鄭州煤礦機械集團股份有限公司
Zhengzhou Coal Mining Machinery (Group)
Co., Ltd.
章 程
Articles of Association
(2016 年 4 月 28 日第三屆董事會第十三次會議修訂)
(Revised on 28 April 2016 at the 13th meeting of the third session of the Board of Directors)
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
目 錄
Contents
第一章 總則
Chapter 1 General Provisions ................................................................................................................. 1
第二章 經營宗旨和範圍
Chapter 2 Objectives and Scope of Business ......................................................................................... 3
第三章 股份
Chapter 3 Shares..................................................................................................................................... 3
第一節 股份發行
Section 1 Issuance of Shares .......................................................................................................... 3
第二節 股份增減和回購
Section 2 Increase/Deduction of Capital and Repurchase of Shares.............................................. 8
第三節 股份轉讓
Section 3 Transfer of Shares ...........................................................................................................11
第四章 購買公司股份的財務資助
Chapter 4 Financial Assistance for Acquisition of the Company’s Shares ............................................ 13
第五章 股票和股東名冊
Chapter 5 Share Certificates and Register of Shareholders ................................................................. 15
第六章 股東和股東大會
Chapter 6 Shareholders and Shareholders』 General Meeting .............................................................. 19
第一節 股 東
Section 1 Shareholders .................................................................................................................. 19
第二節 股東大會的一般規定
Section 2 General Provisions for the Shareholders』 General Meeting .......................................... 25
第三節 股東大會的召集
Section 3 Convening of Shareholders』 General Meeting ............................................................... 28
第四節 股東大會的提案與通知
Section 4 Proposal and Notice at Shareholders』 General Meeting ............................................... 31
第五節 股東大會的召開
Section 5 Holding of Shareholders』 General Meetings .................................................................. 35
第六節 股東大會的表決和決議
Section 6 Voting and Resolutions at Shareholders』 General Meeting ........................................... 40
第七節 類別股東表決的特別程序
Section 7 Special Procedures for Voting by Class Shareholders ..................................................... 47
第七章 董事會
Chapter 7 Board of Directors ................................................................................................................. 50
第一節 董 事
Section 1 Directors ......................................................................................................................... 50
第二節 董事會
Section 2 Board of Directors .......................................................................................................... 54
第三節 董事會秘書
Section 3 Secretary to the Board of Directors ................................................................................ 59
第四節 董事會專門委員會
Section 4 Special Committee of the Board of Directors ................................................................. 63
第八章 總經理及其他高級管理人員
Chapter 8 General Manager and Other Senior Management Members............................................... 64
第九章 監事會
Chapter 9 Board of Supervisors ............................................................................................................ 66
第一節 監事
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Section 1 Supervisors .................................................................................................................... 66
第二節 監事會
Section 2 Board of Supervisors ...................................................................................................... 67
第三節 監事會決議
Section 3 Resolution of the Board of Supervisors ......................................................................... 69
第十章 公司董事、監事、高級管理人員的資格和義務
Chapter 10 Qualifications and Duties of the Directors, Supervisors and Senior Management Members
of the Company ........................................................................................................................................ 69
第十一章 財務會計制度、利潤分配和審計
Chapter 11 Financial and Accounting Systems, Profit Distribution and Auditing ............................... 77
第一節 財務會計制度
Section 1 Financial and Accounting System .................................................................................. 77
第二節 內部審計
Section 2 Internal Auditing.............................................................................................................. 84
第三節 會計師事務所的聘任
Section 3 Engagement of an Accountancy Firm ............................................................................ 84
第十二章 通知和公告
Chapter 12 Notices and Announcements .............................................................................................. 87
第一節 通知
Section 1 Notices............................................................................................................................ 87
第二節 公告
Section 2 Announcements ............................................................................................................. 89
第十三章 合併、分立、增資、減資、解散和清算
Chapter 13 Merger, Division, Capital Increase and Decrease, Dissolution and Liquidation ................ 89
第一節 合併、分立、增資和減資
Section 1 Merger, Division, Capital Increase and Decrease.......................................................... 89
第二節 解散和清算
Section 2 Dissolution and Liquidation ............................................................................................ 91
第十四章 修改章程
Chapter 14 Amendment of the Articles of Association .......................................................................... 94
第十五章 爭議解決
Chapter 15 Dispute Resolution.............................................................................................................. 95
第十六章 附則
Chapter 16 Supplementary Provisions .................................................................................................. 96
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
注:在本章程條款旁註中,《特別規定》指《國務院關於股份有限公司境外募集股份及上市的特別規定》 (國
務院令第 160 號) ; 《必備條款》指原國家經濟體制改革委員會與原國務院證券委聯合頒布的《到境外上
市公司章程必備條款》 (證委發[1994]21 號) ; 《修改意見函》指中國證券監督管理委員會與原國家經濟體
制改革委員會聯合頒布的《關於到香港上市公司對公司章程作補充修改的意見的函》 (證監海函[1995]1
號) ; 《章程指引》指中國證券監督管理委員會頒布的《上市公司章程指引 (2006 年修訂) 》 (證監公司字
[2006]38 號) ; 《上市公司治理準則》指中國證券監督管理委員會與國家經濟貿易委員會聯合發布的《上
市公司治理準則》 (證監發[2002]1 號) ; 《董事會秘書工作指引》指中國證券監督管理委員會頒布的《境
外上市公司董事會秘書工作指引》 (證監發行字[1999]39 號) ; 《董事會秘書管理辦法》指上海證券交易
所於 2007 年 11 月 1 日頒布的《上海證券交易所上市公司董事會秘書管理辦法 (試行) 》(2007 修訂) ;《現
金分紅若干規定》指中國證券監督管理委員會頒布的《關於修改上市公司現金分紅若干規定的決定》 《上
市規則》指的是《香港聯合交易所有限公司證券上市規則》; 「附錄三」指的是《香港聯合交易所有限公司
證券上市規則》附錄三「公司章程細則」; 「附錄十三 D」指的是《香港聯合交易所有限公司證券上市規則》附
錄十三「有關若干司法管轄區的附加規定」之 D 部「中華人民共和國」。
NOTE: In the margin notes to the provisions of the Articles of Association, the 「Special Regulations」
refers to the State Council’s Special Regulations on Overseas Offering and Listing of Joint Stock Limited
Company (Decree of the State Council of the People’s Republic of China No.160) ; the 「Prerequisite
Clauses」 refers to the Articles of Association of Companies Seeking a Listing Outside the PRC
Prerequisite Clauses (Zheng Wei Fa [1994] No.21) jointly issued by the State Commission for
Restructuring the Economic System and the State Council Securities Policy Committee; the 「Letter of
Opinion on Supplemental Amendment」 refers to the Letter of Opinion on Supplemental Amendment
to Articles of Association of Companies Listing in Hong Kong (Zheng Jian Hai Han [1995] No.1)
jointly issued by the China Securities Regulatory Commission and the State Commission for
Restructuring the Economic System; the 「Guidelines」 refers to the Guidelines for the Articles of
Association of Listed Companies (amended in 2006) (Zheng Jian Gong Si Zi [2006] No.38) issued by
the China Securities Regulatory Commission; the 「Code of Corporate Governance for Listed
Companies」 refers to the Code of Corporate Governance for Listed Companies (Zheng Jian Fa [2002]
No.1) jointly issued by the China Securities Regulatory Commission and the State Economic and Trade
Commission; the 「Practice Guidelines for Secretary to the Board」 refers to the Practice Guidelines
for Secretary to the Board of Directors of Companies Listed Outside the People’s Republic of China
(Zheng Jian Fa Xing Zi [1999] No.39) issued by the China Securities Regulatory Commission; the
「Administrative Measures for Secretary of the Board」 refers to the Administrative Measures of the
Shanghai Stock Exchange for Secretary to the Board of Directors of Listed Companies (Trial) (Revised
in 2007) issued by the Shanghai Stock Exchange on 1 November 2011; the 「Some Provisions on
Cash Dividends」refers to the Decisions on Amending Some Provisions on Cash Dividends by Listed
Companies issued by the China Securities Regulatory Commission; the 「Listing Rules」 refers to the
Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited; the 「Appendix
3」 refers to the Appendix 3 the 「Articles of Association」 under the Rules Governing the Listing of
Securities on the Stock Exchange of Hong Kong Limited; the 「Appendix 13 D」 refers to the Part D 「the
People’s Republic of China」 of the Appendix 13 「Additional Requirements in Respect of Certain
Jurisdictions」 under the Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong
Limited.
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一章 總則
Chapter 1 General Provisions
第一條 為維護鄭州煤礦機械集團股份有限公司 (以下簡稱「公司」) 、股東和債權人的合法權益,規範公司
的組織和行為,根據《中華人民共和國公司法》 (以下簡稱 「《公司法》」) 、《中華人民共和國證券法》 (以
下簡稱「《證券法》」) 、《國務院關於股份有限公司境外募集股份及上市的特別規定》 (以下簡稱「《特別規
定》」、《到境外上市公司章程必備條款》 (以下簡稱「《必備條款》」) 、《上市公司章程指引》 (以下簡稱「《章
程指引》」) 、《關於到香港上市公司對公司章程作補充修改的意見的函》、《香港聯合交易所有限公司證券
上市規則》 (以下簡稱 「《香港上市規則》」) 和中華人民共和國 (以下簡稱「中國」,就本章程而言,不包括
香港特別行政區、澳門特別行政區和臺灣地區) 其他有關規定,制定本章程。
Article 1 To safeguard the legitimate rights and interests of Zhengzhou Coal Mining Machinery (Group)
Co., Ltd. (the 「Company」) , its shareholders and creditors, and to regulate the organization and activities
of the Company, the Company formulated this Articles of Association of the Company, in accordance
with the Company Law of the People’s Republic of China ( the 「Company Law」) , the Securities Law of
the People’s Republic of China (「the 「Securities Law」) , the State Council’s Special Regulations on
Overseas Offering and Listing of Joint Stock Limited Company (the 「Special Regulations」) , the Articles
of Association of Companies Seeking a Listing Outside the PRC Prerequisite Clauses (the 「Prerequisite
Clauses」) , the Guidelines for the Articles of Association of Listed Companies (the 「Guidelines」) , the
Letter of Opinion on Supplemental Amendment to Articles of Association of Companies Listing in Hong
Kong, the Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited (the
「HK Listing Rules」) and other relevant provisions of the People’s Republic of China (hereinafter
referred to as 「China」, excluding Hong Kong Special Administrative Region, Macao Special
Administrative Region and Taiwan ).
第二條 公司系依照《公司法》、《特別規定》和中國其他有關法律、行政法規和規範性文件成立的股份有
限公司。
Article 2 The Company is a joint-stock limited company incorporated pursuant to the 「Company Law」,
the 「Special Regulations」 and other relevant requirements under the laws, administrative rules and
regulations of China.
公司經河南省國資委 (豫國資企改[2008]20 號) 批准,以發起方式設立,於 2008 年 12 月 28 日在鄭州市
工商行政管理局註冊成立,取得營業執照,營業執照號碼為:410100100067511。
The Company was established by way of promotion with the approval of the State-owned Assets
Supervision and Administration Commission of Henan Provincial People’s Government, as evidenced by
the approval document Yu Guo Zi Qi Gai [2008] No.20 of 2008. It was registered and obtained a
business license from, the Zhengzhou Administration for Industry and Commerce on 28 December 2008.
The Company’s business license number is 410100100067511.
第三條 公司於 2010 年 5 月 28 日經中國證券監督管理委員會證監許可[2010]735 號文批准,首次向社會
公眾發行人民幣普通股 140,000,000 股,於 2010 年 8 月 3 日在上海證券交易所上市。
Article 3 Subject to the securities regulatory approval document [2010]735 of 28 May 2010 by the
China Securities Regulatory Commission, the Company issued its initial 140,000,000 ordinary shares to
the public. It was listed in the Shanghai Stock Exchange on 3 August 2010.
第四條 公司註冊名稱:
Article 4 Registered name of the Company:
中文名稱:鄭州煤礦機械集團股份有限公司
The Chinese name of the Company is:Zhengzhou Coal Mining Machinery (Group) Co., Ltd.
英文名稱:ZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
The English name of the Company is:ZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
1
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第五條 公司住所:鄭州經濟技術開發區第九大街 167 號
Article 5 Address of the Company: No.167, 9th Street, Ecno-Tech Development Zone, Zhengzhou
郵政編碼:450016
Post Code:450016
電話號碼:+86-371-67891026
Telephone Number:+86-371-67891026
傳真號碼:+86-371-67891000
Fax Number:+86-371-67891000
第六條 公司註冊資本為人民幣 1,621,122,000 元。
Article 6 The Company’s registered capital is RMB1,621,122,000.
第七條 公司為永久存續的股份有限公司。
Article 7 The Company is a joint stock limited company that has perpetual existence.
第八條 董事長為公司的法定代表人。
Article 8 The Chairman of the Board of Directors of the Company is the Company's legal
representative.
第九條 公司全部資本分為等額股份,股東以其認購的股份為限對公司承擔責任,公司以其全部資產對公
司的債務承擔責任。
Article 9 All capital of the Company is divided into shares with same par value per share. The
shareholders shall exercise their rights and bear their liabilities to the extent of their respective
shareholdings in the Company.
第十條 本章程經公司股東大會決議通過,自公司公開發行的境外上市外資股 (H 股) 於香港聯合交易所
有限公司 (以下簡稱「香港聯交所」) 掛牌交易之日起生效; 自本章程生效之日起,原公司章程自動失效。
Article 10 The Articles of Association become effective by way of resolutions at the general meeting,
from the date of trading of non-public H shares (H shares) on the Stock Exchange of Hong Kong (the
「HKEX」); from the date of the Article of Association becoming effective, the original Articles of
Association of the Company automatically become invalid.
本公司章程自生效之日起,即成為規範公司的組織與行為、公司與股東、股東與股東之間權利義務關係的
具有法律約束力的文件,對公司、股東、董事、監事、高級管理人員具有法律約束力的文件; 前述人員均
可以依據本章程提出與公司事宜有關的權利主張。依據本章程,股東可以起訴股東,股東可以起訴公司董
事、監事、總經理和其他高級管理人員,股東可以起訴公司,公司可以起訴股東、董事、監事、總經理和
其他高級管理人員。
From the date of the Articles of Association becoming effective, the Articles of Association constitute a
legally binding document regulating the Company’s organization and activities, and the rights and
obligations between the Company and each shareholder and among the shareholders, and are binding
on the Company and its shareholders, Directors, supervisors and other senior management; all of whom
are entitled to claim rights regarding the Company’s affairs in accordance with the Articles of Association.
In accordance with the Articles of Association, shareholders may sue other shareholders; shareholders
may sue Directors, supervisors, president and other senior management of the Company; shareholders
may sue the Company; the Company may sue shareholders, Directors, supervisors, president and other
senior management of the Company.
前款所稱起訴,包括向法院提起訴訟或者向仲裁機構申請仲裁。
The term 「sue」 in the preceding Article shall refer to and include commencing court proceedings and
applying for arbitration proceedings.
2
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第十一條 公司可以向其他有限責任公司、股份有限公司投資,並以該出資額為限對所投資公司承擔責任。
Article 11 The Company may invest in other limited liability companies or joint-stock companies. The
rights and liabilities the Company are limited to its amount of investment.
除法律另有規定外,公司不得成為對所投資企業的債務承擔連帶責任的出資人。
However, unless stipulated by laws otherwise, the Company shall not be jointly and severally liable to
such enterprise(s) for their liabilities as their investor.
第十二條 本章程所稱其他高級管理人員是指公司的副總經理、董事會秘書、財務總監。
Article 12 The term 「senior management」 in the Articles shall refer to the deputy president , the
secretary to the Board of the Company and the chief finance officer.
第二章 經營宗旨和範圍
Chapter 2 Objectives and Scope of Business
第十三條 公司的經營宗旨:依靠高新技術,發揮機制優勢,提高規模效益,實現科學管理,參與市場競
爭,努力提高勞動生產率和良好經濟效益,不斷提高職工的收入水平,確保國有資產保值增值,為社會創
造財富,實現公司股東利益和企業價值的最大化。
Article 13 The business objectives of the Company are: to improve scale effect depending on new
high-tech technologies and giving play to superiorities of each mechanism, strive to improve labor
productivity and economic benefit through scientific management and participation in market competition,
continuously improve the income level of employees, ensure value preservation and appreciation of
state-owned assets, create wealth for the society, and maximize benefit of shareholders and corporate
value.
第十四條 經依法登記,公司的經營範圍:設計、加工、製造礦山機械設備、環保設備、通用機械、電站
設備、附屬配件、工模具; 金屬材料的銷售; 企業管理諮詢; 從事貨物和技術的進出口業務,國家禁止和限
定的貨物和技術除外;不動產租賃、有形動產租賃、技術服務。
Article 14 Subject to registration in accordance with laws, the Company’s scope of business includes:
design, processing, manufacturing of mining machinery and equipment, environmental protection
equipment, general machinery, power station equipment, accessory, tool and die; sales of metal
materials; corporation management consulting; imports and exports of cargo and technology with
exception of cargo and technology prohibited by the state; real estate leasing, tangible property leasing,
technology service.
第三章 股份
Chapter 3 Shares
第一節 股份發行
Section 1 Issuance of Shares
第十五條 公司設置普通股; 根據需要,經國務院授權的公司審批部門批准,可以設置其他種類的股份,
但仍需受限於適用的法律、法規及規則的規定
Article 15 The Company shall have ordinary shares; it may have other kinds of shares according to its
needs, upon approval of the company examination and approval authorities authorized by the State
Council, and still subject to provisions of applicable laws, regulations and rules.
第十六條 公司的股份採取股票的形式。
Article 16 The shares of the Company shall take the form of share certificates.
3
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第十七條 經中國證監會核准,公司可以向境內投資人和境外投資人發行股票。
Article 17 Subject to the approval of the China Securities Regulatory Commission, the Company may
issue shares to domestic and foreign investors.
前款所稱境外投資人是指認購公司發行股份的外國和香港、澳門、臺灣地區的投資人; 境內投資人是指認
購公司發行股份的,除前述地區以外的中華人民共和國境內的投資人。
For the purposes of the preceding paragraph, the term 「foreign investors」 shall refer to investors from
foreign countries or from Hong Kong Special Administrative Region, Macau Special Administrative
Region or Taiwan that subscribe for shares issued by the Company, and the term 「domestic investors」
shall refer to investors within the People’s Republic of China, excluding the above-mentioned regions,
that subscribe for shares issued by the Company.
第十八條 公司向境內投資人發行的以人民幣認購的股份,稱為內資股。公司向境外投資人發行的以外幣
認購的股份,稱為外資股。外資股在境外上市的,稱為境外上市外資股。
Article 18 Shares issued by the Company to domestic investors for subscription in Renminbi shall be
referred to as domestic shares. Shares issued by the Company to overseas investors for subscription in
foreign currency shall be referred to as H shares.
內資股股東和境外上市外資股股東同是普通股股東,擁有和承擔相同的權利和義務。
Both the holders of the domestic shares and H shares are holders of the ordinary shares and shall have
the same obligations and rights.
經中國證券監督管理機構批准,公司內資股股東可將其持有的股份轉讓給境外投資人,並在境外上市交易。
所轉讓的股份在境外證券交易所上市交易,還應當遵守境外證券市場的監管程序、規定和要求。所轉讓的
股份在境外證券交易所上市交易的情形,不需要召開類別股東會表決。
The Company’s holders of domestic-invested shares shall transfer their shares to overseas investors for
overseas listing and trade upon approval of the China Securities Regulatory Commission. Listing and
trade of transferred shares in overseas stock exchange(s) shall comply with the supervision procedures,
provisions and requirements of overseas securities market(s). Such circumstance does not need to hold
a class meeting for voting.
第十九條 公司股份的發行,實行公平、公正的原則,同種類的每一股份具有同等權利。
Article 19 Shares of the Company shall be issued in a fair and just manner. Shares of the same class
shall rank pari passu with each other.
同次發行的同種類股票,每股的發行條件和價格相同; 任何單位或者個人所認購的股份,每股支付相同價
額。
For the same class of shares issued in the same tranche, each share shall be issued at the same price
and subject to the same conditions. For the shares subscribed by any organization or individual, the
price payable for each of such shares shall be the same.
第二十條 公司發行的股票,以人民幣標明面值。每股面值人民幣 1 元。
Article 20 All the shares issued by the Company shall have a par value dominated in Renminbi which
shall be RMB 1.00 for each share.
前款所稱「人民幣」,指中國的法定貨幣。
For the purposes of the preceding paragraph, the term「Renminbi」 means the lawful currency of China.
第二十一條 公司發行的內資股,在中國證券登記結算有限責任公司上海分公司集中存管。公司發行的境
外上市外資股主要在香港中央結算有限公司屬下的受託代管公司存管。
Article 21 The Company’s domestic shares are held in custody by the Shanghai branch of China
Securities Depository and Clearing Company Limited. The Company’s H shares are held in custody by
the hoisting company as a subsidiary of Hong Kong Securities Clearing Company Limited.
4
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第二十二條 經國務院授權的審批部門批准,公司於成立時向發起人發行普通股 56000 萬股,佔公司當時
發行的普通股總數的百分之百,各發起人均以淨資產認購。公司發起人的姓名或者名稱及其認購的股份數
分別為:
Article 22 Subject to the approval of the approval authority authorized by the State Council, 560 million
ordinary shares, representing 100% of the total number, were issued to the promoter of the Company at
the time when the Company was established, which shall be subscribed by each promoter with their net
assets. The names of promoters of the Company and number of shares subscribed are listed as follows:
股份數量 (萬股) 佔總股本
單位證號或身份證號碼
序號 股東名稱 Number of 比例 (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
河南省國有資產監督管理委員會
1 State-owned Assets Supervision and 28560 51
Administration Commission of Henan Province
上海立言投資中心( 有限合夥 )
2 Shanghai Liyan Equity Investment Center 15000003200804170100 8335.04 14.884
( Limited Partnership )
西安漢高科技發展有限公司
3 Xi'an Hangao Technology Development Co., 610100100005216-A 2837.52 5.067
Ltd.
杭州如山創業投資有限公司
4 Hangzhou Rushan Venture Capital Investment 330100000001557 1773.52 3.167
Co., Ltd.
上海鼎豐信息科技有限公司
5 Shanghai Dingfeng Information Technology 31029001304667 1773.52 3.167
Co., Ltd.
北京鴻智慧通實業有限公司
6 110000005144254 1773.52 3.167
Beijing Hongzhi Huitong Industry Co., Ltd.
天津博信一期投資中心 (有限合夥)
7 Tianjin Boxin Phase 1 Investment Center 120191000022859 1773.52 3.167
(Limited Partnership)
深圳市中南成長投資合夥企業 (有限合夥)
8 South China Capital Management Co., Ltd. 440300602145763 1773.52 3.167
(Limited Partnership)
深圳市創新投資集團有限公司
9 440301103289709 1667.12 2.977
Shenzhen Capital Group
常州信輝創業投資有限公司
10 3204001104780 886.48 1.583
Changzhou Xinhui Venture Capital Co., Ltd.
鄭州百瑞創新資本創業投資有限公司
11 410100100006007 709.52 1.267
Bairui Capital Group (Zhengzhou)
深圳市高特佳創富投資合夥企業 (有限合夥)
12 Shenzhen GTJA Investment Group Co., Ltd. 440300602136449 532 0.95
(Limited Partnership)
西安經發創新投資有限公司
13 6101011210368 354.48 0.633
Xi'an Jingfa Venture Capital Co., Ltd.
焦承堯
14 410102196305231515 239.456 0.4276
Jiao Chengrao
5
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
股份數量 (萬股) 佔總股本
單位證號或身份證號碼
序號 股東名稱 Number of 比例 (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
邵春生
15 410102195804121519 239.456 0.4276
Shao Chunsheng
向家雨
16 41122196508045515 168.448 0.3008
Xiang Jiayu
張命林
17 410105196301281653 168.448 0.3008
Zhang Minglin
付祖岡
18 410102196511111514 168.448 0.3008
Fu Zugang
王新瑩
19 410102196510201534 168.448 0.3008
Wang Xinying
陳建民
20 410102196401121535 168.448 0.3008
Chen Jianmin
李重慶
21 410102196411303017 168.448 0.3008
Li Chongqing
郭昊峰
22 44010619652271832 168.448 0.3008
Guo Haofeng
高有進
23 410102196309261578 168.448 0.3008
Gao Youjin
鮑雪良
24 120102196303210930 164.864 0.2944
Bao Xueliang
郭德生
25 410102196110151531 159.6 0.285
Guo Desheng
丁 輝
26 410102195511251512 159.6 0.285
Ding Hui
倪和平
27 210102196501305617 159.6 0.285
Ni Heping
祝炳良
28 410102194909153010 159.6 0.285
Zhu Bingliang
楊以淳
29 410105194905302217 159.6 0.285
Yang Yichun
徐宗林
30 410102196302161515 141.848 0.2533
Xu Zonglin
楚振嶺
31 410106196503311891 35.448 0.0633
Chu Zhenling
董 鑫
32 410102197405101536 35.448 0.0633
Dong Xin
李浩奇
33 320311196812121252 35.448 0.0633
Li Haoqi
李優生
34 410102195412231532 35.448 0.0633
Li Yousheng
王朝陽
5 410102196605191551 35.448 0.0633
Wang Chaoyang
鄧高峰
36 510212196607210359 35.448 0.0633
Deng Gaofeng
6
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
股份數量 (萬股) 佔總股本
單位證號或身份證號碼
序號 股東名稱 Number of 比例 (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
劉付營
37 410102196512081513 35.448 0.0633
Liu Fuying
於德潤
38 410102196207011578 35.448 0.0633
Yu Derun
周志剛
39 410102195711032031 35.448 0.0633
Zhou Zhigang
合計
56000 100
Total
第二十三條 公司成立後,經中國證監會核准,公開發行了 14,000 萬股人民幣普通股,發行後公司的股份
總數為 70,000 萬股。
Article 23 After establishment of the Company, with the approval of the China Securities Regulatory
Commission, the Company issued 140,000,000 Renminbi denominated ordinary shares to the general
public. Upon completion of the issuance, the Company’s total number of shares is 700,000,000.
根據《境內證券市場轉持部分國有股充實全國社會保障基金實施辦法》,經河南省國有資產監督管理委員
會批准,公司國有股東將所持 1400 萬股人民幣普通股轉由全國社會保障基金理事會持有。
In accordance with the Implementing Measures for the Transfer of Some State-owned Shares from the
Domestic Securities Market to the National Social Security Fund, the 14,000,000 Renminbi denominated
ordinary shares held by state shareholders of the Company, upon approval of the State-owned Assets
Supervision and Administration Commission of Henan Provincial People’s Government, shall be
transferred to the National Council for Social Security Fund of the People’s Republic of China.
公司經 2012 年 2 月 28 日股東大會審議,將資本公積金轉增股本,向全體登記股東每 10 股轉增 10 股,公
司股份總數由 70,000 萬股增至 140,000 萬股。
公司經中國證監會證監許可[2012]1092 號文核准發行境外上市外資股(H 股),並獲得香港聯交所批准,
公司 H 股股份於 2012 年 12 月 5 日於香港聯交所掛牌上市。公司發行 221,122,000 股境外上市外資股(未
行使超額配售權),公司股份總數由 140,000 萬股增至 162,112.2 萬股。若公司行使全部超額配售權,公
司將超額配售發行 33,168,200 股境外上市外資股。公司股份總數增至 165,429.02 萬股。根據《國務院關
於減持國有股籌集社會保障資金管理暫行辦法》等有關規定及相關機關的批覆,公司國有股東將所持等額
於 H 股實際發行量 10%的 A 股股份劃轉到全國社會保障基金理事會境外帳戶。
Pursuant to the shareholders』approval at the general meeting held on February 28, 2012, the Company
has, by way of capitalization of the capital reserves, issued bonus shares to all registered shareholders
in the ratio of 10 domestic shares for every 10 domestic shares. The Company’s total number of shares
has thereby increased from 700,000,000 shares to 1,400,000,000 shares.
On December 5, 2012, with the approval of the China Securities Regulatory Commission Document No.
2012[1092], the Company issued 221,122,000 shares of overseas-listed foreign-invested shares
(without exercising the over-allotment option), upon which the Company’s total number of shares
increased from 1,400,000,000 shares to 1,621,122,000 shares. If the over-allotment option is exercised
in full, the Company will issue additional 33,168,200 shares of overseas-listed foreign-invested shares,
upon which the Company’s total number of shares will increase to 1,654,290,200 shares. According to
the relevant regulations such as the Interim Measures of the State Council on the Management of
Reducing State-owned Shares and Raising Social Security Funds (國務院關於減持國有股籌集社會保障
資金管理暫行辦法) and the approvals of relevant authorities, the State-owned shareholders of the
Company are to transfer to an overseas account under the National Council for Social Security Fund of
the PRC such number of A Shares as shall be equivalent to 10% of the actual number of the H Shares to
7
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
be issued.
第二十四條 在 H 股發行完成後(未行使超額配售權),公司的股本結構為:已發行普通股總數為 162,112.2
萬股,其中內資股 137,788.78 萬股,外資股 24,323.42 萬股。
Article 24 Upon the completion of the H share issuance (without exercising the over-allotment option),
the share capital structure of the Company shall be: 1,621,122,000 shares of the ordinary shares issued
in total, of which 1,377,887,800 shares of domestic-invested shares and 243,234,200 shares of
overseas-listed foreign-invested shares.
第二十五條 經中國證監會批准的公司發行境外上市外資股和內資股的計劃,公司董事會可以作出分別發
行的實施安排。
Article 25 Upon approval of the plan of issuing overseas-listed foreign shares and domestic shares of
the Company by the China Securities Regulatory Commission, the Board of the Company may make the
share issue arrangements.
公司依照前款規定分別發行境外上市外資股和內資股的計劃,可以自中國證監會批准之日起 15 個月內分
別實施。
The Company may implement its plan of issuing overseas-listed foreign-invested shares and
domestic-invested shares pursuant to the preceding paragraph within fifteen (15) months from the date
of approval by the China Securities Regulatory Commission.
第二十六條 公司在發行計劃確定的股份總數內,分別發行境外上市外資股和內資股的,應當分別一次募
足; 有特殊情況不能一次募足的,經中國證監會批准,也可以分次發行。
Article 26 Where the Company issues H shares and domestic shares respectively within the total
number of shares as stated in the issuance proposal, the respective shares shall be subscribed for in full
at one time. If the requirement of subscription in full at one time cannot be met under special
circumstances, such issue may be in several tranches subject to the approval by the China Securities
Regulatory Commission.
第二十七條 公司或公司的子公司 (包括公司的附屬企業) 不以贈與、墊資、擔保、補償或貸款等形式,對
購買或者擬購買公司股份的人提供任何資助。
Article 27 The Company and its branches (including any subsidiary of the Company) shall not provide
any assistance, by way of donation, advanced payment, guarantee, compensation or loan, etc., to a
person who is acquiring or is proposing to acquire shares of the Company.
第二節 股份增減和回購
Section 2 Increase/Deduction of Capital and Repurchase of Shares
第二十八條 公司根據經營和發展的需要,依照法律、法規的規定,經股東大會分別作出決議,可以採用
下列方式增加資本:
Article 28 The Company may, based on its operational and development needs and in accordance with
the relevant provisions of laws and regulations, approve an increase of capital in the following manners
upon respective resolutions at general meetings:
(一) 公開發行股份;
by public issuance of shares;
(二) 非公開發行股份;
by non-public issuance of shares;
(三) 向現有股東派送紅股;
by allotting bonus shares to its existing shareholders;
(四) 以公積金轉增股本;
by capitalizing its capital reserve;
8
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(五) 法律、行政法規規定以及中國證監會批准的其他方式。
by any other means which is permitted by laws, administrative regulations and authorized by the
China Securities Regulatory Commission.
公司增資發行新股,按照本章程的規定批准後,根據國家有關法律、行政法規規定及上市地證券監管機構
規定的程序辦理。
The Company’s increase of capital by issuing new shares shall, after being approved in accordance with
the provisions of the Articles of Association, be conducted in accordance with the procedures stipulated
by relevant laws, administrative regulations of the State and the securities regulatory authority where the
Company is listed.
第二十九條 公司可以減少註冊資本。公司減少註冊資本,應當按照《公司法》和其他有關規定以及本章
程規定的程序辦理。
Article 29 The Company may reduce its registered capital. The Company may reduce its registered
capital in accordance with the Company Law and other relevant regulations and the procedures set out
in the Articles of Association.
第三十條 公司在下列情況下,可以依照法律、行政法規、部門規章和本章程的規定,收購本公司的股份:
Article 30 The Company may, in accordance with the provisions of laws, administrative regulations,
departmental rules and the Articles of Association, purchase the shares of the Company under the
following circumstances:
(一) 減少公司註冊資本;
reducing the registered capital of the Company;
(二) 與持有本公司股票的其他公司合併;
merging with another company that holds shares in the Company;
(三) 將股份獎勵給本公司職工;
granting shares to employees of the Company as incentives;
(四) 股東因對股東大會作出的公司合併、分立決議持異議,要求公司收購其股份的;
acquiring shares held by shareholders (upon their request) who vote against any resolution
proposed in any general meeting on the merger or division of the Company;
(五) 法律、行政法規許可的其他情況。
other circumstances as permitted by laws and administrative regulations.
除上述情形外,公司不進行買賣本公司股份的活動。
The Company shall not engage in the trading of its shares save for the circumstances specified above.
第三十一條 公司收購本公司股份,可以選擇下列方式之一進行:
Article 31 The Company may conduct the repurchase in one of the following manners:
(一) 向全體股東按照相同比例發出購回邀約;
make a pro rata general offer of repurchase to all of its shareholders;
(二) 在證券交易所通過公開交易方式購回;
repurchase shares through public trading on a stock exchange;
(三) 在證券交易所以外以協議方式購回;
repurchase through an off-market agreement;
(四) 法律、行政法規及上市地證券監管機構許可的其他形式
other means as permitted by the laws, administrative regulations and securities regulatory
authority where the Company is listed.
9
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第三十二條 公司因本章程第三十條第 (一) 項至第 (三) 項的原因收購本公司股份的,應當經股東大會決
議。公司依照第三十條規定收購本公司股份後,屬於第 (一) 項情形的,應當自收購之日起 10 日內註銷; 屬
於第 (二) 項、第 (四) 項情形的,應當在 6 個月內轉讓或者註銷。
Article 32 For any share purchases by the Company pursuant to the provisions, shares purchased
under item (i) of Article 30 shall be cancelled within ten (10) days from the date of acquisition; for those
circumstances described under items (ii) and (iv), the shares shall be transferred or cancelled within six
(6) months.
公司依照第三十條第 (三) 項規定收購的本公司股份,將不超過本公司已發行股份總額的 5%; 用於收購的
資金應當從公司的稅後利潤中支出; 所收購的股份應當 1 年內轉讓給職工。
For those circumstances described under item (iii), the purchase shall not exceed 5% of the total number
of shares of the Company in issue; payment by the Company for repurchase shall be made out of the
after-tax profit of the Company; and the shares purchased shall be transferred to the employees within
one (1) year.
第三十三條 公司在證券交易所外以協議方式購回股份時,應當事先經股東大會按本章程的規定批准。經
股東大會以同一方式事先批准,公司可以解除或者改變經前述方式已訂立的合同,或者放棄其合同中的任
何權利。
Article 33 Where the Company repurchases its shares through an off-market agreement, it shall seek
prior approval of the shareholders at general meeting in accordance with the Articles of Association. The
Company may release or vary a contract so entered into by the Company or waive its rights thereunder
with prior approval by shareholders at general meeting obtained in the same manner.
前款所稱購回股份的合同,包括 (但不限於) 同意承擔購回股份義務和取得購回股份權利的協議。
The contract to repurchase shares as referred to in the preceding paragraph includes, but not limited to,
an agreement to become obliged to repurchase or to acquire the right to repurchase shares.
公司不得轉讓購回其股份的合同或者合同中規定的任何權利。
The Company shall not assign a contract for repurchasing its shares or any of its rights thereunder.
對於公司有權購回可贖回股份,如非經市場或以招標方式購回,其價格必須限定在某一最高價格; 如以招
標方式購回,則必須以同等條件向全體股東提出招標建議。
With regard to the redeemable shares that the Company has the right to repurchase, if they are not
repurchased via market or the way of bidding, the price of these shares shall be restricted to a the
highest price within a certain extent; if they are repurchased via the way of bidding, the proposal for
bidding must be proposed to all shareholders on equal conditions.
第三十四條 公司依法購回股份後,應當在法律、行政法規規定的期限內,註銷該部分股份,並向原公司
登記機關申請辦理註冊資本變更登記。
Article 34 After the Company repurchased its shares pursuant to the laws, it should cancel such part of
the shares within the term specified by the laws and administrative rules and apply to the original registry
of the Company for registration of alteration of the registered capital.
被註銷股份的票面總值應當從公司的註冊資本中核減。
The amount of the Company’s registered share capital shall be reduced by the aggregate par value of
those cancelled shares.
第三十五條 除非公司已經進入清算階段,公司購回其發行在外的股份,應當遵守下列規定:
Article 35 Unless the Company is in the course of liquidation, it must comply with the following
provisions in respect of repurchase of its outstanding shares:
(一) 公司以面值價格購回股份的,其款項應當從公司的可分配利潤帳面餘額、為購回舊股而發行的新股
所得中減除;
where the Company repurchases its shares at par value, payment shall be made out of book
10
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
balance of the distributable profits of the Company or out of proceeds of a fresh issue of shares
made for repurchase;
(二) 公司以高於面值價格購回股份的,相當於面值的部分從公司的可分配利潤帳面餘額、為購回舊股而
發行的新股所得中減除; 高出面值的部分,按照下述辦法辦理:
where the Company repurchases its shares at a premium to their par value, payment representing
the par value shall be made out of the book balance of distributable profits of the Company or out
of the proceeds of a fresh issue of shares made for repurchase. The premium in excess of the par
value shall be handled as follows:
(1) 購回的股份是以面值價格發行的,從公司的可分配利潤帳面餘額中減除;
if the shares being repurchased were issued at par value, payment shall be made out of the
book balance of the distributable profits of the Company;
(2) 購回的股份是以高於面值的價格發行的,從公司的可分配利潤帳面餘額、為購回舊股而發行的
新股所得中減除; 但是從發行新股所得中減除的金額,不得超過購回的舊股發行時所得的溢價
總額,也不得超過購回時公司溢價帳戶 (或資本公積金帳戶) 上的金額 (包括發行新股的溢價
金額) ;
if the shares repurchased were issued at a premium to their par value, payment shall be
made out of the book balance of the distributable profits of the Company or out of the
proceeds of a fresh issue of shares made for that purpose, provided that the amount paid out
of the proceeds of the fresh issue shall not exceed the aggregate of premiums received by
the Company on the issue of the shares repurchased nor the amount of the Company’s share
premium account (or capital reserve account) (including the premiums on the fresh issue) at
the time of such repurchase;
(三) 公司為下列用途所支付的款項,應當從公司的可分配利潤中支出:
payment by the Company in consideration of the following shall be made out of the Company’s
distributable profits:
(1) 取得購回其股份的購回權;
acquisition of rights to repurchase shares of the Company;
(2) 變更購回其股份的合同;
variation of any contract for repurchasing shares of the Company;
(3) 解除其在購回合同中的義務。
release of any of the Company’s obligations under any contract for repurchasing its shares;
(四) 被註銷股份的票面總值根據有關規定從公司的註冊資本中核減後,從可分配的利潤中減除的用於購
回股份面值部分的金額,應當計入公司的溢價帳戶 (或資本公積金帳戶) 中。
after the Company’s registered share capital has been reduced by the total par value of the
cancelled shares in accordance with the relevant provisions, the amount deducted from the
distributable profits for payment of the par value portion of the shares repurchased shall be
transferred to the Company’s share premium account (or its capital reserve account).
第三節 股份轉讓
Section 3 Transfer of Shares
第三十六條 除法律、行政法規、本章程和公司股票上市地證券監管機構的相關規定另有規定外,公司的
股份可以自由轉讓,並不附帶任何留置權。
Article 36 Unless otherwise provided by laws, administrative regulations, the Articles of Association and
securities regulatory authority where the shares of the Company are issued, shares of the Company are
freely transferable and are not subject to any lien.
11
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第三十七條 所有股本已繳清的在香港聯交所上市的境外上市外資股,皆可依據本章程自由轉讓,亦不附
帶任何留置權。但是,除非符合下列條件,否則董事會可拒絕承認任何轉讓文件,並無需申述任何理由:
Article 37 All H shares listed in HKEX which have been fully paid up, may be freely transferred in
accordance with the Company’s Articles of Association and are not subject to any lien; provided,
however, unless such transfer complies with the following requirements, the Board of Directors may
refuse to recognize any instrument of transfer and will not need to provide any reason therefore:
(一) 與任何股份所有權有關的或會影響股份所有權的轉讓文件及其他文件,均須登記,並須就登記向本
公司支付費用,惟費用不得超過香港聯交所不時規定的最高費用;
transfer documents and other documents, which bear relation with ownership of any share or shall
affect such ownership, shall be registered, and the expense for registration shall be paid to the
company, which shall not exceed the highest expense set by the HKEX from time to time;
(二) 轉讓文件只涉及在香港聯交所上市的境外上市外資股;
the instrument of transfer involves only the H shares listed in HKEX;
(三) 轉讓文件已付應繳香港法律要求的印花稅;
the stamp duty payable by the laws of Hong Kong on the instrument of transfer has been paid;
(四) 應當提供有關的股票,以及董事會所合理要求的證明轉讓人有權轉讓股份的證據;
the relevant share certificates and evidence reasonably required by the Board showing that the
transferor has the right to transfer such shares shall be provided;
(五) 如股份擬轉讓予聯名持有人,則聯名登記的股東人數不得超過四名;
if the shares are to be transferred to joint holders, the number of such joint shareholders shall not
exceed four (4);
(六) 有關股份沒有附帶任何本公司的留置權。
the Company does not have any lien over the relevant shares.
所有在香港上市的 H shares 的轉讓皆應採用一般或普通格式或任何其他為董事會接受的格式的書面轉讓
文據 (包括香港聯交所不時規定的標準轉讓格式或過戶表格) ; 可以只用人手籤署轉讓文據,或 (如出讓方
或受讓方為公司) 蓋上公司的印章。如出讓方或受讓方為依照香港法律不時生效的有關條例所定義的認可
結算所 (簡稱「認可結算所」) 或其代理人,轉讓表格可用人手籤署或機印形式籤署。
All H shares listed in Hong Kong shall be transferred by an instrument in writing in any usual or common
form or any other form which the Board may approve (including the prescribed form or transfer form of
HKEX from time to time) The instrument of transfer may be executed either by hand or (if the transferor
or the transferee is a company) affixed with the Company’s seal.
如果公司拒絕登記股份轉讓,公司應在轉讓申請正式提出之日起 2 個月內給轉讓人和承讓人一份拒絕登記
該股份轉讓的通知。
If the Company refuses to register the transfer of shares, it shall provide a notice of refusal of such
transfer of shares to the transferor and the transferee within two (2) months from the date of the formal
application of such transfer is submitted.
所有轉讓文據應備置於 the 「Company Law」 定地址或董事會不時指定的地址。
All transfer instruments shall be placed at the legal address of the Company or any address specified by
the Board from time to time.
第三十八條 公司不接受本公司的股票作為質押權的標的。
Article 38 The Company shall not accept any shares of the Company as the subject of pledge.
第三十九條 發起人持有的本公司股份,自公司成立之日起 1 年內不得轉讓。公司公開發行股份前已發行
的股份,自公司股票在證券交易所上市交易之日起 1 年內不得轉讓。
Article 39 Shares of the Company held by the promoters shall not be transferred within one (1) year
12
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
from the date of the establishment of the Company. The shares of the Company prior to the Company’s
public issuance shall not be transferred within 1 year from the date the shares of the Company being
listed and traded on the stock exchange(s).
公司董事、監事、高級管理人員應當向公司申報所持有的本公司的股份及其變動情況,在任職期間每年轉
讓的股份不得超過其所持有本公司股份總數的 25%; 所持本公司股份自公司股票上市交易之日起 1 年內不
得轉讓。上述人員離職後半年內,不得轉讓其所持有的本公司股份。
The Directors, supervisors and senior management of the Company shall report to the Company their
shareholdings held by them and changes therein and shall not transfer more than 25% per year of the
total number of shares of the Company held by them during their tenure. The shares of the Company
held by them shall not be transferred within one (1) year from the date the shares of the Company being
listed and traded on the stock exchange(s). The aforesaid person(s) shall not transfer the shares of the
Company held by them within six (6) months commencing from the termination of their service.
第四十條 公司董事、監事、高級管理人員、持有本公司股份 5%以上的股東,將其持有的本公司股票在買
入後 6 個月內賣出,或者在賣出後 6 個月內又買入,由此所得收益歸本公司所有,本公司董事會將收回其
所得收益。但是,證券公司因包銷購入售後剩餘股票而持有 5%以上股份的,賣出該股票不受 6 個月時間
限制。
Article 40 Any gains from sale of shares of the Company by any Directors, supervisors, senior
management or shareholders holding 5% or more of the shares of the Company within six (6) months
after their purchase of the same, and any gains from purchase of shares of the Company by any of the
aforesaid parties within six (6) months after sale of the same shall be disgorged and paid to the Company.
The Board of the Company shall forfeit such gains from the abovementioned parties. However, if a
securities company holds 5% or more shares by taking up the remaining shares not subscribed pursuant
to an underwriting arrangement, the six (6) month moratorium shall not apply.
公司董事會不按照前款規定執行的,股東有權要求董事會在 30 日內執行。公司董事會未在上述期限內執
行的,股東有權為了公司的利益以自己的名義直接向人民法院提起訴訟。
Where the Board of the Company fails to observe the preceding paragraph, the shareholders shall be
entitled to request the Board to enforce the same within thirty (30) days. If the Board of the Company
fails to do so within the aforesaid time limit, the shareholders are entitled to directly initiate court
proceedings at the People’s Court in their own name for the interests of the Company.
公司董事會不按照第一款的規定執行的,負有責任的董事依法承擔連帶責任。
Where the Board of the Company fails to comply with the requirements set out in the first paragraph of
this Article, the responsible Director(s) shall assume joint and several liabilities under the law.
第四章 購買公司股份的財務資助
Chapter 4 Financial Assistance for Acquisition of the Company’s
Shares
第四十一條 公司或者其子公司在任何時候均不應當以任何方式,對購買或者擬購買公司股份的人提供任
何財務資助。前述購買公司股份的人,包括因購買公司股份而直接或者間接承擔義務的人。
Article 41 The Company and its subsidiaries shall not, by any means at any time, provide any kind of
financial assistance to a person who is acquiring or is proposing to acquire shares of the Company. The
said acquirer of shares of the Company includes a person who directly or indirectly assumes any
obligations due to the acquisition of shares of the Company.
公司或者其子公司在任何時候均不應當以任何方式,為減少或者解除前述義務人的義務向其提供財務資
助。
13
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
The Company and its subsidiaries shall not, by any means and at any time, provide financial assistance
to the said obligor for the purpose of reducing or discharging the obligations assumed by that person.
本條規定不適用於本章程第四十三條所述的情形。
The provisions in this Article shall not apply to the circumstances stated in the Article 43.
第四十二條 本章程所稱財務資助,包括 (但不限於) 下列方式:
Article 42 The term 「financial assistance」 referred to in this Chapter includes (but not limited to) the
following means:
(一) 饋贈;
gift;
(二) 擔保 (包括由保證人承擔責任或者提供財產以保證義務人履行義務) 、補償 (但是不包括因公司本身
的過錯所引起的補償) 、解除或者放棄權利;
guarantee (including the assumption of liability by the guarantor or the provision of assets by the
guarantor to secure the performance of obligations by the obligor), or compensation (other than
compensation incurred owing to the Company’s own default) or release or waiver of any rights;
(三) 提供貸款或者訂立由公司先於他方履行義務的合同,以及該貸款、合同當事方的變更和該貸款、合
同中權利的轉讓等;
provision of loan or any other agreement under which the obligations of the Company are to be
fulfilled prior to the obligations of another party, or a change in the parties to, or the assignment of
rights arising under, such loan or agreement;
(四) 公司在無力償還債務、沒有淨資產或者將會導致淨資產大幅度減少的情形下,以任何其他方式提供
的財務資助。
any other form of financial assistance given by the Company when the Company is insolvent or
has no net assets or when its net assets would thereby be reduced to a material extent.
本章所稱承擔義務,包括義務人因訂立合同或者作出安排 (不論該合同或者安排是否可以強制執行,也不
論是由其個人或者與任何其他人共同承擔) ,或者以任何其他方式改變了其財務狀況而承擔的義務。
The expression 「assuming an obligation」 referred to in this Chapter includes the assumption of
obligations by the changing of the obligor’s financial position by way of contract or the making of an
arrangement (whether enforceable or not, and whether made on its own account or with any other
persons), or by any other means.
第四十三條 下列行為不視為第四十一條禁止的行為:
Article 43 The following activities shall not be deemed to be activities as prohibited in Article 41:
(一) 公司提供的有關財務資助是誠實地為了公司利益,並且該項財務資助的主要目的不是為購買本公司
股份,或者該項財務資助是公司某項總計劃中附帶的一部分;
the financial assistance by the Company is given in good faith in the interest of the Company, and
the principal purpose of giving the financial assistance is not for the acquisition of shares of the
Company, or the giving of the financial assistance is an ancillary part of a master plan of the
Company;
(二) 公司依法以其財產作為股利進行分配;
the lawful distribution of the Company’s assets by way of dividend;
(三) 以股份的形式分配股利;
the allotment of shares as dividends;
(四) 依據公司章程減少註冊資本、購回股份、調整股權結構等;
a reduction of registered capital, repurchase of shares or reorganization of the share capital
structure of the Company effected in accordance with the Articles of Association;
14
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(五) 公司在其經營範圍內,為其正常的業務活動提供貸款 (但是不應當導致公司的淨資產減少,或者即使
構成了減少,但該項財務資助是從公司的可分配利潤中支出的) ;
the lending of money by the Company within its scope of business and in the ordinary course of its
business (provided that the net assets of the Company are not thereby reduced or that, to the
extent that the assets are reduced, the financial assistance is provided out of the distributable
profits of the Company);
(六) 公司為職工持股計劃提供款項 (但是不應當導致公司的淨資產減少,或者即使構成了減少,但該項財
務資助是從公司的可分配利潤中支出的) 。
the provision of money by the Company for contributions to staff and workers』 share schemes
(provided that the net assets of the Company are not thereby reduced or that, to the extent that the
assets are reduced, the financial assistance is provided out of the distributable profits of the
Company).
第五章 股票和股東名冊
Chapter 5 Share Certificates and Register of Shareholders
第四十四條 公司股票採用記名式。
Article 44 The Company’s share certificates shall be in registered form.
公司股票應當載明的事項,除《公司法》規定的外,還應當包括公司股票上市的證券交易所要求載明的其
他事項。
The share certificates of the Company shall, in addition to those provided in the Company Law, contain
other items required to be specified by the stock exchange(s) on which the shares of the Company are
listed.
第四十五條 股票由董事長籤署。公司股票上市的證券交易所要求公司其他高級管理人員籤署的,還應當
由其他有關高級管理人員籤署。股票經加蓋公司印章或以印刷形式加蓋印章後生效。在股票上加蓋公司印
章或公司證券印章,應當有董事會的授權。公司董事長或者其他有關高級管理人員在股票上的籤字也可以
採取印刷形式。
Article 45 The share certificates shall be signed by the chairman of the Board. Where the stock
exchange on which the shares of the Company are listed requires the share certificates to be signed by
other senior management of the Company, the share certificates shall also be signed by the other senior
management. The share certificates shall take effect after being affixed with the seal of the Company or
after being affixed with the seal of the Company in printed form. The share certificates shall only be
affixed with the Company’s seal or the security seal of the Company under the authorization of the Board.
The signatures of the chairman of the Board of the Company or other relevant senior management on
the share certificates may also be in printed form.
第四十六條 公司股票在無紙化發行和交易的條件下,適用公司股票上市地證券監管機構的另行規定。
Article 46 Under the circumstance of paperless issuance and trade, the shares of the Company are
applicable for The provisions otherwise provided by the securities regulatory authority where the shares
of the Company are listed, shall be applicable to the circumstance of paperless issuance and trade.
第四十七條 公司依據境內證券登記機構提供的憑證建立內資股股東名冊。公司應當設立境外上市外資股
股東名冊,登記以下事項:
Article 47 The Company shall establish the register of shareholders of domestic-invested shares with
the information provided by the securities registration organ in China. The Company shall keep a register
of shareholders of H shares and shall contain the following particulars:
(一) 各股東的姓名 (名稱) 、地址 (住所) 、職業或性質;
the name, address (domicile), occupation or nature of each shareholder;
15
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(二) 各股東所持股份的類別及其數量;
the class and number of shares held by each shareholder;
(三) 各股東所持股份已付或者應付的款項;
the amount paid-up or payable in respect of shares held by each shareholder;
(四) 各股東所持股份的編號;
the serial numbers of the shares held by each shareholder;
(五) 各股東登記為股東的日期;
the date on which a person registers as a shareholder;
(六) 各股東終止為股東的日期。
the date on which a person ceases to be a shareholder;
股東名冊為證明股東持有公司股份的充分證據; 但是有相反證據的除外。
The register of shareholders shall be sufficient evidence of the holding of the Company’s shares by a
shareholder, unless there is evidence to the contrary.
所有境外上市外資股的行為或轉讓將登記於根據本章程的規定存放於上市地的境外上市外資股股東名冊。
The issue or transfer of the Company’s H shares will be registered in the register of holders of H shares,
where the shares are listed, as provided under this Articles of Association hereof.
第四十八條 公司可以依據中國證券監督管理機構與境外證券監管機構達成的諒解、協議,將境外上市外
資股股東名冊存放在境外,並委託境外代理機構管理。有關香港聯交所掛牌上市的境外上市外資股股東的
股東名冊正本應當存放在香港。
Article 48 The Company may, in accordance with mutual understanding and agreements made between
the securities regulatory authority of China and overseas securities regulatory authority, maintain the
register of shareholders of H shares overseas and appoint overseas agent(s) for management. The
original register of shareholders for holders of H Shares shall be maintained in Hong Kong. The original
register of holders of H shares listed in HKEX shall be maintained in Hong Kong.
公司應當將境外上市外資股東名冊的副本備置於公司住所; 受委託的境外代理機構應當隨時保證境外上市
外資股股東名冊正、副本的一致性。
The Company shall maintain a duplicate of the register of holders of H shares at the Company’s domicile;
the appointed overseas agent(s) shall ensure the consistency between the original and the duplicate of
the register of holders of H shares at all times.
境外上市外資股股東名冊正、副本的記載不一致時,以正本為準。
If there is any inconsistency between the original and the duplicate of the register of holders of H shares,
the original version shall prevail.
第四十九條 公司應當保存有完整的股東名冊。
Article 49 The Company shall keep a complete register of shareholders.
股東名冊包括下列部分:
The register of shareholders shall include the following:
(一) 存放在公司住所的、除本款 (二) 、 (三) 項規定以外的股東名冊;
the register of members maintained at the Company’s domicile other than those parts as described
in items (ii) and (iii) of this Article;
(二) 存放在境外上市的證券交易所所在地的公司境外上市外資股股東名冊;
the register of members in respect of the holders of H shares of the Company maintained at the
place where the overseas stock exchange on which the shares are listed is located;
16
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(三) 董事會為公司股票上市的需要而決定存放在其他地方的股東名冊。
the register of members maintained at such other place as the Board may consider necessary for
the purpose of listing of the Company’s shares.
第五十條 股東名冊的各部分應當互不重疊。在股東名冊某一部分註冊的股份的轉讓,在該股份註冊存續
期間不得註冊到股東名冊的其他部分。
Article 50 Different parts of the register of shareholders shall not overlap one another. No transfer of the
shares registered in any part of the register shall, during the existence of that registration, be registered
in any other part of the register of members.
股東名冊各部分的更改或者更正,應當根據股東名冊各部分存放地的法律進行。
Alteration or rectification of each part of the register of shareholders shall be made in accordance with
the laws of the place where that part of the register of members is maintained.
第五十一條 股東大會召開前三十日內或者公司決定分配股利的基準日前五日內,不得進行因股份轉讓而
發生的股東名冊的變更登記。
Article 51 Transfers of shares may not be entered in the register of shareholders within thirty (30) days
prior to the date of a shareholders』 general meeting or within five (5) days before the record date set by
the Company for the purpose of distribution of dividends.
公司股票上市地證券監管機構另有規定的,從其規定。
If the securities regulatory authority where the shares of the Company are listed, have special provisions,
those provisions shall be followed.
第五十二條 任何人對股東名冊持有異議而要求將其姓名 (名稱) 登記在股東名冊上,或者要求將其姓名
(名稱) 從股東名冊中刪除的,均可以向有管轄權的法院申請更正股東名冊。
Article 52 Any person who objects to the register of shareholders and requests to have his name
entered in or removed from the register of shareholders may apply to a competent court for rectification
of the register.
第五十三條 任何登記在股東名冊上的股東或者任何要求將其姓名 (名稱) 登記在股東名冊上的人,如果其
股票 (即「原股票」) 遺失,可以向公司申請就該股份 (即「有關股份」) 補發新股票。
Article 53 Any shareholder who is registered in, or any person who requests to have his name entered
in, the register of shareholders may (if his share certificate (the 「original certificate」) is lost) apply to the
Company for a replacement share certificate in respect of such shares (the 「relevant shares」).
內資股股東遺失股票,申請補發的,依照《公司法》相關規定處理。
If a holder of the domestic-invested shares loses his share certificate and applies for replacement, it
shall be dealt with in accordance with relevant provisions of the Company Law.
境外上市外資股股東遺失股票,申請補發的,可以依照境外上市外資股股東名冊正本存放地的法律、境外
證券交易場所規則或者其他有關規定處理。
If a holder of H shares loses his share certificate and applies for replacement, it may be dealt with in
accordance with the relevant laws, the rules of the overseas stock exchange and other relevant
regulations of the place where the original register of holders of H shares is maintained.
境外上市外資股股東遺失股票申請補發的,其股票的補發應當符合下列要求:
The issue of replacement share certificates to holders of H shares listed who have lost their share
certificates and applied for replacement shall comply with the following requirements:
(一) 申請人應當用公司指定的標準格式提出申請並附上公證書或者法定聲明文件。公證書或者法定聲明
文件的內容應當包括申請人申請的理由、股票遺失的情形及證據,以及無其他任何人可就有關股份
要求登記為股東的聲明。
The applicant shall submit an application to the Company in prescribed form accompanied by a
notarial certificate or statutory declaration, containing the grounds upon which the application is
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
made and the circumstances and evidence of the loss of the share certificates as well as declaring
that no other person shall be entitled to request to be registered as the shareholder in respect of
the relevant shares.
(二) 公司決定補發新股票之前,沒有收到申請人以外的任何人對該股份要求登記為股東的聲明。
No statement has been received by the Company from a person other than the applicant for having
his name registered as a holder of the relevant shares before the Company came to a decision to
issue the replacement share certificate.
(三) 公司決定向申請人補發新股票,應當在董事會指定的報刊上刊登準備補發新股票的公告; 公告期間為
九十日,每三十日至少重複刊登一次。
The Company shall, if it decides to issue a replacement share certificate to the applicant, make an
announcement of its intention to issue the replacement share certificate in such newspapers
designated by the Board. The announcement shall be made at least once every thirty (30) days in
a period of ninety (90) days.
(四) 公司在刊登準備補發新股票的公告之前,應當向其掛牌上市的證券交易所提交一份擬刊登的公告副
本,收到該證券交易所的回覆,確認已在該證券交易所內展示該公告後,即可刊登。公告在該證券
交易所內展示的期間為九十日。
The Company shall have, prior to the publication of its announcement of intention to issue a
replacement certificate, delivered to the stock exchange on which its shares are listed a copy of the
announcement to be published. The Company may publish the announcement upon receiving a
confirmation from such stock exchange that the announcement has been exhibited at the premises
of the stock exchange. The announcement shall be exhibited at the premises of the stock
exchange for a period of ninety (90) days.
如果補發股票的申請未得到有關股份的登記在冊股東的同意,公司應當將擬刊登的公告的複印件郵寄給該
股東。
In case an application to issue a replacement certificate has been made without the consent of the
registered holder of the relevant shares, the Company shall send by post to such registered shareholder
a copy of the announcement to be published.
(五) 本條 (三) 、 (四) 項所規定的公告、展示的九十日期限屆滿,如公司未收到任何人對補發股票的異
議,即可以根據申請人的申請補發新股票。
If, upon expiration of the 90-day period referred to in items (iii) and (iv) of this Article, the Company
has not received from any person any objection to such application, the Company may issue a
replacement share certificate to the applicant according to his application.
(六) 公司根據本條規定補發新股票時,應當立即註銷原股票,並將此註銷和補發事項登記在股東名冊上。
Where the Company issues a replacement certificate under this Article, it shall forthwith cancel the
original certificate and enter the cancellation and issue in the register of members accordingly.
(七) 公司為註銷原股票和補發新股票的全部費用,均由申請人負擔。在申請人未提供合理的擔保之前,公
司有權拒絕採取任何行動。
All expenses relating to the cancellation of an original certificate and the issue of a replacement
share certificate by the Company shall be borne by the applicant. The Company may refuse to take
any action until a reasonable guarantee is provided by the applicant for such expenses.
第五十四條 公司根據公司章程的規定補發新股票後,獲得前述新股票的善意購買者或者其後登記為該股
份的所有者的股東 (如屬善意購買者) ,其姓名 (名稱) 均不得從股東名冊中刪除。
Article 54 Where the Company issues a replacement certificate pursuant to the Articles of Association,
the name of a bona fide purchaser who obtains the aforementioned new share certificate or a
shareholder who thereafter registers as the owner of such shares (in the case that he is a bona fide
purchaser) shall not be removed from the register of shareholders.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第五十五條 公司對於任何由於註銷原股票或者補發新股票而受到損害的人均無賠償義務,除非該當事人
能證明公司有欺詐行為。
Article 55 The Company shall not be liable for any damages sustained by any person by reason of the
cancellation of the original certificate or the issuance of the replacement certificate, unless the claimant
proves that the Company had acted fraudulently.
第六章 股東和股東大會
Chapter 6 Shareholders and Shareholders』 General Meeting
第一節 股 東
Section 1 Shareholders
第五十六條 公司股東為依法持有公司股份並且其姓名 (名稱) 登記在股東名冊上的人。
Article 56 A shareholder of the Company is a person who lawfully holds shares of the Company and
whose name is entered in the register of shareholders.
股東按其所持有股份的種類享有權利,承擔義務; 持有同一種類股份的股東,享有同等權利,承擔同種義
務。
A shareholder shall enjoy the relevant rights and assume the relevant obligations in accordance with the
class and number of shares held. Shareholders holding the same class of shares shall be entitled to the
same rights and assume the same obligations.
如兩個以上的人登記為任何股份的聯名股東,他們應被視為有關股份的共同共有人,但必須受以下條款限
制:
If two or more people are registered as any of the joint holders of the share certificates, they shall be
deemed as the joint owners of relevant share certificates, but shall be restricted by the following items:
(一) 公司不應將超過四名人士登記為任何股份的聯名股東;
The Company shall register no more than four people as the joint holder of any share;
(二) 任何股份的所有聯名股東應對支付有關股份所應付的所有金額承擔連帶責任;
The joint holders of any shares shall jointly assume the liability to pay for all amounts payable for
the relevant shares.
(三) 如聯名股東之一死亡,則只有聯名股東中的其他尚存人士應被公司視為對有關股份擁有所有權的人,
但董事會有權為修改股東名冊之目的而要求提供其認為恰當的死亡證明文件;
if one of the joint shareholders is deceased, only the other surviving joint shareholders shall be
deemed as the persons who have the ownership of the relevant shares. But the Board has the
power to require them to provide a certificate of death of the relevant shareholder as necessary for
the purpose of modifying the relevant register of shareholders.
就任何股份的聯名股東而言,只有在股東名冊上排名首位的聯名股東有權從公司收取有關股份的股票,收
取公司的通知,出席公司股東大會或行使有關股份的全部表決權,而任何送達前述人士的通知應被視為已
送達有關股份的所有聯名股東。
. In respect of any of the joint holders of the shares certificates, only the joint shareholder ranking first in
the register of shareholders have the right to accept certificates of the relevant shares from the Company,
receive notices of the Company, attend and vote at shareholders』 general meetings of the Company. Any
notice which is delivered to the aforesaid shareholder shall be deemed to have been delivered to all the
joint shareholders of the relevant shares.
第五十七條 公司召開股東大會、分配股利、清算及從事其他需要確認股東身份的行為時,由董事會或股
東大會召集人確定股權登記日,股權登記日收市後登記在冊的股東為享有相關權益的股東。
Article 57 When the Company intends to convene a shareholders』 general meeting, distribute dividends,
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
liquidate and engage in other activities that involve determination of shareholdings, the Board or the
convener of the shareholders』 general meeting shall decide on the date for the determination of rights
attaching to shares in the Company. Shareholders whose names appear in the register of shareholders
at the end of the record date are considered shareholders of the Company who are entitled to relevant
rights.
第五十八條 公司普通股股東享有下列權利:
Article 58 The ordinary shareholders of the Company shall be entitled to the following rights:
(一) 依照其所持有的股份份額獲得股利和其他形式的利益分配;
the right to dividends and other forms of distribution in proportion to the number of shares held;
(二) 依法請求、召集、主持、參加或者委派股東代理人參加股東大會,並行使相應的表決權;
the right to propose, convene and preside over, to attend or appoint a proxy to attend shareholders』
general meetings and to exercise the corresponding voting right in accordance with laws;
(三) 對公司的業務經營活動進行監督,提出建議或者質詢;
the right to supervise the business activities of the Company and to put forward proposals and raise
inquiries;
(四) 依照法律、行政法規、規範性文件、上市地證券監管機構的相關規定及本章程的規定轉讓、贈與或質
押其所持有的股份;
the right to transfer, donate, or pledge shares held by them in accordance with the laws,
administrative regulations, regulatory documents, provisions of securities regulatory authority
where the Company is listed and provisions of the Articles of Association;
(五) 依照本章程的規定獲得有關信息,包括:
the right to obtain relevant information in accordance with the provisions of the Articles of
Association, including:
(1) 在繳付成本費用後得到公司章程;
to obtain a copy of the Articles of Association, subject to payment of the cost of such copy;
(2) 在繳付了合理費用後有權查閱和複印:
to inspect and copy, subject to payment of a reasonable charge:
(i) 所有各部分股東的名冊;
all parts of the register of shareholders;
(ii) 公司董事、監事、總經理和其他高級管理人員的個人資料,包括:(a) 現在及以前的姓名、
別名; (b) 主要地址 (住所) ; (c)國籍; (d)專職及其他全部兼職的職業、職務; 和(e)身份證
明文件及其號碼;
personal particulars of each of the Company’s Directors, supervisors, general manager
and other senior management including: (a) present name and alias and any former
name and alias; (b) principal address (domicile); (c) nationality; (d) primary and all other
part-time occupations; and (e) identification document and its number;
(iii) 公司股本狀況;
report on the state of the Company’s share capital;
(iv) 自上一會計年度以來公司購回自己每一類別股份的票面總值、數量、最高價和最低價,
以及公司為此支付的全部費用的報告;
reports showing the aggregate par value, quantity, maximum and minimum price paid in
respect of each class of shares repurchased by the Company since the end of the last
accounting year and the aggregate costs paid by the Company for this purpose;
20
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(v) 公司債券存根;
counterfoils of company debt securities;
(vi) 財務會計報告; 及
financial reports; and
(vii) 股東大會會議記錄、董事會會議決議、監事會會議決議;
minutes of shareholders』 general meetings, resolutions of Boarding meetings,
resolutions of Board of Supervisors meetings;
(六) 公司終止或者清算時,按其所持有的股份份額參加公司剩餘財產的分配;
in the event of the termination or liquidation of the Company, to participate in the distribution of
remaining assets of the Company in accordance with the number of shares held;
(七) 對股東大會作出的公司合併、分立決議持異議的股東,要求公司收購其股份;
with respect to shareholders who vote against any resolution adopted at the shareholders』 general
meeting on the merger or division of the Company, the right to demand the Company to acquire the
shares held by them;
(八) 法律、行政法規、部門規章或本章程規定的其他權利。
other rights conferred by laws, administrative regulations, departmental rules or the Articles of
Association.
第五十九條 股東提出查閱前條所述有關信息或者索取資料的,應當向公司提供證明其持有公司股份的種
類以及持股數量的書面文件,公司經核實股東身份後按照股東的要求予以提供。
Article 59 Shareholders demanding inspection of the relevant information or copies of the materials
mentioned in the preceding provision shall provide to the Company written documents evidencing the
class and number of shares of the Company they hold. Upon verification of the shareholder’s identity,
the Company shall provide such information at the shareholder’s request.
不得只因任何直接或間接擁有權益的人士並無向公司披露其權益而行使任何權力以凍結或以其他方式損
害其所持任何股份附有的權利。
The Company may not exercise any power to freeze or infringe in any other way the rights carried by any
share held by any person who enjoys interests directly or indirectly merely for the reason that he has not
disclosed his interests to the Company.
第六十條 公司股東大會、董事會決議內容違反法律、行政法規的,股東有權請求人民法院認定無效。
Article 60 If a resolution passed at the Company’s general meeting or Board meeting violates the laws
or administrative regulations, the shareholders shall have the right to initiate proceeding to the People’s
Court to render the same invalid.
股東大會、董事會的會議召集程序、表決方式違反法律、行政法規或者本章程,或者決議內容違反本章程
的,股東有權自決議作出之日起 60 日內,請求人民法院撤銷。
If the procedures for convening, or the method of voting at, a shareholders』 general meeting or Board
meeting violate the laws, administrative regulations or the Articles of Association, or the contents of a
resolution violate the Articles of Association, shareholders shall be entitled to initiate proceeding to the
People’s Court to rescind such resolutions within sixty (60) days from the date on which such resolution
is adopted.
第六十一條 董事、高級管理人員執行公司職務時違反法律、行政法規或者本章程的規定,給公司造成損
失的,連續 180 日以上單獨或合併持有公司 1%以上股份的股東有權書面請求監事會向人民法院提起訴訟;
監事會執行公司職務時違反法律、行政法規或者本章程的規定,給公司造成損失的,股東可以書面請求董
事會向人民法院提起訴訟。
Article 61 Where the Company incurs losses as a result of Directors』 and senior management’s violation
of the laws, administrative regulations or the Articles of Association in the course of performing their
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
duties with the Company, shareholders individually or jointly holding 1% or more of the Company’s
shares for more than 180 consecutive days shall be entitled to request in writing the Board of
Supervisors to initiate proceedings in the People’s Court. Where the Company incurs losses as a result
of the Board of Supervisors’s violation of any provision of laws, administrative regulations or the Articles
of Association in the course of performing its duties with the Company, the shareholders shall be entitled
to make a request in writing to the Board to initiate proceedings in the People’s Court.
監事會、董事會收到前款規定的股東書面請求後拒絕提起訴訟,或者自收到請求之日起 30 日內未提起訴
訟,或者情況緊急、不立即提起訴訟將會使公司利益受到難以彌補的損害的,前款規定的股東有權為了公
司的利益以自己的名義直接向人民法院提起訴訟。
In the event that the Board of Supervisors or the Board refuses to initiate proceedings after receiving the
written request of shareholders stated in the foregoing paragraph, or fails to initiate such proceedings
within thirty (30) days from the date on which such request is received, or in case of emergency where
failure to initiate such proceedings immediately will result in irreparable damage to the Company’s
interests, shareholders described in the preceding paragraph shall have the right to initiate proceedings
in the People’s Court directly in their own names in the interest of the Company.
他人侵犯公司合法權益,給公司造成損失的,本條第一款規定的股東可以依照前兩款的規定向人民法院提
起訴訟。
Shareholders described in the first item of this Article may also initiate proceedings in accordance with
the preceding two paragraphs in the event that the Company incurs losses as a result of the lawful
interests of the Company being infringed upon by any third parties.
第六十二條 董事、高級管理人員違反法律、行政法規或者本章程的規定,損害股東利益的,股東可以向
人民法院提起訴訟。
Article 62 Shareholders may initiate proceedings in the People’s Court in the event that a Director or a
senior management has violated the laws, administrative regulations or the Articles of Association,
thereby infringing the interests of shareholders.
第六十三條 公司普通股股東承擔下列義務:
Article 63 The ordinary shareholders of the Company shall assume the following obligations:
(一) 遵守法律、行政法規和本章程;
To abide by laws, administrative regulations and the Articles of Association;
(二) 依其所認購的股份和入股方式繳納股金;
To pay subscription monies according to the number of shares subscribed and the method of
subscription.
(三) 除法律、法規規定的情形外,不得退股;
Not to surrender the shares unless required by the laws and regulations.
(四) 不得濫用股東權利損害公司或者其他股東的利益; 不得濫用公司法人獨立地位和股東有限責任損害
公司債權人的利益;
Not to abuse their shareholders』 rights to harm the interests of the Company or other shareholders;
and not to abuse the independent legal person status of the Company and the limited liability of
shareholders to harm the interests of any creditor of the Company.
公司股東濫用股東權利給公司或者其他股東造成損失的,應當依法承擔賠償責任。
Shareholders of the Company who abuse their shareholders』 rights and thereby causing loss on the
Company or other shareholders shall be liable for indemnity according to the law.
公司股東濫用公司法人獨立地位和股東有限責任,逃避債務,嚴重損害公司債權人利益的,應當對公司債
務承擔連帶責任。
Where shareholders of the Company abuse the Company’s position as an independent legal person and
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
the limited liability of shareholders for the purposes of evading repayment of debts, thereby materially
impairing the interests of the creditors of the Company, such shareholders shall be jointly and severally
liable for the debts owed by the Company.
(五) 法律、行政法規及本章程規定應當承擔的其他義務。
other obligations imposed by laws, administrative regulations and the Articles of Association.
股東除了股份的認購人在認購時所同意的條件外,不承擔其後追加任何股本的責任。
Shareholders are not liable to make any further contribution to the share capital other than as agreed by
the subscribers of the relevant shares on subscription.
第六十四條 持有公司 5%以上有表決權股份的股東,將其持有的股份進行質押的,應當自該事實發生當日,
向公司作出書面報告。
Article 64 Where a shareholder holding 5% or more voting shares of the Company pledges any shares
in his possession, he shall report the same to the Company in writing on the day on which he pledges his
shares.
第六十五條 公司的控股股東、實際控制人員不得利用其關聯關係損害公司利益。違反規定的,給公司造
成損失的,應當承擔賠償責任。公司的控股股東應與公司實行人員、資產、財務分開,實現機構、業務、
人員獨立,各自獨立核算、獨立承擔責任和風險。
Article 65 The controlling shareholder and the de facto controller of the Company shall not use their
connected relationship to act in detriment to the interests of the Company. If they have violated the
provision and caused damage to the Company, they shall be liable for such damages. The controlling
shareholders of the Company shall be separated with staff, assets and finance of the Company, for the
purpose of independence in organization, business and personnel, independent accounting,
independent bearing of liability and risks.
公司的控股股東應採取有效措施避免同業競爭。
The controlling shareholder of the Company shall take effective measures to avoid horizontal
competition.
公司控股股東及實際控制人對公司和公司社會公眾股股東負有誠信義務。控股股東應嚴格依法行使出資人
的權利,控股股東不得利用利潤分配、資產重組、對外投資、資金佔用、借款擔保等方式損害公司和社會
公眾股股東的合法權益,不得利用其控制地位損害公司和社會公眾股股東的利益。
The controlling shareholder and the de facto controller of the Company shall have fiduciary duties
towards the Company and its public shareholders. The controlling shareholder shall exercise its rights as
a contributor in strict compliance with the law. The controlling shareholder shall not do harm to the lawful
interests of the Company and its public shareholders through profit distribution, asset restructuring,
foreign investment, appropriation of capital, offering loan guarantees and shall not make use of its
controlling status against the interests of the Company and public shareholders.
董事、監事和高級管理人員應維護公司資金的安全,公司董事、高級管理人員協助、縱容控股股東及其附
屬企業侵佔公司資產時,公司董事會視情節輕重對直接責任人給予處分和對負有嚴重責任的董事予以罷免
的程序。
The Directors, supervisors and senior management shall maintain the safety of the funds of the
Company. If the Directors and senior management of the Company help or indulge the controlling
shareholders and their affiliated companies in appropriating the assets of the Company, the Board of
Directors of the Company shall punish the directly responsible individuals according to the seriousness
of the case and dismiss the Directors with serious responsibility.
公司董事會建立對控股股東所持公司股份「佔用即凍結」機制,即發現控股股東侵佔公司資產立即申請司法
凍結,凡不能以現金清償的,通過變現股權償還侵佔資產。公司董事、監事和高級管理人員負有維護公司
資金安全的法定義務,公司財務負責人為「佔用即凍結」機制的具體責任人。公司財務負責人一旦發現公司
23
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
控股股東或者實際控制人及其附屬企業侵佔公司資產,應立即啟動以下程序:
The Board of Directors of the Company shall establish the mechanism of 「freezing immediately after
appropriation」 for the shares held by the controlling shareholders, that means it shall apply for judicial
freezing immediately after finding the controlling shareholders appropriating the assets of the Company,
and the appropriated assets shall be repaid by selling out the stock equities in failing to be paid off in
cash. The Directors, supervisors and senior management of the Company have the legal obligation to
maintain the safety of the funds of the Company. The chief financial officer of the Company shall be the
concrete person in charge of the mechanism of 「freezing immediately after appropriation」. Once finding
the controlling shareholders or actual controllers of the Company and their affiliated companies
appropriating the assets of the Company, the chief financial officer of the Company shall start the
following processes immediately:
(一) 公司財務負責人在發現控股股東侵佔公司資產的當天,應以書面形式報告公司董事長,同時抄送董
事會秘書; 若發現同時存在公司董事、高級管理人員協助、縱容控股股東及其附屬企業侵佔公司資產
情況的,財務負責人在書面報告中還應當寫明所涉及的董事或高級管理人員姓名、協助或縱容控股
股東及其附屬企業侵佔公司資產的情節;
The Chief Financial Officer of the Company shall report to the Chairman of the Board of Directors
of the Company in writing and meanwhile send a carbon copy to the Secretary of the Board of
Directors on the same day when finding the controlling shareholders appropriating the assets of
the Company. If some Directors or senior management of the Company help or indulge the
controlling shareholders and their affiliated companies in appropriating the assets of the Company,
the Chief Financial Officer of the Company shall also specify the names of relevant Directors or
senior management and the circumstances of helping or indulging the controlling shareholders and
their affiliated companies in appropriating the assets of the Company in the written report;
(二) 董事長在收到財務負責人的報告後,應立即召集、召開董事會會議,審議要求控股股東清償的期限、
向相關司法部門申請辦理控股股東股份凍結等相關事宜; 若存在公司董事、高級管理人員協助、縱容
控股股東及其附屬企業侵佔公司資產的情形,公司董事會應視其情節輕重對直接責任人給予處分和
對負有嚴重責任的董事提請股東大會予以罷免。
The Chairman of the Board of Directors of the Company shall call and convene the meeting of the
Board of Directors immediately after receiving the report from the Chief Financial Officer, to review
the time limit for the controlling shareholders to repay and apply to the relevant judicial
departments for handling the relevant matters such as freezing the shares of the controlling
shareholders. If some Directors or senior management of the Company help or indulge the
controlling shareholders and their affiliated companies in appropriating the assets of the Company,
the Board of Directors of the Company shall punish the directly responsible individuals according
to the seriousness of the case and submit the dismissal of the Directors with serious responsibility
to the General Meeting of Stockholders;
(三) 董事會秘書根據董事會決議向控股股東發送限期清償通知,執行對相關董事或高級管理人員的處分
決定、向相關司法部門申請辦理控股股東股份凍結等相關事宜,並做好相關信息披露工作。
The Secretary to the Board of Directors shall send the notice of repaying within a definite time to
the controlling shareholders according to the resolution by the Board of Directors, implement the
decisions of punishing relevant Directors or senior management, apply to the relevant judicial
departments for handling the relevant matters such as freezing the shares of the controlling
shareholders, and disclose relevant information properly;
(四) 若控股股東無法在規定期限內清償,公司應在規定期限到期後 30 日內向相關司法部門申請將凍結股
份變現以償還侵佔資產,董事會秘書做好相關信息披露工作。
If the controlling shareholders are unable to repay within the time limit, the Company shall apply to
the relevant judicial departments for selling out the frozen shares within 30 days after the time limit,
24
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
to pay back the appropriated assets, and the Secretary of the Board of Directors shall disclose
relevant information properly.
除法律、行政法規或者公司股份上市的證券交易所的上市規則所要求的義務外,控股股東在行使其股東的
權力時,不得因行使其表決權在下列問題上作出有損於全體或者部分股東的利益的決定:
In addition to obligations imposed by laws, administrative regulations or required by the listing rules of
the stock exchange on which shares of the Company are listed, a controlling shareholder shall not
exercise his voting rights in respect of the following matters in a manner prejudicial to the interests of all
or some of the shareholders of the Company:
(一) 免除董事、監事應當真誠地以公司最大利益為出發點行事的責任;
to relieve a Director or supervisor of his duty to act honestly in the best interests of the Company;
(二) 批准董事、監事 (為自己或者他人利益) 以任何形式剝奪公司財產,包括 (但不限於) 任何對公司有
利的機會;
to approve the expropriation by a Director or supervisor (for his own benefit or for the benefit of
other person(s)), in any manner, of the Company’s assets, including (without limitation)
opportunities beneficial to the Company;
(三) 批准董事、監事 (為自己或者他人利益) 剝奪其他股東的個人權益,包括 (但不限於) 任何分配權、
表決權,但不包括根據公司章程提交股東大會通過的公司改組。
to approve the expropriation by a Director or supervisor (for his own benefit or for the benefit of
other person(s)) of the individual rights of other shareholders, including (without limitation) rights to
distributions and voting rights save for a restructuring of the Company submitted to the general
meeting of shareholders for approval in accordance with the Articles of Association.
第六十六條 本節所稱控股股東是具備以下條件之一的人:
Article 66 The term 「controlling shareholder」 referred to in the Articles of Association means a person
who satisfies any one of the following conditions:
(一) 該人單獨或者與他人一致行動時,可以選出半數以上的董事;
a person who, acting alone or in concert with others, has the power to elect more than half of the
Board members;
(二) 該人單獨或者與他人一致行動時,可以行使公司百分之三十以上 (含百分之三十) 的表決權或者可以
控制公司的百分之三十以上 (含百分之三十) 表決權的行使;
a person who, acting alone or in concert with others, has the power to exercise or to control the
exercise of 30% (inclusive) or more of the voting rights in the Company;
(三) 該人單獨或者與他人一致行動時,持有公司發行在外百分之三十以上 (含百分之三十) 的股份;
a person who, acting alone or in concert with others, holds 30% (inclusive) or more of the issued
and outstanding shares of the Company;
(四) 該人單獨或者與他人一致行動時,以其他方式在事實上控制公司。
a person who, acting alone or in concert with others, has de facto control of the Company in any
other way.
第二節 股東大會的一般規定
Section 2 General Provisions for the Shareholders』 General Meeting
第六十七條 股東大會是公司的權力機構,依法行使下列職權:
Article 67 The shareholders』 general meeting is the organ of authority of the Company and shall
exercise the following functions and powers in accordance with the law:
25
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 決定公司的經營方針和投資計劃;
to decide on the operating policies and investment plans of the Company;
(二) 選舉和更換董事及非由職工代表擔任的監事,決定有關董事、監事的報酬事項;
to elect and replace Directors and he supervisors who are not representatives of the staff, and
decide on matters relating to the remuneration of Directors and supervisors;
(三) 審議批准董事會的報告;
to examine and approve reports of the Board;
(四) 審議批准監事會的報告;
to examine and approve reports of the Board of Supervisors;
(五) 審議批准公司的年度財務預算方案、決算方案;
to examine and approve the Company's proposed annual preliminary financial budgets and final
accounts;
(六) 審議批准公司的利潤分配方案和彌補虧損方案;
to examine and approve the Company's profit distribution plans and plans for making up losses;
(七) 對公司增加或者減少註冊資本作出決議;
to decide on increases or reductions in the Company's registered capital;
(八) 對公司發行債券作出決議;
to decide on the issue of bonds by the Company;
(九) 對公司合併、分立、解散、清算或者變更公司形式作出決議;
to decide on matters such as merger, division, dissolution and liquidation of the Company or
alteration of corporate form;
(十) 修改本章程;
to amend the Articles of Association;
(十一) 對公司聘用、解聘或者不再續聘會計師事務所作出決議;
to adopt resolutions on the Company’s appointments, dismissals or non-reappointments of
accounting firms;
(十二) 審議批准第六十八條規定的擔保事項;
to examine and approve the provision of guarantees under the Article 68;
(十三) 審議公司在一年內購買、出售重大資產、資產抵押、委託理財超過公司最近一期經審計總資產 30%
的事項;
to examine matters relating to the purchases, disposals of the Company’s material assets, asset
pledges and entrusted financial management within one year, which exceed 30% of the Company’s
latest audited total assets;
(十四) 審議批准變更募集資金用途事項;
to examine and approve matters relating to changes in the use of funds raised;
(十五) 審議股權激勵計劃;
to examine the Company’s share incentive schemes;
(十六) 審議需股東大會決定的關聯交易;
to examine connection transactions which shall be decided at the general meeting;
(十七) 審議代表公司發行在外有表決權股份總數的百分之三以上 (含百分之三) 的股東提案;
to examine the proposals submitted by shareholders holding not less than 3% (inclusive) of the
Company’s voting shares;
26
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(十八) 審議法律、行政法規、規範性文件、本章程規定的或公司上市地證券監管機構規定的應當由股東大
會決定的其他事項。
to examine other matters required by laws, administrative regulations, regulatory documents, the
Articles of Association or the security regulatory authority where the Company is listed, to be
resolved by general meeting of shareholders.
第六十八條 公司下列對外擔保行為,須經股東大會審議通過。
Article 68 Any guarantees of the Company shall be subject to approval by the general meeting of
shareholders.
(一) 本公司及本公司控股子公司的對外擔保總額,達到或超過最近一期經審計淨資產的 50%以後提供的
任何擔保;
any guarantee provided after the total amount of guarantee to third parties provided by the
Company and its controlled subsidiaries has reached or exceeded 50% of the Company’s latest
audited net assets;
(二) 公司的對外擔保總額,達到或超過最近一期經審計總資產的 30%以後提供的任何擔保;
any guarantee provided after the total amount of guarantee to third parties provided by the
Company has reached or exceeded 30% of the Company’s latest audited total assets;
(三) 為資產負債率超過 70%的擔保對象提供的擔保;
a guarantee to be provided to a party which has an asset-liability ratio in excess of 70%;
(四) 單筆擔保額超過最近一期經審計淨資產 10%的擔保;
a single guarantee amount in excess of 10% of the Company’s latest audited net assets;
(五) 擔保金額連續十二個月內累計計算原則,超過公司最近一期經審計淨資產的 50%,且絕對金額超過
人民幣 5000 萬元的擔保;
a guarantee exceeding 10% of the Company’s latest audited net assets, with an absolute amount
exceeding RMB 50 million in accordance with the principle of accumulative calculation of
guarantee amount for 12 consecutive months;
(六) 對股東、實際控制人及其關聯方提供的擔保;
the guarantee to be provided in favor of shareholders, de facto controllers and their related parties.
(七) 上海證券交易所、香港聯交所或相關法規規定的其他情形。
such other circumstances as provided for by the Shanghai Stock Exchange, the HKEX or relevant
laws and regulations.
第六十九條 股東大會分為年度股東大會和臨時股東大會。年度股東大會每年召開 1 次,應當於上一會計
年度結束後的 6 個月內舉行。
Article 69 General meetings of shareholders include annual general meetings of shareholders and
extraordinary general meetings of shareholders. The annual general meeting of shareholders shall be
held once every year within six months after the end of the previous accounting year.
第七十條 有下列情形之一的,公司在事實發生之日起 2 個月以內召開臨時股東大會:
Article 70 The Company shall hold an extraordinary general meeting of shareholders within
two(2)months upon the occurrence of one of the following circumstances:
(一) 董事人數不足 6 名時;
the number of Directors is less than six (6);
(二) 公司未彌補的虧損達實收股本總額 1/3 時;
the uncovered losses are in excess of one-third of the Company’s total share capital;
27
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(三) 單獨或者合計持有公司 10% (不含投票代理權) 以上股份的股東請求時;
shareholders individually or jointly holding not less than 10% (exclusive proxy) of the Company’s
issued shares request to hold an extraordinary general meeting;
(四) 董事會認為必要時;
the Board considers it necessary to hold such a meeting;
(五) 監事會提議召開時;
the Board of Supervisors proposes to hold such a meeting;
(六) 法律、行政法規、部門規章或本章程規定的其他情形。
such other circumstances as provided for by laws and regulations, departmental rules or the
Articles of Association.
第七十一條 公司召開股東大會的地點為公司會議室或通知的其他地址
Article 71 The Company shall hold the general meeting at the conference room of the Company or such
revenue as specified in the notice.
股東大會將設置會場,以現場會議形式召開。公司還將視情況提供網絡投票方式為股東參加股東大會提供
便利。股東通過上述方式參加股東大會的,視為出席。
The general meeting shall have a venue and be held on-site. The Company may, depending on the
circumstances, provide the internet voting platform, for the purpose of providing convenience to
shareholders attending the shareholders』 general meeting. A shareholder who participates in a general
meeting in the aforesaid manner shall be deemed to have been present at the meeting.
第七十二條 本公司召開股東大會時將聘請律師對以下問題出具法律意見並公告:
Article 72 The Company shall, in connection with the convening of a shareholders』 general meeting,
engage lawyers to issue legal opinions in respect of the following matters and make relevant
announcements accordingly:
(一) 會議的召集、召開程序是否符合法律、行政法規、本章程
whether the procedures relating to the convening and the holding of such meeting comply with the
laws, administrative regulations and the Articles of Association;
(二) 出席會議人員的資格、召集人資格是否合法有效;
the legality and validity of the qualifications of the attendees and the convener of the meeting;
(三) 會議的表決程序、表決結果是否合法有效;
the legality and validity of the voting procedures and voting results;
(四) 應本公司要求對其他有關問題出具的法律意見。
legal opinions issued on other related matters as requested by the Company.
公司董事會也可同時聘請公證人員出席股東大會。
The Board of the Company shall also engage notaries to be present in the general meeting.
第三節 股東大會的召集
Section 3 Convening of Shareholders』 General Meeting
第七十三條 獨立董事有權向董事會提議召開臨時股東大會。對獨立董事要求召開臨時股東大會的提議,
董事會應當根據法律、行政法規和本章程的規定,在收到提議後 10 日內提出同意或不同意召開臨時股東
大會的書面反饋意見。
Article 73 Independent Directors have the right to propose the Board to convene extraordinary general
meetings and such proposal shall be made by way of written request(s). The Board shall reply in writing
regarding the acceptance or refusal to convene an extraordinary general meeting within ten (10) days
28
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
upon receiving the request in accordance with the requirements of the laws, administrative regulations
and the Articles of Association.
董事會同意召開臨時股東大會的,將在作出董事會決議後的 5 日內發出召開股東大會的通知; 董事會不同
意召開臨時股東大會的,將說明理由並公告。
If the Board agrees to convene extraordinary general meeting, notice convening the meeting shall be
issued within five (5) days after the Board resolved to do so. If the Board does not agree to convene the
extraordinary general meeting requested by Independent Director, reasons shall be explained and
announced.
第七十四條 監事會有權向董事會提議召開臨時股東大會,並應當以書面形式向董事會提出。董事會應當
根據法律、行政法規和本章程的規定,在收到提案後 10 日內提出同意或不同意召開臨時股東大會的書面
反饋意見。
Article 74 The Board of Supervisors has the right to propose the Board to convene extraordinary
general meetings and such proposal shall be made by way of written request(s). The Board shall reply in
writing regarding the acceptance or refusal to convene an extraordinary general meeting within ten (10)
days upon receiving the proposal in accordance with the requirements of the laws, administrative
regulations and the Articles of Association.
董事會同意召開臨時股東大會的,將在作出董事會決議後的 5 日內發出召開股東大會的通知,通知中對原
提議的變更,應徵得監事會的同意。
If the Board of Directors agrees to convene the extraordinary general meeting, notice convening the
extraordinary general meeting shall be issued within five (5) days upon receiving the request. Should
there be alterations to the original requests in the notice, consent has to be obtained from the Board of
Supervisors.
董事會不同意召開臨時股東大會,或者在收到提案後 10 日內未作出反饋的,視為董事會不能履行或者不
履行召集股東大會會議職責,監事會可以自行召集和主持。
If the Board of Directors does not agree to convene the extraordinary general meeting requested by the
Board of Supervisors or does not reply within ten (10) days upon receiving the request, the Board will be
considered as unable or refused to fulfill the obligation to convene general meetings and the Board of
Supervisors may convene and preside over the meeting on its own.
第七十五條 單獨或者合計持有公司 10%以上股份的股東有權向董事會請求召開臨時股東大會,並應當以
書面形式向董事會提出。董事會應當根據法律、行政法規和本章程的規定,在收到請求後 10 日內提出同
意或不同意召開臨時股東大會的書面反饋意見。
Article 75 Shareholders individually or jointly holding not less than 10% (inclusive) of the Company’s
issued shares have to right to propose the Board to convene an extraordinary general meeting by way of
written request(s). The Board shall reply in writing regarding the acceptance or refusal to convene an
extraordinary general meeting within ten (10) days upon receiving the request in accordance with the
requirements of the laws, administrative regulations and the Articles of Association.
董事會同意召開臨時股東大會的,應當在作出董事會決議後的 5 日內發出召開股東大會的通知,通知中對
原請求的變更,應當徵得相關股東的同意。
If the Board agrees to convene extraordinary general meeting, notice convening the meeting shall be
issued within five (5) days after the Board resolved to do so. If the Board makes alterations to the original
proposal in the notice, consent has to be obtained from the related shareholders.
董事會不同意召開臨時股東大會,或者在收到請求後 10 日內未作出反饋的,單獨或者合計持有公司 10%
以上股份的股東有權向監事會提議召開臨時股東大會,並應當以書面形式向監事會提出請求。
If the Board of Directors does not agree to convene the extraordinary general meeting or does not reply
within ten (10) days upon receiving the request, shareholders individually or jointly holding not less than
29
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
10% (inclusive) of the Company’s issued shares have to right to propose the Board of Supervisors to
convene an extraordinary general meeting by way of written request(s).
監事會同意召開臨時股東大會的,應在收到請求 5 日內發出召開股東大會的通知,通知中對原提案的變更,
應當徵得相關股東的同意。
If the Board of Supervisors agrees to convene the extraordinary general meeting, notice convening the
extraordinary general meeting shall be issued within five (5) days upon receiving the request. Should
there be alterations to the original requests in the notice, consent has to be obtained from the related
shareholders.
監事會未在規定期限內發出股東大會通知的,視為監事會不召集和主持股東大會,連續 90 日以上單獨或
者合計持有公司 10%以上股份的股東可以自行召集和主持。
If the Board of Supervisors does not issue notice of the general meeting within the required period, it will
be considered as not going to convene and preside over the general meeting, and shareholders
individually or jointly holding over 10% of the shares of the Company for ninety (90) consecutive days
have the right to convene and preside over the meeting on their own.
股東因董事會和監事會未應前述要求舉行會議而自行召集並舉行會議的,其所發生的合理費用,應當由公
司承擔,並從公司欠付失職董事的款項中扣除。
The requisitionists shall be compensated by the Company for any reasonable expenses incurred by the
requisitionists by reason of failure by the Board of Directors and the Board of Supervisors to duly
convene a meeting, and any sum so compensated shall be set-off against sums owed by the Company
to the defaulting Directors.
第七十六條 股東要求召集類別股東會議,應當按照下列程序辦理:
Article 76 When shareholders request the convening of class meeting(s), of an extraordinary general
meeting or any class meeting, the following procedures shall be followed:
(一) 合計持有在擬舉行的會議上有表決權的股份百分之十以上 (含百分之十) 的兩個或者兩個以上的股
東,可以籤署一份或者數份同樣格式內容的書面要求,提請董事會召集類別股東會議,並闡明會議
的議題。董事會在收到前書面要求後應當儘快召集類別股東會議。前述持股數按股東提出書面要求
日計算。
Two or more shareholders together holding more than 10% (inclusive) or more of the shares
carrying the right to vote at such proposed meeting can request the Board to convene a class
meeting by signing one or several copies of written request(s) in the same form and content
requesting the Board to convene class meeting, and stating the motions and resolutions proposed.
The Board shall proceed as soon as possible to convene a class meeting after receipt of such
requisitions. The number of shareholders referred to above shall be calculated as of the date of the
requisitions.
(二) 如果董事會在收到前述書面要求後三十日內沒有發出召集會議的通告,提出該要求的股東可以在董
事會收到該要求後四個月內自行召集會議,召集的程序應當儘可能與董事會召集股東會議的程序相
同。
If the Board fails to issue a notice of such a meeting within thirty (30) days from the date of the
receipt of the requisitions, the requisitionists may themselves convene such a meeting in a manner
as similar as possible to the manner in which shareholders』 meetings are convened by the Board
within four (4) months from the date of the receipt of the requisitions by the Board.
股東因董事會未應前述要求舉行會議而自行召集並舉行會議的,其所發生的合理費用,應當由公司承擔,
並從公司欠付失職董事的款項中扣除。
The requisitionists shall be compensated by the Company for any reasonable expenses incurred by the
requisitionists by reason of failure by the Board to duly convene a meeting, and any sum so
compensated shall be set-off against sums owed by the Company to the defaulting Directors.
30
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第七十七條 監事會或股東決定自行召集股東大會的,須書面通知董事會,同時向公司所在地中國證監會
派出機構和公司股票上市地證券交易所備案。
Article 77 If the Board of Supervisors or shareholders decide to convene the shareholders』 general
meeting on their own initiative, they shall notify the Board in writing and file the notice of meeting with the
branch of the China Securities Regulatory Commission and the stock exchanges at the place where the
Company is listed for records.
在股東大會決議公告前,召集股東持股比例不得低於 10%。
The shareholder(s) entitled to convening the shareholders』 general meeting must hold no less than ten
percent (10%) of shares in the Company immediately before the resolution of such meeting is
announced.
監事會或召集股東 (視具體情況而定) 應在發出股東大會通知及股東大會決議公告時,向公司所在地中國
證監會派出機構和公司股票上市地證券交易所提交有關證明材料。
The Board of Supervisors or the shareholders convening the shareholders』 general meeting (depending
on the specific circumstances) shall at the time when a notice of the shareholders』 general meeting is
sent and the resolution of the shareholders』 general meeting is announced, submit relevant supporting
documents to the branch of the securities regulatory authority of the State Council and the stock
exchanges at the place where the Company is listed.
第七十八條 對於監事會或股東自行召集的股東大會,董事會和董事會秘書將予配合。董事會應當提供股
權登記日的股東名冊。
Article 78 With regard to the shareholders』 general meeting convened by the Board of Supervisors or
shareholders on their own initiative, the Board of Directors and the secretary to the Board of Directors
shall provide assistance. The Board of Directors shall provide the register of members as at of the record
date for the general meeting.
第七十九條 監事會或股東自行召集的股東大會,會議所必需的費用由公司承擔。
Article 79 The Company shall bear costs and expenses necessary for the shareholders』 general
meetings, which are convened by the Board of Supervisors or shareholders on their own initiative.
第四節 股東大會的提案與通知
Section 4 Proposal and Notice at Shareholders』 General Meeting
第八十條 提案的內容應當屬於股東大會職權範圍,有明確議題和具體決議事項,並且符合法律、行政法
規和本章程的有關規定。
Article 80 The contents of the motion shall fall within the terms of reference of the general meeting and
have specified subjects and specific resolutions, in further compliance with the laws, administrative
regulations and provisions of the Company’s Articles of Association.
第八十一條 公司召開股東大會,董事會、監事會以及單獨或者合併持有公司 3%以上股份的股東,有權向
公司提出提案。
Article 81 When the Company convenes the shareholders』 general meeting, the Board of Directors, the
Board of Supervisors or shareholders, individually or in aggregate, holding 3% of the total voting shares
of the Company shall have the right to propose motions.
單獨或者合併持有公司 3%以上股份的股東,可以在股東大會召開 10 日前提出臨時提案並書面提交召集人;
召集人應當在收到提案後 2 日內發出股東大會補充通知,說明臨時提案的內容,並將該臨時提案提交股東
大會審議; 惟上述條款的操作須同時符合法律法規和香港上市規則下對相關事宜提出的規定和時間要求。
Shareholders individually or jointly holding not less than 3% of the Company’s shares may submit an
extempore proposal to the convener in writing ten (10) days prior to date of the meeting. The convener
shall dispatch a supplementary notice of the general meeting and announce the contents of such
extempore proposal within two (2) days upon receipt of the proposal, which shall be submitted to the
31
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shareholders』 general meeting for consideration and approval; only operation of the above-mentioned
Article shall comply with the provisions and time requirement upon relevant matters under laws,
regulations and the HK Listing Rules .
除前款規定的情形外,召集人在發出股東大會通知後,不得修改股東大會通知中已列明的提案或增加新的
提案。
Unless otherwise required by the preceding paragraph, the convener shall not amend the proposals
listed in the aforesaid notice or add any new proposals subsequent to the dispatch of a notice of the
general meeting.
股東大會通知中未列明或不符合本章程第八十條規定的提案,股東大會不得進行表決並作出決議。
The general meeting shall not vote and adopt a resolution on any proposal that is not listed in the notice
of the shareholders』 general meeting or that is inconsistent with Article 80 of the Articles of Association.
第八十二條 公司召開股東大會,應當於會議召開四十五日前發出書面通知,將會議擬審議的事項以及開
會的日期和地點告知所有在冊股東。擬出席股東大會的股東,應當於會議召開二十日前,將出席會議的書
面回復送達公司。
Article 82 Written notice of the general meeting by the Company shall be dispatched forty-five (45) days
prior to the date of the class meeting to all shareholders of such class whose names appear on the
register of members, specifying the matters to be considered and the date and place of the meeting.
Shareholders who intend to attend the meeting shall serve on the Company written replies of their
intention to attend twenty (20) days prior to the date of the meeting.
公司在計算起始期限時,不應當包括會議召開當日。
When the Company calculates the period of the meeting, the date of the meeting shall not be included.
第八十三條 公司根據股東大會召開前二十日收到的書面回復,計算擬出席會議的股東所代表的有表決權
的股份數。擬出席會議的股東所代表的有表決權的股份數達到公司有表決權的股份總數二分之一以上的,
公司可以召開股東大會;達不到的,公司應當在五日內將會議擬審議的事項、開會日期和地點以公告或本
章程規定的其他形式(如需要)形式再次通知股東,經公告或本章程規定的其他形式(如需要)通知,公
司可以召開股東大會。
Article 83 The Company shall, based on the written replies received twenty (20) days before the date of
the shareholders』 general meeting from the shareholders, calculate the number of voting shares
represented by shareholders who intend to attend the meeting. If the number of voting shares
represented by the shareholders who intend to attend the meeting reaches not less than one-half of the
Company’s total voting shares, the Company may hold the meeting. If not, the Company shall within five
(5) days notify the shareholders again by public notice or any other means provided in the Articles of
Association (if necessary), of the matters to be considered, the place and the date of the meeting. The
Company may then hold the meeting after publication of such notice or any other means provided in the
Articles of Association (if necessary).
臨時股東大會不得決定通告未載明的事項。
No shareholders』 general meeting shall decide on the matters not stated in the notice for the meeting.
第八十四條 股東大會的通知應當符合下列要求:
Article 84 A of the general meeting shall meet the following requirements:
(一) 以書面形式做出;
be in writing;
(二) 指定會議的時間、地點和會議期限;
specify the date, place and period of the meeting;
(三) 說明提交會議審議的事項和提案;
state the matters and proposals to be discussed at the meeting;
32
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(四) 向股東提供為使股東對將討論的事項作出明智決定所需要的資料及解釋; 此原則包括 (但不限於)
在公司提出合併、購回股份、股本重組或者其他改組時,應當提供擬議中的交易的具體條件和合同 (如
有) ,並對其起因和後果作出認真的解釋;
provide such information and explanation as are necessary for the shareholders to make an
informed decision on the proposals put before them. Without limiting the generality of the foregoing,
where a proposal is made to amalgamate the Company with another, to repurchase the shares of
the Company, to reorganize its share capital, or to restructure the Company in any other way, the
terms of the proposed transaction must be provided in detail together with copies of the proposed
contract, if any, and the cause and effect of such proposal must be properly explained;
(五) 如任何董事、監事、總經理和其他高級管理人員與將討論的事項有重要利害關係,應當披露其利害
關係的性質和程度; 如果將討論的事項對該董事、監事、總經理和其他高級管理人員作為股東的影響
有別於對其他同類別股東的影響,則應當說明其區別;
contain a disclosure of the nature and extent, if any, of the material interests of any Director,
supervisor, general manager and other senior management in the proposed transaction and the
effect which the proposed transaction will have on them in their capacity as shareholders in so far
as it is different from the effect on the interests of shareholders of the same class;
(六) 載有任何擬在會議上提議通過的特別決議的全文;
contain the full text of any special resolution to be proposed at the meeting;
(七) 以明顯的文字說明: 有權出席和表決的股東有權書面委任一位或者一位以上的股東代理人代為出席
和表決,而該股東代理人不必為股東;
contain a conspicuous statement: that a shareholder entitled to attend and vote at such meeting is
entitled to appoint one or more proxies to attend and vote at such meeting on his behalf and that a
proxy does not need not be a shareholder of the Company;
(八) 載明會議投票代理委託書的送達時間和地點;
specify the time and place for lodging proxy forms for the relevant meeting;
(九) 載明有權出席股東大會股東的股權登記日;
the date of registration of equity entitlements for shareholders having the right to attend the general
meeting;
(十) 載明會務常設聯繫人姓名,電話號碼。
the names and contact telephone numbers of the contact persons in connection with the meeting.
股東大會通知和補充通知中應當充分、完整披露所有提案的全部具體內容。擬討論的事項需要獨立董事發
表意見的,發布股東大會通知或補充通知時將同時披露獨立董事的意見及理由。
All details of all proposals shall be disclosed in the Notice of General Meeting of Stockholders and the
Supplementary Notice fully and completely. If the independent Directors are required to express opinions
on the matters to be discussed, their opinions and reasons shall be disclosed while the Notice of General
Meeting of Stockholders and the Supplementary Notice are issued.
股東大會採用網絡或其他方式的,應當在股東大會通知中明確載明網絡或其他方式的表決時間及表決程
序。股東大會網絡或其他方式投票的開始時間,不得早於現場股東大會召開前一日下午 3:00,並不得遲於
現場股東大會召開當日上午 9:30,其結束時間不得早於現場股東大會結束當日下午 3:00。
The time and procedures of internet voting or otherwise shall be contained in the Notice of General
Meeting of Stockholders for the General Meeting of Stockholders by internet or otherwise. The starting
time of internet voting or otherwise of the General Meeting of Stockholders should not be earlier than
3:00pm on the day before the convening date of the on-site General Meeting of Stockholders as well as
not be later than 9:30am on the same day of convening the on-site General Meeting of Stockholders,
and its ending time should not be earlier than 3:00pm on the same day of ending the on-site General
Meeting of Stockholders.
33
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
股權登記日與會議日期之間的間隔應當不多於 7 個工作日。股權登記日一旦確認,不得變更。
The interval between the date of equity registration and the date of meeting shall not be more than seven
(7) workdays. Once being confirmed, the date of equity registration could not be changed.
第八十五條 股東大會擬討論董事、監事選舉事項的,股東大會通知中將充分披露董事、監事候選人的詳
細資料,至少包括以下內容:
Article 85 Where the elections of Directors and supervisors are to be discussed, a notice of the general
meeting of shareholders shall fully disclose the particulars of the candidates for Directors and
supervisors and shall at least include the following contents:
(一) 教育背景、工作經歷、兼職等個人情況;
personal particulars such as educational background, working experience and part-time job;
(二) 與本公司或本公司的控股股東及實際控制人是否存在關聯關係;
whether or not the candidate has any connected relationship with the Company or its controlling
shareholders and de facto controllers;
(三) 披露持有本公司股份數量;
disclose the number of shares of the Company held by the candidate;
(四) 是否受過中國證監會及其他有關部門的處罰和證券交易所懲戒。
whether or not the candidate has been subject to penalties by the China Securities Regulatory
Commission and other relevant authorities as well as sanctions by any stock exchange;
除採取累積投票制選舉董事、監事外,每位董事、監事候選人應當以單項提案提出。
Save for the elections of Directors and supervisors held by adopting cumulative voting system, each
candidate for a Director or supervisor shall be proposed by way of single proposal.
第八十六條 除本公司章程另有規定外,股東大會通知應當向境外上市外資股股東(不論在股東大會上是
否有表決權)以專人送出或者以郵資已付的郵件送出,收件人地址以股東名冊登記的地址為準。對內資股
股東,股東大會通知也可以用公告方式進行。
Article 86 Unless otherwise provided by the Company’s Articles of Association, the notice of
shareholders』 general meetings shall be served on holders of H shares (whether or not such shareholder
is entitled to vote at the meeting), by personal delivery or prepaid mail to the address of the shareholder
as shown in the register of shareholders. For the holders of domestic-invested shares, notice of the
meeting may also be issued by way of public announcement.
前款所稱公告,應當於會議召開前四十五日至五十日的期間內,在國務院證券主管機構指定的一家或者多
家報刊上刊登,一經公告,視為所有內資股股東已收到有關股東會議的通知。
The term 「public announcement」 referred to in the preceding paragraph shall be published in one (1) or
more national newspapers designated by securities regulatory authority under the State Council within
the interval of forty-five (45) days to fifty (50) days before the date of the meeting. After the publication of
such announcement, the holders of domestic shares shall be deemed to have received the notice of the
relevant shareholders' general meeting.
在符合法律、行政法規、規範性文件及公司股票上市地證券監管機構的相關規定並履行有關規定程序的前
提下,對 H shares 股東,公司也可以通過在公司網站及香港聯交所指定的網站上發布的方式或者以香港
上市規則以及本章程允許的其他方式發出股東大會通知,以代替向 H shares 股東以專人送出或者以郵資
已付郵件的方式送出。
On the condition of complying with laws, administrative regulations, regulatory documents and relevant
provisions by the security regulatory authority where the shares of the Company are listed and following
procedures stipulated in relevant provisions, the Company shall also issue the notice for the general
meeting to the holders of H shares via the website of the Company, the website designated by the HKEX,
34
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
or any other method as permitted in the KH Listing Rules and the Articles of Association, for the purpose
of replacing the method of sending by hand or prepaid post.
第八十七條 因意外遺漏未向某有權得到通知的人送出會議通知或者該等人沒有收到會議通知,會議及會
議作出的決議並不因此無效。
Article 87 The accidental omission to give notice of a meeting to, or the non-receipt of notice of a
meeting by, any person entitled to receive such notice shall not invalidate the meeting and the
resolutions passed at the meeting.
第八十八條 發出股東大會通知後,無正當理由,股東大會不應延期或取消,股東大會通知中列明的提案
不應取消。一旦出現延期或取消的情形,召集人應當在原定召開日前至少 2 個工作日公告並說明原因。
Article 88 Subsequent to the dispatch of a notice of the general meeting, the general meeting shall not
be postponed or cancelled without proper reasons, and the proposals set out in the notice of the general
meeting shall not be withdrawn. Once the meeting is postponed or cancelled, the convener shall make
an announcement and give reasons thereof at least two (2) working days prior to the original date of the
meeting.
第五節 股東大會的召開
Section 5 Holding of Shareholders』 General Meetings
第八十九條 公司董事會和其他召集人將採取必要措施,保證股東大會的正常秩序。對於幹擾股東大會、
尋釁滋事和侵犯股東合法權益的行為,將採取措施加以制止並及時報告有關部門查處。
Article 89 The Board of Directors and other conveners shall take all necessary measures to ensure that
the shareholders』 general meeting is conducted in an orderly manner and shall take steps to prevent any
activities interfering the shareholders' general meeting or infringing the legal interests of shareholders
and report such activities to the relevant authority.
第九十條 股權登記日登記在冊的所有股東 (包括其代理人) ,均有權出席股東大會,並依照有關法律、法
規及本章程行使表決權。
Article 90 All the shareholders (including their proxies) registered on the date of registration shall have
the right to attend the shareholders' general meeting and to vote thereat in accordance with relevant
laws, regulations and provisions of the Company’s Articles of Association.
股東可以親自出席股東大會,也可以委託代理人代為出席和表決。
Shareholder may either attend the shareholders' general meeting in person or appoint proxy to attend
and vote at such meeting on his behalf.
第九十一條 股東應當以書面形式委託代理人,委託書由委託人籤署或者由其以書面形式委託的代理人籤
署; 委託人為法人的,應當加蓋法人印章或者由其董事或者正式委任的代理人籤署。
Article 91 If shareholder shall appoint his proxy in writing, such instrument appointing the proxy shall be
signed by the appointing shareholder or a person who is authorized in writing, or if the appointing
shareholder is a legal entity, either affixed with legal person seal or signed by a Director, an executive
officer or a duly authorized person.
個人股東親自出席會議的,應出示本人身份證或其他能夠表明其身份的有效證件或證明、股票帳戶卡; 委
託代理他人出席會議的,應出示本人有效身份證件、股東授權委託書。
Individual shareholders attending the meeting in person shall present their personal identity cards or
other valid documents or stock account card for identification. Proxies attending the meeting shall
present their personal identity cards and the authorization letters from the shareholder.
法人股東應由法定代表人或者法定代表人委託的代理人出席會議。法定代表人出席會議的,應出示本人身
份證、能證明其具有法定代表人資格的有效證明; 委託代理人出席會議的,代理人應出示本人身份證、法
人股東單位的法定代表人依法出具的書面授權委託書。
Corporate shareholders shall be represented by its legal representative or proxies authorized by the
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
legal representative. Legal representatives attending the meeting shall present their personal identity
cards or valid documents that can prove its identity as the legal representative. Proxies authorized to
attend the meeting shall present their personal identity cards or the authorization letter legally issued by
the corporate shareholder.
第九十二條 任何有權出席股東會議並有權表決的股東,有權書面委任一人或者數人 (該人可以不是股東)
作為其股東代理人,代為出席和表決。該股東代理人依照該股東的委託,可以行使下列權利:
Article 92 Any shareholder who is entitled to attend and vote at a general meeting of the Company
shall be entitled to appoint one (1) or more persons (whether such person is a shareholder or not) as his
proxy to attend and vote on his behalf, and a proxy so appointed shall be entitled to exercise the
following rights pursuant to the authorizations from that shareholder:
(一) 該股東在股東大會上的發言權;
the shareholder’s right to speak at the meeting;
(二) 自行或者與他人共同要求以投票方式表決;
the right to demand or join in demand for a poll;
(三) 除非根據適用的證券上市規則或其他證券法律法規另有規定外,以舉手或者投票方式行使表決權,
但是委任的股東代理人超過一人時,該等股東代理人只能以投票方式行使表決權。
unless otherwise prescribed by applicable listing rules or other securities laws and regulations, the
right to vote by hand or on a poll, but a proxy of a shareholder who has appointed more than one (1)
proxy may only vote on a poll.
如該股東為認可結算所 (或其代理人) ,該股東可以授權其認為合適的一個或以上人士在任何股東大會或
者任何類別股東會議上擔任其代表; 但是,如果一名以上的人士獲得授權,則授權書應載明每名該等人士
經此授權所涉及的股份數目和種類。經此授權的人士可以代表認可結算所 (或其代理人) 行使權利,如同
該人士是公司的個人股東。
If a shareholder is a recognized clearing house (or its proxy), it may, as it sees fit, appoint one (1) or
more persons as its proxies to attend and vote at any shareholders』 general meeting or class meeting.
However, if more than one (1) person is appointed, the instrument of proxy shall specify the number and
class of the shares relating to each such proxy. Such proxy may exercise the rights of such shareholder
(or its proxy) on its behalf in the same manner as the individual shareholder of the Company.
第九十三條 股東出具的委託他人出席股東大會的授權委託書應當載明下列內容:
Article 93 The authorization letter issued by shareholders to authorize other persons to attend the
general meeting shall clearly state the followings:
(一) 代理人的姓名;
the name of the proxies;
(二) 是否具有表決權;
whether the proxies have the right to vote;
(三) 分別對列入股東大會議程的每一審議事項投贊成、反對或棄權票的指示;
instructions to vote for, against or abstain from voting on each of the items in the agenda of the
meeting;
(四) 委託書籤發日期和有效期限;
the signing date and the effective period of the authorization letter;
(五) 委託人或者由其以書面形式委託的代理人籤名(或蓋章)。委託人為法人股東的,應加蓋法人單位印章
或者由其董事或者正式委任的代理人籤署。
signature (or seal) of the appointing shareholders or the proxies appointed in writing. If the
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
appointing shareholder is a legal entity, such instrument appointing the proxy shall be affixed with
legal person seal or signed by a Director, an executive officer or a duly authorized person.
第九十四條 任何由公司董事會發給股東用於任命股東代理人的委託書的格式,應當讓股東自由選擇指示
股東代理人投贊成票或者反對票,並就會議每項議題所要作出表決的事項分別作出指示。委託書應當說明
如果股東不作指示,股東代理人可以按自己的意思表決。
Article 94 Any form issued to a shareholder by the Board of Directors for use by him for appointing a
proxy shall allow the shareholder to freely instruct the proxy to cast vote in favor of or against each
resolution dealing with the businesses to be transacted at the meeting. Such letter of authorization shall
contain a statement that in absence of instructions by the shareholders, his proxy may vote as he thinks
fit.
第九十五條 表決代理委託書至少應當在該委託書委託表決的有關會議召開前二十四小時,或者在指定表
決時間前二十四小時,備置於公司住所或者召集會議的通知中指定的其他地方。代理投票授權委託書由委
託人授權他人籤署的,授權籤署的授權書或者其他授權文件應當經過公證。經公證的授權書或者其他授權
文件,和投票代理委託書均需備置於公司住所或者召集會議的通知中指定的其他地方。
Article 95 Proxy forms shall be lodged at the domicile of the Company or other places specified in the
notice of meeting 24 hours before the relevant meeting for voting according to the proxy from, or 24
hours before the designated time of voting. Where the proxy form is sighed by a person under a power of
attorney on behalf of the appointer, the power of attorney or other authorization documents authorized to
be signed shall be notarized. A notarially certified copy of that power of attorney or other authorization
documents, together with the proxy form, shall be deposited at the domicile of the Company or other
places specified in the notice of meeting.
委託人為法人的,由其法定代表人或者董事會、其他決策機構決議授權的人作為代表出席公司的股東大會。
where the appointer is a legal person, its legal representative or such person as is authorized by
resolution of its Board of Directors or other governing body may attend general meetings of the
shareholders of the Company as a representative of the appointer.
第九十六條 表決前委託人已經去世、喪失行為能力、撤回委任、撤回籤署委任的授權或者有關股份已被
轉讓的,只要公司在有關會議開始前沒有收到該等事項的書面通知,由股東代理人依委託書所作出的表決
仍然有效。
Article 96 A vote given in accordance with the terms of a proxy shall be valid, notwithstanding the death
or loss of capacity of the appointer or revocation of the proxy or the authority under which the proxy was
executed, or the transfer of the shares in respect of which the proxy is given, provided that the Company
did not receive any written notice in respect of any such matters prior to the commencement of the
relevant meeting.
第九十七條 出席會議人員的會議登記冊由公司負責製作。會議登記冊載明參加會議人員姓名(或單位名
稱)、身份證號碼、住所地址、持有或者代表有表決權的股份數額、被代理人姓名(或單位名稱)等事項。
Article 97 The Company shall be responsible for compiling the attendee register which shall include,
among others, the name of attendee (or name of relevant unit), ID number, domicile, the number of
shares with voting rights that he holds or represents, and name of the person (or name of relevant unit)
who attends the meeting by proxy.
第九十八條 召集人和公司聘請的律師將依據證券登記結算機構及境外代理機構提供的股東名冊共同對股
東資格的合法性進行驗證,並登記股東姓名(或名稱)及其所持有表決權的股份數。在會議主席宣布現場出
席會議的股東和代理人人數及所持有表決權的股份總數之前,會議登記應當終止。
Article 98 The convener and lawyers engaged by the Company shall verify the legitimate qualification of
shareholders in accordance with the register of members provided by the securities registration and
settlement company and the foreign agency, and shall register the names of shareholders and the
number of voting shares each of them holds. The registration shall end before the chairperson of the
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
meeting announces the number of shareholders and proxies attending the meeting and the total number
of voting shares they hold.
第九十九條 股東大會召開時,本公司全體董事、監事和董事會秘書應當出席會議,總經理和其他高級管
理人員應當列席會議。
Article 99 All Directors, supervisors and the secretary to the Board shall be present at the general
meeting, and the general manager and other senior managers shall be in attendance at the meeting.
第一百條 股東大會會議由董事會召集的,由董事長召集並擔任會議主席。董事長因故不能出席會議的,
由副董事長召集並擔任會議主席; 董事長和副董事長均無法出席會議的,董事長可以指定一名公司董事代
其召集並擔任會議主席; 未指定會議主席的,出席會議的股東可以選舉一人擔任主席; 如果因任何理由,
股東無法選舉主席,應當由出席會議的持有最多表決權股份的股東 (包括股東代理人) 擔任會議主席。
Article 100 The Board of Directors shall convene and the Chairman of the Board of Directors shall chair
the shareholders』 general meetings. If the Chairman is unable to attend the meeting for any reason, the
vice-chairman of the Board of Directors (if appointed by the Company) shall chair the meeting. If the
vice-chairman of the board of Directors is not appointed by the Company or is unable or fails to perform
his duties, the shareholders』 general meeting shall be presided over by a Director nominated by more
than half of the Directors.
監事會自行召集的股東大會,由監事會主席擔任會議主席。監事會主席不能履行職務或不履行職務時,由
半數以上監事共同推舉的一名監事擔任會議主席。
The shareholders』 general meeting convened by the Board of Supervisors on its own initiative shall be
presided over and chaired by the chairman of the Board of Supervisors. If the chairman of the Board of
Supervisors is unable or fails to perform his duties, the shareholders』 general meeting shall be presided
over by a supervisor nominated by more than half of the supervisors.
股東自行召集的股東大會,由召集人推舉代表擔任會議主席。
The shareholders』 general meeting convened by shareholders on their own initiative shall be presided
over by the representative nominated by the convener.
召開股東大會時,會議主席違反議事規則使股東大會無法繼續進行的,經現場出席股東大會有表決權過半
數的股東同意,股東大會可推舉一人擔任會議主席,繼續開會。
If the chairperson of the shareholders』 general meeting breaches the procedural rules, which makes it
unable to proceed the shareholders』 general meeting, subject to consents of more than half of
shareholders with voting rights attending the shareholders』 general meeting, the shareholders』 general
meeting may nominate a person to act as the chairperson of the meeting and such meeting may
continue.
第一零百一條 公司制定股東大會議事規則,詳細規定股東大會的召開和表決程序,包括通知、登記、提
案的審議、投票、計票、表決結果的宣布、會議決議的形成、會議記錄及其籤署、公告等內容,以及股東
大會對董事會的授權原則,授權內容應明確具體。股東大會議事規則應作為章程的附件,由董事會擬定,
股東大會批准。
Article 101 The Company shall formulate the procedural rules of the shareholders』 general meeting
which shall set out in detail the procedures of convention and voting in respect of the shareholders』
general meeting (including notices, registration, consideration and approval for proposals, voting, vote
counting, announcement on voting results, the resolution making process, meeting minutes and signing,
announcements and other matters) and the principles of authorization granted to the Board of Directors
at the shareholders』 general meeting. The scope of authorization shall be specified in details. The
procedural rules of the shareholders』 general meeting shall be prepared by the Board of Directors,
approved at the shareholders』 general meeting and attached to the Company’s Articles of Association as
an appendix.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百零二條 在年度股東大會上,董事會、監事會應當就其過去 1 年的工作向股東大會作出報告。每名
獨立董事也應作出述職報告。
Article 102 During the annual general meeting of share holders, the Board and the Board of Supervisors
shall respectively give a report on their work in the previous year to the general meeting, and each
Independent Director shall also make his duty report correspondingly.
第一百零三條 董事、監事、高級管理人員在股東大會上就股東的質詢和建議作出解釋和說明。
Article 103 The Directors, supervisors and senior management shall make response to and give
explanation of the inquiries an suggestions made by shareholders at a shareholders』 general meeting.
第一百零四條 會議主席應當在表決前宣布現場出席會議的股東和代理人人數及所持有表決權的股份總
數,現場出席會議的股東和代理人人數及所持有表決權的股份總數以會議登記為準。
Article 104 Prior to voting, the chairman of the general meeting shall announce the number of
shareholders and proxies present and the total number of shares with voting rights held by them. The
number of shareholders and proxies present and the total number of shares with voting rights held by
them shall be that as stated in the registration of the meeting.
第一百零五條 股東大會應有會議記錄,由董事會秘書負責。會議記錄記載以下內容:
Article 105 Minutes of shareholders』 general meetings shall be recorded by the secretary to the Board.
The minutes shall contain the following items:
(一) 會議時間、地點、議程和召集人姓名或名稱;
the date, place and agenda of the meeting, and the name of the convener;
(二) 會議主席以及出席或列席會議的董事、監事、總經理和其他高級管理人員姓名;
the name of the chairman of the meeting, and the names of Directors, supervisors, the general
manager and other senior managers of the Company present or in attendance at the meeting;
(三) 出席會議的股東 (包括其代理人) 人數、所持有表決權的股份總數及佔公司股份總數的比例;
the number of shareholders and their proxies attending the meeting, the total number of voting
shares they represent and the percentage of the total number of shares of the Company they
represent;
(四) 對每一提案的審議經過、發言要點和表決結果;
the discussions in respect of each proposal, highlights of the speeches made at the meeting and
the results of voting;
(五) 股東的質詢意見或建議以及相應的答覆或說明;
details of the queries or recommendations of the shareholders, and the corresponding answers or
explanations;
(六) 律師及計票人、監票人姓名;
the name of lawyers, counting officers and scrutinizers;
(七) 本章程規定應當載入會議記錄的其他內容。
such other matters which shall be recorded in the minutes of the meeting in accordance with the
provisions of the Articles of Association.
第一百零六條 召集人應當保證會議記錄內容真實、準確和完整。出席會議的董事、監事、董事會秘書、
召集人或其代表、會議主席應當在會議記錄上簽名。會議記錄應當與現場出席股東的籤名冊及代理出席的
委託書、網絡及其他方式表決情況的有效資料一併保存,保存期限不少於 10 年。
Article 106 The convener shall ensure the truthfulness, accuracy and completeness of the meeting
minutes. Directors, supervisors, secretary to the Board, the convener or his representative and the
chairman of the meeting who attend the meeting shall sign on the meeting minutes. The minutes shall be
kept together with the signature book of shareholders attending the meeting, the authorization letter of
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
proxies as well as all valid materials of internet voting or otherwise at the domicile of the Company for no
less than ten (10) years.
第一百零七條 召集人應當保證股東大會連續舉行,直至形成最終決議。因不可抗力等特殊原因導致股東
大會中止或不能作出決議的,應採取必要措施儘快恢復召開股東大會或直接終止本次股東大會,並及時公
告。同時,召集人應向公司所在地中國證監會派出機構及公司股票上市地證券交易所報告。
Article 107 The convener shall ensure that the general meeting is held continuously
until final resolutions are reached. In the event that the general meeting is adjourned or resolutions
failed to be reached due to force majeure or other special reasons, measures shall be adopted to
resume the meeting as soon as possible or the meeting shall be concluded immediately, and an
announcement shall be promptly made accordingly. The convener shall also report the same to the local
authority of the securities regulatory department under the State Council of the place where the
Company is domiciled and the stock exchange where the Company’s shares are listed.
第六節 股東大會的表決和決議
Section 6 Voting and Resolutions at Shareholders』 General Meeting
第一百零八條 股東大會決議分為普通決議和特別決議。
Article 108 Resolutions of shareholders』 general meeting shall be divided into ordinary resolutions and
special resolutions.
股東大會作出普通決議,應當由出席股東大會的股東(包括股東代理人)所持表決權的 1/2 以上通過。
An ordinary resolution must be passed by votes representing more than half of the voting rights
represented by the shareholders (including proxies) present at the meeting.
股東大會作出特別決議,應當由出席股東大會的股東(包括股東代理人)所持表決權的 2/3 以上通過。
A special resolution must be passed by votes representing more than two-thirds of the voting rights
represented by the shareholders (including proxies) present at the meeting.
第一百零九條 下列事項由股東大會以普通決議通過:
Article 109 The following matters shall be resolved by an ordinary resolution at a shareholders』 general
meeting:
(一) 董事會和監事會的工作報告;
work reports of the Board of Directors and the Board of Supervisors;
(二) 董事會擬定的利潤分配方案和彌補虧損方案;
profit distribution plans and loss recovery plans formulated by the Board of Directors;
(三) 董事會和監事會成員的任免及其報酬和支付方法;
appointment and dismissal of members of the Board of Directors and members of the Board of
Supervisors, their remuneration and manner of payment;
(四) 公司年度預算報告、決算報告、資產負債表、利潤表及其它財務報表;
preliminary and final annual budgets, balance sheets, profit accounts, and other financial
statements of the Company;
(五) 公司年度報告;
annual report of the Company;
(六) 除法律、行政法規、本章程規定或公司股份上市的證券交易所的上市規則規定應當以特別決議通過
以外的其他事項。
matters other than those which are required by law, administrative regulation, the Company’s
Articles of Association or the stock exchange(s) where shares of the Company are listed to be
adopted by special resolution.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百一十條 下列事項由股東大會以特別決議通過:
Article 110 The following matters shall be resolved by a special resolution at a shareholders』 general
meeting:
(一) 增加或者減少公司註冊資本;
the increase or reduction in registered capital of the Company;
(二) 發行任何種類股票、認股證和其它類似證券;
the issue of shares of any class, warrants and other similar securities;
(三) 發行公司債券;
the issue of debentures of the Company;
(四) 公司的分立、合併、解散和清算;
the division, merger, dissolution and liquidation of the Company;
(五) 修改本章程;
the amendment of the Company’s Articles of Association;
(六) 公司在一年內購買、出售重大資產或者擔保金額超過公司最近一期經審計總資產 30%的;
the Company’s purchase or sale of any material assets or the amount of guarantee, within one
year, which exceeds 30% of the latest audited total assets of the Company;
(七) 股權激勵計劃;
any equity-based incentive plan;
(八) 公司調整利潤分配政策
the profit distribution policy under adjustment of the Company;
(九) 法律、行政法規、本章程規定的或公司股份上市的證券交易所的上市規則規定的,以及股東大會以
普通決議認定會對公司產生重大影響的、需要以特別決議通過的其他事項。
any other matter considered as required by laws or regulations, provisions of the Company’s
Articles of Association or listing rules of the stock exchange(s) where shares of the Company are
listed and the shareholders at general meetings, and resolved by way of an ordinary resolution, to
be of a nature which may have a material impact on the Company and shall be adopted by a
special resolution.
第一百一十一條 股東 (包括股東代理人) 以其所代表的有表決權的股份數額行使表決權,除本公司章程第
一百一十七條外,每一股份享有一票表決權。
Article 111 A shareholder (including proxy) when voting at a shareholders』 general meeting may
exercise voting rights in accordance with the number of shares carrying the right to vote, unless
otherwise regarding the provision under Articles117 hereof, each share shall have one vote.
公司持有的本公司股份沒有表決權,且該部分股份不計入出席股東大會有表決權的股份總數。
The shares held by the Company have no voting rights, and that part of the shareholding is not counted
as the total number of shares with voting rights held by shareholders attending the meeting.
董事會、獨立董事和符合相關規定條件的股東可以徵集股東投票權。
The Board, Independent Directors and shareholders who are qualified under the relevant conditions may
collect from other shareholders the rights to vote.
第一百一十二條 股東大會審議有關關聯交易事項時,關聯股東不應當參與投票表決,其所代表的有表決
權的股份數不計入有效表決總數; 股東大會決議的公告應當充分披露非關聯股東的表決情況。關聯股東的
定義和範圍根據公司上市地證券監管機構及證券交易所的相關規定確定。
Article 112 When any shareholders』 general meeting considers matters related to connected
transactions, the connected shareholder shall not vote and the number of voting shares that it represents
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shall not be counted as part of the total number of valid votes. The announcement of the resolution of the
general meeting shall fully disclose the votes of the non-connected shareholders. The definition and
limits of connected shareholder shall be determined in accordance with relevant provisions of the
securities regulatory authority and the stock exchange where the Company’s shares are listed.
股東大會審議有關關聯交易事項時,關聯股東應主動向股東大會申明關聯關係並迴避表決。股東沒有主動
說明關聯關係並迴避的,其他股東可以要求其說明情況並迴避。
When matters of connected transactions are submitted to the shareholders』 general meeting for
consideration and approval, the connected shareholder shall take the initiative to state his connected
relationship and withdraw from voting. Where the connected shareholder fails to do so, other
shareholders may require him to explain the circumstances and withdraw from voting.
股東大會結束後,其他股東發現有關聯股東參與有關關聯交易事項投票的,或者股東對是否應適用迴避有
異議的,有權就相關決議根據本章程的有關規定向人民法院起訴。
Where other shareholders find a connected shareholder vote in matters of connected transactions, or
where shareholders disagree on whether the withdrawal system is applicable, such shareholders have
the right to bring a suit on relevant resolutions before a people’s court in accordance with provisions of
the Company’s Articles of Association.
公司擬與關聯法人發生的金額高於人民幣 3000 萬元,且佔公司最近一期經審計淨資產絕對值 5%以上的
關聯交易應由股東大會討論決定,惟若其他適用的香港法律、法規、規則另有規定,則需要按照該等法律、
法規、規則的要求執行。
Where a connected transaction between the Company and its connected person is worth more than
RMB 30 million and accounts for more than 5% of the absolute value of the Company’s latest audited net
assets, the Company shall submit the transaction to the shareholders』 general meeting for consideration
and approval. Where there are provisions otherwise prescribed by the Hong Kong laws, regulations and
rules, duties shall be implemented in accordance with such laws, regulations and rules.
第一百一十三條 會議主席負責決定股東大會的決議是否通過,其決定為終局決定,並應當在會上宣布和
載入會議記錄。
Article 113 The chairman of the meeting shall determine whether or not a resolution of the shareholders』
general meeting shall be adopted. His decision shall be final and conclusive and shall be announced at
the meeting and recorded in the minutes.
第一百一十四條 公司應在保證股東大會合法、有效的前提下,通過各種方式和途徑,包括提供網絡形式
的投票平臺等現代信息技術手段,為股東參加股東大會提供便利。
Article 114 Where the shareholders』 general meeting is ensured to be legal and valid, the voting may be
conducted through the internet and other methods of modern technology may be adopted at the
shareholders』 general meeting, for the purpose of convenience.
第一百一十五條 除公司處於危機等特殊情況外,非經股東大會以特別決議批准,公司將不與董事、總經
理和其它高級管理人員以外的人訂立將公司全部或者重要業務的管理交予該人負責的合同。
Article 115 Except where the Company is in a crisis or any extraordinary circumstance, the Company
may not enter into any contract with anyone other than a Director, a general manager or any other senior
officer to have all or significant part of the Company’s business in the care of such person, unless
otherwise approved by the shareholders in a general meeting by way of special resolution.
第一百一十六條 董事、監事候選人名單以提案的方式提請股東大會表決。
Article 116 The list of candidates for Directors or supervisors shall be proposed to the shareholders』
general meeting for votes.
除採取累積投票制選舉董事、監事外,每位董事、監事候選人應當以單項提案提出。董事會應當向股東公
告董事、監事候選人的簡歷和基本情況。
Save for the elections of Directors and supervisors held by adopting cumulative voting system, each
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
candidate for a Director or supervisor shall be proposed by way of single proposal. The Board of
Directors shall announce the resumes and basic information of these candidates for Directors or
supervisors.
董事、監事的提名方式和程序如下:
The means and procedure of nomination for Directors and Supervisors shall be:
(一) 董事會、連續 90 天以上單獨或者合併持有公司 3%以上股份的股東有權向董事會提出非獨立董事候
選人的提名,董事會經徵求被提名人意見並對其任職資格進行審查後,向股東大會提出提案。
The Board and shareholders individually or jointly holding not less than 3% of the Company’s
shares for over 90 days shall have the right to submit nomination of candidates for independent
Directors to the Board. The Board shall submit proposal to the shareholders』 general meeting
after asking the proxy’s opinion and examine their qualifications.
(二) 監事會、單獨或者合併持有公司 3%以上股份的股東有權提出股東代表擔任的監事候選人的提名,經
監事會徵求被提名人意見並對其任職資格進行審查後,向股東大會提出提案。
The Board of Supervisors and shareholders individually or jointly holding not less than 3% of the
Company’s shares shall have the right to submit nomination of
shareholder-representative-candidates for Supervisors. The Board of Supervisors shall submit
proposal to the shareholders』 general meeting after asking the proxy’s opinion and examine their
qualifications.
(三) 獨立董事的提名方式和程序應按照法律、行政法規及部門規章的有關規定執行。
The means and procedure of nomination for Independent Director shall be in compliance with
relevant provisions of laws, administrative regulations and department rules.
第一百一十七條 股東大會就選舉董事、監事進行表決時,根據本章程的規定或者股東大會的決議,可以
實行累積投票制,即股東大會選舉董事或者監事時,每一股份擁有與應選董事或者監事人數相同的表決權,
股東擁有的表決權可以集中使用。公司第一大股東的股權比例為 30%以上,或選舉的董事、監事為 2 名以
上時,應當採用累積投票制。
Article 117 The cumulative voting system may be used in the voting for the election of Directors and
Supervisors in shareholders』 general meeting in accordance with provisions of the Company’s Articles of
Association, that is, in the election of Directors or Supervisors at the shareholders』 general meeting, the
voting right each share has equals the number of candidates for Directors and Supervisors.
Shareholders may use their voting right collectively. Where the biggest shareholder has over 30% of the
total shares, or there are more than two (2) Directors or Supervisors to be elected, cumulative voting
system should be adopted.
累積投票制的具體操作程序如下:
The cumulative voting system shall be operated as:
(一) 公司獨立董事、非獨立董事、監事應分開選舉,分開投票。
separate election and voting for Independent Director, non-independent Directors and Supervisors.
(二) 選舉獨立董事時,每位股東有權取得的選票數等於其所持有的股票數乘以其有權選出的獨立董事人
數的乘積數,該票數只能投向該公司的獨立董事候選人,得票多者當選。
During the election of independent Directors, the number of votes for each shareholder shall be the
number of shares held by him multiplied by the number of the independent Directors to be elected
by him, he could only vote for the candidates of the Directors of the Company by such votes, and
the ones who got more votes shall be elected.
(三) 選舉非獨立董事、監事時,每位股東有權取得的選票數等於其所持有的股票數乘以其有權選出的非
獨立董事、監事人數的乘積數,該票數只能投向該公司的非獨立董事、監事候選人,得票多者當選。
During the election of non-independent Directors and supervisors, the number of votes for each
43
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shareholder shall be the number of shares held by him multiplied by the number of the
non-independent Directors and supervisors to be elected by him, he could only vote for the
candidates of the non-independent Directors and supervisors of the Company by such votes, and
the ones who got more votes shall be elected.
(四) 在候選人數多於本章程規定的人數時,每位股東投票所選的獨立董事、非獨立董事和監事的人數不
得超過本章程規定的獨立董事、非獨立董事和監事的人數,所投選票數的總和不得超過股東有權取
得的選票數,否則該選票作廢。
where candidates exceed such numbers prescribed in the Company’s Articles of Association, the
numbers of independent Director, non-independent Directors and Supervisors each shareholder
vote for shall not exceed such numbers prescribe in the Company’s Articles of Association, and the
total votes shall not exceed such number of votes ought to be cast by the shareholders. Otherwise,
the voting shall be invalid.
(五) 股東大會的監票人和點票人必須認真核對上述情況,以保證累積投票的公正、有效。
counting officers and scrutinizers of the shareholders』 general meeting shall carefully check the
aforesaid circumstances to guarantee fair and effective accumulative voting
第一百一十八條 除累積投票制外,股東大會將對所有提案進行逐項表決,對同一事項有不同提案的,將
按提案提出的時間順序進行表決。除因不可抗力等特殊原因導致股東大會中止或不能作出決議外,股東大
會將不會對提案進行擱置或不予表決。
Article 118 Except for the cumulative voting system, all resolutions proposed at the shareholders』
general meeting shall be voted one by one, and for different motions on the same matter, voting will be
conducted according to the time sequence these motions are put forward. Other than special reasons
such as force majeure which results in the interruption of the meeting or makes it impossible to come to
resolution, the shareholders』 general meeting shall not postpone the motions and shall vote on them.
第一百一十九條 股東大會審議提案時,不會對提案進行修改,否則,有關變更應當被視為一個新的提案,
不能在本次股東大會上進行表決。
Article 119 When considering a motion at the shareholders』 general meeting, no change shall be made
thereto. Otherwise, such change shall be treated as a new motion which shall not be processed for
voting at that general meeting.
第一百二十條 同一表決權只能選擇現場、網絡或其他表決方式中的一種。同一表決權出現重複表決的以
第一次投票結果為準。
Article 120 The same voting right shall only be exercised by one means, either through onsite voting or
via internet or other voting means. If the same voting right is exercised in more than one means, the
result of the first vote cast shall prevail.
第一百二十一條 股東大會以現場表決的方式進行時,除非特別依照公司股票上市地證券監督管理機構的
相關規定以投票方式解決,或其他證券法律法規另有規定,或除非下列人員在舉手表決以前或者以後,要
求以投票方式表決,股東大會以舉手方式進行表決:
Article 121 At any shareholders』 general meeting, a resolution shall be decided on a show of hands
unless a poll demanded in accordance with relevant regulations of the securities regulatory authority of
the place where the Company is listed, or otherwise required by other security laws and regulations, or a
poll is demanded:
(一) 會議主席;
by the chairman of the meeting;
(二) 至少兩名有表決權的股東或者有表決權的股東的代理人;
by at least two (2) shareholders present in person or by proxy entitled to vote thereat;
44
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(三) 單獨或者合併計算持有在該會議上有表決權的股份百分之十以上 (含百分之十) 的一個或者若干股
東 (包括股東代理人) 。
by one (1) or more shareholders present in person or by proxy representing 10% or more of all
shares carrying the right to vote at the meeting, before or after a vote is carried out by a show of
hands.
除非特別依照公司股票上市地證券監督管理機構的相關規定以投票方式解決,或其他證券法律法規另有規
定,或有人按照前述規定提出以投票方式表決,會議主席根據舉手表決的結果,宣布提議通過情況,並將
此記載在會議記錄中,作為最終的依據,無須證明該會議通過的決議中支持或者反對的票數或者其比例。
Unless a poll is demanded, a declaration by the chairman that a resolution has been passed on a show
of hands and the recording of such in the minutes of meeting shall be conclusive evidence of the fact that
such resolution has been passed. There is no need to provide evidence of the number or proportion of
votes in favor of or against such resolution.
以投票方式表決的要求可以由提出者撤回。
The demand for a poll may be withdrawn by the person who demanded the same.
第一百二十二條 如果要求以投票方式表決的事項是選舉主席或者中止會議,則應當立即進行投票表決; 其
他要求以投票方式表決的事項,由主席決定何時舉行投票,會議可以繼續進行,討論其他事項,投票結果
仍被視為在該會議上所通過的決議。
Article 122 A poll demanded on the election of the chairman of the meeting, or on a question of the
adjournment of the meeting, shall be taken forthwith. A poll demanded on any other question shall be
taken as the chairman of the meeting directs, and any business other than that upon which a poll has
been demanded may be proceeded with pending the taking of the poll. The result of the poll shall be
deemed to be a resolution of the meeting at which the poll was demanded.
第一百二十三條 在股票表決時,有兩票或者兩票以上的表決權的股東 (包括股東代理人) ,不必把所有表
決權全部投贊成票或者反對票。
Article 123 On a poll taken at a meeting, a shareholder (including a proxy) entitled to two (2) or more
votes is not required to cast all his votes for or against any motion on all his votes.
第一百二十四條 當反對和贊成票相等時,無論是舉手、投票還是其他方式表決,會議主席有權多投一票。
Article 124 When the number of votes for and against a resolution is equal, the chairman of the meeting
shall be entitled to one additional vote.
第一百二十五條 股東大會對提案進行表決前,應當推舉兩名股東代表參加計票和監票。審議事項與股東
有利害關係的,相關股東及代理人不得參加計票、監票。
Article 125 Before the shareholders』 general meeting votes on resolutions, it shall nominate 2
shareholder representatives to count the votes and scrutinize the voting. If a shareholder has conflict of
interests in the matter to be discussed, the relevant shareholder and his proxy cannot participate in vote
counting or scrutinize the voting.
股東大會對提案進行表決時,應當由律師、股東代表與監事代表共同負責計票、監票,並當場公布表決結
果,決議的表決結果載入會議記錄。
When a shareholders』 general meeting vote on resolutions, the counting of votes and scrutinizing of
voting shall be conducted together by lawyers, shareholder representatives and supervisor
representatives. The voting results shall be announced during the meeting. The voting results shall be
contained in the minutes of meeting.
通過網絡或其他方式投票的上市公司股東或其代理人,有權通過相應的投票系統查驗自己的投票結果。
A shareholder of the Company or its proxy, who uses the internet or other voting methods, is entitled to
verify his voting results through relevant voting system.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百二十六條 股東大會現場結束時間不得早於網絡或其他方式,會議主席應當宣布每一提案的表決情
況和結果,並根據表決結果宣布提案是否通過。
Article 126 The conclusion of the shareholders』 general meeting on-site cannot be earlier than voting by
internet or other methods. The conductor of the meeting shall announce the voting circumstances and
results of each resolution. He shall also announce whether the resolutions have been passed according
to the voting results.
在正式公布表決結果前,股東大會現場、網絡及其他表決方式中所涉及的上市公司、計票人、監票人、主
要股東、網絡服務方等相關各方對表決情況均負有保密義務。
Before the voting results are officially announced, the companies, counting officers, scrutinizers, major
shareholders, the internet service provider and all relevant parties in relation to voting on-site, by internet
or otherwise have the duty to keep confidential the voting results.
第一百二十七條 出席股東大會的股東,應當對提交表決的提案發表以下意見之一:同意、反對或棄權。
Article 127 Shareholders attending the shareholders』 general meeting shall present one of the following
views during the voting of a resolution: consent, objection or abstention.
未填、錯填、字跡無法辨認的表決票、未投的表決票均視為投票人放棄表決權利,其所持股份數的表決結
果應計為「棄權」。
A voting ticket that is incomplete, wrongly completed, illegible, or not yet cast, will be treated as the voter
giving up his voting rights. The votes represented by his shares will be treated as 「abstention」.
如根據適用的法律法規及公司股票上市的交易所的上市規則規定,任何股東須就某議案放棄表決權,或限
制任何股東只能夠投票贊成 (或反對) 某議案,如有任何違反相關規定或限制的情況,由該等股東或其代
表投下的票數不得計算在內。
If any shareholders should give up the voting right for certain proposal or are restricted to be only able to
vote for (or against) certain proposal according to the provisions of applicable laws, regulations and the
Listing Rules of the Stock Exchange where the Company’s shares are listed, the votes by those
shareholders or their representatives shall not be counted in case of any violation of the relevant
provisions or restriction.
第一百二十八條 會議主席如果對提交表決的決議結果有任何懷疑,可以對所投票數組織點票; 如果會議主
席未進行點票,出席會議的股東或者股東代理人對會議主席宣布結果有異議的,有權在宣布表決結果後立
即要求點票,會議主席應當立即組織點票。股東大會如果進行點票,點票結果應當記入會議記錄。
Article 128 If the chairman of the meeting has any doubt as to the result of a resolution which has been
presented for at a shareholders』 meeting, he may have the votes counted. If the chairman of the meeting
has not counted the votes, any shareholder who is present in person or by proxy and who objects to the
result announced by the chairman of the meeting may, immediately after the declaration of the result,
demand that the votes be counted and the chairman of the meeting shall have the votes counted
immediately. If votes are counted at a shareholder’s general meeting, the result of the count shall be
recorded in the minute books.
第一百二十九條 會議記錄連同出席股東的籤名簿及代理出席的委託書,應當在公司住所保存。
Article 129 The minutes, shareholders』 attendance lists and proxy forms shall be kept at the Company's
place of residence.
第一百三十條 股東可以在公司辦公時間免費查閱會議記錄複印件。任何股東向公司索取有關會議記錄的
複印件,公司應當在收到合理費用後七日內把複印件送出。
Article 130 Copies of the minutes of proceedings of any shareholders' meeting shall, during business
hours of the Company, be open for inspection by any shareholder without charge. If a shareholder
requests a copy of such minutes from the Company, the Company shall send a copy of such minutes to
him within seven (7) days after receipt of reasonable fees thereof.
46
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百三十一條 股東大會決議應當及時公告,公告中應列明出席會議的股東 (包括其代理人) 人數、所持
有表決權的股份總數及佔公司有表決權股份總數的比例、表決方式、每項提案的表決結果和通過的各項決
議的詳細內容。
Article 131 The resolutions of the shareholders』 general meeting shall be announced promptly. Such
announcement shall specify the number of shareholders present in person or by proxy at the meeting,
the total number of voting shares held or represented by them, the percentage of such voting shares in
relation to all the voting shares of the Company, the voting methods, the voting result of each proposal,
and details of each resolution that are passed at the meeting.
公告還應當包括(i)使其持有人有權出席大會並於會上表決贊成或反對決議案的股份總數; (ii)使其持有人有
權出席大會但只可於會上表決反對決議案的股份總數; (iii) 有關決議案實際所得贊成及反對票數所分別代
表的股數。而且,公司並須在公告中確認那些曾表示打算表決反對有關決議案或放棄表決權的人士在股東
大會上是否確實按而行事。
The announcement shall also include: (I) total shares entitling the holders the right to attend the meeting
and vote for or against a resolution; (II) total shares entitling the holders the right to attend the meeting
but only vote against a resolution; (III) the amount of shares respectively represented by votes for and
against a relevant resolution. The Company shall confirm in the announcement, whether those people,
who have ever expressed to vote against a relevant resolution or give up their voting rights, would
indeed follow their words at the general meeting(s).
第一百三十二條 提案未獲通過,或者本次股東大會變更前次股東大會決議的,應當在股東大會決議公告
中作特別提示。
Article 132 If any proposal is not adopted, or the current shareholders』 general meeting amends the
resolution of the last shareholders』 general meeting, special indication thereof shall be given in the
announcement of the resolutions of the shareholders』 general meeting.
第一百三十三條 股東大會通過有關董事、監事選舉提案的,新任董事、監事在會議結束之後立即就任。
Article 133 If the proposal on election of new Directors and supervisors for a new session is adopted at
the shareholders』 general meeting, Directors and supervisors for the new session shall take the position
immediately after such shareholders』 general meeting.
第一百三十四條 股東大會通過有關派現、送股或資本公積轉增股本提案的,公司將在股東大會結束後 2 個
月內實施具體方案。
Article 134 If any proposal for a cash dividend, share allocation, or conversion from capital reserves to
share capital is adopted at the shareholders』 general meeting, the Company shall implement detailed
plans within two (2) months after the end of the shareholders』 general meeting.
第七節 類別股東表決的特別程序
Section 7 Special Procedures for Voting by Class Shareholders
第一百三十五條 持有不同種類股份的股東,為類別股東。
Article 135 Those shareholders who hold different classes of shares are class shareholders.
類別股東依據法律、行政法規和公司章程的規定,享有權利和承擔義務。
Class shareholders shall enjoy rights and assume obligations in accordance with law, administrative
regulation and the Company’s Articles of Association.
第一百三十六條 公司擬變更或者廢除類別股東的權利,應當經股東大會以特別決議通過和經受影響的類
別股東在按第一百三十八條至第一百四十二條分別召集的股東會議上通過,方可進行。
Article 136 Rights conferred on any class of shareholders may not be varied or abrogated save with the
approval of a special resolution of shareholders in a general meeting, and by holders of shares of that
class at a separate meeting conducted in accordance with Articles 138 to 142.
47
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百三十七條 下列情形應當視為變更或者廢除某類別股東的權利:
Article 137 The following circumstances shall be deemed to be variation or abrogation of the rights
attaching to a particular class of shares:
(一) 增加或者減少該類別股份的數目,或者增加或減少與該類別股份享有同等或者更多的表決權、分配
權、其他特權的類別股份的數目;
to increase or decrease the number of shares of that class, or to increase or decrease the number
of shares of a class having voting or equity rights or privileges equal or superior to those of shares
of that class;
(二) 將該類別股份的全部或者部分換作其他類別,或者將另一類別的股份的全部或者部分換作該類別股
份或者授予該等轉換權;
to exchange all or part of the shares of that class for shares of another class or to exchange or to
create a right to exchange all or part of the shares of another class for shares of that class;
(三) 取消或者減少該類別股份所具有的、取得已產生的股利或者累積股利的權利;
to remove or reduce rights to accrued dividends or rights to cumulative dividends attached to
shares of that class;
(四) 減少或者取消該類別股份所具有的優先取得股利或者在公司清算中優先取得財產分配的權利;
to reduce or remove preferential rights attached to shares of that class to receive dividends or to
the distribution of assets in the event that the Company is liquidated;
(五) 增加、取消或者減少該類別股份所具有的轉換股份權、選擇權、表決權、轉讓權、優先配售權、取
得公司證券的權利;
to add, remove or reduce conversion privileges, options, voting rights, transfer or pre-emptive
rights, or rights to acquire securities of the Company attached to shares of that class;
(六) 取消或者減少該類別股份所具有的,以特定貨幣收取公司應付款項的權利;
to remove or reduce rights to receive payment payable by the Company in particular currencies
attached to shares of that class;
(七) 設立與該類別股份享有同等或者更多表決權、分配權或者其他特權的新類別;
to create a new class of shares having voting or equity rights or privileges equal or superior to
those of the shares of that class;
(八) 對該類別股份的轉讓或所有權加以限制或者增加該等限制;
to restrict the transfer or ownership of shares of that class or to increase the types of restrictions
attaching thereto;
(九) 發行該類別或者另一類別的股份認購權或者轉換股份的權利;
to allot and issue rights to subscribe for, or to convert the existing shares into, shares in the
Company of that class or another class;
(十) 增加其他類別股份的權利和特權;
to increase the rights or privileges of shares of another class;
(十一) 公司改組方案會構成不同類別股東在改組中不按比例地承擔責任;
to restructure the Company in such a way so as to result in the disproportionate distribution of
obligations between the various classes of shareholders; and
(十二) 修改或者廢除本章所規定的條款。
to vary or abrogate the provisions of this Chapter.
第一百三十八條 受影響的類別股東,無論原來在股東大會上是否有表決權,在涉及第一百三十七條(二)
至(八)、(十一)至(十二)項的事項時,在類別股東會上具有表決權,但有利害關係的股東在類別股東
48
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
會上沒有表決權。
Article 138 Shareholders of the affected class, whether or not otherwise having the right to vote at
shareholders』 general meetings, shall have the right to vote at class meetings in respect of matters
concerning items (ii) to (viii), (xi) and (xii) of Article 137, but interested shareholder(s) shall not be entitled
to vote at such class meetings.
前款所述有利害關係股東的含義如下:
「(An) interested shareholder(s)」, as such term is used in the preceding paragraph, means:
(一) 在公司按本章程第三十一條的規定向全體股東按照相同比例發出購回要約或者在證券交易所通過公
開交易方式購回自己股份的情況下,「有利害關係的股東」是指本章程所定義的控股股東;
in the case of a repurchase of shares by way of a general offer to all shareholders of the Company
or by way of public dealing on a securities exchange pursuant to Article 31, a 「controlling
shareholder」 within the meaning of the Company’s Articles of Association;
(二) 在公司按照本章程第三十一條的規定在證券交易所外以協議方式購回自己股份的情況下,「有利害關
系的股東」是指與該協議有關的股東;
in the case of a repurchase of shares by an off-market agreement pursuant to Article 31 of the
Company’s Articles of Association, a holder of the shares to which the proposed agreement
relates;
(三) 在公司改組方案中,「有利害關係股東」是指以低於本類別其他股東的比例承擔責任的股東或者與該類
別中的其他股東擁有不同利益的股東。
in the case of a restructuring of the Company, a shareholder who assumes a relatively lower
proportion of obligation than the obligations imposed on shareholders of that class under the
proposed restructuring or who has an interest in the proposed restructuring different from the
general interests of the shareholders of that class.
第一百三十九條 類別股東會的決議,應當經根據第一百三十八條由出席類別股東會議的有表決權的三分
之二以上的股權表決通過,方可作出。
Article 139 Resolutions of a class of shareholders shall be passed by affirmative votes representing
more than two-thirds of the voting rights of shareholders of that class presented at the relevant meeting
who, according to Article 138, are entitled to vote thereat.
第一百四十條 公司召開類別股東會議,應當於會議召開四十五日前發出書面通知,將會議擬審議的事項
以及開會日期和地點告知所有該類別股份的在冊股東。擬出席會議的股東,應當於會議召開二十日前,將
出席會議的書面回復送達公司。
Article 140 Written notice of a class meeting shall be given to all shareholders who are registered as
holders of that class in the register of shareholders forty-five (45) days before the date of the class
meeting. Such notice shall give such shareholders notice of the matters to be considered at such
meeting and the date and place of the class meeting. A shareholder who intends to attend the class
meeting shall deliver his written reply in respect thereof to the Company twenty (20) days before the date
of the class meeting.
擬出席會議的股東所代表的在該會議上有表決權的股份數,達到在該會議上有表決權的該類別股份總數二
分之一以上的,公司可以召開類別股東會議;達不到的,公司應當在五日內將會議擬審議的事項、開會日
期和地點以公告或本章程規定的其他形式(如需要)再次通知股東,經公告或本章程規定的其他形式(如
需要)通知,公司可以召開類別股東會議,惟任何為考慮更改任何類別股份的權利而舉行的某個類別股東
會議(但不包括續會)所需的法定人數必須是該類別的已發行股份至少三分之一的持有人。
If the shareholders who intend to attend such class meeting represent more than half of the total number
of shares of that class which have the right to vote at such meeting, the Company may hold the class
meeting; otherwise, the Company shall within five (5) days give the shareholders further notice of the
matters to be considered and the date and place of the class meeting by way of public announcement or
49
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
other means (if required) prescribed by the Company’s Articles of Association. The Company may then
hold the class meeting after such further notice has been given by public announcement or by such other
means (if required). The quorum required to convene some class meeting (excluding follow-up) which
intends to vary the rights attaching to any class of shares must be holders who hold at least one third of
the total issued shares of that class.
第一百四十一條 類別股東會議的通知只須送給有權在該會議上表決的股東。
Article 141 Notice of class meetings need only be served on shareholders entitled to vote thereat.
類別股東會議應當以與股東大會儘可能相同的程序舉行,公司章程中有關股東大會舉行程序的條款適用於
類別股東會議。
Class meetings shall be conducted in a manner which is as similar as possible to that of shareholders』
general meetings. The provisions of the Company’s Articles of Association relating to the manner for the
conduct of shareholders』 general meetings are also applicable to class meetings.
第一百四十二條 除其他類別股份股東外,內資股股東和境外上市外資股股東視為不同類別股東。
Article 142 Apart from the holders of other classes of shares, the holders of the Domestic-Invested
Shares and holders of Overseas-Listed Foreign-Invested Shares shall be deemed to be holders of
different classes of shares.
下列情形不適用類別股東表決的特別程序:(一)經股東大會以特別決議批准,公司每間隔十二個月單獨
或者同時發行內資股、境外上市外資股,並且擬發行的內資股、境外上市外資股的數量各自不超過該類已
發行在外股份的百分之二十的;(二)公司設立時發行內資股、境外上市外資股的計劃,自中國證券監督
管理機構批准之日起十五個月內完成的;或(三)本章程第十八條所述的經中國證券監督管理機構核准,
公司內資股股東將所持股份轉讓給境外投資人,並在境外證券交易所上市交易。
The special procedures for approval by a class of shareholders shall not apply in the following
circumstances: (i) where the Company issues, upon the approval by special resolution of its
shareholders in a general meeting, either separately or concurrently once every twelve (12) months, not
more than 20% of each of its existing issued Domestic-Invested Shares and Overseas-Listed
Foreign-Invested Shares; (ii) where the Company’s plan to issue Domestic-Invested Shares and
Overseas-Listed Foreign-Invested Shares at the time of its establishment is carried out within fifteen (15)
months from the date of approval of the securities regulatory institution of China; or (iii) Where a holder
of Domestic-Invested Shares transfers its shares to a foreign investor with approval of the securities
regulatory institution of China as mentioned in article 18 of the Company’s Articles of Association and
such shares are listed in an overseas securities exchange.
第七章 董事會
Chapter 7 Board of Directors
第一節 董 事
Section 1 Directors
第一百四十三條 公司董事為自然人。董事無需持有公司股份。
Article 143 Directors of the Company are natural persons. It is unnecessary for Directors to hold shares
of the Company.
違反本章規定選舉、委派董事的,該選舉、委派或者聘任無效。董事在任職期間出現第二百一十六條情形
的,公司解除其職務。
If the election or appointment of a Director violates the provisions of the Company’s Articles of
Association, such election, appointment or engagement shall be deemed invalid. Where a circumstance
prescribed in article 216 occurs during the term of office of a Director, the Company shall remove him.
50
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百四十四條 董事由股東大會選舉或更換,任期 3 年。有關提名董事候選人的意圖以及候選人表明願
意接受提名的書面通知,應當在有關股東大會通知發出後至股東大會召開七天前的期間內發給公司,而該
期間不少於七天。董事任期屆滿,可連選連任。董事在任期屆滿以前,股東大會不能無故解除其職務。股
東大會在遵守有關法律、行政法規規定的前提下,可以以普通決議的方式將任何任期未屆滿的董事罷免(但
依據任何合同可提出的索償要求不受此影響)。
Article 144 Directors shall be elected or replaced at the shareholders』 general meeting and a Director’s
term shall be three (3) years. Written notice to nominate a person as Director and a written notice by that
person of his willingness to be nominated shall be delivered to the Company after delivery of related
notice of a shareholders』 general meeting and seven (7) days prior to the convocation of the
shareholders』 general meeting. The term of office of a Director may be renewed upon reelection when it
expires. The shareholders』 general meeting may not remove any Director without cause before the
expiration of his term of office. However, subject to compliance with all relevant laws and administrative
regulations, the shareholders』 general meeting may by ordinary resolution remove any Director before
the expiration of his term of office (however, the Director’s right to claim for damages which arises from
the removal shall not be affected thereby).
董事任期從就任之日起計算,至本屆董事會任期屆滿時為止。董事任期屆滿未及時改選,在改選出的董事
就任前,原董事仍應當依照法律、行政法規、部門規章和本章程的規定,履行董事職務。
A Director’s term of office shall commence from the date when he takes office and end upon expiry of the
term of current session of the Board of Directors. After expiry of a Director’s term of office but before a
new Director is elected and takes office, the retiring Director shall continue to perform his duty as a
Director pursuant to laws, administrative regulations, department rules and the Company’s Articles of
Association.
董事可以由總經理或者其他高級管理人員兼任,但兼任總經理或者其他高級管理人員職務的董事以及由職
工代表擔任的董事,總計不能超過公司董事總數的 1/2。
The general manager or other senior management members may concurrently serve as Directors,
provided that the total number of Directors who concurrently serve as the general manager or other
senior management members and the total number of Directors who are served by employee
representatives shall not exceed half of the total Directors of the Company.
本公司董事會不設由職工代表擔任的董事。董事的選聘程序如下:
There’s no Director who is served by employee representative in the Board of Directors of the Company.
Directors shall be elected and engaged according to the following procedures:
(一) 按本章程第一百一十六條的規定提名董事候選人;
to nominate a candidate for Directorship subject to article 116 of the Company’s Articles of
Association;
(二) 公司在股東大會召開前以公告的形式披露董事候選人的詳細資料,保證股東在投票時對候選人有足
夠的了解;
to disclose details of such candidate by public announcement prior to convocation of a
shareholders』 general meeting, so as to ensure the shareholders have full knowledge about the
candidate at the time of voting;
(三) 董事候選人在股東大會召開之前作出書面承諾,同意接受提名,承諾公開披露的董事候選人的資料
真實、完整並保證當選後切實履行董事職責;
a written commitment shall be made by the candidate prior to convocation of a shareholders』
general meeting, expressing his willingness to accept the nomination, promising to publicly
disclose his information truthfully and completely and warranting to faithfully perform his duties as
a Director after election;
(四) 按本章程第一百一十七條的規定對董事候選人名單進行表決;
51
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
to vote with respect of the list of Director candidates according to article 117 of the Company’s
Articles of Association; and
(五) 董事當選後,公司與其籤訂聘任合同。
to enter into a contract of employment with the Director after his election.
第一百四十五條 董事應當遵守法律、行政法規和本章程,對公司負有下列忠實義務:
Article 145 Directors shall observe laws, administrative regulations and the Company’s Articles of
Association and shall assume the following duties of loyalty to the Company:
(一) 不得利用職權收受賄賂或者其他非法收入,不得侵佔公司的財產;
not to accept any bribery or other illegal income by using his powers and position, nor seize the
assets of the Company in any manner;
(二) 不得挪用公司資金;
not to misappropriate the funds of the Company;
(三) 不得將公司資產或者資金以其個人名義或者其他個人名義開立帳戶存儲;
not to open accounts in his own or another individual's name for deposit of the Company’s assets
or funds;
(四) 不得違反本章程的規定,未經股東大會或董事會同意,將公司資金借貸給他人或者以公司財產為他
人提供擔保;
not to violate the Company’s Articles of Association, or loan the funds of the Company to others or
use Company’s assets as security for the debts of others without approval of the shareholders』
general meeting or the Board of Directors;
(五) 不得違反本章程的規定或未經股東大會同意,與本公司訂立合同或者進行交易;
not to violate the Company’s Articles of Association or enter into contracts or conduct transactions
with the Company without approval of the shareholders』 general meeting;
(六) 未經股東大會同意,不得利用職務便利,為自己或他人謀取本應屬於公司的商業機會,自營或者為
他人經營與本公司同類的業務;
not to, without approval of the shareholders』 general meeting, seek business opportunities which
should have belonged to the Company for himself or others by using his powers and position, or
run the same businesses as those of the Company for himself or for others;
(七) 不得接受與公司交易的佣金歸為己有;
not to accept commissions relating to the transactions of the Company and appropriate to himself;
(八) 不得擅自披露公司秘密;
not to disclose secrets of the Company without permission;
(九) 不得利用其關聯關係損害公司利益;
not to take advantage of his connection with the Company to harm interests of the Company; and
(十) 法律、行政法規、部門規章及本章程規定的其他忠實義務。
Other duties of loyalty as prescribed by laws, administrative regulations, department rules and the
Company’s Articles of Association.
董事違反本條規定所得的收入,應當歸公司所有;給公司造成損失的,應當承擔賠償責任。
The proceeds obtained by a Director in violation of this article shall belong to the Company. Where the
Company suffers any losses thereby, the said Director shall be obliged to make compensations therefor.
第一百四十六條 董事應當遵守法律、行政法規和本章程,對公司負有下列勤勉義務:
Article 146 Directors shall observe laws, administrative regulations and the Company’s Articles of
Association and shall assume the following duties of due diligence to the Company:
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 應謹慎、認真、勤勉地行使公司賦予的權利,以保證公司的商業行為符合國家法律、行政法規以及
國家各項經濟政策的要求,商業活動不超過營業執照規定的業務範圍;
to cautiously, earnestly and diligently fulfill the rights conferred by the Company to ensure that the
business conduct of the Company is in conformity with laws, administrative regulations and all
economic policies of the State, and its business activities shall not go beyond the business scope
as registered in its business license;
(二) 應公平對待所有股東;
to treat fair all shareholders;
(三) 及時了解公司業務經營管理狀況;
To timely become aware of the business and management situation of the Company;
(四) 應當對公司定期報告籤署書面確認意見;
to sign written confirmation comments with respect to the regular reports of the Company;
(五) 應當如實向監事會提供有關情況和資料,不得妨礙監事會或者監事行使職權;
to faithfully furnish related information and materials to the Board of Supervisors, and not to
interfere with the Board of Supervisors or the supervisors in exercising its/their powers; and
(六) 法律、行政法規、部門規章及本章程規定的其他勤勉義務。
Other duties of due diligence as prescribed by laws, administrative regulations, department rules
and the Company’s Articles of Association.
第一百四十七條 董事連續兩次未能親自出席,也不委託其他董事出席董事會會議,視為不能履行職責,
董事會應當建議股東大會予以撤換。
Article 147 In case a Director has failed to be present in person at any two (2) consecutive board
meetings, nor authorized another Director to be present at the board meeting on his behalf, he shall be
considered unable to fulfill his responsibilities as a Director, and the Board of Directors shall accordingly
suggest the shareholders』 general meeting making a replacement.
第一百四十八條 董事可以在任期屆滿前提出辭職。董事辭職應向董事會提交書面辭職報告。
Article 148 A Director may resign before expiry of his term of office, subject to submission of a written
resignation report to the Board of Directors.
如因董事的辭職導致公司董事會低於法定最低人數時,在改選出的董事就任前,原董事仍應當依照法律、
行政法規、部門規章和本章程規定,履行董事職務。
If the number of the Company’s Directors is less than the quorum as required by law due to a Director’s
resignation, such resigning Director shall continue to perform his duty as a Director pursuant to laws,
administrative regulations, department rules and the Company’s Articles of Association until a new
Director is elected and takes office.
除前款所列情形外,董事辭職自辭職報告送達董事會時生效。選舉為董事以填補董事會臨時空缺或增加董
事會名額的任何人士,該新任董事或為增加董事會名額而被委任為董事的任何人士的任期自獲選生效之日
起至公司的下一屆股東年會為止,並於其時有資格重選連任。
Except for the case mentioned in the preceding paragraph, resignation of Directors shall take effect
immediately upon the Board of Directors』 receipt of the written resignation report. As to any person being
elected to be a Director to fill a casual vacancy on the Board or as an addition to the existing Board, the
term of office of such new Director or additional Director being elected for increasing the number of
Directors on the Board shall commence from the date of validity of such election and end upon the next
annual general meeting, and the said Director shall be qualified for reelection and renewal thereat.
第一百四十九條 董事辭職生效或者任期屆滿,應向董事會辦妥所有移交手續,其對公司和股東承擔的忠
實義務,在任期結束後並不當然解除,在本章程規定的合理期限內仍然有效。
Article 149 A Director whose resignation takes effect or whose term of office expires shall complete all
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
handover procedures to the Board of Director, but his duties of loyalty to the Company and shareholders
may not be certainly discharged upon expiry of his term and shall remain effective within a reasonable
time limit prescribed in the Company’s Association.
第一百五十條 未經本章程規定或者董事會的合法授權,任何董事不得以個人名義代表公司或者董事會行
事。董事以其個人名義行事時,在第三方會合理地認為該董事在代表公司或者董事會行事的情況下,該董
事應當事先聲明其立場和身份。
Article 150 No Director shall act on behalf of the Company or the Board of Directors without legal
authorization provided hereunder or by the Board of Directors. When a Director acts in his own name
and a third party reasonably considers such Director acts on behalf of the Company or the Board of
Directors, such Director shall declare in advance his position and capacity.
第一百五十一條 董事執行公司職務時違反法律、行政法規、部門規章或本章程的規定,給公司造成損失
的,應當承擔賠償責任。
Article 151 If a Director violates laws, administrative regulations, department rules or the Company’s
Articles of Association when performing his duties in the Company, such Director shall indemnify the
Company against losses incurred due to such violation.
第一百五十二條 獨立董事應按照法律、行政法規及部門規章的有關規定執行。
Article 152 Independent Directors shall perform in accordance with pertinent provisions set forth in laws,
administrative regulations and department rules.
第二節 董事會
Section 2 Board of Directors
第一百五十三條 公司設董事會,對股東大會負責。
Article 153 The Company shall have a Board of Directors, which is accountable to the shareholders in
general meeting.
第一百五十四條 董事會由 9 名董事組成,設董事長 1 名,副董事長 1 名。
Article 154 The Board of Directors shall be composed of 9 Directors and shall have one (1) chairman
and one (1) vice chairman.
第一百五十五條 董事會行使下列職權:
Article 155 The Board of Directors exercises the following functions and powers:
(一) 召集股東大會,並向股東大會報告工作;
to convene the shareholders』 general meeting and to report on its work to the shareholders in
general meetings;
(二) 執行股東大會的決議;
to implement the resolutions adopted by the shareholders in general meetings;
(三) 決定公司的經營計劃和投資方案;
to determine the Company’s business plans and investment proposals;
(四) 制訂公司的年度財務預算方案、決算方案;
to formulate the Company’s preliminary and final annual financial budgets;
(五) 制訂公司的利潤分配方案和彌補虧損方案;
to formulate the Company's profit distribution proposal and loss recovery proposal;
(六) 制訂公司增加或者減少註冊資本、發行債券或其他證券及上市方案;
to formulate proposals for the increase or reduction of the Company's registered capital and for the
issuance of the Company’s debentures or other securities and listing;
(七) 擬訂公司重大收購、收購本公司股票或者合併、分立、解散及變更公司形式的方案;
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
to formulate plans for important mergers and acquisition of the shares of the Company,
consolidation, division, dissolution or change of the form of the Company;
(八) 在股東大會授權範圍內,決定公司對外投資、收購出售資產、資產抵押、對外擔保事項、委託理財、
關聯交易等事項;
to determine, to the extent authorized by the shareholders』 general meeting, on such matters as
the external investments, purchase or sale of assets, assets pledge, external guarantee, entrusted
banking and connected transactions of the Company;
(九) 決定公司內部管理機構的設置;
to decide on the Company’s internal management structure;
(十) 聘任或者解聘公司總經理、董事會秘書;根據總經理的提名,聘任或者解聘公司副總經理、財務負
責人等高級管理人員,並決定其報酬事項和獎懲事項;
to appoint or remove the Company’s general manager or secretary to the board, and, based on the
recommendations of the general manager, to appoint or remove the vice general manager(s) and
other senior management members as CFO and decide on their remuneration;
(十一) 制訂公司的基本管理制度;
to formulate the Company’s basic management system;
(十二) 制訂本章程的修改方案;
to formulate proposals for any amendment of the Company’s Articles of Association;
(十三) 管理公司信息披露事項;
to manage the information disclosure of the Company;
(十四) 向股東大會提請聘請或更換為公司審計的會計師事務所;
to propose to the shareholders』 general meeting for retaining or replacement of the accountancy
firm that does auditing for the Company;
(十五) 聽取公司總經理的工作匯報並檢查總經理的工作;
to hear reporting from the Company’s general manager and inspect the performance of the
general manager; and
(十六) 法律、行政法規、部門規章或本章程授予的其他職權。
to exercise any other powers conferred by the laws, administrative regulations, department rules
or the Company’s Articles of Association.
董事會作出前款決議事項,除(六)、(七)、(十二)項和法律、行政法規及本章程另有規定的必須由 2/3
以上董事表決同意外,其餘可以由半數以上的董事表決同意。超過股東大會授權範圍的事項,應當提交股
東大會審議。
Other than the Board of Directors』 resolutions in respect of the matters specified in items (vi), (vii) and (xii)
of this Article which shall be passed by the affirmative vote of more than two-thirds of all Directors as
provided by laws, administrative regulations and the Company’s Articles of Association, the Board of
Directors』 resolutions in respect of all other matters may be passed by the affirmative vote of a simple
majority of all the Directors. Matters beyond the scope of authorization of the shareholders』 general
meeting shall be submitted to the shareholders』 general meeting for deliberation.
第一百五十六條 董事會應當就註冊會計師對公司財務報告出具的非標準審計意見向股東大會作出說明。
Article 156 The Board of Directors of the Company shall give explanation in connection with the
non-standard audit opinion issued by the registered accountant on the financial report of the Company at
the shareholders』 general meeting.
第一百五十七條 董事會制定董事會議事規則,以確保董事會落實股東大會決議,提高工作效率,保證科
55
鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
學決策。
Article 157 The Board of Directors shall formulate the procedural rules to be followed at meetings of the
Board of Directors, so as to ensure the Board of Directors fulfill resolutions adopted at the shareholders』
general meeting, improve working efficiency and ensure scientific decision making.
第一百五十八條 董事會應當確定對外投資、收購出售資產、資產抵押、對外擔保事項、委託理財、關聯
交易的權限,建立嚴格的審查和決策程序;重大投資項目應當組織有關專家、專業人員進行評審,並報股
東大會批准。
Article 158 The Board of Directors shall determine the extent of authority for external investments,
purchase or sale of assets, assets pledge, external guarantee, entrusted banking and connected
transactions of the Company, establish strict examination and decision-making procedures, organize
related experts and professionals to make assessment in case of significant investment project and
report the result thereof to the shareholders』 general meeting for approval.
第一百五十九條 公司董事長、副董事長由董事會以全體董事的過半數選舉產生和罷免。
Article 159 The chairman and vice chairman of the Company shall be elected and removed by the
Board of Directors subject to the affirmative vote of a simple majority of all Directors.
第一百六十條 董事會在處置固定資產時,如擬處置固定資產的預期價值,與此項處置建議前四個月內已
處置了的固定資產所得到的價值的總和,超過股東大會最近審議的資產負債表所顯示的固定資產價值的百
分之三十三,則董事會在未經股東大會批准前不得處置或者同意處置該固定資產。
Article 160 The Board of Directors shall not, without the prior approval of shareholders in a general
meeting, dispose or agree to dispose of any fixed assets of the Company where the aggregate of the
amount or value of the consideration for the proposed disposition, and the amount or value of the
consideration for any such disposition of any fixed assets of the Company that has been completed in
the period of four (4) months immediately preceding the proposed disposition, exceeds 33% of the value
of the Company's fixed assets as shown in the latest balance sheet which was approved at a
shareholders』 general meeting.
本條所指對固定資產的處置,包括轉讓某些資產權益的行為,但不包括以固定資產提供擔保的行為。
For the purposes of this Article, 「disposition」 includes an act involving the transfer of an interest in assets
but does not include the usage of fixed assets for the provision of security.
公司處置固定資產進行的交易的有效性,不因違反本條第一款而受影響。
The validity of a disposition by the Company shall not be affected by any breach of the first paragraph of
this Article.
第一百六十一條 董事長是公司法定代表人,行使下列職權:
Article 161 The chairman of the Board of Directors is the legal representative of the Company and shall
exercise the following powers:
(一) 主持股東大會和召集、主持董事會會議;
to preside over shareholders』 general meetings and to convene and preside over meetings of the
Board of Directors;
(二) 督促、檢查董事會決議的執行;
to urge and check on the implementation of resolutions passed by the Board of Directors at
Directors』 meetings;
(三) 籤署公司發行的證券;
to sign the securities certificates issued by the Company; and
(四) 董事會授予的其他職權。
to exercise other powers conferred by the Board of Directors.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百六十二條 公司副董事長協助董事長工作,董事長不能履行職務或者不履行職務的,由副董事長履
行職務;副董事長不能履行職務或者不履行職務的,由半數以上董事共同推舉一名董事履行職務。
Article 162 The vice chairman of the Board of Directors shall assist works of the chairman. If the
chairman of the Board of Directors is unable or fails to perform his duties, the vice chairman shall
perform such duties; if the vice chairman of the Board of Directors is unable or fails to perform his duties,
a Director nominated by more than half of the Directors shall perform such duties.
第一百六十三條 董事會每年至少召開 4 次定期會議,由董事長召集,於會議召開 14 日以前書面通知全體
董事和監事。
Article 163 Regular meetings shall be held at least four (4) times each year. Regular meetings shall be
convened by the Chairman by serving a notice to all Directors and supervisors at least fourteen (14)
days before the proposed date of the meeting.
董事長不能召集、主持會議時,由副董事長召集、主持董事會。
If the chairman of the Board of Directors is unable to convene or preside over the meeting, such meeting
shall be convened and presided over by the vice chairman.
第一百六十四條 代表 1/10 以上表決權的股東、1/3 以上董事或者監事會、1/2 以上獨立董事或總經理提議
時;董事長認為必要時;或中國證券監管機構要求時,董事會應召開臨時會議。董事長應當自接到提議或
中國證券監管部門要求後 10 日內,召集和主持董事會會議。
Article 164 A special meeting may be convened upon request by shareholders representing more than
10% voting rights, more than one third of all Directors, the Board of Supervisors, more than half of the
independent Directors or the general manager of the Company, or may be convened when the chairman
of the Board of Directors deems necessary or the securities regulatory institution of China requires. The
chairman of the Board of Directors shall convene and preside over a meeting of the Board of Directors
within ten (10) days upon receipt of such request or the requirement of the securities regulatory
institution of China.
第一百六十五條 董事會召開董事會臨時會議的通知方式為專人送達、郵件、傳真或電話通知;通知時限
為會議召開 5 日前。
Article 165 Notice of special meetings of the Board of Directors may be delivered by hand, e-mail, via
facsimile or telephone. Deadline for serving the notices is at least five (5) days in advance.
第一百六十六條 董事會會議通知包括以下內容:
Article 166 A written notice on the meeting of the Board of Directors shall at least include:
(一) 會議的時間、地點;
the time and place of the meeting;
(二) 會議的召開方式;
the method for holding the meeting;
(三) 擬審議的事項(會議提案);
the matters (proposals) to be deliberated;
(四) 會議召集人和主持人、臨時會議的提議人及其書面提議;
the convener and the presider of the meeting, the proponent of the special meeting as well as the
written proposals;
(五) 董事表決所必需的會議材料;
the conference materials necessary for the voting of the Board of Directors;
(六) 董事應當親自出席或者委託其他董事代為出席會議的要求;
the requirement that the Directors shall attend the meeting in person or by entrusting other
Directors; and
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(七) 聯繫人和聯繫方式。
the contact person and contact information.
口頭會議通知至少應包括上述第(一)、(二)及(三)項內容,以及情況緊急需要儘快召開董事會臨時會
議的說明。
An oral notice shall at least include the contents mentioned in the aforesaid items (i), (ii) and (iii) as well
as the explanations on holding the special meeting of the Board of Directors under the urgent
circumstance.
第一百六十七條 董事會會議應當由過半數的董事(包括按本章程規定,書面委託其他董事代為出席董事
會議的董事)出席方可舉行。董事會作出決議,必須經全體董事的過半數通過,法律、行政法規或本章程
另有規定的除外。
Article 167 Meetings of the Board of Directors shall be held only if more than half of the Directors
(including any alternative Director appointed in writing to be present on behalf of other Director pursuant
to the Company’s Articles of Association) are present. Unless otherwise provided for in laws,
administrative regulations or the Company’s Articles of Association, a resolution of the Board of Directors
must be passed by the majority of the Directors of the Company.
董事會決議的表決,實行一人一票。當反對票和贊成票相等時,董事長有權多投一票。
Each Director shall have one (1) vote. Where there is an equality of votes cast both for and against a
resolution, the chairman of the Board of Directors shall have another casting vote.
第一百六十八條 董事與董事會會議決議事項所涉及的企業有關聯關係的,不得對該項決議行使表決權,
也不得代理其他董事行使表決權。該董事會會議由過半數的無關聯關係董事出席即可舉行,董事會會議所
作決議須經無關聯關係董事過半數通過。出席董事會的無關聯董事人數不足 3 人的,應將該事項提交股東
大會審議。關聯董事的定義和範圍根據公司上市地證券監管機構及證券交易所的相關規定確定。
Article 168 The Director of the Company affiliated with the enterprise involved in the matters discussed
by the Board of Directors shall not exercise his own, or represent other Directors to exercise voting right
for such matters. The meeting of the Board of Directors may be held once more than half of the
unaffiliated Directors will be present. The resolution made by the meeting of the board shall be adopted
by more than half of all such Directors. Where there are not more than three (3) unaffiliated Directors
present, the relevant matters shall be forwarded to the shareholders』 general meeting for deliberation.
The definition and scope of affiliated Director shall be determined subject to pertinent provisions of the
securities regulatory institution and the stock exchange in the place where the Company goes public.
第一百六十九條 董事會決議表決方式為舉手或記名投票表決。
Article 169 Resolutions to be adopted at the meeting of the Board of Directors shall be voted by raising
hands or by secret ballot.
董事會臨時會議在保障董事充分表達意見的前提下,可以用傳真方式進行並作出決議,並由參會董事籤字。
Special meeting of the board of Directors may, under the premise that Directors will be guaranteed to
have their opinions fully and thoroughly expressed, be conducted via facsimile and resolutions may be
passed thereat, and Directors present shall sign.
第一百七十條 董事會會議,應由董事本人出席;董事因故不能出席,可以書面委託其他董事代為出席,
委託書中應載明代理人的姓名,代理事項、授權範圍和有效期限,並由委託人籤名或蓋章。代為出席會議
的董事應當在授權範圍內行使董事的權利。董事未出席董事會會議,亦未委託代表出席的,視為放棄在該
次會議上的投票權。
Article 170 The Directors shall attend in person the meetings of the Board of Directors. Where any
Director is unable to attend the meeting for a certain reason, he may, by issuing a written power of
attorney on which he will sign or seal, entrust another Director to attend the meeting on his behalf, and
the name of such Director entrusted, the matters entrusted, the scope of authorization and the valid
period shall be stated in the power of attorney. A Director appointed as a representative of another
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Director to attend the meeting shall exercise the rights of a Director within the scope of authority
conferred by the appointing Director. Where a Director is unable to attend a meeting of the Board of
Directors, and has not appointed a representative to attend the meeting on his behalf, he shall be
deemed to have waived his right to vote at the meeting.
第一百七十一條 董事會應當對會議所議事項的決定做成會議記錄,出席會議的董事應當在會議記錄上籤
名。
Article 171 The Board of Directors shall prepare records regarding the resolutions on the matters
discussed at the meeting, which shall be signed by the Directors in presence.
董事會會議記錄作為公司檔案保存,保存期限為 10 年。
Such records regarding the resolutions on the matters discussed at the meeting shall be kept as
archives of the Company for ten (10) years.
第一百七十二條 董事會會議記錄包括以下內容:
Article 172 The records of meetings of the Board of Directors shall include:
(一) 會議召開的日期、地點和召集人姓名;
time and place of the meeting and name of the convener;
(二) 出席董事的姓名以及受他人委託出席董事會的董事(代理人)姓名;
name of Directors present at meeting and name of Director (agent) appointed to present the
meeting of the Board of Directors on behalf of others;
(三) 會議議程;
agenda;
(四) 董事發言要點(其中應該包括董事提出的任何疑慮或表達的反對意見,如有);
essentials of speeches delivered by Directors (including any doubt raised by the Directors or
objection expressed by the Directors, if any);
(五) 每一決議事項的表決方式和結果(表決結果應載明贊成、反對或棄權的票數)。
way of voting and result thereof with respect of each matter to be deliberated (the number of votes
for, against or waiver shall be stated in the voting result).
第一百七十三條 董事應在董事會決議上簽字並對董事會的決議承擔責任。董事會決議違反法律、法規或
者公司章程、股東大會決議,致使公司遭受損失的,參與決議的董事對公司負賠償責任。但經證明在表決
時曾表明異議並記載於會議記錄的,該董事可以免除責任。
Article 173 The Directors shall sign the minutes of resolutions passed at meetings of the Board of
Directors and shall be liable for the resolutions of the Board of Directors. If a resolution of the Board of
Directors violates the law, administrative regulation or the Company’s Articles of Association or
resolution of the shareholders』 general meeting, and the Company suffers serious losses as a result
thereof, the Directors who participated in the passing of such resolution shall compensate the Company
therefor. However, if it can be proven that a Director expressly objected to the resolution when the
resolution was voted on, and that such objection was recorded in the minutes of the meeting, such
Director shall be released from such liability.
第三節 董事會秘書
Section 3 Secretary to the Board of Directors
第一百七十四條 公司設董事會秘書,負責公司股東大會和董事會會議的籌備、文件保管以及公司股東資
料管理等事宜。
Article 174 The Company have a secretary to the Board of Directors , who shall be responsible for the
preparation of the sessions of shareholders』 general meeting and meetings of the Board of Directors,
preservation of documents and management of the information of the Company’s shareholders, etc.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
董事會秘書是公司高級管理人員,對公司和董事會負責,應遵守法律、行政法規、部門規章及本章程的有
關規定。
The secretary to the Board of Directors is a senior officer of the Company and is accountable for the
Company and the Board of Directors. He shall observe pertinent provisions of laws, administrative
regulations, department rules and the Company’s Articles of Association.
第一百七十五條 公司應當為董事會秘書履行職責提供便利條件,董事、監事、高級管理人員及公司有關
人員應當支持、配合董事會秘書的工作。
Article 175 The Company shall provide convenient conditions for the secretary to the Board of Directors
to perform his duties, and Directors, supervisors, senior management members and related personnel of
the Company shall support and coordinate with the works of the secretary to the Board of Directors.
董事會秘書為履行職責有權了解公司的財務和經營情況,公司有關部門和人員應及時提供相關資料和信
息。
The secretary to the Board of Directors shall have the right to know the financial positions and operating
results of the Company for performing his duties, and the departments and personnel of the Company
concerned shall timely furnished related materials and information thereto.
第一百七十六條 董事會秘書應當具備履行職責所必需的財務、管理、法律等專業知識,具有良好的職業
道德和個人品質,並取得上海證券交易所頒發的董事會秘書培訓合格證書。
Article 176 The secretary of the Company’s Board of Directors shall have the requisite professional
knowledge in terms of finance, management and law, possess good professional ethics and personal
quality and has been granted with the Certificate of Training for Secretary of Board by Shanghai Stock
Exchange.
具有下列情形之一的人士不得擔任董事會秘書:
Any of the following persons shall not serve as a secretary to the Board of Directors:
(一) 《公司法》第一百四十七條規定的任何一種情形;
any circumstance as provided in article 147 of the Company Law;
(二) 最近三年受到過中國證監會的行政處罰;
having been subject to the administrative punishment of China Securities Regulatory Commission
in the recent year years;
(三) 最近三年受到過證券交易所公開譴責或者三次以上通報批評;
Having been publicly censured or criticized by circulating a notice of criticism for more than three (3)
times by a stock exchange in the recent three years;
(四) 本公司現任監事;
Currently serving as supervisor of the Company; or
(五) 上海證券交易所認定不適合擔任董事會秘書的其他情形。
Other circumstances which Shanghai Stock Exchange deems inappropriate to take the post of
secretary to the Board of Directors.
第一百七十七條 董事會秘書應當遵守公司章程,承擔公司高級管理人員的有關法律責任,對公司負有誠
信和勤勉義務,不得利用職權為自己或他人謀取不正當利益。
Article 177 The secretary to the Board of Directors shall observe the Company’s Articles of Association,
shoulder related legal liabilities to be shouldered by a senior officer of the Company, have the obligation
of good faith and due diligence to the Company and shall not seek illegitimate benefits for himself or
others by using his powers and position.
第一百七十八條 董事會秘書的職責:
Article 178 The responsibilities of the secretary to the Board of Directors are to:
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 負責公司信息對外公布,協調公司信息披露事務,組織制定公司信息披露事務管理制度,督促公司
和相關信息披露義務人遵守信息披露相關規定;
administer the public announcement of information of the Company, coordinate with the
information disclosure issues, organize the formulation of an information disclosure management
system for the Company, and urge the Company and related information disclosure obligor to
observe related provisions governing information disclosure;
(二) 負責投資者關係管理,協調公司與證券監管機構、投資者、證券服務機構、媒體等之間的信息溝通;
administer investor relations, coordinate the information communication among the Company and
the securities regulatory institution, investors, security service agencies and the medias;
(三) 組織籌備董事會會議和股東大會會議,參加股東大會會議、董事會會議、監事會會議及高級管理人
員相關會議,負責董事會會議記錄工作並籤字
organize and prepare meetings of the Board of Directors and shareholders』 general meetings,
participate in the shareholders』 general meetings, meetings of the Board of Directors and that of
the Board of Supervisors and meetings involving senior management members, and be
responsible for recording minutes of the meetings of the Board of Directors and signing thereon;
(四) 負責公司信息披露的保密工作,在未公開重大信息洩露時,及時向上海證券交易所報告並披露;
administer the confidentiality of the disclosure of information and, when no significant information
divulgement is announced, timely report to Shanghai Stock Exchange and make disclosure;
(五) 關注媒體報導並主動求證報導的真實性,督促公司董事會及時回複本所問詢;
Pore over press coverage and initiatively seek confirmation of the authenticity of such coverage,
urge the Board of Directors to timely reply queries of the Exchange;
(六) 組織公司董事、監事和高級管理人員進行相關法律、行政法規、本規則及相關規定的培訓,協助前
述人員了解各自在信息披露中的職責;
organize trainings for Directors, supervisors and senior management members of the Company in
respect of pertinent laws, administrative regulations, these Rules and other related regulations,
assist them in finding out their respective duties in terms of information disclosure;
(七) 知悉公司董事、監事和高級管理人員違反法律、行政法規、部門規章、 其他規範性文件、本規則、
本所其他規定和公司章程時,或者公司作出或可能作出違反相關規定的決策時,應當提醒相關人員,
並立即向上海證券交易所報告;
when becoming aware of that any Director, supervisor or senior officer of the Company violates
laws, administrative regulations, department rules, other normative documents, these Rules, other
stipulations of the Exchange or its Articles of Association, or when the Company makes or may
possibly make a decision in violation of pertinent provisions, he shall remind related personnel and
report it to Shanghai Stock Exchange forthwith;
(八) 負責公司股權管理事務,保管公司董事、監事、高級管理人員、控股股東及其董事、監事、高級管
理人員持有本公司股份的資料,並負責披露公司董事、監事、高級管理人員持股變動情況;
carry out the Company’s equity administration matters, maintain materials setting forth the holding
of the Company’s shares by the Company’s Directors, supervisors, senior management members,
controlling shareholders and such shareholders』 Directors, supervisors and senior management
members, and disclose any change in shareholding by the Company’s Directors, supervisors and
senior management members;
(九) 保證公司有完整的組織文件和記錄;
ensure the Company safekeep complete organizational files and records;
(十) 確保公司依法準備和遞交有權機構要求的報告和文件;
ensure that the Company prepare and deliver, in accordance with law, the reports and documents
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
required by competent authorities;
(十一) 保證公司的股東名冊妥善設立,保證有權得到公司有關記錄和文件的人及時得到有關記錄和文件。
ensure proper establishment of the register of shareholders of the Company, and ensure persons
entitled to obtain related records and documents of the Company timely obtain such records and
documents; and
(十二) 《公司法》、中國證監會和上海證券交易所要求履行的其他職責。
perform other duties as required by the Company Law, China Securities Regulatory Commission
and Shanghai Stock Exchange.
第一百七十九條 董事會秘書由董事長提名,經董事會聘任或者解聘。董事兼任董事會秘書的,如某一行
為需由董事、董事會秘書分別作出時,則該兼任董事及公司董事會秘書的人不得以雙重身份作出。
Article 179 The secretory of the Board of Directors shall be nominated by the chairman of the Board of
Directors and appointed or removed by the Board of Directors. Where the office of secretary is held
concurrently by a Director, and an act is required to be conducted by a Director and a secretary
separately, the person who holds the offices of Director and secretary may not perform such act in a dual
capacity.
第一百八十條 公司解聘董事會秘書應當具有充分理由,不得無故將其解聘。
Article 180 Removal decision made to the secretary to the Board of Directors by the Company shall be
adequate and reasonable, and any removal without any reason is prohibited.
第一百八十一條 董事會秘書有以下情形之一的,公司應當自事實發生之日起在 1 個月內解聘董事會秘書:
Article 181 Where the secretary to the Board of Directors has any of the following circumstances, the
Company shall, within one (1) month upon occurrence of such circumstance, remove the secretary to
the Board of Directors:
(一) 連續 3 個月以上不能履行職責;
failing to perform his duties for three (3) consecutive months or more;
(二) 在執行職務時出現重大錯誤或疏漏,給公司造成重大損失;
having gross errors or omissions in performing duties and causing heavy losses to the Company;
or
(三) 違反國家法律、法規、規章和公司章程,給公司造成重大損失。
violating laws, regulations and rules of the State or the Company’s Articles of Association and thus
causing heavy losses to the Company.
第一百八十二條 公司應當在聘任董事會秘書時與其籤訂保密協議,要求其承諾在任職期間以及在離任後
持續履行保密義務直至有關信息披露為止,但涉及公司違法違規的信息除外。
Article 182 The Company shall enter into a non-disclosure agreement with the secretary to the Board of
Directors at the time when he is appointed, and request him promising to perform his duty of
confidentiality during or beyond his term of office until such information being disclosed, save the
disclosure of information on unlawful or irregular acts of the Company.
董事會秘書離任前,應當接受董事會、監事會的離任審查,在公司監事會的監督下移交有關檔案文件、正
在辦理或待辦理事項。
The secretary to the Board of Directors shall receive the post-leaving audit launched by the Board of
Directors and the Board of Supervisors prior to his post-leaving, and hand over related archives, matters
in progress or matters to be handled under the supervision of the Board of Supervisors.
第一百八十三條 公司董事會秘書空缺期間,董事會應當指定一名董事或高級管理人員代行董事會秘書的
職責。公司必須在原任董事會秘書離職後 3 個月內正式聘任董事會秘書。
Article 183 The Board of Directors shall, during the vacancy of the secretary to the Board of Directors,
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
appoint a Director or senior officer to perform duties of the secretary to the Board of Directors on his
behalf. The Company must formally appoint a new secretary to the Board of Directors within three (3)
months upon removal of the former secretary.
第一百八十四條 公司董事或者其他高級管理人員可以兼任公司董事會秘書。公司聘請的會計師事務所的
會計師不得兼任公司董事會秘書。
Article 184 A Director or other senior officer of the Company may also act as the secretary to the Board
of Directors. An accountant of the accountancy firm retained by the Company shall not act as the
secretary to the Board of Directors.
當公司董事會秘書由董事兼任時,如某一行為應當由董事及公司董事會秘書分別作出,則該兼任董事及公
司董事會秘書的人不得以雙重身份作出。
Where the office of secretary is held concurrently by a Director, and an act is required to be conducted
by a Director and a secretary separately, the person who holds the offices of Director and secretary may
not perform such act in a dual capacity.
第四節 董事會專門委員會
Section 4 Special Committee of the Board of Directors
第一百八十五條 公司董事會設立戰略、審計、提名、薪酬與考核等專門委員會。專門委員會成員全部由
董事組成,其中審計委員會、提名委員會、薪酬與考核委員會中獨立董事應佔多數並擔任召集人,審計委
員會中至少應有 1 名獨立董事是會計專業人士。
Article 185 The Company’s Board of Directors shall have special committees, namely, the strategy
committee, the audit committee, the nomination committee, the remuneration committee and the
assessment committee. The special committees are fully composed of Directors, and in the audit
committee, the nomination committee, the remuneration committee and the assessment committee the
independent Directors shall be in the majority and shall act as the convener. In the audit committee, at
least one (1) independent Director shall be professional accountant.
第一百八十六條 戰略委員會的主要職責是對公司長期發展戰略和重大投資決策進行研究並提出建議。
Article 186 The primary responsibilities of the strategy committee are to study the long-term
development strategies and key investment decisions of the Company and table proposals.
第一百八十七條 審計委員會的主要職責是:
Article 187 The primary responsibilities of the audit committee are to:
(一) 提議聘請或更換外部審計機構;
propose to retain or replace an external auditing office;
(二) 監督公司的內部審計制度及其實施;
supervise the internal auditing system of the Company and its implementation;
(三) 負責內部審計與外部審計之間的溝通;
take charge of the communication between internal auditors and external auditors;
(四) 審核公司的財務信息及其披露;
audit financial information of the Company and its disclosure;
(五) 審查公司的內控制度;
audit the internal control system of the Company; and
(六) 董事會授權的其他事宜。
perform other matters authorized by the Board of Directors.
第一百八十八條 提名委員會的主要職責是:
Article 188 The primary responsibilities of the nomination committee are to:
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 研究董事、總經理人員的選擇標準和程序並提出建議;
work over the selection standards and procedures for Directors and general manager and table
proposals;
(二) 廣泛搜尋合格的董事和總經理人員的人選;
widely seek qualified candidates of Directors and that of the general manager;
(三) 對董事候選人和總經理人選進行審查並提出建議;
examine the candidate of Director and that of the general manager and make suggestions; and
(四) 董事會授權的其他事宜。
perform other matters authorized by the Board of Directors.
第一百八十九條 薪酬與考核委員會的主要職責是:
Article 189 The primary responsibilities of the remuneration and assessment committees are to:
(一) 研究董事與總經理人員考核的標準,進行考核並提出建議;
work out the assessment standards for Directors and the general manager, make assessment and
table proposals;
(二) 研究和審查董事、高級管理人員的薪酬政策與方案;
study and examine the remuneration policies and proposals for Directors and senior management
members; and
(三) 董事會授權的其他事宜。
perform other matters authorized by the Board of Directors.
第一百九十條 各專門委員會可以聘請中介機構提供專業意見,有關費用由公司承擔。
Article 190 Each special committee may engage an intermediary to provide professional suggestions,
and expenses incurred thereby shall be borne by the Company.
第一百九十一條 各專門委員會對董事會負責,各專門委員會的提案應提交董事會審查決定。
Article 191 Each special committee shall be accountable for the Board of Directors, and submit their
proposals to the Board of Directors for examination.
第八章 總經理及其他高級管理人員
Chapter 8 General Manager and Other Senior Management Members
第一百九十二條 公司設總經理 1 名,由董事會聘任或解聘。公司設副總經理 6 名,財務總監 1 名,由總
經理提名經董事會決議聘任或解聘。
Article 192 The Company shall have one (1) general manager, who shall be appointed or dismissed by
the Board of Directors. The Company shall have six (6) vice general manager and one (1) CFO, who
shall be nominated by the general manager, and shall be appointed or dismissed by the Board of
Directors.
公司總經理、副總經理、財務總監、董事會秘書為公司高級管理人員。
The general manager, vice general manager, CFO and secretary to the Board of Directors shall serve as
senior management members of the Company.
第一百九十三條 在公司控股股東、實際控制人單位擔任除董事以外其他職務的人員,不得擔任公司的高
級管理人員。
Article 193 Any person working in the controlling shareholder or actual controller of the Company other
than as a Director shall not serve as senior management members of the Company.
第一百九十四條 總經理每屆任期 3 年,連聘可以連任。
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Article 194 The term of office of the general manager shall be three (3) years, renewable upon
re-appointment.
第一百九十五條 總經理對董事會負責,行使下列職權:
Article 195 The general manager shall be accountable to the Board of Directors and shall exercise the
following functions and powers:
(一) 主持公司的生產經營管理工作,組織實施董事會決議,並向董事會報告工作;
to be in charge of the Company’s production, operation and management, and to organize the
implementation of the resolutions of the Board of Directors and report on works to the Board of
Directors;
(二) 組織實施公司年度經營計劃和投資方案;
to organize the implementation of the Company’s annual business plan and investment proposals;
(三) 擬訂公司內部管理機構設置方案;
to draft plans for the establishment of the Company’s internal management structure;
(四) 擬訂公司的基本管理制度;
to draft the Company’s basic management system;
(五) 制定公司的具體規章;
to formulate specific rules and regulations for the Company;
(六) 提請董事會聘任或者解聘公司副總經理、財務負責人;
to propose the appointment or dismissal by the Board of Directors of the Company’s vice general
manager and CFO;
(七) 決定聘任或者解聘除應由董事會決定聘任或者解聘以外的負責管理人員;
to appoint or dismiss management personnel other than those required to be appointed or
dismissed by the Board of Directors;
(八) 本章程或董事會授予的其他職權。
other powers conferred by the Company’s Articles of Association or the Board of Directors.
總經理列席董事會會議。非董事經理在董事會會議上沒有表決權。
The general manager shall attend meetings of the Board of Directors. A manager who is not a Director
shall not have any voting rights at board meetings.
第一百九十六條 總經理應制訂總經理工作細則,報董事會批准後實施。
Article 196 The general manager shall formulate working rules of the general manager, and shall be
implemented after being approved by the Board of Directors.
(一) 總經理會議召開的條件、程序和參加的人員;
specifying conditions, procedure and participants of the general manager’s meeting;
(二) 總經理及其他高級管理人員各自具體的職責及其分工;
responsibilities and work allocation of the general manager and other senior management
members of the Company,
(三) 公司資金、資產運用,籤訂重大合同的權限,以及向董事會、監事會的報告制度;
use of funds and assets of the Company, scope of authorization to enter into contracts and
reporting policies regarding the Board of Directors and the Board of Supervisors; and
(四) 董事會認為必要的其他事項。
other matters which the Board of Directors deems necessary.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第一百九十七條 公司經理在行使職權時,應當根據法律、行政法規和公司章程的規定,履行誠信和勤勉
的義務。
Article 197 The managers of the Company, in performing their functions and powers, shall act honestly
and diligently and in accordance with law, administrative regulation and the Company’s Articles of
Association.
第一百九十八條 總經理可以在任期屆滿以前提出辭職。有關總經理辭職的具體程序和辦法由總經理與公
司之間的聘任合同規定。
Article 198 The general manager may resign before expiry of his term of office. The specific procedures
and methods for the resignation of the general manager shall be specified in the employment contract
concluded by the general manager and the Company.
第一百九十九條 總經理和其他高級管理人員執行公司職務時違反法律、行政法規、部門規章或本章程的
規定,給公司造成損失的,應當承擔賠償責任。
Article 199 If the general manager or other senior officer violates laws, administrative regulations,
department rules or the Company’s Articles of Association when performing his duties in the Company,
such general manger or senior officer shall indemnify the Company against losses incurred due to such
violation.
第九章 監事會
Chapter 9 Board of Supervisors
第一節 監事
Section 1 Supervisors
第二百條 董事、總經理和其他高級管理人員不得兼任監事。
Article 200 The Directors, general manager and other senior management members of the Company
shall not act concurrently as supervisors.
第二百零一條 監事應當遵守法律、行政法規和本章程,對公司負有忠實義務和勤勉義務,不得利用職權
收受賄賂或者其他非法收入,不得侵佔公司的財產。
Article 201 The supervisors shall observe laws, administrative regulations and the Company’s Articles
of Association. They shall shoulder the duties of loyalty and due diligence to the Company, and shall not
accept any bribery or other illegal income by using his powers and position, or seize the assets of the
Company in any manner.
第二百零二條 監事每屆任期 3 年,任期屆滿,連選可以連任。
Article 202 Each supervisor shall serve for a term of three (3) years, which term is renewable upon
reelection upon expiry.
第二百零三條 監事任期屆滿未及時改選,或者監事在任期內辭職導致監事會成員低於法定人數的,在改
選出的監事就任前,原監事仍應當依照法律、行政法規和本章程的規定,履行監事職務。
Article 203 If no new supervisor is elected after the term of a supervisor expires, or the number of
members of the Board of Supervisors is less than the quorum due to any supervisor’s resignation during
his term of office, the relevant supervisor shall continue to perform his duties as a supervisor in
accordance with laws, administrative regulations and the Company’s Articles of Association until a new
supervisor is elected.
第二百零四條 監事應當保證公司披露的信息真實、準確、完整。
Article 204 A supervisor shall ensure that information disclosed by the Company is true, accurate and
complete.
第二百零五條 監事可以列席董事會會議,並對董事會決議事項提出質詢或者建議。
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Article 205 Supervisors shall attend meetings of the Board of Directors and may raise queries or
proposals regarding matters discussed at such meetings.
第二百零六條 監事不得利用其關聯關係損害公司利益,若給公司造成損失的,應當承擔賠償責任。
Article 206 A supervisor shall not take advantage of his connection with the Company to harm interests
of the Company and shall indemnify the Company against losses caused thereby.
第二百零七條 監事執行公司職務時違反法律、行政法規、部門規章或本章程的規定,給公司造成損失的,
應當承擔賠償責任。
Article 207 If a supervisor violates laws, administrative regulations, department rules or the Company’s
Articles of Association when performing his duties in the Company, such supervisor shall indemnify the
Company against losses incurred due to such violation.
第二百零八條 監事會行使職權時聘請律師、註冊會計師、執業審計師等專業人員所發生的合理費用,應
當由公司承擔。
Article 208 All reasonable fees incurred in the employment of professionals such as lawyers, certified
public accountants or practicing auditors which are required by the Board of Supervisors in the exercise
of its functions and powers shall be borne by the Company.
第二節 監事會
Section 2 Board of Supervisors
第二百零九條 公司設監事會。監事會由 7 名監事組成,監事會設主席 1 人。監事會主席的任免,應當經
三分之二以上(含三分之二)監事會成員表決通過。監事會主席召集和主持監事會會議;監事會主席不能
履行職務或者不履行職務的,由半數以上監事共同推舉一名監事召集和主持監事會會議。
Article 209 The Company shall have a Board of Supervisors. The Board of Supervisors shall be
composed of seven (7) supervisors. One of the members of the Board of Supervisors shall act as the
chairman. The election or removal of the chairman of the Board of Supervisors shall be determined by
two-thirds or more of the members of the Board of Supervisors. The meetings of the Board of
Supervisors convened by the Board of Supervisors on its own initiative shall be presided over and
chaired by the chairman of the Board of Supervisors. If the chairman of the Board of Supervisors is
unable or fails to perform his duties, such meeting shall be convened and presided over by a supervisor
nominated by more than half of the supervisors.
監事會應當包括股東代表和適當比例的公司職工代表,其中職工代表的比例不低於 1/3。監事會中的職工
代表由公司職工通過職工代表大會、職工大會或者其他形式民主選舉產生和罷免。
The Board of Supervisors shall comprise supervisors who represent the shareholders and a proper
proportion of supervisors who represent the employees, and the proportion accounted for by the later
shall be 1/3 or more. The supervisors who represent the employees shall be democratically elected and
removed by employees of the Company via the workers conference, general membership meeting or
other means.
第二百一十條 監事會向股東大會負責,並依法行使下列職權:
Article 210 The Board of Supervisors shall be accountable to the shareholders in a general meeting,
and shall exercise the following functions and powers in accordance with law:
(一) 應當對董事會編制的公司定期報告進行審核並提出書面審核意見;
examine regular reports prepared by the Board of Directors and propose written examination
suggestions;
(二) 檢查公司財務;
to review the Company’s financial position;
(三) 對董事、高級管理人員執行公司職務的行為進行監督,對違反法律、行政法規、本章程或者股東大
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
會決議的董事、高級管理人員提出罷免的建議;
to supervise the Directors and senior management members』 acts in performing duties of the
Company, propose a removal of any Director or senior officer in violation of any laws,
administrative regulations, the Company’s Articles of Association or resolution adopted at the
shareholders』 general meeting;
(四) 當董事、高級管理人員的行為損害公司的利益時,要求董事、高級管理人員予以糾正;
to demand any Director or senior officer who acts in a manner which is harmful to the Company’s
interest to rectify such behavior;
(五) 提議召開臨時股東大會,在董事會不履行《公司法》規定的召集和主持股東大會職責時召集和主持
股東大會;
to propose to convene a shareholders』 extraordinary general meeting, and to convene and preside
over shareholders』 general meetings where the Board of Directors fails to perform its duty to do so
as required by the Company Law;
(六) 向股東大會提出提案;
to submit proposals to shareholders』 general meetings;
(七) 代表公司與董事交涉或依照《公司法》第一百五十二條的規定,對董事、高級管理人員提起訴訟;
to represent the Company in negotiations with, or to initiate legal proceedings against any Director
or senior officer according to Article 152 of the Company Law;
(八) 發現公司經營情況異常,可以進行調查;必要時,可以聘請會計師事務所、律師事務所等專業機構
協助其工作,費用由公司承擔;
to identify unusual operation of the Company and to engage an accountancy firm, a law firm or any
professional organization to investigate when necessary at the cost of the Company; and
(九) 核對董事會擬提交股東大會的財務報告、營業報告和利潤分配方案等財務資料,發現疑問的,可以
公司名義委託註冊會計師、執業審計師幫助覆審;
to check the financial information, such as the financial report, business report and plans for
distribution of profits to be submitted by the Board of Directors to the shareholders』 general
meetings, and to authorize in the Company’s name, public certified accountants and licensed
auditors to assist in the re-examination of such information, should any doubt arise in respect
thereof; and
(十) 公司章程規定的其他職權。
such other functions and powers as provided by the Company’s Articles of association.
第二百一十一條 監事會應制定規範的監事會議事規則,明確監事會的議事方式和表決程序,以確保監事
會的工作效率和監督力度。
Article 211 The Board of Supervisors shall formulate procedural rules to be followed at meetings of the
Board of Supervisors, specify the method for conducting business and the voting procedures of the
Board of Supervisors, so as to ensure the working efficiency and supervisory strength of the Board of
Supervisors.
第二百一十二條 監事會每 6 個月至少召開一次會議,會議通知應當在會議召開 10 日以前通知全體監事。
監事會可以召開臨時監事會會議,臨時會議可以以傳真、郵件或專人送達等方式於會議召開前 5 日通知全
體監事。
Article 212 Meetings of the Board of Supervisors shall be held at least once every six (6) months. A
notice of meeting shall be served to all supervisors ten (10) days prior to the holding of such meeting.
The Board of Supervisors may convene an extraordinary meeting of the Board of Supervisors, and a
notice in respect thereof shall be served to all supervisors five (5) days prior to the holding of such
meeting via facsimile, e-mail or by hand.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第二百一十三條 監事會會議通知包括以下內容:
Article 213 Notice of the meeting of the Board of Supervisors shall include:
(一) 舉行會議的日期、地點和會議期限;
the date, place and duration of the meeting
(二) 事由及議題;
particulars of a matter and the matters to be discussed; and
(三) 發出通知的日期。
the date when the notice is given.
第三節 監事會決議
Section 3 Resolution of the Board of Supervisors
第二百一十四條 監事會會議應由監事本人親自出席,監事因故不能親自出席時,可委託其他監事代為出
席,委託書應明確代理事項和權限。
Article 214 The supervisors shall be present in person the meetings of the Board of Supervisors. Where
a supervisor is unable to be present for certain reason, he may entrust another supervisor to be present
on his behalf, and the matters concerned and the limit of authorization shall be set out in the power of
attorney.
監事會會議應當半數以上監事出席方可舉行,每一監事享有一票表決權。監事會做出決議,應當由三分之
二以上(含三分之二)監事會成員表決通過。
The meeting of the Board of Supervisors can only be convened when more than half of the supervisors
attend. Each supervisor shall have one (1) vote. A resolution of the Board of Supervisors must be
passed by two thirds or more of the members of the Board of Supervisors.
第二百一十五條 監事會會議應有記錄,出席會議的監事和記錄人,應當在會議記錄上簽名。監事有權要
求在記錄上對其在會議上的發言作出某種說明性記載。監事會會議記錄作為公司檔案由董事會秘書保存。
監事會會議記錄的保管期為 10 年。
Article 215 Minutes shall be made for the meeting of the Board of Supervisors, and supervisors and
recorder present at the meeting shall sign thereon. Each supervisor shall have the right to request for an
explanation of his comments made at the meetings to be noted in the minutes. Such minutes shall be
kept by the secretary to the Board of Directors as records of the Company for ten (10) years.
第十章 公司董事、監事、高級管理人員的資格和義務
Chapter 10 Qualifications and Duties of the Directors, Supervisors and
Senior Management Members of the Company
第二百一十六條 有下列情況之一的,不得擔任公司的董事、監事、總經理或者其他高級管理人員:
Article 216 No one shall be a Director, supervisor, general manager or other senior officer of the
Company if subject to any of the following circumstances:
(一) 無民事行為能力或者限制民事行為能力;
being without civil capacity or having limited civil capacity;
(二) 因犯有貪汙、賄賂、侵佔財產、挪用財產罪或者破壞社會經濟秩序罪,被判處刑罰,執行期滿未逾
五年,或者因犯罪被剝奪政治權利,執行期滿未逾五年;
having been penalized or sentenced due to an offence of corruption, bribery, encroachment on
property, misappropriation of property or disruption of the socialist market economy, or having
been deprived of political rights due to the committing of any crime, and in each case, five (5) years
not having elapsed since the completion of the relevant penalty, sentence or deprivation;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(三) 擔任因經營管理不善破產清算的公司、企業的董事或者廠長、經理,並對該公司、企業的破產負有
個人責任的,自該公司、企業破產清算完結之日起未逾三年;
having been a former Director, factory Director or manager of a company or enterprise which had
been bankrupt and liquidated whereby such person was personally liable for the bankruptcy of
such company or enterprise, and three (3) years not having elapsed since the date of completion of
the liquidation of the company or enterprise;
(四) 擔任因違法被吊銷營業執照的公司、企業的法定代表人,並負有個人責任的,自該公司、企業被吊
銷營業執照之日起未逾三年;
having been the legal representative of a company or enterprise whose business license was
revoked due to violation of laws whereby such person was personally liable, and three (3) years
not having elapsed since the date of revocation of the business license of the company or
enterprise;
(五) 個人所負數額較大的債務到期未清償;
being a debtor personally liable for a relatively large debt which has not been paid as it fell due;
(六) 因觸犯刑法被司法機關立案調查,尚未結案;
having been subject to an investigation by judicial authorities for criminal offences, and such
investigation not having come to an end;
(七) 法律、行政法規規定不能擔任企業領導;
being banned from being senior management of enterprises by laws and regulations;
(八) 非自然人;
being a non-natural person;
(九) 被中國證監會處以證券市場禁入處罰,期限未滿的;
having been banned from entering the market by financial regulators, and five (5) years not having
elapsed since the last date of the ban; and
(十) 被有關主管機構裁定違反有關證券法規的規定,且涉及有欺詐或者不誠實的行為,自該裁定之日起
未逾五年。
having been adjudged by the relevant competent authorities of violations of relevant securities
laws which involves fraud or dishonesty, and five (5) years not having elapsed since the date of the
judgment;
第二百一十七條 公司董事、高級管理人員代表公司的行為對善意第三人的有效性,不因其在任職、選舉
或者資格上有任何不合規行為而受影響。
Article 217 The validity of an act carried out by a Director or senior officer of the Company on its behalf,
as against a bona fide third party, shall not be affected by any irregularity in his office, election or any
defect in his qualification.
第二百一十八條 除法律、行政法規或者公司股票上市的證券交易所的上市規則要求的義務外,公司董事、
監事、總經理和其他高級管理人員在行使公司賦予他們的職權時,還應當對每個股東負有下列義務:
Article 218 In addition to the obligations imposed by laws, administrative regulations or the listing rules
of the securities exchange on which shares of the Company are listed, each of the Company’s Directors,
supervisors, general manager and other senior management members owes a duty to each shareholder,
in the exercise of the functions and powers of the Company entrusted to him:
(一) 不得使公司超越其營業執照規定的營業範圍;
not to cause the Company to exceed the scope of business stipulated in its business license;
(二) 應當真誠地以公司最大利益為出發點行事;
to act honestly and in the best interests of the Company;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(三) 不得以任何形式剝奪公司財產,包括(但不限於)對公司有利的機會;
not to expropriate the Company’s property in any way, including (without limitation) usurpation of
opportunities which benefit the Company;
(四) 不得剝奪股東的個人權益,包括(但不限於)分配權、表決權,但不包括根據公司章程提交股東大
會通過的公司改組。
Not to expropriate the individual rights of shareholders, including (without limitation) rights to
distributions and voting rights, save and except pursuant to a restructuring of the Company which
has been submitted to the shareholders for approval in accordance with the Company’s Articles of
Association.
第二百一十九條 公司董事、監事、總經理和其他高級管理人員都有責任在行使其權利或者履行其義務時,
以一個合理的謹慎的人在相似情形下所應表現的謹慎、勤勉和技能為其所應為的行為。
Article 219 Each of the Company’s Directors, supervisors, general manager and other senior
management members owes a duty, in the exercise of his powers and in the discharge of his duties, to
exercise the care, diligence and skill that a reasonably prudent person would exercise in comparable
circumstances.
第二百二十條 公司董事、監事、總經理和其他高級管理人員在履行職責時,必須遵守誠信原則,不應當
置自己於自身的利益與承擔的義務可能發生衝突的處境。此原則包括(但不限於)履行下列義務:
Article 220 Each of the Company’s Directors, supervisors, general manager and other senior
management members shall exercise his power or perform his duties in accordance with fiduciary
principles; and shall not put himself in a position where his duty and his interest may conflict. These
principles include (without limitation):
(一) 真誠地以公司最大利益為出發點行事;
to act honestly in the best interest of the Company;
(二) 在其職權範圍內行使權力,不得越權;
to act within the scope of its powers and not to exceed such powers;
(三) 親自行使所賦予他的酌量處理權,不得受他人操縱;非經法律、行政法規允許或者得到股東大會在
知情的情況下的同意,不得將其酌量處理權轉給他人行使;
to exercise his proportional decision power in person without being subject to the manipulations of
other persons, and not to transfer such power to other persons unless permitted by law or
administrative regulation or approved by the shareholders with full knowledge at the general
meeting;
(四) 對同類別的股東應當平等,對不同類別的股東應當公平;
to treat shareholders of the same class with equality, and different classes with fairness;
(五) 除公司章程另有規定或者由股東大會在知情的情況下另有批准外,不得與公司訂立合同、交易或者
安排;
not to enter into contracts or conduct transactions or make arrangements with the Company unless
otherwise provided by the Company’s Articles of Association or approved by the shareholders with
full knowledge at the general meeting;
(六) 未經股東大會在知情的情況下同意,不得以任何形式利用公司財產為自己謀取利益;
not to employ the Company’s assets in any way so as to pursue interests for himself unless
approved by the shareholders with full knowledge at the general meeting;
(七) 不得利用職權收受賄賂或者其他非法收入,不得以任何形式侵佔公司的財產,包括(但不限於)對
公司有利的機會;
not to accept any bribery or other illegal income by using his powers and position, and seize the
assets of the Company in any manner, including (but not limited to) opportunities beneficial to the
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Company;
(八) 未經股東大會在知情的情況下同意,不得接受與公司交易有關的佣金;
not to accept commissions relating to the transactions of the Company, without the approval of the
shareholders with full knowledge at the general meeting;
(九) 遵守公司章程,忠實履行職責,維護公司利益,不得利用其在公司的地位和職權為自己謀取私利;
to obey the Company’s Articles of Association, perform his duties honestly and faithfully, protect
the Company’s interests, and not to pursue his personal gain by taking advantage of his powers
and positions at the Company;
(十) 未經股東大會在知情的情況下同意,不得以任何形式與公司競爭;
not to compete with the Company in any way unless approved by the shareholders with full
knowledge at the general meeting;
(十一) 不得挪用公司資金或者將公司資金借貸給他人,不得將公司資產以其個人名義或者以其他名義開立
帳戶存儲,不得以公司資產為本公司的股東或者其他個人債務提供擔保;
not to misappropriate the funds of the Company or lend the funds of the Company to other
persons, open accounts in his own or another individual's name for deposit of the Company’s
assets, or use Company’s assets as security for the debts of the shareholders of the Company or
other individuals;
(十二) 未經股東大會在知情的情況下同意,不得洩露其在任職期間所獲得的涉及本公司的機密信息;除非
以公司利益為目的,亦不得利用該信息;但是,在下列情況下,可以向法院或者其他政府主管機構
披露該信息:
not to divulge the confidential information relating to the Company received during his term of
office, unless approved by the shareholders with full knowledge at the general meeting; and not to
use such information unless for the purpose of the Company’s interests; however, to be allowed to
disclose such information to a court of law or other governing authorities under the following
circumstances:
1、 法律有規定;
as prescribed by law;
2、 公眾利益有要求;
as required for the purpose of public interest;
3、 該董事、監事、總經理和其他高級管理人員本身的利益有要求。
as required for the purpose of such Director’s, supervisor’s, general manager’s or other
senior management members』 own interests.
董事和高級管理人員違反本條規定所得的收入,應當歸公司所有。
The proceeds obtained by the Directors and senior management members in violation of this article shall
belong to the Company.
第二百二十一條 公司董事、監事、總經理和其他高級管理人員,不得指使下列人員或者機構(「相關人」)
作出董事、監事、總經理和其他高級管理人員不能作的事:
Article 221 Directors, supervisors, general manager and other senior management members of the
Company shall not direct the following persons or organizations (「Associates」) to engage in activities
prohibited for Directors, supervisors, general manager and other senior management members of the
Company:
(一) 公司董事、監事、總經理和其他高級管理人員的配偶或者未成年子女;
spouses or underage children of Directors, supervisors, general manager or other senior
management members of the Company;
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(二) 公司董事、監事、總經理和其他高級管理人員或者本條(一)項所述人員的信託人;
trustors of Directors, supervisors, general manager or other senior management members of the
Company or of such persons as described in item (i) of this Article;
(三) 公司董事、監事、總經理和其他高級管理人員或者本條(一)、(二)項所述人員的合伙人;
partners of Directors, supervisors, general manager or other senior management members of the
Company or of such persons as described in item (i) or (ii) of this Article;
(四) 由公司董事、監事、總經理和其他高級管理人員在事實上單獨控制的公司,或者與本條(一)、(二)、
(三)項所提及的人員或者公司其他董事、監事、總經理和其他高級管理人員在事實上共同控制的公
司;
company (companies) which a Director, supervisor, general manager or any other senior officer of
the Company has de facto single control over or joint control over with such persons as described
in item (i), (ii) or (iii) of this Article or other Directors, supervisors, general manager or other senior
management members of the Company; and
(五) 本條(四)項所指被控制的公司的董事、監事、總經理和其他高級管理人員。
Directors, supervisors, general manager and other senior management members of the company
(companies) referred to by item (iv) of this Article
第二百二十二條 公司董事、監事、總經理和其他高級管理人員所負的誠信義務不一定因其任期結束而終
止,其對公司商業秘密保密的義務在其任期結束後仍有效。其他義務的持續期應當根據公平的原則決定,
取決於事件發生時與離任之間時間的長短,以及與公司的關係在何種情形和條件下結束。
Article 222 The fiduciary duty of a Director, supervisor, general manager and any other senior officer of
the Company may not necessarily cease upon the conclusion of his term, their obligations to keep
confidential the business secrets of the Company shall survive the conclusion of his term. The duration
of the other obligations and duties shall be determined in accordance with the principle of fairness,
taking into account of the lapse between the time when he leaves the office and the occurrence of the
relevant event, and the situation and the circumstances and terms under which his relation with the
Company was ended.
第二百二十三條 公司董事、監事、總經理和其他高級管理人員因違反某項具體義務所負的責任,可以由
股東大會在知情的情況下解除,但是本章程第六十五條所規定的情形除外。
Article 223 The shareholders with full knowledge of the relevant circumstances may at the general
meeting relieve a Director, supervisor, general manager and any other senior officer of the Company of
his liability as a result of his violation of any specific duty, save as by Article 65 of the Company’s Articles
of Association.
第二百二十四條 公司董事、監事、總經理和其他高級管理人員,直接或者間接與公司已訂立的或者計劃
中的合同、交易、安排有重要利害關係時(公司與董事、監事、總經理和其他高級管理人員的聘任合同除
外),不論有關事項在正常情況下是否需要董事會批准同意,均應當儘快向董事會披露其利害關係的性質
和程度。
Article 224 A Director, supervisor, general manager and any other senior officer of the Company who
directly or indirectly has material interests in contracts, transactions, or arrangements that are being
planned or have already been concluded by the Company (save the contracts of employment between
the Directors, supervisors, general manager or other senior management members and the Company),
shall, as soon as possible, disclose to the Board of Directors the nature and extent of his interests,
regardless of whether or not the matters at hand require the approval of the Board of Directors.
除香港聯交所批准的公司章程所特別指明的情況(如有)外,董事不得就任何通過其本人或其任何聯繫人
擁有重大權益的合約或安排或任何其他建議的董事會決議進行投票;在確定是否有法定人數出席董事會會
議時,其本人亦不得點算在內。
In addition to the circumstances (if any) particularly prescribed in the Company’s Articles of Association
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
with approval of the Stock Exchange of Hong Kong Limited, the Director may not vote any resolution of
the Board of Directors with respect to any contract or arrangement or any other suggestion which has
substantial interests via himself or any of his contact person. When determining whether the number of
persons present at the meeting of the Board of Directors reach the quorum, the said Director may not be
counted as part of the quorum.
除非有利害關係的公司董事、監事、總經理和其他高級管理人員按照本條第一款的要求向董事會做了披露,
並且董事會在不將其計入法定人數,亦未參加表決的會議上批准了該事項,公司有權撤消該合同、交易或
者安排,但在對方是對有關董事、監事、總經理和其他高級管理人員違反其義務的行為不知情的善意當事
人的情形下除外。
Unless the interested Directors, supervisors, general manager or other senior management members of
the Company have made such disclosure to the Board of Directors as required by the preceding
paragraph of this Article, and the relevant matter has been approved by the Board of Directors at the
board’s meeting where such Directors, supervisors, general manager or other senior management
members have not been counted as part of the quorum and voted thereat, the Company shall be entitled
to cancel such contracts, transactions, or arrangements, except as to any other party which is a bona
fide party without knowledge of the violation of duties on the part of such Directors, supervisors, general
manager and other senior management members.
公司董事、監事、總經理和其他高級管理人員的相關人與某合同、交易、安排有利害關係的,有關董事、
監事、總經理和其他高級管理人員也應被視為有利害關係。
Where the Associates of the Directors, supervisors, general manager and other senior management
members of the Company have interests in such contracts, transactions or arrangements, such Directors,
supervisors, general manager and other senior management members shall also be deemed to be
interested.
第二百二十五條 如果公司董事、監事、總經理和其他高級管理人員在公司首次考慮訂立有關合同、交易、
安排前以書面形式通知董事會,聲明由於通知所列的內容,公司日後達成的合同、交易、安排與其有利害
關係,則在通知闡明的範圍內,有關董事、監事、總經理和其他高級管理人員視為做了本章前條所規定的
披露。
Article 225 If, prior to the Company’s initial consideration of such contracts, transactions, or
arrangements referred to by the preceding Article, a Director, supervisor, general manager or any other
senior officer of the Company has delivered a written notice to the Board of Directors, which contains the
statement that he has interests in the contracts, transactions, or arrangements to be concluded by the
Company in the future, such Director, supervisor, general manager or other senior officer shall be
deemed to have made the disclosure stipulated by the preceding Article in respect of the statement
contained in the notice.
第二百二十六條 公司不得以任何方式為其董事、監事、總經理和其他高級管理人員繳納稅款。
Article 226 The Company shall not, in any manner, perform tax duties for its Directors, supervisors,
general manager and other senior management members.
第二百二十七條 公司不得直接或者間接向本公司的董事、監事、總經理和其他高級管理人員提供貸款、
貸款擔保;亦不得向前述人員的相關人提供貸款、貸款擔保。
Article 227 The Company shall not directly or indirectly make a loan to or provide a guarantee in
connection with the making of a loan to a Director, supervisor, general manager and other senior officer
of the Company or of the Company’s holding company or any of their respective associates.
前款規定不適用於下列情形:
The foregoing shall not apply to the following circumstances:
(一) 公司向其子公司提供貸款或者為子公司提供貸款擔保;
the provision by the Company of a loan or loan guarantee to its subsidiaries;
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(二) 公司根據經股東大會批准的聘任合同,向公司的董事、監事、總經理和其他高級管理人員提供貸款、
貸款擔保或者其他款項,使之支付為了公司目的或者為了履行其公司職責所發生的費用。
the provision by the Company of a loan or loan guarantee or any other funds available to any of its
Director, supervisor, general manager and other senior officer to meet expenditures incurred or to
be incurred by him for the purpose of the Company or for the purpose of enabling him to perform
his duties properly in accordance with an employment contract approved by the shareholders in a
general meeting;
(三) 如公司的正常業務範圍包括提供貸款、貸款擔保,公司可以向有關董事、監事、總經理和其他高級
管理人員及其相關人提供貸款、貸款擔保,但提供貸款、貸款擔保的條件應當是正常商務條件。
if the ordinary course of the business of the Company includes the lending of money and the
provision of loan guarantee, the Company may make a loan to the relevant Directors, supervisors,
general manager and other senior management members or their respective associates, provided
that they are on normal commercial terms.
第二百二十八條 公司違反前條規定提供貸款的,不論其貸款條件如何,收到款項的人應當立即償還。
Article 228 Any person who receives funds from a loan which has been made by the Company acting in
breach of the preceding Article shall, irrespective of the terms of the loan, forthwith repay such funds.
第二百二十九條 公司違反第二百二十七條第一款的規定所提供的貸款擔保,不得強制公司執行;但下列
情況除外:
Article 229 A guarantee for the repayment of a loan which has been provided by the Company in breach
of the preceding Article 227 (i) shall not be enforceable against the Company, save in respect of the
following circumstances:
(一) 向公司的董事、監事、總經理和其他高級管理人員的相關人提供貸款時,提供貸款人不知情的;
the guarantee was provided in connection with a loan which was made to an Associate of any of
the Directors, supervisors, general manager and other senior management members or of the
Company’s holding company and the lender of such funds did not know of the relevant
circumstances at the time of the loan; or
(二) 公司提供的擔保物已由提供貸款人合法地售予善意購買者的。
the collateral which has been provided by the Company has already been lawfully disposed of by
the lender to a bona fide purchaser.
第二百三十條 本章前述條款中所稱擔保,包括由保證人承擔責任或者提供財產以保證義務人履行義務的
行為。
Article 230 For the purpose of the foregoing provisions of this Chapter, a 「guarantee」 includes an
undertaking or property provided to secure the obligator’s performance of his obligations.
第二百三十一條 公司董事、監事、總經理和其他高級管理人員違反對公司所負的義務時,除法律、行政
法規規定的各種權利、補救措施外,公司有權採取以下措施:
Article 231 In addition to the rights and remedies provided by law and administrative regulations when a
Director, supervisor, general manager or other senior officer of the Company breaches the duties which
he owes to the Company, the Company shall be entitled:
(一) 要求有關董事、監事、總經理和其他高級管理人員賠償由於其失職給公司造成的損失;
to demand such Director, supervisor, general manager or other senior officer compensate for the
losses sustained by it as a result of such breach;
(二) 撤消任何由公司與有關董事、監事、總經理和其他高級管理人員訂立的合同或者交易,以及由公司
與第三人(當第三人明知或者理應知道代表公司的董事、監事、總經理和其他高級管理人員違反了
對公司應負的義務)訂立的合同或者交易;
to rescind any contract or transaction which has been entered into between the Company and such
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Director, supervisor, general manager or other senior officer or between the Company and a third
party, where such party knew or should have known that such Director, supervisor, general
manager or other senior officer representing the Company was in breach of his duty owed to the
Company.
(三) 要求有關董事、監事、總經理和其他高級管理人員交出因違反義務而獲得的收益;
to demand such Director, supervisor, general manager or other senior officer account for the profits
made as result of the breach of his duty;
(四) 追回有關董事、監事、總經理和其他高級管理人員收受的本應為公司所收取的款項,包括(但不限
於)佣金;
to recover any money which shall have been received by the Company but were received by such
Director, supervisor, general manager or other senior officer instead, including (without limitation)
any commissions; and
(五) 要求有關董事、監事、總經理和其他高級管理人員退還因本應交予公司的款項所賺取的、或者可能
賺取的利息。
to demand repayment of interest earned or which may have been earned by such Director,
supervisor, general manager or other senior officer on moneys which shall have been received by
the Company.
第二百三十二條 公司應當就報酬事項與公司董事、監事訂立書面合同,並經股東大會事先批准。前述報
酬事項包括:
Article 232 The Company shall, with the prior approval of the shareholders』 general meeting, enter into
a contract in writing with a Director or supervisor wherein his emoluments are stipulated. The aforesaid
emoluments may include:
(一) 作為公司的董事、監事或者高級管理人員的報酬;
emoluments in respect of his service as Director, supervisor or senior officer of the Company;
(二) 作為公司的子公司的董事、監事或者高級管理人員的報酬;
emoluments in respect of his service as Director, supervisor or senior officer of any subsidiary of
the Company;
(三) 為公司及其子公司的管理提供其他服務的報酬;
emoluments in respect of the provision of other services in connection with the management of the
affairs of the Company and any of its subsidiaries;
(四) 該董事或者監事因失去職位或者退休所獲補償的款項。
payment by way of compensation for loss of office or as consideration for or in connection with his
retirement from office.
除按前述合同外,董事、監事不得因前述事項為其應獲取的利益向公司提出訴訟。
No proceedings may be brought by a Director or supervisor against the Company for anything due to
him in respect of the matters mentioned in this Article except pursuant to any contract described above.
第二百三十三條 公司在與公司董事、監事訂立的有關報酬事項的合同中應當規定,當公司將被收購時,
公司董事、監事在股東大會事先批准的條件下,有權取得因失去職位或者退休而獲得的補償或者其他款項。
前款所稱公司被收購是指下列情況之一:
Article 233 Contracts concerning the employment between the Company and its Directors or
supervisors shall provide that in the event that the Company is to be acquired by others, the Company’s
Directors and supervisors shall, subject to the prior approval of shareholders in a general meeting, have
the right to receive compensation or other payment in respect of his loss of office or retirement. For the
purposes of this paragraph, the acquisition of the Company includes any of the following:
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(一) 任何人向全體股東提出收購要約;
a tender offer made by any person to all the shareholders; or
(二) 任何人提出收購要約,旨在使要約人成為控股股東。控股股東的定義與本章程第六十六條中的定義
相同。
an offer made by any person with a view to become a 「controlling shareholder」, which has the
same meaning with that prescribed in article 66 of the Company’s Articles of Association.
如果有關董事、監事不遵守本條規定,其收到的任何款項,應當歸那些由於接受前述要約而將其股份出售
的人所有,該董事、監事應當承擔因按比例分發該等款項所產生的費用,該費用不得從該等款項中扣除。
If the relevant Director or supervisor does not comply with this article, any sum so received by him shall
belong to those persons who have sold their shares as a result of such offer. The expenses incurred in
distributing such sum on a pro rata basis amongst such persons shall be borne by the relevant Director
or supervisor and shall not be paid out of such sum.
第十一章 財務會計制度、利潤分配和審計
Chapter 11 Financial and Accounting Systems,
Profit Distribution and Auditing
第一節 財務會計制度
Section 1 Financial and Accounting System
第二百三十四條 公司依照法律、行政法規和國家有關部門的規定,制訂公司的財務會計制度。公司應當
在每一會計年度終了時製作財務報告,並依法經審查驗證。
Article 234 The Company shall establish its financial and accounting systems in accordance with law,
administrative regulation and provisions of the national department concerned. At the end of each fiscal
year, the Company shall prepare a financial report which shall be examined and verified in the manner
prescribed by law.
第二百三十五條 公司在每一會計年度結束之日起 4 個月內向中國證監會和證券交易所報送年度財務會計
報告,在每一會計年度前 6 個月結束之日起 2 個月內向中國證監會派出機構和證券交易所報送半年度財務
會計報告,在每一會計年度前 3 個月和前 9 個月結束之日起的 1 個月內向中國證監會派出機構和證券交易
所報送季度財務會計報告。
Article 235 The Company shall submit its annual financial and accounting reports to China Securities
Regulatory Commission and stock exchanges within four (4) months after the end of each fiscal year;
the interim financial and accounting report shall be submitted to China Securities Regulatory
Commission and stock exchanges within two (2) months after the end of the first six (6) months of each
fiscal year; the quarterly financial and accounting report shall be submitted to China Securities
Regulatory Commission and stock exchanges within one (1) month after the end of the first three (3)
months and the first nine (9) months of each fiscal year, respectively.
上述財務會計報告按照有關法律、行政法規及部門規章的規定進行編制。
The aforementioned financial and accounting reports shall be prepared in accordance with laws,
administrative regulations and department rules.
第二百三十六條 公司董事會應當在每次股東年會上,向股東呈交有關法律、行政法規、地方政府及主管
部門頒布的規範性文件所規定由公司準備的財務報告。
Article 236 The Board of Directors of the Company shall present to the shareholders, at every annual
general meeting, such financial reports which the relevant laws, administrative regulations and
normative documents promulgated by regional governmental authorities and the competent department
require the Company to prepare.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
第二百三十七條 公司的財務報告應當在召開股東大會年會的二十日以前置備於本公司,供股東查閱。公
司的每個股東都有權得到本章中所提及的財務報告。
Article 237 The Company’s financial reports shall be made available for shareholders』 inspection at the
Company twenty (20) days before the date of every shareholders』 annual general meeting. Each
shareholder shall be entitled to obtain a copy of the financial reports referred to in this Chapter.
公司至少應當在股東大會年會召開前二十一日(及相關法律法規和《香港上市規則》下不時規定的更長時
限)將前述財務報告、董事會報告連同資產負債表(包括法例規定須附錄於資產負債表的每份文件)及損
益表或收支計算表,或財務摘要報告,以郵資已付的郵件或以本章程規定的其他方式發送給每個境外上市
外資股股東;如以郵件方式送出,收件人地址以股東名冊上登記的地址為準。
The Company shall deliver to each shareholder of Overseas-Listed Foreign-Invested Shares by prepaid
mail or by other means prescribed in the Company’s Articles of Association at the address registered in
the register of shareholders such financial and accounting reports, together with copies of the Board of
Directors report and the balance sheet (including each document required to be attached to the balance
sheet as provided by law), the income statement or the statement of revenues and expenditures or the
summary report on finance, not later than twenty-one (21) days (and longer time limit prescribed by
pertinent laws, regulations and the KH Listing Rules from time to time) before the date of every annual
general meeting of the shareholders.
第二百三十八條 公司的財務報表除應當按中國會計準則及法規編制外,還應當按國際或者境外上市地會
計準則編制。如按兩種會計準則編制的財務報表有重要出入,應當在財務報表附註中加以註明。公司在分
配有關會計年度的稅後利潤時,以前述兩種財務報表中稅後利潤數較少者為準。
Article 238 The financial statements of the Company shall, in addition to being prepared in accordance
with PRC accounting principles and regulations, be prepared in accordance with either international
accounting principles, or those of the place outside the PRC where the Company’s shares are listed. If
there is any material difference between the financial statements prepared in accordance with the two
accounting principles, such difference shall be stated in the financial statements. In distributing its
after-tax profits, the lower of the two amounts shown in the financial statements shall be adopted.
第二百三十九條 公司公布或者披露的中期業績或者財務資料應當按中國會計準則及法規編制,同時按國
際或者境外上市地會計準則編制。
Article 239 Any interim results or financial information published or disclosed by the Company must also
be prepared and presented in accordance with PRC accounting principles and regulations, and also in
accordance with either international accounting principles or those of the place overseas where the
Company’s shares are listed.
第二百四十條 公司除法定的會計帳簿外,將不另立會計帳簿。公司的資產,不以任何個人名義開立帳戶
存儲。
Article 240 The Company shall not keep financial accounts other than those required by law. No asset
of the Company shall be deposited in any account opened in the name of any individual.
第二百四十一條 資本公積金包括下列款項:
Article 241 The capital common reserve fund includes the following items:
(一) 超過股票面額發行所得的溢價款;
any premium above the proceeds from share issuances at face value; and
(二) 國務院財政主管部門規定列入資本公積金的其他收入。
any other income designated for the capital common reserve fund by regulation of the finance
regulatory department of the State Council.
第二百四十二條 公司分配當年稅後利潤時,應當提取利潤的 10%列入公司法定公積金。公司法定公積金累
計額為公司註冊資本的 50%以上的,可以不再提取。
Article 242 In distributing its after-tax profits, the Company shall allocate ten percent (10%) of its
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
after-tax profits to the statutory common reserve fund of the Company. Allocation to the company's
statutory common reserve fund may be waived once the cumulative amount of funds therein exceeds
50% of the Company's registered capital.
公司的法定公積金不足以彌補以前年度虧損的,在依照前款規定提取法定公積金之前,應當先用當年利潤彌
補虧損。
Where the statutory common reserve fund of the Company is not sufficient to cover the Company’s loss
from the previous year, the current year profits shall be used to cover such loss before allocation is made
to the statutory common reserve fund pursuant to the previous paragraph.
公司從稅後利潤中提取法定公積金後,可以從稅後利潤中提取 10%的任意盈餘公積金。
After allocation to the statutory common reserve fund has been made from the after-tax profits of the
Company, 10% of the discretionary surplus reserve fund shall be allocated from the after-tax profits.
公司彌補虧損和提取公積金後所餘稅後利潤,按照股東持有的股份比例分配,但本章程規定不按持股比例分
配的除外。
After the Company has covered its loss and made allocation to the reserve funds, the remainder of the
after-tax profits shall be distributed to the shareholders in proportion to their share holdings, unless
otherwise stipulated in the Company’s Articles of Association.
股東大會違反前款規定,在公司彌補虧損和提取法定公積金之前向股東分配利潤的,股東必須將違反規定分
配的利潤退還公司。
If the shareholders』 general meeting, in violation of the previous paragraph, distributes profits to
shareholders before covering losses of the Company and making allocation to the Company’s statutory
common reserve fund, the profit so distributed must be returned to the Company.
公司持有的本公司股份不參與分配利潤。
The shares of the Company held by the Company may not apply to profit distribution.
第二百四十三條 公司的公積金用於彌補公司的虧損、擴大公司生產經營或者轉為增加公司資本。但是,
資本公積金將不用於彌補公司的虧損。
Article 243 The reserve funds of the Company shall be used to cover Company’s losses, expand its
production and operation, or be converted to the Company's increased capital. However, capital
reserves may not be used to cover the losses of the Company.
法定公積金轉為資本時,所留存的該項公積金將不少於轉增前公司註冊資本的 25%。
When the statutory common reserve fund is to be converted into capitals, the amount remaining in the
said statutory common reserve fund may not fall below 25% of the registered capital.
第二百四十四條 公司股東大會按照國家有關法律法規規定通過利潤分配方案決議,公司董事會須在股東
大會決議後 2 個月內完成利潤分配事項。
Article 244 When a resolution with respect of profit distribution is passed at the shareholders』 general
meeting of the Company pursuant to pertinent laws and regulations of the Company, the Board of
Directors of the Company shall complete such profit distribution within two (2) months upon adoption of
such resolution.
第二百四十五條 公司的利潤分配政策須遵守下列規定:
Article 245 The profit distribution policies of the Company shall observe the following provisions:
(一) 公司的利潤分配應當重視對投資者的合理回報,在兼顧公司合理資金需求的情況下,應結合股本規
模、發展戰略、投資規劃、利潤增長狀況、現金流量情況等因素制定符合公司可持續發展要求和利
益最優化原則的利潤分配方案。
profit distribution of the Company shall reflect a reasonable investment return to the investors and,
by giving considerations to the reasonable capital demands of the Company, work out a profit
distribution plan in conformity with the sustainable development requirement and profit optimization
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
principle of the Company by referring to factors such as the volume of stocks, development
strategies, investment plans, profit growths and cash flows;
(二) 公司可以採取現金或股票方式分配股利,可以進行中期現金分紅。在現金流允許的情況下,應儘量
以現金分紅方式進行利潤分配。
the Company may pay dividends in the form of cash or shares and may conduct interim dividend
distribution in the form of cash. If the cash flow allows, profit distribution should be conducted in the
form of cash.
(三) 公司現金分紅條件:公司當年實現盈利,且彌補以前年度虧損和依法提取公積金後,累計未分配
利潤為正值,且審計機構對公司的該年度財務報告出具無保留意見的審計報告,公司優先採取現金
方式分配股利。公司採取現金方式分配股利的,應當按照下列規定進行:
The conditions of cash dividend of the Company: when the Company records a profit for the year and the
cumulative undistributed profit for the year, after making up for losses in previous years and allocation to
the common reserve fund in accordance with laws, is positive in value, and where the auditing firm issues
a unqualified audit opinion on the financial report of the Company for the year, the Company may
prioritize distribution of dividend in cash. If the Company distributes dividend in cash, it shall follow the
rules below:
(1) 公司發展階段屬成熟期且無重大資金支出安排的,進行利潤分配時,現金分紅在本次利潤分
配中所佔比例最低應達到 80%;
if the Company is in a mature development stage without significant cash outlay arrangements, the
minimum percentage of cash dividend in profit distribution shall be 80%;
(2) 公司發展階段屬成熟期且有重大資金支出安排的,進行利潤分配時,現金分紅在本次利潤分
配中所佔比例最低應達到 40%;
if the Company is in a mature development stage with significant cash outlay arrangements, the
minimum percentage of cash dividend in profit distribution shall be 40%;
(3) 公司發展階段屬成長期且有重大資金支出安排的,進行利潤分配時,現金分紅在本次利潤分
配中所佔比例最低應達到 20%;
if the Company is in a growth stage with significant cash outlay arrangements, the minimum
percentage of cash dividend in profit distribution shall be 20%;
公司發展階段不易區分但有重大資金支出安排的,可以按照前項規定處理。 重大投資或重大現金支
出是指:公司未來十二個月內擬對外投資、收購資產(含土地使用權)或者購買設備等的累計支出達
到或者超過公司最近一期經審計淨資產的 10%。
If it is difficult to determine the Company’s stage of development while it has a significant capital
expenditure plan, the profit distribution may be dealt with pursuant to the rules applied in the previous
distribution. Major investment or significant cash expenditure refers to the proposed external investment
by the Company within the next twelve months, asset acquisition (including land use rights) or facilities
procurement with accumulated expenditure amounting to or exceeding 10% of the latest audited net
assets of the Company.
(四) 發放股票股利的具體條件:公司在經營狀況良好,保證股本規模合理的前提下,並且公司董事會
認為發放股票股利有利於公司全體股東整體利益時,可以提出股票股利分配預案,並經股東大會審
議通過後實施;
Specific conditions for dividend distribution in shares: provided that the Company’s business is in a sound
condition and the reasonable scale of share capital of the Company is ensured, and the Board of the
Company believes dividend payment in shares will be in the interests of all shareholders of the Company,
the Company may propose to distribute dividends in shares and implement upon the consideration and
approval at the general meeting;
(五) 公司的利潤分配不得超過公司累計可分配利潤的範圍。
The profits of the Company to be distributed shall not go beyond the scope of cumulative
distributable profits.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(六) 在當年盈利的情況下,公司足額提取法定公積金後,最近三年以現金方式累計分配的利潤不少於最
近三年實現的年均可分配利潤的 30%。
When profits are obtained in the current year and after the Company has sufficiently allocated to
the statutory common reserve fund, the cumulative profits distributed in cash for the last three (3)
years shall not be less than 30% of the average distributable profits realized for the last (3) years.
(七) 公司發行證券、重大資產重組、合併分立或者因收購導致公司控制權發生變更的,公司應當在募
集說明書或發行預案、重大資產重組報告書、權益變動報告書或者收購報告書中詳細披露募集或發
行、重組或者控制權發生變更後公司的現金分紅政策及相應的安排、董事會對上述情況的說明等信
息;
Where there is a change in the Company’s control resulting from securities issuance, material asset
reorganization, merger, division or acquisition, the Company shall disclose in details the cash dividend
policy and relevant arrangements after such offering, issuance, reorganization or change in the control, as
well as the Board’s explanation of the aforesaid, in the prospectus, offering proposal, material asset
reorganization report, report of change of interest or acquisition report;
(八) 在充分考慮股東回報、切實保障社會公眾股東合法權益的前提下,公司當年實現盈利,由董事會提
出科學、合理的利潤分配建議和預案,提交股東大會表決。公司應當切實保障社會公眾股股東參與
股東大會的權利,董事會、獨立董事和符合一定條件的股東可以向公司股東徵集股東大會投票權。
On the premise that the return to shareholders has been thoroughly considered and the legitimate
rights and interests of the public shareholders are guaranteed, if the Company realizes profits at
the current year, the Board of Directors shall bring forward scientific and reasonable profit
distribution suggestions and proposal and submit them to the shareholders』 general meeting for
voting. The Company shall practically secure the right of public shareholders to attend the
shareholders』 general meeting, and the Board of Directors, independent Directors and
shareholders meeting certain conditions may solicit the right to vote at the shareholders』 general
meeting from shareholders of the Company.
(九) 公司利潤分配的決策程序和機制
Decision-making processes and mechanisms for profit distribution of the Company
1、 公司董事會結合公司盈利情況、資金需求和股東回報規劃提出合理的分紅建議和預案,經董
事會審議通過後報經公司股東大會審議批准後實施。如需調整利潤分配方案,應重新履行上
述程序。公司獨立董事應對利潤分配預案進行審核並發表獨立意見;獨立董事可以徵集中小
股東的意見,提出分紅提案,並直接提交董事會審議。
The Board of Directors of the Company shall devise a reasonable dividend distribution
recommendation and proposal based on the profitability, capital requirements and shareholders』
returns plan of the Company and implement after the consideration and approval at the general
meeting upon the consideration and approval by the Board. Any adjustment thereof shall go
through the procedures above again. The independent Directors of the Company shall examine the
profit distribution proposal and issue independent opinions thereon; independent Directors may
solicit opinions of minority shareholders and prepare a dividend distribution proposal and submit it
directly to the Board for consideration.
2、 公司應當嚴格執行本章程確定的現金分紅政策以及股東大會審議批准的現金分紅具體方案。
確有必要對本章程確定的現金分紅政策進行調整或者變更的,應當滿足本章程規定的條件,
經過詳細論證後,履行相應的決策程序,並經出席股東大會的股東所持表決權的 2/3 以上通
過;獨立董事要對調整或變更的理由真實性、充分性、合理性、審議程序真實性和有效性以
及是否符合本章程規定的條件等事項發表明確意見,且公司應在股東大會召開前與中小股東
充分溝通交流,並及時答覆中小股東關心的問題,必要時,可通過網絡投票系統徵集股東意
見。
The Company shall strictly implement its cash dividend policy as determined in the Articles of
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Association and the specific cash dividend proposal as considered and approved at the general
meeting. If the Company needs to adjust or change the cash dividend policy as determined in the
Articles of Association, it is required to satisfy the conditions under the Articles of Association and
execute appropriate decision-making procedures after substantiation. The adjustment or changes
shall be passed by shareholders representing not less than two-thirds of voting rights held by all
shareholders present at the meeting; the independent Directors shall give explicit opinion on
matters such as the truthfulness, adequacy and reasonableness of the reasons for adjustments and
changes, truthfulness and validity of the approval procedures as well as its compliance with the
conditions required in the Articles of Association, and communicate and exchange ideas with
minority shareholders before the general meeting and give timely reply to issues that concern
minority shareholders. Independent directors may collect opinions from shareholders through
network voting system, if necessary.
3、 公司調整現金分紅政策的具體條件:(1)公司發生虧損或者已發布預虧提示性公告的;(2)
自利潤分配的股東大會召開日後的兩個月內,公司除募集資金、政府專項財政資金等專款專
用或專戶管理資金以外的現金(含銀行存款、高流動性的債券等)餘額均不足以支付現金股
利;(3)按照既定分紅政策執行將導致公司股東大會或董事會批准的重大投資項目、重大交
易無法按既定交易方案實施的;(4)董事會有合理理由相信按照既定分紅政策執行將對公司
持續經營或保持盈利能力構成實質性不利影響的。
Specific conditions for the Company to adjust the cash dividend policy: (1) the Company suffers
from losses or has issued loss warning announcement; (2) the balance of cash, excluding cash
raised from capital markets and cash within special funding for special purposes or special account
management funding such as a government special financial funds (including bank deposits and
bonds with high liquidity), is not sufficient to pay the cash dividends within two months from the
date of general meeting approving the profit distribution; (3) the following established dividend
policy will render if impossible for the material investment projects and material transactions
approved by the general meeting or the Board of Directors of the Company to be implemented
according to established transaction plans; (4) the Board has reasonable grounds to believe that
following the established dividend policy will have material adverse impact on the continuing
operation and profitability of the Company.
(十) 現金分紅的監督約束機制
Mechanism for supervision and limiting on cash dividend
1、 監事會應對董事會和管理層執行公司分紅政策和股東回報規劃的情況及決策程序進行監督;
The board of supervisors shall supervise the implementation of dividend distribution policy by and
shareholders』 returns plan of the Board of Directors and the management, and the execution and
decision-making procedures thereof;
2、 公司董事會、股東大會在對利潤分配政策進行決策和論證過程中應當充分考慮獨立董事和中
小股東的意見。股東大會對現金分紅具體方案進行審議時,應通過多種渠道(包括但不限於
電話、傳真、電子郵件、信函、網際網路等方式)主動與股東特別是中小股東進行溝通和交流,
充分聽取中小股東訴求,並及時答覆中小股東關心的問題;
The Board and the general meeting of the Company shall, in the decision-making and
substantiation process in respect of profit distribution policy, fully consider the opinions of
independent Directors and minority shareholders. When considering the specific plan on cash
dividend distribution in the general meeting, active communication and exchange with
shareholders, especially minority shareholders, shall be conducted via different channels, including
but not limited to telephone, facsimile, e-mails, letters and the Internet, to thoroughly listen to the
views and needs of minority shareholders, and reply to questions concerned by minority
shareholders shall also be made in a timely manner;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
3、 在公司盈利的情況下,公司董事會未做出現金利潤分配預案的,應當在定期報告中披露未分
紅的原因、未用於分紅的資金留存公司的用途,獨立董事應當對此發表明確的獨立意見;
If profit is recorded but the Board of Directors of the Company does not put forth a cash dividend
distribution proposal, reasons therefor and the use of capital that may otherwise be used as
dividends but has been retained by the Company shall be disclosed in its periodic report, and
independent Directors shall express explicit independent opinions thereon;
4、 公司應當在定期報告中詳細披露現金分紅政策的制定及執行情況,說明是否符合公司章程的
規定或者股東大會決議的要求,分紅標準和比例是否明確和清晰,相關的決策程序和機制是
否完備,獨立董事是否盡職履責並發揮了應有的作用,中小股東是否有充分表達意見和訴求
的機會,中小股東的合法權益是否得到充分維護等。對現金分紅政策進行調整或變更的,還
要詳細說明調整或變更的條件和程序是否合規和透明等。
The Company shall fully disclose the formulation and execution of the cash distribution policy in its
periodical reports. The report shall explain: whether the profit distribution is in compliance with
the Company』 s Articles of Association or with the general meeting resolution; whether the
standard and proportion of profit distribution is precise and clear; whether the decision-making
procedures and mechanisms are adequate; whether the independent Directors have fulfilled their
responsibilities and played their role; whether the minority shareholders have the opportunity to
fully express their views and needs; whether the legitimate rights and interests of minority
shareholders are fully protected and so forth. In the event that adjustment or change of the cash
distribution policy is carried out, full explanation shall also be given as to whether the conditions
and procedures for the adjustment or change are compliant and transparent.
第二百四十六條 公司應當為持有境外上市外資股股份的股東委任收款代理人。收款代理人應當代有關股
東收取公司就境外上市外資股股份分配的股利及其他應付的款項。
Article 246 The Company shall appoint receiving agents for the holders of the Overseas-Listed
Foreign-Invested Shares. Such receiving agents shall receive dividends on behalf of such holders which
have been declared by the Company and all other amounts payable to such shareholders.
公司委任的收款代理人應當符合上市地法律或者證券交易所有關規定的要求。公司為其在香港聯交所掛牌
上市的境外上市外資股股東委任的收款代理人,應當為依照香港《受託人條例》註冊的信託公司。
The receiving agents appointed by the Company shall meet the relevant requirements of the laws of the
place or the relevant regulations of the securities exchange where the Company’s shares are listed. The
receiving agents appointed for holders of Overseas-Listed Foreign-Invested Shares listed in Hong Kong
shall each be a company registered as a trust company under the Trustee Ordinance of Hong Kong.
第二百四十七條 公司於催繳股款前已繳付的任何股份的股款均可享有利息,惟股份持有人無權就預繳股
款收取於其後宣派的股利。
Article 247 The Company shall enjoy interests of any and all shares for which it has already paid prior to
the call is made, but the holder of such shares shall have no right to receive the dividends distributed
thereafter with respect to the prepaid shares.
在遵守中國有關法律、法規、規章、規範性文件的前提下,對於無人認領的股息,公司可行使沒收權利,
但該權利僅可在適用的有關時效屆滿後才可行使。
On the premise that the pertinent laws, regulations, rules and normative documents of China are
observed, the Company may exercise the right of confiscation against any unclaimed dividends, but
such right may only be exercised when the applicable limitation expires.
公司有權終止以郵遞方式向境外上市外資股持有人發送股息單,但公司應在股息單連續兩次未予提現後方
可行使此項權利。如股息單初次郵寄未能送達收件人而遭退回後,公司即可行使此項權利。
The Company shall have the right to terminate the serving of dividend warrant to holders of the
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Overseas-Listed Foreign-Invested Shares in the form of mailing, but it may exercise this right only if the
dividend warrant hasn’t been withdrawn for two consecutive times. If the dividend warrant hasn’t been
served to the addressee at the first time and is returned, the Company may then exercise such right.
公司有權按董事會認為適當的方式出售未能聯絡的境外上市外資股的股東的股份,但必須遵守以下條件:
The Company shall have the right to sell any shares of the holder of the Overseas-Listed
Foreign-Invested Shares who could not be reached in a manner which the Board of Directors deems
appropriate, but the following conditions must be observed:
公司在 12 年內已就該等股份最少派發了三次股息,而在該段期間無人認領股息;及
The Company has distributed dividends of such share for at least three (3) times in the previous twelve
(12) years but such dividends still remain unclaimed during that period; and
公司在 12 年期間屆滿後於公司股票上市地一份或多份報章刊登公告,說明其擬將股份出售的意向,並通
知公司股票上市地證券監督管理機構。
The Company shall put notices on one or more newspapers of the place where the Company is listed
upon expiry of the aforementioned 12-year period, stating its intention to sell the shares, and then notify
the securities regulatory authority of the place where the Company is listed.
第二節 內部審計
Section 2 Internal Auditing
第二百四十八條 公司實行內部審計制度,配備專職審計人員,對公司財務收支和經濟活動進行內部審計
監督。
Article 248 The Company shall implement an internal audit system and appoint full time auditors to
carry out internal auditing and supervision of the Company’s income and expenses and economic
activities.
第二百四十九條 公司內部審計制度和審計人員的職責,應當經董事會批准後實施。審計負責人向董事會
負責並報告工作。
Article 249 The Company’s internal auditing system and the responsibilities of the auditing personnel
should be carried out after obtaining approval of the Board of Directors. The auditor-in-chief shall be
accountable and report to the Board of Directors.
第三節 會計師事務所的聘任
Section 3 Engagement of an Accountancy Firm
第二百五十條 公司聘用獨立的、取得「從事證券相關業務資格」的會計師事務所進行年度財務報告及其它財
務報告審計、淨資產驗證及其他相關的諮詢服務等業務。聘期 1 年,自公司本次股東年會結束時起至下次
股東年會結束時止,可以續聘。公司的首任會計師事務所可以由創立大會在首次股東年會前聘任,該會計
師事務所的任期在首次股東年會結束時終止。創立大會不行使前款規定的職權時,由董事會行使該職權。
Article 250 The Company shall engage an independent accountancy firm which has obtained the
「qualification to engage in securities related businesses」 to audit the Company’s annual financial report
and other financial reports, net assets verification and other related consultancy services. The term of
office of an accountancy firm appointed by the Company shall be one (1) year, commencing from the
conclusion of the annual general meeting and expiring at the conclusion of the next annual general
meeting. Upon the expiry of such term, the relevant accountancy firm may be re-appointed. The first
accountancy firm may be engaged before the first annual general meeting by the inaugural meeting of
the Company. The firm so appointed shall hold the office until the conclusion of the first annual general
meeting. If the inaugural meeting does not exercise the powers under the preceding paragraph, those
powers shall be exercised by the Board of Directors.
第二百五十一條 經公司聘用的會計師事務所享有下列權利:
Article 251 The auditors engaged by the Company shall enjoy the following rights:
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 隨時查閱公司的帳簿、記錄或者憑證,並有權要求公司的董事、總經理或者其他高級管理人員提供
有關資料和說明;
a right to inspect the books, records and vouchers of the Company at any time, the right to require
the Directors, general manager or other senior management members of the Company to supply
relevant information and explanations;
(二) 要求公司採取一切合理措施,從其子公司取得該會計師事務所為履行職務而必需的資料和說明;
a right to require the Company to take all reasonable steps to obtain from its subsidiaries such
information and explanations as are necessary for the discharge of its duties;
(三) 出席股東會議,得到任何股東有權收到的會議通知或者與會議有關的其他信息,在任何股東會議上
就涉及其作為公司的會計師事務所的事宜發言。
a right to attend shareholders』 general meetings and to receive all notices of, and other
communications relating to, any shareholders』 general meeting which any shareholder is entitled to
receive, and to speak at any shareholders』 general meeting in relation to matters concerning its
role as the Company’s accountancy firm.
第二百五十二條 公司保證向聘用的會計師事務所提供真實、完整的會計憑證、會計帳簿、財務會計報告
及其他會計資料,不得拒絕、隱匿、謊報。
Article 252 The Company guarantees to provide true and complete vouchers, books, financial and
accounting reports and other accounting materials to the auditors engaged and shall not refuse to
provide, or conceal or give false information.
第二百五十三條公司聘用、解聘或者不再續聘會計師事務所由股東大會作出決定,並報國務院證券主管機
構備案。
Article 253 The Company’s engagement, removal or discontinuance of engagement of an accountancy
firm shall be resolved by the shareholders in a general meeting. Such resolution shall be filed with the
securities authority of the State Council.
第二百五十四條 公司解聘或者不再續聘會計師事務所時,提前 30 天事先通知會計師事務所,公司股東大
會就解聘會計師事務所進行表決時,允許會計師事務所陳述意見。
Article 254 When the Company intends to remove or do not renew the engagement of an accountancy
firm, it shall notify the said firm thirty (30) days in advance. The accountancy firm shall be allowed to
state its opinions at the time when the shareholders』 general meeting is voting for or against the removal
of the said firm.
會計師事務所提出辭聘的,應當向股東大會說明公司有無不當情形。
Where the accountancy firm proposes to quit, it shall state to the shareholders』 general meeting whether
or not there is anything improper in the company.
會計師事務所可以用把辭聘書面通知置於公司法定地址的方式辭去其職務。通知在其置於公司法定地址之
日或者通知內註明的較遲的日期生效。該通知應當包括下列陳述:
The accountancy firm may resign by placing its written notice of resignation on the legal address of the
Company. The said notice shall come into effect on the day when it is placed on the legal address of the
Company or the date indicated therein, whichever is later. Such notice shall include the following
representations:
1、 認為其辭聘並不涉及任何應該向公司股東或者債權人交代情況的聲明;或者
representation stating that it deems that its resignation does not involve any situation necessary to
be explained to the shareholders or creditor of the Company; and
2、 任何應當交代情況的陳述。
representation regarding any issues to be explained.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
公司收到前款所指書面通知的 14 日內,應當將該通知複印件送出給有關主管機關。如果通知載有第二百
五十六條第一款(二)項提及的陳述,公司應當將該陳述的副本備置於公司,供股東查閱。公司還應將前
述陳述副本以郵資已付的郵件寄給每個有權得到公司財務狀況報告的股東,受件人地址以股東的名冊登記
的地址為準。
The Company shall, within fourteen (14) days upon receipt of the written notice prescribed in the
foregoing paragraph, send copies of such notice to the competent authority concerned. If the said notice
contains representations mentioned in item 2. of (ii) of article 256, the Company shall keep copies of
such representations in the Company for the inspection of shareholders. The Company shall also deliver
copies thereof to each shareholder who is entitled to receive reports on financial status of the Company
at the address registered in the register of shareholders by prepaid mail, and the address of the
addressee shall be subject to that registered in the register of shareholders.
如果會計師事務所的辭聘通知載有任何應當交代情況的陳述,會計師事務所可要求董事會召集臨時股東大
會,聽取其就辭聘有關情況作出的解釋。
If the resignation notice of the accountancy firm contains a representation on any issues to be explained,
the firm may request the Board of Directors to convene an extraordinary general meeting to hear its
explanations on issues relating to its resignation.
第二百五十五條 如果會計師事務所職位出現空缺,董事會在股東大會召開前,可以委任會計師事務所填
補該空缺。但在空缺持續期間,公司如有其他在任的會計師事務所,該等會計師事務所仍可行事。
Article 255 If there is a vacancy in the position of auditor of the Company, the Board of Directors may
engage an accountancy firm to fill such vacancy before the convening of the shareholders』 general
meeting. Any other accountancy firm which has been engaged by the Company may continue to act
during the period during which a vacancy exists.
第二百五十六條 股東大會在擬通過決議,聘任一家非現任的會計師事務所以填補會計師事務所職位的任
何空缺,或續聘一家由董事會聘任填補空缺的會計師事務所或者解聘一家任期未屆滿的會計師事務所的,
應當符合下列 A
Article 256 Where a resolution at a shareholders』 general meeting is passed to appoint as auditor a
person other than an incumbent auditor, to fill a casual vacancy in the office of auditor, to reappoint as
auditor a retiring auditor who was appointed by the Board of Directors to fill a casual vacancy or to
remove an auditor before the expiration of its term of office, the following provisions shall apply:
(一) 有關聘任或解聘的提案在股東大會會議通知發出之前,應當送給擬聘任的或者擬離任的或者在有關
會計年度已離任的會計師事務所。
A copy of the appointment or removal proposal shall be sent (before notice of meeting is given to
the shareholders) to the firm proposed to be appointed or proposing to leave its post or the firm
which has left its post in the relevant fiscal year.
離任包括被解聘、辭聘和退任。
For the purpose of this article, 「leaving」 includes leaving by removal, resignation and retirement.
(二) 如果即將離任的會計師事務所作出書面陳述,並要求公司將該陳述告知股東,公司除非收到書面陳
述過晚,否則應當採取以下措施:
If the auditor leaving its post makes representations in writing and requests the Company to give
the shareholders notice of such representation, the Company shall (unless the representations
have been received too late) take the following measures:
1、 在為作出決議而發出通知上說明將離任的會計師事務所作出了陳述;
In any notice of the resolution given to shareholders, state the fact of the representations
having been made; and
2、 將陳述副本作為通知的附件以章程規定的方式送給每位有權得到股東大會通知的股東。
Attach a copy of the representations to the notice and deliver it to the shareholders who are
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
entitled to receive the notice of shareholders』 general meeting in the manner stipulated in the
Company’s Articles of Association.
(三) 公司如果未將有關會計師事務所的陳述按本款(二)項的規定送出,有關會計師事務所可要求該陳
述在股東大會上宣讀,並可以進一步作出申訴。
If the Company fails to send out the auditor’s representations in the manner set out in item (ii)
above, such auditor may require that the representations be read out at the shareholders』 general
meeting and may make further complaint.
(四) 離任的會計師事務所有權出席以下會議:
An auditor which is leaving its post shall be entitled to attend the following shareholders』 general
meetings:
1、 其任期應到期的股東大會;
The general meeting at which its term of office would otherwise have expired;
2、 為填補因其被解聘而出現空缺的股東大會;
The general meeting at which it is proposed to fill the vacancy caused by its removal; and
3、 因其主動辭聘而召集的股東大會。
The general meeting which convened as a result of its resignation,
離任的會計師事務所有權收到前述會議的所有通知或者與會議有關的其他信息,並在前述會議上就涉及其
作為公司前任會計師事務所的事宜發言。
The resigning auditor shall have the right to receive all notices of, and other communications relating to,
any such meeting, to speak at any such meeting which it attends on any part of the business of the
meeting which concerns it as former auditor of the Company.
第二百五十七條 不論會計師事務所與公司訂立的合同條款如何規定,股東大會可以在任何會計師事務所
任期屆滿前,通過普通決議決定將該會計事務所解聘。有關會計師事務所如有因被解聘而向公司索償的權
利,有關權利不因此而受影響。
Article 257 The shareholders in a general meeting may by ordinary resolution remove the Company’s
auditor before the expiration of its term of office, irrespective of the provisions in the contract between
the Company and the auditor. However, the accountancy firm’s right to claim for damages which arise
from its removal shall not be affected thereby.
第二百五十八條 會計師事務所的報酬或者確定報酬的方式由股東大會決定。由董事會聘任的會計師事務
所的報酬由董事會確定。
Article 258 The remuneration of an accountancy firm or the manner in which such firm is to be
remunerated shall be determined by the shareholders in a general meeting. The remuneration of an
accountancy firm engaged by the Board of Directors shall be determined by the Board of Directors.
第十二章 通知和公告
Chapter 12 Notices and Announcements
第一節 通知
Section 1 Notices
第二百五十九條 公司的通知以下列形式發出:
Article 259 Notices of the Company shall be sent by the following means:
(一) 以專人送出;
by hand;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(二) 以郵件方式送出;
by mail;
(三) 以公告方式進行;
by announcement; or
(四) 本章程規定的其他形式。
by other means prescribed by the Company’s Articles of Association.
就公司按照《香港上市規則》要求向境外上市外資股股東提供或發送公司通訊的方式而言,在符合上市地
法律法規及上市規則和公司章程的前提下,均可通過公司指定的及/或香港聯交所網站或通過電子方式,
將公司通訊提供或發送給境外上市外資股股東。
For the means by which the Company provides or delivers notices of the Company to the holders of
Overseas-Listed Foreign-Invested Shares pursuant to the HK Listing Rules , such communications may
be published on the website designated by the Company and/or website of the Stock Exchange of Hong
Kong or by electronic means provided or delivered to the holders of Overseas-Listed Foreign-Invested
Shares subject to laws, administrative regulations and listing rules of the place where the Company is
listed and the Company’s Articles of Association.
前款所稱公司通訊是指,公司發出或將予發出以供公司任何境外上市外資股股東參照或採取行動的任何文
件,其中包括但不限於:(1)董事會報告、公司的年度帳目、核數師報告以及財務摘要報告(如適用);(2)
公司中期報告及中期摘要報告(如適用);(3)會議通知;(4)上市文件;(5)通函;(6)委任表格(委
任表格具有公司股份上市地交易所上市規則所賦予的含義)。
For the purpose of the foregoing paragraph, communications of the Company shall mean any document
delivered or to be delivered by the Company for the reference of any holder of Overseas-Listed
Foreign-Invested Shares or for taking any action, including without limitation: (1) Board of Directors
report, annual accounts of the Company, auditors』 reports and summary reports on finance (if applicable);
(2) interim reports and interim summary reports of the Company (if applicable); (3) notices of meetings;
(4) listing documents; (5) circulars; and (6) proxy form (the definition of which shall be subject to the
listing rules of the stock exchange in the place where the Company is listed).
第二百六十條 公司發給內資股股東的通知,須在國家證券監督管理機構指定的一家或多家報刊上刊登公
告。該公告一經刊登,所有內資股股東即被視為已收到該等通知。
Article 260 Notices to be delivered by the Company to the holders of Domestic-Invested Shares shall be
published in one or more newspapers designated by the securities regulatory authority of the State.
Once published, all holders of Domestic-Invested Shares shall be deemed to have received such notice.
第二百六十一條 除本章程另有規定外,公司發給境外上市外資股股東的通知、資料或書面聲明,須按境
外上市外資股股東的註冊地址送達,或以郵遞方式寄至每一位境外上市外資股股東。
Article 261 Unless otherwise stipulated in the Company’s Articles of Association, all notices, materials or
written representations to be delivered by the Company to holders of Overseas-Listed Foreign-Invested
Shares shall be served at the registered address of such holders of Overseas-Listed Foreign-Invested
Shares or be mailed to each holder of Overseas-Listed Foreign-Invested Shares.
行使本章程內規定的權力以公告形式發出通知時,該等公告可於報章上刊登。
When the power prescribed in the Company’s Articles of Association is exercised to deliver notices by
announcement, such announcement may be published in newspaper.
第二百六十二條 公司召開股東大會的會議通知,以公告方式進行。
Article 262 The notice of shareholders』 general meeting to be convened shall be sent by
announcement.
第二百六十三條 公司召開董事會、監事會的會議通知,以專人送出、郵遞、傳真、電子郵件方式進行。
Article 263 The notice of meetings of the Board of Directors or Board of Supervisors to be convened
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shall be sent by hand, mail, facsimile or e-mail.
第二百六十四條 公司通知以專人送出的,由被送達人在送達回執上簽名(或蓋章),被送達人籤收日期為送
達日期;公司通知以郵件送出的,自交付郵局之日起第 3 個工作日為送達日期;公司通知以公告方式送出
的,第一次公告刊登日為送達日期。
Article 264 Notices sent by hand shall be deemed effectively served on the day when the addressee
signs (or seals) the receipt; notices sent by mail shall be deemed effectively served on the third working
days upon its delivery to the post office; and notices sent by announcement shall be deemed effectively
given on the date of its first publication.
第二百六十五條 因意外遺漏未向某有權得到通知的人送出會議通知或者該等人沒有收到會議通知,會議
及會議作出的決議並不因此無效。
Article 265 If any notice of meeting fails to be given to any person entitled to receive such notice or such
person does not receive a notice of meeting, the resolution adopted therein shall not become invalid
thereby.
第二節 公告
Section 2 Announcements
第二百六十六條 公司指定《上海證券報》、《中國證券報》以及中國證監會指定的信息披露網站為刊登公
告和其他需要披露信息的媒體。
Article 266 The Company designates Shanghai Securities News, China Securities Journal and the
information disclosure website designated by China Securities Regulatory Commission as the medias to
publish announcements and other information to be disclosed.
第二百六十七條 如根據公司章程應向境外上市外資股股東發出公告,則有關公告同時應根據《香港上市
規則》所規定的方法刊登。
Article 267 If the Company’s Articles of Association requires making an announcement to holders of
Overseas-Listed Foreign-Invested Shares, then relevant announcements shall be published at the same
time in the same manner as prescribed in the HK Listing Rules.
第十三章 合併、分立、增資、減資、解散和清算
Chapter 13 Merger, Division, Capital Increase and Decrease,
Dissolution and Liquidation
第一節 合併、分立、增資和減資
Section 1 Merger, Division, Capital Increase and Decrease
第二百六十八條 公司可以依法進行合併或者分立。
Article 268 The Company may be merged or divided according to law.
公司合併可以採取吸收合併和新設合併兩種形式。一個公司吸收其他公司為吸收合併,被吸收的公司解散。
兩個以上公司合併設立一個新的公司為新設合併,合併各方解散。
The merger of the Company may take the form of either merger by absorption or merger by
consolidation. One company absorbing another company is merger by absorption, and the company
being absorbed shall be dissolved. Merger of two or more companies through the establishment of a
new company is a consolidation, and the companies being consolidated shall be dissolved.
第二百六十九條 公司合併或者分立,應當由公司董事會提出方案,按公司章程規定的程序通過後,依法
辦理有關審批手續。反對公司合併、分立方案的股東,有權要求公司或者同意公司合併、分立方案的股東、
以公平價格購買其股份。公司合併、分立決議的內容應當作成專門文件,供股東查閱。
Article 269 In the event of the merger or division of the Company, a plan shall be presented by the
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Company’s Board of Directors and shall be approved in accordance with the procedures stipulated in the
Company’s Articles of Association. The Company shall then go through the relevant approval process. A
shareholder who objects to the plan of merger or division shall have the right to demand the Company or
the shareholders who consent to the plan of merger of division to acquire such dissenting shareholders』
shares at a fair price. The contents of the resolution of merger or division of the Company shall constitute
special documents which shall be available for inspection by the shareholders.
對於境外上市外資股股東,前述文件應當以郵件或本章程規定的其他方式送達。
Such special documents shall be sent by mail or by other means prescribed in the Company’s Articles of
Association to holders of Overseas-Listed Foreign-Invested Shares to the address registered in the
register of shareholders.
第二百七十條 公司合併,應當由合併各方籤訂合併協議,並編制資產負債表及財產清單。公司應當自作
出合併決議之日起 10 日內通知債權人,並於 30 日內在有關報紙上公告至少三次。債權人自接到通知書
之日起 30 日內,未接到通知書的自公告之日起 45 日內,可以要求公司清償債務或者提供相應的擔保。
Article 270 In the event of merger of the Company, the parties to such merger shall execute a merger
agreement and prepare a balance sheet and an inventory of assets. The Company shall notify its
creditors within ten (10) days of the date of the Company’s resolution for merger and shall publish an
announcement in a newspaper for at least three (3) times within thirty (30) days of the date of such
resolution. A creditor has the right within thirty (30) days of receipt of the notice from the Company or, in
the case of creditor who does not receive such notice, within forty-five (45) days of the date of
announcement, to require the Company to repay its debts or to provide a corresponding guarantee for
such debt.
第二百七十一條 公司合併時,合併各方的債權、債務,由合併後存續的公司或者新設的公司承繼。
Article 271 After merger, any rights in relation to debtors and any indebtedness of each of the merged
parties shall be assumed by the Company which survives the merger or the newly established company.
第二百七十二條 公司分立,其財產作相應的分割。
Article 272 Where there is a division of the Company, its assets shall be divided up accordingly.
公司分立,應當由分立各方籤訂分立協議,並編制資產負債表及財產清單。公司應當自作出分立決議之日
起 10 日內通知債權人,並於 30 日內在法律、法規或中國證券監督管理機構指定的報刊上公告至少三次。
In the event of division of the Company, the parties to such division shall execute a division agreement
and prepare a balance sheet and an inventory of assets. The Company shall notify its creditors within
then (10) days of the date of the Company’s division resolution and shall publish an announcement in a
newspaper for at least three (3) times within thirty (30) days of the date of the Company’s division
resolution.
第二百七十三條 公司分立前的債務由分立後的公司承擔連帶責任。但是,公司在分立前與債權人就債務
清償達成的書面協議另有約定的除外。
Article 273 The debts of the Company prior to the division shall be assumed jointly and severally by the
companies arising from the division, except for those which written agreement has been reached with
the creditor in respect of repayment of the debts prior to the division.
第二百七十四條 公司需要減少註冊資本時,必須編制資產負債表及財產清單。
Article 274 The Company must prepare a balance sheet and an inventory list of its assets when it
reduces its registered capital.
公司應當自作出減少註冊資本決議之日起 10 日內通知債權人,並於 30 日內在《上海證券報》和《中國證
券報》上公告至少三次。債權人自接到通知書之日起 30 日內,未接到通知書的自公告之日起 45 日內,有
權要求公司清償債務或者提供相應的擔保。
The Company shall notify its creditors within ten (10) days of the date of the Company’s resolution for
reduction of capital and shall publish an announcement in a newspaper for at least three (3) times within
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
thirty (30) days of the date of such resolution. A creditor has the right within thirty (30) days of receipt of
the notice from the Company or, in the case of creditor who does not receive such notice, within forty-five
(45) days of the date of announcement, to require the Company to repay its debts or to provide a
corresponding guarantee for such debt.
公司減資後的註冊資本將不低於法定的最低限額。
The Company’s registered capital must not, after the reduction in capital, be less than the minimum
amount required by law.
第二百七十五條 公司合併或者分立,登記事項發生變更的,應當依法向公司登記機關辦理變更登記;公
司解散的,應當依法辦理公司註銷登記;設立新公司的,應當依法辦理公司設立登記。
Article 275 The Company shall, in accordance with law, apply for change in its registration with the
Company registration authority where a change in any item in its registration arises as a result of any
merger or division. Where the Company is dissolved, the Company shall apply for cancellation of its
registration in accordance with law. Where a new company is established, the Company shall apply for
registration thereof in accordance with law.
公司增加或者減少註冊資本,應當依法向公司登記機關辦理變更登記。
Where the Company increases or decreases its registered capital, procedures for alteration of
registration shall be handled at the company registration authority in accordance with the law.
第二節 解散和清算
Section 2 Dissolution and Liquidation
第二百七十六條 公司因下列原因解散:
Article 276 The Company may be dissolved in any of the following circumstances:
(一) 本章程規定的解散事由出現;
Where any reason for dissolution provided herein occurs;
(二) 股東大會決議解散;
Where the shareholders' general meeting has adopted a resolution for dissolution;
(三) 因公司合併或者分立需要解散;
Where dissolution is required due to merger or division of the company;
(四) 因公司不能清償到期債務被依法宣告破產;
Where the Company is declared bankrupt in accordance with the law due to its inability to repay
the debts that are due;
(五) 依法被吊銷營業執照、責令關閉或者被撤銷;
Where the business license of the Company is revoked, or the Company is ordered to close down;
(六) 公司經營管理發生嚴重困難,繼續存續會使股東利益受到重大損失,通過其他途徑不能解決的,持
有公司全部股東表決權 10%以上的股東,可以請求人民法院解散公司;
Where the Company runs deep into difficulties in operation and management, its continuous
existence may cause heavy losses to shareholders』 interests, and such difficulties cannot be dealt
with in other ways, the shareholders holding over 10% votes of all shareholders』 of the Company
may apply to the people’s court to dissolve the Company;
(七) 營業期限屆滿。
Where the term of operations expires.
第二百七十七條 公司有第二百七十六條第(一)項情形的,可以通過修改本章程而存續。
Article 277 In the circumstance item (i) under Article 276, the Company may continue to exist by
amending the Articles of Association.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
依照前款規定修改本章程,須經出席股東大會會議的股東所持表決權的 2/3 以上通過。
Where the Articles of Association are amended in accordance with the preceding paragraph, the
amendment shall be adopted by two thirds or more shareholders attending the shareholders』 general
meeting.
第二百七十八條 公司因本章程第二百七十六條第(一)項、第(二)項、第(五)項、第(六)項、第
(七)項規定而解散的,應當在解散事由出現之日起 15 日內成立清算組,開始清算。
Article 278 Where the Company is dissolved in accordance with the items (i), (ii), (v), (vi) and (vii) under
Article 276 hereof, a liquidation committee shall be established within 15 days upon occurrence of the
reason for dissolution to carry out liquidation.
清算組由董事或者股東大會確定的人員組成。逾期不成立清算組進行清算的,債權人可以申請人民法院指
定有關人員組成清算組進行清算。
The liquidation committee shall be composed of the persons determined at the board of Directors or
shareholders』 general meeting. In case no liquidation committee is established within the specified
period to carry out liquidation, the creditor(s) may apply to the people’s court to designate relevant
persons to form a liquidation committee and carry out liquidation.
公司因本章程第二百七十六條第(四)項規定解散的,由人民法院依照有關法律的規定,組織股東、有關
機關及有關專業人員成立清算組,進行清算。
Where the company is dissolved according to the item (iv) under Article 276 hereof, the people’s court
shall, according to provisions of related laws, organize the shareholders, the relevant authority and
related professionals to form a liquidation committee to carry out liquidation.
公司因前條(五)項規定解散的,由有關主管機關組織股東、有關機關及有關專業人員成立清算組,進行
清算。
Where the company is dissolved according to the item (v) of the preceding article, the relevant
department in charge shall organize the shareholders, the relevant authority and related professionals to
form a liquidation committee to carry out liquidation.
第二百七十九條 如董事會決定公司進行清算(因公司宣告破產而清算的除外),應當在為此召集的股東大
會的通知中,聲明董事會對公司的狀況已經做了全面的調查,並認為公司可以在清算開始後 12 個月內全
部清償公司債務。
Article 279 Where the Board of Directors proposes to liquidate the Company for any reason other than
the Company’s declaration of its own insolvency, the Board shall include a statement in its notice
convening a shareholders』 general meeting to consider the proposal to the effect that, after making full
inquiry into the affairs of the Company, the Board of Directors is of the opinion that the Company will be
able to pay its debts in full within 12 months from the commencement of the liquidation.
股東大會進行清算的決議通過之後,公司董事會的職權立即終止。
Upon the adoption of the resolution by the shareholders at a general meeting for the liquidation of the
Company, all functions and powers of the Board of Directors shall cease immediately.
清算組應當遵循股東大會的指示,每年至少向股東大會報告一次清算組的收入和支出,公司的業務和清算
的進展,並在清算結束時向股東大會作最後報告。
The liquidation committee shall act in accordance with the instructions of the shareholders』 general
meeting to make a report at least once every year to the shareholders』 general meeting on the
committee’s income and expenses, the business of the Company and the progress of the liquidation;
and the present a final report to the shareholders』 general meeting on completion of the liquidation.
第二百八十條 清算組在清算期間行使下列職權:
Article 280 During the liquidation period, the liquidation committee shall exercise the following functions
and powers;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(一) 清理公司財產,分別編制資產負債表和財產清單;
to sort out the Company’s assets and prepare a balance sheet and an inventory of assets
respectively;
(二) 通知、公告債權人;
To notify the creditor(s) or to publish public announcements;
(三) 處理與清算有關的公司未了結的業務;
to dispose of and liquidate any unfinished businesses of the Company;
(四) 清繳所欠稅款以及清算過程中產生的稅款;
to pay all outstanding taxes and taxes arising from the liquidation;
(五) 清理債權、債務;
to settle claims and debts;
(六) 處理公司清償債務後的剩餘財產;
to deal with the surplus assets remaining after the Company’s debts have been repaid;
(七) 代表公司參與民事訴訟活動。
to represent the Company in any civil proceedings.
第二百八十一條 清算組應當自成立之日起 10 日內通知債權人,並於 60 日內在法律、行政法規或國家證
券監管機構指定的報刊上至少公告三次。債權人應當自接到通知書之日起 30 日內,未接到通知書的自公
告之日起 45 日內,向清算組申報其債權。
Article 281 The liquidation committee shall, within 10 days of its establishment, send notices to creditors
and shall, within 60 days of its establishment, publish at least three public announcement at the
newspaper designated by the law, administrative regulations, or national securities regulators. A Director
shall, within 30 days of receipt of the notice, or for creditors, who have not personally received such
notice, within 45 days of the date of the public announcement, claim its rights to the liquidation
committee.
債權人申報債權,應當說明債權的有關事項,並提供證明材料。清算組應當對債權進行登記。
In claiming its rights, the creditor shall provide evidential material in respect thereof. The liquidation
committee shall register the creditor's rights.
在申報債權期間,清算組不得對債權人進行清償。
In the course of claiming of creditors』 rights, the liquidation committee shall not make any repayment to
creditors.
第二百八十二條 清算組在清理公司財產、編制資產負債表和財產清單後,應當制定清算方案,並報股東
大會或者人民法院確認。
Article 282 After it has sorted out the Company’s assets and after it has prepared the balance sheet and
an inventory of assets, the liquidation committee shall formulate a liquidation plan and present it to a
shareholders』 general meeting or to the people’s court for confirmation.
公司財產在依次分別支付清算費用、職工的工資、社會保險費用和法定補償金,繳納所欠稅款,清償公司
債務後的剩餘財產,公司按照股東持有的股份比例分配。
Any surplus assets of the Company’s remaining after paying for liquidation cost, staff’s salary, social
insurance, statutory compensation, taxes payable, and debts of the Company shall be distributed to its
shareholders according to the proportion of shares held.
清算期間,公司存續,但不能開展與清算無關的經營活動。公司財產在未按前款規定清償前,將不會分配
給股東。
During the liquidation period, the Company remains in existence; however, it shall not commence any
business activity irrelevant with liquidation. The Company’s assets shall not be distributed to its
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shareholders prior to repaying debts in accordance with the foregoing provision.
第二百八十三條 清算組在清理公司財產、編制資產負債表和財產清單後,發現公司財產不足清償債務的,
應當依法向人民法院申請宣告破產。
Article 283 After sorting out the Company’s assets and preparing a balance sheet and an inventory of
assets, the liquidation committee discovers that the Company’s assets have insufficient to repay the
Company's debts in full, the liquidation committee shall immediately apply to the people’s court for a
declaration of insolvency.
公司經人民法院裁定宣告破產後,清算組應當將清算事務移交給人民法院。
After the Company is declared insolvent by a ruling of the people’s court, the liquidation committee shall
transfer all matters arising from the liquidation of the people’s court.
第二百八十四條 公司清算結束後,清算組應當製作清算報告以及清算期內的收支報表和財務帳冊,經中
國註冊會計師驗證後,報股東大會或者有關主管機關確認。
Article 284 Following the completion of the liquidation, the liquidation committee shall prepare a
liquidation report, a statement of income and expenses received and made during the liquidation period
and a final report, which shall be verified by a Chinese registered accountant and submitted to the
shareholders』 general meeting or relevant competent authority for confirmation.
清算組應當自股東大會或者有關主管機關確認之日起 30 日內,將前述文件報送公司登記機關,申請註銷
公司登記,公告公司終止。
The liquidation committee shall, within 30 days after such confirmation, submit the documents referred to
in the preceding paragraph to the Company registration authority and apply for cancellation of
registration of the Company, and publish a public announcement relating to the termination of the
Company.
第二百八十五條 清算組成員應當忠於職守,依法履行清算義務。
Article 285 Members of the liquidation committee shall faithfully perform their duties and carry out their
liquidation obligations in accordance with the law.
清算組成員不得利用職權收受賄賂或者其他非法收入,不得侵佔公司財產。
Members of the liquidation committee may not abuse their authorities by accepting bribes or receiving
other illegal income, and may not misappropriate the Company’s assets.
清算組成員因故意或者重大過失給公司或者債權人造成損失的,應當承擔賠償責任。
A committee member who causes loss to the Company or its creditors due to his intentional misconduct
or gross negligence shall be liable for damages.
第二百八十六條 公司被依法宣告破產的,依照有關企業破產的法律實施破產清算。
Article 286 Where the Company is declared insolvent in accordance with the law, bankruptcy liquidation
shall be carried out in accordance with the law concerning enterprise bankruptcy.
第十四章 修改章程
Chapter 14 Amendment of the Articles of Association
第二百八十七條 有下列情形之一的,公司應當修改本章程:
Article 287 In any of the following circumstances, the Company shall amend the Articles of Association:
(一) 《公司法》或有關法律、行政法規修改後,本章程規定的事項與修改後的法律、行政法規的規定相
牴觸;
The Articles of Association is contradictory to any provision of the amended version of the
Company Law or other applicable laws or administrative regulations;
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(二) 公司的情況發生變化,與本章程記載的事項不一致;
There is any change to the Company’s situation and is inconsistent with any matter recorded in the
Articles of Association;
(三) 股東大會決定修改本章程。
A shareholders』 general meeting adopts a resolution for amendment of the Articles of Association.
第二百八十八條 股東大會決議通過的本章程修改事項應經主管機關審批的,須報原審批的主管機關批准;
涉及公司登記事項的,依法辦理變更登記。
Article 288 Amendments of the matters of the Articles of Association adopted by a resolution of the
shareholders』 general meeting which are subject to approvals from relevant competent authority shall be
submitted to the original competent approval authority for approval; if there is any change relating to the
registered particulars of the Company, application shall be made for change in registration in accordance
with the law.
第二百八十九條 董事會依照股東大會修改章程的決議和有關主管機關的審批意見修改本章程。
Article 289 The Board of Directors shall amend the Articles of Association according to the resolution of
the shareholders』 general meeting for amendments hereof and the approval opinions of relevant
competent authority.
第二百九十條 章程修改事項屬於法律、法規要求披露的信息,按規定予以公告。
Article 290 If amendments to the Articles of Association need to be disclosed pursuant to laws and
regulations, they shall be disclosed accordingly.
第十五章 爭議解決
Chapter 15 Dispute Resolution
第二百九十一條 公司遵從下述爭議解決規則:
Article 291 The Company shall abide by the following principles of dispute resolution:
(一) 凡境外上市外資股股東與公司之間,境外上市外資股股東與公司董事、監事、高級管理人員之間,
境外上市外資股股東與內資股股東之間,基於公司章程、《公司法》及其他有關法律、行政法規所規
定的權利義務發生的與公司事務有關的爭議或者權利主張,有關當事人應當將此類爭議或者權利主
張提交仲裁解決。
Any dispute or claim arising between holders of the Overseas-Listed Foreign-Invested Shares and
the Company; holders of the overseas-Listed Foreign-Invested and the Company’s Directors,
supervisors or senior management members; or holders of the Overseas-Listed Foreign-Invested
Shares and holders of Domestic-Invested Shares, in respect of any rights or obligations arising
from the Articles of Association, the Company Law or any rights or obligations conferred or
imposed by the Company Law or any other relevant laws and administrative regulations
concerning the affairs of the Company shall be submitted for arbitration.
前述爭議或者權利主張提交仲裁時,應當是全部權利主張或者爭議整體;所有由於同一事由有訴因的人或
者該爭議或權利主張的解決需要其參與的人,如果其身份為公司或公司股東、董事、監事、高級管理人員,
應當服從仲裁。
When a dispute or claim of rights referred to in the preceding paragraph is submitted for arbitration, the
entire claim or dispute must be referred to arbitration, and all persons who have a cause of action based
on the same facts giving rise to the dispute or claim or whose participation is necessary for the resolution
of such dispute or claim, shall, where such person is the Company, the Company’s shareholders,
Directors, supervisors, or other senior management members of the Company, comply with the
arbitration.
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
有關股東界定、股東名冊的爭議,可以不用仲裁方式解決。
Dispute in respect of the definition of shareholders and dispute in relation to the register of shareholders
need not be resolved by arbitration.
(二) 申請仲裁者可以選擇中國國際經濟貿易仲裁委員會按其仲裁規則進行仲裁,也可以選擇香港國際仲
裁中心按其證券仲裁規則進行仲裁。申請仲裁者將爭議或者權利主張提交仲裁後,對方必須在申請
者選擇的仲裁機構進行仲裁。
A claimant may elect for arbitration to be carried out at either the China International Economic and
Trade Arbitration Commission in accordance with its Rules or the Hong Kong International
Arbitration Center in accordance with its Securities Arbitration Rules. Once a claimant submits a
dispute or claim to arbitration, the other party must submit to the arbitral body elected by the
claimant.
如申請仲裁者選擇香港國際仲裁中心進行仲裁,則任何一方可以按香港國際仲裁中心的證券仲裁規則的規
定請求該仲裁在深圳進行。
If a claimant elects for arbitration to be carried out at Hong Kong International Arbitration Center, any
party to the dispute or claim may apply for a hearing to take place in Shenzhen in accordance with the
Securities Arbitration Rules of the Hong Kong International Arbitration Center,
(三) 以仲裁方式解決因本條(一)項所述爭議或者權利主張,適用中華人民共和國的法律;但法律、行
政法規另有規定的除外。
If any disputes or claims of rights are settled by way of arbitration in accordance with item (i) of this
Article, the laws of the PRC govern, save as otherwise provided in law and administrative
regulations.
(四) 仲裁機構作出的裁決是終局裁決,對各方均具有約束力。
The award of an arbitral body shall be final and conclusive and binding on all parties.
第二百九十二條 不涉及第二百九十一條所述的爭議,當事人可以選擇以訴訟或仲裁方式解決。
Article 292 For any dispute not mentioned in Article 291, the parties may resolve it through either
litigation or arbitration.
第十六章 附則
Chapter 16 Supplementary Provisions
第二百九十三條 釋義
Article 293 Definition
(一) 控股股東,是指其持有的股份佔公司股本總額 50%以上的股東;持有股份的比例雖然不足 50%,但
依其持有的股份所享有的表決權已足以對股東大會的決議產生重大影響的股東。
A controlling shareholder means a shareholder who holds more than half of the Company’s total
stock, or a shareholder though whose proportion of shares is less than 50%, the voting right vested
in the shares who holds is enough to have great influence on a resolution of a shareholders』
general meeting.
(二) 實際控制人,是指雖不是公司的股東,但通過投資關係、協議或者其他安排,能夠實際支配公司行
為的人。
An effective controlling person means a person who is not a shareholder of the Company, but
actually controls corporate behaviors through investment relationship, agreements, or other
arrangements.
(三) 關聯關係,是指公司控股股東、實際控制人、董事、監事、高級管理人員與其直接或者間接控制的
企業之間的關係,以及可能導致公司利益轉移的其他關係。
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鄭州煤礦機械集團股份有限公司 公司章程
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Affiliated relation means the relationship between the Company’s controlling shareholder, effective
controlling person, Directors, supervisors, and senior management members and the enterprises
they control directly or indirectly, and other relation that may cause transfer of the Company’s
interests.
(四) 對外擔保,是指公司為他人提供的擔保,包括公司對控股子公司的擔保;公司及控股子公司的對外
擔保總額,是指包括公司對控股子公司擔保在內的公司對外擔保總額與公司控股子公司對外擔保總
額之和。
External guarantees mean the guarantees provided by the Company for others, including the
Company’s guarantees for the subsidiaries; and the total amount of external guarantees of the
Company and its subsidiaries means the sum of the total amount of the Company’s external
guarantees, including the Company’s guarantees for the subsidiaries, and the total amount of
external guarantees provided by the Company’s subsidiaries.
第二百九十四條 董事會可依照章程的規定,制訂章程細則。章程細則不得與章程的規定相牴觸。
Article 294 The Board of Directors may formulate detailed rules for the Articles of Association in
accordance with the provisions hereof, but the detailed rules for the Articles of Association shall not
conflict with the provisions hereof.
第二百九十五條 本章程以中文書寫,其他任何語種或不同版本的章程與本章程有歧義時,以在鄭州市工
商行政管理局最近一次核准登記後的中文版章程為準。
Article 295 The Articles of Association shall be written in Chinese. If there is any discrepancy between
the Articles of Association and other versions of Articles of Association or other Articles of Association in
other language, the Chinese version of the Articles of Association last approved and registered by
Zhengzhou Administration for Industry and Commerce shall prevail.
第二百九十六條 本章程所稱「以上」、「以內」、「以下」, 都含本數;「不滿」、「以外」、「低於」、「多於」不含本
數。
Article 296 The phrases "more than", "within" and "below" herein for the numbers include the numbers
indicated themselves, while the phrases "exceed", "fall short", "beyond", "lower than" and "over" exclude
the numbers indicated themselves.
第二百九十七條 本章程由公司董事會負責解釋。
Article 297 The Company’s Board of Directors shall have the power to interpret the Company’s Articles
of Association.
第二百九十八條 本章程附件包括股東大會議事規則、董事會議事規則和監事會議事規則。
Article 298 Appendices to these Articles of Association include the Procedural Rules for Shareholders』
General Meetings, the Procedural Rules for Board of Directors Meetings, and the Procedural Rules for
Meetings of the Board of Supervisors.
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