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2019年11月20日 星期三

东杰智能(300486)公告正文

东杰智能:2016年年度报告

公告日期:2017-04-26

山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                     山西东杰智能物流装备股份有限公司

                                         2016 年年度报告

                                                 2017-049




                                            2017 年 04 月




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                              第一节 重要提示、目录和释义


      本公司董事会、监事会及董事、监事、高级管理人员保证年度报告内容的

真实、准确、完整,不存在虚假记载、误导性陈述或重大遗漏,并承担个别和

连带的法律责任。

      公司负责人贾俊亭、主管会计工作负责人武同铭及会计机构负责人(会计主

管人员)杨琴声明:保证年度报告中财务报告的真实、准确、完整。

      所有董事均已出席了审议本报告的董事会会议。

      公司已在本报告中详细描述可能存在的相关风险,敬请查阅第四节“九 公

司未来发展的展望”中公司可能面对的风险及应对措施。

      公司计划不派发现金红利,不送红股,不以公积金转增股本。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                                                  目录




第一节 重要提示、目录和释义........................................................................................................2

第二节 公司简介和主要财务指标....................................................................................................6

第三节 公司业务概要........................................................................................................................9

第四节 经营情况讨论与分析.......................................................................................................... 11

第五节 重要事项..............................................................................................................................25

第六节 股份变动及股东情况..........................................................................................................73

第七节 优先股相关情况..................................................................................................................81

第八节 董事、监事、高级管理人员和员工情况..........................................................................82

第九节 公司治理..............................................................................................................................88

第十节 公司债券相关情况..............................................................................................................95

第十一节 财务报告..........................................................................................................................96

第十二节 备查文件目录................................................................................................................195




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                                     释义


                     释义项               指                                 释义内容

    公司/本公司/东杰智能                  指    山西东杰智能物流装备股份有限公司

    东杰装备                              指    公司全资子公司太原东杰装备有限公司

    东杰软件                              指    公司全资子公司太原东杰软件开发有限公司

    机电安装                              指    公司全资子公司山西东方物流机电安装有限公司

    证监会                                指    中国证券监督管理委员会

    深交所                                指    深圳证券交易所

    公司法                                指    中华人民共和国公司法

    证券法                                指    中华人民共和国证券法

    报告期                                指    2016 年 1 月 1 日至 2016 年 12 月 31 日

    上年同期                              指    2015 年 1 月 1 日至 2015 年 12 月 31 日

    股东大会、董事会、监事会              指    山西东杰智能物流装备股份有限公司股东大会、董事会、监事会

    元、万元                              指    人民币元、万元

                                                以自动化输送线为产品表现形式,产品结合了自动化、电气控制、
                                                软件管理等技术在生产过程控制物料或产品在指定的方位、时间以
    智能物流输送系统                      指
                                                指定的速率完成输送,更加高效、精确地完成加工、装配、喷涂等
                                                工序

                                                以立体仓库为产品表现形式,由立体货架、有轨巷道堆垛机、出入
                                                库托盘输送机系统、检测阅读系统、通讯系统、自动控制系统、计
    智能物流仓储系统                      指    算机监控管理等组成,综合了自动化控制、自动输送、场前自动分
                                                拣及场内自动输送,通过货物自动录入、管理和查验货物信息的软
                                                件平台,实现仓库内货物的物理运动及信息管理的自动化及智能化

                                                以立体化形式存放车辆的智能停车系统,包含了机械、电子、液压、
    智能立体停车系统                      指    光学、磁控技术、软件及管理系统,系技术密集型的机电一体化设
                                                备

                                                配送中心是以自动化分拣、立体仓库、自动化输送、数据管理为中
                                                心,对货物进行分类、倒装、保管、流通增值和情报处理等作业,
    自动化配送中心                        指
                                                然后按照众多需要者的订货要求备齐货物,以令人满意的服务进行
                                                配送出货的设施,可广泛应用在烟酒,医药,电子商务等行业

                                                Automated Guided Vehicle,即自导引智能小车系统,指装备有电磁
    AGV                                   指    或光学等自动导引装置,能够沿规定的导引路径行驶,具有安全保
                                                护以及各种移载功能的运输车

    东杰运营                              指    太原东杰车库运营有限公司


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


    上海东兹杰                            指    公司控股子公司上海东兹杰智能设备有限公司

                                                公司全资子公司东杰软件控股子公司东杰智能软件(深圳)有限公
    深圳软件                              指
                                                司

                                                太原东杰车库运营有限公司控股子公司天津东杰智能停车服务有
    天津东杰                              指
                                                限公司

                                                太原东杰车库运营有限公司控股子公司云南东杰智能停车服务有
    云南东杰                              指
                                                限公司




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                              第二节 公司简介和主要财务指标

一、公司信息

    股票简称                 东杰智能                               股票代码                  300486

    公司的中文名称           山西东杰智能物流装备股份有限公司

    公司的中文简称           东杰智能

    公司的外文名称(如有)   Shanxi Oriental Material Handling Co., Ltd.

    公司的外文名称缩写(如
                             OMH
    有)

    公司的法定代表人         贾俊亭

    注册地址                 太原市新兰路 51 号

    注册地址的邮政编码       030008

    办公地址                 太原市新兰路 51 号

    办公地址的邮政编码       030008

    公司国际互联网网址       www.omhgroup.com

    电子信箱                 sec@omhgroup.com


二、联系人和联系方式

                                                       董事会秘书                            证券事务代表

    姓名                                 张新海                                   李霞

    联系地址                             山西省太原市新兰路 51 号                 山西省太原市新兰路 51 号

    电话                                 0351-3633818                             0351-3633818

    传真                                 0351-3633818                             0351-3633818

    电子信箱                             sec@omhgroup.com                         lixia@omhgroup.com


三、信息披露及备置地点

    公司选定的信息披露媒体的名称                    《证券日报》、《上海证券报》、《中国证券报》、《证券时报》

    登载年度报告的中国证监会指定网站的网址          巨潮资讯(www.cninfo.com.cn)

    公司年度报告备置地点                            山西省太原市新兰路 51 号


四、其他有关资料

公司聘请的会计师事务所


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


    会计师事务所名称                天健会计师事务所(特殊普通合伙)

    会计师事务所办公地址            杭州市西溪路 128 号 9 楼

    签字会计师姓名                  李剑、魏五军

公司聘请的报告期内履行持续督导职责的保荐机构
√ 适用 □ 不适用

             保荐机构名称            保荐机构办公地址                保荐代表人姓名                     持续督导期间

                                 北京朝阳区亮马桥路 48 号                                      2015 年 6 月 30 日-2018 年 12
    中信证券股份有限公司                                       任波、罗耸
                                 中信证券大厦 25 层                                            月 31 日

公司聘请的报告期内履行持续督导职责的财务顾问
□ 适用 √ 不适用


五、主要会计数据和财务指标

公司是否因会计政策变更及会计差错更正等追溯调整或重述以前年度会计数据
□ 是 √ 否

                                         2016 年                2015 年            本年比上年增减             2014 年

    营业收入(元)                      198,939,691.38         365,652,266.53                 -45.59%        396,114,709.25

    归属于上市公司股东的净利润
                                        -49,049,367.54          36,328,786.26              -235.02%           54,105,022.10
    (元)

    归属于上市公司股东的扣除非
                                        -59,104,102.26          28,089,605.52              -310.41%           54,080,225.38
    经常性损益的净利润(元)

    经营活动产生的现金流量净额
                                         37,624,189.36         -71,449,202.71              -152.66%            6,885,376.71
    (元)

    基本每股收益(元/股)                           -0.35                  0.30            -216.67%                      0.52

    稀释每股收益(元/股)                           -0.35                  0.30            -216.67%                      0.52

    加权平均净资产收益率                       -7.47%                     6.81%               -14.28%               15.32%

                                                                                  本年末比上年末增
                                        2016 年末              2015 年末                                     2014 年末
                                                                                         减

    资产总额(元)                    1,045,585,518.58         945,946,540.45                 10.53%         675,161,304.21

    归属于上市公司股东的净资产
                                        624,868,132.53         687,062,791.17                  -9.05%        378,727,833.45
    (元)


六、分季度主要财务指标

                                                                                                                       单位:元

                                        第一季度               第二季度               第三季度               第四季度

    营业收入                             14,219,707.74          74,589,594.12          13,992,129.79          96,138,259.73

    归属于上市公司股东的净利润          -17,309,526.96         -11,559,847.88         -21,852,537.57           1,672,544.87


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


    归属于上市公司股东的扣除非
                                      -17,350,987.75        -11,845,387.41      -21,908,238.21   -7,999,488.89
    经常性损益的净利润

    经营活动产生的现金流量净额        -11,916,962.22        10,714,475.13       16,849,289.95    21,977,386.51

上述财务指标或其加总数是否与公司已披露季度报告、半年度报告相关财务指标存在重大差异
□ 是 √ 否


七、境内外会计准则下会计数据差异

1、同时按照国际会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况

□ 适用 √ 不适用
公司报告期不存在按照国际会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况。


2、同时按照境外会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况

□ 适用 √ 不适用
公司报告期不存在按照境外会计准则与按照中国会计准则披露的财务报告中净利润和净资产差异情况。


八、非经常性损益项目及金额

√ 适用 □ 不适用
                                                                                                         单位:元

                    项目                   2016 年金额        2015 年金额       2014 年金额       说明

    非流动资产处置损益(包括已计提资产
                                               283,987.88           -4,463.43      -145,152.63
    减值准备的冲销部分)

    计入当期损益的政府补助(与企业业务
    密切相关,按照国家统一标准定额或定      11,452,326.09       9,736,156.28       259,256.28
    量享受的政府补助除外)

    除上述各项之外的其他营业外收入和支
                                               141,709.78           5,956.15        -35,539.34
    出

    减:所得税影响额                         1,816,518.47       1,498,468.26         53,767.59

         少数股东权益影响额(税后)              6,770.56

    合计                                    10,054,734.72       8,239,180.74         24,796.72     --

对公司根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义界定的非经常性损益项目,以及把《公
开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》中列举的非经常性损益项目界定为经常性损益的项目,应
说明原因
□ 适用 √ 不适用
公司报告期不存在将根据《公开发行证券的公司信息披露解释性公告第 1 号——非经常性损益》定义、列举的非经常性损益
项目界定为经常性损益的项目的情形。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                      第三节 公司业务概要

一、报告期内公司从事的主要业务

公司是否需要遵守特殊行业的披露要求

报告期内,公司的主营业务为智能物流成套装备的设计、制造、安装调试与销售。公司的主要产品类别包括智能物流输送系
统、智能物流仓储系统和智能立体停车系统三大类。公司所处的智能物流成套装备行业属于国家重点支持、鼓励发展的先进
制造领域,公司的智能物流输送系统、智能物流仓储系统广泛应用于汽车整车及零部件、工程机械、物流仓储、食品饮料、
电子商务、化工、烟草、医药、冶金等各个领域,公司的智能立体停车系统立足于解决城市发展停车难的问题。公司的经营
模式为“以销定产、以产定购”,该经营模式亦系行业通常采用的模式,由于智能物流成套装备一般为非标产品,必须基于
客户不同的工艺需求、投资概算、场地限制等对产品及相应的控制系统进行统筹设计、制造以及安装调试,同样基于客户的
个性化定制化需求,公司需根据定制化订单生产的实际需要进行针对性的采购。报告期内,公司经营业绩的驱动因素主要有
订单及收入、毛利率及费用变化。




二、主要资产重大变化情况

1、主要资产重大变化情况


                 主要资产                                         重大变化说明

    股权资产                         公司报告期内实施股权激励,增加 252 万股。

    在建工程                         公司施工项目增加

    非流动资产                       公司预付工程、土地款增加

    递延所得税资产                   公司可抵扣亏损增加


2、主要境外资产情况

□ 适用 √ 不适用


三、核心竞争力分析

公司是否需要遵守特殊行业的披露要求

1、优秀的核心技术
       由于智能物流装备行业的产品为非标准产品,公司需要基于客户不同的工艺需求、投资概算、场地限制等个性化差异
对各产品以及相应的控制系统进行统筹设计、制造以及安装调试。因此,整体系统集成能力、项目实施经验是行业核心竞争
力的最主要标志之一。公司在智能物流输送系统、智能物流仓储系统及智能立体停车系统等主要业务领域具备较强的整体设
计、制造、安装、调试的技术实力,通过自主研发获得了几十项发明及实用新型专利。公司在控制及管理软件上自主研发能
力较强,核心产品均使用自主研发的控制软件和管理软件,且拥有软件著作权的控制软件和管理软件。


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


2、稳定的专业团队
     稳定的管理层以及核心技术团队是公司发展的良好助力。从技术方面来看,技术人员往往需要三年左右的培训与现场作
业才能成长为合格的行业人员,而核心技术人员则需要更长时间的行业经验积累,才能充分了解客户的需求。公司激励措施
完善,技术骨干人员均在公司服务多年,专业性强、团队稳定、对公司的归属感较强。同时,公司的管理团队也均在行业深
耕多年,管理层较为稳定也进一步提升了公司的凝聚力。
3、低成本运营与高水平服务
     智能物流成套装备行业的国际竞争对手普遍存在着人力成本、运营成本较高的情况。公司的人力成本及运营成本均相对
较低,在与国际同行的竞争中,具有低成本的竞争优势。同时,公司相对于国际同行具有售后服务人员充足、反应速度快的
优势。公司在不断提高自身技术水平、向国际同行看齐的同时,也将继续保持低成本运营并致力于提供高水平服务。
4、良好的品牌与客户优势
     大型自动化物流输送设备及立体仓库项目订单金额较高,在下游企业生产环节起到较为重要的作用,因此下游企业在采
购过程中较为谨慎,往往经过多方面筛选最终选择行业内具有较高品牌知名度或相关工程业绩的厂家。公司作为国内智能物
流装备行业优秀供应商之一,经过近二十年的技术革新和经验积累,凭借大量与下游各行业龙头企业成功的合作经验,已经
在国内建立了良好的品牌和客户优势。
5、丰富的项目经验
     在智能物流装备行业,项目经验是获得同行业客户工程中最有说服力的竞标优势之一。公司项目经验丰富,应用行业分
布较广,在汽车、工程机械、医药、食品饮料等重点领域均有该行业内的标杆工程。智能物流装备项目一般是复杂的系统工
程,不同行业的工程项目中需要关注的要点以及客户需求均不完全相同,丰富的项目经验不仅有助于公司获得新的项目机会,
也可保证公司始终以专业化、高水准的服务满足客户的需求。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                第四节 经营情况讨论与分析

一、概述

报告期内,公司的主营业务为智能物流成套装备的设计、制造、安装调试与销售。公司的主要产品类别包括智能物流输送系
统、智能物流仓储系统和智能立体停车系统三大类。公司的智能物流输送系统、智能物流仓储系统广泛应用于医药、食品饮
料、电子商务、物流仓储、汽车、工程机械、化工、烟草、冶金等各个领域。公司的智能立体停车系统立足于解决城市停车
难的问题。报告期内,公司经营业绩的驱动因素主要有订单及收入、毛利率及费用等。2016年宏观经济持续下行,供求态势
发生改变,技术与质量要求在不断提高,市场竞争日趋激烈。面对以上外部环境,公司认真分析研究了自身的优势,力争保
稳定、求增长,但随着公司合同执行周期变长,完工验收项目减少,企业规模的扩大,职工人数的增加,人力成本上升;客
户的资金周转效率降低,公司资金回笼速度变慢,导致应收账款账龄拉长,坏账准备增加;研发投入进一步加大,以及报告
期内新增限制性股票股权激励股份支付费用,使得公司费用增加。报告期内,公司实现营业收入19,893.97万元,比上年同
期下降45.59%;其中,智能物流输送系统实现收入9,242.32万元,占当期营业收入的46.46%,同比下降29.5%。智能物流仓
储系统实现收入7,082.03万元,占当期营业收入的35.6%,同比下降65.53%。智能立体停车系统实现收入1,362.60万元,占
当期营业收入的6.85%,同比下降40.51%。公司实现营业利润-7,254.85万元,比上年同期下370.58%;实现净利润-4,966.79
万元,比上年同期下降236.72%。


二、主营业务分析

1、概述

参见“经营情况讨论与分析”中的“一、概述”相关内容。


2、收入与成本

(1)营业收入构成

公司是否需要遵守光伏产业链相关业的披露要求

公司是否需遵守《深圳证券交易所创业板行业信息披露指引第 1 号——上市公司从事广播电影电视业务》的披露要求:

公司是否需遵守《深圳证券交易所创业板行业信息披露指引第 5 号——上市公司从事互联网游戏业务》的披露要求:

公司是否需遵守《深圳证券交易所创业板行业信息披露指引第 9 号——上市公司从事 LED 产业链相关业务》的披露要求:

公司是否需遵守《深圳证券交易所创业板行业信息披露指引第 10 号——上市公司从事医疗器械业务》的披露要求:

                                                                                                    单位:元

                                2016 年                             2015 年
                                                                                              同比增减
                         金额         占营业收入比重        金额         占营业收入比重


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 营业收入合计           198,939,691.38                 100%        365,652,266.53              100%           -45.59%

 分行业

 智能物流装备           197,324,293.96               99.19%        364,957,820.36            99.81%           -45.93%

 其他业务收入             1,615,397.42                0.81%             694,446.17            0.19%           132.62%

 分产品

 智能物流输送系
                         92,423,215.04               46.46%        131,102,819.49            35.85%           -29.50%
 统

 智能物流仓储系
                         70,820,280.28               35.60%        205,442,600.39            56.19%           -65.53%
 统

 机械式立体停车
                         13,625,970.95                6.85%         22,903,290.59             6.26%           -40.51%
 系统

 备件及其他               6,976,207.79                3.51%          6,203,556.06             1.70%           -13.58%

 交叉带分拣机            15,094,017.32                7.59%

 分地区

 境内                   198,939,691.38               100.00%       365,652,266.53           100.00%           -45.59%


(2)占公司营业收入或营业利润 10%以上的行业、产品或地区情况

√ 适用 □ 不适用
公司是否需要遵守特殊行业的披露要求

                                                                                                               单位:元

                                                                         营业收入比上     营业成本比上   毛利率比上年
                     营业收入         营业成本            毛利率
                                                                          年同期增减       年同期增减      同期增减

 分行业

 智能物流装备     197,324,293.96    167,427,754.69             15.15%           -45.93%        -35.98%        -13.19%

 分产品

 智能物流输送
                    92,423,215.04    88,324,146.19             4.44%            -29.50%        -13.68%        -17.51%
 系统

 智能物流仓储
                    70,820,280.28    54,405,309.88             23.18%           -65.53%        -61.05%         -8.83%
 系统

 分地区

 境内             198,939,691.38    168,694,612.64             15.20%           -45.59%        -34.90%        -13.84%

公司主营业务数据统计口径在报告期发生调整的情况下,公司最近 1 年按报告期末口径调整后的主营业务数据
□ 适用 √ 不适用




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


(3)公司实物销售收入是否大于劳务收入

√ 是 □ 否

       行业分类              项目              单位                2016 年               2015 年             同比增减

                    销售量               元                      197,324,293.96         364,957,820.36            -45.93%
 智能物流装备
                    生产量               元                      197,324,293.96         364,957,820.36            -45.93%

相关数据同比发生变动 30%以上的原因说明
√ 适用 □ 不适用
同比下降45.93%主要原因是报告期内销售产品实现的收入降低。


(4)公司已签订的重大销售合同截至本报告期的履行情况

□ 适用 √ 不适用


(5)营业成本构成

行业分类
行业分类
                                                                                                                   单位:元

                                               2016 年                              2015 年
     行业分类          项目                           占营业成本比                         占营业成本比       同比增减
                                        金额                                 金额
                                                          重                                    重

 智能物流装备     直接材料          122,769,051.18          73.33%     192,178,141.15              73.49%         -36.12%

 智能物流装备     直接人工           12,675,425.18             7.57%    22,518,770.60                8.61%        -43.71%

 智能物流装备     制造费用           10,094,695.17             6.03%    18,221,631.23                6.97%        -44.60%

 智能物流装备     安装费用           21,888,583.16          13.07%      28,593,133.80              10.93%         -23.45%

说明


(6)报告期内合并范围是否发生变动

□ 是 √ 否


(7)公司报告期内业务、产品或服务发生重大变化或调整有关情况

□ 适用 √ 不适用


(8)主要销售客户和主要供应商情况

公司主要销售客户情况

 前五名客户合计销售金额(元)                                                                                52,582,820.52



13
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 前五名客户合计销售金额占年度销售总额比例                                                                     26.43%

 前五名客户销售额中关联方销售额占年度销售总额
                                                                                                              0.00%
 比例

公司前 5 大客户资料

     序号                客户名称                         销售额(元)                   占年度销售总额比例

 1          第一名                                              13,264,957.27                                 6.67%

 2          第二名                                              12,095,641.03                                 6.08%

 3          第三名                                              10,427,350.43                                 5.24%

 4          第四名                                               8,803,418.80                                 4.43%

 5          第五名                                               7,991,452.99                                 4.02%

 合计                       --                                  52,582,820.52                                 26.43%

主要客户其他情况说明
□ 适用 √ 不适用
公司主要供应商情况

 前五名供应商合计采购金额(元)                                                                       49,686,908.51

 前五名供应商合计采购金额占年度采购总额比例                                                                   16.83%

 前五名供应商采购额中关联方采购额占年度采购总
                                                                                                              0.00%
 额比例

公司前 5 名供应商资料

     序号                供应商名称                       采购额(元)                   占年度采购总额比例

 1           第一名                                             13,832,268.93                                 4.68%

 2           第二名                                              7,778,618.79                                 2.63%

 3           第三名                                              5,006,315.44                                 1.70%

 4           第四名                                              4,911,092.27                                 1.66%

 5           第五名                                              4,622,865.73                                 1.57%

 合计                        --                                 49,686,908.51                                 16.83%

主要供应商其他情况说明
□ 适用 √ 不适用


3、费用

                                                                                                              单位:元

                             2016 年            2015 年            同比增减                  重大变动说明

                                                                                  销售产品质保期内售后维保费用的
 销售费用                   21,874,437.54     15,368,921.28              42.33%
                                                                                  增加

                                                                                  公司员工增加致使职工薪酬增加。
 管理费用                   61,282,363.09     50,758,368.94              20.73%
                                                                                  报告期内实施股权激励计划增加股

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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                                                    份支付费用。

 财务费用                     -1,521,528.55           1,410,873.34    -207.84%      报告期内存款利息收入增加


4、研发投入

√ 适用 □ 不适用
报告期内公司共投入研发费用2268.22万元,占营业收入的11.4%,比上年同期增长8.87%。
近三年公司研发投入金额及占营业收入的比例

                                         2016 年                     2015 年                       2014 年

 研发人员数量(人)                                       63                         76                            43

 研发人员数量占比                                    13.47%                      15.17%                         8.70%

 研发投入金额(元)                            22,682,193.61             20,835,372.61                 15,150,220.26

 研发投入占营业收入比例                               11.40%                      5.70%                         3.82%

 研发支出资本化的金额(元)                              0.00                       0.00                          0.00

 资本化研发支出占研发投入
                                                       0.00%                      0.00%                         0.00%
 的比例

 资本化研发支出占当期净利
                                                       0.00%                      0.00%                         0.00%
 润的比重

研发投入总额占营业收入的比重较上年发生显著变化的原因
□ 适用 √ 不适用
研发投入资本化率大幅变动的原因及其合理性说明
□ 适用 √ 不适用


5、现金流

                                                                                                               单位:元

            项目                         2016 年                     2015 年                       同比增减

 经营活动现金流入小计                         345,224,407.98            273,876,580.55                         26.05%

 经营活动现金流出小计                         307,600,218.62            345,325,783.26                         -10.92%

 经营活动产生的现金流量净
                                               37,624,189.36            -71,449,202.71                        -152.66%
 额

 投资活动现金流入小计                             121,502.56                   22,084.19                      450.18%

 投资活动现金流出小计                         107,731,248.51             96,152,082.18                         12.04%

 投资活动产生的现金流量净
                                              -107,609,745.95           -96,129,997.99                         11.94%
 额

 筹资活动现金流入小计                          45,114,000.00            280,306,611.31                         -83.91%

 筹资活动现金流出小计                          15,551,896.91              3,006,900.00                        417.21%

 筹资活动产生的现金流量净                      29,562,103.09            277,299,711.31                         -89.34%


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 额

 现金及现金等价物净增加额                    -40,423,453.50                109,720,510.61                    -136.84%

相关数据同比发生重大变动的主要影响因素说明
√ 适用 □ 不适用
经营活动现金净流量同比增加的原因主要是因为销售商品、提供劳务收到的现金流入增加,以及购买商品、接受劳务支付的
现金流出减少。
投资活动现金流入同比变化较大的原因是报告期内处置子公司收到的现金净额增加。
筹资活动现金流入及筹资活动现金流量净额的变化主要是上年度公司成功首次公开发行股票收到募集资金影响收到筹资活
动现金流入及筹资活动现金流量净额增加较大,筹资活动现金流出变化较大德尔原因是本年度给股东现金分红的原因


报告期内公司经营活动产生的现金净流量与本年度净利润存在重大差异的原因说明
√ 适用 □ 不适用
报告期公司经营活动的现金流量与本年度净利润存在较大差异,主要与本公司生产模式和所属行业以及外部客观经济环境有
关。公司属于智能装备制造业,订单式生产的项目在和客户签订合同后,从设计、制造、安装调试到项目终验收,一般经过
较长时间,除前期收到预付款外,其他每个过程中均需垫付大量资金,加上本年度受经济下行情况的影响,公司产品的主要
下游行业汽车、工程机械、冶金等行业发展均受到较大影响,客户的回款信用期延长,应收账款的余额有较大的增加,未完
工项目的垫付资金也进一步加大。


三、非主营业务情况

□ 适用 √ 不适用


四、资产及负债状况

1、资产构成重大变动情况

                                                                                                              单位:元

                        2016 年末                     2015 年末
                                                                           比重增
                                 占总资产                     占总资产                        重大变动说明
                    金额                          金额                       减
                                    比例                          比例

                 150,920,809.                 194,910,216.
 货币资金                           14.43%                        20.60%   -6.17%    募投项目支出使得专户资金减少
                           17                            47

                 208,425,963.                 266,840,260.
 应收账款                           19.93%                        28.21%   -8.28%    报告期完工项目金额大幅下降
                           63                            67

                 263,200,525.                 185,592,199.
 存货                               25.17%                        19.62%    5.55%    正在施工的未完成项目增加
                           09                            74

                 163,319,984.                 171,659,046.
 固定资产                           15.62%                        18.15%   -2.53%    正在施工的未完成项目增加
                           97                            64

                 59,977,045.0
 在建工程                            5.74%    4,254,330.86         0.45%    5.29%    募投项目投入的建安工程增加
                            7




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


2、以公允价值计量的资产和负债

□ 适用 √ 不适用


3、截至报告期末的资产权利受限情况

不适用


五、投资状况分析

1、总体情况

□ 适用 √ 不适用


2、报告期内获取的重大的股权投资情况

□ 适用 √ 不适用


3、报告期内正在进行的重大的非股权投资情况

□ 适用 √ 不适用


4、以公允价值计量的金融资产

□ 适用 √ 不适用


5、募集资金使用情况

√ 适用 □ 不适用


(1)募集资金总体使用情况

√ 适用 □ 不适用
                                                                                                       单位:万元

                                                      报告期   累计变     累计变              尚未使
                                本期已     已累计                                  尚未使               闲置两
                                                      内变更   更用途     更用途              用募集
 募集年    募集方    募集资     使用募     使用募                                  用募集               年以上
                                                      用途的   的募集     的募集              资金用
     份       式     金总额     集资金     集资金                                  资金总               募集资
                                                      募集资   资金总     资金总              途及去
                                 总额       总额                                     额                 金金额
                                                      金总额     额       额比例                向

                                                                                              存放于
                     26,403.6                                                      11,242.5
 2015      IPO                  5,798.61   15,161.1        0          0    0.00%              募集资         0
                           8                                                              8
                                                                                              金专户

                     26,403.6                                                      11,242.5
 合计         --                5,798.61   15,161.1        0          0    0.00%                --           0
                           8                                                              8


17
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                           募集资金总体使用情况说明

 经中国证券监督管理委员会证监许可〔2015〕1199 号文核准,并经深交所同意,本公司由主承销商中信证券股份有限公
 司采用余额包销的承销方式,向社会公众公开发行股份人民币普通股(A 股)股票 3,472 万股,发行价为每股人民币 8.94
 元,共计募集资金 31,039.68 万元,坐扣承销和保荐费用 3,200.00 万元后的募集资金为 27,839.68 万元,已由主承销商中
 信证券股份有限公司于 2015 年 6 月 25 日汇入本公司募集资金监管账户。另减除上网发行费、招股说明书印刷费、申报
 会计师费、律师费、评估费等与发行权益性证券直接相关的新增外部费用 1,436.00 万元后,公司本次募集资金净额为
 26,403.68 万元。上述募集资金到位情况业经天健会计师事务所(特殊普通合伙)验证,并由其出具《验资报告》(天健
 验〔2015〕2-32 号)。2016 年度实际使用募集资金 5,798.61 万元,暂时补充流动资金 2,000 万元,收到的银行存款利息
 扣除银行手续费等的净额为 325.55 万元。截至 2016 年 12 月 31 日,募集资金余额为人民币 9,607.05 万元(包括累计收
 到的银行存款利息扣除银行手续费等的净额)。


(2)募集资金承诺项目情况

√ 适用 □ 不适用
                                                                                                              单位:万元

                      是否已                                            截至期    项目达                       项目可
                                募集资                        截至期
                      变更项             调整后   本报告                末投资    到预定   本报告   是否达     行性是
 承诺投资项目和超               金承诺                        末累计
                      目(含              投资总   期投入                 进度     可使用   期实现   到预计     否发生
      募资金投向                投资总                        投入金
                      部分变             额(1)     金额                 (3)=     状态日   的效益    效益      重大变
                                  额                          额(2)
                       更)                                              (2)/(1)     期                              化

 承诺投资项目

 年产 100 台/套工业
                                                              8,456.3
 自动化智能物流装     否        12,525   12,525   233.46                67.52%                  0   否         否
                                                                   5
 备扩建项目

 年产 50 座物流仓储                               5,520.1     6,354.2
                      否        12,987   12,987                         48.93%                  0   否         否
 成套设备扩建项目                                         5        6

 研发中心建设项目     否         6,500    6,500        45     350.49    5.39%                   0   否         否

                                                  5,798.6     15,161.
 承诺投资项目小计          --   32,012   32,012                           --        --          0        --         --
                                                          1        1

 超募资金投向

 无                   是

                                                  5,798.6     15,161.
 合计                      --   32,012   32,012                           --        --          0        --         --
                                                          1        1

 未达到计划进度或
 预计收益的情况和     无
 原因(分具体项目)

 项目可行性发生重
                      无
 大变化的情况说明

 超募资金的金额、用   不适用
 途及使用进展情况


18
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                     适用

                     以前年度发生

                     公司于 2015 年 8 月 6 日召开的第五届董事会第十二次会议审议通过了《关于变更“年产 50 座物
                     流仓储成套设备扩建项目”募投项目实施地点及实施主体的议案》、《关于变更“研发中心建设项

 募集资金投资项目    目”募投项目实施地点的议案》、《关于变更“年产 100 台套工业自动化智能物流装备扩建项目”

 实施地点变更情况    募投项目实施地点及实施主体的议案》,将“年产 50 座物流仓储成套设备扩建项目”的实施地点
                     由原先的太原经济技术开发区唐槐路 84 号变更为太原不锈钢产业园区,实施主体由全资子公司太
                     原东杰装备有限公司变更为山西东杰智能物流装备股份有限公司;将“研发中心建设项目”的实
                     施地点由原先的太原市新兰路 51 号变更为太原不锈钢产业园区;将“年产 100 台/套工业自动化
                     智能物流装备扩建项目”实施地点由原先的太原经济技术开发区唐槐路 84 号变更为上海市,实施
                     主体由全资子公司太原东杰装备有限公司变更为山西东杰智能物流装备股份有限公司。

                     不适用
 募集资金投资项目
 实施方式调整情况


                     适用
 募集资金投资项目
                     2015 年 8 月 6 日,公司第五届董事会第十二次会议审议通过了《关于使用募集资金置换预先投入
 先期投入及置换情
                     募集资金项目自筹资金的议案》,同意公司使用募集资金置换前期已投入募集资金投资项目的自筹
 况
                     资金 1,376.21 万元,此事项已实施完毕。

                     适用

                     2015 年 10 月 26 日,公司第五届董事会第十五次会议和第五届监事会第十一次会议分别审议通过
                     了《关于使用部分闲置募集资金暂时补充流动资金的议案》,同意将 3,000 万元闲置募集资金用于
 用闲置募集资金暂    暂时补充流动资金,使用期限不超过董事会批准之日起 12 个月,到期将归还至募集资金专户。至
 时补充流动资金情    本报告期末该资金尚未归还。2016 年 8 月 23 日, 公司已归还闲置募集资金补充流动资金的 3,000
 况                  万元。
                     2016 年 9 月 6 日,公司第六届董事会第五次会议审议通过了《关于继续使用募集资金暂时补充流
                     动资金的议案》,同意将 2,000 万元闲置募集资金用于暂时补充流动资金,使用期限不超过董事会
                     批准之日起 12 个月,到期将归还至募集资金专户。

 项目实施出现募集    不适用
 资金结余的金额及
 原因

 尚未使用的募集资
                     尚未使用的募集资金均存放在公司募集资金专户。
 金用途及去向

 募集资金使用及披
 露中存在的问题或    无
 其他情况


(3)募集资金变更项目情况

□ 适用 √ 不适用
公司报告期不存在募集资金变更项目情况。


19
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


六、重大资产和股权出售

1、出售重大资产情况

□ 适用 √ 不适用
公司报告期未出售重大资产。


2、出售重大股权情况

□ 适用 √ 不适用


七、主要控股参股公司分析

√ 适用 □ 不适用
主要子公司及对公司净利润影响达 10%以上的参股公司情况
                                                                                                               单位:元

 公司名称     公司类型       主要业务     注册资本      总资产       净资产      营业收入     营业利润       净利润

                             自动化生
                             产线、自动
                             化控制系
                             统、工业机
 太原东杰                    器人、停车
                                                       178,033,02   32,550,689   105,589,54   -3,477,061.   -3,134,034.
 装备有限    子公司          设备、物流   30,000,000
                                                             7.98          .71         0.26           39            80
 公司                        设备、仓储   .00
                             设备的设
                             计、制造、
                             安装、调
                             试。

                             物流设备、
                             自动化生
                             产线、仓储
 山西东方
                             设备、涂装
 物流机电                                              8,256,911.   4,746,209.   8,696,817.
             子公司          设备、自动   5,000,000.                                          -84,280.30    -84,280.30
 安装有限                                                     58           50           09
                             监控系统、 00
 公司
                             立体停车
                             库的安装、
                             调试。

                             供应链管
                             理信息系
 太原东杰
                             统解决方                  95,450,069   91,058,238   9,999,916.   -3,509,739.   -1,169,210.
 软件开发    子公司                       50,000,000
                             案咨询、规                       .02          .66          63            32            75
 有限公司                                 .00
                             划与设计,
                             系统集成;


20
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                          物流软件、
                          平台开发、
                          销售、安
                          装、调试及
                          维护;物流
                          技术、电子
                          商务技术
                          开发;计算
                          机软硬件
                          开发;计算
                          机系统集
                          成及综合
                          布线;仓储
                          管理系统;
                          运输管理
                          系统;第三
                          方物流管
                          理系统;计
                          算机软硬
                          件及辅助
                          设备销售;
                          车载信息
                          产品、数字
                          家庭产品、
                          移动终端
                          及 IT 产品
                          的嵌入式
                          软件开发
                          和服务;业
                          务流程外
                          包、IT 咨
                          询服务;IT
                          基础设施
                          服务及本
                          地化服务。

                          物流设备、
                          自动化生
                          产线、输送
 上海东兹
                          线、仓储设
 杰智能设                                           16,722,604   5,150,593.   15,094,017
             子公司       备、涂装设   50,000,000                                          180,498.12   150,593.30
 备有限公                                                  .85          30           .32
                          备、自动监   .00
 司
                          控系统、自
                          动化配送
                          中心、立体


21
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                           停车库、工
                           业机器人
                           的设计、销
                           售、安装、
                           调试。自营
                           和代理各
                           类商品和
                           技术的进
                           出口,但国
                           家限定公
                           司经营或
                           禁止进出
                           口的商品
                           和技术除
                           外。

 东杰智能
 软件(深                                             2,227,811.                             -2,212,329.   -2,212,359.
              子公司                     50,000,000                787,640.36   742,138.22
 圳)有限公                                                  80                                      04            64
                                         .00
 司

报告期内取得和处置子公司的情况
√ 适用 □ 不适用

              公司名称                    报告期内取得和处置子公司方式              对整体生产经营和业绩的影响

 云南东杰智能停车服务有限公司           股权转让                                0

 天津东杰智能停车服务有限公司           股权转让                                78,512.73

主要控股参股公司情况说明


八、公司控制的结构化主体情况

□ 适用 √ 不适用


九、公司未来发展的展望

 (一)公司所处行业竞争格局和发展趋势
  制造业是国民经济的基础,打造具有国际竞争力的制造业,是我国提升综合国力、保障国家安全、建设世界强国的必由之
路。智能装备在提高生产效率,节约社会成本,满足复杂工艺,社会个性化需求等方面的明显优势已被世界其他制造业强国
广泛证实。而高端智能装备是我国制造业强国发展的重要瓶颈。因此,发展高端装备制造业将成为我国制造业未来发展的方
向和重点。伴随着政府将鼓励和支持发展新一代信息技术与制造业深度融合的智能制造作为大的发展战略,国务院及各级地
方政府相继出台了各类政策大力发展智能制造装备产业,智能装备行业已经迎来了发展的黄金期。随着投资的拉动和持续的
技术升级改造,以及仓储自动化水平的提高,智能物流成套装备行业得到了长足发展。通过引进消化吸收国外先进技术,行
业的技术水平不断提高,行业中也涌现出一批具有较强的资金实力和综合竞争力的国内优秀企业,公司在市场竞争中也面临
着来自行业内优秀国内企业的压力。
(二)公司的发展战略及2017年经营计划



22
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


1、公司发展战略
     东杰智能作为国内专业提供智能物流装备的企业之一,以智能物流输送系统、智能物流仓储系统、智能立体停车系统、
自动化控制系统及软件管理系统集成等为主营业务。服务于医药、食品饮料、电子商务、现代物流、汽车、工程机械等众多
领域,并专注于通过推广智能立体停车系统,解决城市化进程中停车难的问题。公司力争成为具有国际影响力的智能物流成
套装备制造企业,“做全球最具竞争力的智能物流装备公司”。在未来,公司将进一步巩固公司在智能物流输送成套装备行业
的地位,抓住“工业4.0”带来的发展机遇,做大做强在电子商务、物流等领域的市场;实现智能物流仓储成套装备订单快
速增长,加强智能停车系统的市场开拓,增强市场影响力;加大供应链软件产品开发力度,提升公司产品的附加值和利润水
平。
2、2017公司发展计划
     2017年公司将凭借在智能物流输送产业深厚的技术和客户沉淀,一方面通过不断的技术创新提升产品的竞争力,来维持、
拓展市场份额;另一方面积极开拓智能物流输送系统在电子商务等新兴行业的应用。智能物流仓储系统公司将抓住行业发展
的黄金期,不断开发新产品满足客户个性化需求,同时强化内部管理,节能降本、提质增效,提升持续发展能力。公司将利
用产品系列齐全、技术领先的优势,进一步加强信息化技术在物流仓储配送中心的应用,积极提升公司针对特大型物流配送
中心的综合服务能力,提供物流咨询、规划、设计、生产、安装调试等集成服务,巩固发展现有仓储装备在同行业内市场竞
争中的地位并拓宽用户行业,加强与各行业龙头企业的合作,增强品牌影响力,提升品牌价值。随著城市化进程的不断推进,
大中城市汽车保有量快速增长,土地资源日益紧张,停车难的问题越来越突显。公司通过自主创新,不断开发智能停车系统
新产品,同时通过对技术的标准化、通用化等手段来降低产品成本,提升市场竞争能力。公司将进一步优化设计智能立体停
车系统,降低生产制造成本,并研究开发软件系统和高端智能立体停车系统,通过不断完善智能停车系统的控制和管理软件,
拓宽产品线并提高停车系统的智能化和可靠性,提高产品质量和用户体验度。
     2017年公司将持续积极拓展市场,加强市场营销渠道建设,着手构建海外营销渠道,并利用募集资金进一步扩大产能,
为公司未来的快速成长打下良好的基础。公司将加大研发投入和新产品的开发力度、不断提升公司技术水平,在售前服务过
程中能够为客户提供满足要求、投资较少的整体解决方案。公司将积极实施人才扩充计划,实现各类人才的合理配置;完善
员工培训机制,提升员工的文化水平和业务素质,凝聚一批认同企业文化并能胜任相应岗位业务知识的员工;建立和完善薪
酬管理体系,设计对各类人才具有吸引力、创造力的激励机制,增强公司自主创新能力和核心竞争力。公司将建立完善科学
有效的决策机制和内部管理机制,实现决策科学化、运行规范化,重点加强企业信息化管理建设,提升在公司决策、内部控
制、生产运营等环节的管理工作,提高全体员工的执行力。公司将根据行业与公司发展的要求,结合市场情况,采用多种方
式整合产业资源,完善产品结构,扩大市场份额,积极推动智能装备产业的高端化发展。
3、公司实施上述经营目标和发展战略所面临的风险
     (1)行业波动及业务下滑风险
     公司所处的智能物流成套装备行业属于装备制造业,行业需求状况与下游行业固定资产投资紧密相关,受国家宏观经济
形势和国民经济增长幅度等因素影响,公司目前主要下游行业汽车、工程机械等行业固定资产投资增长有所放缓,从而对公
司生产经营造成一定影响。但如果未来下游行业需求出现下降而公司又无法有效开拓新的业务领域,从而对公司产品需求及
公司业绩产生较大的不利影响,不利于公司经营目标及发展战略的实现。
     (2)订单减少及延迟执行风险
     公司订单签订金额及签订时间受宏观经济形势、下游市场需求、行业竞争状况等诸多因素影响,具有较大的不确定性,
不排除未来公司存在新签署订单金额下降的风险。同时公司自签订合同获得订单至终验收实现收入,通常需要一年左右的时
间,合同的执行周期一般较长,合同执行中因各种不可预期因素影响,实际执行完毕的时间通常会晚于合同约定时间,且受
客户战略调整、投产时间安排调整、宏观经济波动、客户付款进度延迟等因素影响,可能出现项目暂停、在执行订单延迟执
行、受客户自身原因减少投资量从而调减合同金额等情形,在极端情况下,甚至可能出现客户取消订单的情形。如果上述情
形出现,公司业务将受到较大影响,不利于公司经营目标及发展战略的实现。
     (3)行业竞争加剧风险
     从行业整体竞争格局来看,外资占据了我国智能成套装备领域约2/3左右的市场份额。与国内企业相比,行业优秀的外
资企业具有比较明显的技术优势和资本优势,在高端市场的竞争优势更为突出。公司在高端市场面临着国外企业较大的竞争


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


压力。经过多年发展,目前国内也涌现出了一批优秀的智能成套装备企业,其中部分公司为上市公司,具备较强的资金实力
及综合竞争力。公司在市场竞争中也面临着行业内优秀国内企业的市场竞争压力。随着宏观经济下行趋势的持续,行业竞争
面临着加剧的可能,如果竞争加剧公司的盈利能力将受到较大的影响,从而不利于公司经营目标及发展战略的实现。
     (4)技术风险
     近年来,装备制造行业的自动化水平不断提高,技术发展日新月异,如果公司不能保持持续的技术创新并将技术成果快
速的进行产业化或应用于现有产品的技术升级,将面临产品技术逐渐落后甚至被淘汰的风险。同时如果行业内革命性的新技
术出现,或者更低成本的替代产品不断涌现,而公司又无法及时的进行技术跟进、产品转型或推出具有竞争力的新产品,公
司将面临技术产品被替代的风险。公司属于技术密集型企业,稳定核心技术人员队伍对公司至关重要,但随着行业的快速发
展,人才争夺也必将日益激烈,如发生核心技术人员流失,将对公司的生产经营产生不利影响。公司自设立以来一直致力于
技术创新,技术是公司核心竞争力的集中体现。虽然公司通过申请专利、与核心技术人员签订保密及竞业禁止协议等方式进
行技术保护,但仍可能存在技术泄密的风险。如果上述情形出现,将不利于公司经营目标及发展战略的实现。
     (5)规模快速扩张引致的管理风险
     随着公司资产及业务规模迅速扩张,对公司管理人员的管理能力将提出更高要求。如果管理人员的管理能力无法与资产
及业务规模的快速增长相适应,公司的战略规划、管理机制、人才结构、财务管理、内部控制、经营效率及持续发展都将面
临一定的挑战和风险。公司将夯实管理水平,不断引进人才,加强内控管理,完善制度建设,保障经营,降低风险。




十、接待调研、沟通、采访等活动登记表

1、报告期内接待调研、沟通、采访等活动登记表

□ 适用 √ 不适用
公司报告期内未发生接待调研、沟通、采访等活动。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                        第五节 重要事项

一、公司普通股利润分配及资本公积金转增股本情况

报告期内普通股利润分配政策,特别是现金分红政策的制定、执行或调整情况
√ 适用 □ 不适用
公司的利润分配政策为:
1、利润分配原则:公司实行持续、稳定的利润分配政策,公司的利润分配应当重视对投资者的合理投资回报并兼顾公司的
可持续发展。
2、利润分配形式、现金分红比例、利润分配的期间间隔:公司采取积极的现金或者股票方式分配股利,在公司当年经审计
的净利润为正数的情况下且无重大投资计划或重大现金支出发生,公司应当优先采取现金分红的方式进行利润分配。公司每
连续三年以现金方式累计分配的利润不少于连续三年实现的年均可分配利润的30%;每年以现金方式分配的利润不少于当年
实现的可分配利润的10%。公司董事会应当综合考虑所处行业特点、发展阶段、自身经营模式、盈利水平以及是否有重大资
金支出安排等因素,区分以下情形,并按照公司章程规定的程序,提出差异化的现金分红政策:(1)公司发展阶段属成熟期
且无重大资金支出安排的,进行利润分配时,现金分红在该次利润分配中所占比例最低应达到80%;(2)公司发展阶段属成
熟期且有重大资金支出安排的,进行利润分配时,现金分红在该次利润分配中所占比例最低应达到40%;(3)公司发展阶段
属成长期且有重大资金支出安排的,进行利润分配时,现金分红在该次利润分配中所占比例最低应达到20%;(4)公司发展
阶段不宜区分但有重大资金支出安排的,可以按照前项规定处理。原则上,公司每年度进行一次利润分配;在有条件的情况
下,公司可以进行中期现金分红。若公司营业收入增长迅速,并且董事会认为公司股票价格与公司股本规模不匹配时,可以
在满足上述现金股利分配的同时,制订股票股利分配预案;采用股票股利进行利润分配的,应当考虑公司成长性、每股净资
产的摊薄等真实合理因素。重大投资计划或重大现金(资金)支出指以下情形之一:(1)公司未来十二个月内拟对外投资、
收购资产或购买设备等累计支出达到或超过公司最近一期经审计净资产的20%,且超过2,000万元;(2)公司未来十二个月
内拟对外投资、收购资产或购买设备等累计支出达到或超过公司最近一期经审计总资产的10%。
3、当年未分配利润的使用计划安排:公司当年未分配利润将用于生产经营或者留待以后年度进行分配。
4、利润分配政策研究论证程序:公司制定利润分配政策或者因公司外部经营环境或者自身经营状况发生较大变化而需要修
改利润分配政策时,应当以股东利益为出发点,注重对投资者利益的保护并给予投资者稳定回报,由董事会充分论证,并听
取独立董事、监事、公司高级管理人员和公众投资者的意见;对于修改利润分配政策的,还应详细论证其原因及合理性。
5、利润分配政策决策机制:董事会应就制定或修改利润分配政策做出预案,该预案应经全体董事过半数表决通过并经二分
之一以上独立董事表决通过,独立董事应对利润分配政策的制订或修改发表独立意见;对于修改利润分配政策的,董事会还
应在相关提案中详细论证和说明原因。监事会应当对董事会制订和修改的利润分配政策进行审议,并且经半数以上监事表决
通过,若公司有外部监事(不在公司担任职务的监事),则应经外部监事表决通过,并发表意见。股东大会审议制定或修改
利润分配政策时,须经出席股东大会会议的股东(包括股东代理人)所持表决权的2/3以上表决通过,并且相关股东大会会
议应采取现场投票和网络投票相结合的方式,为公众投资者参与利润分配政策的制定或修改提供便利。
6、利润分配履行的决策程序:
(1)每个会计年度结束后,由公司董事会提出利润分配方案。公司董事会在利润分配方案论证过程中,需与独立董事充分
讨论,在考虑对全体股东持续、稳定、科学的回报基础上,形成利润分配预案。公司独立董事和监事会应对利润分配预案进
行审核。公司独立董事和监事会未对利润分配预案提出异议的,利润分配预案将提交公司董事会审议,经全体董事过半数以
上表决通过后提交股东大会审议,相关提案应当由出席股东大会的股东(包括股东代理人)所持表决权的二分之一以上表决
通过。
(2)董事会审议现金分红具体方案时,应当认真研究和论证公司现金分红的时机、条件和最低比例、调整的条件及其决策
程序要求等事宜,独立董事应当发表明确意见;独立董事可以征集中小股东的意见,提出分红提案,并直接提交董事会审议;

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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


股东大会对现金分红具体方案进行审议前,应当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(包括但不限于提
供网络投票表决、邀请中小股东参会等),充分听取中小股东的意见和诉求,及时答复中小股东关心的问题。
(3)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2个月内完成股利(或股份)的派发事项。
(4)公司的利润分配政策不得随意变更。如现行政策与公司生产经营情况、投资规划和长期发展的需要确实发生冲突的,
可以调整利润分配政策。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。调整利润分配政策的相关议
案需分别经监事会和二分之一以上独立董事同意后提交董事会、股东大会批准,提交股东大会的相关提案中应详细说明修改
利润分配政策的原因。
(5)如公司董事会决定不实施利润分配,或利润分配方案中不含现金分配方式的,应在定期报告中披露不实施利润分配或
利润分配方案中不含现金分配方式的理由以及留存资金的具体内容,公司独立董事应对此发表独立意见。
(6)公司应当在年度报告中详细披露现金分红政策的制定及执行情况,并对下列事项进行专项说明:是否符合公司章程的
规定或者股东大会决议的要求;分红标准和比例是否明确和清晰;相关的决策程序和机制是否完备;独立董事是否履职尽责
并发挥了应有的作用;中小股东是否有充分表达意见和诉求的机会,中小股东的合法权益是否得到了充分保护等。对现金分
红政策进行调整或变更的,还应对调整或变更的条件及程序是否合规和透明等进行详细说明。

                                            现金分红政策的专项说明


 是否符合公司章程的规定或股东大会决议的要求:
                                                        是


 分红标准和比例是否明确和清晰:
                                                        是


 相关的决策程序和机制是否完备:
                                                        是


 独立董事是否履职尽责并发挥了应有的作用:
                                                        是

 中小股东是否有充分表达意见和诉求的机会,其合法权益
 是否得到了充分保护:                                   是

 现金分红政策进行调整或变更的,条件及程序是否合规、
 透明:                                                 是

公司报告期利润分配预案及资本公积金转增股本预案与公司章程和分红管理办法等的相关规定一致
√ 是 □ 否 □ 不适用
公司报告期利润分配预案及资本公积金转增股本预案符合公司章程等的相关规定。
本年度利润分配及资本公积金转增股本预案

 分配预案的股本基数(股)                                                                          141,380,881

 现金分红总额(元)(含税)                                                                               0.00

 可分配利润(元)                                                                              139,208,550.83

 现金分红占利润分配总额的比例                                                                           0.00%

                                               本次现金分红情况

 其他

                                  利润分配或资本公积金转增预案的详细情况说明

 经天健会计师事务所(特殊普通合伙)审计,山西东杰智能物流装备股份有限公司(以下简称“公司”)2016 年度实现


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 归属于上市公司股东的净利润为 -49,667,897.44 元,公司可供股东分配的利润为 139,208,550.83 元。鉴于公司 2016 年
 生产经营业绩不符合预期,考虑公司日常生产经营、未来投资和发展需要大量资金,公司拟定 2016 年度利润分配预案
 如下:公司拟定 2016 年度不派发现金红利,不送红股,不以公积金转增股本,留存收益全部用于公司日常生产经营、
 未来投资和发展。

公司近 3 年(包括本报告期)的普通股股利分配方案(预案)、资本公积金转增股本方案(预案)情况
2016年4月22日,公司第五届董事会第二十次会议,审议通过了《关于审议2015年度利润分配预案的议案》,以公司现有的总
股本141,380,881股为基数,向全体股东按每10股派发现金红利1.10元(含税),合计派发现金红利1,555.19万元(含税),
占2015年度合并报表中归属于上市公司普通股股东净利润的42.81%,占2015年度合并报表中公司可供股东分配利润的6.39%。
不以公积金转增股本,不送红股,剩余未分配利润结转以后年度。2016年6月16日,该分配方案已实施完毕。
2017年4月24日,公司第六届董事会第十四次会议,审议通过了《关于审议2016年度利润分配预案的议案》,2016年度不派发
现金红利,不送红股,不以公积金转增股本,留存收益全部用于公司日常生产经营、未来投资和发展。


公司近三年(包括本报告期)普通股现金分红情况表
                                                                                                             单位:元

                                         分红年度合并报       占合并报表中归
                    现金分红金额(含     表中归属于上市       属于上市公司普     以其他方式现金     以其他方式现金
      分红年度
                         税)            公司普通股股东       通股股东的净利        分红的金额         分红的比例
                                            的净利润             润的比率

 2016 年                        0.00        -49,049,367.54             0.00%                 0.00             0.00%

 2015 年               15,551,896.91        36,328,786.26             42.81%                 0.00             0.00%

 2014 年                        0.00        54,105,022.10              0.00%                 0.00             0.00%

公司报告期内盈利且母公司可供普通股股东分配利润为正但未提出普通股现金红利分配预案
□ 适用 √ 不适用


二、承诺事项履行情况

1、公司实际控制人、股东、关联方、收购人以及公司等承诺相关方在报告期内履行完毕及截至报告期末
尚未履行完毕的承诺事项

√ 适用 □ 不适用

            承诺来源                   承诺方      承诺类型      承诺内容       承诺时间    承诺期限      履行情况

 收购报告书或权益变动报告书中
 所作承诺

 资产重组时所作承诺

                                                                自公司股票
                                                                上市之日起
                                  公司控股股
                                                                三十六个月
 首次公开发行或再融资时所作承     东、实际控      股份限售承                   2015 年 06
                                                                内,不转让                  3年          正常履行
 诺                               制人之一姚      诺                           月 16 日
                                                                或者委托他
                                  卜文
                                                                人管理本人
                                                                直接或者间

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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                            接持有的公
                                                            司公开发行
                                                            股票前已发
                                                            行的股份,
                                                            也不由公司
                                                            回购本人直
                                                            接或者间接
                                                            持有的公司
                                                            公开发行股
                                                            票前已发行
                                                            的股份。违
                                                            反上述承诺
                                                            减持公司股
                                                            份所取得的
                                                            收益均归公
                                                            司所有。

                                                            公司股东王
                                                            志、丁全石、
                                                            境界投资、
                                                            祥山投资、
                                                            俊亭投资、
                                                            东辉投资、
                                                            创意投资、
                                                            古美盛合承
                                                            诺:自公司
                                                            股票上市之
                                 杭州境界投
                                                            日起十二个
                                 资股份有限
                                                            月内,不转
                                 公司;太原
                                                            让或者委托
                                 俊亭投资管
                                               股份限售承   他人管理本     2015 年 06
                                 理部(有限                                             1年   履行完毕
                                               诺           单位/本人      月 16 日
                                 合伙);太原
                                                            直接或者间
                                 祥山投资管
                                                            接持有的公
                                 理部(有限
                                                            司公开发行
                                 合伙);王志
                                                            股票前已发
                                                            行的股份,
                                                            也不由公司
                                                            回购本单位
                                                            /本人直接
                                                            或者间接持
                                                            有的公司公
                                                            开发行股票
                                                            前已发行的
                                                            股份。


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                           公司控股股
                                                           东、实际控
                                                           制人之一姚
                                                           卜文承诺:
                                                           在承诺的持
                                                           股锁定期满
                                                           后两年内每
                                                           年减持的股
                                                           份不超过所
                                                           持发行人股
                                                           份总数的
                                                           25%,减持
                                                           价格不低于
                                                           本次发行并
                                                           上市时公司
                                                           股票的发行
                                                           价(若发行
                                              股份减持承   人股份在该     2015 年 06
                                 姚卜文                                                3年   正常履行
                                              诺           期间内发生     月 16 日
                                                           分红、派息、
                                                           送股、资本
                                                           公积转增股
                                                           本等除权除
                                                           息事项的,
                                                           则减持价格
                                                           和股份数量
                                                           将相应进行
                                                           调整);在实
                                                           施减持时,
                                                           将提前三个
                                                           交易日通知
                                                           发行人并进
                                                           行公告,未
                                                           履行公告程
                                                           序前不得减
                                                           持。

                                                           公司董事姚
                                                           卜文、王志
                                                           承诺:在担
                                 姚卜文;王    股份减持承   任公司的董     2015 年 06
                                                                                       1年   正常履行
                                 志           诺           事期间,每     月 16 日
                                                           年转让的股
                                                           份不超过其
                                                           持有的公司


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       股份总数的
                                                       百分之二十
                                                       五。在离职
                                                       后半年内,
                                                       不转让其持
                                                       有的公司股
                                                       份;如在公
                                                       司股票上市
                                                       之日起六个
                                                       月内申报离
                                                       职的,自申
                                                       报离职之日
                                                       起十八个月
                                                       内不转让其
                                                       持有的公司
                                                       股份,如在
                                                       股票上市之
                                                       日起第七个
                                                       月至第十二
                                                       个月之间申
                                                       报离职的,
                                                       自申报离职
                                                       之日起十二
                                                       个月内不转
                                                       让其持有的
                                                       公司股份。
                                                       其所持公司
                                                       公开发行股
                                                       票前已发行
                                                       的股份在锁
                                                       定期满后两
                                                       年内减持
                                                       的,其减持
                                                       价格不低于
                                                       本次发行并
                                                       上市时公司
                                                       股票的发行
                                                       价(若发行
                                                       人股份在该
                                                       期间内发生
                                                       分红、派息、
                                                       送股、资本
                                                       公积金转增
                                                       股本等除权


30
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                           除息事项
                                                           的,则减持
                                                           价格将相应
                                                           进行调整);
                                                           公司上市后
                                                           六个月内如
                                                           公司股票连
                                                           续二十个交
                                                           易日的收盘
                                                           价均低于发
                                                           行价,或者
                                                           上市后六个
                                                           月期末(如
                                                           该日不是交
                                                           易日,则以
                                                           该日后第一
                                                           个交易日为
                                                           准)收盘价
                                                           低于发行
                                                           价,本人所
                                                           持公司股票
                                                           的锁定期限
                                                           自动延长六
                                                           个月。在上
                                                           述承诺履行
                                                           期间,不因
                                                           其职务变
                                                           更、离职等
                                                           原因而放弃
                                                           履行该承
                                                           诺。

                                                           持股 5%以
                                                           上的股东境
                                 杭州境界投
                                                           界投资、祥
                                 资股份有限
                                                           山投资、俊
                                 公司;太原
                                                           亭投资、王
                                 俊亭投资管
                                                           志、东辉投
                                 理部(有限   股份减持承                  2015 年 06
                                                           资承诺:在                  1年   正常履行
                                 合伙);王    诺                          月 16 日
                                                           满足本人/
                                 志;太原祥
                                                           本单位其他
                                 山投资管理
                                                           承诺的前提
                                 部(有限合
                                                           下,在承诺
                                 伙)
                                                           的持股锁定
                                                           期满后两年


31
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                         内减持比例
                                                         最高可至其
                                                         所持发行人
                                                         股份总数的
                                                         100%,减持
                                                         价格不低于
                                                         本次发行并
                                                         上市时公司
                                                         股票的发行
                                                         价(若发行
                                                         人股份在该
                                                         期间内发生
                                                         分红、派息、
                                                         送股、资本
                                                         公积转增股
                                                         本等除权除
                                                         息事项的,
                                                         则减持价格
                                                         和股份数量
                                                         将相应进行
                                                         调整);在实
                                                         施减持时,
                                                         将提前三个
                                                         交易日通知
                                                         发行人并进
                                                         行公告,未
                                                         履行公告程
                                                         序前不得减
                                                         持。

                                                         1、利润分配
                                                         原则:公司
                                                         实行持续、
                                                         稳定的利润
                                                         分配政策,
                                                         公司的利润
                                 山西东杰智
                                                         分配应当重
                                 能物流装备                             2015 年 06
                                              分红承诺   视对投资者                  1年   正常履行
                                 股份有限公                             月 16 日
                                                         的合理投资
                                 司
                                                         回报并兼顾
                                                         公司的可持
                                                         续发展。2、
                                                         利润分配形
                                                         式、现金分
                                                         红比例、利


32
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       润分配的期
                                                       间间隔:公
                                                       司采取积极
                                                       的现金或者
                                                       股票方式分
                                                       配股利,在
                                                       公司当年经
                                                       审计的净利
                                                       润为正数的
                                                       情况下且无
                                                       重大投资计
                                                       划或重大现
                                                       金支出发
                                                       生,公司应
                                                       当优先采取
                                                       现金分红的
                                                       方式进行利
                                                       润分配。公
                                                       司每连续三
                                                       年以现金方
                                                       式累计分配
                                                       的利润不少
                                                       于连续三年
                                                       实现的年均
                                                       可分配利润
                                                       的 30%;每
                                                       年以现金方
                                                       式分配的利
                                                       润不少于当
                                                       年实现的可
                                                       分配利润的
                                                       10%。公司
                                                       董事会应当
                                                       综合考虑所
                                                       处行业特
                                                       点、发展阶
                                                       段、自身经
                                                       营模式、盈
                                                       利水平以及
                                                       是否有重大
                                                       资金支出安
                                                       排等因素,
                                                       区分以下情
                                                       形,并按照


33
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       公司章程规
                                                       定的程序,
                                                       提出差异化
                                                       的现金分红
                                                       政策:(1)
                                                       公司发展阶
                                                       段属成熟期
                                                       且无重大资
                                                       金支出安排
                                                       的,进行利
                                                       润分配时,
                                                       现金分红在
                                                       该次利润分
                                                       配中所占比
                                                       例最低应达
                                                       到 80%;2)
                                                       公司发展阶
                                                       段属成熟期
                                                       且有重大资
                                                       金支出安排
                                                       的,进行利
                                                       润分配时,
                                                       现金分红在
                                                       该次利润分
                                                       配中所占比
                                                       例最低应达
                                                       到 40%;3)
                                                       公司发展阶
                                                       段属成长期
                                                       且有重大资
                                                       金支出安排
                                                       的,进行利
                                                       润分配时,
                                                       现金分红在
                                                       该次利润分
                                                       配中所占比
                                                       例最低应达
                                                       到 20%;4)
                                                       公司发展阶
                                                       段不宜区分
                                                       但有重大资
                                                       金支出安排
                                                       的,可以按
                                                       照前项规定


34
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       处理。原则
                                                       上,公司每
                                                       年度进行一
                                                       次利润分
                                                       配;在有条
                                                       件的情况
                                                       下,公司可
                                                       以进行中期
                                                       现金分红。
                                                       若公司营业
                                                       收入增长迅
                                                       速,并且董
                                                       事会认为公
                                                       司股票价格
                                                       与公司股本
                                                       规模不匹配
                                                       时,可以在
                                                       满足上述现
                                                       金股利分配
                                                       的同时,制
                                                       订股票股利
                                                       分配预案;
                                                       采用股票股
                                                       利进行利润
                                                       分配的,应
                                                       当考虑公司
                                                       成长性、每
                                                       股净资产的
                                                       摊薄等真实
                                                       合理因素。
                                                       重大投资计
                                                       划或重大现
                                                       金(资金)
                                                       支出指以下
                                                       情形之一:
                                                       (1)公司未
                                                       来十二个月
                                                       内拟对外投
                                                       资、收购资
                                                       产或购买设
                                                       备等累计支
                                                       出达到或超
                                                       过公司最近
                                                       一期经审计


35
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       净资产的
                                                       20%,且超
                                                       过 2,000 万
                                                       元;(2)公
                                                       司未来十二
                                                       个月内拟对
                                                       外投资、收
                                                       购资产或购
                                                       买设备等累
                                                       计支出达到
                                                       或超过公司
                                                       最近一期经
                                                       审计总资产
                                                       的 10%。3、
                                                       当年未分配
                                                       利润的使用
                                                       计划安排:
                                                       公司当年未
                                                       分配利润将
                                                       用于生产经
                                                       营或者留待
                                                       以后年度进
                                                       行分配。4、
                                                       利润分配政
                                                       策研究论证
                                                       程序:公司
                                                       制定利润分
                                                       配政策或者
                                                       因公司外部
                                                       经营环境或
                                                       者自身经营
                                                       状况发生较
                                                       大变化而需
                                                       要修改利润
                                                       分配政策
                                                       时,应当以
                                                       股东利益为
                                                       出发点,注
                                                       重对投资者
                                                       利益的保护
                                                       并给予投资
                                                       者稳定回
                                                       报,由董事
                                                       会充分论


36
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       证,并听取
                                                       独立董事、
                                                       监事、公司
                                                       高级管理人
                                                       员和公众投
                                                       资者的意
                                                       见;对于修
                                                       改利润分配
                                                       政策的,还
                                                       应详细论证
                                                       其原因及合
                                                       理性。5、利
                                                       润分配政策
                                                       决策机制:
                                                       董事会应就
                                                       制定或修改
                                                       利润分配政
                                                       策做出预
                                                       案,该预案
                                                       应经全体董
                                                       事过半数表
                                                       决通过并经
                                                       二分之一以
                                                       上独立董事
                                                       表决通过,
                                                       独立董事应
                                                       对利润分配
                                                       政策的制订
                                                       或修改发表
                                                       独立意见;
                                                       对于修改利
                                                       润分配政策
                                                       的,董事会
                                                       还应在相关
                                                       提案中详细
                                                       论证和说明
                                                       原因。监事
                                                       会应当对董
                                                       事会制订和
                                                       修改的利润
                                                       分配政策进
                                                       行审议,并
                                                       且经半数以
                                                       上监事表决


37
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       通过,若公
                                                       司有外部监
                                                       事(不在公
                                                       司担任职务
                                                       的监事),则
                                                       应经外部监
                                                       事表决通
                                                       过,并发表
                                                       意见。股东
                                                       大会审议制
                                                       定或修改利
                                                       润分配政策
                                                       时,须经出
                                                       席股东大会
                                                       会议的股东
                                                       (包括股东
                                                       代理人)所
                                                       持表决权的
                                                       2/3 以上表
                                                       决通过,并
                                                       且相关股东
                                                       大会会议应
                                                       采取现场投
                                                       票和网络投
                                                       票相结合的
                                                       方式,为公
                                                       众投资者参
                                                       与利润分配
                                                       政策的制定
                                                       或修改提供
                                                       便利。6、利
                                                       润分配履行
                                                       的决策程
                                                       序:(1)每
                                                       个会计年度
                                                       结束后,由
                                                       公司董事会
                                                       提出利润分
                                                       配方案。公
                                                       司董事会在
                                                       利润分配方
                                                       案论证过程
                                                       中,需与独
                                                       立董事充分


38
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       讨论,在考
                                                       虑对全体股
                                                       东持续、稳
                                                       定、科学的
                                                       回报基础
                                                       上,形成利
                                                       润分配预
                                                       案。公司独
                                                       立董事和监
                                                       事会应对利
                                                       润分配预案
                                                       进行审核。
                                                       公司独立董
                                                       事和监事会
                                                       未对利润分
                                                       配预案提出
                                                       异议的,利
                                                       润分配预案
                                                       将提交公司
                                                       董事会审
                                                       议,经全体
                                                       董事过半数
                                                       以上表决通
                                                       过后提交股
                                                       东大会审
                                                       议,相关提
                                                       案应当由出
                                                       席股东大会
                                                       的股东(包
                                                       括股东代理
                                                       人)所持表
                                                       决权的二分
                                                       之一以上表
                                                       决通过。 2)
                                                       董事会审议
                                                       现金分红具
                                                       体方案时,
                                                       应当认真研
                                                       究和论证公
                                                       司现金分红
                                                       的时机、条
                                                       件和最低比
                                                       例、调整的
                                                       条件及其决


39
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       策程序要求
                                                       等事宜,独
                                                       立董事应当
                                                       发表明确意
                                                       见;独立董
                                                       事可以征集
                                                       中小股东的
                                                       意见,提出
                                                       分红提案,
                                                       并直接提交
                                                       董事会审
                                                       议;股东大
                                                       会对现金分
                                                       红具体方案
                                                       进行审议
                                                       前,应当通
                                                       过多种渠道
                                                       主动与股东
                                                       特别是中小
                                                       股东进行沟
                                                       通和交流
                                                       (包括但不
                                                       限于提供网
                                                       络投票表
                                                       决、邀请中
                                                       小股东参会
                                                       等),充分听
                                                       取中小股东
                                                       的意见和诉
                                                       求,及时答
                                                       复中小股东
                                                       关心的问
                                                       题。(3)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 2 个月
                                                       内完成股利
                                                       (或股份)
                                                       的派发事
                                                       项。(4)公


40
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       司的利润分
                                                       配政策不得
                                                       随意变更。
                                                       如现行政策
                                                       与公司生产
                                                       经营情况、
                                                       投资规划和
                                                       长期发展的
                                                       需要确实发
                                                       生冲突的,
                                                       可以调整利
                                                       润分配政
                                                       策。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
                                                       利润分配政
                                                       策的相关议
                                                       案需分别经
                                                       监事会和二
                                                       分之一以上
                                                       独立董事同
                                                       意后提交董
                                                       事会、股东
                                                       大会批准,
                                                       提交股东大
                                                       会的相关提
                                                       案中应详细
                                                       说明修改利
                                                       润分配政策
                                                       的原因。 5)
                                                       如公司董事
                                                       会决定不实
                                                       施利润分
                                                       配,或利润
                                                       分配方案中
                                                       不含现金分
                                                       配方式的,
                                                       应在定期报
                                                       告中披露不
                                                       实施利润分


41
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       配或利润分
                                                       配方案中不
                                                       含现金分配
                                                       方式的理由
                                                       以及留存资
                                                       金的具体内
                                                       容,公司独
                                                       立董事应对
                                                       此发表独立
                                                       意见。(6)
                                                       公司应当在
                                                       年度报告中
                                                       详细披露现
                                                       金分红政策
                                                       的制定及执
                                                       行情况,并
                                                       对下列事项
                                                       进行专项说
                                                       明:是否符
                                                       合公司章程
                                                       的规定或者
                                                       股东大会决
                                                       议的要求;
                                                       分红标准和
                                                       比例是否明
                                                       确和清晰;
                                                       相关的决策
                                                       程序和机制
                                                       是否完备;
                                                       独立董事是
                                                       否履职尽责
                                                       并发挥了应
                                                       有的作用;
                                                       中小股东是
                                                       否有充分表
                                                       达意见和诉
                                                       求的机会,
                                                       中小股东的
                                                       合法权益是
                                                       否得到了充
                                                       分保护等。
                                                       对现金分红
                                                       政策进行调
                                                       整或变更


42
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       的,还应对
                                                       调整或变更
                                                       的条件及程
                                                       序是否合规
                                                       和透明等进
                                                       行详细说
                                                       明。7、利润
                                                       分配规划与
                                                       计划:公司
                                                       发行上市
                                                       后,将着眼
                                                       于长远和可
                                                       持续发展,
                                                       以股东利益
                                                       最大化为公
                                                       司价值目
                                                       标,持续采
                                                       取积极的现
                                                       金及股票股
                                                       利分配政
                                                       策,注重对
                                                       投资者回
                                                       报,切实履
                                                       行上市公司
                                                       社会责任,
                                                       严格按照
                                                       《中华人民
                                                       共和国公司
                                                       法》、《中华
                                                       人民共和国
                                                       证券法》以
                                                       及中国证券
                                                       监督管理委
                                                       员会、深圳
                                                       证券交易所
                                                       有关规定,
                                                       建立对投资
                                                       者持续、稳
                                                       定、科学的
                                                       回报机制。
                                                       公司确定上
                                                       市后三年的
                                                       分红回报计
                                                       划:公司在


43
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                           足额预留法
                                                           定公积金、
                                                           盈余公积金
                                                           以后,每年
                                                           以现金形式
                                                           分配的利润
                                                           不低于当年
                                                           实现的可分
                                                           配利润的
                                                           10%;除上
                                                           述年度股利
                                                           分配外,公
                                                           司可根据具
                                                           体情况进行
                                                           中期现金分
                                                           红。

                                                           "1、启动股
                                                           价稳定措施
                                                           的具体条件
                                                           公司上市后
                                                           3 年内股票
                                                           收盘价连续
                                                           20 个交易
                                                           日低于最近
                                                           一期经审计
                                                           的每股净资
                                                           产,且同时
                                                           满足监管机
                                                           构对于回
                                 公司及董
                                              IPO 稳定股   购、增持公    2015 年 06
                                 事、高级管                                           1年   正常履行
                                              价承诺       司股份等行    月 16 日
                                 理人员
                                                           为的规定,
                                                           则触发公
                                                           司、公司董
                                                           事、高级管
                                                           理人员及公
                                                           司控股股东
                                                           履行稳定公
                                                           司股价的义
                                                           务。2、稳定
                                                           公司股价的
                                                           具体措施
                                                           (1)于触发
                                                           稳定股价义


44
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       务之日起
                                                       10 个交易
                                                       日内,公司
                                                       控股股东应
                                                       通过增持公
                                                       司股份的方
                                                       式以稳定公
                                                       司股价,并
                                                       向公司送达
                                                       增持公司股
                                                       票书面通知
                                                       (以下简称
                                                       “增持通知
                                                       书”),增持
                                                       通知书应包
                                                       括增持股份
                                                       数量、增持
                                                       价格确定方
                                                       式、增持期
                                                       限、增持目
                                                       标及其他有
                                                       关增持的内
                                                       容。公司控
                                                       股股东应于
                                                       触发稳定股
                                                       价义务之日
                                                       起 3 个月内
                                                       以不少于人
                                                       民币 1,000
                                                       万元资金增
                                                       持股份,但
                                                       在上述期间
                                                       如股票收盘
                                                       价连续 20
                                                       个交易日高
                                                       于最近一期
                                                       经审计的每
                                                       股净资产,
                                                       则控股股东
                                                       可中止实施
                                                       增持计划。
                                                       (2)公司董
                                                       事(不包括
                                                       独立董事,


45
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       下同)、高级
                                                       管理人员应
                                                       于触发稳定
                                                       股价义务之
                                                       日起 10 个
                                                       交易日内
                                                       (如期间存
                                                       在 N 个交易
                                                       日限制董
                                                       事、高级管
                                                       理人员买卖
                                                       股票,则董
                                                       事、高级管
                                                       理人员应于
                                                       触发稳定股
                                                       价义务之日
                                                       起 10+N 个
                                                       交易日内),
                                                       向公司送达
                                                       增持通知
                                                       书,增持通
                                                       知书应包括
                                                       增持股份数
                                                       量、增持价
                                                       格确定方
                                                       式、增持期
                                                       限、增持目
                                                       标及其他有
                                                       关增持的内
                                                       容,公司董
                                                       事、高级管
                                                       理人员应于
                                                       触发稳定股
                                                       价义务之日
                                                       起 3 个月内
                                                       增持公司股
                                                       份,其累计
                                                       增持资金金
                                                       额不低于其
                                                       上一年度薪
                                                       酬总额及公
                                                       司对其现金
                                                       股利分配总
                                                       额之和的


46
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       30%。如上
                                                       述期间公司
                                                       股票收盘价
                                                       连续 20 个
                                                       交易日高于
                                                       最近一期经
                                                       审计的每股
                                                       净资产,则
                                                       董事、高级
                                                       管理人员可
                                                       中止实施增
                                                       持计划。对
                                                       于未来新选
                                                       举的董事及
                                                       新聘的高级
                                                       管理人员,
                                                       应履行公司
                                                       发行上市时
                                                       董事、高级
                                                       管理人员已
                                                       作出的相应
                                                       承诺要求。
                                                       (3)控股股
                                                       东上市后三
                                                       年内单次或
                                                       多次用于增
                                                       持公司股份
                                                       的资金总额
                                                       累计不超过
                                                       人民币
                                                       2,000 万元;
                                                       董事及高级
                                                       管理人员上
                                                       市后三年内
                                                       单次或多次
                                                       用于增持公
                                                       司股份的资
                                                       金总额累计
                                                       不超过人民
                                                       币 200 万
                                                       元。(4)公
                                                       司董事会应
                                                       于触发稳定
                                                       股价义务之


47
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       日起 10 个
                                                       交易日内公
                                                       告回购公司
                                                       股份的预
                                                       案,回购预
                                                       案包括但不
                                                       限于回购股
                                                       份数量、回
                                                       购价格区
                                                       间、回购资
                                                       金来源、回
                                                       购对公司股
                                                       价及公司经
                                                       营的影响等
                                                       内容。公司
                                                       应于触发回
                                                       购义务起 3
                                                       个月内以单
                                                       次不少于人
                                                       民币 300 万
                                                       元资金回购
                                                       公司股份,
                                                       且一年内公
                                                       司单次或多
                                                       次用于回购
                                                       股份的资金
                                                       总额累计不
                                                       超过 1,000
                                                       万元;公司
                                                       一次或多次
                                                       实施回购
                                                       后,剩余回
                                                       购资金不足
                                                       300 万元
                                                       的,下次回
                                                       购可以
                                                       1,000 万元
                                                       与已使用回
                                                       购资金的差
                                                       额进行回
                                                       购。在上述
                                                       期间如股票
                                                       收盘价连续
                                                       20 个交易


48
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       日高于最近
                                                       一期经审计
                                                       的每股净资
                                                       产,则公司
                                                       可中止回购
                                                       股份计划。
                                                       公司回购方
                                                       案实施完毕
                                                       后,应在 2
                                                       个交易日内
                                                       公告公司股
                                                       份变动报
                                                       告,并依法
                                                       注销所回购
                                                       的股份,办
                                                       理工商变更
                                                       登记手续。
                                                       (5)在触发
                                                       稳定股价条
                                                       件时,控股
                                                       股东增持股
                                                       份、董事及
                                                       高级管理人
                                                       员增持股
                                                       份、公司回
                                                       购股份依次
                                                       履行。(6)
                                                       公司、公司
                                                       董事、高级
                                                       管理人员及
                                                       公司控股股
                                                       东在履行上
                                                       述增持或回
                                                       购义务时,
                                                       应按照深圳
                                                       证券交易所
                                                       股票上市规
                                                       则及其他适
                                                       用的监管规
                                                       定履行其相
                                                       应的信息披
                                                       露义务。 7)
                                                       公司、公司
                                                       董事、高级


49
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       管理人员及
                                                       公司控股股
                                                       东在履行上
                                                       述增持或回
                                                       购义务时,
                                                       如根据法律
                                                       法规或中国
                                                       证监会以及
                                                       深圳证券交
                                                       易所的有关
                                                       规定,需要
                                                       顺延或调整
                                                       履行增持或
                                                       回购义务的
                                                       时点的,依
                                                       法顺延或调
                                                       整。(8)任
                                                       何对稳定股
                                                       价具体措施
                                                       的修订均应
                                                       经股东大会
                                                       审议通过。
                                                       3、未能履行
                                                       增持或回购
                                                       义务的约束
                                                       措施(1)如
                                                       控股股东已
                                                       向公司送达
                                                       增持通知书
                                                       但未能实际
                                                       履行增持义
                                                       务的,则公
                                                       司有权将相
                                                       等金额的应
                                                       付控股股东
                                                       现金分红予
                                                       以扣留,直
                                                       至控股股东
                                                       履行其增持
                                                       义务。(2)
                                                       如公司董
                                                       事、高级管
                                                       理人员未能
                                                       履行其增持


50
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       义务的,则
                                                       公司有权将
                                                       相等金额的
                                                       应付董事、
                                                       高级管理人
                                                       员薪酬及现
                                                       金分红予以
                                                       扣留,直至
                                                       董事、高级
                                                       管理人员履
                                                       行其增持义
                                                       务。(3)如
                                                       公司未采取
                                                       上述稳定股
                                                       价的具体措
                                                       施,公司承
                                                       诺接受以下
                                                       约束措施:
                                                       ①本公司将
                                                       在公司股东
                                                       大会及中国
                                                       证监会指定
                                                       报刊上公开
                                                       说明未采取
                                                       上述稳定股
                                                       价措施的具
                                                       体原因并向
                                                       公司股东和
                                                       社会公众投
                                                       资者道歉;
                                                       ②如果未履
                                                       行上述承诺
                                                       事项,致使
                                                       投资者在证
                                                       券交易中遭
                                                       受损失的,
                                                       本公司将依
                                                       法赔偿投资
                                                       者损失。 4)
                                                       如控股股
                                                       东、公司的
                                                       董事及高级
                                                       管理人员增
                                                       持股份影响


51
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                           公司上市地
                                                           位的,则公
                                                           司有权将应
                                                           付控股股
                                                           东、公司的
                                                           董事及高级
                                                           管理人员的
                                                           现金分红用
                                                           于股份回购
                                                           计划

                                                           公司的控股
                                                           股东、实际
                                                           控制人之一
                                                           姚卜文及共
                                                           同实际控制
                                                           人姚长杰出
                                                           具了《关于
                                                           避免同业竞
                                                           争的承诺
                                                           函》,具体内
                                                           容如下:截
                                 公司的控股                至本承诺函
                                 股东、实际                出具之日,
                                 控制人之一                本人没有、
                                 姚卜文及共                将来也不会
                                              关于同业竞
                                 同实际控制                以任何方式
                                              争、关联交
                                 人姚长杰,                在中国境内     2015 年 06
                                              易、资金占                               3年   正常履行
                                 公司持有                  外直接或间     月 16 日
                                              用方面的承
                                 5%以上股                  接参与任何
                                              诺
                                 份的股东、                导致或可能
                                 董事、监事                导致与公司
                                 及高级管理                竞争的业务
                                 人员                      或活动,亦
                                                           不生产任何
                                                           与公司产品
                                                           相同或相似
                                                           的产品。若
                                                           公司认为本
                                                           人从事了对
                                                           公司的业务
                                                           构成竞争的
                                                           业务,本人
                                                           将及时转让
                                                           或者终止该


52
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       等业务。若
                                                       公司提出受
                                                       让请求,本
                                                       人将无条件
                                                       按公允价格
                                                       和法定程序
                                                       将该等业务
                                                       优先转让给
                                                       公司。如果
                                                       本人将来可
                                                       能获得任何
                                                       与公司产生
                                                       直接或者间
                                                       接竞争的业
                                                       务机会,本
                                                       人将立即通
                                                       知公司并尽
                                                       力促成该等
                                                       业务机会按
                                                       照公司能够
                                                       接受的合理
                                                       条款和条件
                                                       首先提供给
                                                       公司。本人
                                                       将保证合
                                                       法、合理地
                                                       运用股东权
                                                       利,不采取
                                                       任何限制或
                                                       影响公司正
                                                       常经营的行
                                                       为。如因本
                                                       人违反本承
                                                       诺而导致公
                                                       司遭受损
                                                       失、损害和
                                                       开支,将由
                                                       本人予以全
                                                       额赔偿。公
                                                       司持有 5%
                                                       以上股份的
                                                       股东、董事、
                                                       监事及高级
                                                       管理人员出


53
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       具了《关于
                                                       避免同业竞
                                                       争的承诺
                                                       函》,具体内
                                                       容如下:截
                                                       至本承诺函
                                                       出具之日,
                                                       本公司/本
                                                       合伙企业/
                                                       本人没有、
                                                       将来也不会
                                                       以任何方式
                                                       在中国境内
                                                       外直接或间
                                                       接参与任何
                                                       导致或可能
                                                       导致与公司
                                                       竞争的业务
                                                       或活动,亦
                                                       不生产任何
                                                       与公司产品
                                                       相同或相似
                                                       的产品。若
                                                       公司认为本
                                                       公司/本合
                                                       伙企业/本
                                                       人从事了对
                                                       公司的业务
                                                       构成竞争的
                                                       业务,本公
                                                       司/本合伙
                                                       企业/本人
                                                       将及时转让
                                                       或者终止该
                                                       等业务。若
                                                       公司提出受
                                                       让请求,本
                                                       公司/本合
                                                       伙企业/本
                                                       人将无条件
                                                       按公允价格
                                                       和法定程序
                                                       将该等业务
                                                       优先转让给


54
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                         公司。如果
                                                         本公司/本
                                                         合伙企业/
                                                         本人将来可
                                                         能获得任何
                                                         与公司产生
                                                         直接或者间
                                                         接竞争的业
                                                         务机会,本
                                                         公司/本合
                                                         伙企业/本
                                                         人将立即通
                                                         知公司并尽
                                                         力促成该等
                                                         业务机会按
                                                         照公司能够
                                                         接受的合理
                                                         条款和条件
                                                         首先提供给
                                                         公司。本公
                                                         司/本合伙
                                                         企业/本人
                                                         将保证合
                                                         法、合理地
                                                         运用股东权
                                                         利,不采取
                                                         任何限制或
                                                         影响公司正
                                                         常经营的行
                                                         为。如因本
                                                         公司/本合
                                                         伙企业/本
                                                         人违反本承
                                                         诺而导致公
                                                         司遭受损
                                                         失、损害和
                                                         开支,将由
                                                         本公司/本
                                                         合伙企业/
                                                         本人予以全
                                                         额赔偿。

                                 山西东杰智              1、公司就首
                                                                       2015 年 06
                                 能物流装备   其他承诺   次公开发行                 1年   正常履行
                                                                       月 16 日
                                 股份有限公              股票并上市


55
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                 司                    的信息披露
                                                       事宜承诺如
                                                       下:(1)公
                                                       司承诺本次
                                                       发行及上市
                                                       的招股说明
                                                       书不存在虚
                                                       假记载、误
                                                       导性陈述或
                                                       重大遗漏,
                                                       并对其真实
                                                       性、准确性、
                                                       完整性以及
                                                       及时性承担
                                                       单独和连带
                                                       的法律责
                                                       任。(2)若
                                                       在公司投资
                                                       者缴纳股票
                                                       申购款后且
                                                       股票尚未上
                                                       市交易前,
                                                       因本次发行
                                                       及上市的招
                                                       股说明书有
                                                       虚假记载、
                                                       误导性陈述
                                                       或者重大遗
                                                       漏,对判断
                                                       公司是否符
                                                       合法律规定
                                                       的发行条件
                                                       构成重大、
                                                       实质影响
                                                       的,对于首
                                                       次公开发行
                                                       的全部新股
                                                       (不含原股
                                                       东公开发售
                                                       的股份),公
                                                       司将按照投
                                                       资者所缴纳
                                                       股票申购款
                                                       加该期间内


56
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       银行同期 1
                                                       年期存款利
                                                       息,对已缴
                                                       纳股票申购
                                                       款的投资者
                                                       进行退款。
                                                       若因公司本
                                                       次发行及上
                                                       市的招股说
                                                       明书有虚假
                                                       记载、误导
                                                       性陈述或者
                                                       重大遗漏,
                                                       致使投资者
                                                       在证券交易
                                                       中遭受损失
                                                       的,公司将
                                                       依法赔偿投
                                                       资者损失。
                                                       在该等违法
                                                       事实被中国
                                                       证监会、证
                                                       券交易所或
                                                       司法机关认
                                                       定后,公司
                                                       将本着主动
                                                       沟通、尽快
                                                       赔偿、切实
                                                       保障投资者
                                                       特别是中小
                                                       投资者利益
                                                       的原则,按
                                                       照投资者直
                                                       接遭受的可
                                                       测算的经济
                                                       损失选择与
                                                       投资者沟通
                                                       赔偿,积极
                                                       赔偿投资者
                                                       由此遭受的
                                                       直接经济损
                                                       失。(3)为
                                                       进一步细化
                                                       上述承诺


57
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       函,公司对
                                                       回购和赔偿
                                                       的实施制定
                                                       方案如下:
                                                       ①回购新
                                                       股、收购股
                                                       份、赔偿损
                                                       失义务的触
                                                       发条件经中
                                                       国证监会、
                                                       深圳证券交
                                                       易所或司法
                                                       机关认定,
                                                       公司本次发
                                                       行及上市的
                                                       招股说明书
                                                       有虚假记
                                                       载、误导性
                                                       陈述或者重
                                                       大遗漏,导
                                                       致对判断公
                                                       司是否符合
                                                       法律规定的
                                                       发行条件构
                                                       成重大、实
                                                       质影响的,
                                                       公司负有其
                                                       所承诺的购
                                                       回股份或赔
                                                       偿损失的义
                                                       务。②公告
                                                       程序公司应
                                                       在公司本次
                                                       发行及上市
                                                       招股说明书
                                                       有虚假记
                                                       载、误导性
                                                       陈述或者重
                                                       大遗漏被中
                                                       国证监会、
                                                       深圳证券交
                                                       易所或司法
                                                       机关认定的
                                                       当日就该等


58
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                         事项进行公
                                                         告,并在前
                                                         述公告后每
                                                         5 个交易日
                                                         定期公告相
                                                         应的购回股
                                                         份或赔偿损
                                                         失方案的制
                                                         定和进展情
                                                         况。③约束
                                                         措施若上述
                                                         购回股份或
                                                         赔偿损失的
                                                         承诺未得到
                                                         及时履行,
                                                         公司将及时
                                                         进行公告,
                                                         并且公司将
                                                         在定期报告
                                                         中披露公司
                                                         关于回购股
                                                         份或赔偿损
                                                         失等承诺的
                                                         履行情况以
                                                         及未履行承
                                                         诺时的补救
                                                         及改正情
                                                         况。

                                                         填补被摊薄
                                                         即期回报的
                                                         措施及承诺
                                                         以及未能履
                                                         行承诺的约
                                                         束措施 1、
                                 山西东杰智              填补被摊薄
                                 能物流装备              即期回报的   2015 年 06
                                              其他承诺                             1年   正常履行
                                 股份有限公              措施及承诺   月 16 日
                                 司                      本次发行
                                                         后,公司净
                                                         资产将大幅
                                                         增加,由于
                                                         本次募集资
                                                         金项目建设
                                                         存在周期,


59
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       项目收益需
                                                       要在完工后
                                                       逐步体现,
                                                       发行当年的
                                                       净利润增幅
                                                       将低于净资
                                                       产的增幅,
                                                       可能导致公
                                                       司净资产收
                                                       益率及每股
                                                       收益与上年
                                                       同期相比出
                                                       现一定程度
                                                       的下降。 1)
                                                       保障本次发
                                                       行募集资金
                                                       安全、规范
                                                       使用以确保
                                                       资金的安全
                                                       使用,公司
                                                       制定了《募
                                                       集资金管理
                                                       制度》,明确
                                                       规定公司上
                                                       市后建立专
                                                       户存储制
                                                       度,募集资
                                                       金到位后将
                                                       存放于董事
                                                       会指定的专
                                                       项账户中;
                                                       在后续募集
                                                       资金使用过
                                                       程中公司将
                                                       专款专用,
                                                       并严格按照
                                                       相关法律法
                                                       规及交易所
                                                       规则进行管
                                                       理,强化公
                                                       司、存储银
                                                       行、保荐机
                                                       构的三方监
                                                       管,合理防


60
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       范资金使用
                                                       风险;公司
                                                       还将及时披
                                                       露募集资金
                                                       使用状况,
                                                       充分保障投
                                                       资者的知情
                                                       权与决策
                                                       权。(2)加
                                                       快募投项目
                                                       投资进度,
                                                       尽早实现项
                                                       目预期收益
                                                       从而保障投
                                                       资者的权
                                                       益,公司已
                                                       经根据业务
                                                       开展的实际
                                                       需要对本次
                                                       募集资金投
                                                       资项目进行
                                                       了先期投
                                                       入,本次募
                                                       集资金到位
                                                       后,公司将
                                                       进一步加快
                                                       推进募投项
                                                       目的建设,
                                                       争取募投项
                                                       目早日达产
                                                       并实现预期
                                                       效益,提高
                                                       公司的整体
                                                       盈利水平,
                                                       同时增强公
                                                       司持续盈利
                                                       能力,提升
                                                       公司股票的
                                                       短期及长期
                                                       价值。(3)
                                                       完善利润分
                                                       配政策:公
                                                       司详细规定
                                                       了利润分配


61
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       原则、利润
                                                       分配形式、
                                                       现金分红的
                                                       比例、利润
                                                       分配的期间
                                                       间隔、利润
                                                       分配方案的
                                                       制定和决策
                                                       机制、利润
                                                       分配方案的
                                                       实施、利润
                                                       分配政策程
                                                       序;公司优
                                                       先采用现金
                                                       分红进行利
                                                       润分配,且
                                                       公司每年以
                                                       现金方式分
                                                       配的利润不
                                                       少于当年实
                                                       现的可供分
                                                       配利润的
                                                       10%,同时
                                                       公司制定了
                                                       上市后三年
                                                       的分红回报
                                                       规划。(4)
                                                       其他方式:
                                                       公司承诺未
                                                       来将根据中
                                                       国证监会、
                                                       证券交易所
                                                       等监管机构
                                                       出台的具体
                                                       细则及要
                                                       求,并参照
                                                       上市公司较
                                                       为通行的惯
                                                       例,继续补
                                                       充、修订、
                                                       完善公司投
                                                       资者权益保
                                                       护的各项制
                                                       度并予以实


62
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                           施。2、未能
                                                           履行承诺的
                                                           约束措施公
                                                           司承诺将积
                                                           极采取上述
                                                           措施填补被
                                                           摊薄即期回
                                                           报,保护中
                                                           小投资者的
                                                           合法权益,
                                                           同时公司承
                                                           诺若上述措
                                                           施未能得到
                                                           有效履行,
                                                           公司将在股
                                                           东大会及中
                                                           国证监会指
                                                           定报刊上公
                                                           开说明未履
                                                           行的具体原
                                                           因并向股东
                                                           和社会公众
                                                           投资者道
                                                           歉。

                                                           自公司股票
                                                           上市之日起
                                                           三十六个月
                                                           内,若本人
                                                           依法继承公
                                                           司股份,并
                                                           成为公司的
                                                           控股股东,
                                                           本人将承继
                                 公司实际控
                                              股份限售承   姚卜文作为    2015 年 06
                                 制人之一姚                                           长期   正常履行
                                              诺           公司控股股    月 16 日
                                 长杰
                                                           东和实际控
                                                           制人所出具
                                                           的承诺,直
                                                           至承诺期
                                                           满,既不转
                                                           让或者委托
                                                           他人管理本
                                                           人直接或者
                                                           间接持有的


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       公司公开发
                                                       行股票前已
                                                       发行的股
                                                       份,也不由
                                                       公司回购本
                                                       人直接或者
                                                       间接持有的
                                                       公司公开发
                                                       行股票前已
                                                       发行的股
                                                       份。在担任
                                                       公司的董事
                                                       长期间,若
                                                       本人依法继
                                                       承公司股
                                                       份,并成为
                                                       公司的控股
                                                       股东,即每
                                                       年转让的股
                                                       份不超过其
                                                       持有的公司
                                                       股份总数的
                                                       百分之二十
                                                       五。在离职
                                                       后半年内,
                                                       不转让其持
                                                       有的公司股
                                                       份;如在公
                                                       司股票上市
                                                       之日起六个
                                                       月内申报离
                                                       职的,自申
                                                       报离职之日
                                                       起十八个月
                                                       内不转让其
                                                       持有的公司
                                                       股份,如在
                                                       股票上市之
                                                       日起第七个
                                                       月至第十二
                                                       个月之间申
                                                       报离职的,
                                                       自申报离职
                                                       之日起十二


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                       个月内不转
                                                       让其持有的
                                                       公司股份。
                                                       其所持公司
                                                       公开发行股
                                                       票前已发行
                                                       的股份在锁
                                                       定期满后两
                                                       年内减持
                                                       的,其减持
                                                       价格不低于
                                                       本次发行并
                                                       上市时公司
                                                       股票的发行
                                                       价(若发行
                                                       人股份在该
                                                       期间内发生
                                                       分红、派息、
                                                       送股、资本
                                                       公积金转增
                                                       股本等除权
                                                       除息事项
                                                       的,则减持
                                                       价格将相应
                                                       进行调整);
                                                       公司上市后
                                                       六个月内如
                                                       公司股票连
                                                       续二十个交
                                                       易日的收盘
                                                       价均低于发
                                                       行价,或者
                                                       上市后六个
                                                       月期末(如
                                                       该日不是交
                                                       易日,则以
                                                       该日后第一
                                                       个交易日为
                                                       准)收盘价
                                                       低于发行
                                                       价,本人所
                                                       持公司股票
                                                       的锁定期限
                                                       自动延长六


65
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                         个月。在上
                                                         述承诺履行
                                                         期间,不因
                                                         其职务变
                                                         更、离职等
                                                         原因而放弃
                                                         履行该承
                                                         诺。

 股权激励承诺

 其他对公司中小股东所作承诺

 承诺是否按时履行                是


2、公司资产或项目存在盈利预测,且报告期仍处在盈利预测期间,公司就资产或项目达到原盈利预测及
其原因做出说明

□ 适用 √ 不适用


三、控股股东及其关联方对上市公司的非经营性占用资金情况

□ 适用 √ 不适用
公司报告期不存在控股股东及其关联方对上市公司的非经营性占用资金。


四、董事会对最近一期“非标准审计报告”相关情况的说明

□ 适用 √ 不适用


五、董事会、监事会、独立董事(如有)对会计师事务所本报告期“非标准审计报告”的说


□ 适用 √ 不适用


六、董事会关于报告期会计政策、会计估计变更或重大会计差错更正的说明

□ 适用 √ 不适用


七、与上年度财务报告相比,合并报表范围发生变化的情况说明

□ 适用 √ 不适用
公司报告期无合并报表范围发生变化的情况。


八、聘任、解聘会计师事务所情况

现聘任的会计事务所



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 境内会计师事务所名称                        天健会计师事务所(特殊普通合伙)

 境内会计师事务所报酬(万元)                                                                           60

 境内会计师事务所审计服务的连续年限          6

 境内会计师事务所注册会计师姓名              李剑、魏五军

是否改聘会计师事务所
□ 是 √ 否
聘请内部控制审计会计师事务所、财务顾问或保荐人情况
□ 适用 √ 不适用


九、年度报告披露后面临暂停上市和终止上市情况

□ 适用 √ 不适用


十、破产重整相关事项

□ 适用 √ 不适用
公司报告期未发生破产重整相关事项。


十一、重大诉讼、仲裁事项

□ 适用 √ 不适用
本年度公司无重大诉讼、仲裁事项。


十二、处罚及整改情况

□ 适用 √ 不适用
公司报告期不存在处罚及整改情况。


十三、公司及其控股股东、实际控制人的诚信状况

√ 适用 □ 不适用
报告期内,公司不存在重大行政处罚或者刑事处罚或者涉及与经济纠纷有关的重大民事诉讼或者仲裁;不存在因违反证券法
律、行政法规、规章受到中国证监会的行政处罚;不存在因涉嫌犯罪被司法机关立案、侦查或涉嫌违法违规被中国证券监督
管理委员会立案调查、采取行政监管措施或受到证券交易所处分的情形;最近12个月内未受到证券交易所的公开谴责。
公司控股股东姚卜文先生,实际控制人姚卜文、姚长杰先生,报告期内诚信状况良好,不存在未履行法院生效判决,不存在
所负数额较大的债务到期未清偿等情况。


十四、公司股权激励计划、员工持股计划或其他员工激励措施的实施情况

√ 适用 □ 不适用
报告期内,公司实施了股权激励方案,履行的相关程序如下:
     2016年2月21日,公司第五届董事会第十七次会议和第五届监事会第十二次会议,审议通过了《山西东杰智能物流装备


67
山西东杰智能物流装备股份有限公司 2016 年年度报告全文


股份有限公司限制性股票激励计划(草案)》及其摘要、《山西东杰智能物流装备股份有限公司股权激励计划管理办法》、《山
西东杰智能物流装备股份有限公司股权激励计划实施考核办法》的议案。
      2016年3月9日,公司2016年第一次临时股东大会审议通过了《山西东杰智能物流装备股份有限公司限制性股票激励计划
(草案)》及其摘要、《山西东杰智能物流装备股份有限公司股权激励计划管理办法》、《山西东杰智能物流装备股份有限公司
股权激励计划实施考核办法》的议案。
      2016年3月15日,公司第五届董事会第十八次会议和第五届监事会第十三次会议审议通过了《关于向激励对象授予限制
性股票的议案》,董事会同意授予14名激励对象252万股限制性股票,限制性股票的授予日为2016年3月15日。
      报告期内,经审计,公司摊销的股份支付费用为240.66万元.




十五、重大关联交易

1、与日常经营相关的关联交易

√ 适用 □ 不适用

                                                  关联     占同    获批                   可获
                                   关联                                     是否   关联
                    关联    关联           关联   交易     类交    的交                   得的
 关联交     关联                   交易                                     超过   交易           披露    披露
                    交易    交易           交易   金额     易金    易额                   同类
     易方   关系                   定价                                     获批   结算           日期    索引
                    类型    内容           价格   (万     额的    度(万                 交易
                                   原则                                     额度   方式
                                                  元)     比例    元)                   市价

                                                                                                          巨潮
                                                                                                          资讯
                                                                                                          网
 太原东                                                                                           2016
            控股                                                                                          (htt
 杰车库             销售   出售    独立   公允             38.51                                  年 07
            股东                                  2,877            2,877    否     转账   2877            p://w
 运营有             商品   产品    交易   价格                %                                   月 21
            控股                                                                                          ww.c
 限公司                                                                                           日
                                                                                                          ninfo.
                                                                                                          com.
                                                                                                          cn/)

                                                                                                          巨潮
 太原东                                                                                           2016
            控股                                                                                          资讯
 杰车库             销售   出售    独立   公允    4,172.   55.85   4,172.                 4172.   年 10
            股东                                                            否     转账                   网
 运营有             商品   产品    交易   价格         2      %        2                  2       月 12
            控股                                                                                          (htt
 限公司                                                                                           日
                                                                                                          p://w



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                                                                         ww.c
                                                                                                         ninfo.
                                                                                                         com.
                                                                                                         cn/)

                                                                                                         巨潮
                                                                                                         资讯
                                                                                                         网
 太原东                                                                                          2016
          控股                                                                                           (htt
 杰车库             销售   出售   独立     公允            5.65                                  年 12
          股东                                     421.8            421.8   否    转账   421.8           p://w
 运营有             商品   产品   交易     价格                 %                                月 30
          控股                                                                                           ww.c
 限公司                                                                                          日
                                                                                                         ninfo.
                                                                                                         com.
                                                                                                         cn/)

 合计                                --     --     7,471   --       7,471    --    --      --      --      --

 大额销货退回的详细情况           无

 按类别对本期将发生的日常关联
 交易进行总金额预计的,在报告期   不适用
 内的实际履行情况(如有)

 交易价格与市场参考价格差异较
                                  不适用
 大的原因(如适用)


2、资产或股权收购、出售发生的关联交易

□ 适用 √ 不适用
公司报告期未发生资产或股权收购、出售的关联交易。


3、共同对外投资的关联交易

□ 适用 √ 不适用
公司报告期未发生共同对外投资的关联交易。


4、关联债权债务往来

□ 适用 √ 不适用
公司报告期不存在关联债权债务往来。


5、其他重大关联交易

□ 适用 √ 不适用
公司报告期无其他重大关联交易。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


十六、重大合同及其履行情况

1、托管、承包、租赁事项情况

(1)托管情况

□ 适用 √ 不适用
公司报告期不存在托管情况。


(2)承包情况

□ 适用 √ 不适用
公司报告期不存在承包情况。


(3)租赁情况

√ 适用 □ 不适用
租赁情况说明
太原俊亭投资管理部(有限合伙)、太原祥山投资管理部(有限合伙)以每年5000元的价格各租用公司一间办公室。按照合同约
定,每个租赁期的期初收取租金并确认收入;上海时漫投资管理合伙企业(有限合伙)、上海洋琴投资管理合伙企业(有限
合伙)以每年12775元的价格各租用公司位于上海的年产100台/套工业自动化智能物流装备募投项目的暂时闲置房屋各10平
米。按照合同约定,每个租赁期的期初收取租金并确认收入。太原东杰车库运营有限公司以每年5000元的价格租用公司办公
室。




为公司带来的损益达到公司报告期利润总额 10%以上的项目
□ 适用 √ 不适用
公司报告期不存在为公司带来的损益达到公司报告期利润总额 10%以上的租赁项目。


2、重大担保

□ 适用 √ 不适用
公司报告期不存在担保情况。


3、委托他人进行现金资产管理情况

(1)委托理财情况

□ 适用 √ 不适用
公司报告期不存在委托理财。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


(2)委托贷款情况

□ 适用 √ 不适用
公司报告期不存在委托贷款。


4、其他重大合同

□ 适用 √ 不适用
公司报告期不存在其他重大合同。


十七、社会责任情况

1、履行精准扶贫社会责任情况

(1)年度精准扶贫概要

公司报告年度暂未开展精准扶贫工作,也暂无后续精准扶贫计划。


(2)上市公司年度精准扶贫工作情况


                      指标                   计量单位        数量/开展情况

 一、总体情况                                  ——              ——

 二、分项投入                                  ——              ——

     1.产业发展脱贫                            ——              ——

     2.转移就业脱贫                            ——              ——

     3.易地搬迁脱贫                            ——              ——

     4.教育脱贫                                ——              ——

     5.健康扶贫                                ——              ——

     6.生态保护扶贫                            ——              ——

     7.兜底保障                                ——              ——

     8.社会扶贫                                ——              ——

     9.其他项目                                ——              ——

 三、所获奖项(内容、级别)                    ——              ——


(3)后续精准扶贫计划

2、履行其他社会责任的情况


上市公司及其子公司是否属于环境保护部门公布的重点排污单位



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文



是否发布社会责任报告
□ 是 √ 否


十八、其他重大事项的说明

□ 适用 √ 不适用
公司报告期不存在需要说明的其他重大事项。


十九、公司子公司重大事项

□ 适用 √ 不适用




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                 第六节 股份变动及股东情况

一、股份变动情况

1、股份变动情况

                                                                                                         单位:股

                              本次变动前                 本次变动增减(+,-)                  本次变动后

                                               发行新            公积金
                            数量      比例               送股               其他     小计      数量      比例
                                                 股               转股

                           104,140                                         2,520,0   2,520,0   106,66
 一、有限售条件股份                  75.00%                                                              75.44%
                              ,881                                             00        00     0,881

                           104,140                                         2,520,0   2,520,0   106,66
 3、其他内资持股                     75.00%                                                              75.44%
                              ,881                                             00        00     0,881

                           44,776,                                                             44,776,
 其中:境内法人持股                  32.25%                                                              31.67%
                               090                                                                090

                           59,364,                                         2,520,0   2,520,0   61,884,
       境内自然人持股                42.75%                                                              43.77%
                               791                                             00        00       791

                           34,720,                                                             34,720,
 二、无限售条件股份                  25.00%                                                              24.56%
                               000                                                                000

                           34,720,                                                             34,720,
 1、人民币普通股                     25.00%                                                              24.56%
                               000                                                                000

                           138,860    100.00                               2,520,0   2,520,0   141,38    100.00
 三、股份总数
                              ,881         %                                   00        00     0,881         %

股份变动的原因
√ 适用 □ 不适用
报告期内,公司实施了限制性股票的股权激励计划。
股份变动的批准情况
√ 适用 □ 不适用
2016年2月21日,公司第五届董事会第十七次会议和第五届监事会第十二次会议,审议通过了《山西东杰智能物流装备股份
有限公司限制性股票激励计划(草案)》及其摘要、《山西东杰智能物流装备股份有限公司股权激励计划管理办法》、《山西东
杰智能物流装备股份有限公司股权激励计划实施考核办法》的议案。
2016年3月9日,公司2016年第一次临时股东大会审议通过了《山西东杰智能物流装备股份有限公司限制性股票激励计划(草
案)》及其摘要、《山西东杰智能物流装备股份有限公司股权激励计划管理办法》、《山西东杰智能物流装备股份有限公司股权
激励计划实施考核办法》的议案。
2016年3月15日,公司第五届董事会第十八次会议和第五届监事会第十三次会议审议通过了《关于向激励对象授予限制性股
票的议案》,董事会同意授予14名激励对象252万股限制性股票,限制性股票的授予日为2016年3月15日。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




股份变动的过户情况
√ 适用 □ 不适用
限制性股票已在中国证券登记结算有限责任公司深圳分公司完成过户手续办理。
股份变动对最近一年和最近一期基本每股收益和稀释每股收益、归属于公司普通股股东的每股净资产等财务指标的影响
□ 适用 √ 不适用
公司认为必要或证券监管机构要求披露的其他内容
□ 适用 √ 不适用


2、限售股份变动情况

√ 适用 □ 不适用
                                                                                                     单位:股

                                  本期解除限售    本期增加限售                                拟解除限售日
      股东名称    期初限售股数                                   期末限售股数      限售原因
                                      股数             股数                                         期

                                                                                              2018 年 6 月 30
 姚卜文              49,276,944                                     49,276,944   首发限售
                                                                                              日

     太原祥山投
                                                                                              2016 年 6 月 30
 资管理部(有        11,337,619      11,337,619                             0    首发限售
                                                                                              日
 限合伙)

 * 宁波境界投
                                                                                              2016 年 6 月 30
 资股份有限公        10,863,206      10,863,206                             0    首发限售
                                                                                              日
 司

 * 太原俊亭投
                                                                                              2016 年 6 月 30
 资管理部(有        10,660,844      10,660,844                             0    首发限售
                                                                                              日
 限合伙)

                                                                                              2016 年 6 月 30
 * 王志               7,100,465       7,100,465                             0    首发限售
                                                                                              日

 * 长治市东辉
 一号投资管理                                                                                 2016 年 6 月 30
                      5,827,815       5,827,815                             0    首发限售
 中心(有限合                                                                                 日
 伙)

 * 山东航海销                                                                                 2016 年 6 月 30
                      3,642,384       3,642,384                             0    首发限售
 售有限公司                                                                                   日

                                                                                              2016 年 6 月 30
 * 丁全石             2,987,382       2,987,382                             0    首发限售
                                                                                              日

 * 上海古美盛                                                                                 2016 年 6 月 30
                      2,444,222       2,444,222                             0    首发限售
 合创业投资中                                                                                 日



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 心(有限合伙)

                                                                                               2017 年 3 月 16
 李祥山                                                 770,000      770,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 武同铭                                                 500,000      500,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 张新海                                                 500,000      500,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 杨秉华                                                  50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 吕漫时                                                 100,000      100,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 贾俊亭                                                 100,000      100,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 朱忠义                                                 100,000      100,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 王永红                                                 100,000      100,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 张同军                                                  50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 王剑飞                                                  50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 冀万元                                                  50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 赵   勇                                                 50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 王振国                                                  50,000       50,000    股权激励限售
                                                                                               日

                                                                                               2017 年 3 月 16
 丘镜晃                                                  50,000       50,000    股权激励限售
                                                                                               日

 合计               104,140,881     54,863,937         2,520,000   51,796,944        --              --


二、证券发行与上市情况

1、报告期内证券发行(不含优先股)情况

□ 适用 √ 不适用


2、公司股份总数及股东结构的变动、公司资产和负债结构的变动情况说明

√ 适用 □ 不适用


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


报告期内,公司实施股权激励计划,向14名激励对象,以16.95元/股的价格定向增发限制性股票252万股,每股面值1元。使
得公司股本总额增加,公司股本由138,860,881元变更为141,380,881元。14名激励对象以货币资金缴纳的252万股股票的股
款42,714,000元,增加了公司的所有者权益。公司实收资本增加2,520,000元,资本公积增加40,194,000元,公司总资产增
加42,714,000元。




3、现存的内部职工股情况

□ 适用 √ 不适用


三、股东和实际控制人情况

1、公司股东数量及持股情况

                                                                                                                 单位:股

                                                                                             年度报告披露
                                                            报告期末表决
                             年度报告披露                                                    日前上一月末
                                                            权恢复的优先
 报告期末普通                日前上一月末                                                    表决权恢复的
                   19,744                         18,981    股股东总数                  0                             0
 股股东总数                  普通股股东总                                                    优先股股东总
                                                            (如有)(参见
                             数                                                              数(如有)(参
                                                            注 9)
                                                                                             见注 9)

                                      持股 5%以上的股东或前 10 名股东持股情况

                                                        报告期   持有有      持有无             质押或冻结情况
                                              报告期
                                     持股比             内增减   限售条      限售条
     股东名称            股东性质             末持股
                                       例               变动情   件的股      件的股         股份状态          数量
                                               数量
                                                           况    份数量      份数量

                                              49,276,             49,276,
 姚卜文             境内自然人       34.85%                                             质押                  5,220,000
                                                 944                 944

                                              7,100,4             5,325,3    1,775,11
 王志               境内自然人        5.02%
                                                  65                  49           6

 太原祥山投资
                    境内非国有法              6,774,3                         6,774,3
 管理部(有限合                       4.79%
                    人                            19                              19
 伙)

 宁波境界投资       境内非国有法              6,063,2                         6,063,2
                                      4.29%
 股份有限公司       人                            06                              06

 太原俊亭投资
                    境内非国有法              5,099,1                         5,099,1
 管理部(有限合                       3.16%
                    人                            44                              44
 伙)

 上海古美盛合
                    境内非国有法              2,444,2                         2,444,2
 创业投资中心                         1.73%
                    人                            22                              22
 (有限合伙)



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 中融人寿保险
 股份有限公司                              1,759,3                      1,759,3
                   其他            1.24%
 -万能保险产                                  34                           34
 品

 中银基金-建
 设银行-中国
 人寿-中国人                              860,96
                   其他            0.61%                                860,963
 寿委托中银基                                   3
 金公司混合型
 组合

                                           770,00            770,00
 李祥山            境内自然人      0.54%
                                                0                 0

 上海浦东发展
 银行股份有限
                                           745,19
 公司-长信金      其他            0.53%                                745,191
                                                1
 利趋势混合型
 证券投资基金

 战略投资者或一般法人因配售新
 股成为前 10 名股东的情况(如有) 无
 (参见注 4)

 上述股东关联关系或一致行动的     李祥山为太原祥山投资管理部(有限合伙)普通合伙人及合伙事务执行人。公司未
 说明                             知其他上述股东之间是否存在关联关系,也未知是否属于一致行动人。

                                       前 10 名无限售条件股东持股情况

                                                                                           股份种类
              股东名称                 报告期末持有无限售条件股份数量
                                                                                    股份种类          数量

 太原祥山投资管理部(有限合伙)                                       6,774,319   人民币普通股        6,774,319

 宁波境界投资股份有限公司                                             6,063,206   人民币普通股        6,063,206

 太原俊亭投资管理部(有限合伙)                                       5,099,144   人民币普通股        5,099,144

 上海古美盛合创业投资中心(有限
                                                                      2,444,222   人民币普通股        2,444,222
 合伙)

 王志                                                                 1,775,116   人民币普通股        1,775,116

 中融人寿保险股份有限公司-万
                                                                      1,759,334   人民币普通股        1,759,334
 能保险产品

 中银基金-建设银行-中国人寿
 -中国人寿委托中银基金公司混                                           860,963   人民币普通股         860,963
 合型组合

 上海浦东发展银行股份有限公司
 -长信金利趋势混合型证券投资                                           745,191   人民币普通股         745,191
 基金



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 山东传诚投资有限公司                                                  538,284   人民币普通股          538,284

 中国建设银行股份有限公司-摩
 根士丹利华鑫多因子精选策略混                                          506,500   人民币普通股          506,500
 合型证券投资基金

 前 10 名无限售流通股股东之间,
                                   李祥山为太原祥山投资管理部(有限合伙)普通合伙人及合伙事务执行人。公司其
 以及前 10 名无限售流通股股东和
                                   他前 10 名无限售流通股股东之间,以及其他前 10 名无限售流通股股东和其他前 10
 前 10 名股东之间关联关系或一致
                                   名股东之间是否存在关联关系,也未知是否属于一致行动人。
 行动的说明

 参与融资融券业务股东情况说明
                                   无
 (如有)(参见注 5)

公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内是否进行约定购回交易
□ 是 √ 否
公司前 10 名普通股股东、前 10 名无限售条件普通股股东在报告期内未进行约定购回交易。


2、公司控股股东情况

控股股东性质:自然人控股
控股股东类型:自然人

               控股股东姓名                      国籍                   是否取得其他国家或地区居留权

 姚卜文                                  中国                   否

 主要职业及职务                          退休

 报告期内控股和参股的其他境内外上市
                                         无
 公司的股权情况

控股股东报告期内变更
□ 适用 √ 不适用
公司报告期控股股东未发生变更。


3、公司实际控制人情况

实际控制人性质:境内自然人
实际控制人类型:自然人

              实际控制人姓名                     国籍                   是否取得其他国家或地区居留权

 姚卜文                                 中国                    否

 姚长杰                                 加拿大                  是

 主要职业及职务                         姚长杰先生为山西东杰智能物流装备股份有限公司董事 、担任董事长职务

 过去 10 年曾控股的境内外上市公司情况   无

实际控制人报告期内变更
□ 适用 √ 不适用
公司报告期实际控制人未发生变更。


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


公司与实际控制人之间的产权及控制关系的方框图




实际控制人通过信托或其他资产管理方式控制公司

□ 适用 √ 不适用


4、其他持股在 10%以上的法人股东

□ 适用 √ 不适用




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


5、控股股东、实际控制人、重组方及其他承诺主体股份限制减持情况

□ 适用 √ 不适用




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                                   第七节 优先股相关情况

□ 适用 √ 不适用
报告期公司不存在优先股。




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山西东杰智能物流装备股份有限公司 2016 年年度报告全文




                     第八节 董事、监事、高级管理人员和员工情况

一、董事、监事和高级管理人员持股变动

                                                                               本期增     本期减
                                                                   期初持                             其他增   期末持
                      任职状                   任期起    任期终                持股份     持股份
     姓名    职务               性别   年龄                         股数                              减变动    股数
                        态                     始日期    止日期                数量        数量
                                                                   (股)                             (股)   (股)
                                                                               (股)     (股)

                                               2013 年   2019 年
 姚长杰     董事长    现任     男         53   03 月     07 月             0          0           0        0           0
                                               06 日     05 日

                                               2013 年   2016 年
                                                                   49,276,                                     49,276,
 姚卜文     董事      离任     男         81   03 月     07 月
                                                                      944                                         944
                                               06 日     05 日

                                               2013 年   2019 年
            董事、                                                             100,00                          100,00
 贾俊亭               现任     男         52   03 月     07 月             0
            总经理                                                                    0                                0
                                               06 日     05 日

            董事、                             2013 年   2019 年
                                                                               770,00                          770,00
 李祥山     副董事    现任     男         52   03 月     07 月             0
                                                                                      0                                0
            长                                 06 日     05 日

                                               2013 年   2019 年
                                                                   7,100,4                                     7,100,4
 王志       董事      现任     男         54   03 月     07 月
                                                                       65                                          65
                                               06 日     05 日

                                               2013 年   2017 年
            独立董
 武世民               现任     男         54   03 月     01 月             0                                           0
            事
                                               06 日     24 日

                                               2016 年   2019 年
            独立董
 薄少伟               现任     男         63   07 月     07 月             0                                           0
            事
                                               05 日     05 日

                                               2016 年   2019 年
            独立董
 杨志军               现任     男         44   07 月     07 月             0                                           0
            事
                                               05 日     05 日

                                               2013 年   2019 年
 谢晋鹏     监事      现任     男         48   03 月     07 月             0                                           0
                                               06 日     05 日

                                               2016 年   2019 年
 张晓军     监事      现任     男         50   07 月     07 月             0                                           0
                                               05 日     05 日



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


                                                                  2013 年       2019 年
 张兵清        监事        现任        男                    54   03 月         07 月           0                                  0
                                                                  06 日         05 日

               董秘、                                             2013 年       2019 年
                                                                                                     500,00                   500,00
 张新海        副总经      现任        男                    46   03 月         07 月           0
                                                                                                          0                        0
               理                                                 06 日         05 日

                                                                  2013 年       2019 年
               财务总                                                                                500,00                   500,00
 武同铭                    现任        男                    51   03 月         07 月           0
               监                                                                                         0                        0
                                                                  06 日         05 日

                                                                  2013 年       2019 年
               副总经                                                                                100,00                   100,00
 朱忠义                    现任        男                    47   03 月         07 月           0
               理                                                                                         0                        0
                                                                  06 日         05 日

                                                                  2016 年       2019 年
               副总经                                                                                100,00                   100,00
 王永红                    现任        男                    46   07 月         07 月           0
               理                                                                                         0                        0
                                                                  05 日         05 日

                                                                  2016 年       2019 年
               副总经                                                                                100,00                   100,00
 吕漫时                    现任        女                    49   07 月         07 月           0
               理                                                                                         0                        0
                                                                  05 日         05 日

                                                                  2013 年       2016 年
               独立董
 吴清一                    离任        男                    82   03 月         07 月           0                                  0
               事
                                                                  06 日         05 日

                                                                  2013 年       2016 年
               独立董
 房殿军                    离任        男                    56   03 月         07 月           0                                  0
               事
                                                                  06 日         05 日

                                                                  2013 年       2016 年
 李大鹏        董事        离任        男                    38   03 月         07 月           0                                  0
                                                                  06 日         05 日

                                                                  2013 年       2016 年
 李静          监事        离任        女                    32   03 月         07 月           0                                  0
                                                                  06 日         05 日

                                                                                           56,377,   2,170,0                  58,547,
 合计               --        --            --          --          --            --                                  0   0
                                                                                              409        00                      409


二、公司董事、监事、高级管理人员变动情况

√ 适用 □ 不适用

        姓名              担任的职务             类型                    日期                                  原因

                                                                  2016 年 07 月
 吴清一                  独立董事           任期满离任                                  换届选举任期满离任
                                                                  05 日

 房殿军                  独立董事           任期满离任            2016 年 07 月         换届选举任期满离任


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                                              05 日

                                              2016 年 07 月
 李大鹏          董事          任期满离任                     换届选举任期满离任
                                              05 日

                                              2016 年 07 月
 姚卜文          董事          任期满离任                     换届选举任期满离任
                                              05 日

                                              2016 年 07 月
 李静            监事          任期满离任                     换届选举任期满离任
                                              05 日


三、任职情况

公司现任董事、监事、高级管理人员专业背景、主要工作经历以及目前在公司的主要职责
姚长杰先生,公司董事长,加拿大国籍,加拿大公民证号:A976****。1964年出生,1984年7月毕业于陕西机械学院(现西
安理工大学)机械一系,本科学历,高级工程师。1984年至1992年在承德矿山机械厂工作,任工程师。1993年至2007年任太
原东方物流设备总厂厂长,1995年至2009年任公司董事长,2009年至2011年任公司董事,2011年至今任公司董事长。
贾俊亭先生,公司董事兼总经理,中华人民共和国国籍,无境外永久居留权,1965年出生,1986年毕业于西安工业学院材料
工程系,本科学历,高级工程师。1986年至2000年在兴安化学集团公司工作,2000年至2001年任山西东方智能物流股份有限
公司销售部经理,2001年至2008年任山西东方智能物流股份有限公司总经理,2009年至2011年任山西东方智能物流股份有限
公司董事长兼总经理,2011年至今任公司董事、总经理。
李祥山先生,公司副董事长兼副总经理,中华人民共和国国籍,无境外永久居留权,1965年出生,1987年毕业于沈阳工业学
院机械工程系机械制造工艺与设备专业,本科学历,工程师。1987年至1994年于国营247厂金工工艺处任技术员、工程师。
1994年至1995年在太原东方物流设备总厂任工程师,1995年至2000年在太原东方物流设备有限公司任总经理,2000年至2001
年任山西东方智能物流股份有限公司总经理,2001年至今任公司副董事长、副总经理、总工程师。

王志先生,公司董事,中华人民共和国国籍,无境外永久居留权,1963年出生,1989年毕业于太原工业大学,硕士研究生学
历,工程师。1989年至1997年任山西机械设备进出口公司业务员,1997年至今任山西新和实业有限公司董事长兼总经理。2000
年12月至今任公司董事。

武世民先生,公司独立董事,中华人民共和国国籍,无境外永久居留权,1964年出生,1986年7月毕业于山西财经大学财政
金融系,本科学历,高级会计师。1986年至1988年于山西经济管理干部学院任教,1988年至1998年于山西省财政厅山西会计
师事务所工作,1998年至2000年于山西中元会计师事务所工作,2000年至今任山西高新会计师事务所合伙人,2012年2月起
至今任公司独立董事。

杨志军先生,中华人民共和国国籍,无境外永久居留权,1973年出生,博士研究生学历,法学博士学位。1995年至2000年在
太原理工大学任法学专业教师,2000年至2006年在山西大学任法学专业教师,2006年6月至今任北京市国晟律师事务所律师,
执行主任,2016年7月任公司独立董事。

薄少伟先生,中华人民共和国国籍,无境外永久居留权,1954年出生,大专学历,中国注册会计师,中国注册资产评估师,
中国注册造价工程师。1989年至1992年任大同市审计局国营工业审计科科长,1992年至1999年任大同市第二审计所所长,2000
年至2002年任大同智友审计事务所所长,2002年至2014年任山西省经济建设投资公司副总会计师、副总经理,2016年7月任
公司独立董事。

谢晋鹏先生,公司监事会主席,职工代表监事,中华人民共和国国籍,无境外永久居留权,1969年出生,1991年毕业于太原
理工大学机械制造系机械制造专业,本科学历,工程师。1991年至1994年任中国人民解放军海军802厂车间技术员,1995年
至今先后任山西东杰智能物流装备股份有限公司采供部经理、审计处处长、审计部经理及公司监事会主席。

张兵清先生,公司监事,中华人民共和国国籍,无境外永久居留权,1963年出生,1988年毕业于太原工业大学自动化专业,
本科学历。1981年至1994年任太原无线电六厂技术员,1995年至今先后任山西东杰智能物流装备股份有限公司技术员、副总


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工程师,及公司监事会监事。

张晓军先生,中华人民共和国国籍,无境外永久居留权。1967年出生,大专学历,1985年-1990年51014部队服役,任上士班
长。1990年至1998年退伍后在江阳化工厂、平朔露天矿、东方机械厂工作。1998年6月至今在山西东杰智能物流准备股份有
限公司办公室工作任主任一职。2016年7月任公司监事。

朱忠义先生,公司副总经理,中华人民共和国国籍,无境外永久居留权,1970年出生,1996年毕业于东北重型机械学院,本
科学历,工程师。1996年至1999年任太原钢铁公司技术员,1999年至2008年任山西东方智能物流股份有限公司技术员、总调
度长、工程部经理,2008年至2010年任山西东方智能物流股份有限公司副总经理兼工程部经理,2010年至今任山西东杰智能
物流装备股份有限公司副总经理。

武同铭先生,公司财务总监,中华人民共和国国籍,无境外永久居留权,1966年出生,1987年毕业于山西省机械工业学校,
大专学历,会计师。1987年至2002年在山西亨达内燃机总公司运城油泵油嘴厂工作,2002年至2005年任职于运城河东会计师
事务所,2005年至2011年任职于山西中强审计事务所有限公司,2011年11月起在公司任职,2012年1月被聘任为公司财务总
监。

张新海先生,公司副总经理、董事会秘书,中华人民共和国国籍,无境外永久居留权,1971年出生,1993年毕业于太原工业
大学机械工程系,本科学历。1993年至1997年任山西前进机器厂技术员、科长,1999年至今先后任山西东杰智能物流装备股
份有限公司技术员、证券部经理、董事会秘书,2010年8月起任山西东杰智能物流装备股份有限公司副总经理、董事会秘书。

王永红先生,中华人民共和国国籍,无境外永久居留权,1971年出生,1993年毕业于长春光学精密机械学院(现长春理工大
学),本科学历,高级工程师。1993年至1999年在山西兴安化学工业集团公司工作,1999年至今历任山西东杰智能物流装备
股份有限公司主任设计师、项目经理、副总工程师,自动化立体停车库总经理,2016年7月聘任为公司副总经理。

吕漫时女士,中华人民共和国国籍,无境外永久居留权,1968年出生,1989年获得深圳大学工商管理学士学位,2003年获得
美国圣保罗大学计算机科学硕士学位。1989年至2000年任深圳广发进出口有限公司业务主管,2003年至2007年任美国派克逊
物流科技公司(Pactrans Air& Sea Co)IT主管,2008年1月至2014年7月任深圳市今天国际物流技术股份有限公司软件中心
总监,2014年11月起任山西东杰智能物流装备股份有限公司软件业务负责人,2016年7月聘任为公司副总经理。
在股东单位任职情况
√ 适用 □ 不适用

                                                    在股东单
 任职人员姓                                                     任期起始日                  在股东单位是否
                         股东单位名称               位担任的                 任期终止日期
        名                                                          期                       领取报酬津贴
                                                         职务

                                                    普通合伙
 李祥山       太原祥山投资管理部(有限合伙)                                                否
                                                    人

                                                    普通合伙
 贾俊亭       太原俊亭投资管理部(有限合伙)                                                否
                                                    人

在其他单位任职情况
√ 适用 □ 不适用

                                                    在其他单
 任职人员姓                                                     任期起始日                  在其他单位是否
                         其他单位名称               位担任的                 任期终止日期
        名                                                          期                       领取报酬津贴
                                                         职务

                                                    董事长兼
 王志         山西新和实业有限公司
                                                    总经理

 武世民       亚宝药业集团股份有限公司              独立董事



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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 杨志军        北京市国晟律师事务所               执行主任

 武世民        振兴生化股份有限公司               独立董事

 杨志军        酒仙网电子商务股份有限公司         独立董事

 薄少伟        亚宝药业集团股份有限公司           董事

公司现任及报告期内离任董事、监事和高级管理人员近三年证券监管机构处罚的情况
□ 适用 √ 不适用


四、董事、监事、高级管理人员报酬情况

董事、监事、高级管理人员报酬的决策程序、确定依据、实际支付情况
依据公司的薪酬管理制度,董事会薪酬与管理委员会根据董事、监事及高级管理人员管理岗位的主要范围、职责、重要性以
及其他类似企业相关岗位的薪酬水平参考当地平均薪酬水平制定董、监、高人员的薪酬计划或方案,提交公司董事会审议,
董事会审议通过形成决议,提交股东大会审议,经股东大会决议批准,董事会依据股东大会决议执行相关薪酬计划或方案。
公司报告期内董事、监事和高级管理人员报酬情况
                                                                                                    单位:万元

                                                                                从公司获得的   是否在公司关
        姓名           职务           性别             年龄          任职状态
                                                                                税前报酬总额   联方获取报酬

 姚长杰         董事长          男                            53   现任                   21   否

 贾俊亭         董事、总经理    男                            52   现任                   21   否

                董事、副董事
 李祥山                         男                            52   现任                   21   否
                长

 王志           董事            男                            54   现任                  0.6

 武世民         独立董事        男                            53   现任                 5.02   否

 谢晋鹏         监事会主席      男                            48   现任                17.40   否

                董秘、副总经
 张新海                         男                            46   现任                19.90   否
                理

 武同铭         财务总监        男                            51   现任                   21   否

 朱忠义         副总经理        男                            47   现任                   21   否

 王永红         副总经理        男                            46   现任                   21   否

 张兵清         监事            男                            54   现任                15.48   否

 吕漫时         副总经理        女                            49   现任                67.71   否

 杨志军         独立董事        男                            44   现任                 2.51   否

 薄少伟         独立董事        男                            63   现任                 2.51   否

 姚卜文         董事            男                            81   离任                  0.3   否

 李大鹏         董事            男                            38   离任                  0.3   否

 房殿军         独立董事        男                            56   离任                 2.51   否

 吴清一         独立董事        男                            82   离任                 2.51   否


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山西东杰智能物流装备股份有限公司 2016 年年度报告全文


 李静                    监事             女                               32     离任                               0.18    否

 张晓军                  监事             男                               49     现任                               6.47    否

        合计                     --                --               --                      --                   269.42             --

公司董事、高级管理人员报告期内被授予的股权激励情况
√ 适用 □ 不适用
                                                                                                                                     单位:股

                                                        报告期
                                                                                                          报告期       限制性
                                                        内已行    报告期        期初持                                              期末持
                                报告期    报告期                                                 本期已   新授予       股票的
                                                        权股数    末市价        有限制                                              有限制
     姓名       职务            内可行    内已行                                                 解锁股   限制性       授予价
                                                        行权价    (元/         性股票                                              性股票
                                权股数    权股数                                               &n