新疆機械研究院股份有限公司獨立董事

關于公司創業板非公開發行股票調整方案的事前認可意見

根(gen)據《關于(yu)(yu)在上市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)建立獨(du)立董事(shi)(shi)制度的(de)(de)(de)指導(dao)意(yi)見》、《深圳(zhen)證(zheng)(zheng)券交(jiao)(jiao)易所(suo)股票(piao)(piao)上市(shi)(shi)規(gui)則（2019年(nian)修訂(ding)(ding)）》、《創業(ye)板上市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)規(gui)范運作(zuo)指引（2015年(nian)修訂(ding)(ding)）》等法(fa)(fa)律、法(fa)(fa)規(gui)等規(gui)范性文(wen)件規(gui)定(ding)，結合(he)新(xin)疆機械研究院(yuan)股份有限(xian)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)（以下(xia)簡稱“公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)”）《公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)章程》等有關規(gui)定(ding)，我們作(zuo)為公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)獨(du)立董事(shi)(shi)，基于(yu)(yu)獨(du)立判斷的(de)(de)(de)立場，我們對(dui)擬提交(jiao)(jiao)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)第(di)四(si)屆董事(shi)(shi)會(hui)第(di)十四(si)次會(hui)議(yi)所(suo)審(shen)議(yi)的(de)(de)(de)《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)符合(he)非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)條(tiao)件的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)調整公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)方(fang)案(an)(an)(an)的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)預案(an)(an)(an)（修訂(ding)(ding)稿(gao)）的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)方(fang)案(an)(an)(an)論證(zheng)(zheng)分(fen)(fen)析報(bao)告（修訂(ding)(ding)稿(gao)）的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)募集資金使用的(de)(de)(de)可(ke)行性分(fen)(fen)析報(bao)告（修訂(ding)(ding)稿(gao)）的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)本次非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)攤薄即期回報(bao)及填補回報(bao)措施（修訂(ding)(ding)稿(gao)）的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)本次非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股票(piao)(piao)涉及關聯(lian)交(jiao)(jiao)易的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)與(yu)嘉(jia)興華控(kong)騰匯(hui)股權投(tou)資合(he)伙(huo)企業(ye)（有限(xian)合(he)伙(huo)）重(zhong)新(xin)簽署非(fei)公(gong)(gong)(gong)(gong)(gong)(gong)開(kai)發(fa)(fa)行股份認購(gou)協議(yi)的(de)(de)(de)議(yi)案(an)(an)(an)》、《關于(yu)(yu)提請股東大會(hui)批準嘉(jia)興華控(kong)騰匯(hui)股權投(tou)資合(he)伙(huo)企業(ye)（有限(xian)合(he)伙(huo)）免于(yu)(yu)以要約收購(gou)方(fang)式增持公(gong)(gong)(gong)(gong)(gong)(gong)司(si)(si)股份的(de)(de)(de)議(yi)案(an)(an)(an)》等議(yi)案(an)(an)(an)發(fa)(fa)表事(shi)(shi)前認可(ke)意(yi)見如下(xia)：

1、公(gong)(gong)司(si)本次調整(zheng)非公(gong)(gong)開發行股票的有關方案(an)、預(yu)案(an)（修訂稿(gao)）符合(he)《公(gong)(gong)司(si)法(fa)》、《證券法(fa)》及(ji)《創(chuang)業板上市公(gong)(gong)司(si)證券發行管理(li)暫行辦法(fa)》等(deng)法(fa)律、法(fa)規(gui)及(ji)規(gui)范性(xing)文件(jian)的規(gui)定，方案(an)合(he)理(li)、切實可行，不(bu)存在損害(hai)公(gong)(gong)司(si)和(he)其他股東的利益的情形。

2、公(gong)(gong)(gong)司本次非公(gong)(gong)(gong)開發(fa)(fa)行募集(ji)資(zi)(zi)金使(shi)用符合法(fa)律法(fa)規(gui)和相(xiang)關政策的規(gui)定，具有可行性。本次非公(gong)(gong)(gong)開發(fa)(fa)行募集(ji)資(zi)(zi)金到位(wei)并使(shi)用后，公(gong)(gong)(gong)司資(zi)(zi)產負債率將有所降低(di)，有利于改善公(gong)(gong)(gong)司資(zi)(zi)本結構，降低(di)財務風險(xian)，提升盈利水平，推動(dong)公(gong)(gong)(gong)司業務持續健康(kang)發(fa)(fa)展，不存在(zai)損害公(gong)(gong)(gong)司及(ji)其股(gu)東、特(te)別是中小股(gu)東利益的情形。

3、本次非(fei)公(gong)開(kai)發(fa)行股票的(de)認購對象為嘉(jia)興(xing)(xing)華(hua)控(kong)騰匯股權投資合(he)伙(huo)(huo)企業(ye)（有(you)限合(he)伙(huo)(huo)）（以下簡(jian)稱“嘉(jia)興(xing)(xing)華(hua)控(kong)”），嘉(jia)興(xing)(xing)華(hua)控(kong)系公(gong)司(si)(si)控(kong)股股東，其(qi)(qi)認購公(gong)司(si)(si)本次非(fei)公(gong)開(kai)發(fa)行股份構成關(guan)聯(lian)交(jiao)易(yi)(yi)。關(guan)聯(lian)交(jiao)易(yi)(yi)雙方(fang)發(fa)生交(jiao)易(yi)(yi)的(de)理(li)由(you)合(he)理(li)、充分，關(guan)聯(lian)交(jiao)易(yi)(yi)定價(jia)原則和方(fang)法(fa)恰當(dang)、合(he)理(li)，且關(guan)聯(lian)交(jiao)易(yi)(yi)相關(guan)事(shi)項履行了必(bi)要(yao)的(de)關(guan)聯(lian)交(jiao)易(yi)(yi)內部決策(ce)程序，關(guan)聯(lian)交(jiao)易(yi)(yi)沒(mei)有(you)違反(fan)公(gong)開(kai)、公(gong)平、公(gong)正的(de)原則，不存(cun)在損(sun)害公(gong)司(si)(si)及其(qi)(qi)股東尤其(qi)(qi)是中小股東利益(yi)的(de)行為。

4、通過審閱公司重新簽署的《新疆機械研究院股(gu)(gu)份有限公(gong)司(si)與嘉興華控騰匯股(gu)(gu)權投(tou)資合(he)伙(huo)企業(ye)（有限合(he)伙(huo)）之附(fu)條件生(sheng)效的(de)非公(gong)開發(fa)行(xing)(xing)股(gu)(gu)票(piao)股(gu)(gu)份認購協議》等(deng)相(xiang)關文件，我們(men)認為公(gong)司(si)本次非公(gong)開發(fa)行(xing)(xing)股(gu)(gu)票(piao)涉及的(de)關聯交易(yi)是公(gong)開、公(gong)平、合(he)理的(de)，定價(jia)公(gong)允，符合(he)公(gong)司(si)的(de)根(gen)本利(li)益，不存(cun)在損害公(gong)司(si)及公(gong)司(si)其(qi)他股(gu)(gu)東利(li)益的(de)行(xing)(xing)為。

5、本次非公開發行前，嘉興華控享有表決權的股份比例占公司總股本的22.3981%。本次非公開發行股票的發行數量不超過424,028,268股，由嘉興華控全額認購。本次發行完成后，嘉興華控持有的公司表決權比例超過30%，仍為公司控股股東，鑒于本次非公開發行并未導致公司控股股東、實際控制人變更，且嘉興華控已承諾自發行結束之日起三十六個月內不轉讓本次向其發行的新股，根據《上市公司收購管理辦法》第六十三條的相關規定，公司董事會提請股東大會批準嘉(jia)興華(hua)控免于(yu)以要約方式增持公司股份的(de)申請，符合相關法律法規的(de)規定。

我們同意將上述事項提交公(gong)司第四(si)屆董(dong)事會(hui)第十四(si)次(ci)會(hui)議審議。

（本頁無正文，為《新疆機械研究院(yuan)股份(fen)有限(xian)公司(si)獨立董事關于(yu)公司(si)創業板(ban)非公開發行(xing)股票調整事項的(de)事前認(ren)可意(yi)見》之(zhi)簽字頁）

獨(du)立董事(shi)：     

陳建國            ;    張小武             胡海銀(yin)

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