公司董事会在审议上述利润分配预案时,应认真研究和论证公司 现金分红的时机、条件和最低比例等事宜。 公司在召开股东大会审议上述利润分配预案时,应通过多种渠道 主动与股东特别是中小股东进行沟通和交流,充分听取中小股东的意 见和诉求,并及时答复中小股东关心的问题。 公司调整利润分配政策的条件、决策程序和机制: 如遇到不可抗力,或者公司外部经营环境或公司自身经营状况发 生较大变化时,公司可对利润分配政策进行调整。 公司董事会在研究论证调整利润分配政策的过程中,应当充分考 虑独立董事和中小股东的意见;调整后的利润分配政策不得违反中国 证监会和证券交易所的有关规定。 调整后的利润分配政策,经全体董事过半数同意且独立董事发表 明确意见后方能提交股东大会审议。股东大会审议调整后的利润分配 政策时,投票方式应符合中国证监会及证券交易所的有关规定,并经 出席股东(包括股东代理人)所持表决权的 2/3 以上通过。 第 11.3 条 股利 公司原则上每年分派股利一次,按股分配,在公司年终决算后进 行,但股东大会有特别决议除外。普通股不支付固定股息。股利分配 可单独或同时采取下列形式: 1. 现金。以人民币计算和宣布。人民币普通股的现金股利以人 民币支付,境内上市外资股的现金股利以港币支付,折算汇率按股东 大会决议日后的第一个工作日中国人民银行公布的人民币兑港币的 大连冷冻机股份有限公司 公司章程 中间价计算。 2. 股票。股东可按所持股份的种类比例依法分得相应种类的红 利股票。 公司分派股利时,优先采取现金分红方式。公司可以在满足现金 分红比例要求的前提下,采取发放股票股利的方式分配利润。采取股 票股利进行利润分配时,应当具有公司成长性、每股净资产的摊薄等 真实合理因素。 公司进行利润分配时,现金分红在本次利润分配中所占比例最低 应达到 20%。 公司每年现金分红不低于公司当年净利润的 10%,或最近三年累 计现金分红不低于最近三年实现的年均净利润的 30%。 第 11.4 条 股利所得税 公司在分配股息、红利时,按照国家法律规定代扣并代缴各股东 所获股利收入应缴的税金。境内上市外资股的股利和其他收益依法纳 税后,可以汇出中国境外。 第 11.5 条 分派股利公告 本公司分派股利,采用在本章程第十四章所指定的报刊公告的方 法通知股东。 第十二章 合并与分立 第 12.1 条 决议和批准 本公司的合并与分立,应按本章程规定,经董事会通过合并或分 立方案,并由股东大会作出决议,报请有关政府审批机关批准。 公司合并或者分立,按照下列程序办理: 1..董事会拟订合并或者分立方案; 大连冷冻机股份有限公司 公司章程 2..股东大会依照章程的规定作出决议; 3..各方当事人签订合并或者分立合同; 4..依法办理有关审批手续; 5..处理债权、债务等各项合并或者分立事宜; 6..办理解散登记或者变更登记。 公司合并或者分立时,公司董事会应当采取必要的措施保护反对 公司合并或者分立的股东的合法权益。 第 12.2 条 公司合并 公司合并可以采取吸收合并和新设合并两种形式。 公司合并应当由合并各方签订合并协议,并编制资产负债表及财 产清单。公司应当自作出合并决议之日起十日内通知债权人,并于三 十日内在在本章程第十四章所规定的报纸上公告。债权人自接到通知 书之日起三十日内,未接到通知书的自公告之日起四十五日内,可以 要求公司清偿债务或者提供相应的担保。不清偿债务或不提供相应担 保的,公司不得合并。 公司合并时,合并各方的债权、债务,应当由合并后存续的公司 或者新设立的公司承继。 第 12.3 条 公司分立 公司分立,应对其财产作相应的分割。 公司分立时,应当签订分立协议,并编制资产负债表及财产清单。 公司应当自作出分立决议之日起十日内通知债权人,并于三十日内在 在本章程第十四章所规定的报纸上公告。债权人自接到通知书之日起 三十日内,未接到通知书的自公告之日起四十五日内,可以要求公司 清偿债务或者提供相应的担保。不清偿债务或不提供相应担保的,公 司不得分立。 大连冷冻机股份有限公司 公司章程 公司分立前的债务按所达成的协议由分立后的公司承担。 第 12.4 条 变更登记 合并与分立方应于有关协议签订后向国家有关审批机关提出申 请报告,经批准后三十日内,向公司登记机关分别申请变更登记、设 立登记或注销登记,向主管税务机关申报处理变更登记、重新登记或 注销登记,并依本章程第十四章的规定进行公告。 第十三章 解散与清算 第 13.1 条 公司解散条件 公司有下列情形之一时,应予解散并进行清算: 1. 不能清偿到期债务而被依法宣告破产; 2. 严重违反国家法律和法规,危害社会公共利益被依法勒令停 业; 3. 股东大会决议解散; 4. 因公司合并或分立需要解散; 5. 公司经营管理发生严重困难,继续存续会使股东利益受到重 大损失,通过其他途径不能解决的,持有公司全部股东表决权 10%以 上的股东请求人民法院解散公司。 第 13.2 条 解散后的清算 公司解散后的清算,应当根据解散的原因依法按照下列程序进 行: 1. 公司因不能清偿到期债务、被依法宣告破产的,由人民法院 依照有关法律的规定,组织股东、有关机关和专业人员成立清算组对 公司进行清算。 2. 公司因违反国家法律和法规、危害社会公共利益被依法勒令 大连冷冻机股份有限公司 公司章程 停业而终止的,由有关政府主管机关组织股东、有关机关及有关专业 人员成立清算组对公司进行清算。 3. 公司因股东大会决议解散的,应当自有关决议通过之日起十 五天内成立清算组。清算组的成员由股东大会以普通决议的方式选 定。 4. 公司因合并或分立需解散的,清算工作由合并或者分立的各 方当事人依照合并或分立时签订的有关协议办理。 第 13.3 条 停止新的经营 清算组成立后,董事会、总经理的职责立即停止。清算期间,公 司不得开展新的经营活动。 第 13.4 条 清算公告和申报 公司清算组成立后,应在十日内通知债权人,并按照本章程第十 四章的规定于六十日内公告。债权人应自接到通知书之日起三十日 内,未接到通知书的自公告之日起四十五日内向清算组申报其债权。 债权人应当在上述规定的期限内向清算组申报其债权。债权人申 报债权时,应当说明债权的有关事项,并提供证明材料。清算组应当 对债权进行登记。 债权人未在上述规定的期限内申报债权的,不列入清算之列,只 能就未分配的剩余财产请求清偿。但债权人认为公司明知而未通知并 能提供证明材料者,不在此列。 第 13.5 条 清算组的职权 清算组在清算期间行使下列职权: 1. 清理公司财产、编制资产负债表和财产清单; 2. 通知或者公告债权人; 3. 处理与清算有关的公司未了结的业务; 大连冷冻机股份有限公司 公司章程 4. 清缴所欠税款; 5. 清理公司债权、债务,遣散公司从业人员; 6. 处理公司清偿债务后的剩余财产; 7. 代表公司进行民事诉讼活动;及 8. 法律、法规以及本章程规定的其他事项。 第 13.6 条 清算组的职权限制 清算组人员应当忠于职守,依法履行清算义务,不得利用职权收 受贿赂或者其他非法收入,不得侵占公司财产。 清算组人员因故意或者重大过失给公司或者债权人造成损失的, 应当承担赔偿责任。 清算组在清理公司财产、编制资产负债表和财产清单后,应当制 定清算方案,并报股东大会或者有关主管机关确认。 清算结束后,清算组应制作清算报告,并编制清算期内收支报表 和各种财务帐册,经会计师事务所验证,报股东大会或者有关主管机 关确认。 清算组在公司债权申报期间不得对债权人进行清偿,但公司不能 因此免除对延迟清偿所负的损害赔偿责任。 经法院许可,清算组可不拘上述规定,对有担保债务及无损于其 他债权人的债务进行清偿。 第 13.7 条 宣告破产 清算组在清理公司财产、编制资产负债表和财产清单后,认为公 司财产不足以清偿债务时,应立即停止清算,并按程序向人民法院申 请宣告破产。 公司经人民法院裁决宣告破产后,清算组应将清算事务移交给人 民法院。 大连冷冻机股份有限公司 公司章程 第 13.8 条 清偿顺序 在清算方案报股东大会或有关政府主管机关确认后,公司财产应 优先用以支付清算费用,然后按下列顺序清偿: 1. 支付职工工资和劳动保险费用; 2. 交纳公司所欠税款; 3. 清偿银行贷款、公司债券及其他债务。 按上述规定清理完毕后,剩余财产按股东各自的持股比例分配。 违反上述清算顺序所作的财务分配无效。债权人有权要求清算组 追还,并可请求赔偿所受的损失。 第 13.8 条 注销登记 清算组应当自股东大会或者有关主管机关对清算报告确认之日 起三十日内,向公司登记机关申请注销登记和向税务机关办理注销登 记,结清应缴税款、缴税发票和税务机关发给的有关证件,公告公司 终止。 第十四章 信息披露 第 14.1 条 法律依据 公司的信息披露应当按照《公司法》、《股票发行与交易管理暂行 条例》、《公开发行股票公司信息披露实施细则(试行)》、《国务院关 于股份有限公司境内上市外资股的规定》和《股份有限公司境内上市 外资股规定的实施细则》等法律和法规以及公司股票上市的证券交易 所的有关信息披露的规定执行。 第 14.2 条 监管机构的同意 公司在通过本章程的公告方式披露重大事件时,应当在公开该重 大事件之前向公司股票上市的证券交易所报告其披露的方式和内容。 大连冷冻机股份有限公司 公司章程 经上述机构同意后,方可进行公告。 第 14.3 条 通知 公司的通知以下列形式发出:以专人送出;以邮件方式送出;以 公告方式进行;公司章程规定的其他形式。 公司发出的通知,以公告方式进行的,一经公告,视为所有相关 人员收到通知。 公司召开股东大会的会议通知,按照本章程第 5.6 条进行。 公司召开董事会的会议通知,按照本章程第 14.3 条进行。 公司召开监事会的会议通知,按照本章程第 7.6 条进行。 公司通知以专人送出的,由被送达人在送达回执上签名(或盖 章),被送达人签收日期为送达日期;公司通知以邮件送出的,自交 付邮局之日起第四个工作日为送达日期;公司通知以公告方式送出 的,第一次公告刊登日为送达日期。 因意外遗漏未向某有权得到通知的人送出会议通知或者该等人 没有收到会议通知,会议及会议作出的决议并不因此无效。 第 14.4 条 公告方式 公司按本章程及有关规定而就重大事项(包括向股东公告季度报 告、中期报告及年度报告)发出的公告应在中国以中文在至少一份由 中国证券监督管理委员会指定的全国性报刊上刊登并且同时应在境 外(含港澳台地区)以中文和英文在至少一份中文报和英文报刊上刊 登。 如中文和英文在理解或解释方面存在任何不一致的情况,则以中 文为准。 公司指定《中国证券报》、《证券时报》为刊登公司公告和其他需 要披露信息的报刊。 大连冷冻机股份有限公司 公司章程 公司指定信息披露网站为:http://www.cninfo.com.cn。 第 14.5 条 连带责任 董事会应当保证公开披露的信息和文件的内容没有虚假、严重误 导性陈述或重大遗漏。董事会的成员应对此负连带责任。 第 14.6 条 投资者关系管理 公司积极建立健全投资者关系管理工作制度,通过多种形式主动 加强与股东特别是社会公众股股东的沟通和交流。公司董事会秘书具 体负责公司投资者关系管理工作。 第十五章 章程的修改 第 15.1 条 修改章程 有下列情形之一的,公司应当修改章程: 1. 《公司法》或有关法律、行政法规修改后,章程规定的事项 与修改后的法律、行政法规的规定相抵触; 2. 公司的情况发生变化,与章程记载的事项不一致; 3. 股东大会决定修改章程。 第 15.2 条 修改程序 修改公司章程,应遵循下列程序: 1. 由公司董事会会议通过修改章程的决议,提出修改方案; 2. 把上述修改方案通知股东,召集股东大会进行表决; 3. 股东大会对修改条款进行表决,获得本章程第 5.15 条规定 比例的股东表决同意的,即可通过。股东大会决议通过的章程修改事 项应经主管机关审批的,须报原审批的主管机关批准; 大连冷冻机股份有限公司 公司章程 4. 经修订的章程按公司登记机关的要求办理变更登记,并予以 公告。 第 15.3 条 查阅与备案 公司章程经修改后,应备置公司的法定住所供股东查阅,并报公 司所在地中国证监会派出机构和公司股票上市的证券交易所备案。 第十六章 附则 第 16.1 条 章程组成部分 本章程附件包括股东大会议事规则、董事会议事规则和监事会议 事规则。公司股东大会通过的有关本章程的补充决议、章程及细则, 均为本章程的组成部分。章程细则不得与本章程的规定相抵触。 第 16.2 条 未尽事宜处理 本章程的未尽事宜,根据《公司法》的有关规定,由下一次股东 大会修订通过。 第 16.3 条 其他规章制度 公司所定的规章制度,凡与本章程有抵触者,一律视为无效。 第 16.4 条 章程解释权 公司章程由公司董事会负责解释,修改权属于股东大会。 若有任何争议,则依本章程规定的程序办理。 第 16.5 条 文字 本章程以中文书写,其他任何语种或不同版本的章程与本章程有 歧义时,以在大连市工商行政管理局最近一次核准登记后的中文版章 程为准。 大连冷冻机股份有限公司 公司章程 第 16.6 条 数字效力 本章程述及的“以上”、“以前”、“至少”和“内”均包括本数。 第 16.7 条 生效 本章程经公司股东大会表决通过后生效。 第 16.8 条 仲裁与适用法律 关于境内上市外资股股东与公司之间、境内上市外资股股东与公 司董事、监事、总经理或者其它高级管理人员之间、境内上市外资股 股东与人民币普通股股东之间,基于公司章程及有关法律、法规规定 的权利义务发生与公司事务有关的争议或权利主张,应在中国国际经 济贸易仲裁委员会并按该机构的仲裁规则进行仲裁解决。 与本章程有关的一切争议,适用中华人民共和国法律。
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大连冷冻机股份有限公司公司章程(2015年5月)(查看PDF公告PDF版下载)
公告日期:2015-05-21
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2014 年度股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………15 第六章 董事会………………………………………27 第七章 监事会………………………………………41 第八章 经营管理机构………………………………44 第九章 劳动与人事…………………………………48 第十章 财务、会计与审计…………………………49 第十一章 利润分配……………………………………53 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………57 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………62 第十六章 附则…………………………………………63 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所一为:中国大连市沙河口区西南路 888 号 邮政编码:116033 公司的住所二为:大连经济技术开发区辽河东路 106 号 邮政编码:116630 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 大连冷冻机股份有限公司 公司章程 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为控股股东及本公司持股 50%以下的其他关联方、任何 非法人单位或个人提供担保。公司对外担保总额不得超过最近一个会 计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 大连冷冻机股份有限公司 公司章程 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 大连冷冻机股份有限公司 公司章程 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币三亿六千零一十六万 四千九百七十五(360,164,975)元。 大连冷冻机股份有限公司 公司章程 第 3.2 条 注册资本的划分 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为三亿六千零一十六万四千九百七十五 (360,164,975)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为三亿六千零一十六万四千九百 七十五(360,164,975)股。 公司的股份构成为: 股份类别 股份数额 人民币普通股 二亿四千五百一十六万四千九百七十五(245,164,975)股 境内上市外资股 一亿一千五百万(115,000,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 大连冷冻机股份有限公司 公司章程 并符合《公司法》。 第 3.5 条 股票持有限制 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 大连冷冻机股份有限公司 公司章程 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 大连冷冻机股份有限公司 公司章程 公司发起人所持股份自公司成立之日起一年内不得转让。 第 3.9 条 股票的赠与、抵押和继承 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 大连冷冻机股份有限公司 公司章程 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份奖励给本公司职工; 大连冷冻机股份有限公司 公司章程 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 公司收购其股份的。 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 向全体股东按照相同比例发出购回要约; 2. 通过公开交易方式购回; 3. 法律、行政法规规定和国务院证券主管部门批准的其它情 形。 第 3.16 条 回购股份处理 公司依照第 3.15 条规定收购本公司股份后,属于第(一)项情 形的,应当自收购之日起十日内注销;属于第(二)项、第(四)项 情形的,应当在六个月内转让或者注销。 公司依照第 3.15 条第(三)项规定收购的本公司股份,不得超 过本公司已发行股份总额的百分之五;用于收购的资金应当从公司的 税后利润中支出;所收购的股份应当在一年内转让给职工。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 大连冷冻机股份有限公司 公司章程 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 各种方式以减少或免除认购人购买公司股份的出资义务。 但公司依法将公积金或利润转为资本而向股东按原持股比例派 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 按其所持股份领取应得的股息、红利和其它形式的利益分 配; 2. 出席或委托代理人出席股东大会并依照其所持有的股份份 额行使表决权; 3. 依法律、行政法规及公司章程的规定转让、赠与或质押所持 有的股份; 4. 对公司的经营行为进行监督,提出建议和质询; 大连冷冻机股份有限公司 公司章程 5. 在公司终止或清算时,有权按其所持有的股份份额参加公司 剩余财产的分配; 6. 有权向有管辖权的法院就股东大会或董事会所作出的违反 中国现行法律、法规或侵犯股东合法权益的决议提起诉讼,要求停止 该等违法行为或侵害行为; 7. 有关法律、法规和本章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 大连冷冻机股份有限公司 公司章程 3. 服从和执行股东大会依法通过的决议; 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 第 4.5 条 控股股东之含义 大连冷冻机股份有限公司 公司章程 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 大连冷冻机股份有限公司 公司章程 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 会议形式召开。当按照有关规定要求需要提供网络方式时,公司将及 时提供。股东通过上述方式参加股东大会的,视为出席。股东大会现 场结束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 大连冷冻机股份有限公司 公司章程 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 第 5.5 条 股东大会的职权 大连冷冻机股份有限公司 公司章程 股东大会行使下列职权: 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 大连冷冻机股份有限公司 公司章程 18. 审议股权激励计划; 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 大连冷冻机股份有限公司 公司章程 更股东大会召开时间的,不应因此而变更股权登记日。 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 大连冷冻机股份有限公司 公司章程 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 大连冷冻机股份有限公司 公司章程 自己的意思表决。 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 大连冷冻机股份有限公司 公司章程 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 大连冷冻机股份有限公司 公司章程 5. 除法律、行政法规规定或者公司章程规定应当以特别决议通 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 5. 回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 大连冷冻机股份有限公司 公司章程 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 董事会应当以公司和股东的最大利益为行为准则,审查股东提案 是否符合前款条件。凡符合条件且在股东大会会议通知公告十天以前 送达董事会的,应当列入股东大会议程并在股东大会通知中载明该审 议事项。符合条件而未在股东大会会议通知公告十天以前但在股东大 会年会召开十天以前送达董事会的,应作为临时增加提案列入股东大 大连冷冻机股份有限公司 公司章程 会年会议程。符合条件但未按上述期限送达董事会的,列入下一届股 东大会。 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 大连冷冻机股份有限公司 公司章程 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 大连冷冻机股份有限公司 公司章程 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 大连冷冻机股份有限公司 公司章程 保; 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 大连冷冻机股份有限公司 公司章程 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事提名的人选亦可作为董事候选人。独立董事候选人可由董 事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东提 名。 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。董事会会议必须有半数以上的董事出席方能召开。董事 大连冷冻机股份有限公司 公司章程 长和董事因故不能参加会议可书面委托其他董事作为代理人参加会 议并表决。委托书应载明代理人的姓名,代理事项、权限和有效期限, 并由委托人签名或盖章。代为出席会议的董事应当在授权范围内行使 董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用传真 方式进行并作出决议,并由参会董事签字。 大连冷冻机股份有限公司 公司章程 第 6.8 条 董事会的职权 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 7. 拟订公司重大收购、回购本公司股票或者分立、合并、解散 的方案; 8. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 9. 监督、协调和指导公司及附属公司、企业的经营管理工作; 10. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 11. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 12. 聘任或者解聘董事会秘书; 13. 编制、核准和发布公司信息披露事项; 大连冷冻机股份有限公司 公司章程 14. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 15. 听取公司经理的工作汇报并检查经理的工作; 16. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 17. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 序;重大投资项目应当组织有关专家、专业人员进行评审。 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 大连冷冻机股份有限公司 公司章程 4. 行使法定代表人的职权; 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 大连冷冻机股份有限公司 公司章程 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 大连冷冻机股份有限公司 公司章程 第 6.14 条 董事会议事规则 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 大连冷冻机股份有限公司 公司章程 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 大连冷冻机股份有限公司 公司章程 第 6.17 条 独立董事 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 2. 具有独立性; 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 大连冷冻机股份有限公司 公司章程 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 6. 公司章程规定的其他人员; 7. 中国证监会认定的其他人员。 独立董事的提名、选举和更换程序: 1. 董事会、监事会、单独或者合并持有公司已发行股份 1%以 上的股东可以提出独立董事候选人,并经股东大会选举决定。 2. 独立董事的提名人在提名前应当征得被提名人的同意。提名 人应当充分了解被提名人职业、学历、职称、详细的工作经历、全部 兼职等情况,并对其担任独立董事的资格和独立性发表意见,被提名 人应当就其本人与公司之间不存在任何影响其独立客观判断的关系 发表公开声明。 3. 在选举独立董事的股东大会召开前,公司应将所有被提名人 的有关材料同时报送中国证监会、公司所在地中国证监会派出机构和 公司股票挂牌交易的证券交易所。董事会对被提名人的有关情况有异 议的,应同时报送董事会的书面意见。在召开股东大会选举独立董事 时,董事会应对独立董事候选人是否被中国证监会提出异议的情况进 行说明。 4. 独立董事每届任期与公司其他董事任期相同,任期届满,连 选可以连任,但是连任时间不得超过六年。 5. 独立董事连续 3 次未亲自出席董事会会议的,由董事会提请 股东大会予以撤换。 除出现上述情况及《公司法》中规定的不得担任董事的情形外, 独立董事任期届满前不得无故被免职。提前免职的,公司应将其作为 特别披露事项予以披露,被免职的独立董事认为公司的免职理由不当 的,可以作出公开的声明。 6. 独立董事在任期届满前可以提出辞职。独立董事辞职应向董 事会提交书面辞职报告,对任何与其辞职有关或其认为有必要引起公 司股东和债权人注意的情况进行说明。如因独立董事辞职导致公司董 大连冷冻机股份有限公司 公司章程 事会中独立董事所占的比例低于规定的最低要求时,该独立董事的辞 职报告应当在下任独立董事填补其缺额后生效。 独立董事除具有公司法和其他相关法律、法规赋予董事的职权 外,还具有以下特别职权: 1. 重大关联交易(指公司拟与关联人达成的总额高于 300 万元 或高于公司最近经审计净资产值的 5%的关联交易)应由独立董事认 可后,提交董事会讨论; 独立董事作出判断前,可以聘请中介机构出具独立财务顾问报 告,作为其判断的依据。 2. 向董事会提议聘用或解聘会计师事务所; 3. 向董事会提请召开临时股东大会; 4. 提议召开董事会; 5. 独立聘请外部审计机构和咨询机构; 6. 可以在股东大会召开前公开向股东征集投票权。 独立董事行使上述特别职权应当取得全体独立董事的二分之一 以上同意。如上述提议未被采纳或上述职权不能正常行使,公司应将 有关情况予以披露。 独立董事应对以下事项向董事会或股东大会发表独立意见: 1. 提名、任免董事; 2. 聘任或解聘高级管理人员; 3. 公司董事、高级管理人员的薪酬; 4. 公司股东、实际控制人及其关联企业对公司现有或新发生的 总额高于 300 万元或高于公司最近经审计净资产值的 5%的借款或其 他资金往来,以及公司是否采取有效措施回收欠款; 大连冷冻机股份有限公司 公司章程 5. 独立董事认为可能损害中小股东权益的事项; 6. 公司章程规定的其他事项。 为了保证独立董事有效行使职权,公司提供如下必要的条件: 1. 公司保证独立董事享有与其他董事同等的知情权。凡须经董 事会决策的事项,公司必须按法定的时间提前通知独立董事并同时提 供足够的资料,独立董事认为资料不充分的,可以要求补充。当 2 名 或 2 名以上独立董事认为资料不充分或论证不明确时,可联名书面向 董事会提出延期召开董事会会议或延期审议该事项,董事会应予以采 纳。 2. 公司提供独立董事履行职责所必需的工作条件。董事会秘书 应积极为独立董事履行职责提供协助。独立董事发表的独立意见、提 案及书面说明应当公告的,董事会秘书应及时办理公告事宜。 3. 独立董事行使职权时,公司有关人员应当积极配合,不得拒 绝、阻碍或隐瞒,不得干预其独立行使职权。 4. 独立董事聘请中介机构的费用及其他行使职权时所需的费用 由公司承担。 5. 公司给予独立董事适当的津贴。津贴的标准由董事会制订预 案,股东大会审议通过,并在公司年报中进行披露。 6. 公司可以建立必要的独立董事责任保险制度,以降低独立董 事正常履行职责可能引致的风险。 第七章 监事会 第 7.1 条 监事会 公司设监事会。监事会是公司业务活动的监督机构,对董事会、 董事以及总经理等高级管理人员行使监督职能。 监事会向股东大会负责并报告工作。 大连冷冻机股份有限公司 公司章程 第 7.2 条 监事会组成 公司监事会由三名监事组成,其中三分之二为股东代表,由股东 大会选举产生和罢免,其余三分之一为公司职工代表,由公司职工选 举产生和罢免。 监事会主席由全部监事的三分之二以上选举产生和罢免。监事不 得兼任董事、总经理、财务负责人或其他高级管理职务。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的,不得担任公司的监事。 第 7.3 条 监事任期与辞职 监事每届任期三年,可连选连任。 监事可以在任期届满以前提出辞职。本章程第 6.11 条有关董事 辞职的规定适用于监事。 第 7.4 条 监事会职权 监事会行使下列职权: 1. 应当对董事会编制的公司定期报告进行审核并提出书面审 核意见; 2. 检查公司财务; 3. 对董事、高级管理人员执行公司职务的行为进行监督,对违 反法律、行政法规、本章程或者股东大会决议的董事、高级管理人员 提出罢免的建议; 4. 当董事、高级管理人员的行为损害公司的利益时,要求董事、 高级管理人员予以纠正; 5. 提议召开临时股东大会,在董事会不履行《公司法》规定的 召集和主持股东大会职责时召集和主持股东大会; 大连冷冻机股份有限公司 公司章程 6. 向股东大会提出提案; 7. 依照《公司法》第一百五十二条的规定,对董事、高级管理 人员提起诉讼; 8. 发现公司经营情况异常,可以进行调查; 9. 法律、法规和本章程规定或股东大会授予的其他职权。 监事会行使职权时,必要时可以聘请律师事务所、会计师事务所 等专业性机构给予帮助,由此所产生的费用由公司负担。 第 7.5 条 报告违规行为 监事会对董事会、总经理和其他高级管理人员违反法规和本章程 的行为,应及时制止。在制止无效时,应向股东大会及政府有关机关 报告。 第 7.6 条 监事会会议 监事会每年至少举行三次会议。监事会每 6 个月至少召开一次会 议。 监事会会议由监事会主席召集。会议通知应当在会议召开十日前 书面送达全体监事。通知的内容应包括会议的日期、地点和会议期限、 事由及议题和发出通知的日期。 监事会会议由监事会主席主持。监事会主席不能履行职务或者不 履行职务的,由半数以上监事共同推举一名监事召集和主持监事会会 议。 第 7.7 条 监事会特别会议 监事会主席可根据实际需要或三分之一以上的监事的要求,召开 监事会特别会议。监事要求召开监事会特别会议时,应表明召开会议 的原因和目的。 大连冷冻机股份有限公司 公司章程 第 7.8 条 监事会决议 监事会会议实行一人一票表决制度。监事会决议应由半数以上监 事表决同意,方能通过。监事在监事会会议上均有发言权。任何一位 监事所提的议案,监事会均应予以审议。 第 7.9 条 监事会会议记录 监事会会议应有记录。出席会议的监事和记录人应当在会议记录 上签名。监事有权要求在会议记录上对其发言作出某种说明性的记 载。监事会会议记录作为公司档案由董事会秘书保存,且十年内不得 销毁。本章程第 6.15 条有关董事会会议记录的规定,适用于监事会 会议记录。 第 7.10 条 免职和赔偿 监事应当遵守法律、法规和章程的规定,履行诚信和勤勉义务。 前述第 6.10 条和 6.15 条关于董事的免职和赔偿的规定也适用于监事 的免职和赔偿。 监事连续两次不能亲自出席监事会会议的,视为不能履行职责, 股东大会或职工代表大会应当予以撤换。 第 7.11 条 监事会议事规则 监事会制定监事会议事规则,明确监事会的议事方式和表决程 序,以确保监事会的工作效率和科学决策。监事会议事规则作为章程 的附件,由监事会拟定,股东大会批准。 第八章 经营管理机构 第 8.1 条 总经理和副总经理 公司实行董事会领导下的总经理负责制,设总经理一名和副总经 理若干名。总经理在董事会的领导下负责公司的日常经营管理,副总 经理协助总经理工作。总经理因故不能行使职责时,董事会应授权一 名副总经理代行总经理职责。公司设若干职能部门。职能部门在总经 理领导下进行工作。 大连冷冻机股份有限公司 公司章程 总经理任期三年,自董事会之聘任决议通过之日起计算。总经理 可以连聘连任。 第 8.2 条 选任 总经理由董事长提名、董事会聘任。副总经理和其他高级管理人 员由总经理提名、董事会聘任。总经理和副总经理可由董事会成员兼 任。但兼任总经理、副总经理或者其他高级管理人员职务的董事不得 超过公司董事总数的二分之一。 在公司控股股东、实际控制人单位担任除董事以外其他职务的人 员,不得担任公司的高级管理人员。 第 8.3 条 辞职 总经理和副总经理可以在任期届满以前提出辞职。有关总经理辞 职的具体程序和办法由总经理与公司之间的劳务合同规定。在向董事 会提交辞职报告后,须经离职审计完成后,该辞职报告方能生效。未 通过离职审计擅自离职而给公司造成损失的,应当负担赔偿责任。 第 8.4 条 总经理的职权 总经理行使下列职权: 1. 列席董事会会议,执行本章程和股东大会、董事会决议,组 织实施公司年度计划和投资方案,直接对董事会负责并报告工作; 2. 全面负责公司的经营管理,主持公司的日常工作; 3. 制订公司生产经营发展计划、年度财务结算方案以及拟定利 润分配方案和亏损弥补方案; 4. 组织制定公司各项基本管理制度、基本规章及机构设置和调 整的意见,报董事会批准后执行; 5. 提名副总经理和其他高级管理人员,聘任或者解聘除应由董 事会聘任或解聘以外的其他管理人员; 大连冷冻机股份有限公司 公司章程 6. 决定与公司员工有关的事项,包括奖惩、升降级、加减薪、 聘任、解聘和终止服务; 7. 在董事会授权的范围内代表公司处理对外事宜,签订各项经 济合同、协议,并代表公司履行合同的责任,检查和督促各部门履行 合同规定的条款; 8. 签发公司日常业务、财务开支和行政文件; 9. 提议召开董事会临时会议; 10. 行使董事会授予的其他职权。 总经理在其行使职权时,不得变更股东大会和董事会的决议或超 越其授权的范围。非董事总经理在董事会上没有表决权。 第 8.5 条 副总经理的职权 副总经理的主要职责如下: 1. 协助总经理的工作并在总经理因故不能履行职务时并在经 董事会授权后,代总经理履行职权; 2. 负责管理所分工的部门的工作。 第 8.6 条 行为限制 1. 总经理及其他高级管理人员不得从事与公司有竞争或损害 公司利益的活动。从事上述活动所得的受益应当归公司所有; 2. 总经理及其他高级管理人员在公司拥有的权益必须在年度 报告中予以说明; 3. 总经理和其他高级管理人员不得利用职权收受贿赂或者获 取其他非法收入,不得侵占公司的财产或以任何方式挪用公司资产以 谋取私利,并不得以公司资产为公司股东或其他个人债务提供担保。 大连冷冻机股份有限公司 公司章程 4. 总经理除董事会过半数董事(不包括有关之董事)或股东大 会批准外,不得同公司订立合同或者进行交易; 5. 总经理应当遵守法律、行政法规和公司章程,履行诚信和勤 勉的义务,维护公司利益并不得利用在公司的地位和职权为自己谋取 私利; 6. 总经理应当根据董事会或者监事会的要求,向董事会或者监 事会报告公司重大合同的签订、执行情况,资金运用情况和盈亏情况。 总经理必须保证该报告的真实性。 7. 总经理拟定有关职工工资、福利、安全生产以及劳动保护、 劳动保险、解聘(或开除)公司职工等涉及职工切身利益的问题时, 应当事先听取工会和职代会的意见。 8. 总经理应当制订总经理工作细则,报董事会批准后实施。 总经理工作细则包括下列内容: 1. 总经理会议召开的条件、程序和参加的人员; 2. 总经理、副总经理及其他高级管理人员各自具体的职责及其 分工; 3. 公司资金、资产运用,签订重大合同的权限,以及向董事会、 监事会的报告制度; 4. 董事会认为必要的其他事项。 9. 有下列情况之一的,不得担任公司的总经理或其他高级管理 人员: (1) 无民事行为能力或者限制民事行为能力;或 (2) 《公司法》第 147 条规定的情形以及中国证监会确定为市场 禁入者,并且禁入尚未解除的人员; (3) 法律、法规规定不适合担任总经理或其他高级管理人员的其 大连冷冻机股份有限公司 公司章程 他情况。 第 8.7 条 处罚 董事、总经理等高级管理人员违反法律、法规或本章程、股东大 会决议,徇私舞弊或失职、造成公司经济损失的,根据不同情况可给 予下列处罚: 1. 限制其权利; 2. 免除其所担任的职务; 3. 负责经济赔偿; 4. 触犯法律的,依法向司法机关起诉,追究其法律责任。 第九章 劳动与人事 第 9.1 条 劳动人事和工资 公司有权根据《中华人民共和国劳动法》和辽宁省以及大连市的 有关劳动人事法规、政策规定自行聘用职工并制定人事管理制度。 本公司有权依法自行决定受薪人员的工资水平和支付方式。 第 9.2 条 劳动合同 公司应与职工订立劳动合同,确立劳动关系,明确双方的权利义 务。 公司有权对不合格员工进行行政处分直至辞退或开除、辞退员 工,必须提前一个月通知被辞退者。被辞退者有权向公司有关部门及 政府部门申诉。 本公司员工有辞职自由,但必须按公司有关的人事管理制度办理 手续。未经批准擅自离职者,须向公司赔偿由此造成的经济损失。 第 9.3 条 职工福利 大连冷冻机股份有限公司 公司章程 公司执行国家和辽宁省有关法律和法规的规定,提取职工医疗、 退休、待业等保险基金。职工享受相应保险待遇。 第 9.4 条 劳动安全与卫生 劳动保护及有关争议按照《中华人民共和国劳动法》和其他有关 法规处理。 第 9.5 条 节假日 节假日按国家法律和法规规定执行。 第 9.6 条 职工工会 公司职工有权按照《中华人民共和国工会法》及其他有关法律的 规定组织工会,开展工会活动,维护职工的合法权益。公司每年应提 取在职职工之工资总额的 2%以拨作为工会的活动经费。 公司工会是职工利益的代表。其基本任务是:依法维护职工的权 利和物质利益;协助和监督公司公积金和公益金的使用;组织职工学 习科学技术知识和开展文艺体育活动。 公司董事会研究决定有关职工工资、福利、安全生产以及劳动保 护和劳动保险等涉及职工切身利益的问题时,应当征询公司工会和职 工的意见,并邀请工会的代表列席有关会议。 第十章 财务、会计与审计 第 10.1 条 财务制度 公司按照国家有关法律、法规制订公司的财务会计制度和内部审 计制度,编制季度财务报告、中期财务报告和年度财务报告。 第 10.2 条 会计年度 公司的会计年度采用公历年制,自公历年一月一日起至十二月三 十一日止为一个会计年度。 大连冷冻机股份有限公司 公司章程 第 10.3 条 记帐方式 公司采用国际通用的权责发生制和借贷复式记帐法记帐。 第 10.4 条 记帐本位币 公司采用人民币为记帐本位币。 人民币与其他货币兑换汇率的折算,按实际发生之日中国人民银 行公布的所涉外汇兑人民币之买卖汇价的中间价计算。 公司的非人民币业务按国家有关外汇管理的法律、法规以及规定 办理。 第 10.5 条 记帐文字 公司的一切财务凭证、帐簿及报表均用中文书写。 在必要时,帐簿及报表也可用英文书写,但以中文表述为准。 第 10.6 条 季度财务报告、中期财务报告和年度财务报告 公司年度财务报告应聘请在中国注册的具有从事证券业务资格 的会计师事务所审计,并以其出具的审计报告书为准。 公司的季度财务报告、中期财务报告和年度财务报告按照有关法 律、法规的规定进行编制。公司季度财务报告应于每一会计年度的第 三个月、第九个月结束后的三十天内编制,中期财务报告应于每一会 计年度的前六个月结束后的六十天内编制,年度财务报告应于每一会 计年度结束后的一百二十天内编制。 公司年度财务报告以及进行中期利润分配的中期财务报告,包括 下列内容:资产负债表、利润表、利润分配表、现金流量表、会计报 表附注。公司不进行中期利润分配的,中期财务报告包括上款除利润 分配表以外的会计报表及附注。 第 10.7 条 报表 大连冷冻机股份有限公司 公司章程 公司的会计报表、统计报表及有关财务文件应依法向国家财政税 务和统计部门定期呈报,并按有关法律和法规的规定抄报给政府主管 部门,并应放置于公司供股东查阅。 所有财务会计记录由公司保存至少十年。 第 10.8 条 财务报告 公司按每一会计年度,将经会计师事务所审计的公司财务报告备 置于公司所在地供股东查阅和复制,并依照法律、法规和公司章程的 规定予以公告。会计年度的资产负债表和损益表,必须经注册会计师 审核签字。公司在收到股东购买财务报告的书面要求并收到股东支付 合理的印刷及邮递等费用之日起的三个工作日内将财务报告寄出。 公司的财务报告包括(但不限于)资产负债表(限于年度报告的)、 现金流量表和利润分配表,必要时,上述各项财务报表可采取摘要或 简报形式。 第 10.9 条 内部审计 公司实行内部审计制度,配备专职审计人员,对公司财务收支和 经济活动进行内部审计监督。内部审计部门依公司章程规定在董事会 领导下不定期对公司的财务收支和经济活动,进行内部审计监督,向 董事会负责并报告工作。公司内部审计制度和审计人员的职责,应当 经董事会批准后实施。 公司除法定的会计账册外,不另立会计账册。公司的资产,不以 任何个人名义开立帐户存储。 第 10.10 条 公积金 公司设公积金。公积金分两大类: 1. 盈余公积金。盈余公积金分为两种: (1) 法定盈余公积金:公司应在当年税后利润中提取不低于盈余 的百分之十作为盈余公积金,但盈余公积金已达注册资本的百分之五 大连冷冻机股份有限公司 公司章程 十时可不再提取。 (2) 任意盈余公积金按照股东大会的决议提取和使用。 2. 资本公积金。下列款项应列入资本公积金: (1) 超过股票面额发行所得的溢价额; (2) 接受赠与; (3) 按国家有关规定应列入的其他款项。 第 10.11 条 公积金用途 公司的公积金用于弥补公司的亏损、扩大公司生产经营或者转为 增加公司资本。但是,资本公积金将不用于弥补公司的亏损。 法定公积金转为资本时,所留存的该项公积金将不少于转增前公 司注册资本的 25%。 第 10.12 条 会计师事务所的聘任 公司聘用取得“从事证券相关业务资格”的会计师事务所进行会 计报表审计、净资产验证及其他相关的咨询服务等业务,聘期一年, 可以续聘。 公司聘用会计师事务所由董事会提出提案,股东大会表决通过。 会计师事务所的报酬由股东大会决定。董事会不得在股东大会决定前 委任会计师事务所。 经公司聘用的会计师事务所享有下列权利: 1. 查阅公司财务报表、记录和凭证,并有权要求公司的董事、 总经理或者其他高级管理人员提供有关的资料和说明; 2. 要求公司提供为会计师事务所履行职务所必需的其子公司 的资料和说明; 大连冷冻机股份有限公司 公司章程 3. 列席股东大会,获得股东大会的通知或者与股东大会有关的 其他信息,在股东大会上就涉及其作为公司聘用的会计师事务所的事 宜发言。 公司解聘或者续聘会计师事务所由股东大会作出决定,并在有关 的报刊上予以披露,必要时说明更换原因,并报中国证监会和中国注 册会计师协会备案。 公司解聘或者不再续聘会计师事务所时,提前 30 天事先通知会 计师事务所,会计师事务所有权向股东大会陈述意见。会计师事务所 认为公司对其解聘或者不再续聘理由不当的,可以向中国证监会和中 国注册会计师协会提出申诉。会计师事务所提出辞聘的,应当向股东 大会说明公司有无不当情事。 第十一章 利润分配 第 11.1 条 依法纳税 本公司执行国家有关的税收制度,依法向政府纳税,并接受国家 财税机关的核查和监督。 第 11.2 条 税后利润分配 本公司每年的税后利润,按下列顺序和比例分配: 1. 弥补上一年度亏损; 2. 提取百分之十的法定公积金; 3. 提取任意公积金; 4. 支付股利。 税后利润的具体分配比例由董事会根据公司该年度的经营状况 拟定,报股东大会决议通过。 公司法定公积金累计额为公司注册资本的 50%以上的,可以不再 提取。 公司弥补亏损和提取公积金后所余税后利润,按照股东持有的股 份比例分配,但本章程规定不按持股比例分配的除外。 大连冷冻机股份有限公司 公司章程 股东大会违反前款规定,在公司弥补亏损和提取法定公积金之前 向股东分配利润的,股东必须将违反规定分配的利润退还公司。 公司持有的本公司股份不参与分配利润。 公司股东大会对利润分配方案作出决议后,公司董事会须在股东 大会召开后两个月内完成股利(或股份)的派发事项。 公司股东回报规划: 公司重视股东合理投资回报,并兼顾公司未来的可持续发展。 公司实施积极的利润分配政策,并保持连续性和稳定性。 公司原则上每年进行一次分红,并优先采取现金分红。 公司现金分红,努力超过公司章程规定的最低比例。 公司利润分配的决策程序和机制: 公司在拟定每年的利润分配预案时,应综合考虑所处行业特点、 发展阶段、自身经营模式、盈利水平、现金流量状况以及是否有重大 资金支出安排等因素。上述利润分配预案,需经全体董事过半数同意 且独立董事对此发表明确意见后方能提交股东大会审议。 公司董事会在审议上述利润分配预案时,应认真研究和论证公司 现金分红的时机、条件和最低比例等事宜。 公司在召开股东大会审议上述利润分配预案时,应通过多种渠道 主动与股东特别是中小股东进行沟通和交流,充分听取中小股东的意 见和诉求,并及时答复中小股东关心的问题。 公司调整利润分配政策的条件、决策程序和机制: 如遇到不可抗力,或者公司外部经营环境或公司自身经营状况发 生较大变化时,公司可对利润分配政策进行调整。 公司董事会在研究论证调整利润分配政策的过程中,应当充分考 虑独立董事和中小股东的意见;调整后的利润分配政策不得违反中国 证监会和证券交易所的有关规定。 大连冷冻机股份有限公司 公司章程 调整后的利润分配政策,经全体董事过半数同意且独立董事发表 明确意见后方能提交股东大会审议。股东大会审议调整后的利润分配 政策时,投票方式应符合中国证监会及证券交易所的有关规定,并经 出席股东(包括股东代理人)所持表决权的 2/3 以上通过。 第 11.3 条 股利 公司原则上每年分派股利一次,按股分配,在公司年终决算后进 行,但股东大会有特别决议除外。普通股不支付固定股息。股利分配 可单独或同时采取下列形式: 1. 现金。以人民币计算和宣布。人民币普通股的现金股利以人 民币支付,境内上市外资股的现金股利以港币支付,折算汇率按股东 大会决议日后的第一个工作日中国人民银行公布的人民币兑港币的 中间价计算。 2. 股票。股东可按所持股份的种类比例依法分得相应种类的红 利股票。 公司分派股利时,优先采取现金分红方式。公司可以在满足现金 分红比例要求的前提下,采取发放股票股利的方式分配利润。采取股 票股利进行利润分配时,应当具有公司成长性、每股净资产的摊薄等 真实合理因素。 公司进行利润分配时,现金分红在本次利润分配中所占比例最低 应达到 20%。 公司每年现金分红不低于公司当年净利润的 10%,或最近三年累 计现金分红不低于最近三年实现的年均净利润的 30%。 第 11.4 条 股利所得税 公司在分配股息、红利时,按照国家法律规定代扣并代缴各股东 所获股利收入应缴的税金。境内上市外资股的股利和其他收益依法纳 税后,可以汇出中国境外。 第 11.5 条 分派股利公告 大连冷冻机股份有限公司 公司章程 本公司分派股利,采用在本章程第十四章所指定的报刊公告的方 法通知股东。 第十二章 合并与分立 第 12.1 条 决议和批准 本公司的合并与分立,应按本章程规定,经董事会通过合并或分 立方案,并由股东大会作出决议,报请有关政府审批机关批准。 公司合并或者分立,按照下列程序办理: 1..董事会拟订合并或者分立方案; 2..股东大会依照章程的规定作出决议; 3..各方当事人签订合并或者分立合同; 4..依法办理有关审批手续; 5..处理债权、债务等各项合并或者分立事宜; 6..办理解散登记或者变更登记。 公司合并或者分立时,公司董事会应当采取必要的措施保护反对 公司合并或者分立的股东的合法权益。 第 12.2 条 公司合并 公司合并可以采取吸收合并和新设合并两种形式。 公司合并应当由合并各方签订合并协议,并编制资产负债表及财 产清单。公司应当自作出合并决议之日起十日内通知债权人,并于三 十日内在在本章程第十四章所规定的报纸上公告。债权人自接到通知 书之日起三十日内,未接到通知书的自公告之日起四十五日内,可以 要求公司清偿债务或者提供相应的担保。不清偿债务或不提供相应担 保的,公司不得合并。 大连冷冻机股份有限公司 公司章程 公司合并时,合并各方的债权、债务,应当由合并后存续的公司 或者新设立的公司承继。 第 12.3 条 公司分立 公司分立,应对其财产作相应的分割。 公司分立时,应当签订分立协议,并编制资产负债表及财产清单。 公司应当自作出分立决议之日起十日内通知债权人,并于三十日内在 在本章程第十四章所规定的报纸上公告。债权人自接到通知书之日起 三十日内,未接到通知书的自公告之日起四十五日内,可以要求公司 清偿债务或者提供相应的担保。不清偿债务或不提供相应担保的,公 司不得分立。 公司分立前的债务按所达成的协议由分立后的公司承担。 第 12.4 条 变更登记 合并与分立方应于有关协议签订后向国家有关审批机关提出申 请报告,经批准后三十日内,向公司登记机关分别申请变更登记、设 立登记或注销登记,向主管税务机关申报处理变更登记、重新登记或 注销登记,并依本章程第十四章的规定进行公告。 第十三章 解散与清算 第 13.1 条 公司解散条件 公司有下列情形之一时,应予解散并进行清算: 1. 不能清偿到期债务而被依法宣告破产; 2. 严重违反国家法律和法规,危害社会公共利益被依法勒令停 业; 3. 股东大会决议解散; 4. 因公司合并或分立需要解散; 大连冷冻机股份有限公司 公司章程 5. 公司经营管理发生严重困难,继续存续会使股东利益受到重 大损失,通过其他途径不能解决的,持有公司全部股东表决权 10%以 上的股东请求人民法院解散公司。 第 13.2 条 解散后的清算 公司解散后的清算,应当根据解散的原因依法按照下列程序进 行: 1. 公司因不能清偿到期债务、被依法宣告破产的,由人民法院 依照有关法律的规定,组织股东、有关机关和专业人员成立清算组对 公司进行清算。 2. 公司因违反国家法律和法规、危害社会公共利益被依法勒令 停业而终止的,由有关政府主管机关组织股东、有关机关及有关专业 人员成立清算组对公司进行清算。 3. 公司因股东大会决议解散的,应当自有关决议通过之日起十 五天内成立清算组。清算组的成员由股东大会以普通决议的方式选 定。 4. 公司因合并或分立需解散的,清算工作由合并或者分立的各 方当事人依照合并或分立时签订的有关协议办理。 第 13.3 条 停止新的经营 清算组成立后,董事会、总经理的职责立即停止。清算期间,公 司不得开展新的经营活动。 第 13.4 条 清算公告和申报 公司清算组成立后,应在十日内通知债权人,并按照本章程第十 四章的规定于六十日内公告。债权人应自接到通知书之日起三十日 内,未接到通知书的自公告之日起四十五日内向清算组申报其债权。 债权人应当在上述规定的期限内向清算组申报其债权。债权人申 报债权时,应当说明债权的有关事项,并提供证明材料。清算组应当 对债权进行登记。 大连冷冻机股份有限公司 公司章程 债权人未在上述规定的期限内申报债权的,不列入清算之列,只 能就未分配的剩余财产请求清偿。但债权人认为公司明知而未通知并 能提供证明材料者,不在此列。 第 13.5 条 清算组的职权 清算组在清算期间行使下列职权: 1. 清理公司财产、编制资产负债表和财产清单; 2. 通知或者公告债权人; 3. 处理与清算有关的公司未了结的业务; 4. 清缴所欠税款; 5. 清理公司债权、债务,遣散公司从业人员; 6. 处理公司清偿债务后的剩余财产; 7. 代表公司进行民事诉讼活动;及 8. 法律、法规以及本章程规定的其他事项。 第 13.6 条 清算组的职权限制 清算组人员应当忠于职守,依法履行清算义务,不得利用职权收 受贿赂或者其他非法收入,不得侵占公司财产。 清算组人员因故意或者重大过失给公司或者债权人造成损失的, 应当承担赔偿责任。 清算组在清理公司财产、编制资产负债表和财产清单后,应当制 定清算方案,并报股东大会或者有关主管机关确认。 清算结束后,清算组应制作清算报告,并编制清算期内收支报表 和各种财务帐册,经会计师事务所验证,报股东大会或者有关主管机 关确认。 大连冷冻机股份有限公司 公司章程 清算组在公司债权申报期间不得对债权人进行清偿,但公司不能 因此免除对延迟清偿所负的损害赔偿责任。 经法院许可,清算组可不拘上述规定,对有担保债务及无损于其 他债权人的债务进行清偿。 第 13.7 条 宣告破产 清算组在清理公司财产、编制资产负债表和财产清单后,认为公 司财产不足以清偿债务时,应立即停止清算,并按程序向人民法院申 请宣告破产。 公司经人民法院裁决宣告破产后,清算组应将清算事务移交给人 民法院。 第 13.8 条 清偿顺序 在清算方案报股东大会或有关政府主管机关确认后,公司财产应 优先用以支付清算费用,然后按下列顺序清偿: 1. 支付职工工资和劳动保险费用; 2. 交纳公司所欠税款; 3. 清偿银行贷款、公司债券及其他债务。 按上述规定清理完毕后,剩余财产按股东各自的持股比例分配。 违反上述清算顺序所作的财务分配无效。债权人有权要求清算组 追还,并可请求赔偿所受的损失。 第 13.8 条 注销登记 清算组应当自股东大会或者有关主管机关对清算报告确认之日 起三十日内,向公司登记机关申请注销登记和向税务机关办理注销登 记,结清应缴税款、缴税发票和税务机关发给的有关证件,公告公司 终止。 大连冷冻机股份有限公司 公司章程 第十四章 信息披露 第 14.1 条 法律依据 公司的信息披露应当按照《公司法》、《股票发行与交易管理暂行 条例》、《公开发行股票公司信息披露实施细则(试行)》、《国务院关 于股份有限公司境内上市外资股的规定》和《股份有限公司境内上市 外资股规定的实施细则》等法律和法规以及公司股票上市的证券交易 所的有关信息披露的规定执行。 第 14.2 条 监管机构的同意 公司在通过本章程的公告方式披露重大事件时,应当在公开该重 大事件之前向公司股票上市的证券交易所报告其披露的方式和内容。 经上述机构同意后,方可进行公告。 第 14.3 条 通知 公司的通知以下列形式发出:以专人送出;以邮件方式送出;以 公告方式进行;公司章程规定的其他形式。 公司发出的通知,以公告方式进行的,一经公告,视为所有相关 人员收到通知。 公司召开股东大会的会议通知,按照本章程第 5.6 条进行。 公司召开董事会的会议通知,按照本章程第 14.3 条进行。 公司召开监事会的会议通知,按照本章程第 7.6 条进行。 公司通知以专人送出的,由被送达人在送达回执上签名(或盖 章),被送达人签收日期为送达日期;公司通知以邮件送出的,自交 付邮局之日起第四个工作日为送达日期;公司通知以公告方式送出 的,第一次公告刊登日为送达日期。 因意外遗漏未向某有权得到通知的人送出会议通知或者该等人 没有收到会议通知,会议及会议作出的决议并不因此无效。 大连冷冻机股份有限公司 公司章程 第 14.4 条 公告方式 公司按本章程及有关规定而就重大事项(包括向股东公告季度报 告、中期报告及年度报告)发出的公告应在中国以中文在至少一份由 中国证券监督管理委员会指定的全国性报刊上刊登并且同时应在境 外(含港澳台地区)以中文和英文在至少一份中文报和英文报刊上刊 登。 如中文和英文在理解或解释方面存在任何不一致的情况,则以中 文为准。 公司指定《中国证券报》、《证券时报》为刊登公司公告和其他需 要披露信息的报刊。 公司指定信息披露网站为:http://www.cninfo.com.cn。 第 14.5 条 连带责任 董事会应当保证公开披露的信息和文件的内容没有虚假、严重误 导性陈述或重大遗漏。董事会的成员应对此负连带责任。 第 14.6 条 投资者关系管理 公司积极建立健全投资者关系管理工作制度,通过多种形式主动 加强与股东特别是社会公众股股东的沟通和交流。公司董事会秘书具 体负责公司投资者关系管理工作。 第十五章 章程的修改 第 15.1 条 修改章程 有下列情形之一的,公司应当修改章程: 1..《公司法》或有关法律、行政法规修改后,章程规定的事项 与修改后的法律、行政法规的规定相抵触; 2..公司的情况发生变化,与章程记载的事项不一致; 大连冷冻机股份有限公司 公司章程 3..股东大会决定修改章程。 第 15.2 条 修改程序 修改公司章程,应遵循下列程序: 1. 由公司董事会会议通过修改章程的决议,提出修改方案; 2. 把上述修改方案通知股东,召集股东大会进行表决; 3. 股东大会对修改条款进行表决,获得本章程第 5.15 条规定 比例的股东表决同意的,即可通过。股东大会决议通过的章程修改事 项应经主管机关审批的,须报原审批的主管机关批准; 4. 经修订的章程按公司登记机关的要求办理变更登记,并予以 公告。 第 15.3 条 查阅与备案 公司章程经修改后,应备置公司的法定住所供股东查阅,并报公 司所在地中国证监会派出机构和公司股票上市的证券交易所备案。 第十六章 附则 第 16.1 条 章程组成部分 本章程附件包括股东大会议事规则、董事会议事规则和监事会议 事规则。公司股东大会通过的有关本章程的补充决议、章程及细则, 均为本章程的组成部分。章程细则不得与本章程的规定相抵触。 第 16.2 条 未尽事宜处理 本章程的未尽事宜,根据《公司法》的有关规定,由下一次股东 大会修订通过。 第 16.3 条 其他规章制度 公司所定的规章制度,凡与本章程有抵触者,一律视为无效。 大连冷冻机股份有限公司 公司章程 第 16.4 条 章程解释权 公司章程由公司董事会负责解释,修改权属于股东大会。 若有任何争议,则依本章程规定的程序办理。 第 16.5 条 文字 本章程以中文书写,其他任何语种或不同版本的章程与本章程有 歧义时,以在大连市工商行政管理局最近一次核准登记后的中文版章 程为准。 第 16.6 条 数字效力 本章程述及的“以上”、“以前”、“至少”和“内”均包括本数。 第 16.7 条 生效 1. 本章程经公司股东大会表决通过; 2. 公司将本章程在大连市工商行政管理局办理了变更登记。 第 16.8 条 仲裁与适用法律 关于境内上市外资股股东与公司之间、境内上市外资股股东与公 司董事、监事、总经理或者其它高级管理人员之间、境内上市外资股 股东与人民币普通股股东之间,基于公司章程及有关法律、法规规定 的权利义务发生与公司事务有关的争议或权利主张,应在中国国际经 济贸易仲裁委员会并按该机构的仲裁规则进行仲裁解决。 与本章程有关的一切争议,适用中华人民共和国法律。
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大连冷冻机股份有限公司公司章程(2015年5月)(英文版)(查看PDF公告PDF版下载)
公告日期:2015-05-21
ARTICLES OF ASSOCIATION OF DALIAN REFRIGERATION CO., LTD. Approved by Shareholders’ Annual General Meeting 2014 [English translation for reference only. Should there be any inconsistence between the Chinese and English version, then the Chinese version should prevail.] CONTENTS Chapter 1 General Provisions…………………………………………………3 Chapter 2 Objectives, Scope of Business and Method of Operation……. ….4 Chapter 3 Registered Capital, Share and Share Certificates……….…….5 Chapter 4 Shareholders……………………………………………………...….9 Chapter 5 General Meeting………………………………………………….…12 Chapter 6 Board of Directors……………..……………………………………20 Chapter 7 Supervisory Board…………………………………………………27 Chapter 8 Business Management Structure……………………..……………29 Chapter 9 Labour and Personnel Management…………………..………….31 Chapter 10 Finance, Accounting and Auditing……………………………32 Chapter 11 Profits Distribution…………………………………………….34 Chapter 12 Merger and Division……………………………………………36 Chapter 13 Dissolution and Liquidation……………………………………37 Chapter 14 Disc losure of Informatio n…………………………………….39 Chapter 15 Amendment of the Articles of Association………………..40 Chapter 16 Supplementary Provisions……………………………………41 Chapter 1 General Provisions Article 1. 1 Principles of the Articles of Association Pursuant to the \"Company Law of the People's Republic of China\" (the \"Company Law\") and other relevant laws, rules and regulations, the Articles of Association are prepared with a view to establishing the legal status of Dalian Refrigeration Company Limited (the \"Company\"), regulating the operations, management, organization and activities of the Company, and protecting the legal interests of the Company, shareholders and creditors. Article 1.2 Name, Address and Legal Representative of the Company The registered Chinese name of the Company is: 大连冷冻机股份有限公司 The English name of the Company is: Dalian Refrigeration Company Limited. The first address of the Company is: 888 Southwest Road, Shahekou District, Dalian Municipality, People's Republic of China with postcode 116033 The second address of the Company is: 106 East Road of Liaohe, Dalian City Economic and Technological Development Zone with postcode 116630 The Chairman of the Company shall be the legal representative of the Company. Article 1. 3 Method of Establishing the Company The Dalian Bingshan Group Company acted as the promoter pursuant to the document No. (1993)7 issued by the Dalian Economic System Reform Committee, converted the stated-owned assets in Dalian Refrigeration Factory into state shares as authorized by the Dalian State-owned Assets Administration Bureau, and then set up the Company by way of a initial public offer of legal person shares, public individual shares and employee shares with the approval of the China Securities Regulatory Commission. The Company was registered with the Dalian Administrative Bureau For Industry and Commerce on 18th December, 1993 and obtained a business license No. 24236130-0. Article 1. 4 Form of the Company The Company takes the form of a company limited by shares, i.e. the entire capital of the Company is divided into shares with equal nominal value and the liability of a shareholder to the Company is limited to the nominal value of the shares held by the shareholder. The Company commits its entire assets to assume its liabilities. Article 1. 5 Legal Status of the Company The Company possesses the status of an independent legal person. The laws of the People's Republic of China (the \"PRC\") govern the Company's activities and protect the legal rights and interests of the Company. The Company shall enjoy exclusive proprietary rights over the assets injected into the Company by the shareholders (including the State). The Company shall have independent autonomy over its operation, management and financial budget, and shall enjoy civil rights and assume civil liabilities in accordance with the laws. Article 1.6 Principle of Purchasing Shares in the Company The Company shall ensure that the shares in the Company are purchased voluntarily and that the same rights in relation to the sharing of profits and the assumption of risks shall attach to shares of the same class. Article 1.7 External Investment The Company has the right to invest in other limited companies or joint stock companies and assumes liabilities as limited by the amount of investment. The Company shall not become a shareholder with unlimited liability of any profit-making organizations. Article 1.8 External guarantee The Company shall not issue guarantees for the holding shareholder, other associated parties with the shareholding less than 50%, any non-legal-person units and individuals. The total amount of guarantee issuance of the Company shall not exceed 50% of the net assets listed in the consolidated accounting statement for the last fiscal year. The procedure for approving guarantee issuance of the Company: the Company’s issuing any guarantee must be approved by the general shareholders meeting or the Board of Directors of the Company. Issuing any guarantee with the guaranteed amount accounting for less than 10% of the Company’s net assets audited recently shall be approved by 2/3 of the total directors of the Board. Any guarantee issuance with the guaranteed amount accounting for 10% or more of the Company’s net assets audited recently shall be approved by the general shareholders meeting of the Company. Any guarantee after the total amount of external guarantees provided by the Company and its holding subsidiaries reaches or exceeds 50% of the audited net assets as at the most recent period end must be approved by the general meeting of shareholders. Any guarantee after the total amount of external guarantees provided by the Company reaches or exceeds 30% of the audited total assets as at the most recent period end must be approved by the general meeting shareholders. The credit standing requirement for guaranteed objects: the bank credit rating shall not be lower than AA and the asset-liability ratio not higher than 70%. Article 1.9 Term of Operation The Company is deemed to be a joint stock company with a going concern except in the cases as described in Chapter 12 and Chapter 13. Article 1. 10 Legal Effect of the Articles of Association The Articles of Association are the rules of highest authority for the Company's organization and activities and shall be legally binding on the Company, the Company's shareholders, directors, supervisors, and general manager and other senior managing staff. As the Articles of Association are a public legal document, any acts of subscribing for the shares of the Company (whether the shares of the Company can be legally and successfully obtained or not) shall be considered to have the legal effect that: the person subscribing for the Company's shares has voluntarily accepted all the terms and conditions, and the binding effect of the Articles of Association on him without reservation. Chapter 2 Objectives, Scope of Business and Method of Operation Article 2.1 Objectives of the Company The objectives of the Company are: to follow the trend of the development of a socialist market economy; to implement scientific management; to fully utilize the existing human resources, financial resources and material resources to enable a stable and rapid development of the Company; to promote actively the development in refrigeration, air-conditioning and other businesses of the Company; to protect and increase its asset value; to safeguard the legal rights and interests of all shareholders to enable them to receive a satisfactory return on their investments. Article 2.2 Scope of Business The scope of business of the Company is as follows: Its main business is to process and manufacture refrigeration equipment and auxiliary machines, valves, component parts and the accessory products required in refrigeration engineering packages. Subsidiary businesses include the design, manufacturing, installation, maintenance, calibration of refrigeration and air-conditioning systems and technical consultation, technical services, trading and supply of materials. As required by the business development of the Company, the Company may carry out other relevant businesses with the approval of the companies registration authority. Article 2.3 Mode of Operation The modes of operation of the Company include processing, manufacturing, wholesale, retail import and export, investment, selling agency, buying agency, leasing and servicing. As required by the business development of the Company, with the approval of the relevant government departments, the Company may establish joint ventures with domestic and foreign companies, or set up branches, representative offices or agency organizations within or outside the PRC. Article 2.4 Adjustment of the Scope of Business and the Mode of operation As required by the changing conditions of the market and the business development of the Company, the Company may adjust its business scope and operation mode. If the business scope and the operation mode is adjusted, the Articles of Association shall be amended accordingly and the amended Articles of Association shall be registered with the companies registration authority. If the business scope adjusted falls within the category of restricted business under the laws and regulations of the PRC, the approval of the relevant government departments shall be obtained. Chapter 3 Registered Capital, Share and Share Certificates Article 3.1 Registered Capital The registered capital of the Company shall be the total paid up capital of RMB 360,164,975. Article 3.2 Division of Registered Capital The total registered capital of the Company shall be divided into shares with equal nominal value 1 for which share certificates shall be issued. The Company has in issue 360,164,975 shares in total, with a par value of RMB1.00 each. Article 3.3 Types and Composition of Registered Capital The shares issued by the Company are all ordinary shares. The shares of the Company are divided into Renminbi ordinary shares and domestically listed foreign investment shares. All these stocks are put on trust to China Securities Registry & Settlement Co., Ltd. Shenzhen Branch. Renminbi ordinary shares (\"A Shares \") shall be held by legal persons or other organisations registered in the PRC, natural persons of PRC nationality, or entities stipulated by the laws of the PRC or approved by the relevant government authorities of the PRC. A Shares comprise State shares, legal person shares and public individual shares. Domestically listed foreign investment shares (\"B Shares\") shall be held by natural persons, legal persons, and other organizations of foreign countries; legal persons, natural persons and other organizations of Hong Kong, Macau and Taiwan; PRC nationals residing overseas or other investors as stipulated by the Securities Committee of the State Council. The structure of the issued share capital of the Company is as follows: Type of shares Number of shares Renminbi ordinary shares 245,164,975 Domestically listed foreign investment shares 115,000,000 Article 3.4 Contribution of Share Capital Shareholders may, in accordance with the provisions of the Articles of Association and the PRC laws, make capital contributions to the Company in form of cash or by means of injection of tangible assets such as buildings, factories, machinery equipment or intangible assets such as industrial property rights, non-patented technologies and land use rights, in exchange for the shares of the Company. A good legal title held by the shareholders over the assets to be injected shall be a pre-requisite to the injection of assets in exchange for the shares of the Company. In addition I such injection of assets in exchange for the Company's shares shall comply with the Company Law and any conditions imposed by the Board of Directors of the Company. Article 3.5 Limitations on the Holding of Shares Any investor who comes to hold 5 percent of the shares issued by the Company directly or indirectly shall, within three days from the date on which such shareholding becomes a fact, submit a written report to China Securities Regulatory Committee and Shenzhen Stock Exchange, notify the Company and make the fact known to the general public. Once an investor holds 5 percent of the shares issued by the Company, he shall, pursuant to the provisions of the preceding paragraph, report and make announcement of each 5 percent increase or decrease in the proportion of the issued shares he holds of the Company through securities trading on a stock exchange. During the reporting period, and for two days after the report and announcement are made, the investor may not continue to purchase or sell shares of the Company. However, where the amount of shares held by an investor exceeds the abovementioned limitation of 5 per cent as a result of a decrease in the total number of shares of the Company, the above restrictions will not apply. If the shareholder described in the preceding paragraph sells , within six months of purchase, the shares he holds of the Company or repurchases the shares within six months after selling the same , the earnings so obtained by the shareholder shall belong to the Company and be recovered by the Board of Directors of the Company . However, a securities company that has a shareholding of not less than 5 percent due to purchase of the remaining shares not he capacity of a company that underwrites as the sole agent shall not be subject to the restriction of six months when selling the said shares. The provision of the preceding paragraph is suitable for directors, supervisors, general manager, and other senior mangers of the Company. In this Article, shares are deemed to be indirectly held by an individual or a legal person if the shares are held by the companies, beneficially owned by an individual or by the affiliates of the legal persons, or under the control of an individual or a legal person although held by other legal entities. Article 3.6 Share Issue Payment should be made in full upon subscription for new issued shares. Once subscribed, the shares cannot be returned. The principles of openness, fairness and justice shall be observed in the issue of the Company's shares and the same rights, dividends I share of profits and assumption of risks shall attach to shares of the same class. The issue conditions and issue price for the shares under the same issue shall be the same. Shares may be issued at a par value or at a premium but shall not be issued at a discount. General meetings shall resolve the following matters when the Company intends to issue new shares: 1. type and number of the new shares; 2. placing price of the new shares; 3. type and number of the new shares to be issued to the existing shareholders. Article 3.7 Form and Registration of Share Certificates The issued share capital of the Company takes the form of share certificates which constitute the written evidence of the respective shareholdings of the shareholders, and are issued and signed by the Company. The Company uses the register of shareholders registered by the securities registration authorities as the evidence of the existing shareholdings. Registration records in the register of shareholders shall be conclusive evidence for such shareholdings. Article 3.8 Transfer and Trading of Shares Shareholders holding the Renminbi ordinary shares and domestically listed foreign investment shares of the Company may, subject to the laws, the trading regulations of the stock exchange on which the Company's shares are listed and other relevant regulations and laws, sell the shares held by them by agreement to other legal persons or natural persons who are legally eligible to hold such shares. However, any transfer of the state-owned shares shall be approved by the state-owned assets administration departments. The placing rights and other derivative rights attached to the shares held by the shareholders of the Company may be transferred and traded in accordance with the relevant laws and regulations. The Company shall only recognize the transferees of registered shares as the Company's shareholders after the names and addresses of the transferees have been recorded in the register of shareholders and verified by the statutory registration authorities. The Company’s directors, supervisors, general manager and other senior management members shall regularly declare to the Company their shareholdings in the Company and any changes during their tenure of office, and any share transfer by a director, supervisor, general manager or senior management member shall not exceed 25% of the total shares held by him/her in the Company each year during his/her tenure of office. Any shares of the Company held by them are prohibited being transferred within one year from the shares are listed and traded. Anyone above-mentioned shall not transfer his/her held shares of the Company within six months from his/her demission. The shares held by the promoter of the Company shall not be transferred within one year from the date of establishment of the Company. Article 3.9 Gift, Mortgage and Succession of Shares The Company's shareholders may transfer the shares of the Company held by them by way of gift, mortgage and succession in accordance with the laws and regulations. Any transfer of the Company's shares by way of gift and succession shall be registered with the statutory registration authorities upon presentation of valid and enforceable legal documents. A mortgage over the Company's shares shall be registered with the registration authorities as required by the laws and regulations. The Company shall not accept any mortgage the subject of which are the Company's shares. Article 3.10 Amalgamation and Division of Shares As required by the production, operation and development of the Company, the Company may, subject to the proposal of the Board of Directors and the resolutions passed at a general meeting, amalgamate or divide the Company's shares in a specified ratio. Article 3.11 Increase of Issued Share Capital As required by business development of the Company, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, increase the Company's issued share capital by the followings means: 1. issuing shares in a public manner; 2. issuing shares in a non-public manner; 3. bonus issue to the existing shareholders; or 4. other methods in compliance with the relevant laws and regulations. Article 3.12 Re-issue of Share Certificates Where registered share certificates of the Company have been stolen, lost or destroyed, shareholders shall notify the Company or securities registration authorities appointed by the Company in writing, and shall apply to the People's Court for declaring such share certificates as null and void in accordance with the provisions of \"The Code of Civil Procedures of the PRC\". Upon declaration by the People's Court of such share certificates to be null and void, the shareholders may apply to the Company or securities registration authorities appointed by the Company for the re-issue of share certificates. Article 3.13 Other Classes of Shares Where necessary, the Company may, subject to the proposal of the Board of Directors, the passing of a resolution by shareholders at a general meeting and the approval of the relevant government departments, issue preference shares or other classes of shares and corporate bonds (including but not limited to convertible bonds). Where preference shares or other classes of shares and corporate bonds are issued, in addition to the compliance with the relevant laws and regulations, the shareholders at general meeting shall lay down clear regulations to govern the rights and obligations of the holders of such securities, and the Articles of Association shall also be amended accordingly subject to the passing of relevant resolutions at the general meeting. Article 3.14 Reduction of Registered Capital In accordance with the laws, regulations and the provisions of the Articles of Association, the Company may reduce its registered capital. In the event that the Company reduces its registered capital, a balance sheet and a list of properties shall be prepared. The Company shall inform the creditors of its decision to reduce the registered capital within ten days since such a decision is made, and announce it on the newspapers specified in Art. 14 of the Articles of Association within 30 days. The creditors shall have the right to ask the Company to pay off the debits or provide appropriate guarantees for paying off the debts within 30 days from receiving the notice or within 45 days from the date of announcement if he/she does not receive the notice. The Company's registered capital after reduction shall not be less than the statutory minimum amount. Article 3.15 Re-purchase of Shares In the following circumstances, the Company may re-purchase its issued shares in accordance with the procedures prescribed in the Articles of Association or laid down by the stock exchange where the shares are listed and with the approval of the relevant government departments: 1. cancellation of shares for the reduction of the Company's registered capital; 2. merger with other companies holding the Company's shares; 3. encouraging the Company’s employees by issuing shares to them; or 4. there is any shareholder who has objections on the general meeting’s decision for mergence or split of the Company and requests the Company to repurchase his/her shares. Art. 3.16 Disposal of the Repurchased Shares After repurchasing its shares as stipulated in Art. 3.15, the Company shall write off these shares within ten days from the purchasing day if it is as described in Paragraph (1) or transfer or write off these shares within six months if it is as described in Paragraphs (2) and (4). Any shares repurchased by the Company as stipulated in Art. 3.15 (3) shall not exceed 5% of the total shares that have been issued by the Company; the source of any funds for such repurchase shall be taken from the after-tax profit of the Company; and the repurchased shares shall be transferred to the employees within one year. Article 3.17 Liability for Compensation The Company shall not be liable to compensate anyone who suffers losses resulting from the cancellation of the original share certificates or the re-issue of share certificates unless the party concerned can prove that such losses are caused by the Company's omissions or fraudulent acts. Article 3.18 Financial Assistance The Company and its subsidiaries shall not in any way provide financial assistance to subscribers to subscribe for the Company's shares. The above-mentioned financial assistance refers to any gifts, guarantees, price reductions or advances for the purpose of reducing or exempting the subscribers' payment obligations for subscription of the Company's shares. Where the Company distributes new shares to shareholders in proportion to their shareholdings as a result of capitalization of provident funds or profits in accordance with the laws, the restriction stipulated in this Article shall not apply. Article 3.19 Registration of Changes When the increase or reduction of the Company's registered capital is subject to approval. such approval shall be sought from the approving authorities and the increase or reduction must be registered with the companies registration authorities. Chapter 4 Shareholders Article 4.1 Shareholders Holders of the Company's shares shall be the Company's shareholders. Subject to contrary evidence, the register of shareholders shall be the conclusive evidence of the identities of the Company's shareholders. In accordance with the Articles of Association and the laws and regulations, the shareholders' liabilities to the Company shall be limited to the nominal value of the shares held by them and the shareholders are entitled to the corresponding rights provided by the Articles of Association and the laws and regulations. In the event that any shareholder of the Company is a legal person, its rights shall be exercised by its legal representative or the agent of its legal representative on its behalf. Article 4.2 Shareholders' rights The shareholders of the Company's ordinary shares shall be entitled to the following rights: 1. to receive dividends, bonus payments and benefits in other forms on their shares; 2. to attend the general meetings of the Company in person or by proxy and have the rights to vote, to elect and to be elected; 3. to transfer the shares held by them by way of transfer, gift or mortgage in accordance with the Articles of Association; 4. to inspect the Company's Articles of Association and the minutes of general meetings, to obtain financial statements released to the shareholders, and to conduct supervision, give suggestions and make queries in respect of the operation and financial management of the Company; 5. to be entitled to the net assets of the company in proportion to their shareholdings in the event that the Company becomes insolvent and is wound up; 6. to commence legal proceedings in a court with jurisdiction in respect of any resolutions passed at general meetings or board meetings which contravene the existing laws or regulations of the PRC or infringe the legal rights and interests of the shareholders, and to make application for stopping such illegal acts or infringement; 7. to enjoy other rights as stipulated by the relevant laws and regulations and the Articles of Association. For the procedure for convening a general meeting or a meeting of the Board of Directors or the method of voting in violation of the laws, regulations or these Articles of Association, or any resolution in violation of these Articles of Association, the shareholders shall have the right to appeal to the people’s court for cancellation within 60 days from the day when such resolution is adopted. In case of any director or senior management member, who violates the laws and regulations or these Articles of Association in his/her duty and causes loss to the Company, any shareholder(s) who individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to submit the written request to the Board of Supervisors for bringing suit to the people’s court. In case the Board of Supervisors violates the laws and regulations or these Articles of Association in its duty, which causes loss to the Company, any shareholder shall have the right to submit the written request to the Board of Directors for bringing suit to the people’s court. If the Board of Supervisors or Board of Directors refuses to bring suit after receiving the aforementioned written request, or fails to bring suit within 30 days after receiving the request, or fails to bring suit immediately in case of emergency, which may cause irretrievable impairment to the Company’s interest, the aforementioned shareholder(s) shall have the right to bring suit directly to the people’s court in his/her/their name(s) for the Company’s interest. In case any other person infringes the legal rights and interests of the Company, which causes loss to the Company, any shareholder(s) individually or jointly holds 1% or more shares of the Company for a period of continuative 180 days shall have the right to bring suit to the people’s court as stipulated in the above two clauses. In case any director or senior management member violates the laws and regulations or these Articles of Association, which impairs the shareholders’ interest, any shareholder shall have the right to bright suit to the people’s court. Article 4.3 Shareholders' Obligations Shareholders holding ordinary shares shall perform the following obligations: 1. to observe the Articles of Association; 2. to pay up punctually for the shares subscribed in accordance with the method of subscription; 3. to obey and implement resolutions passed at general meetings pursuant to the laws; 4. to disclose certain information when their shareholdings reach the statutory prescribed amount; 5. not to engage in any malicious activities which are detrimental to the interests of the Company; 6. to perform other obligations stipulated in the relevant laws and regulations and the Articles of Association. Article 4.4 Behavior of controlling shareholders The proprietary shareholders and actual controllers of the Company shall have the obligation to be faithful to the company and social public shareholders. The proprietary shareholders should exercise the rights as contributors strictly by law, without detriment to the legal interests of the company and social public shareholders by taking advantage of any associate transaction, profit distribution, assets regrouping, external investment, occupation of funds, financial guarantee, etc. and no detriment to the interests of the company and social public shareholders by taking advantage of the holding position. The controlling shareholder shall 1. strictly abide by the laws and regulations, and the conditions and procedures stipulated in the Articles of Association in nominating candidates of directors and supervisors; 2. not be engaged in any approval for the general meeting's resolutions on personnel election or for the Board of Directors' resolutions on personnel appointment; 3. not appoint or dismiss any senior staff members bypassing the general meeting and the Board of Directors; and 4. not intervene, directly or indirectly, the Company's decision-making and legal production and business activities, and not harm the interests of the Company and other shareholders. Article 4.5 Meaning of Controlling Shareholder The controlling shareholder mentioned in Article 4.4 refers to any person who satisfies any of the following conditions: 1. He can elect more than half of the Board of Directors when acting alone or in concert with other persons; 2. He can exercise or control over 30 per cent of the voting rights of the Company when acting alone or in concert with other persons; 3. He holds over 30 per cent of the issued shares of the Company when acting alone or in concert with other persons; or 4. He has actual control of the Company by any other means when acting alone or in concert with other persons. Article 4.6 The Composition of the Register of Shareholders The Company shall keep a complete register of its shareholders. The register of shareholders shall be registered by the securities registration authorities. Article 4.7 Registration Day of Shareholding Where the Company convenes a general meeting) distributes dividends) goes into liquidation or engages in other acts which require confirmation of shareholdings, the Board of Directors shall fix a day as a reference date for registration of shareholdings for confirmation purposes. At the close of such registration day) shareholders whose names appear on the register of shareholders shall be deemed to be the shareholders of the Company. The interval between the date of equity registration and the date of meeting shall be not more than 7 working days. Once the date of equity registration is confirmed, it shall not be altered. Chapter 5 General Meeting Article 5.1 General Meeting All the shareholders of the Company who are entitled to exercise their rights and powers of the Company in general meetings have the highest authority according to the Company Law and the Articles of Association. Article 5.2 Annual General Meeting and Extraordinary General Meeting A general meeting shall be either an annual general meeting or an extraordinary general meeting. The general meeting shall be held at a designated place in a manner of on-site meeting. The Company will provide shareholders with the network facilities once required by related rules or regulations.Any shareholder, who attends the general meeting in one of the above manners, shall be regarded as his/her presence. The general meeting on site shall not end up until the meeting in the network manner ends up. The general meeting shall be held at the location of the Company. Article 5.3 Annual General Meeting An annual general meeting shall be held once every year within 6 months after the end of every financial year. The interval between two annual general meetings shall not exceed 15 months. Article 5.4 Extraordinary General Meeting An extraordinary general meeting shall be convened within 2 months of the occurrence of any of the following events: 1. the Board of Directors considers it necessary or if proposed by the Supervisory Board; 2. a written request is made by a shareholder or shareholders holding more than 10 per cent (including 10 per cent) of the issued share capital of the Company; 3. the number of directors falls short by two-thirds of the statutory number or the number stipulated in the Articles of Association; 4. the Company's losses represent one-third or more of the total registered capital; 5. more than one half of the independent directors propose to convene the meeting. A written request by the shareholders holding 10 per cent or more of the issued share capital of the Company shall be submitted to the Board of Directors. Extraordinary general meeting shall not pass any resolution concerning proposals that are not set out in the notice of the meeting. For any proposal of independent directors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; or explain the reason and make announcement if it does not approve to convene the general meeting. For any proposal of the Board of Supervisors for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the Board of Supervisors. The Board of Directors’ disapproval to convene the extraordinary general meeting or failure to give any feedback within ten days after receiving the proposal shall be regarded as the Board of Directors’ being unable to perform or failing to perform the obligations to convene the general meeting, and the Board of Supervisors may convene and preside over the meeting itself. For any proposal of shareholder(s) who individually or jointly holds 10% or more of the Company’s shares for convening an extraordinary general meeting, the Board of Directors shall, within ten days after receiving the proposal, give the written feedback stating to approve or not approve to convene the extraordinary general meeting according to the laws and regulations and these Articles of Association. The Board of Directors shall give the notification of convening the extraordinary general meeting within five days after the Board makes the decision if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). If the Board of Directors does not approve to convene the extraordinary general meeting, or fails to give any feedback within ten days after receiving the proposal, the shareholder(s) who individually or jointly holds 10% or more of the Company’s shares shall have the right to submit proposal in written form to the Board of Supervisors for convening the extraordinary general meeting. The Board of Supervisors shall give the notification of convening the extraordinary general meeting within five days after receiving the proposal if it approves to convene the general meeting; and any change to the original proposal in the notification shall be subject to consent of the related shareholder(s). The Board of Supervisors’ failure to give the notification of the general meeting within the specified period shall be regarded as its failure to convene and preside over the general meeting and any shareholder(s) individually or jointly holding 10% or more of the Company’s shares for a period of continuative 90 days may convene and preside over the general meeting themselves. The Board of Supervisors or shareholders shall inform in writing the Board of Directors of any decision to convene the general meeting themselves to file to the local agency of China Securities Regulatory Commission and the Securities Exchange. The convening shareholders shall have the shareholdings not less than 10% before the announcement of any general meeting’s resolution. The convening shareholders shall submit the necessary certificates to the local agency of China Securities Regulatory Commission and the Securities Exchange before giving the notice of the general meeting and making announcement of the general meeting’s resolution. For the general meeting convened by the Board of Supervisors or shareholders themselves, the Board of Directors and its secretary shall give cooperation. The Board of Directors shall provide the list of shareholders registered upon registration of shareholdings. For the general meeting convened by the Board of Supervisors or shareholders themselves, the necessary cost for the meeting shall be borne by the Company. Article 5.5 Functions and Powers of Shareholders in General Meeting Shareholders in general meeting shall have the following functions and powers: 1. to set the guiding principles of operation and to prepare investment proposals for the Company; 2. to elect and dismiss directors and fix their remuneration; 3. to elect and dismiss supervisors whose positions are occupied by the shareholders' representatives and fix their remuneration; 4. to examine and approve the reports of the Board of Directors; 5. to examine and approve the reports of the Supervisory Board; 6. to examine and approve the annual budget and final accounts of the Company; 7. to examine and approve the profit distribution proposal and the loss offset proposal of the Company; 8. to resolve on whether to increase or reduce the registered capital of the Company; 9. to resolve on the listing and trading of the Company's shares on a stock exchange. 10. to resolve on whether the Company should issue debentures; 11. to resolve on matters such as the merger, division, dissolution and liquidation of the Company; 12. to appoint or dismiss accountants; 13. to amend the Articles of Association; 14. to review the proposals of the shareholders holding 3% or more of the voting shares issued by the Company; 15. to review the matters concerning guarantees described in Art. 1.8 of these Articles of Association; 16. to review the matters concerning purchase or sale of any major assets of the Company within one year, which exceeds 30% of the Company’s audited total assets as at the most recent period end; 17. to review and approving the matters concerning change of the use of raised funds; 18. to review the stock incentive plan; 19. to examine other matters that shall be decided at the general meeting as stipulated in the laws and regulations and the Articles of Association. Article 5.6 Convening of the General Meeting For convening a general meeting of shareholders, the convener shall inform all shareholders 20 days in advance of the date when the meeting is held. For convening an extraordinary general meeting, the convener shall inform all shareholders 15 days in advance of the date when the meeting is held. The convener shall ensure that the meeting of the general meeting of shareholders go in succession until the final resolution is made. Where the general meeting of shareholders is paused or no resolution can be made due to force majeure or any other special cause, necessary measures shall be taken to resume the meeting of the general meeting of shareholders or the meeting shall be directly terminated, and an announcement shall be made in a timely manner. At the same time, the convener shall report it to the dispatched office of the CSRC at the locality of the company and the stock exchange. The notice of the general meeting shall comply with the following requirements and shall be published by way of an announcement in the newspapers as selected by the Board of Directors in accordance with the laws and regulations and the Articles of Association: 1. the date, address and time of the general meeting shall be specified; 2. the proposals to be discussed in the general meeting shall be specified; 3. the registration date for the shareholdings of the shareholders who are entitled to attend the general meeting shall be specified; 4. the names, telephone numbers and fax numbers of the designated contact persons for the purpose of convening meeting shall be specified. A letter of appointment of proxy by the shareholders should be attached to the notice of the general meeting. To attend the general meeting, a shareholder or his proxy shall hold a certificate of attendance for the relevant general meeting. Such certificate shall show the name of the shareholder, the number of shares held or represented, the time of the shareholders' general meeting, the Company seal, the signature of the issuing person and the date of issue. Upon the announcement of the notice of the general meeting, all shareholders shall be deemed to have received notice of the general meeting. In case the Company has to postpone the general meeting for some reason, the notice of postponement shall be issued at least two work days before the original date when the general meeting is held. The Board of Directors shall state the reason and announce the date of the postponed meeting in the notice. After the notice of convening the general meeting is issued, the Board of Directors shall not issue new proposals for any items unlisted in the notice, and any changes to the original proposal shall be announced 15 days before the general meeting is held, or the meeting shall be postponed so that there is an interval of at least 15 days. Article 5.7 Presiding of the General Meeting The general meeting shall be presided over by the Chairman of the Board of Directors. In case the Chairman is unable or fails to perform his duty, the Vice Chairman shall preside over the meeting. If the Vice Chairman is unable or fails to perform his duty, a director elected by the majority of directors shall preside over the meeting. Any general meeting that is convened by the Board of Supervisors shall be presided over by the Chairman of the Board of Supervisors. In case the Chairman is unable or fails to perform his duty, a supervisor elected by the majority of supervisors shall preside over the meeting. The general meetings convened by shareholders themselves shall be presided over by a representative elected by the conveners. In case the meeting chairman breaches the rule of procedure during the meeting, which results in discontinuousness of the general meeting, the general meeting may elect a person to preside over the meeting by the attending shareholders holding the majority of voting shares. Article 5.8 Attendence Notice The shareholders who intend to attend the general meeting shall notify the Company of their attendances before the convening of the general meeting. The attendance notice shall specify the number of shares with the voting rights held by them and shall be delivered in written form. Article 5.9 Attendence and Proxy A shareholder may attend the general meeting in person, or may appoint a proxy in writing to attend the general meeting and exercise shareholder's rights on his behalf. If the shareholder attends the general meeting in person, he shall produce his identity card and proof of shareholding. To attend the meeting, a proxy shall carry with him the certificate of attendance of the relevant shareholder, letter of appointment and his own identity card, and shall exercise voting rights within the scope specified in the letter of appointment. A proxy does not have to be a shareholder of the Company. Where the shareholder is a legal person, the legal representative or the proxy appointed by the legal representative shall attend the general meeting. If a legal representative attends the general meeting, he shall produce his identity card, valid proof of his capacity as a legal representative and proof of shareholding. In case of a proxy attending the meeting, he shall produce his identity card and letter of appointment issued by the legal representative of the legal person shareholder in accordance with the laws, and proof of shareholding. The Company's Board of Directors, independent directors and other directors meeting the concerned conditions may acquire votes at the general meeting from shareholders of the Company. Such acquirement of votes shall be unrequited, and the concerned information shall be disclosed to the persons whose votes are acquired. Article 5.10 Letter of Appointment of Proxy The letter of appointment of proxy issued by shareholders to appoint other persons to attend general meeting on their behalf shall specify the following information: 1. name of the proxy; 2. whether the proxy has the right to vote (where more than one proxy is appointed, the number of shares represented by each proxy shall be specified); 3. instructions such as \"for\", \"against\" or \"abstain\" for each proposed resolution as set out in the agenda of the general meeting; 4. whether the proxy has voting rights on any extraordinary proposals which may be included in the general meeting in accordance with the Articles of Association and if this is the case, detailed instructions for the exercise of the voting rights shall be specified; 5. the date of issue and the effective period; 6. signature (or chop) of the appointer. If the appointer is a legal person shareholder, the company seal shall be affixed thereto. Article 5.11 Sign-in Book of the Attendants A sign-in book of attendants of general meetings shall be prepared. The sign-in book shall specify the attendants' names, identity card number and addresses of residence or registered offices, number of shares with voting rights represented, and the names of the shareholders, and shall be filled in by the shareholders (or proxies) attending the general meeting. Article 5.12 Method of Voting For annual general meetings or general meetings ,convened at the proposal of hareholders or the Supervisory Board, voting by the method of communication is not allowable. Every ordinary share carries one voting right at the general meeting. Voting shall be done by open ballot and not by a simple show of hands. When voting at the general shareholders meeting, a shareholder (or his proxy) shall excise his voting power corresponding to the number of his votable shares. For common shares, one share stands for one vote except the stipulation in Article 5.13 for the accumulative voting system that shall be adopted in electing directors and supervisors. The Company’s shares held by the Company itself shall neither have the voting right nor enjoy the profit distribution. The same voting share shall be used in the on-site voting procedure or in the network voting procedure only. In case of any ballot duplication of the same voting share, the first voting shall be taken. Article 5.13 Election of Directors and Supervisors Shareholders holding 3 per cent or more of the total issued shares with voting rights are entitled to propose candidates for directors and supervisors. The Company's Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company have the right to nominate independent director candidates. Before the election of directors and supervisors of the Company, the Board of Directors shall provide the shareholders with the resumes and general information of the directors and supervisors. The list of candidates for the directors and supervisors should be submitted to the shareholders general meeting for voting in the manner of proposal. Election and dismissal of directors and supervisors shall be passed by more than half of the votes held by the shareholders present at the general meeting. The accession date of the new directors and the supervisor, if the election proposal is approved by the general meeting, shall be the date when the resolution is adopted at the general meeting. If the holding shareholders hold 30% or higher of the total shares of the Company, the accumulative voting procedure shall be adopted in voting for any proposal of electing directors or supervisors at the shareholders’ general meeting. It means that when two or more directors or supervisors are to be elected at the general shareholders meeting, every share held by voting shareholders (or their proxies) has the equal votes to the number of directors or supervisors to be elected, and a shareholder (or his proxy) may vote one person with all his votes or distribute his votes for multiple persons. The Board of Directors shall work out the implementation rules for the accumulative voting procedure for electing directors/supervisors according to these Articles of Association and submit it to the general shareholders meeting for approval and adoption. Article 5.14 Voting on Ordinary Resolutions Ordinary resolutions at the general meeting shall be passed by more than half of the votes held by the shareholders present at the general meeting. Article 5.15 Voting on Special Resolutions Special resolutions at the general meeting shall be passed by two-thirds or more of the votes held by the shareholders present at the general meeting. Resolutions proposed in relation to the following matters shall be special resolutions: 1. increase or decrease of the Company's registered capital; 2. issue of debentures by the Company; 3. merger, division, application for winding-up, dissolution and liquidation of the Company; 4. amendment of the Articles of Association; 5. change to the Company's classification and the method of trading shares; 6. the Company’s purchase or sale of major assets or issuance of guarantees which exceed 30% of the audited total assets as at the most recent period end within one year; 7. the stock incentive plan; and 8. other matters required to be resolved by special resolutions as stipulated in the Articles of Association and the laws; Apart from the above matters which are required to be resolved by special resolutions, other matters shall be resolved by ordinary resolutions. Article 5.16 Results of the Voting The chairman should declare the number of shareholders and agents present at the meeting and their total shares before voting. Number of shareholders and their agents present at the meeting and their shares are subject to that in meeting registration. At least one lawyer, two or more shareholders’ representatives and one or more supervisors shall be involved in the check of voting for every proposed matter at the shareholders general meeting, and publish the voting result at the meeting and record it in the meeting minutes. The chairman should declare the number of shareholders and proxies attending the meeting and the number of the total voting shares. The number of shareholders and proxies attending the meeting and the number of the total voting shares are subject to the record at the meeting. Before the voting result is formally announced, the listed companies, vote counters, vote counting supervisors, major shareholders and the network service provider, etc. involved in the voting at the general meeting of shareholders on the spot, through network or by any other means, shall be obliged to keep secrets to themselves. Article 5.17 Resolutions Proposed by Shareholders Shareholders holding 3 per cent or more of the total issued shares with voting rights, whether individually or jointly, are entitled to propose resolutions to the general meeting for consideration. Article 5.18 Conditions of Resolutions Resolutions proposed by the shareholders shall satisfy the following conditions: 1. The proposed resolutions shall fall within the jurisdiction of the general meeting and their contents shall not contravene the laws and regulations and the Articles of Association; 2. The proposed resolutions shall be specific and precise; 3. The proposed resolutions shall be delivered in written form to the Board of Directors. The Board of Directors shall examine whether the proposed resolutions satisfy the above conditions. Any proposed resolutions which have satisfied the above conditions and have been delivered to the Board of Directors ten days prior to the announcement of the notice of the general meeting shall be included in the agenda of the general meeting and set out in the notice of the general meeting. Any proposed resolutions which have satisfied the above and conditions but have been delivered to the Board of directors five days before the annual general meeting is held instead of ten days prior to the announcement of the notice of general meeting shall be included in the agenda of the annual general meeting. Any proposed resolutions which have satisfied the above conditions but have not been delivered to the Board of Directors within the stated time limit shall be considered in the next general meeting. Any new distribution proposal presented by the first strong shareholder shall be submitted to the Board of Directors ten days before the annual general meeting is held, and announced by the Board of Directors. If the period is less than ten days, the first strong shareholder shall not make any new distribution proposals at that annual general meeting. The Board of Directors may request the proposers to amend proposed resolutions which do not satisfy the above conditions. The Board of Directors shall include in the agenda of the general meeting any amended proposed resolutions which have satisfied the above conditions in the above paragraph. The proposed resolutions shall become invalid and not be included in the agenda if the proposers do not amend the proposed resolutions or if amended proposed resolutions still do not satisfy the above conditions. The report of the Board of Directors submitted to the general meeting shall explain the handling of invalid proposed resolutions. Article 5.19 Minutes of General Meeting Minutes shall be prepared for general meeting recording the date, time and venue of the general meeting, the name of the Chairman of the general meeting, the agenda of the general meeting, a summary of comments given by each person present at the general meeting regarding every proposal, results of every resolution, inquires and suggestions made by the shareholders and the answers and explanations given by the directors and supervisors. The minutes shall be signed by the directors attending the general meeting and the person preparing the minutes, and shall be kept with the Company's records together with the sign-in book of the shareholders present at the general meeting and the letter of appointment of proxy. Article 5.20 Right to Initiate Proceedings Where resolutions passed at the general meeting contravene the laws and regulations or infringe the legal rights and interests of the shareholders, the shareholders are entitled to commence proceedings at the People's Court to stop such illegal acts and infringement. Article 5.21 Witness of lawyers The Company's Board of Directors shall invite a lawyer holding the securities trade qualification to attend the general meeting, who shall give legal advice on concerned problems and make announcement. Article 5.22 Rules of Procedure for Shareholders’ General Meeting The Company may set out rules of procedure. The rules of procedure shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 5.23 Announcement on the Resolution of the General Meeting of Shareholders The resolution of the general meeting of shareholders shall be announced in a timely manner, and the announcement shall indicate the number of shareholders and proxies that attended the meeting, the number of the total voting shares and its proportion to the total voting shares of the company, the voting method, the voting result of each proposal and detailed contents of each resolution. The domestic-share holders and the foreign-share holders attending the meeting and their voting are counted and announced separately. If a proposal is not adopted or the general meeting of shareholders modifies the resolution of any previous general meeting of shareholders, it shall give a special explanation in the announcement on the resolution of the general meeting of shareholders. Chapter 6 Board of Directors Article 6.1 Board of Directors The Board of Directors of the Company is the standing executive organization of the shareholders in general meeting and shall be accountable to the shareholders at the general meeting. Article 6.2 Election of the Board of Directors Directors shall be natural persons and shall be elected by the shareholders at the general meeting. A director mayor may not be a shareholder of the Company.The term of office for the directors is 3 years and is renewable on re-appointment.However, the renewed term of office for the independent directors shall not exceed 6 years. The term of office commences from the day on which the relevant resolution is passed. Any director who has any wrongdoing during the term of office may be dismissed by an ordinary resolution passed at the general meeting. Article 6.3 Responsibilities of Directors Directors shall abide by the laws and regulations and the Articles of Association, shall owe a fiduciary duty to the Company, shall be diligent to the Company, shall safeguard the interests of the Company, shall not seek personal interests by taking advantage of their position and powers, shall not engage in business which competes with the business of the Company or is detrimental to the interests of the Company and shall take the responsibilities as provided in Articles 59 to 63 of the Company Law. Article 6.4 Candidates for Directors Candidates for directors shall be nominated individually or jointly by the shareholders. In the election of the Board of Directors for a new term, persons nominated by the existing directors may also be the candidates for directors. Independent director candidates may be nominated by the Board of Directors, Supervisory Board, or a shareholder or shareholders holding 1% or more of the issued shares of the Company. Article 6.5 Composition of the Board of Directors The Board of Directors shall adopt the odd number system and shall consist of 9 directors with independent directors and directors. The Board of Directors shall have one chairman, one vice-chairman and three independent directors (at least one of them is the professional in accounting). The chairman and vice-chairman shall be the directors who are nominated by the shareholders, and may be elected or dismissed by more than half of all the directors. Article 6.6 Convening of Board Meetings Board meetings shall be held at least three times every year and shall be convened and presided by the Chairman. If the Chairman is unable to perform his duties, he may authorize the Vice-Chairman or other directors to take the chair. All directors shall be given ten day's notice of the board meeting. The notice of the board meeting shall specify the date and the venue of the board meeting name and the proposed resolutions to be passed at the board meeting. More than half of all the directors attending the board meeting shall be the quorum for board meetings. If the Chairman and the directors are unable to attend the board meeting, they may appoint proxies to attend the board meeting and vote on their behalf. Such appointment shall be in writing and the letter of appointment shall specify the authorities of the proxy. Directors who do not attend or appoint other directors as proxies to attend board meetings for two consecutive occasions shall be regarded as W1able to perform their duties and the Board of Directors may propose resolutions to the general meeting to dismiss such directors. Where the Board of Directors convenes an extraordinary board meeting, the method of giving notice of board meeting and the period of notice may be changed but all the directors shall be given five day's notice of the board meeting. Except with the consents of two-thirds or more of all the directors for holding the meeting in another place, the board meeting shall be held at the address of the Company. Article 6.7 Extraordinary Meetings The Board of Directors shall convene an extraordinary board meeting in the following circumstances: 1. where the Chairman deems it to be necessary; 2. where one-third of the directors suggest holding a board meeting; 3. where the General Manager of the Company suggests holding a board meeting; 4. where the Supervisory Board of the Company requests to hold a board meeting; 5. where more than half of all the independent directors requests to hold a board meeting. 6. shareholders holding 10% or more of the voting shares propose it. Article 6.8 Functions and Powers of the Board of Directors The Board of Directors shall have the following fW1ctions and powers: 1. to be responsible for convening general meetings and to report the work of the Board of Directors at the general meeting; 2. to implement resolutions passed at general meetings; 3. to elect the Chairman and Vice-Chairmen of the Board of Directors; 4. to determine on the production and business plans and investment strategies of the Company; 5. to formulate the annual financial budget and final accounts of the Company, and to propose the profits distribution plans) the issue of shares or loss offset plans; 6. to formulate plans for the increase or decrease of the Company's registered capital, to extend the number of shares to be subscribed) or to decide on matters in relation to the methods for the listing and trading of the shares of the Company, pledging, leasing, transfer and takeover of the material assets of the Company and plans for the issue of debentures; 7. to formulate plans for the division, merger, dissolution and liquidation of the Company; 8. to determine the establishment of the internal management authorities of the Company, and to examine and approve rules and systems concerning the internal management of the Company; 9. to supervise, co-ordinate and direct the management and operation of the Company and its associated companies and enterprises; 10. to stipulate the amendment scheme for the Articles of Association; 11. to appoint and dismiss the General Manager) and to appoint and dismiss deputy general manager and other senior management personnel in accordance with the general manager's nomination, and to determine their remuneration and method of payment; 12. to appoint and dismiss the secretary of the Board of the Directors; 13. to compile, verify and issue discloseable information of the Company; 14. to appoint intermediary organizations (except accountants) to provide professional services to the Company, to appoint the directors of the Company, associated companies and enterprises (including any directors representing the Company in the joint ventures) and to propose to the general meeting to appoint) dismiss or terminate the service of the accountants; 15. to formulate the standard of salary and employees' welfare standard as well as the reward and penalty system for the employees; 16. to handle important external affairs of the Company; and 17. other functions and powers as stipulated in the Articles of Association or conferred by the shareholders at general meetings. The restrictive power of the Board of Directors in risk investment with the assets of the Company: Risk investment range: refrigeration and air conditioning industry and other fields. Restrictive amount of fund for application: not exceeding 5% of the total assets audited most recently of the Company. Article 6.9 Duties and Powers of the Chairman The principal duties and powers of the Chairman are as follows: 1. to preside over and convene general meetings) to preside over board meetings and to represent the Board of Directors in reporting to the general meetings on the work of the Board of Directors; 2. to lead the work of the Board of Directors) to monitor and report the progress on the implementation of resolutions of the Board of Directors to the Board of Directors) to give guidance on the important business activities of the Company and to report important problems to the next board meeting; 3. to sign the share certificates of the Company and all documents and statements which shall be signed by the legal representative of the Company, to sign the resolutions and minutes of the board meetings and other important documents in the name of the Board of Directors; 4. to nominate candidates for the position of the General Manager for consideration and approval of the Board of Directors; 5. to exercise absolute discretion in decision-making and disposal concerning the business of the Company in emergencies arising from force majeure such as wars or serious natural disasters but such decision and disposal shall be made in the interests of the Company and shall be reported to the Board of Directors and shareholders at general meetings afterwards. 6. other duties and powers as stipulated in the Articles of Association or conferred by resolutions of the Board of Directors. Where the Chairman is unable to perform his duties for any reasons, he may authorize the Vice-Chairman or other directors to perform his duties on his behalf. Article 6.10 Dismissal of Directors Any director of the Company who commits any of the following acts during his term of office shall be dismissed in accordance with the procedures stipulated in the Articles of Association: 1. makes use of his position and powers to accept bribes or other illegal income or illegally takes the possession of the properties of the Company; 2. embezzles the funds of the Company or lends the funds of the Company to other persons or uses the Company's assets as security for the debts of other persons; 3. conducts business for himself or for others which competes with the Company or engages in activities which are detrimental to the interests of the Company; 4. affirmed by the securities administration department of the government as being prohibited to enter the market; 5. discloses without permission the confidential information of the Company which causes harm to the business and reputation of the Company; or 6. engages in other illegal activities as stipulated by the laws and regulations. Article 6.11 Resignation of Directors Directors may resign before the expiry of their terms of office. Unless a director's certain responsibilities have not been discharged, the resignation shall take immediate effect upon reporting to the Board of Directors and need not be approved by the shareholders in general meeting or the Board of Directors. The resignation in respect of the Chairman or a director who is also the general manager, shall become effective only after an examination in respect of the resignation has been conducted. Any director who cannot resign as certain responsibilities have not been discharged or has not passed the examination in respect of the resignation but terminates the term of office without permission shall be liable to compensate for any loss incurred by the Company as a result. Article 6.12 Voting by the Board of Directors The system of “one person, one vote” shall apply to the meeting of the Board of Directors. Any resolution of the Board of Directors shall be adopted by the majority of all directors. Any director, who is associated with the enterprise concerned in the resolution matter of the Board meeting, shall neither exercise his/her voting right nor exercise the voting right as the proxy of other director. Such a Board meeting can be held with the majority of unassociated directors attending and any resolution made at the meeting shall be adopted by the majority of unassociated directors. In case there are less than three unassociated directors attending the Board meeting, the matter shall be submitted to the general meeting of shareholders for review. Except with the approval of more than half of all the directors (excluding the interested directors) or the approval of shareholders in general meeting, directors shall not enter into any contracts or transactions with the Company. Article 6.13 Written Resolutions The Board of Directors may pass a written resolution without convening a board meeting provided that the written resolution shall be circulated among and signed by all the directors. A written resolution shall take effect from the day when it is signed by the last director. A written resolution shall have the same effect as other resolutions passed by the Board of Directors. Article 6.14 Rules of Decisions of the Board of Directors The Board of Directors may set out rules of decisions to ensure that the Board of Directors can operate effectively and perform their duties properly. The rules of decisions of the Board of Directors shall be implemented after they have been examined and approved by the shareholders in general meeting. Article 6.15 Minutes of Board Meeting Minutes of board meeting shall be prepared which shall record the agenda and the material contents of the board meeting including the date and venue of the board meeting, the name of the convener, the names of the directors present, the names of the directors who appoint proxies to attend the board meeting and the names of the proxies, the agenda, the voting method and result of every proposed resolution. The minutes shall be signed by all the directors present at the meeting (including the proxies appointed by the directors) and shall then be filed and shall not be destroyed for ten years.Directors are entitled to request to have certain notes recorded in the minutes. Directors shall be responsible for the resolutions of the board meeting. When the resolution of the Board of Directors is in contravention with the laws and regulations or the Articles of Association and causes serious losses to the Company, the directors approving the resolution shall be liable to compensate the Company. However, a director may be exempted from liabilities if it is proved and recorded in the minutes of board meeting that he objected to the relevant resolution during voting. Directors who neither attended the meeting, nor appointed proxies, nor provided written opinions regarding the relevant resolution at the time of the board meeting or prior to the board meeting, shall be regarded as not having expressed any objections and shall not be exempted from liabilities. Article 6.16 Secretary of the Board of Directors The Company shall have a secretary of the Board of Directors. The Secretary shall be appointed and dismissed by the Board of Directors and shall be the Company's senior management personnel responsible for the secretarial matters of the Board of Directors and be accountable to the Board of Directors. The Secretary of the Board of Directors shall perform the following duties: 1. to prepare and submit reports and documents issued by the Board of Directors and the shareholders in general meeting as required by the relevant government departments; 2. to make preparations for the board meetings and general meetings and to be responsible for preparing the minutes of the meetings and for the safekeeping of documents and minutes of the meetings; 3. to assist the Board of Directors to comply with the relevant laws and regulations, the Articles of Association and various rules of the Company in the performance of their duties; 4. to be responsible for the disclosure of the Company's information in accordance with the laws; 5. to be responsible for the safe-keeping of the register of shareholders and the seal of the Board of Directors; 6. to handle relevant matters arising between the Company and the directors, securities management departments, stock exchange, shareholders and other relevant organizations; 7. to perform other duties as authorized by the Board of Directors. The position of the Secretary may be taken up by a director of the Company, but where an act shall be done by a director and the Secretary in separate capacities, the director who is also the Secretary shall not act in dual capacities. Article 6.17 Independent directors Independent directors are the directors who do not hold any positions in the Company other than the director, and have no relationship with the Company or major directors which may disturb their independent and objective judgments. An independent director shall have good faith and give encouragement to the Company and all shareholders. He shall earnestly fulfill his obligations according to the concerned laws and regulations and these Articles of Association, and protect the overall interests of the Company, in particular, shall concern about and protect the legal rights and interests of medium or minority shareholders. To be an independent shall meet the following basic conditions: 1. holding the qualification to be the director of a listed company according to the laws, administrative regulations and other relevant regulations; 2. being independent; 3. having the basic knowledge about operations of a listed company, and being familiar with relevant laws, administrative regulations and rules; 4. having the experience in laws, economy or other fields necessary to be an independent director; and 5. other conditions stipulated in these Articles of Association. The following persons shall not act as the independent directors: 1. A person holding the position in the Company or its subordinate entities, and his lineal relative and those keeping major social relations with him; 2. A natural-person shareholder who directly or indirectly holds 1% or more of the shares having been issued by the Company or is one of the first ten shareholders, and his lineal relatives; 3. The personnel in a shareholder unit directly or indirectly holding 5% or more of the shares having been issued by the Company or which is one of the first five shareholders of the Company, and their lineal relatives; 4. Anyone who has been at the states listed in the above three items within the past year; 5. Anyone who provides service as an accountant, lawyer or consultant to the Company or its subordinate entities; 6. Other persons stipulated in these Articles of Association; 7. Other persons identified by the China Securities Regulatory Commission. Nominating, electing and replacing independent directors shall be according to the following procedure: 1. The Board of Directors, Supervisory Board or a shareholder or shareholders holding 1% or more of the issued shares of the Company may nominate independent director candidates, who shall be confirmed through voting at the general meeting; 2. Nominating an independent director shall obtain the consent from the nominated person. The nominating person shall have good knowledge about the occupation, educational background, professional qualification, detailed employment experience and all information about his part-time jobs of the nominated person, and shall give opinions about his qualification and independence as an independent director. The nominated person shall make public statements that he has no relationship with the Company which may disturb his independent and objective judgments; 3. Before the general meeting for voting the independent directors is held, the Company shall submit the information ab9ut all the nominated persons to the China Securities Regulatory Commission, its representative office at the location of the Company, and the stock exchange where the Company's shares are listed. If the Board of Directors has any objections about the conditions of any nominated person, the opinions in writing of the Board of Directors shall be attached. When the general meeting is held for electing the independent directors, the Board of Directors shall state whether or not the China Securities Regulatory Commission has any objections about the independent director candidates; 4. The term of office for the independent directors is the same as that for other directors of the Company, and is renewable on re-appointment. However, the renewed term of office shall not exceed 6 years; 5. In case of any independent director who does not attend personally the board meetings for successive three times, the Board of Directors shall submit a proposal to the general meeting for replacing him.Except for the cases above listed, and for the cases of preventing from being a director as stipulated in the Company Law, any independent director shall not be dismissed before expiration of his term of office. Anyone who is dismissed before expiration of his term of office shall be disclosed as a special matter. The dismissed independent director, if he thinks it improper that the Company dismisses him, may make public statement. 6. An independent director may resign from his office before expiration of his term of office. In this case, the independent director shall hand the written resignation over to the Board of Directors stating the conditions related to his resignation or that he thinks necessary to draw attentions from the Company's shareholders or debt creditors. If the independent director's resignation results in that the number of independent directors in the Board of Directors is less than the quorum, the resignation report of this independent director shall not come into effect until a successor makes up his position. Apart from the authorities of office endued by the Company Law and other relevant laws and regulations, an independent director has the following special authorities of office: 1. Major associated transactions (the associated transactions to be reached between the Company and the associated party with the total value more than RMB 3 million or 5% of the Company's net assets recently audited) shall be agreed by the independent director before submitted to the Board of Directors for discussion; The independent director may invite an agency to issue the independent financial consultant's report, by which he can make the judgment. 2. He can make a motion to the Board of Directors for engaging or dismissing an accountant firm; 3. He can submit a proposal to the Board of Directors for convening an extraordinary general meeting; 4. He can propose to convene a board meeting; 5. He can independently engage external auditors and consultants; 6. He can acquire votes from shareholders before a general meeting is held. The independent director's exercising the above special authorities shall be subject to consent of one half of all the independent directors. If the proposals as above listed are not adopted or these authorities of office are unable to be exercised normally, the Company shall disclose the information. The independent director shall present his independent opinions on the following matters at the board meeting or general meeting: 1. nomination or dismissal of directors; 2. employment or dismissal of senior staff members; 3. salary and remuneration standard for the Company's directors and senior staff members; 4. existing or new loans or other current accounts of the Company's shareholders, actually controlling persons and associated entities from or with the Company with the total value more than RMB 3 million or 5% of the Company's net assets recently audited; and the Company's actions to collect such loans; 5. matters which may damage the rights and interests of medium and minority shareholders in his opinion; 6. other matters stipulated in these Articles of Association. In order to ensure the effective exercise of independent director's authorities of office, the Company shall provide the necessary conditions as below: 1. The Company ensures the independent directors having the same right to learn the truth as other directors doing. For any matters to be decided through resolutions of the board meeting, the Company must inform the independent directors in a legal time with a complete set of documents delivered to them. If any independent director thinks the documents incomplete, he may ask for supplements. When two or more independent directors believe that the documents are incomplete or the demonstration is not clear, they may make a joint request in writing to the Board of Directors for postponing the board meeting or postponing review of that matter, and the Board of Director shall adopt it. 2. The Company offers the independent directors the work conditions necessary for their exercise of authorities. The secretary of the Board of Directors shall actively assist the independent director in his work. For any independent opinions, proposals and written statements made by the independent directors, which should be announced, the secretary shall timely deal with such announcements. 3. The concerned personnel of the Company shall cooperate in the independent director's exercise of authorities, without refusal, hindering, concealing, or intervening their independent exercise of authorities. 4. Expenses incurred in engagement of agencies by the independent directors and other expenses necessary for their exercise of authorities shall be borne by the Company. 5. The Company shall offer the independent directors appropriate allowances. The standard for the allowances shall be preplanned by the Board of Directors and adopted at the general meeting with disclosure on the Company's annual report. 6. The Company may establish the necessary liability insurance system for independent directors to minimize the independent director's risks in his exercise of authorities. Chapter 7 Supervisory Board Article 7. 1 Supervisory Board The Company shall have a Supervisory Board which shall be the supervising authority for the business operations of the Company. The Supervisory Board shall exercise a supervisory function over the senior management personnel such as the Board of Directors, individual directors and the general manager. The Supervisory Board shall be accountable to and shall report to the shareholders at general meetings. Article 7.2 Composition of Supervisory Board The Supervisory Board of the Company shall consist of three supervisors, two-thirds of whom shall be the representatives of the shareholders who shall be elected and dismissed by the shareholders in general meeting while the other one-third shall be the staff representative(s) of the Company who shall be elected and dismissed by the staff of the Company. The chairman of the Supervisory Board shall be elected and dismissed by more than two-thirds of all supervisors. Supervisors cannot concurrently be the directors, general manager, financial controller or other senior management personnel of the Company. Article 7.3 Term of Office of Supervisors A supervisor shall be appointed for a term of 3 years and may serve consecutive terms if reappointed. A supervisor may resign before the expiry of his term of office, and the provisions of Article 6.11 in respect of the resignation of directors are also applicable to supervisors. Article 7.4 Duties and Powers of the Supervisory Board The Supervisory Board shall have the following duties and powers: 1. Examining the Company’s regular reports prepared by the Board of Directors and giving the written opinions; 2. Examining the Company’s accounts; 3. Supervising the directors and senior management members’ act in their duty in the Company and proposing to dismiss those violating the laws and regulations, these Articles of Association or resolutions of the general meeting; 4. Requiring the director or senior management member, whose act impairs the Company’s interest, to correct; 5. Proposing to convene an extraordinary general meeting or convening and presiding over the general meeting if the Board of Directors fails to perform its duty to convene and preside over the general meeting according to the Company Law; 6. Presenting proposals to the general meeting; 7. Bringing suit against directors or senior management members according to Art. 152 of the Company Act; 8. Conducting investigations on any abnormality of the Company’s operation; and 9. Exercising other authorities granted by the laws and regulations, these Articles of Association or the general meeting of shareholders. The Company shall be responsible for all costs arising from the engagement of professionals such as lawyers, registered accountants and auditors incurred by the Supervisory Board in the exercise of its functions. Article 7.5 Report of Illegal Activities Where the Board of Directors and the general manager act in contravention of any statutory regulations and the Articles of Association of the Company, the Supervisory Board shall promptly stop them. If the actions taken to stop the said activities prove to be ineffective, the situation shall be reported to the shareholders in general meeting and the relevant government authority. Article 7.6 Meetings of the Supervisory Board The Supervisory Board shall hold at least three meetings every year. The Supervisory Board shall hold at least one meeting every six month. Meetings of the Supervisory Board shall be convened by the chairman of the Supervisory Board and the chairman of the Supervisory Board shall decide on the time and method of giving notice of meeting. The notice of meeting shall include the date, the agenda and the venue of the meeting and the date of notice. Meetings of the Supervisory Board shall be presided over by the chairman of the Supervisory Board. In the event that he is not able to attend a meeting, he shall appoint another supervisor to preside over the meeting on his behalf. Where no appointment has been made, those supervisors who are present at the meeting shall elect a supervisor to preside over the meeting. Article 7.7 Special Meetings of the Supervisory Board The chairman of the Supervisory Board may convene special meetings based on actual needs or at the request of more than one-third of the supervisors. When requesting to convene a special meeting of the Supervisory Board, the supervisors shall clearly state the reason and purpose of the meeting. Article 7.8 Resolutions of the Supervisory Board Resolutions of the Board of Supervisors shall be adopted by the majority of all supervisors. Supervisors have the right to speak in the meetings of the Supervisory Board.The Supervisory Board shall put all proposed resolutions raised by any supervisors for voting. Article 7.9 Minutes of the Meeting of the Supervisory Board Minutes of the meetings of the Supervisory Board shall be prepared and signed by the supervisors and the recorder present at the meeting. The supervisors are entitled to request certain matters to be noted in the minutes with respect to his opinions expressed. The provisions of Article 6.15 in relation to the preparation of the minutes of board meetings are also applicable to those of the meeting of the Supervisory Board. Article 7.10 Dismissal and Compensation Supervisors shall abide by all the laws and regulations and the Articles of Association and shall act in good faith and diligently. The provisions of Articles 6.10 and 6.15 with respect to the dismissal of and the compensation to the directors are also applicable to that of the supervisors. Chapter 8 Business Management Structure Article 8.1 General Manager and Deputy General Manager The Company shall adopt a system whereby the general manager assumes responsibility under the leadership of the Board of Directors. There shall be one general manager and several deputy general managers. Under the leadership of the Board of Directors, the general manager shall be responsible for the management of the day-to-day operations of the Company. The deputy general managers shall assist the general manager in his work and when the general manager is unable to perform his duties for any reason, the Board of Directors shall authorize a deputy general manager to perform the duties of the general manager. The Company shall have several functional departments working under the leadership of the general manager. The general manager is appointed for a term of 3 years and can serve consecutive terms if reappointed. Article 8.2 Election The general manager shall be nominated by the chairman and appointed by the Board of Directors. The deputy general managers and other senior management personnel shall be nominated by the general manager and appointed by the Board of Directors.The general manager and deputy general managers may also be the members of the Board of Directors. Any person who holds the position other than a director in the Company’s controlling shareholder or actual controller’s unit shall not hold any position in the senior management of the Company. Article 8.3 Resignation The general manager and deputy general manager can resign before the expiry of his term of office. A resignation report submitted to the Board of Directors shall only be effective after an examination on the resignation report has been completed. Those who resign before the examination is completed shall be responsible for any economic loss suffered by the Company. Article 8.4 Duties and Powers of the General Manager The general manager shall have the following duties and powers: 1. to attend the board meetings, to implement the Company's Articles of Association and resolutions passed at general meetings and board meetings, to be directly accountable to the Board of Directors and to report to the same on his work; 2. to be fully responsible for the Company's operation, management and routine business; 3. to formulate the Company's production, operation and development plans and the annual financial and accounting plans, and to propose the profits distribution plans and losses offset plans; 4. to organize and prepare the Company's basic management systems, basic regulations and to render opinions on the establishment and adjustment of any part of the Company structure and to submit them to the Board of Directors for approval before implementation; 5. to nominate the deputy general managers and other senior management personnel and to appoint or dismiss other management personnel who are not required to be appointed or dismissed by the Board of Directors; 6. to decide on matters relating to the staff of the Company including rewards or penalties, promotion or demotion, increase or decrease in salary, appointment, dismissal and termination of service; 7. within the scope authorized by the Board of Directors, to represent the Company in handling external affairs and to enter into economic contracts and agreements, to represent the Company in performing obligations under the contracts and to check and supervise in order to ensure that all departments of the Company comply with the terms and conditions specified in the contracts; 8. to sign and issue documents concerning the daily business, the financial expenses and the administration of the Company; 9. to exercise other functions conferred by the Board of Directors. The general manager shall not, in performance of his duties, change the resolutions of the shareholders passed at general meetings and the resolutions of the Board of Directors and shall not exceed the authorized scope of his powers. Article 8.5 Duties and Powers of the Deputy General Manager The deputy general managers shall have the following duties and powers: 1. to assist in the work of the general manager and in the case where the general manager cannot exercise his duties and powers, to act on his behalf with the authorisation of the Board of Directors. 2. to be responsible for the management of the work of the designated departments. Article 8.6 Limitations on the Conduct of the Management Personnel 1. The directors, the general manager and the staff at all levels shall not engage in activities which compete with or jeopardise the interests of the Company. All the income received from the above activities shall belong to the Company. 2. The remuneration of the general manager and his interests in the Company shall be stated in the annual report. 3. The directors, the supervisors, the general manager and other senior management personnel shall not receive bribes or other illegal income in any way and shall not misappropriate the Company's properties to seek personal gain nor use the Company's assets as security for the liabilities of the Company's shareholders or other individuals. 4. Except with the approval of more than half of the directors (excluding the directors with an interest) or the approval of shareholders in general meetings, the general manager shall not enter into any contracts or transactions with the Company. 5. The directors, the supervisors and the general manager shall observe the Articles of Association, shall perform their duties in good faith, shall protect the Company's interests, and shall not make use of their office and powers in the Company to seek personal gain. 6. Under anyone of the following situations, a person shall not take the office of a director, the supervisor or the general manager of the Company: (1) a person has no legal capacity or his legal capacity is restricted; or (2) in any other situations where the laws or regulations provide that a person is unsuitable for taking the office of a director, a supervisor or the general manager. Article 8.7 Penalties Where the Company suffers economic losses as a result of the contravention of the laws and regulations, the Articles of Association or the resolutions passed by shareholders in general meetings, practice of favoritism, malpractice or neglection of duties by senior management personnel such as the directors or the general manager) depending on the circumstances and upon approval by the Board of directors, the following punishments shall be imposed: 1. to restrict their rights; 2. to remove them from their office; 3. to hold them liable for any resulting economic loss; 4. where there is violation of law, to initiate proceedings in a judicial authority pursuant to the laws and to hold them legally liable. Chapter 9 Labour and Personnel Management Article 9.1 Labour and Personnel Management and Salary The Company is entitled to employ staff and to formulate its personnel management policies at its own discretion in accordance with the Labour Law of the People's Republic of China and statutory regulations and policies concerning labour and personnel management of Liaoning Province and Dalian Municipality. The Company is entitled to determine the salaries of the salaried personnel and the method of payment at its own discretion in accordance with the laws. Article 9.2 Employment Contracts The Company shall enter into employment contracts with its staff and workers to provide for the employment relationship and to clarify the rights and obligations of both parties. The Company is entitled to impose administrative penalties on unqualified staff, even to the extent of their dismissal or discharge from the Company. An employee who is dismissed shall be given one month's notice and shall be entitled to address his grievances to the relevant department of the Company and government department. Employees of the Company have the freedom to resign provided that necessary procedures in accordance with the Company's personnel management policies must be complied with. Resigning employees who fail to follow the prescribed procedures shall be liable for any economic loss suffered by the Company. Article 9.3 Employees Welfare The Company shall allocate funds to cover the insurance for the medical treatment, retirement and unemployment of its employees in accordance with the relevant laws and regulations of the State and Liaoning Province. Employees shall enjoy the corresponding insurance benefits. Article 9.4 Health and Safety at Work Labour protection and the related disputes shall be dealt with in accordance with the Labour Law of the People's Republic of China and other relevant statutory regulations. Article 9.5 Holidays The staff of the Company shall be entitled to holidays in accordance with the provisions of the laws and regulations of the State. Article 9.6 Labour Union The Company's employees are entitled to form a labour union, to organize union activities and to safeguard their legal interests in accordance with the Labour Union Law of the People's Republic of China and other relevant regulations. The labour union of the Company is the representative of the staff's interests. Its primary objective is to protect the rights and material interests of the staff in accordance with the laws, to assist and supervise the use of the Company's reserves and public welfare fund, to organize the education of the staff on science and technology and to develop cultural and sports activities. When the Board of Directors of the Company is deciding on matters concerning the staff's personal interests including salaries, benefits, industrial safety, labour protection and labour insurance, the labour union and the staff of the Company shall be consulted and the representatives of labour union shall be invited to attend the relevant meetings. Chapter 10 Finance, Accounting and Auditing Article 10.1 Financial Systems The Company shall formulate its financial and accounting system and internal auditing system and shall prepare quarterly reports, interim reports and annual reports in accordance with the relevant laws and regulations of the State. Article 10.2 Accounting Year The Company shall adopt the Gregorian calendar year as its accounting year, which shall begin on 1st January and end on 31st December of each year. Article 10.3 Book-keeping System The Company shall adopt the accrual basis of accounting and the debit and credit double entry system as commonly used worldwide. Article 10.4 Denomination of Currency The Company shall adopt the Renminbi as the denomination of currency in preparation of its accounts. When converting Renminbi into other currencies, the exchange rate shall be fixed at the median of the buying and selling rates at the foreign exchange trading market as published by the People's Bank of China on the actual day of conversion. Business conducted in currencies other than the Renminbi shall be processed in accordance with the relevant laws and regulations relating to the foreign currency administration of the State. Article 10.5 Language for Bookkeeping The Company's vouchers, account books and statements shall all be prepared in Chinese.Books and statements may also be prepared in English if necessary, but the Chinese version shall prevail. Article 10.6 Quarterly Report, Interim Report and Annual Report An accounting firm registered in the People's Republic of China with authority to undertake securities business shall be appointed to examine and audit the Company's annual report and the audit report issued by the said accounting firm shall prevail. The Company's quarterly report, interim report and annual report shall be prepared according to the relevant laws and regulations. The Company's quarterly report shall be worked out within 30 days respectively after the third month and the ninth month of each accounting year, the interim report shall be worked out within 60 days after the first 6 months of each accounting year while the annual report shall be worked out within 120 days of the closing of the accounting year. Article 10.7 Statements The Company's accounting statements, statistical statements and relevant financial documents shall be submitted regularly to the financial department, taxation department and statistics department of the State. A copy of such documents shall be submitted to the government department in charge and shall be kept in the Company for shareholders' inspection. All accounting statements shall be kept by the Company for at least 10 years. Article 10.8 Financial Report For each accounting year, the Company shall maintain its financial report audited by an accounting firm at the registered address of the Company for the shareholders to inspect and photocopy and shall publish the financial report in accordance with the laws and regulations and the Articles of Association. The balance sheet and the profit and loss account for the accounting year shall be audited and signed by a registered accountant. Upon receipt of a shareholder's written request for the financial report and the relevant payment for reasonable printing and postage costs, the Company shall send out the financial report within three business days. The Company's financial report shall include (but not limited to) written explanations of the financial condition, a balance sheet (only applicable to an annual report), a statement on changes in financial position and a statement on profits distribution. Where necessary, the aforesaid financial statements may be presented in a summary form or as a brief report. Article 10.9 Internal Audit The Company shall adopt an internal auditing system. As prescribed in the Articles of Association, the internal auditing department shall carry out internal auditing and supervision of the Company's income and expenditure and economic activities under the leadership of the Board of Directors, and it shall be accountable to the Board of Directors. Article 10.10 Common Reserves The Company shall set up two kinds of common reserves: 1. Surplus common reserve which is divided into two kinds: (1) Statutory surplus common reserve. The Company shall allocate from the after-tax profits of the current year an amount not less than 10 per cent thereof to the surplus common reserve. However, in the event that the surplus common reserve has reached 50 per cent of the issued share capital, the allocation may be stopped; (2) Discretionary surplus common reserve shall be allocated and utilized in accordance with resolutions passed by shareholders in general meetings. 2. Capital common reserve. common reserve. The following sums shall be allocated to the capital: (1) premiums generated from the issue of securities in excess of their nominal value; (2) donations received; (3) other amounts which shall be included pursuant to the regulations of the State. Article 10.11 Use of Common Reserves The public reserve fund of the company is used for making up the company’s deficit, expanding production and business of the company or being transferred for increase of the capital of the company. However, the capital surplus shall not be used for makeup of the company’s deficit. When the statutory surplus common reserve has been converted into capital, the balance of the statutory surplus common reserve shall not be less than 25 per cent of the registered capital. Article 10.12 Appointment of certified public accountants The Board of Directors shall not appoint any certified public accountants before the general meeting adopts the resolution. Chapter 11 Profits Distribution Article 11. 1 Paying Taxes in accordance with the Laws The Company shall implement the relevant taxation system of the State, shall pay taxes to the government in accordance with the laws and to accept the examination and supervision of the financial and taxation authorities of the State. Article 11.2 Distribution of After-tax Profits The Company's annual after-tax profits shall be distributed according to the following order and ratio: 1. for offsetting the losses of the previous year; 2. 10 per cent allocation to the statutory surplus common reserve; 3. allocation to discretionary surplus common reserve; 4. payment of dividends. The distribution ratio of the after-tax profits shall be recommended by the Board of Directors in accordance with the Company's business situation for the current year and shall be submitted to the shareholders in general meeting for examination and approval. It shall not be drawn any more in case the company’s accumulated legal reserve exceeds 50% of its registered capital. The company’s after-tax profit after any loss is made and the reserve is drawn should be distributed according to the shareholding of the shareholders, except that the profit can not be distributed according to the shareholding as specified in the Articles of Association. If the shareholders general meeting breaks the above regulation and distributes profit to the shareholders before making up the loss and drawing the legal public reserve, the shareholders must return to the company the profit distributed by breaking the regulations. The shares held by the company itself has nothing with the profit distribution. If the shareholders general meeting adopts resolutions on the profit distribution plan, the board of directors of the company shall finish the distribution of dividend (or share) within two months after the shareholders general meeting. Plan to repay the shareholders of the company: The company emphasizes ratioal investment return of shareholders and considers concurrently the sustainable development of the company. The company implements a positive profit distribution policy and maintains its continuity and stability. In principle, the company distributes dividends once each year and does this by cash in priority. The company will strive to distribute dividends in cash at a proportion exceeding the minimum proportion as regulated by the Articles of Association of the company. Profit distribution decision-making procedure and mechanism of company: In drawing up the profit distribution preplan each year, the company should consider comprehensively such factors as the characteristics of the industry it is in, development stage, self operation mode, profit level, cash flow position and important fund disbursement arrangement, etc. The above profit distribution preplan can be submitted to the general shareholder meeting for review subject to agreement by more than half of all directors and independent directors expressing their explicit opinions on this. When the Board of Directors of the company reviews the above profit distribution preplan, it should carefully study and demonstrate such matters as company cash dividend distribution opportunity, condition and minimum proportion, etc. When the company reviews the above profit distribution preplan by holding a general shareholders meeting, it should communicate and exchange with shareholders, especially medium and small shareholders on its own initiative through multiple channels, sufficiently listen to the comments and appeals of medium and small shareholders and reply questions that medium and small shareholder concern about. Condition, decision-making procedure and mechanism for company to adjust profit distribution policy: In case of any force majeure or a substantial change in the external operating environment or self operation condition of the company, the company may adjust the profit distribution policy. The Board of Directors of the company is under way of studying and demonstrating the profit distribution policy. It should consider sufficiently the opinions of independent directors and medium and small shareholders; after adjustment, the profit distribution policy should not violate related regulations of China Securities Regulatory Commission and the securities exchange. An adjusted profit distribution policy can be submitted to the general shareholders meeting for review only subject to agreement by more than half of all directors and the independent directors making explicit comments. When the general shareholders meeting reviews an adjusted profit distribution policy, the voting method should meet related regulations of China Securities Regulatory Commission and the securities exchange and be passed by over 2/3 of voting rights held by the attending shareholders (including shareholder’s representatives). Article 11. 3 Dividends In principle, the Company shall distribute dividends based on the number of shares in issue once every year after the Company's final accounts at the end of the year (except pursuant to special resolutions passed by the shareholders’ general meeting). No fixed dividends shall be paid for ordinary shares and dividends may be paid in the following manner: 1. Cash: Cash dividends shall be declared in Renminbi. Dividends in respect of domestic shares shall be paid in Renminbi whereas dividends in respect of foreign investment shares shall be paid in Hong Kong Dollars. The exchange rate of Renminbi to Hong Kong Dollars shall be referred to the median exchange rate as quoted by the People's Bank of China on the first business day after the date of the general meeting. 2. Shares: Shareholders may receive proportional bonus shares for the types of shares they hold in accordance with the laws. When the company distributes share dividends, it shall adopt cash dividend distribution method in priority. The company may, under the prerequisite of meeting cash dividend distribution proportion requirement, distribute profits by presenting bonus shares. When making profit distribution with bonus shares, such true and reasonable factors as company growth, dilution of net asset value per share, etc. should be available. When the company makes profit distribution, the minimum proportion of cash dividend distribution accounting for this profit distribution should reach 20%. The amount of dividend in cash distributed annually by the Company shall not be less than 10% of the net profit of the Company in that year, or the accumulated amount of dividend in cash in the past three years shall not be less than 30% of the annual net profit on the average made in the past three years. Article 11.4 Income Tax for Dividends When distributing dividends and bonuses, the Company shall withhold and pay on behalf of the shareholders taxes payable on dividends in accordance with the laws. After payment of tax, the dividends and other entitlements arising from the foreign investment shares may be remitted abroad. Article 11. 5 Notice of Distribution of Dividends The Company shall inform shareholders of distribution of dividends by publishing announcements in the newspapers specified in Chapter 14 of the Articles of Association. Chapter 12 Merger and Division Article 12.1 Resolutions and Approval Mergers or divisions of the Company shall be effected in accordance with the stipulations of the Articles of Association. A merger or division plan shall be adopted by the Board of Directors and relevant resolution shall be passed by shareholders in general meeting. A merger or division plan shall be submitted to the relevant examining and approving authority for approval. Article 12.2 Method and Procedures Mergers of the Company may be carried out by takeover or establishment of a new entity, and divisions of the Company may be carried out by sub-division or establishment of new entities. Mergers or divisions of the Company may be carried out in accordance with the following procedures: 1. the Board of Directors formulates the plans for merger or division; 2. all the parties involved in the merger or division sign a merger or division agreement; 3. shareholders in general meeting pass relevant resolution in accordance with the Articles of Association; 4. report to the departments authorized by the State Council for approval; 5. sort out matters in relation to financial claims and liabilities in accordance with laws, and 6. comply with the registration procedures. Article 12.3 Sorting Out Financial Claims and Liabilities Within ten days after the passing of a resolution regarding merger or division by the shareholders in general meeting, notice shall be given to all the creditors. Such notice shall also be published in the newspapers specified in Chapter 14 within 30 days of the date of the resolution. Creditors who have received the notice are entitled within 30 days of the date of the notice, and creditors who have not received the notice are entitled within 45 days of the announcement, to request the Company to settle the debts or provide security for the liabilities. Article 12.4 Registration of Change The parties involved in a merger and division shall submit an application to the examining and approving authority of the State after the relevant agreement has been signed and shall within 30 days after obtaining the approval apply to the relevant company registration authority to register the change of registration of the original company or the establishment of the new company, or to cancel the registration of the original company, shall report to the taxation authority in charge to register the change in the particulars of the registration or to re-register or cancel the registration and shall publish an announcement in accordance with in Chapter 14 of the Articles of Association. Chapter 13 Dissolution and Liquidation Article 13.1 Conditions for Dissolution of the Company The Company shall be dissolved and liquidated on the occurrence of one of the following events: 1. The Company declares insolvent in accordance with the laws due to inability to settle debts due; 2. The Company is ordered to close down due to the serious violation of the laws and regulations of the State causing harm to the interests of the public; 3. The shareholders in general meeting decide that the Company should be wound up; 4. The Company has to be wound up due to the merger or division of the Company. Article 13.2 Liquidation after Dissolution The liquidation of the Company after termination shall be carried out according to the relevant procedures as stipulated by the laws as applicable to the particular cause of dissolution: 1. When the Company is declared insolvent in accordance with the law due to its inability to repay its debts due, the People's Court shall, in accordance with the relevant laws, organize the shareholders, the relevant authorities and the professionals to set up a liquidation committee to liquidate the Company; 2. When the Company is ordered to terminate its operation due to its contravention with the laws and regulations of the state and infringment of the public interests, the relevant authorities in charge shall organize the shareholders, the relevant authorities and the relevant professionals to set up a liquidation committee to liquidate the Company; 3. If the dissolution is consequential to a resolution of shareholders in general meeting, the liquidation committee shall be set up within 15 days from the date of the passing of such resolution and the members of the liquidation committee shall be selected by an ordinary resolution of shareholders in general meeting; 4. If the Company is terminated due to the dissolution resulting from a merger or division, the liquidation shall be carried out by all the parties involved in the merger or division in accordance with the relevant agreement signed in connection with the merger or division. Article 13.3 Prohibition of New Business Activities After the liquidation committee has formed, the duties of the Board of Directors and the general manager shall be terminated immediately. During the period of liquidation, no new business activities shall be carried out by the Company. Article 13.4 Notice of and Application for Liquidation The Company shall inform its creditors within 10 days and a relevant announcement shall be published in accordance with Chapter 14 of the Articles of Association within 60 days after the establishment of the liquidation committee. Creditors who have received notice in writing shall, within 30 days upon receipt of the notice, or those who have not received notice in writing shall, within 45 days from the date of the announcement of the notice, declare their claims. When creditors declare their claims, they shall specify the relevant matters in relation to the claims and shall provide proofs of debt. The liquidation committee shall register the claims. Creditors who fail to file their claims within the above specified period shall not be included in the liquidation and can only request their debts to be settled from the remaining undistributed assets except for those creditors who believe that the Company is aware of their claims but fails to give them notice and are able to produce evidence of their claims. Article 13.5 Duties and Powers of Liquidation Committee The liquidation committee shall have the following duties and powers: 1. to examine the Company's properties, to prepare a balance sheet and a list of assets and to compile a liquidation plan; 2. to notify creditors or to make announcements; 3. to deal with and settle the outstanding business of the Company; 4. to settle outstanding taxes; 5. to deal with the Company's creditors and debtors and to dismiss the Company's staff; 6. to dispose of the remaining assets of the Company after settling the debts; 7. to represent the Company in civil legal proceedings; 8. to handle other matters specified by the laws and regulations and the Articles of Association. Article 13.6 Limitations on the Duties and Powers of the Liquidation Committee The liquidation committee shall not arrange settlements with creditors during the period for the filing of claims against the Company. The Company shall not however be released from the responsibility of compensating damages caused as a result of the deferred settlement. Notwithstanding the above, the liquidation committee may, with the permission of the court, settle those secured debts which will not prejudice the interests of other creditors. Article 13.7 Insolvency Declaration Whenever it is found that the Company's assets are insufficient to settle the debts, the liquidation committee shall immediately stop liquidation proceedings and shall lodge an application with the People's Court in accordance with the relevant procedures to declare the Company insolvent. Upon a ruling by the People's Court that the Company be declared insolvent, the liquidation committee shall hand over the liquidation matters to the insolvency committee. Article 13.8 Order of Payment After the liquidation plan has been approved by shareholders in general meeting or the relevant government authority in charge, the Company's assets shall be appropriated to meet the liquidation expenses and thereafter be used for other payments in the following order: 1. salaries for the staff and labour insurance premium; 2. outstanding tax payments; 3. repayment of bank loans, the Company's bonds and other debts. Having settled liabilities according to the above order, the remaining assets shall be distributed to the shareholders in proportion to their respective shareholdings. Financial distributions in contravention of the aforesaid liquidation order shall be invalid. Creditors shall be entitled to demand the liquidation committee to recover the invalid distributions and to request compensation for any that losses incurred. Article 13.9 Cancellation of Registration Upon completion of liquidation, the liquidation committee shall present a liquidation report and shall prepare a statement of income and expenditure and various financial account books for the liquidation period. Upon certification by an accounting firm and approval by shareholders in general meeting and the relevant government department in charge, the liquidation committee shall lodge an application with the registration authority for cancellation of registration within 30 days from the granting of the approval and shall cancel the Company's registration at the taxation authority, pay all outstanding taxes, cancel tax payment invoices and relevant papers issued by the taxation authority, and announce the winding-up of the Company. Chapter 14 Disclosure of Information Article 14.1 Legal Basis Disclosure of information of the Company shall be subject to the requirements of the laws and regulations such as the \"Company Law\", \"Provisional Regulations on the Administration of the Issue and Trading of Shares\" and \"Detailed Implementing Rules on Disclosure of Information for Companies Issuing Shares to the Public\" and other stipulations regarding disclosure of information of the Stock Exchange on which the shares of the Company are listed. Article 14.2 Approval from Supervisory Authorities Before any disclosure of material events pursuant to the Articles of Association, the Company shall report to the China Securities Regulatory Commission and the stock exchange on which the shares of the Company are listed about the method and the contents of the disclosure. The announcement shall not be made until their approvals have been granted. Article 14.3 Mode of Announcement The announcements on material matters (including announcements of interim financial reports and annual financial reports to shareholders) as required by the provisions hereof and other relevant regulations shall be published in Chinese in the People's Republic of China in at least one of the national newspapers designated by the China Securities Regulatory Commission and at the same time in both Chinese and English overseas (including Hong Kong, Macau and Taiwan) in at least one Chinese and one English newspaper. Where any discrepancies arise between the Chinese version and the English version in relation to the understanding and the interpretation of the announcement concerned, the Chinese version shall prevail. Article 14.4 Joint Liabilities The Board of Directors shall warrant that all information and documents disclosed to the public is true and do not contain any statements which are severely misleading or have important omission. All the members of the Board of Directors shall be jointly responsible for this. Article 14.5 Management of Relationship with Investors The company shall establish and perfect the work system for investors’ relationship management and shall strengthen actively communications and exchanges with shareholders, especially the social public ones, in multiple ways. The secretary of the Board of Directors of the Company shall be responsible concretely for the work of investor’s relationship management. Chapter 15 Amendment of the Articles of Association Article 15.1 Amendment to the Articles of Association The Company may amend the Articles of Association as required by changes in the relevant laws and regulations and the actual situation of the Company. Any amendment to the Articles of Association shall be made in accordance with the procedures prescribed herein. Article 15.2 Procedures for Amendments When amending the Company's Articles of Association, the following procedures shall be followed: 1. A resolution to amend the Articles of Association shall be passed by the Board of Directors which shall propose the amendment: 2. The shareholders shall be informed of the proposed amendments and a general meeting shall be convened to vote on the proposed amendments; 3. The shareholders in general meeting shall vote on the proposed amendments. If the resolution obtaining the number of affirmative votes specified in Article 5.15 of the Article of Association shall be passed. 4. The amended Articles of Association shall be registered in a manner as required by the registration authority and a relevant announcement shall be published. Article 15.3 Inspection and Filing After the Articles of Association have been amended, the amended Articles of Association shall be kept at the registered address of the Company for shareholders' inspection and shall be filed for record with the Dalian Securities Administration Office and the stock exchange on which the shares of the Company are listed. Chapter 16 Supplementary Provisions Article 16.1 Parts of Articles of Association All supplementary resolutions, articles of association and details relating to the Articles of Association passed by the shareholders in general meeting of the Company shall be integral parts of the Articles of Association. Article 16.2 Settlement of Matters Not Covered Matters not covered by the Articles of Association shall be resolved at the next general meeting of shareholders in accordance with the Company Law and the relevant regulations. Article 16.3 Other Rules and Systems All rules and systems adopted by the Company which are inconsistent with the Articles of Association shall all be invalid. Article 16.4 Power of Interpretation of the Articles of Association The Board of Directors may interpret the provisions of the Articles of Association but the power of amendment shall be vested in the shareholders in general meetings. Disputes shall be dealt with in accordance with the procedures prescribed in the Articles of Association. Article 16.5 Effect of Figures The terms \"above\", \"before\", \"at least\", and \"within\" as mentioned in the Articles of Association shall be construed as inclusive of the figure itself. Article 16.6 Taking Effect 1. The Articles of Association have been passed by the shareholders in general meeting; 2. The Company has completed the issue of 115,000,000 domestically listed foreign investment shares to foreign investors and the shares issued have been fully paid-up; 3. After the completion of the above-mentioned share issue, the Company has registered the Articles of Association with the Dalian Administrative Bureau for Industry and Commerce. Article 16.7 Arbitration and Applicable Laws Disputes or claims regarding the rights and obligations specified in the Articles of Association and the relevant laws and regulations arising between the shareholders of the domestically listed foreign investment shares and the Company, between the shareholders of the domestically listed foreign shares and the Company's directors, supervisors, general manager or other senior management personnel, and between the shareholders of the domestically listed foreign shares and the shareholders of Renminbi ordinary shares, shall be handled by the China International Economic and Trade Arbitration Commission in accordance with its arbitration rules. The provisions of the above paragraph does not apply to cases in which the shareholders may initiate proceedings at the People's Court pursuant to Articles 5.20 and 6.17. Any disputes concerning the Articles of Association shall be governed by laws of PRC.
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大连冷冻机股份有限公司公司章程(2014年5月)(查看PDF公告PDF版下载)
公告日期:2014-05-21
大连冷冻机股份有限公司 公司章程 大连冷冻机股份有限公司 公司章程 2013 年度股东大会审议通过 大连冷冻机股份有限公司 公司章程 目 录 第一章 总则………………………………………… 2 第二章 经营宗旨、范围和方式…………………… 4 第三章 注册资本、股份与股票…………………… 5 第四章 股东…………………………………………12 第五章 股东大会……………………………………15 第六章 董事会………………………………………27 第七章 监事会………………………………………41 第八章 经营管理机构………………………………44 第九章 劳动与人事…………………………………48 第十章 财务、会计与审计…………………………49 第十一章 利润分配……………………………………53 第十二章 合并与分立…………………………………56 第十三章 解散与清算…………………………………57 第十四章 信息披露……………………………………61 第十五章 章程修改……………………………………62 第十六章 附则…………………………………………63 大连冷冻机股份有限公司 公司章程 第一章 总则 第 1.1 条 章程宗旨 为确立大连冷冻机股份有限公司(下称“公司”)的法律地位, 规范公司的经营管理和组织行为,保障公司、股东和债权人的合法权 益,根据《中华人民共和国公司法》(下称“公司法”)和其它有关法 律、法规和规章,特制订本章程。 第 1.2 条 公司名称、住所、法定代表人 公司的中文名称为:大连冷冻机股份有限公司 公司的英文名称为:Dalian Refrigeration Co., Ltd. 公司的住所为:中国大连市沙河口区西南路 888 号 邮政编码:116033 公司董事长为公司的法定代表人。 第 1.3 条 公司设立方式 公司系依照《股份有限公司规范意见》和其他有关规定成立的股 份有限公司。公司已按照有关规定,对照“公司法”进行了规范,并 依法履行了重新登记手续。 公司系根据大连市经济体制改革委员会“大体改委发股字 (1993)7 号”文件,由大连冰山集团有限公司作为发起人,以募集方 式,经大连市国有资产管理局的授权,以原大连冷冻机厂国有资产折 股作为国家股并经中国证券监督管理委员会批准后通过发行法人股、 社会公众股和内部职工股而成立。 公司于一九九三年十二月十八日在大连市工商行政管理局注册 登记,领取了营业执照,营业执照号码为 24236130-0。 公司于 1993 年 9 月 21 日经中国证券监督管理委员会批准,首次 向社会公众发行人民币普通股 30,000,000 股,并于 1993 年 12 月 8 大连冷冻机股份有限公司 公司章程 日在深圳证券交易所上市。公司向境外投资人发行的以外币认购并且 在境内上市的境内上市外资股为 115,000,000 股,并于 1998 年 3 月 20 日在深圳证券交易所上市。 第 1.4 条 公司的组织形式 公司的组织形式为股份有限公司,即公司的全部资产划分为等额 股份,股东以其持有股份为限对公司承担责任,公司以其全部资产对 公司的债务承担责任。 第 1.5 条 公司的法律地位 公司具有独立的企业法人资格,其行为受中国法律约束,其合法 权益受中国法律保护。公司拥有包括国家在内的股东投资形成的全部 法人财产权,在经营、管理、财务收支等方面享有独立自主权,并依 法享有民事权利和承担民事责任。 第 1.6 条 公司的入股原则 公司遵循入股自愿、同股同权、收益共享、风险共担的原则。 第 1.7 条 对外投资 公司可以向其他有限责任公司、股份有限公司投资,并以其出资 额为限对所投资公司承担责任。 公司不得成为任何营利性机构的无限责任股东。 第 1.8 条 对外担保 公司不得为控股股东及本公司持股 50%以下的其他关联方、任何 非法人单位或个人提供担保。公司对外担保总额不得超过最近一个会 计年度合并会计报表净资产的 50%。 公司对外担保的审批程序:公司对外担保必须经公司股东大会或 董事会批准;担保金额占公司最近经审计净资产 10%以下的对外担保 事项,由公司董事会经全体董事的 2/3 以上同意后予以批准;担保金 额占公司最近经审计净资产 10%及以上的对外担保事项,由公司股东 大连冷冻机股份有限公司 公司章程 大会批准。公司及控股子公司的对外担保总额,达到或超过最近一期 经审计净资产的 50%以后提供的任何担保,由公司股东大会批准。公 司的对外担保总额,达到或超过最近一期经审计总资产的 30%以后提 供的任何担保,由公司股东大会批准。 被担保对象的资信标准:银行信用等级不得低于 AA 级;资产负 债率不得超过 70%。 第 1.9 条 经营期限 公司除本章程第十二章和第十三章规定的情形外为永久存续的 股份有限公司。 第 1.10 条 章程的法律效力 本章程为公司的组织和行为最高准则,对公司、公司的股东、董 事、监事和总经理以及其他高级管理人员具有法律约束力。股东可以 依据公司章程起诉公司;公司可以依据公司章程起诉股东、董事、监 事、总经理和其他高级管理人员;股东可以依据公司章程起诉股东; 股东可以依据公司章程起诉公司的董事、监事、总经理和其他高级管 理人员。 本章程所称其他高级管理人员是指公司的副总经理、董事会秘 书、财务负责人。 本章程是公开的法律文件,故此任何认购公司股份的行为,不论 其能否合法有效地取得公司的股份,均应理解为产生这样的法律效 力:认购公司股份的人已自愿接受本章程的一切条款及对其约束力并 没有任何保留。 第二章 经营宗旨、范围和方式 第 2.1 条 公司宗旨 公司的宗旨是:顺应社会主义市场经济发展的趋势,实行科学化 规范管理,充分利用现有的人力、财力和物力等资源,使企业稳步而 迅速地发展,以提高经济效益为中心,大力推进制冷、空调事业和公 司各业的发展,实现资产保值和增值,保护全体股东的合法权益,使 大连冷冻机股份有限公司 公司章程 其获得良好的经济效益。 第 2.2 条 经营范围 公司的经营范围包括: 主营:制冷设备及配套辅机、阀门、配件以及制冷工程所需 配套产品的加工、制造 兼营:制冷空调系统设计、制造、安装、维修、调试及技术 咨询、技术服务、商业贸易和物资供销 公司根据业务发展需要,经公司登记机关批准,可经营其他有关 业务。 第 2.3 条 经营方式 公司经营方式包括:加工、制造、批发、零售、进出口、投资、 代购、代销、租赁和服务。 公司根据业务发展需要并在经有关政府部门批准后,可以与国内 外企业合资经营及在国内外设立分公司、办事机构或代理机构。 第 2.4 条 经营范围和方式的调整 根据市场变化和公司业务发展的需要,公司可调整经营范围和方 式。若调整经营范围和方式,应修改公司章程并经公司登记机关变更 登记。如调整的经营范围属于中国法律、法规有限制的业务,应当依 法经有关政府部门批准。 第三章 注册资本、股份与股票 第 3.1 条 注册资本 公司的注册资本为实收股本总额共人民币三亿五千零一万四千 九百七十五(350,014,975)元。 第 3.2 条 注册资本的划分 大连冷冻机股份有限公司 公司章程 公司的全部注册资本划分为等额的股份,并采用股票形式。 公司发行股份总额为三亿五千零一万四千九百七十五 (350,014,975)股,每股面值为人民币壹(1.00)元。 第 3.3 条 注册资本种类和构成 公司发行的股份均为普通股股份,分为人民币普通股和境内上市 外资股。上述股份均在中国证券登记结算有限责任公司深圳分公司集 中托管。 人民币普通股(简称“A股”)由在中华人民共和国注册的企业 法人或其他组织、具有中华人民共和国国籍的自然人和中华人民共和 国法律允许或政府主管机关批准的主体持有,其中包括国家股、法人 股和社会公众股。 境内上市外资股(简称“B股”)由外国的自然人、法人和其他 组织,香港、澳门和台湾地区的法人、自然人和其他组织,定居在国 外的中国公民以及中国证券监督管理委员会规定的其他投资人所持 有。 公司经批准发行的普通股总数为三亿五千零一万四千九百七十 五(350,014,975)股,成立时向发起人大连冰山集团有限公司发行五 千一百万(51,000,000)股,占公司可发行普通股总数的 50.50%。 公司的股份构成为: 股份类别 股份数额 人民币普通股 二亿三千五百零一万四千九百七十五(235,014,975)股 境内上市外资股 一亿一千五百万(115,000,000)股 第 3.4 条 入股资金 股东可以依照本章程和中国法律的规定用货币投资,也可以用建 筑物、厂房、机器设备等有形资产或工业产权、非专利技术、土地使 用权等无形资产折价入股。 用以折价入股的资产需以股东拥有合法有效的产权为前提条件 并符合《公司法》。 大连冷冻机股份有限公司 公司章程 第 3.5 条 股票持有限制 任何投资者(包括境内上市外资股股东)直接或间接地持有公司 发行在外的普通股股份达 5%时,应当自该事实发生之日起三个工作 日内向中国证券监督管理委员会、深圳证券交易所作出书面报告,通 知公司,并予以公告,说明其持股情况和意图。投资者持有公司已发 行的股份的 5%后,通过证券交易所的证券交易,其所持有公司已发 行的股份比例每增加或减少 5%,应当在该事实发生之日起三日内, 向中国证券监督管理委员会、深圳证券交易所作出书面报告,通知公 司,并予以公告。在报告期限内和作出报告、公告后二日内,不得再 行买卖公司的股票。 但上款中的 5%是由于公司股票总量减少所致,则该投资者不受 上述限制。 持有公司 5%以上有表决权的股份的股东,将其所持有的公司股 票在买入之日起六个月以内卖出,或者在卖出之日起六个月以内又买 入的,由此获得的利润归公司所有。但是,证券公司因包销购入售后 剩余股票而持有 5%以上股份的,卖出该股票不受六个月时间限制。 前款规定适用于公司董事、监事、总经理和其他高级管理人员。 公司董事会不按照前款规定执行的,股东有权要求董事会在 30 日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的 利益以自己的名义直接向人民法院提起诉讼。公司董事会不按照前款 规定执行的,负有责任的董事依法承担连带责任。 本条所称之间接持有包括:由该个人拥有权益的公司持有或该法 人的关联公司持有及虽为其他法律主体持有,但该个人或法人对该法 律主体同样拥有实际控制权。 第 3.6 条 股份发行 公司发行新股,认购必须一次缴清全部股款。股份一经认购,不 得退股。 公司股份的发行,实行公开、公平、公正的原则,且同股同权、 同股同利、利益共享、风险共担。同次发行的股票,每股发行的条件 大连冷冻机股份有限公司 公司章程 及价格相同。发行既可以按票面额发行也可超过票面额发行,但不得 低于票面金额发行。 公司发行新股,股东大会应当对下列事项作出决议: 1. 新股种类及数额; 2. 新股发行价格; 3. 向原有股东发行新股的种类及数额。 第 3.7 条 股票形式和登记 公司股份采用股票形式。股票是公司签发的证明股东持有股份的 书面凭证。公司采用证券登记机构登记的股东名册作为股东持有股份 的凭证,股份以股东名册登记记录为准。 第 3.8 条 股票转让和交易 持有公司人民币普通股和境内上市外资股股份的股东均可以将 其所持有的股份依法或依公司股份上市之证券交易所交易规则以及 有关法律和法规的规定出售予其他有资格合法持有该等股份的法人 或自然人。但是,国家股的转让必须经国有资产管理部门的批准。 公司股东持有股份的配股权及股份的其他衍生权益可以依照有 关法律和法规进行转让和交易。 股东转让记名股票的,经法定登记机构登记确认后,公司始认可 其为公司有效的股东。 公司董事、监事、总经理和其他高级管理人员应当在其任职期间 内,定期向公司申报所持有的本公司的股份及其变动情况,在任职期 间每年转让的股份不得超过其所持有本公司股份总数的百分之二十 五;所持本公司股份自公司股票上市交易之日起一年内不得转让。上 述人员离职后半年内,不得转让其所持有的本公司股份。 公司发起人所持股份自公司成立之日起一年内不得转让。 大连冷冻机股份有限公司 公司章程 第 3.9 条 股票的赠与、抵押和继承 股东可以将其所持有的公司股票按法律、法规规定进行赠与、抵 押和继承。赠与和继承公司股票的应当凭合法有效的法律文件依法向 法定登记机构登记。抵押公司股票的应在法律、法规要求的登记机构 登记。 公司不得接受本公司的股票作为质押权的标的。 第 3.10 条 股份的合并或拆细 公司为生产经营及公司发展的需要可以经董事会提议,由股东大 会决议通过,并在取得有关政府主管机关的批准后,按照一定的比例 将公司的股份合并或拆细。 第 3.11 条 增资扩股的方式 公司可根据业务发展需要,经董事会提议、股东大会决议通过并 获有关政府部门批准后增资扩股。 其发行方式如下: 1. 公开发行股份; 2. 非公开发行股份; 3. 向现有股东派送红股; 4. 以公积金转增股本;或 5. 国家有关法律和法规许可以及国务院证券主管部门批准的 其他方式。 第 3.12 条 股票补发 公司记名股票被盗、遗失或灭失,股东应立即以书面形式通知公 司或公司委托的证券登记机构,并依照《中华人民共和国民事诉讼法》 规定的公示催告程序请求人民法院宣告该股票无效。经人民法院宣告 大连冷冻机股份有限公司 公司章程 该股票失效后,股东可以向公司或公司委托的证券登记机构申请补发 股票。 第 3.13 条 其他种类股票 公司可以根据需要由董事会提议,经股东大会决议并经有关政府 主管机关批准后发行优先股等其他种类的股票和公司债券(包括但不 限于可转换债券)。 如发行优先股等其他种类的股票和公司债券,除应遵守有关法律 和法规的规定外,股东大会应对该等证券持有人的权利和义务作出明 确的规定,而本章程也应当经股东大会决议而作出相应的修改。 第 3.14 条 减少注册资本 根据有关法律、法规和本章程的规定,公司可以减少注册资本。 公司减少注册资本时,必须编制资产负债表及财产清单。 公司应当自作出减少注册资本决议之日起十日内通知债权人,并 于三十日内在本章程第十四章所规定的报纸上公告。债权人自接到通 知书之日起三十日内,未接到通知书的自公告之日起四十五日内,有 权要求公司清偿债务或者提供相应的偿债担保。 公司注册资本经减少后不得低于法定的最低限额。 第 3.15 条 股份回购 公司在下列情况下,可以按本章程和公司股票上市的证券交易所 规定的程序,报国家有关主管机关批准,购回其发行在外的股份。 1. 减少公司注册资本; 2. 与持有本公司股份的其他公司合并; 3. 将股份奖励给本公司职工; 4. 股东因对股东大会作出的公司合并、分立决议持异议,要求 大连冷冻机股份有限公司 公司章程 公司收购其股份的。 除上述情况外,公司不进行买卖本公司股票的活动。 公司购回股份,可以下列方式之一进行: 1. 向全体股东按照相同比例发出购回要约; 2. 通过公开交易方式购回; 3. 法律、行政法规规定和国务院证券主管部门批准的其它情 形。 第 3.16 条 回购股份处理 公司依照第 3.15 条规定收购本公司股份后,属于第(一)项情 形的,应当自收购之日起十日内注销;属于第(二)项、第(四)项 情形的,应当在六个月内转让或者注销。 公司依照第 3.15 条第(三)项规定收购的本公司股份,不得超 过本公司已发行股份总额的百分之五;用于收购的资金应当从公司的 税后利润中支出;所收购的股份应当在一年内转让给职工。 被注销股份的票面总值应当从公司的注册资本中核减。 第 3.17 条 赔偿义务 公司对于任何因注销原股票或者补发新股票而受到损害的人均 无赔偿义务,除非该当事人能证明该损害是由于公司的疏漏或欺诈行 为而造成。 第 3.18 条 财务资助 公司或其子公司(包括公司的附属企业)不得以任何方式对认购 人购买公司的股份提供财务资助。 上款所称之财务资助,是指以馈赠、担保、补偿、贷款或垫资等 各种方式以减少或免除认购人购买公司股份的出资义务。 大连冷冻机股份有限公司 公司章程 但公司依法将公积金或利润转为资本而向股东按原持股比例派 送新股的,不受本条规定的限制。 第 3.19 条 变更登记 公司增加或减少注册资本、需要办理审批手续的,应经有权审批 的机关批准,并依法在公司登记机关办理变更登记手续。 第四章 股东 第 4.1 条 股东 依法持有公司股份的人为公司股东。除非有相反证据,股东名册 即为证明公司股东身份的充分根据。股东按法律、法规及本章程的规 定以其所持有的股份为限对公司承担责任和义务,享有法律、法规及 本章程规定的相应权利。 法人作为公司股东时,应由法定代表人或法定代表人的代理人代 理行使权利。 第 4.2 条 股东权利 公司的普通股股东享有下列权利: 1. 按其所持股份领取应得的股息、红利和其它形式的利益分 配; 2. 出席或委托代理人出席股东大会并依照其所持有的股份份 额行使表决权; 3. 依法律、行政法规及公司章程的规定转让、赠与或质押所持 有的股份; 4. 对公司的经营行为进行监督,提出建议和质询; 5. 在公司终止或清算时,有权按其所持有的股份份额参加公司 剩余财产的分配; 大连冷冻机股份有限公司 公司章程 6. 有权向有管辖权的法院就股东大会或董事会所作出的违反 中国现行法律、法规或侵犯股东合法权益的决议提起诉讼,要求停止 该等违法行为或侵害行为; 7. 有关法律、法规和本章程规定的其他权利。 股东大会、董事会的会议召集程序、表决方式违反法律、行政法 规或者本章程,或者决议内容违反本章程的,股东有权自决议作出之 日起 60 日内,请求人民法院撤销。 董事、高级管理人员执行公司职务时违反法律、行政法规或者本 章程的规定,给公司造成损失的,连续 180 日以上单独或合并持有公 司 1%以上股份的股东有权书面请求监事会向人民法院提起诉讼;监 事会执行公司职务时违反法律、行政法规或者本章程的规定,给公司 造成损失的,股东可以书面请求董事会向人民法院提起诉讼。 监事会、董事会收到前款规定的股东书面请求后拒绝提起诉讼, 或者自收到请求之日起 30 日内未提起诉讼,或者情况紧急、不立即 提起诉讼将会使公司利益受到难以弥补的损害的,前款规定的股东有 权为了公司的利益以自己的名义直接向人民法院提起诉讼。 他人侵犯公司合法权益,给公司造成损失的,连续 180 日以上单 独或合并持有公司 1%以上股份的股东可以依照前两款的规定向人民 法院提起诉讼。 董事、高级管理人员违反法律、行政法规或者本章程的规定,损 害股东利益的,股东可以向人民法院提起诉讼。 第 4.3 条 股东义务 公司的普通股股东应履行下列义务: 1. 遵守本章程的规定; 2. 依其所认购的股份和入股方式按时缴纳股金; 3. 服从和执行股东大会依法通过的决议; 大连冷冻机股份有限公司 公司章程 4. 持股达到法定数额时的信息披露义务; 5. 不得从事有损公司利益的恶意行为;及 6. 有关法律、法规以及本章程规定的其他义务。 股东提出查阅前条所述有关信息或者索取资料的,应当向公司提 供证明其持有公司股份的种类以及持股数量的书面文件,公司经核实 股东身份后按照股东的要求予以提供。 持有公司 5%以上有表决权股份的股东,将其持有的股份进行质 押的,应当自该事实发生当日,向公司作出书面报告。 第 4.4 条 控股股东之行为 公司控股股东及实际控制人对公司和公司社会公众股股东负有 诚信义务。控股股东应严格依法行使出资人的权利,控股股东不得利 用关联交易、利润分配、资产重组、对外投资、资金占用、借款担保 等方式损害公司和社会公众股股东的合法权益,不得利用其控股地位 损害公司和社会公众股股东的利益。违反规定的,给公司造成损失的, 应当承担赔偿责任。 1. 严格遵循法律、法规和公司章程规定的条件和程序来提名董 事、监事候选人; 2. 不得对股东大会人事选举决议和董事会人事聘任决议履行 任何批准手续; 3. 不得越过股东大会、董事会任免公司的高级管理人员; 4. 不得直接或间接干预公司的决策及依法开展的生产经营活 动,损害公司及其他股东的利益。 第 4.5 条 控股股东之含义 本章程第 4.4 条所述的控股股东是指具备以下任一条件的人: 大连冷冻机股份有限公司 公司章程 1. 此人单独或与他人一致行动时,可以选出半数以上的董事; 2. 此人单独或与他人一致行动时,可以行使公司百分之三十以 上的表决权或可以控制公司百分之三十以上表决权的行使; 3. 此人单独或与他人一致行动时,持有公司发行在外百分之三 十以上的股份;或 4. 此人单独或与他人一致行动时,可以以其他方式在事实上控 制公司。 本条所称“一致行动”是指两个或者两个以上的人以协议的方式 (不论口头或者书面)达成一致,通过其中任何一人取得对公司的投 票权,以达到或者巩固控制公司的目的的行为。 第 4.6 条 股东名册组成部分 公司应当备置股东名册。股东名册由法定证券登记机构编制。 第 4.7 条 股权登记日 公司召开股东大会、分配股利、清算及从事其他需要确认股权的 行为时,应当由董事会或股东大会召集人确定股权登记日。股权登记 日收市后登记在册的股东为享有相关权益的股东。 股权登记日与会议日期之间的间隔应当不多于 7 个工作日。股权 登记日一旦确认,不得变更。 第五章 股东大会 第 5.1 条 股东大会 股东大会是公司的权力机构,由公司全体股东组成,依照《公司 法》和本章程的规定行职权。 第 5.2 条 年会和临时会议 股东大会分年会和临时股东大会。股东大会将设置会场,以现场 大连冷冻机股份有限公司 公司章程 会议形式召开。当按照有关规定要求需要提供网络方式时,公司将及 时提供。股东通过上述方式参加股东大会的,视为出席。股东大会现 场结束时间不得早于网络方式。股东大会应在公司住所举行。 第 5.3 条 股东大会年会 股东大会年会每年至少举行一次,并应于上个会计年度终结后六 个月内召开。两次年会之间最长不得超过十五个月。在股东大会年会 上,董事会、监事会应当就其过去一年的工作向股东大会作出报告。 每名独立董事也应作出述职报告。 第 5.4 条 临时股东大会 有下列情况之一时,应在该等情况发生之日起两个月内召开临时 股东大会: 1. 董事会认为必要时或监事会提议召开时; 2. 单独或者合并持有公司有表决权股份总数百分之十(含百分 之十、不含投票代理权)以上的股东书面请求时; 3. 董事人数不足《公司法》规定的法定最低人数,或者少于公 司章程所规定人数(9 人)的三分之二时; 4. 公司未弥补的亏损达注册资本总额的三分之一或以上时; 5. 二分之一以上的独立董事提请召开时。 单独或者合并持有公司有表决权股份总数百分之十(含百分之 十、不含投票代理权)以上的股东关于召开临时股东大会的书面请求 应当向公司董事会提出。持股股数按股东提出书面要求日计算。 临时股东大会只对会议通知中载明的事项作出决议。 对独立董事要求召开临时股东大会的提议,董事会应当根据法 律、行政法规和本章程的规定,在收到提议后 10 日内提出同意或不 同意召开临时股东大会的书面反馈意见。董事会同意召开临时股东大 会的,将在作出董事会决议后的 5 日内发出召开股东大会的通知;董 大连冷冻机股份有限公司 公司章程 事会不同意召开临时股东大会的,将说明理由并公告。 对监事会要求召开临时股东大会的提议,董事会应当根据法律、 行政法规和本章程的规定,在收到提案后 10 日内提出同意或不同意 召开临时股东大会的书面反馈意见。董事会同意召开临时股东大会 的,将在作出董事会决议后的 5 日内发出召开股东大会的通知,通知 中对原提议的变更,应征得监事会同意。董事会不同意召开临时股东 大会,或者在收到提案后 10 日内未作出反馈的,视为董事会不能履 行或者不履行召集股东大会会议职责,监事会可以自行召集和主持。 对单独或者合计持有公司 10%以上股份的股东要求召开临时股东 大会的提议,董事会应当根据法律、行政法规和本章程的规定,在收 到请求后 10 日内提出同意或不同意召开临时股东大会的书面反馈意 见。董事会同意召开临时股东大会的,应当在作出董事会决议后的 5 日内发出召开股东大会的通知,通知中对原请求的变更,应当征得相 关股东的同意。董事会不同意召开临时股东大会,或者在收到请求后 10 日内未作出反馈的,单独或者合计持有公司 10%以上股份的股东有 权向监事会提议召开临时股东大会,并应当以书面形式向监事会提出 请求。监事会同意召开临时股东大会的,应在收到请求 5 日内发出召 开股东大会的通知,通知中对原提案的变更,应当征得相关股东的同 意。监事会未在规定期限内发出股东大会通知的,视为监事会不召集 和主持股东大会,连续 90 日以上单独或者合计持有公司 10%以上股 份的股东可以自行召集和主持。 监事会或股东决定自行召集股东大会的,须书面通知董事会,同 时向公司所在地中国证监会派出机构和证券交易所备案。在股东大会 决议公告前,召集股东持股比例不得低于 10%。召集股东应在发出股 东大会通知及股东大会决议公告时,向公司所在地中国证监会派出机 构和证券交易所提交有关证明材料。 对于监事会或股东自行召集的股东大会,董事会和董事会秘书将 予配合。董事会应当提供股权登记日的股东名册。监事会或股东自行 召集的股东大会,会议所必需的费用由公司承担。 第 5.5 条 股东大会的职权 股东大会行使下列职权: 大连冷冻机股份有限公司 公司章程 1. 决定公司的经营方针和投资计划; 2. 选举和更换董事,决定有关董事的报酬事项; 3. 选举和更换由股东代表出任的监事,决定有关监事的报酬事 项; 4. 审议批准董事会的报告; 5. 审议批准监事会的报告; 6. 审议批准公司的年度财务预算方案和决算方案; 7. 审议批准公司的利润分配方案和弥补亏损方案; 8. 对公司增加或者减少注册资本作出决议; 9. 对公司股票在证券交易所的上市交易作出决议; 10. 对发行公司债券作出决议; 11. 对公司合并、分立、解散和清算等事项作出决议; 12. 对公司聘用、解聘会计师事务所作出决议; 13. 修改本章程; 14. 审议代表公司发行在外有表决权股份总数的百分之三以上 的股东的提案; 15. 审议批准本章程第 1.8 条规定的相关担保事项; 16. 审议公司在一年内购买、出售重大资产超过公司最近一期经 审计总资产 30%的事项; 17. 审议批准变更募集资金用途事项; 18. 审议股权激励计划; 大连冷冻机股份有限公司 公司章程 19. 审议法律、法规和章程规定应当由股东大会决定的其它事 项。 第 5.6 条 股东大会的召集 召开股东大会年会,召集人应当于会议召开二十日前通知各股 东;召开临时股东大会,召集人应当于会议召开十五日前通知各股东。 召集人应当保证股东大会连续举行,直至形成最终决议。因不可 抗力等特殊原因导致股东大会中止或不能作出决议的,应采取必要措 施尽快恢复召开股东大会或直接终止本次股东大会,并及时公告。同 时,召集人应向公司所在地中国证监会派出机构及证券交易所报告。 召开股东大会的通知应当以公告形式刊登在董事会根据法律和 法规规定以及本章程选定的报刊上。召开股东大会的通知应当符合下 列要求: 1. 载明举行会议的日期、地点和期限; 2. 载明提交会议审议的事项; 3. 以明显的文字说明:全体股东均有权出席股东大会,并可以 委托代理人出席会议和参加表决,该股东代理人不必是公司的股东; 4. 载明有资格出席股东大会股东的股权登记日; 5. 投票代理委托书的送达时间和地点; 6. 载明会务常设联系人的姓名、电话和传真号码。 股东大会通知一经公告,所有登记在册股东被视为已收到有关股 东会议的通知。 股东大会召开的会议通知发出后,除有不可抗力或者其它意外事 件等原因,董事会不得变更股东大会召开的时间;因不可抗力确需变 更股东大会召开时间的,不应因此而变更股权登记日。 大连冷冻机股份有限公司 公司章程 公司因特殊原因必须延期召开股东大会的,应在原定股东大会召 开日前至少二个工作日发布延期通知。董事会在延期召开通知中应说 明原因并公布延期后的召开日期。 股东大会召开的会议通知发出后,董事会不得再提出会议通知中 未列出事项的新提案,对原有提案的修改应当在股东大会召开的前十 五天公告。否则,会议召开日期应当顺延,保证至少有十五天的间隔 期。 第 5.7 条 股东大会的主持 股东大会由董事长主持。董事长不能履行职务或不履行职务时, 由副董事长主持,副董事长不能履行职务或者不履行职务时,由半数 以上董事共同推举的一名董事主持。 监事会自行召集的股东大会,由监事会主席主持。监事会主席不 能履行职务或不履行职务时,由半数以上监事共同推举的一名监事主 持。 股东自行召集的股东大会,由召集人推举代表主持。 召开股东大会时,会议主持人违反议事规则使股东大会无法继续 进行的,经现场出席股东大会有表决权过半数的股东同意,股东大会 可推举一人担任会议主持人,继续开会。 第 5.8 条 出席通知 拟出席股东大会的股东,应当在会议召开前向公司报名。股东参 加会议的报名通知应说明持有公司有表决权的股份数额,并以书面方 式发送。 第 5.9 条 出席和委托 股东大会召开时,公司全体董事、监事和董事会秘书应当出席会 议,总经理和其他高级管理人员应当列席会议。 股东可以亲自出席股东大会,也可以书面委托自己的代理人出席 股东大会并代为行使股东权利。个人股东亲自出席会议的,应出示本 大连冷冻机股份有限公司 公司章程 人身份证和持股凭证。受委托的股东代表出席股东大会须持委托股东 的委托书、持股凭证和本人身份证,并在委托书确定的范围内行使表 决权。受委托的代表可以不是公司的股东。 法人股东应由法定代表人或者法定代表人委托的代理人出席会 议。法定代表人出席会议的,应出示本人身份证、能证明其具有法定 代表人资格的有效证明和持股凭证。委托代理人出席会议的,代理人 应出示本人身份证、法人股东单位的法定代表人依法出具的书面委托 书和持股凭证。 公司董事会、独立董事和符合有关条件的股东可向公司股东征集 其在股东大会上的投票权。投票权征集应采取无偿的方式进行,并应 向被征集人充分披露信息。 第 5.10 条 授权委托书 股东出具的委托他人出席股东大会的授权委托书应当载明下列 内容: 1. 代理人的姓名; 2. 是否具有表决权(如代理人超过一名时,还应注明每个代理 人分别代表的股份数额); 3. 分别对列入股东大会议程的每一审议事项投赞成或反对或 弃权票的指示; 4. 对依照本章程规定可能纳入股东大会议程的临时提案是否 有表决权,如果有表决权应行使何种表决权的具体指示; 5. 签发日期和有效期限; 6. 委托人签名(或盖章)。委托人为法人股东的,应加盖法人 单位印章。 委托书应当注明如果股东不作具体指示,股东代理人是否可以按 自己的意思表决。 大连冷冻机股份有限公司 公司章程 投票代理委托书至少应当在有关会议召开前二十四小时备置于 公司住所,或者召集会议的通知中指定的其他地方。委托书由委托人 授权他人签署的,授权签署的授权书或者其他授权文件应当经过公 证。经公证的授权书或者其他授权文件,和投票代理委托书均需备置 于公司住所或者召集会议的通知中指定的其他地方。 委托人为法人的,由其法定代表人或者董事会、其他决策机构决 议授权的人作为代表出席公司的股东会议。 第 5.11 条 出席人员签名册 股东大会应制作出席会议人员签名册。签名册应载明与会者姓名 (或单位名称)、身份证号码、住所地址、持有或者代表有表决权的 股份数额、被代理人姓名(或单位名称)等事项,并由出席会议的股 东(或代理人)亲自填写。 第 5.12 条 表决方式 年度股东大会和应股东或监事会的要求提议召开的股东大会不 得采取通讯表决方式。 股东大会表决时,股东(包括股东代理人)以其所代表的有表决 权的股份数额行使表决权,除本章程第 5.13 条关于董事、监事选举 采用累积投票制度的规定外,普通股每一股有一票表决权。但是,公 司持有的本公司股份没有表决权,也不参与分配利润。股东大会应当 采取记名方式投票表决,不得采取举手方式进行表决。同一表决权只 能选择现场、网络或其他表决方式中的一种。同一表决权出现重复表 决的以第一次投票结果为准。 股东大会审议有关关联交易事项时,关联股东不应当参与投票表 决,其所代表的有表决权的股份数不计入有效表决总数;股东大会决 议的公告应当充分披露非关联股东的表决情况。 第 5.13 条 董事、监事的选举 持有公司有表决权的股份总额百分之三以上的股东,有权提出董 事、监事候选人的名单。公司董事会、监事会、单独或者合并持有公 司已发行股份 1%以上的股东,有权提名独立董事候选人。选举公司 大连冷冻机股份有限公司 公司章程 的董事、监事之前,董事会应当向股东提供候选董事、监事的简历和 基本情况。至少包括以下内容:教育背景、工作经历、兼职等个人情 况;与本公司或本公司的控股股东及实际控制人是否存在关联关系; 持有本公司股份数量;是否受过中国证监会及其他有关部门的处罚和 证券交易所惩戒。 董事、监事候选人名单以提案的方式提请股东大会表决。 选举和罢免董事、监事时,按实际到会股东所持表决权半数以上 同意即为通过。 股东大会通过有关董事、监事选举提案的,新任董事、监事就任 时间在股东大会决议通过之日。 当公司控股股东对公司的控股比例为 30%以上时,股东大会进行 董事、监事选举议案的表决应采用累积投票制度,即在股东大会选举 两名以上董事或监事时,参与投票的股东(包括股东代理人)所持有 的每一股份都拥有与应选董事或监事总人数相等的表决权,股东(包 括股东代理人)既可以把所有的表决权集中选举一人,也可以分散选 举数人。董事会应当根据本章程的规定制订董事(监事)选举累积投 票制度实施细则,报股东大会批准后实施。 第 5.14 条 普通决议表决 股东大会作出普通决议时,拥有出席股东(包括股东代理人)所 持表决权的过半数同意,即为通过。 上款所称普通决议,是指对以下事项作出的决议: 1. 董事会和监事会的工作报告; 2. 董事会拟定的利润分配方案和弥补亏损方案; 3. 董事会和监事会成员的任免及其报酬和支付方法; 4. 公司年度预算方案、决算方案; 5. 除法律、行政法规规定或者公司章程规定应当以特别决议通 大连冷冻机股份有限公司 公司章程 过以外的其他事项。 第 5.15 条 特别决议表决 股东大会作出特别决议时,拥有出席股东(包括股东代理人)所 持表决权的三分之二以上同意,方为通过。 上款所称特别决议,是指对以下事项作出的决议: 1. 公司增加或减少注册资本; 2. 发行公司债券; 3. 公司合并、分立、解散和清算; 4. 修改公司章程; 5. 回购本公司股票; 6. 公司在一年内购买、出售重大资产或者担保金额超过公司最 近一期经审计总资产 30%的; 7. 股权激励计划; 8. 公司章程规定和股东大会以普通决议认定会对公司产生重 大影响的、需要由特别决议通过的其他事项。 非经股东大会以特别决议批准,公司不得与董事、总经理和其它 高级管理人员以外的人订立将公司全部或者重要业务的管理交予该 人负责的合同。 第 5.16 条 表决结果 会议主持人应当在表决前宣布现场出席会议的股东和代理人人 数及所持有表决权的股份总数,现场出席会议的股东和股东代理人人 数及所持有表决权的股份总数以会议登记为准。 股东大会每一审议事项的表决投票,应当有律师、两名或以上股 大连冷冻机股份有限公司 公司章程 东代表和一名或以上监事参加清点,并当场公布表决结果,决议的表 决结果载入会议记录。 会议主持人应当宣布每一提案的表决情况和结果,并根据表决结 果宣布提案是否通过。 会议主持人如果对提交表决的决议结果有任何怀疑,可以对所投 票数进行点算;如果会议主持人未进行点票,出席会议的股东或者股 东代理人对会议主持人宣布结果有异议的,有权在宣布表决结果后立 即要求点票,会议主持人应当即时点票。 在正式公布表决结果前,股东大会现场、网络及其他表决方式中 所涉及的上市公司、计票人、监票人、主要股东、网络服务方等相关 各方对表决情况均负有保密义务。 第 5.17 条 股东提出的议案 单独或合计持有公司有表决权的股份总额百分之三以上的股东 可以提出议案提请股东大会审议。 第 5.18 条 议案的条件 股东提案应符合下列条件: 1. 属于公司经营范围和股东大会的职责范围且其内容与法律、 法规和本章程的规定不相抵触; 2. 有明确的议题和具体的决议事项; 3. 以书面形式提交或送达董事会。 董事会应当以公司和股东的最大利益为行为准则,审查股东提案 是否符合前款条件。凡符合条件且在股东大会会议通知公告十天以前 送达董事会的,应当列入股东大会议程并在股东大会通知中载明该审 议事项。符合条件而未在股东大会会议通知公告十天以前但在股东大 会年会召开十天以前送达董事会的,应作为临时增加提案列入股东大 会年会议程。符合条件但未按上述期限送达董事会的,列入下一届股 东大会。 大连冷冻机股份有限公司 公司章程 第一大股东提出新的分配提案时,应当在年度股东大会召开的前 十天提交董事会并由董事会公告,不足十天的,第一大股东不得在本 次年度股东大会上提出新的分配提案。 董事会对不符合前款条件的股东提案可以要求提案人补正。提案 补正后符合条件的,董事会应当依前款规定列入股东大会议程。如果 提案人不补正或补正后仍不符合规定的,该提案为无效提案,不能列 入股东大会议程。董事会向股东大会提交的报告中,应对无效提案的 处理情况作出说明,并将提案内容和董事会的说明在股东大会结束后 与股东大会决议一并公告。 提出提案的股东对董事会不将其提案列入股东大会会议议程的 决定持有异议的,可以按照本章程第 5.4 条的规定程序要求召集临时 股东大会。 除涉及公司商业秘密不能在股东大会上公开外,董事会和监事会 应当对股东的质询和建议作出答复或说明。 第 5.19 条 会议记录 股东大会应作记录,记载出席股东大会的内资股股东(包括股东 代理人)和境内上市外资股股东(包括股东代理人)所持的有表决权 的股份数及各占公司总股份的比例、召开会议的日期、地点、主持人 姓名、会议议程、各发言人对每一审议事项的发言要点、每一表决事 项的表决结果及内资股股东和境内上市外资股股东对每一表决事项 的表决情况、股东的质询与建议和董事会、监事会的答复或说明等内 容以及股东大会认为和公司章程规定应当载入会议记录的其他内容。 召集人应当保证会议记录内容真实、准确和完整。出席会议的董 事、监事、董事会秘书、召集人或其代表、会议主持人应当在会议记 录上签名。会议记录应当与现场出席股东的签名册及代理出席的委托 书、网络方式表决情况的有效资料一并保存,保存期限不少于 10 年。 第 5.20 条 公证 对股东大会到会人数、参会股东持有的股份数额、授权委托书、 每一表决事项的表决结果、会议记录、会议程序的合法性等事项,可 大连冷冻机股份有限公司 公司章程 以进行公证。 第 5.21 条 律师见证 公司董事会聘请有证券从业资格的律师出席股东大会,对相关问 题出具法律意见并公告。 第 5.22 条 股东大会议事规则 公司制定股东大会议事规则,详细规定股东大会的召开和表决程 序。股东大会议事规则作为章程的附件,由董事会拟定,股东大会批 准。 第 5.23 条 股东大会决议公告 股东大会决议应当及时公告,公告中应列明出席会议的股东和代 理人人数、所持有表决权的股份总数及占公司有表决权股份总数的比 例、表决方式、每项提案的表决结果和通过的各项决议的详细内容。 内资股股东和外资股股东出席会议及表决情况分别统计并公告。 提案未获通过,或者本次股东大会变更前次股东大会决议的,应 当在股东大会决议公告中作特别提示。 第六章 董事会 第 6.1 条 董事会 公司董事会是股东大会的常设执行机构,向股东大会负责。 第 6.2 条 董事的产生 董事须为自然人,由股东大会选举产生,可以由股东或非股东担 任。 董事每届任期三年,可连选连任,但独立董事连任时间不得超过 六年。董事任期从股东大会决议通过之日起计算,至本届董事会任期 届满时为止。董事在任期届满以前,股东大会不得无故解除其职务。 大连冷冻机股份有限公司 公司章程 董事在任期内如有过错,经股东大会普通决议可罢免。 《公司法》第 147 条规定的情形以及被中国证监会确定为市场禁 入者,并且禁入尚未解除的人员,不得担任公司的董事。 第 6.3 条 董事的责任 董事应当遵守法律、法规和公司章程的规定,对公司履行诚信和 勤勉义务,维护公司利益。当其自身的利益与公司和股东的利益相冲 突时,应当以公司和股东的最大利益为行为准则,并保证: 1. 在其职责范围内行使权利,不得越权; 2. 除经公司章程规定或者股东大会在知情的情况下批准,不得 同本公司订立合同或者进行交易; 3. 不得利用内幕信息为自己或他人谋取利益; 4. 不得自营或者为他人经营与公司同类的营业或者从事损害 本公司利益的活动; 5. 不得利用职务收受贿赂或者其他非法收入,不得侵占公司的 财产; 6. 不得挪用资金或者将公司资金借贷给他人; 7. 不得利用职务便利为自己或他人侵占或者接受本应属于公 司的商业机会; 8. 未经股东大会在知情的情况下批准,不得接受与公司交易有 关的佣金; 9. 不得将公司资产以其个人名义或者以其他个人名义开立帐 户储存; 10. 不得以公司资产为本公司的股东或者其他个人债务提供担 保; 大连冷冻机股份有限公司 公司章程 11. 未经股东大会在知情的情况下同意,不得泄露在任职期间所 获得的涉及本公司的机密信息;但在下列情形下,可以向法院或者其 他政府主管机关披露该信息: (1) 法律有规定; (2) 公众利益有要求; (3) 该董事本身的合法利益有要求。 董事应当根据公司和全体股东的最大利益,忠实、诚信、勤勉地 履行职责,以保证: 1. 公司的商业行为符合国家的法律、行政法规以及国家各项经 济政策的要求,商业活动不超越营业执照规定的业务范围; 2. 公平对待所有股东; 3. 认真阅读上市公司的各项商务、财务报告,及时了解公司业 务经营管理状况; 4. 亲自行使被合法赋予的公司管理处置权,不得受他人操纵; 非经法律、行政法规允许或者得到股东大会在知情的情况下批准,不 得将其处置权转授他人行使; 5. 接受监事会对其履行职责的合法监督和合理建议。 未经公司章程规定或者董事会的合法授权,任何董事不得以个人 名义代表公司或者董事会行事。董事以其个人名义行事时,在第三方 会合理地认为该董事在代表公司或者董事会行事的情况下,该董事应 当事先声明其立场和身份。 董事个人或者其所任职的其他企业直接或者间接与公司已有的 或者计划中的合同、交易、安排有关联关系时(聘任合同除外),不 论有关事项在一般情况下是否需要董事会批准同意,均应当尽快向董 事会披露其关联关系的性质和程度。 除非有关联关系的董事按照本条前款的要求向董事会作了披露, 大连冷冻机股份有限公司 公司章程 并且董事会在不将其计入法定人数,该董事亦未参加表决的会议上批 准了该事项,公司有权撤销该合同、交易或者安排,但在对方是善意 第三人的情况下除外。 如果公司董事在公司首次考虑订立有关合同、交易、安排前以书 面形式通知董事会,声明由于通知所列的内容,公司日后达成的合同、 交易、安排与其有利益关系,则在通知阐明的范围内,有关董事视为 做了前款所规定的披露。 公司不以任何形式为董事纳税。 本章程有关董事义务的规定,适用于公司监事、总经理和其他高 级管理人员。 第 6.4 条 董事候选人 董事候选人由公司股东单独或联合提名,在董事会换届选举时, 由上届董事提名的人选亦可作为董事候选人。独立董事候选人可由董 事会、监事会、单独或者合并持有公司已发行股份 1%以上的股东提 名。 第 6.5 条 董事会组成 董事会采用奇数制,由九名董事组成,分独立董事和董事。董事 会设董事长一人、副董事长一人、独立董事三人(至少一名会计专业 人士)。董事长、副董事长应由董事会内由股东提名的董事担任,由 全部董事的二分之一以上选举产生或罢免。 第 6.6 条 董事会会议召集 董事会会议每年至少召开三次。董事会会议由董事长召集主持。 董事长不能履行其职权时,由董事长授权副董事长或其他董事主持。 每次会议应当于会议召开十天以前书面通知全体董事和监事。该 等会议通知应载明会议的日期和地点、会议期限、事由及议题、发出 通知的日期。董事会会议必须有半数以上的董事出席方能召开。董事 长和董事因故不能参加会议可书面委托其他董事作为代理人参加会 议并表决。委托书应载明代理人的姓名,代理事项、权限和有效期限, 大连冷冻机股份有限公司 公司章程 并由委托人签名或盖章。代为出席会议的董事应当在授权范围内行使 董事的权利。 董事未出席董事会会议,亦未委托代表出席的,视为放弃在该次 会议上的投票权。董事连续二次不能亲自出席也不委托其他董事出席 董事会会议的,视为不能履行职责,董事会可以向股东大会建议予以 罢免。 董事会召开临时会议,应当于会议召开五天以前书面通知全体董 事。如有本章程第 6.7 条第 2.、3.、4.规定的情形,董事长不能履 行职责时,应当指定一名副董事长或者一名董事代其召集临时董事会 会议;董事长无故不履行职责,亦未指定具体人员代其行使职责的, 可由副董事长或者二分之一以上的董事共同推举一名董事负责召集 会议。 除非经董事会三分之二以上董事同意在其他地点举行董事会会 议,会议应在公司住所举行。 第 6.7 条 临时会议 在下列情况下,董事会应在十个工作日内召开临时会议: 1. 董事长认为有必要时; 2. 占董事总人数三分之一以上的董事提议时; 3. 公司总经理提议时; 4. 公司监事会要求时; 5. 二分之一以上独立董事提议时; 6. 代表十分之一以上表决权的股东提议时。 董事会临时会议在保障董事充分表达意见的前提下,可以用传真 方式进行并作出决议,并由参会董事签字。 第 6.8 条 董事会的职权 大连冷冻机股份有限公司 公司章程 董事会行使下列职权: 1. 负责召集股东大会,并向股东大会报告工作; 2. 执行股东大会的决议; 3. 选举董事会董事长和副董事长; 4. 决定公司生产经营计划和投资方案; 5. 制订公司年度财务预算和决算方案,拟定利润分配方案或弥 补亏损的方案; 6. 制订公司增加或减少注册资本、发行债券或其他证券及上市 的方案; 7. 拟订公司重大收购、回购本公司股票或者分立、合并、解散 的方案; 8. 决定公司内部管理机构的设置,制定公司内部有关具体经营 管理的各项规章制度; 9. 监督、协调和指导公司及附属公司、企业的经营管理工作; 10. 拟定公司章程以提交股东大会通过及制订公司章程的修改 方案; 11. 聘任或者解聘总经理并根据总经理的提名,聘任或解聘公司 副总经理、财务负责人等其他高级管理人员,并决定其报酬事项和奖 惩事项; 12. 聘任或者解聘董事会秘书; 13. 编制、核准和发布公司信息披露事项; 14. 聘请为公司提供专业服务的中介机构(会计师事务所除外), 委任所属公司、企业的董事(包括任何合资企业中代表公司的董事), 大连冷冻机股份有限公司 公司章程 提请股东大会聘请、解聘或者不再续聘为公司审计的会计师事务所; 15. 听取公司经理的工作汇报并检查经理的工作; 16. 在股东大会授权范围内,决定公司的风险投资、资产抵押及 其他担保事项; 17. 法律、法规或本章程规定,以及股东大会授予的其他职权。 董事会应当就注册会计师对公司财务报告出具的有保留意见的 审计报告向股东大会作出说明。 董事会运用公司资产进行风险投资,应建立严格的审查和决策程 序;重大投资项目应当组织有关专家、专业人员进行评审。 董事会运用公司资产进行风险投资的权限: 风险投资范围:制冷空调业及其他领域; 资金使用限额:不超过公司最近经审计总资产的 5%。 凡涉及公司重大利益的事项应由董事会集体决策。 第 6.9 条 董事长职权 董事长的主要职权如下: 1. 主持股东大会和召集、主持董事会会议,代表董事会向股东 大会报告工作; 2. 领导董事会工作,督促、检查董事会决议的实施情况并向董 事会报告,对公司的重要业务活动给予指导,并将重要问题向下次董 事会会议报告; 3. 签署公司股票、公司债券及其他有价证券,签署董事会重要 文件和其他应由公司法定代表人签署的文件、报表,并以董事会名义 签发决议、会议记录及其他重要文件; 4. 行使法定代表人的职权; 大连冷冻机股份有限公司 公司章程 5. 提名公司总经理人选交董事会会议讨论和表决; 6. 在发生战争、特大自然灾害等不可抗力的紧急情况下,对公 司事务行使特别裁决权和处置权,但这种裁决和处置必须符合公司利 益,并在事后及时向董事会和股东大会报告;及 7. 公司章程规定或董事会决议授予的其他职权。 董事长因故不能履行职责时,应当指定副董事长代为履行其职 责。 第 6.10 条 董事的罢免 若公司董事在任期内有下列情况之一的,应当依本章程规定的程 序予以免职: 1. 利用职权收受贿赂或者其他非法收入或非法侵占公司财产; 2. 擅自挪用公司资金或者将公司资金借贷他人或者用公司资 产为任何他人提供债务担保; 3. 自营或者为他人经营与公司有竞争的业务或从事损害公司 利益的活动; 4. 被政府的证券管理部门确定为市场禁入者; 5. 擅自泄露公司秘密而给公司业务或者声誉造成损害;或 6. 法律、法规规定的其它违法行为。 第 6.11 条 董事的辞职 董事可以在任期届满以前提出辞职。除因该董事负有某种责任尚 未解除而不能辞职外,一经向董事会提出辞职报告,毋须经股东大会 或董事会批准,辞职报告立即生效。董事长或董事兼任总经理提出辞 职的,须经离职审计通过以后,该辞职报告才能生效。董事因负有某 种责任尚未解除而不能辞职或者未通过审计而擅自离职而给公司造 成损失的,应当承担赔偿责任。 大连冷冻机股份有限公司 公司章程 如因董事的辞职导致公司董事会低于法定最低人数时,该董事的 辞职报告应当在下任董事填补因其辞职产生的缺额后方能生效。余任 董事会应当尽快召集临时股东大会,选举董事填补因董事辞职产生的 空缺。在股东大会未就董事选举作出决议以前,该提出辞职的董事以 及余任董事会的职权应当受到合理的限制。 董事提出辞职或者任期届满,其对公司和股东负有的义务在其辞 职报告尚未生效或者生效后半年内,以及任期结束后半年内并不当然 解除,其对公司商业秘密保密的义务在其任职结束后仍然有效,直至 该秘密成为公开信息。其他义务的持续期间应当根据公平的原则决 定,视事件发生与离任之间时间的长短,以及与公司的关系在何种情 况和条件下结束而定。 任职尚未结束的董事,对因其擅自离职使公司造成的损失,应当 承担赔偿责任。 第 6.12 条 董事会表决 董事会会议实行一人一票表决制度。董事会作出决议,必须经全 体董事的过半数通过。 董事与董事会会议决议事项所涉及的企业有关联关系的,不得对 该项决议行使表决权,也不得代理其他董事行使表决权。该董事会会 议由过半数的无关联关系董事出席即可举行,董事会会议所作决议须 经无关联关系董事过半数通过。出席董事会的无关联董事人数不足 3 人的,应将该事项提交股东大会审议。 除董事会过半数董事(不包括有关之董事)或股东大会批准外, 董事不得与公司订立合同或者进行交易。 第 6.13 条 书面决议 董事会可不需召集会议而通过书面决议,但此等决议应由全体董 事传阅并签署。书面决议应于最后一名董事签署之日开始生效。书面 决议与其它董事会通过的决议具有同等效力。 第 6.14 条 董事会议事规则 大连冷冻机股份有限公司 公司章程 董事会制订董事会议事规则,以确保董事会能有效地运作和妥善 地履行其职责。董事会议事规则作为章程的附件,由董事会拟定,股 东大会批准。 第 6.15 条 董事会议记录 董事会会议记录的内容包括会议召开的日期、地点、召集人姓名、 出席董事的姓名、委托他人出席董事会会议的董事及其代理人的姓 名、会议的议程、董事发言要点以及对每一审议事项的表决方式和结 果(表决结果应载明赞成、反对或弃权的票数)等。全部记录应由出 席会议的董事(包括未出席董事委托的代理人)、董事会秘书和记录 人签字后作为公司档案由董事会秘书保存,且十年内不得销毁。 出席会议的董事有要求在记录上对其在会议上的发言作出说明 性记载的权利。董事应当对董事会决议承担责任。董事会的决议违反 法律、法规或本章程规定,以致公司遭受损失时,参与决议的董事对 公司应负赔偿责任,但经证明在表决时曾表明异议,并记载于会议记 录的,该董事可以免除责任。如不出席会议,也不委托代表,也未在 董事会召开之时或之前对所议事项提供书面意见的董事应视作未表 示异议,不免除责任。 第 6.16 条 董事会秘书 公司设董事会秘书一名,由董事长提名,经董事会聘任或者解聘。 董事会秘书是公司的高级管理人员,对董事会负责。 董事会秘书的任职资格: 1. 董事会秘书应当由具有大学专科以上学历,从事秘书、管理、 股权事务等工作三年以上的自然人担任; 2. 董事会秘书应当掌握财务、税收、法律、金融、企业管理等 方面的知识,具有良好的个人品质和职业道德,严格遵守法律、法规、 规章,能够忠诚地履行职责,并具有良好的处理公共事务的能力; 3. 董事会秘书可以由公司董事或者其他高级管理人员兼任。董 事兼任董事会秘书的,如某一行为应由董事和董事会秘书分别作出 大连冷冻机股份有限公司 公司章程 时,则该兼任公司董事会秘书的人士不得以双重身份作出; 4. 本章程第 6.2 条规定不得担任公司董事的情形适用于董事会 秘书; 5. 公司聘请的会计师事务所的注册会计师和律师事务所的律师 不得兼任公司董事会秘书。 董事会秘书履行下列职责: 1. 准备和递交有关政府部门所要求董事会、股东大会出具的报 告和文件; 2. 筹备董事会会议和股东大会,并负责会议的记录工作和妥善 保存会议文件和记录,保管股东名册和董事会印章; 3. 使公司董事、监事、总经理及其他高级管理人员明确他们应 当担负的责任,在行使职权时切实遵守有关法律、法规、公司章程和 各种规章制度; 4. 负责公司信息披露事务,保证公司信息披露的及时、准确、 合法、真实和完整; 5.为公司重大决策提供咨询和建议; 6. 保证有权得到公司有关记录和文件的人及时得到有关文件 和记录; 7. 协助董事会行使职权。在董事会决议违反法律、法规、规章、 政策、公司章程时,应当及时提出异议; 8. 负责处理公司与董事、证券管理部门、证券交易所、股东及 其它相关机构之间的有关事宜;及 9. 公司章程和公司股票上市的证券交易所上市规则所规定的 其它职责。 第 6.17 条 独立董事 大连冷冻机股份有限公司 公司章程 独立董事是指不在公司担任除董事外的其他职务,并与公司及主 要股东不存在可能妨碍其进行独立客观判断的关系的董事。 独立董事对公司及全体股东负有诚信与勤勉义务。独立董事应当 按照相关法律法规和公司章程的要求,认真履行职责,维护公司整体 利益,尤其要关注中小股东的合法权益不受损害。 担任独立董事应当符合下列基本条件: 1. 根据法律、行政法规及其他有关规定,具备担任上市公司董 事的资格; 2. 具有独立性; 3. 具备上市公司运作的基本知识,熟悉相关法律、行政法规、 规章及规则; 4. 具有五年以上法律、经济或者其他履行独立董事职责所必需 的工作经验; 5. 公司章程规定的其他条件。 下列人员不得担任独立董事: 1. 在公司或者其附属企业任职的人员及其直系亲属、主要社会 关系; 2. 直接或间接持有公司已发行股份 1%以上或者是公司前十名 股东中的自然人股东及其直系亲属; 3. 在直接或间接持有公司已发行股份 5%以上的股东单位或者 在公司前五名股东单位任职的人员及其直系亲属; 4. 最近一年内曾经具有前三项所列举情形的人员; 5. 为公司或者其附属企业提供财务、法律、咨询等服务的人员; 大连冷冻机股