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Zhengzhou Coal Mining Machinery (Group)
Co., Ltd.
Õ ³Ì
Articles of Association
£¨2020 ÄêµÚÒ»´ÎÐÞ¶©£©
(First Revised in 2020)
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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Contents
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions ................................................................................................................. 1
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business ......................................................................................... 3
µÚÈýÕ ¹É·Ý
Chapter 3 Shares ................................................................................................................................... 3
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares .......................................................................................................... 3
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares.............................................. 8
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares.......................................................................................................... 12
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s Shares............................................ 14
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders ................................................................. 16
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting .............................................................. 20
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders .................................................................................................................. 20
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting .......................................... 26
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting ............................................................... 29
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting ............................................... 32
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings .................................................................. 36
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting ........................................... 41
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders..................................................... 48
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee .............................................................................................................. 51
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors ................................................................................................................. 52
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors ......................................................................................................................... 52
µÚ¶þ½Ú ¶Ê»á
Section 2 Board of Directors .......................................................................................................... 56
µÚÈý½Ú ¶Ê»áÃØÊé
Section 3 Secretary to the Board of Directors................................................................................ 61
µÚËÄ½Ú ¶Ê»áרÃÅίԱ»á
Section 4 Special Committee of the Board of Directors................................................................. 65
µÚ¾ÅÕ ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±
Chapter 9 General Manager and Other Senior Management Members............................................... 66
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮՠ¼àÊ»á
Chapter 10 Board of Supervisors .......................................................................................................... 68
µÚÒ»½Ú ¼àÊÂ
Section 1 Supervisors .................................................................................................................... 68
µÚ¶þ½Ú ¼àÊ»á
Section 2 Board of Supervisors...................................................................................................... 69
µÚÈý½Ú ¼àÊ»á¾öÒé
Section 3 Resolution of the Board of Supervisors ......................................................................... 71
µÚʮһÕ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄ×ʸñºÍÒåÎñ
Chapter 11 Qualifications and Duties of the Directors, Supervisors and Senior Management Members
of the Company ........................................................................................................................................ 71
µÚÊ®¶þÕ ²ÆÎñ»á¼ÆÖƶȡ¢ÀûÈó·ÖÅäºÍÉó¼Æ
Chapter 12 Financial and Accounting Systems, Profit Distribution and Auditing ............................... 79
µÚÒ»½Ú ²ÆÎñ»á¼ÆÖƶÈ
Section 1 Financial and Accounting System .................................................................................. 79
µÚ¶þ½Ú ÄÚ²¿Éó¼Æ
Section 2 Internal Auditing.............................................................................................................. 86
µÚÈý½Ú »á¼ÆÊ¦ÊÂÎñËùµÄƸÈÎ
Section 3 Engagement of an Accountancy Firm ............................................................................ 86
µÚÊ®ÈýÕ ֪ͨºÍ¹«¸æ
Chapter 13 Notices and Announcements .............................................................................................. 89
µÚÒ»½Ú ֪ͨ
Section 1 Notices............................................................................................................................ 89
µÚ¶þ½Ú ¹«¸æ
Section 2 Announcements ............................................................................................................. 91
µÚÊ®ËÄÕ ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×Ê¡¢¼õ×Ê¡¢½âÉ¢ºÍÇåËã
Chapter 14 Merger, Division, Capital Increase and Decrease, Dissolution and Liquidation ................ 91
µÚÒ»½Ú ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×ʺͼõ×Ê
Section 1 Merger, Division, Capital Increase and Decrease ......................................................... 91
µÚ¶þ½Ú ½âÉ¢ºÍÇåËã
Section 2 Dissolution and Liquidation ............................................................................................ 93
µÚÊ®ÎåÕ ÐÞ¸ÄÕ³Ì
Chapter 15 Amendment of the Articles of Association .......................................................................... 96
µÚÊ®ÁùÕ ÕùÒé½â¾ö
Chapter 16 Dispute Resolution.............................................................................................................. 97
µÚÊ®ÆßÕ ¸½Ôò
Chapter 17 Supplementary Provisions .................................................................................................. 98
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions
µÚÒ»Ìõ Ϊά»¤Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°¹«Ë¾¡±) ¡¢¹É¶«ºÍծȨÈ˵ĺϷ¨È¨Ò棬¹æ·¶¹«Ë¾
µÄ×éÖ¯ºÍÐÐΪ£¬³ä·Ö·¢»Ó¹«Ë¾µ³×éÖ¯µÄÁìµ¼ºËÐĺÍÕþÖκËÐÄ×÷Ó㬸ù¾Ý¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹«Ë¾·¨¡·(ÒÔϼò
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Õ¡·£©¡¢¡¶¹úÎñÔº¹ØÓڹɷÝÓÐÏÞ¹«Ë¾¾³Íâ=¹É·Ý¼°ÉÏÊеÄÌØ±ð¹æ¶¨¡·(ÒÔϼò³Æ¡°¡¶ÌØ±ð¹æ¶¨¡·¡±¡¢¡¶µ½¾³ÍâÉÏ
Êй«Ë¾Õ³̱ر¸Ìõ¿î¡·(ÒÔϼò³Æ¡°¡¶±Ø±¸Ìõ¿î¡·¡±)¡¢¡¶ÉÏÊй«Ë¾Õ³ÌÖ¸Òý¡· (ÒÔϼò³Æ¡°¡¶Õ³ÌÖ¸Òý¡·¡±)¡¢¡¶¹Ø
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³Æ¡°¡¶Ïã¸ÛÉÏÊйæÔò¡·¡±)ºÍÖлªÈËÃñ¹²ºÍ¹ú(ÒÔϼò³Æ¡°Öйú¡±£¬¾Í±¾Õ³̶øÑÔ£¬²»°üÀ¨Ïã¸ÛÌØ±ðÐÐÕþÇø¡¢°ÄÃÅ
ÌØ±ðÐÐÕþÇøºĮ́ÍåµØÇø) ÆäËûÓйع涨£¬Öƶ¨±¾Õ³̡£
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, and for the Party organization of the Company to play a core role in leadership and
politics, 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 Constitution of the Communist Party of China
(the ¡°Party Constitution¡±), 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 ).
µÚ¶þÌõ ¹«Ë¾ÏµÒÀÕÕ¡¶¹«Ë¾·¨¡·¡¢¡¶ÌØ±ð¹æ¶¨¡·ºÍÖйúÆäËûÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹æ·¶ÐÔÎļþ³ÉÁ¢µÄ¹É·ÝÓÐ
ÏÞ¹«Ë¾¡£
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.
¹«Ë¾¾ºÓÄÏÊ¡¹ú×Êί (Ô¥¹ú×ÊÆó¸Ä[2008]20 ºÅ) Åú×¼£¬ÒÔ·¢Æð·½Ê½ÉèÁ¢£¬ÓÚ 2008 Äê 12 Ô 28 ÈÕÔÚÖ£ÖÝÊÐ
¹¤ÉÌÐÐÕþ¹ÜÀí¾Ö×¢²á³ÉÁ¢£¬È¡µÃÓªÒµÖ´ÕÕ¡£¹«Ë¾µÄͳһÉç»áÐÅÓôúÂëΪ£º91410100170033534A¡£
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 unified social credit code of the Company is: 91410100170033534A.
µÚÈýÌõ ¹«Ë¾ÓÚ 2010 Äê 5 Ô 28 ÈÕ¾Öйú֤ȯ¼à¶½¹ÜÀíίԱ»áÖ¤¼àÐí¿É[2010]735 ºÅÎÄÅú×¼£¬Ê×´ÎÏòÉç»á
¹«ÖÚ·¢ÐÐÈËÃñ±ÒÆÕͨ¹É 140,000,000 ¹É£¬ÓÚ 2010 Äê 8 Ô 3 ÈÕÔÚÉϺ£Ö¤È¯½»Ò×ËùÉÏÊС£
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.
µÚËÄÌõ ¹«Ë¾×¢²áÃû³Æ£º
Article 4 Registered name of the Company:
ÖÐÎÄÃû³Æ£ºÖ£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾
The Chinese name of the Company is£ºZhengzhou Coal Mining Machinery (Group) Co., Ltd.
Ó¢ÎÄÃû³Æ£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
The English name of the Company is£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
1
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÌõ ¹«Ë¾×¡Ëù£ºÖ£Öݾ¼Ã¼¼Êõ¿ª·¢ÇøµÚ¾Å´ó½Ö 167 ºÅ
Article 5 Address of the Company: No.167, 9th Street, Ecno-Tech Development Zone, Zhengzhou
ÓÊÕþ±àÂ룺450016
Post Code£º450016
µç»°ºÅÂ룺+86-371-67891026
Telephone Number£º+86-371-67891026
´«ÕæºÅÂ룺+86-371-67891000
Fax Number£º+86-371-67891000
µÚÁùÌõ ¹«Ë¾×¢²á×ʱ¾ÎªÈËÃñ±Ò 1,732,471,370 Ôª¡£
Article 6 The Company¡¯s registered capital is RMB1,732,471,370.
µÚÆßÌõ ¹«Ë¾ÎªÓÀ¾Ã´æÐøµÄ¹É·ÝÓÐÏÞ¹«Ë¾¡£
Article 7 The Company is a joint stock limited company that has perpetual existence.
µÚ°ËÌõ ¶Ê³¤Îª¹«Ë¾µÄ·¨¶¨´ú±íÈË¡£
Article 8 The Chairman of the Board of Directors of the Company is the Company's legal
representative.
µÚ¾ÅÌõ ¹«Ë¾È«²¿×ʱ¾·ÖΪµÈ¶î¹É·Ý£¬¹É¶«ÒÔÆäÈϹºµÄ¹É·ÝΪÏÞ¶Ô¹«Ë¾³Ðµ£ÔðÈΣ¬¹«Ë¾ÒÔÆäÈ«²¿×ʲú¶Ô¹«
˾µÄÕ®Îñ³Ðµ£ÔðÈΡ£
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.
µÚÊ®Ìõ ±¾Õ³̾¹«Ë¾¹É¶«´ó»á¾öÒéͨ¹ý£¬×Ô¹«Ë¾¹«¿ª·¢Ðеľ³ÍâÉÏÊÐÍâ×Ê¹É (H ¹É) ÓÚÏã¸ÛÁªºÏ½»Ò×Ëù
ÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°Ïã¸ÛÁª½»Ëù¡±) ¹ÒÅÆ½»Ò×Ö®ÈÕÆðÉúЧ; ×Ô±¾Õ³ÌÉúЧ֮ÈÕÆð£¬Ô¹«Ë¾Õ³Ì×Ô¶¯Ê§Ð§¡£
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.
±¾¹«Ë¾Õ³Ì×ÔÉúЧ֮ÈÕÆð£¬¼´³ÉΪ¹æ·¶¹«Ë¾µÄ×éÖ¯ÓëÐÐΪ¡¢¹«Ë¾Óë¹É¶«¡¢¹É¶«Óë¹É¶«Ö®¼äȨÀûÒåÎñ¹ØÏµµÄ
¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ£¬¶Ô¹«Ë¾¡¢¹É¶«¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ; ǰÊöÈËÔ±¾ù
¿ÉÒÔÒÀ¾Ý±¾Õ³ÌÌá³öÓ빫˾ÊÂÒËÓйصÄȨÀûÖ÷ÕÅ¡£ÒÀ¾Ý±¾Õ³̣¬¹É¶«¿ÉÒÔÆðË߹ɶ«£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾¶
Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾£¬¹«Ë¾¿ÉÒÔÆðË߹ɶ«¡¢¶Ê¡¢¼àÊ¡¢×ܾÀíºÍ
ÆäËû¸ß¼¶¹ÜÀíÈËÔ±¡£
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.
ǰ¿îËù³ÆÆðËߣ¬°üÀ¨Ïò·¨ÔºÌáÆðËßËÏ»òÕßÏòÖٲûú¹¹ÉêÇëÖٲá£
The term ¡°sue¡± in the preceding Article shall refer to and include commencing court proceedings and
applying for arbitration proceedings.
2
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮһÌõ ¹«Ë¾¿ÉÒÔÏòÆäËûÓÐÏÞÔðÈι«Ë¾¡¢¹É·ÝÓÐÏÞ¹«Ë¾Í¶×Ê£¬²¢ÒԸóö×ʶîΪÏÞ¶ÔËùͶ×ʹ«Ë¾³Ðµ£ÔðÈΡ£
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.
³ý·¨ÂÉÁíÓй涨Í⣬¹«Ë¾²»µÃ³ÉΪ¶ÔËùͶ×ÊÆóÒµµÄÕ®Îñ³Ðµ£Á¬´øÔðÈεijö×ÊÈË¡£
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.
µÚÊ®¶þÌõ ±¾Õ³ÌËù³ÆÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÇÖ¸¹«Ë¾µÄ¸±×ܾÀí¡¢¶Ê»áÃØÊé¡¢²ÆÎñ×ܼࡣ
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.
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business
µÚÊ®ÈýÌõ ¹«Ë¾µÄ¾Óª×ÚÖ¼£ºÒÀ¿¿¸ßм¼Êõ£¬·¢»Ó»úÖÆÓÅÊÆ£¬Ìá¸ß¹æÄ£Ð§Ò棬ʵÏÖ¿ÆÑ§¹ÜÀí£¬²ÎÓëÊг¡¾º
Õù£¬Å¬Á¦Ìá¸ßÀͶ¯Éú²úÂʺÍÁ¼ºÃ¾¼ÃÐ§Òæ£¬²»¶ÏÌá¸ßÖ°¹¤µÄÊÕÈëˮƽ£¬È·±£¹úÓÐ×ʲú±£ÖµÔöÖµ£¬ÎªÉç»á´´
Ôì²Æ¸»£¬ÊµÏÖ¹«Ë¾¹É¶«ÀûÒæºÍÆóÒµ¼ÛÖµµÄ×î´ó»¯¡£
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.
µÚÊ®ËÄÌõ ¾ÒÀ·¨µÇ¼Ç£¬¹«Ë¾µÄ¾Óª·¶Î§£ºÉè¼Æ¡¢¼Ó¹¤¡¢ÖÆÔì¿óɽ»úеÉ豸¡¢»·±£É豸¡¢Í¨Óûúе¡¢µçÕ¾
É豸¡¢¸½ÊôÅä¼þ¡¢¹¤Ä£¾ß; ½ðÊô²ÄÁϵÄÏúÊÛ; Èí¼þ¿ª·¢¡¢ÏúÊÛ¡¢×Éѯ¡¢Î¬»¤¡¢²âÊÔ£»ÆóÒµ¹ÜÀí×Éѯ; ´ÓÊ»õ
ÎïºÍ¼¼ÊõµÄ½ø³ö¿ÚÒµÎñ£¬¹ú¼Ò½ûÖ¹ºÍÏÞ¶¨µÄ»õÎïºÍ¼¼Êõ³ýÍ⣻²»¶¯²ú×âÁÞ¡¢ÓÐÐζ¯²ú×âÁÞ¡¢¼¼Êõ·þÎñ¡£
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; software development, sales, consultation, maintenance and testing; 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.
µÚÈýÕ ¹É·Ý
Chapter 3 Shares
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares
µÚÊ®ÎåÌõ ¹«Ë¾ÉèÖÃÆÕͨ¹É; ¸ù¾ÝÐèÒª£¬¾¹úÎñÔºÊÚȨµÄ¹«Ë¾ÉóÅú²¿ÃÅÅú×¼£¬¿ÉÒÔÉèÖÃÆäËûÖÖÀàµÄ¹É·Ý£¬
µ«ÈÔÐèÊÜÏÞÓÚÊÊÓõķ¨ÂÉ¡¢·¨¹æ¼°¹æÔòµÄ¹æ¶¨
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.
µÚÊ®ÁùÌõ ¹«Ë¾µÄ¹É·Ý²ÉÈ¡¹ÉƱµÄÐÎʽ¡£
Article 16 The shares of the Company shall take the form of share certificates.
3
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÊ®ÆßÌõ ¾ÖйúÖ¤¼à»áºË×¼£¬¹«Ë¾¿ÉÒÔÏò¾³ÄÚͶ×ÊÈ˺;³ÍâͶ×ÊÈË·¢ÐÐ¹ÉÆ±¡£
Article 17 Subject to the approval of the China Securities Regulatory Commission, the Company may
issue shares to domestic and foreign investors.
ǰ¿îËù³Æ¾³ÍâͶ×ÊÈËÊÇÖ¸ÈϹº¹«Ë¾·¢ÐйɷݵÄÍâ¹úºÍÏã¸Û¡¢°ÄÃÅ¡¢Ì¨ÍåµØÇøµÄͶ×ÊÈË; ¾³ÄÚͶ×ÊÈËÊÇÖ¸ÈÏ
¹º¹«Ë¾·¢Ðйɷݵ쬳ýǰÊöµØÇøÒÔÍâµÄÖлªÈËÃñ¹²ºÍ¹ú¾³ÄÚµÄͶ×ÊÈË¡£
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.
µÚÊ®°ËÌõ ¹«Ë¾Ïò¾³ÄÚͶ×ÊÈË·¢ÐеÄÒÔÈËÃñ±ÒÈϹºµÄ¹É·Ý£¬³ÆÎªÄÚ×ʹɡ£¹«Ë¾Ïò¾³ÍâͶ×ÊÈË·¢ÐеÄÒÔÍâ±Ò
ÈϹºµÄ¹É·Ý£¬³ÆÎªÍâ×ʹɡ£Íâ×ʹÉÔÚ¾³ÍâÉÏÊе쬳ÆÎª¾³ÍâÉÏÊÐÍâ×ʹɡ£
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.
ÄÚ×ʹɹɶ«ºÍ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Í¬ÊÇÆÕͨ¹É¹É¶«£¬ÓµÓкͳе£ÏàͬµÄȨÀûºÍÒåÎñ¡£
Both the holders of the domestic shares and H shares are holders of the ordinary shares and shall have
the same obligations and rights.
¾Öйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Åú×¼£¬¹«Ë¾ÄÚ×ʹɹɶ«¿É½«Æä³ÖÓеĹɷÝתÈøø¾³ÍâͶ×ÊÈË£¬²¢ÔÚ¾³ÍâÉÏÊн»Òס£
ËùתÈõĹɷÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×£¬»¹Ó¦µ±×ñÊØ¾³Íâ֤ȯÊг¡µÄ¼à¹Ü³ÌÐò¡¢¹æ¶¨ºÍÒªÇó¡£ËùתÈõÄ
¹É·ÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×µÄÇéÐΣ¬²»ÐèÒªÕÙ¿ªÀà±ð¹É¶«»á±í¾ö¡£
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.
µÚÊ®¾ÅÌõ ¹«Ë¾¹É·ÝµÄ·¢ÐУ¬ÊµÐй«Æ½¡¢¹«ÕýµÄÔÔò£¬Í¬ÖÖÀàµÄÿһ¹É·Ý¾ßÓÐͬµÈȨÀû¡£
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.
ͬ´Î·¢ÐеÄͬÖÖÀà¹ÉƱ£¬Ã¿¹ÉµÄ·¢ÐÐÌõ¼þºÍ¼Û¸ñÏàͬ; Èκε¥Î»»òÕ߸öÈËËùÈϹºµÄ¹É·Ý£¬Ã¿¹ÉÖ§¸¶Ïàͬ¼Û
¶î¡£
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.
µÚ¶þÊ®Ìõ ¹«Ë¾·¢ÐÐµÄ¹ÉÆ±£¬ÒÔÈËÃñ±Ò±êÃ÷ÃæÖµ¡£Ã¿¹ÉÃæÖµÈËÃñ±Ò 1 Ôª¡£
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.
ǰ¿îËù³Æ¡°ÈËÃñ±Ò¡±£¬Ö¸ÖйúµÄ·¨¶¨»õ±Ò¡£
For the purposes of the preceding paragraph, the term¡°Renminbi¡± means the lawful currency of China.
µÚ¶þʮһÌõ ¹«Ë¾·¢ÐеÄÄÚ×ʹɣ¬ÔÚÖйú֤ȯµÇ¼Ç½áËãÓÐÏÞÔðÈι«Ë¾ÉϺ£·Ö¹«Ë¾¼¯Öдæ¹Ü¡£¹«Ë¾·¢Ðеľ³
ÍâÉÏÊÐÍâ×ʹÉÖ÷ÒªÔÚÏã¸ÛÖÐÑë½áËãÓÐÏÞ¹«Ë¾ÊôϵÄÊÜÍдú¹Ü¹«Ë¾´æ¹Ü¡£
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
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þÊ®¶þÌõ ¾¹úÎñÔºÊÚȨµÄÉóÅú²¿ÃÅÅú×¼£¬¹«Ë¾ÓÚ³ÉÁ¢Ê±Ïò·¢ÆðÈË·¢ÐÐÆÕͨ¹É 56000 Íò¹É£¬Õ¼¹«Ë¾µ±Ê±
·¢ÐÐµÄÆÕͨ¹É×ÜÊýµÄ°Ù·ÖÖ®°Ù£¬¸÷·¢ÆðÈ˾ùÒÔ¾»×ʲúÈϹº¡£¹«Ë¾·¢ÆðÈ˵ÄÐÕÃû»òÕßÃû³Æ¼°ÆäÈϹºµÄ¹É·ÝÊý
·Ö±ðΪ£º
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:
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ»á
1 State-owned Assets Supervision and 28560 51
Administration Commission of Henan Province
ÉϺ£Á¢ÑÔͶ×ÊÖÐÐÄ( ÓÐÏ޺ϻï )
2 Shanghai Liyan Equity Investment Center 15000003200804170100 8335.04 14.884
( Limited Partnership )
Î÷°²ºº¸ß¿Æ¼¼·¢Õ¹ÓÐÏÞ¹«Ë¾
3 Xi'an Hangao Technology Development Co., 610100100005216-A 2837.52 5.067
Ltd.
º¼ÖÝÈçɽ´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
4 Hangzhou Rushan Venture Capital Investment 330100000001557 1773.52 3.167
Co., Ltd.
ÉϺ£¶¦·áÐÅÏ¢¿Æ¼¼ÓÐÏÞ¹«Ë¾
5 Shanghai Dingfeng Information Technology 31029001304667 1773.52 3.167
Co., Ltd.
±±¾©ºèÖÇ»ÛͨʵҵÓÐÏÞ¹«Ë¾
6 110000005144254 1773.52 3.167
Beijing Hongzhi Huitong Industry Co., Ltd.
Ìì½ò²©ÐÅÒ»ÆÚͶ×ÊÖÐÐÄ (ÓÐÏ޺ϻï)
7 Tianjin Boxin Phase 1 Investment Center 120191000022859 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊÐÖÐÄϳɳ¤Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
8 South China Capital Management Co., Ltd. 440300602145763 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊд´ÐÂͶ×ʼ¯ÍÅÓÐÏÞ¹«Ë¾
9 440301103289709 1667.12 2.977
Shenzhen Capital Group
³£ÖÝÐŻԴ´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
10 3204001104780 886.48 1.583
Changzhou Xinhui Venture Capital Co., Ltd.
Ö£ÖݰÙÈð´´ÐÂ×ʱ¾´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
11 410100100006007 709.52 1.267
Bairui Capital Group (Zhengzhou)
ÉîÛÚÊиßÌØ¼Ñ´´¸»Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
12 Shenzhen GTJA Investment Group Co., Ltd. 440300602136449 532 0.95
(Limited Partnership)
Î÷°²¾·¢´´ÐÂͶ×ÊÓÐÏÞ¹«Ë¾
13 6101011210368 354.48 0.633
Xi'an Jingfa Venture Capital Co., Ltd.
½¹³ÐÒ¢
14 410102196305231515 239.456 0.4276
Jiao Chengrao
5
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ÉÛ´ºÉú
15 410102195804121519 239.456 0.4276
Shao Chunsheng
Ïò¼ÒÓê
16 41122196508045515 168.448 0.3008
Xiang Jiayu
ÕÅÃüÁÖ
17 410105196301281653 168.448 0.3008
Zhang Minglin
¸¶×æ¸Ô
18 410102196511111514 168.448 0.3008
Fu Zugang
ÍõÐÂÓ¨
19 410102196510201534 168.448 0.3008
Wang Xinying
³Â½¨Ãñ
20 410102196401121535 168.448 0.3008
Chen Jianmin
ÀîÖØÇì
21 410102196411303017 168.448 0.3008
Li Chongqing
¹ùê»·å
22 44010619652271832 168.448 0.3008
Guo Haofeng
¸ßÓнø
23 410102196309261578 168.448 0.3008
Gao Youjin
±«Ñ©Á¼
24 120102196303210930 164.864 0.2944
Bao Xueliang
¹ùµÂÉú
25 410102196110151531 159.6 0.285
Guo Desheng
¶¡ »Ô
26 410102195511251512 159.6 0.285
Ding Hui
ÄßºÍÆ½
27 210102196501305617 159.6 0.285
Ni Heping
×£±þÁ¼
28 410102194909153010 159.6 0.285
Zhu Bingliang
ÑîÒÔ´¾
29 410105194905302217 159.6 0.285
Yang Yichun
Ðì×ÚÁÖ
30 410102196302161515 141.848 0.2533
Xu Zonglin
³þÕñÁë
31 410106196503311891 35.448 0.0633
Chu Zhenling
¶ öÎ
32 410102197405101536 35.448 0.0633
Dong Xin
ÀîºÆÆæ
33 320311196812121252 35.448 0.0633
Li Haoqi
ÀîÓÅÉú
34 410102195412231532 35.448 0.0633
Li Yousheng
Íõ³¯Ñô
35 410102196605191551 35.448 0.0633
Wang Chaoyang
µË¸ß·å
36 510212196607210359 35.448 0.0633
Deng Gaofeng
6
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
Áõ¸¶Óª
37 410102196512081513 35.448 0.0633
Liu Fuying
ÓÚµÂÈó
38 410102196207011578 35.448 0.0633
Yu Derun
ÖÜÖ¾¸Õ
39 410102195711032031 35.448 0.0633
Zhou Zhigang
ºÏ¼Æ
56000 100
Total
µÚ¶þÊ®ÈýÌõ ¹«Ë¾³ÉÁ¢ºó£¬¾ÖйúÖ¤¼à»áºË×¼£¬¹«¿ª·¢ÐÐÁË 14,000 Íò¹ÉÈËÃñ±ÒÆÕͨ¹É£¬·¢Ðкó¹«Ë¾µÄ¹É·Ý
×ÜÊýΪ 70,000 Íò¹É¡£
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.
¸ù¾Ý¡¶¾³ÄÚ֤ȯÊг¡×ª³Ö²¿·Ö¹úÓйɳäʵȫ¹úÉç»á±£ÕÏ»ù½ðʵʩ°ì·¨¡·£¬¾ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ
»áÅú×¼£¬¹«Ë¾¹úÓйɶ«½«Ëù³Ö 1400 Íò¹ÉÈËÃñ±ÒÆÕͨ¹ÉתÓÉÈ«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»á³ÖÓС£
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.
¹«Ë¾¾ 2012 Äê 2 Ô 28 Èչɶ«´ó»áÉóÒ飬½«×ʱ¾¹«»ý½ðתÔö¹É±¾£¬ÏòÈ«ÌåµÇ¼Ç¹É¶«Ã¿ 10 ¹ÉתÔö 10 ¹É£¬¹«
˾¹É·Ý×ÜÊýÓÉ 70,000 Íò¹ÉÔöÖÁ 140,000 Íò¹É¡£
¹«Ë¾¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2012]1092 ºÅÎĺË×¼·¢Ðо³ÍâÉÏÊÐÍâ×ʹɣ¨H ¹É£©£¬²¢»ñµÃÏã¸ÛÁª½»ËùÅú×¼£¬
¹«Ë¾ H ¹É¹É·ÝÓÚ 2012 Äê 12 Ô 5 ÈÕÓÚÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊС£¹«Ë¾·¢ÐÐ 221,122,000 ¹É¾³ÍâÉÏÊÐÍâ×ʹɣ¨Î´
ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾¹É·Ý×ÜÊýÓÉ 140,000 Íò¹ÉÔöÖÁ 162,112.2 Íò¹É¡£Èô¹«Ë¾ÐÐʹȫ²¿³¬¶îÅäÊÛȨ£¬¹«
˾½«³¬¶îÅäÊÛ·¢ÐÐ 33,168,200 ¹É¾³ÍâÉÏÊÐÍâ×ʹɡ£¹«Ë¾¹É·Ý×ÜÊýÔöÖÁ 165,429.02 Íò¹É¡£¸ù¾Ý¡¶¹úÎñÔº¹Ø
ÓÚ¼õ³Ö¹úÓйɳOÉç»á±£ÕÏ×ʽð¹ÜÀíÔÝÐа취¡·µÈÓйع涨¼°Ïà¹Ø»ú¹ØµÄÅú¸´£¬¹«Ë¾¹úÓйɶ«½«Ëù³ÖµÈ¶î
ÓÚ H ¹Éʵ¼Ê·¢ÐÐÁ¿ 10%µÄ A ¹É¹É·Ý»®×ªµ½È«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»ᾳÍâÕË»§¡£
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 (‡ø„ÕÔºêPì¶œp³Ö‡øÓйɻI¼¯Éç•þ±£ÕÏ
ÙY½ð¹ÜÀ핺ÐÐÞk·¨) 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
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
be issued.
µÚ¶þÊ®ËÄÌõ ÔÚ H ¹É·¢ÐÐÍê³Éºó£¨Î´ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾µÄ¹É±¾½á¹¹Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 162,112.2
Íò¹É£¬ÆäÖÐÄÚ×Ê¹É 137,788.78 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2016]3190 ºÅÎĺË×¼£¬¹«Ë¾·¢ÐйɷݹºÂò×ʲú²¢Ä¼¼¯ÅäÌ××ʽ𣬷ǹ«¿ª·¢ÐÐÁË
111,349,370 ¹É A ¹É¹É·Ý¡£·¢ÐÐÍê³Éºó£¬¹«Ë¾¹É±¾½á¹¹±ä»¯Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 173,247.137 Íò¹É£¬
ÆäÖÐÄÚ×Ê¹É 148,923.717 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
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.
As approved by China Securities Regulatory Commission pursuant to the document Zheng Jian Xu Ke
[2016] No. 3190, the Company purchased assets by way of share issue and conducted the fundraising,
pursuant to which 111,349,370 A Shares were issued on a non-public basis. Upon the completion of the
share issuance, the share capital structure of the Company shall become: 1,732,471,370 shares of the
ordinary shares issued in total, of which 1,489,237,170 shares of domestic-invested shares and
243,234,200 shares of overseas-listed foreign-invested shares.
µÚ¶þÊ®ÎåÌõ ¾ÖйúÖ¤¼à»áÅú×¼µÄ¹«Ë¾·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¹«Ë¾¶Ê»á¿ÉÒÔ×÷³ö·Ö±ð·¢
ÐеÄʵʩ°²ÅÅ¡£
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.
¹«Ë¾ÒÀÕÕǰ¿î¹æ¶¨·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¿ÉÒÔ×ÔÖйúÖ¤¼à»áÅú×¼Ö®ÈÕÆð 15 ¸öÔÂÄÚ·Ö
±ðʵʩ¡£
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.
µÚ¶þÊ®ÁùÌõ ¹«Ë¾ÔÚ·¢Ðмƻ®È·¶¨µÄ¹É·Ý×ÜÊýÄÚ£¬·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵģ¬Ó¦µ±·Ö±ðÒ»´Îļ
×ã; ÓÐÌØÊâÇé¿ö²»ÄÜÒ»´Îļ×ãµÄ£¬¾ÖйúÖ¤¼à»áÅú×¼£¬Ò²¿ÉÒԷִη¢ÐС£
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.
µÚ¶þÊ®ÆßÌõ ¹«Ë¾»ò¹«Ë¾µÄ×Ó¹«Ë¾ (°üÀ¨¹«Ë¾µÄ¸½ÊôÆóÒµ) ²»ÒÔÔùÓë¡¢µæ×Ê¡¢µ£±£¡¢²¹³¥»ò´û¿îµÈÐÎʽ£¬¶Ô
¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈκÎ×ÊÖú¡£
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.
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares
µÚ¶þÊ®°ËÌõ ¹«Ë¾¸ù¾Ý¾ÓªºÍ·¢Õ¹µÄÐèÒª£¬ÒÀÕÕ·¨ÂÉ¡¢·¨¹æµÄ¹æ¶¨£¬¾¹É¶«´ó»á·Ö±ð×÷³ö¾öÒ飬¿ÉÒÔ²ÉÓÃ
ÏÂÁз½Ê½Ôö¼Ó×ʱ¾:
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:
8
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ¹«¿ª·¢ÐйɷÝ;
by public issuance of shares;
(¶þ) ·Ç¹«¿ª·¢ÐйɷÝ;
by non-public issuance of shares;
(Èý) ÏòÏÖÓйɶ«ÅÉËͺì¹É;
by allotting bonus shares to its existing shareholders;
(ËÄ) ÒÔ¹«»ý½ðתÔö¹É±¾;
by capitalizing its capital reserve;
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨ÒÔ¼°ÖйúÖ¤¼à»áÅú×¼µÄÆäËû·½Ê½¡£
by any other means which is permitted by laws, administrative regulations and authorized by the
China Securities Regulatory Commission.
¹«Ë¾Ôö×Ê·¢ÐÐйɣ¬°´ÕÕ±¾Õ³̵Ĺ涨Åú×¼ºó£¬¸ù¾Ý¹ú¼ÒÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹
¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚ¶þÊ®¾ÅÌõ ¹«Ë¾¿ÉÒÔ¼õÉÙ×¢²á×ʱ¾¡£¹«Ë¾¼õÉÙ×¢²á×ʱ¾£¬Ó¦µ±°´ÕÕ¡¶¹«Ë¾·¨¡·ºÍÆäËûÓйع涨ÒÔ¼°±¾ÕÂ
³Ì¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚÈýÊ®Ìõ ¹«Ë¾ÔÚÏÂÁÐÇé¿öÏ£¬¿ÉÒÔÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÊÕ¹º±¾¹«Ë¾µÄ¹É·Ý£º
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:
(Ò») ¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
reducing the registered capital of the Company;
(¶þ) Óë³ÖÓб¾¹«Ë¾¹É·ÝµÄÆäËû¹«Ë¾ºÏ²¢;
merging with another company that holds shares in the Company;
(Èý) ½«¹É·ÝÓÃÓÚÔ±¹¤³Ö¹É¼Æ»®»òÕß¹ÉȨ¼¤Àø;
using shares in employee shareholding schemes or as shareholding incentives;
(ËÄ) ¹É¶«Òò¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒ飬ҪÇó¹«Ë¾ÊÕ¹ºÆä¹É·ÝµÄ;
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;
(Îå) ½«¹É·ÝÓÃÓÚת»»¹«Ë¾·¢ÐеĿÉת»»Îª¹ÉƱµÄ¹«Ë¾Õ®È¯£»
using shares to convert the corporate bonds issued by the Company that are convertible to shares;
(Áù) ¹«Ë¾ÎªÎ¬»¤¹«Ë¾¼ÛÖµ¼°¹É¶«È¨ÒæËù±ØÐ裻
serving as a necessity for the Company to protect its value and shareholders¡¯ interests;
(Æß) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æÐí¿ÉµÄÆäËûÇé¿ö¡£
other circumstances as permitted by laws and administrative regulations.
9
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
³ýÉÏÊöÇéÐÎÍ⣬¹«Ë¾²»½øÐÐÂòÂô±¾¹«Ë¾¹É·ÝµÄ»î¶¯¡£
The Company shall not engage in the trading of its shares save for the circumstances specified above.
µÚÈýʮһÌõ ÔÚÂú×ã·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢Ö¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòºÍ±¾Õ³̹涨µÄǰÌáÏ£¬
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·Ý£¬¿ÉÒÔÑ¡ÔñÏÂÁз½Ê½Ö®Ò»½øÐÐ:
Article 31 Based on compliance with laws, administrative regulations, departmental rules, the rules
governing the listing of securities on the stock exchange where the shares of the Company are listed,
and the Articles and Association, the Company may conduct the repurchase in one of the following
manners:
(Ò») ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼;
make a pro rata general offer of repurchase to all of its shareholders;
(¶þ) ÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«¿ª½»Ò×·½Ê½¹º»Ø;
repurchase shares through public trading on a stock exchange;
(Èý) ÔÚ֤ȯ½»Ò×ËùÒÔÍâÒÔÐÒ鷽ʽ¹º»Ø;
repurchase through an off-market agreement;
(ËÄ) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹Ðí¿ÉµÄÆäËûÐÎʽ
other means as permitted by the laws, administrative regulations and securities regulatory
authority where the Company is listed.
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±ÒÀÕÕ¡¶Ö¤È¯·¨¡·µÄ¹æ¶¨ÂÄÐÐÐÅÏ¢Åû¶ÒåÎñ¡£¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©
Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±Í¨¹ý¹«¿ªµÄ¼¯Öн»Ò×·½Ê½½øÐС£
In respect of the repurchase of its shares, the Company shall perform the information disclosure
obligation as required under the Securities Law. In the event of a repurchase in any circumstance
provided under Article 30 (3), (5) and (6), such repurchase shall take place in the form of open and
centralized trading.
µÚÈýÊ®¶þÌõ ¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ (Ò») Ïî¡¢µÚ (¶þ) ÏîµÄÔÒòÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾¹É¶«´ó»á¾ö
Ò飻¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾
Èý·ÖÖ®¶þÒÔÉ϶ʳöϯµÄ¶Ê»á»áÒé¾öÒé¡£
Article 32 For any share purchases by the Company due to the causes described under Article 30 (1)
and (2), such purchase is subject to a resolution at the general meeting; and for any share purchases by
the Company in the circumstances provided under items (3), (5) and (6) of Article 30 such purchase is
subject to a resolution at the Board meeting attended by more than two thirds of Directors.
¹«Ë¾ÒÀÕÕ±¾Õ³̵ÚÈýÊ®Ìõ¹æ¶¨ÊÕ¹º±¾¹«Ë¾¹É·Ýºó£¬ÊôÓÚµÚ (Ò») ÏîÇéÐεģ¬Ó¦µ±×ÔÊÕ¹ºÖ®ÈÕÆð 10 ÈÕÄÚ×¢Ïú;
ÊôÓÚµÚ (¶þ) Ïî¡¢µÚ (ËÄ) ÏîÇéÐεģ¬Ó¦µ±ÔÚ 6 ¸öÔÂÄÚתÈûòÕß×¢Ïú£»ÊôÓÚµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©
ÏîÇéÐε쬹«Ë¾ºÏ¼Æ³ÖÓеı¾¹«Ë¾¹É·ÝÊý²»µÃ³¬¹ý±¾¹«Ë¾ÒÑ·¢ÐйɷÝ×ܶîµÄ°Ù·Ö֮ʮ£¬²¢Ó¦µ±ÔÚÈýÄêÄÚת
ÈûòÕß×¢Ïú¡£Éæ¼°ÊÕ¹º¹«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɵ쬻¹Ó¦µ±×ñÊØÖ¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòµÄÏà¹Ø¹æ¶¨¡£
For any share purchases by the Company pursuant to Article 30 of the Articles of Association, shares
purchased under item (1) shall be cancelled within ten (10) days from the date of acquisition; for the
circumstances described under items (2) and (4), the shares shall be transferred or cancelled within six
(6) months. For the circumstances described under items (3), (5) and (6), the total number of shares held
by the Company shall not exceed 10% of the total number of its shares in issue, and the shares
purchased by the Company shall be transferred or cancelled within three(3) years. For purchase of any
overseas listed foreign shares of the Company, the Company shall also comply with relevant provisions
under the rules governing the listing of securities on the stock exchange where the shares of the
Company are listed.
µÚÈýÊ®ÈýÌõ ¹«Ë¾ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø¹É·Ýʱ£¬Ó¦µ±ÊÂÏȾ¹É¶«´ó»á°´±¾Õ³̵Ĺ涨Åú×¼¡£¾
¹É¶«´ó»áÒÔͬһ·½Ê½ÊÂÏÈÅú×¼£¬¹«Ë¾¿ÉÒÔ½â³ý»òÕ߸ıä¾Ç°Êö·½Ê½ÒѶ©Á¢µÄºÏͬ£¬»òÕß·ÅÆúÆäºÏͬÖеÄÈÎ
10
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ºÎȨÀû¡£
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.
ǰ¿îËù³Æ¹º»Ø¹É·ÝµÄºÏͬ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ͬÒâ³Ðµ£¹º»Ø¹É·ÝÒåÎñºÍÈ¡µÃ¹º»Ø¹É·ÝȨÀûµÄÐÒé¡£
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.
¹«Ë¾²»µÃתÈùº»ØÆä¹É·ÝµÄºÏͬ»òÕߺÏͬÖй涨µÄÈκÎȨÀû¡£
The Company shall not assign a contract for repurchasing its shares or any of its rights thereunder.
¶ÔÓÚ¹«Ë¾ÓÐȨ¹º»Ø¿ÉÊê»Ø¹É·Ý£¬Èç·Ç¾Êг¡»òÒÔÕб귽ʽ¹º»Ø£¬Æä¼Û¸ñ±ØÐëÏÞ¶¨ÔÚijһ×î¸ß¼Û¸ñ; ÈçÒÔÕÐ
±ê·½Ê½¹º»Ø£¬Ôò±ØÐëÒÔͬµÈÌõ¼þÏòÈ«Ìå¹É¶«Ìá³öÕб꽨Òé¡£
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.
µÚÈýÊ®ËÄÌõ ¹«Ë¾ÒÀ·¨¹º»Ø¹É·Ýºó£¬Ó¦µ±ÔÚ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨µÄÆÚÏÞÄÚ£¬×¢Ïú¸Ã²¿·Ö¹É·Ý£¬²¢ÏòÔ¹«Ë¾
µÇ¼Ç»ú¹ØÉêÇë°ìÀí×¢²á×ʱ¾±ä¸üµÇ¼Ç¡£
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.
±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµÓ¦µ±´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õ¡£
The amount of the Company¡¯s registered share capital shall be reduced by the aggregate par value of
those cancelled shares.
µÚÈýÊ®ÎåÌõ ³ý·Ç¹«Ë¾ÒѾ½øÈëÇåËã½×¶Î£¬¹«Ë¾¹º»ØÆä·¢ÐÐÔÚÍâµÄ¹É·Ý£¬Ó¦µ±×ñÊØÏÂÁй涨£º
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:
(Ò») ¹«Ë¾ÒÔÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Æä¿îÏîÓ¦µ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄйÉ
ËùµÃÖмõ³ý;
where the Company repurchases its shares at par value, payment shall be made out of book
balance of the distributable profits of the Company or out of proceeds of a fresh issue of shares
made for repurchase;
(¶þ) ¹«Ë¾ÒÔ¸ßÓÚÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Ï൱ÓÚÃæÖµµÄ²¿·Ö´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø
·¢ÐеÄйÉËùµÃÖмõ³ý; ¸ß³öÃæÖµµÄ²¿·Ö£¬°´ÕÕÏÂÊö°ì·¨°ìÀí£º
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) ¹º»ØµÄ¹É·ÝÊÇÒÔÃæÖµ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶îÖмõ³ý;
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) ¹º»ØµÄ¹É·ÝÊÇÒÔ¸ßÓÚÃæÖµµÄ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄ
йÉËùµÃÖмõ³ý; µ«ÊÇ´Ó·¢ÐÐйÉËùµÃÖмõ³ýµÄ½ð¶î£¬²»µÃ³¬¹ý¹º»ØµÄ¾É¹É·¢ÐÐʱËùµÃµÄÒç¼Û
×ܶҲ²»µÃ³¬¹ý¹º»ØÊ±¹«Ë¾Òç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÉϵĽð¶î (°üÀ¨·¢ÐÐйɵÄÒç¼Û
11
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
½ð¶î) ;
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;
(Èý) ¹«Ë¾ÎªÏÂÁÐÓÃ;ËùÖ§¸¶µÄ¿îÏӦµ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³ö£º
payment by the Company in consideration of the following shall be made out of the Company¡¯s
distributable profits:
(1) È¡µÃ¹º»ØÆä¹É·ÝµÄ¹º»ØÈ¨;
acquisition of rights to repurchase shares of the Company;
(2) ±ä¸ü¹º»ØÆä¹É·ÝµÄºÏͬ;
variation of any contract for repurchasing shares of the Company;
(3) ½â³ýÆäÔÚ¹º»ØºÏͬÖеÄÒåÎñ¡£
release of any of the Company¡¯s obligations under any contract for repurchasing its shares;
(ËÄ) ±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµ¸ù¾ÝÓйع涨´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õºó£¬´Ó¿É·ÖÅäµÄÀûÈóÖмõ³ýµÄÓÃÓÚ¹º
»Ø¹É·ÝÃæÖµ²¿·ÖµÄ½ð¶î£¬Ó¦µ±¼ÆÈ빫˾µÄÒç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÖС£
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).
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares
µÚÈýÊ®ÁùÌõ ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̺͹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨ÁíÓй涨Í⣬¹«Ë¾µÄ
¹É·Ý¿ÉÒÔ×ÔÓÉתÈ㬲¢²»¸½´øÈκÎÁôÖÃȨ¡£
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.
µÚÈýÊ®ÆßÌõ ËùÓйɱ¾ÒѽÉÇåµÄÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɣ¬½Ô¿ÉÒÀ¾Ý±¾Õ³Ì×ÔÓÉתÈã¬Ò಻¸½
´øÈκÎÁôÖÃȨ¡£µ«ÊÇ£¬³ý·Ç·ûºÏÏÂÁÐÌõ¼þ£¬·ñÔò¶Ê»á¿É¾Ü¾ø³ÐÈÏÈκÎתÈÃÎļþ£¬²¢ÎÞÐèÉêÊöÈκÎÀíÓÉ£º
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:
(Ò») ÓëÈκιɷÝËùÓÐȨÓйصĻò»áÓ°Ïì¹É·ÝËùÓÐȨµÄתÈÃÎļþ¼°ÆäËûÎļþ£¬¾ùÐëµÇ¼Ç£¬²¢Ðë¾ÍµÇ¼ÇÏò±¾
¹«Ë¾Ö§¸¶·ÑÓã¬Î©·ÑÓò»µÃ³¬¹ýÏã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ×î¸ß·ÑÓÃ;
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;
(¶þ) תÈÃÎļþֻɿ¼°ÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹÉ;
the instrument of transfer involves only the H shares listed in HKEX;
12
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) תÈÃÎļþÒѸ¶Ó¦½ÉÏã¸Û·¨ÂÉÒªÇóµÄÓ¡»¨Ë°;
the stamp duty payable by the laws of Hong Kong on the instrument of transfer has been paid;
(ËÄ) Ó¦µ±ÌṩÓÐ¹ØµÄ¹ÉÆ±£¬ÒÔ¼°¶Ê»áËùºÏÀíÒªÇóµÄÖ¤Ã÷תÈÃÈËÓÐȨתÈùɷݵÄÖ¤¾Ý;
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;
(Îå) Èç¹É·ÝÄâתÈÃÓèÁªÃû³ÖÓÐÈË£¬ÔòÁªÃûµÇ¼ÇµÄ¹É¶«ÈËÊý²»µÃ³¬¹ýËÄÃû;
if the shares are to be transferred to joint holders, the number of such joint shareholders shall not
exceed four (4);
(Áù) ÓйعɷÝûÓи½´øÈκα¾¹«Ë¾µÄÁôÖÃȨ¡£
the Company does not have any lien over the relevant shares.
ËùÓÐÔÚÏã¸ÛÉÏÊÐµÄ H shares µÄתÈýÔÓ¦²ÉÓÃÒ»°ã»òÆÕͨ¸ñʽ»òÈÎºÎÆäËûΪ¶Ê»á½ÓÊܵĸñʽµÄÊéÃæ×ªÈÃ
ÎÄ¾Ý (°üÀ¨Ïã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ±ê׼תÈøñʽ»ò¹ý»§±í¸ñ) ; ¿ÉÒÔÖ»ÓÃÈËÊÖÇ©ÊðתÈÃÎľݣ¬»ò (Èç³öÈ÷½
»òÊÜÈ÷½Îª¹«Ë¾) ¸ÇÉϹ«Ë¾µÄÓ¡Õ¡£Èç³öÈ÷½»òÊÜÈ÷½ÎªÒÀÕÕÏã¸Û·¨Âɲ»Ê±ÉúЧµÄÓйØÌõÀýËù¶¨ÒåµÄÈÏ¿É
½áËãËù (¼ò³Æ¡°ÈϿɽáËãËù¡±) »òÆä´úÀíÈË£¬×ªÈñí¸ñ¿ÉÓÃÈËÊÖÇ©Êð»ò»úÓ¡ÐÎʽǩÊð¡£
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.
Èç¹û¹«Ë¾¾Ü¾øµÇ¼Ç¹É·ÝתÈ㬹«Ë¾Ó¦ÔÚתÈÃÉêÇëÕýʽÌá³öÖ®ÈÕÆð 2 ¸öÔÂÄÚ¸ø×ªÈÃÈ˺ͳÐÈÃÈËÒ»·Ý¾Ü¾øµÇ¼Ç
¸Ã¹É·ÝתÈõÄ֪ͨ¡£
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.
ËùÓÐתÈÃÎľÝÓ¦±¸ÖÃÓÚ the ¡°Company Law¡± ¶¨µØÖ·»ò¶Ê»᲻ʱָ¶¨µÄµØÖ·¡£
All transfer instruments shall be placed at the legal address of the Company or any address specified by
the Board from time to time.
µÚÈýÊ®°ËÌõ ¹«Ë¾²»½ÓÊܱ¾¹«Ë¾µÄ¹ÉƱ×÷ΪÖÊѺȨµÄ±êµÄ¡£
Article 38 The Company shall not accept any shares of the Company as the subject of pledge.
µÚÈýÊ®¾ÅÌõ ·¢ÆðÈ˳ÖÓеı¾¹«Ë¾¹É·Ý£¬×Ô¹«Ë¾³ÉÁ¢Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈ᣹«Ë¾¹«¿ª·¢ÐйɷÝǰÒÑ·¢ÐÐ
µÄ¹É·Ý£¬×Ô¹«Ë¾¹ÉƱÔÚ֤ȯ½»Ò×ËùÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈá£
Article 39 Shares of the Company held by the promoters shall not be transferred within one (1) year
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).
¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ó¦µ±Ïò¹«Ë¾É걨Ëù³ÖÓеı¾¹«Ë¾µÄ¹É·Ý¼°Æä±ä¶¯Çé¿ö£¬ÔÚÈÎÖ°ÆÚ¼äÿÄêת
ÈõĹɷݲ»µÃ³¬¹ýÆäËù³ÖÓб¾¹«Ë¾¹É·Ý×ÜÊýµÄ 25%; Ëù³Ö±¾¹«Ë¾¹É·Ý×Ô¹«Ë¾¹ÉƱÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»
µÃתÈá£ÉÏÊöÈËÔ±ÀëÖ°ºó°ëÄêÄÚ£¬²»µÃתÈÃÆäËù³ÖÓеı¾¹«Ë¾¹É·Ý¡£
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.
13
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚËÄÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¡¢³ÖÓб¾¹«Ë¾¹É·Ý 5%ÒÔÉϵĹɶ«£¬½«Æä³ÖÓеı¾¹«Ë¾¹ÉƱÔÚÂò
Èëºó 6 ¸öÔÂÄÚÂô³ö£¬»òÕßÔÚÂô³öºó 6 ¸öÔÂÄÚÓÖÂòÈ룬ÓÉ´ËËùµÃÊÕÒæ¹é±¾¹«Ë¾ËùÓУ¬±¾¹«Ë¾¶Ê»ὫÊÕ»ØÆä
ËùµÃÊÕÒæ¡£µ«ÊÇ£¬Ö¤È¯¹«Ë¾Òò°üÏú¹ºÈëÊÛºóÊ£Óà¹ÉƱ¶ø³ÖÓÐ 5%ÒÔÉϹɷݵģ¬Âô³ö¸Ã¹ÉƱ²»ÊÜ 6 ¸öÔÂʱ¼ä
ÏÞÖÆ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕǰ¿î¹æ¶¨Ö´Ðе쬹ɶ«ÓÐȨҪÇó¶Ê»áÔÚ 30 ÈÕÄÚÖ´ÐС£¹«Ë¾¶Ê»áδÔÚÉÏÊöÆÚÏÞÄÚÖ´
Ðе쬹ɶ«ÓÐȨΪÁ˹«Ë¾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕµÚÒ»¿îµÄ¹æ¶¨Ö´Ðе쬏ºÓÐÔðÈεĶÊÂÒÀ·¨³Ðµ£Á¬´øÔðÈΡ£
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.
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s
Shares
µÚËÄʮһÌõ ¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬¶Ô¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈÎ
ºÎ²ÆÎñ×ÊÖú¡£Ç°Êö¹ºÂò¹«Ë¾¹É·ÝµÄÈË£¬°üÀ¨Òò¹ºÂò¹«Ë¾¹É·Ý¶øÖ±½Ó»òÕß¼ä½Ó³Ðµ£ÒåÎñµÄÈË¡£
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.
¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬Îª¼õÉÙ»òÕß½â³ýǰÊöÒåÎñÈ˵ÄÒåÎñÏòÆäÌṩ²ÆÎñ×ÊÖú¡£
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.
±¾Ìõ¹æ¶¨²»ÊÊÓÃÓÚ±¾Õ³̵ÚËÄÊ®ÈýÌõËùÊöµÄÇéÐΡ£
The provisions in this Article shall not apply to the circumstances stated in the Article 43.
µÚËÄÊ®¶þÌõ ±¾Õ³ÌËù³Æ²ÆÎñ×ÊÖú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÏÂÁз½Ê½£º
Article 42 The term ¡°financial assistance¡± referred to in this Chapter includes (but not limited to) the
following means:
(Ò») À¡Ôù;
gift;
(¶þ) µ£±£ (°üÀ¨Óɱ£Ö¤È˳е£ÔðÈλòÕßÌṩ²Æ²úÒÔ±£Ö¤ÒåÎñÈËÂÄÐÐÒåÎñ) ¡¢²¹³¥ (µ«ÊDz»°üÀ¨Òò¹«Ë¾±¾Éí
µÄ¹ý´íËùÒýÆðµÄ²¹³¥) ¡¢½â³ý»òÕß·ÅÆúȨÀû;
guarantee (including the assumption of liability by the guarantor or the provision of assets by the
14
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(Èý) Ìṩ´û¿î»òÕß¶©Á¢Óɹ«Ë¾ÏÈÓÚËû·½ÂÄÐÐÒåÎñµÄºÏͬ£¬ÒÔ¼°¸Ã´û¿î¡¢ºÏͬµ±Ê·½µÄ±ä¸üºÍ¸Ã´û¿î¡¢ºÏ
ͬÖÐȨÀûµÄתÈõÈ;
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;
(ËÄ) ¹«Ë¾ÔÚÎÞÁ¦³¥»¹Õ®Îñ¡¢Ã»Óо»×ʲú»òÕß½«»áµ¼Ö¾»×ʲú´ó·ù¶È¼õÉÙµÄÇéÐÎÏ£¬ÒÔÈÎºÎÆäËû·½Ê½Ìṩ
µÄ²ÆÎñ×ÊÖú¡£
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.
±¾ÕÂËù³Æ³Ðµ£ÒåÎñ£¬°üÀ¨ÒåÎñÈËÒò¶©Á¢ºÏͬ»òÕß×÷³ö°²ÅÅ (²»Â۸úÏͬ»òÕß°²ÅÅÊÇ·ñ¿ÉÒÔÇ¿ÖÆÖ´ÐУ¬Ò²²»
ÂÛÊÇÓÉÆä¸öÈË»òÕßÓëÈÎºÎÆäËûÈ˹²Í¬³Ðµ£) £¬»òÕßÒÔÈÎºÎÆäËû·½Ê½¸Ä±äÁËÆä²ÆÎñ×´¿ö¶ø³Ðµ£µÄÒåÎñ¡£
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.
µÚËÄÊ®ÈýÌõ ÏÂÁÐÐÐΪ²»ÊÓΪµÚËÄʮһÌõ½ûÖ¹µÄÐÐΪ£º
Article 43 The following activities shall not be deemed to be activities as prohibited in Article 41:
(Ò») ¹«Ë¾ÌṩµÄÓйزÆÎñ×ÊÖúÊdzÏʵµØÎªÁ˹«Ë¾ÀûÒæ£¬²¢ÇÒ¸ÃÏî²ÆÎñ×ÊÖúµÄÖ÷ҪĿµÄ²»ÊÇΪ¹ºÂò±¾¹«Ë¾
¹É·Ý£¬»òÕ߸ÃÏî²ÆÎñ×ÊÖúÊǹ«Ë¾Ä³Ïî×ܼƻ®Öи½´øµÄÒ»²¿·Ö;
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;
(¶þ) ¹«Ë¾ÒÀ·¨ÒÔÆä²Æ²ú×÷Ϊ¹ÉÀû½øÐзÖÅä;
the lawful distribution of the Company¡¯s assets by way of dividend;
(Èý) ÒԹɷݵÄÐÎʽ·ÖÅä¹ÉÀû;
the allotment of shares as dividends;
(ËÄ) ÒÀ¾Ý¹«Ë¾Õ³̼õÉÙ×¢²á×ʱ¾¡¢¹º»Ø¹É·Ý¡¢µ÷Õû¹ÉȨ½á¹¹µÈ;
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;
(Îå) ¹«Ë¾ÔÚÆä¾Óª·¶Î§ÄÚ£¬ÎªÆäÕý³£µÄÒµÎñ»î¶¯Ìṩ´û¿î (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹
¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²ÆÎñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ;
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);
(Áù) ¹«Ë¾ÎªÖ°¹¤³Ö¹É¼Æ»®Ìṩ¿îÏî (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²Æ
Îñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ¡£
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).
15
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders
µÚËÄÊ®ËÄÌõ ¹«Ë¾¹ÉƱ²ÉÓüÇÃûʽ¡£
Article 44 The Company¡¯s share certificates shall be in registered form.
¹«Ë¾¹ÉƱӦµ±ÔØÃ÷µÄÊÂÏ³ý¡¶¹«Ë¾·¨¡·¹æ¶¨µÄÍ⣬»¹Ó¦µ±°üÀ¨¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇóÔØÃ÷µÄÆä
ËûÊÂÏî¡£
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.
µÚËÄÊ®ÎåÌõ ¹ÉƱÓɶʳ¤Ç©Êð¡£¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇó¹«Ë¾ÆäËû¸ß¼¶¹ÜÀíÈËԱǩÊðµÄ£¬»¹Ó¦µ±
ÓÉÆäËûÓйظ߼¶¹ÜÀíÈËԱǩÊð¡£¹ÉÆ±¾¼Ó¸Ç¹«Ë¾Ó¡Õ»òÒÔÓ¡Ë¢ÐÎʽ¼Ó¸ÇÓ¡ÕºóÉúЧ¡£ÔÚ¹ÉÆ±ÉϼӸǹ«Ë¾Ó¡
Õ»ò¹«Ë¾Ö¤È¯Ó¡Õ£¬Ó¦µ±ÓжÊ»áµÄÊÚȨ¡£¹«Ë¾¶Ê³¤»òÕ߯äËûÓйظ߼¶¹ÜÀíÈËÔ±ÔÚ¹ÉÆ±ÉϵÄÇ©×ÖÒ²¿ÉÒÔ
²ÉȡӡˢÐÎʽ¡£
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.
µÚËÄÊ®ÁùÌõ ¹«Ë¾¹ÉƱÔÚÎÞÖ½»¯·¢Ðкͽ»Ò×µÄÌõ¼þÏ£¬ÊÊÓù«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÁíÐй涨¡£
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.
µÚËÄÊ®ÆßÌõ ¹«Ë¾ÒÀ¾Ý¾³ÄÚ֤ȯµÇ¼Ç»ú¹¹ÌṩµÄƾ֤½¨Á¢ÄÚ×ʹɹɶ«Ãû²á¡£¹«Ë¾Ó¦µ±ÉèÁ¢¾³ÍâÉÏÊÐÍâ×ʹÉ
¹É¶«Ãû²á£¬µÇ¼ÇÒÔÏÂÊÂÏ
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:
(Ò») ¸÷¹É¶«µÄÐÕÃû (Ãû³Æ) ¡¢µØÖ· (סËù) ¡¢Ö°Òµ»òÐÔÖÊ;
the name, address (domicile), occupation or nature of each shareholder;
(¶þ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄÀà±ð¼°ÆäÊýÁ¿;
the class and number of shares held by each shareholder;
(Èý) ¸÷¹É¶«Ëù³Ö¹É·ÝÒѸ¶»òÕßÓ¦¸¶µÄ¿îÏî;
the amount paid-up or payable in respect of shares held by each shareholder;
(ËÄ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄ±àºÅ;
the serial numbers of the shares held by each shareholder;
(Îå) ¸÷¹É¶«µÇ¼ÇΪ¹É¶«µÄÈÕÆÚ;
the date on which a person registers as a shareholder;
(Áù) ¸÷¹É¶«ÖÕֹΪ¹É¶«µÄÈÕÆÚ¡£
the date on which a person ceases to be a shareholder;
16
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É¶«Ãû²áΪ֤Ã÷¹É¶«³ÖÓй«Ë¾¹É·ÝµÄ³ä·ÖÖ¤¾Ý; µ«ÊÇÓÐÏà·´Ö¤¾ÝµÄ³ýÍâ¡£
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.
ËùÓо³ÍâÉÏÊÐÍâ×ʹɵÄÐÐΪ»òתÈý«µÇ¼ÇÓÚ¸ù¾Ý±¾Õ³̵Ĺ涨´æ·ÅÓÚÉÏÊеصľ³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á¡£
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.
µÚËÄÊ®°ËÌõ ¹«Ë¾¿ÉÒÔÒÀ¾ÝÖйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Óë¾³Íâ֤ȯ¼à¹Ü»ú¹¹´ï³ÉµÄÁ½⡢ÐÒ飬½«¾³ÍâÉÏÊÐÍâ
×ʹɹɶ«Ãû²á´æ·ÅÔÚ¾³Í⣬²¢Î¯Íо³Íâ´úÀí»ú¹¹¹ÜÀí¡£ÓйØÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɹɶ«µÄ
¹É¶«Ãû²áÕý±¾Ó¦µ±´æ·ÅÔÚÏã¸Û¡£
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.
¹«Ë¾Ó¦µ±½«¾³ÍâÉÏÊÐÍâ×ʹɶ«Ãû²áµÄ¸±±¾±¸ÖÃÓÚ¹«Ë¾×¡Ëù; ÊÜίÍеľ³Íâ´úÀí»ú¹¹Ó¦µ±ËæÊ±±£Ö¤¾³ÍâÉÏÊÐ
Íâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄÒ»ÖÂÐÔ¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄ¼ÇÔØ²»Ò»ÖÂʱ£¬ÒÔÕý±¾Îª×¼¡£
If there is any inconsistency between the original and the duplicate of the register of holders of H shares,
the original version shall prevail.
µÚËÄÊ®¾ÅÌõ ¹«Ë¾Ó¦µ±±£´æÓÐÍêÕûµÄ¹É¶«Ãû²á¡£
Article 49 The Company shall keep a complete register of shareholders.
¹É¶«Ãû²á°üÀ¨ÏÂÁв¿·Ö£º
The register of shareholders shall include the following:
(Ò») ´æ·ÅÔÚ¹«Ë¾×¡ËùµÄ¡¢³ý±¾¿î (¶þ) ¡¢ (Èý) Ïî¹æ¶¨ÒÔÍâµÄ¹É¶«Ãû²á;
the register of members maintained at the Company¡¯s domicile other than those parts as described
in items (ii) and (iii) of this Article;
(¶þ) ´æ·ÅÔÚ¾³ÍâÉÏÊеÄ֤ȯ½»Ò×ËùËùÔڵصĹ«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á;
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;
(Èý) ¶Ê»áΪ¹«Ë¾¹ÉƱÉÏÊеÄÐèÒª¶ø¾ö¶¨´æ·ÅÔÚÆäËûµØ·½µÄ¹É¶«Ãû²á¡£
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.
µÚÎåÊ®Ìõ ¹É¶«Ãû²áµÄ¸÷²¿·ÖÓ¦µ±»¥²»Öصþ¡£Ôڹɶ«Ãû²áijһ²¿·Ö×¢²áµÄ¹É·ÝµÄתÈã¬ÔڸùɷÝ×¢²á´æÐø
ÆÚ¼ä²»µÃ×¢²áµ½¹É¶«Ãû²áµÄÆäËû²¿·Ö¡£
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.
¹É¶«Ãû²á¸÷²¿·ÖµÄ¸ü¸Ä»òÕ߸üÕý£¬Ó¦µ±¸ù¾Ý¹É¶«Ãû²á¸÷²¿·Ö´æ·ÅµØµÄ·¨ÂɽøÐС£
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.
17
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåʮһÌõ ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢¹æ·¶ÐÔÎļþ¼°¹«Ë¾¹ÉƱÉÏÊеØÏà¹ØÖ¤È¯½»Ò×Ëù»ò¼à¹Ü»ú¹¹¶Ô¹É
¶«´ó»áÕÙ¿ªÇ°»òÕß¹«Ë¾¾ö¶¨·ÖÅä¹ÉÀûµÄ»ù×¼ÈÕǰ£¬ÔÝÍ£°ìÀí¹É·Ý¹ý»§µÇ¼ÇÊÖÐøÆÚ¼äÓй涨µÄ£¬´ÓÆä¹æ¶¨¡£
Article 51 Where laws, administrative regulations, departmental rules, normative documents and
requirements of relevant stock exchanges or regulatory authorities where the shares of the Company
are listed, stipulate on the period of closure of the register of shareholders prior to a shareholders¡¯
general meeting or the reference date set by the Company for the purpose of distribution of dividends,
such provisions shall prevail.
µÚÎåÊ®¶þÌõ ÈκÎÈ˶Թɶ«Ãû²á³ÖÓÐÒìÒé¶øÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉÏ£¬»òÕßÒªÇ󽫯äÐÕÃû
(Ãû³Æ) ´Ó¹É¶«Ãû²áÖÐɾ³ýµÄ£¬¾ù¿ÉÒÔÏòÓйÜϽȨµÄ·¨ÔºÉêÇë¸üÕý¹É¶«Ãû²á¡£
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.
µÚÎåÊ®ÈýÌõ ÈκεǼÇÔڹɶ«Ãû²áÉϵĹɶ«»òÕßÈκÎÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË£¬Èç¹ûÆä
¹ÉƱ (¼´¡°Ô¹ÉƱ¡±) ÒÅʧ£¬¿ÉÒÔÏò¹«Ë¾ÉêÇë¾Í¸Ã¹É·Ý (¼´¡°Óйعɷݡ±) ²¹·¢ÐÂ¹ÉÆ±¡£
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¡±).
ÄÚ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬ÒÀÕÕ¡¶¹«Ë¾·¨¡·Ïà¹Ø¹æ¶¨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬¿ÉÒÔÒÀÕÕ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý±¾´æ·ÅµØµÄ·¨ÂÉ¡¢¾³Íâ
֤ȯ½»Ò׳¡Ëù¹æÔò»òÕ߯äËûÓйع涨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱÉêÇë²¹·¢µÄ£¬Æä¹ÉƱµÄ²¹·¢Ó¦µ±·ûºÏÏÂÁÐÒªÇó£º
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:
(Ò») ÉêÇëÈËÓ¦µ±Óù«Ë¾Ö¸¶¨µÄ±ê×¼¸ñʽÌá³öÉêÇë²¢¸½ÉϹ«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷Îļþ¡£¹«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷
ÎļþµÄÄÚÈÝÓ¦µ±°üÀ¨ÉêÇëÈËÉêÇëµÄÀíÓÉ¡¢¹ÉƱÒÅʧµÄÇéÐμ°Ö¤¾Ý£¬ÒÔ¼°ÎÞÆäËûÈκÎÈ˿ɾÍÓйعɷÝ
ÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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
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.
(¶þ) ¹«Ë¾¾ö¶¨²¹·¢ÐÂ¹ÉÆ±Ö®Ç°£¬Ã»ÓÐÊÕµ½ÉêÇëÈËÒÔÍâµÄÈκÎÈ˶ԸùɷÝÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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.
(Èý) ¹«Ë¾¾ö¶¨ÏòÉêÇëÈ˲¹·¢ÐÂ¹ÉÆ±£¬Ó¦µ±ÔÚ¶Ê»áÖ¸¶¨µÄ±¨¿¯ÉÏ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æ; ¹«¸æÆÚ¼äΪ
¾ÅÊ®ÈÕ£¬Ã¿ÈýÊ®ÈÕÖÁÉÙÖØ¸´¿¯µÇÒ»´Î¡£
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.
18
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(ËÄ) ¹«Ë¾ÔÚ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æÖ®Ç°£¬Ó¦µ±ÏòÆä¹ÒÅÆÉÏÊеÄ֤ȯ½»Ò×ËùÌá½»Ò»·ÝÄ⿯µÇµÄ¹«¸æ¸±
±¾£¬ÊÕµ½¸Ã֤ȯ½»Ò×ËùµÄ»Ø¸´£¬È·ÈÏÒÑÔÚ¸Ã֤ȯ½»Ò×ËùÄÚչʾ¸Ã¹«¸æºó£¬¼´¿É¿¯µÇ¡£¹«¸æÔÚ¸Ã֤ȯ
½»Ò×ËùÄÚչʾµÄÆÚ¼äΪ¾ÅÊ®ÈÕ¡£
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.
Èç¹û²¹·¢¹ÉƱµÄÉêÇëδµÃµ½ÓйعɷݵĵǼÇÔÚ²á¹É¶«µÄͬÒ⣬¹«Ë¾Ó¦µ±½«Ä⿯µÇµÄ¹«¸æµÄ¸´Ó¡¼þÓʼĸø¸Ã
¹É¶«¡£
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.
(Îå) ±¾Ìõ (Èý) ¡¢ (ËÄ) ÏîËù¹æ¶¨µÄ¹«¸æ¡¢Õ¹Ê¾µÄ¾ÅÊ®ÈÕÆÚÏÞ½ìÂú£¬È繫˾δÊÕµ½ÈκÎÈ˶Բ¹·¢¹ÉƱµÄÒì
Ò飬¼´¿ÉÒÔ¸ù¾ÝÉêÇëÈ˵ÄÉêÇë²¹·¢ÐÂ¹ÉÆ±¡£
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.
(Áù) ¹«Ë¾¸ù¾Ý±¾Ìõ¹æ¶¨²¹·¢ÐÂ¹ÉÆ±Ê±£¬Ó¦µ±Á¢¼´×¢ÏúÔ¹ÉÆ±£¬²¢½«´Ë×¢ÏúºÍ²¹·¢ÊÂÏîµÇ¼ÇÔڹɶ«Ãû²áÉÏ¡£
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.
(Æß) ¹«Ë¾Îª×¢ÏúÔ¹ÉÆ±ºÍ²¹·¢ÐÂ¹ÉÆ±µÄÈ«²¿·ÑÓ㬾ùÓÉÉêÇëÈ˸ºµ£¡£ÔÚÉêÇëÈËδÌṩºÏÀíµÄµ£±£Ö®Ç°£¬¹«
˾ÓÐȨ¾Ü¾ø²ÉÈ¡ÈκÎÐж¯¡£
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.
µÚÎåÊ®ËÄÌõ ¹«Ë¾¸ù¾Ý¹«Ë¾Õ³̵Ĺ涨²¹·¢ÐÂ¹ÉÆ±ºó£¬»ñµÃǰÊöÐÂ¹ÉÆ±µÄÉÆÒ⹺ÂòÕß»òÕ߯äºóµÇ¼ÇΪ¸Ã¹É
·ÝµÄËùÓÐÕߵĹɶ« (ÈçÊôÉÆÒ⹺ÂòÕß) £¬ÆäÐÕÃû (Ãû³Æ) ¾ù²»µÃ´Ó¹É¶«Ãû²áÖÐɾ³ý¡£
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.
µÚÎåÊ®ÎåÌõ ¹«Ë¾¶ÔÓÚÈκÎÓÉÓÚ×¢ÏúÔ¹ÉÆ±»òÕß²¹·¢ÐÂ¹ÉÆ±¶øÊܵ½Ë𺦵ÄÈ˾ùÎÞÅâ³¥ÒåÎñ£¬³ý·Ç¸Ãµ±ÊÂÈË
ÄÜÖ¤Ã÷¹«Ë¾ÓÐÆÛÕ©ÐÐΪ¡£
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.
19
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders
µÚÎåÊ®ÁùÌõ ¹«Ë¾¹É¶«ÎªÒÀ·¨³ÖÓй«Ë¾¹É·Ý²¢ÇÒÆäÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË¡£
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.
¹É¶«°´ÆäËù³ÖÓйɷݵÄÖÖÀàÏíÓÐȨÀû£¬³Ðµ£ÒåÎñ; ³ÖÓÐͬһÖÖÀà¹É·ÝµÄ¹É¶«£¬ÏíÓÐͬµÈȨÀû£¬³Ðµ£Í¬ÖÖÒå
Îñ¡£
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.
ÈçÁ½¸öÒÔÉϵÄÈ˵ǼÇΪÈκιɷݵÄÁªÃû¹É¶«£¬ËûÃÇÓ¦±»ÊÓΪÓйعɷݵĹ²Í¬¹²ÓÐÈË£¬µ«±ØÐëÊÜÒÔÏÂÌõ¿îÏÞ
ÖÆ£º
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:
(Ò») ¹«Ë¾²»Ó¦½«³¬¹ýËÄÃûÈËÊ¿µÇ¼ÇΪÈκιɷݵÄÁªÃû¹É¶«;
The Company shall register no more than four people as the joint holder of any share;
(¶þ) ÈκιɷݵÄËùÓÐÁªÃû¹É¶«Ó¦¶ÔÖ§¸¶ÓйعɷÝËùÓ¦¸¶µÄËùÓнð¶î³Ðµ£Á¬´øÔðÈÎ;
The joint holders of any shares shall jointly assume the liability to pay for all amounts payable for
the relevant shares.
(Èý) ÈçÁªÃû¹É¶«Ö®Ò»ËÀÍö£¬ÔòÖ»ÓÐÁªÃû¹É¶«ÖÐµÄÆäËûÉдæÈËʿӦ±»¹«Ë¾ÊÓΪ¶ÔÓйعɷÝÓµÓÐËùÓÐȨµÄÈË£¬
µ«¶Ê»áÓÐȨΪÐ޸Ĺɶ«Ãû²á֮ĿµÄ¶øÒªÇóÌṩÆäÈÏΪǡµ±µÄËÀÍöÖ¤Ã÷Îļþ;
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.
¾ÍÈκιɷݵÄÁªÃû¹É¶«¶øÑÔ£¬Ö»ÓÐÔڹɶ«Ãû²áÉÏÅÅÃûÊ×λµÄÁªÃû¹É¶«ÓÐȨ´Ó¹«Ë¾ÊÕÈ¡ÓÐ¹Ø¹É·ÝµÄ¹ÉÆ±£¬ÊÕ
È¡¹«Ë¾µÄ֪ͨ£¬³öϯ¹«Ë¾¹É¶«´ó»á»òÐÐʹÓйعɷݵÄÈ«²¿±í¾öȨ£¬¶øÈκÎËÍ´ïǰÊöÈËÊ¿µÄ֪ͨӦ±»ÊÓΪÒÑ
ËÍ´ïÓйعɷݵÄËùÓÐÁªÃû¹É¶«¡£
. 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.
µÚÎåÊ®ÆßÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á¡¢·ÖÅä¹ÉÀû¡¢ÇåËã¼°´ÓÊÂÆäËûÐèҪȷÈϹɶ«Éí·ÝµÄÐÐΪʱ£¬ÓɶÊ»á»ò¹É
¶«´ó»áÕÙ¼¯ÈËÈ·¶¨¹ÉȨµÇ¼ÇÈÕ£¬¹ÉȨµÇ¼ÇÈÕÊÕÊкóµÇ¼ÇÔÚ²áµÄ¹É¶«ÎªÏíÓÐÏà¹ØÈ¨ÒæµÄ¹É¶«¡£
Article 57 When the Company intends to convene a shareholders¡¯ general meeting, distribute dividends,
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.
20
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÊ®°ËÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«ÏíÓÐÏÂÁÐȨÀû:
Article 58 The ordinary shareholders of the Company shall be entitled to the following rights:
(Ò») ÒÀÕÕÆäËù³ÖÓеĹɷݷݶî»ñµÃ¹ÉÀûºÍÆäËûÐÎʽµÄÀûÒæ·ÖÅä;
the right to dividends and other forms of distribution in proportion to the number of shares held;
(¶þ) ÒÀ·¨ÇëÇó¡¢ÕÙ¼¯¡¢Ö÷³Ö¡¢²Î¼Ó»òÕßίÅɹɶ«´úÀíÈ˲μӹɶ«´ó»á£¬²¢ÐÐʹÏàÓ¦µÄ±í¾öȨ;
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;
(Èý) ¶Ô¹«Ë¾µÄÒµÎñ¾Óª»î¶¯½øÐмල£¬Ìá³ö½¨Òé»òÕßÖÊѯ;
the right to supervise the business activities of the Company and to put forward proposals and
raise inquiries;
(ËÄ) ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨¼°±¾Õ³̵Ĺ涨תÈá¢ÔùÓë»òÖÊ
ѺÆäËù³ÖÓеĹɷÝ;
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;
(Îå) ÒÀÕÕ±¾Õ³̵Ĺ涨»ñµÃÓйØÐÅÏ¢£¬°üÀ¨£º
the right to obtain relevant information in accordance with the provisions of the Articles of
Association, including:
(1) Ôڽɸ¶³É±¾·ÑÓúóµÃµ½¹«Ë¾Õ³Ì;
to obtain a copy of the Articles of Association, subject to payment of the cost of such copy;
(2) Ôڽɸ¶Á˺ÏÀí·ÑÓúóÓÐȨ²éÔĺ͸´Ó¡£º
to inspect and copy, subject to payment of a reasonable charge:
(i) ËùÓи÷²¿·Ö¹É¶«µÄÃû²á;
all parts of the register of shareholders;
(ii) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄ¸öÈË×ÊÁÏ£¬°üÀ¨£º(a) ÏÖÔÚ¼°ÒÔǰµÄÐÕÃû¡¢
±ðÃû; (b) Ö÷ÒªµØÖ· (סËù) ; (c)¹ú¼®; (d)רְ¼°ÆäËûÈ«²¿¼æÖ°µÄÖ°Òµ¡¢Ö°Îñ; ºÍ(e)Éí·ÝÖ¤
Ã÷Îļþ¼°ÆäºÅÂë;
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) ¹«Ë¾¹É±¾×´¿ö;
report on the state of the Company¡¯s share capital;
(iv) ×ÔÉÏÒ»»á¼ÆÄê¶ÈÒÔÀ´¹«Ë¾¹º»Ø×Ô¼ºÃ¿Ò»Àà±ð¹É·ÝµÄÆ±Ãæ×ÜÖµ¡¢ÊýÁ¿¡¢×î¸ß¼ÛºÍ×îµÍ¼Û£¬
ÒÔ¼°¹«Ë¾Îª´ËÖ§¸¶µÄÈ«²¿·ÑÓõı¨¸æ;
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;
(v) ¹«Ë¾Õ®È¯´æ¸ù;
counterfoils of company debt securities;
(vi) ²ÆÎñ»á¼Æ±¨¸æ; ¼°
financial reports; and
21
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(vii) ¹É¶«´ó»á»áÒé¼Ç¼¡¢¶Ê»á»áÒé¾öÒé¡¢¼àÊ»á»áÒé¾öÒé;
minutes of shareholders¡¯ general meetings, resolutions of Boarding meetings,
resolutions of Board of Supervisors meetings;
(Áù) ¹«Ë¾ÖÕÖ¹»òÕßÇåËãʱ£¬°´ÆäËù³ÖÓеĹɷݷݶî²Î¼Ó¹«Ë¾Ê£Óà²Æ²úµÄ·ÖÅä;
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;
(Æß) ¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒéµÄ¹É¶«£¬ÒªÇó¹«Ë¾ÊÕ¹ºÆä¹É·Ý;
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;
(°Ë) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûȨÀû¡£
other rights conferred by laws, administrative regulations, departmental rules or the Articles of
Association.
µÚÎåÊ®¾ÅÌõ ¹É¶«Ìá³ö²éÔÄǰÌõËùÊöÓйØÐÅÏ¢»òÕßË÷È¡×ÊÁϵģ¬Ó¦µ±Ïò¹«Ë¾Ìṩ֤Ã÷Æä³ÖÓй«Ë¾¹É·ÝµÄÖÖ
ÀàÒÔ¼°³Ö¹ÉÊýÁ¿µÄÊéÃæÎļþ£¬¹«Ë¾¾ºËʵ¹É¶«Éí·Ýºó°´Õչɶ«µÄÒªÇóÓèÒÔÌṩ¡£
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.
²»µÃÖ»ÒòÈκÎÖ±½Ó»ò¼ä½ÓÓµÓÐÈ¨ÒæµÄÈËÊ¿²¢ÎÞÏò¹«Ë¾Åû¶ÆäÈ¨Òæ¶øÐÐʹÈκÎȨÁ¦ÒÔ¶³½á»òÒÔÆäËû·½Ê½Ëð
º¦ÆäËù³ÖÈκιɷݸ½ÓеÄȨÀû¡£
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.
µÚÁùÊ®Ìõ ¹«Ë¾¹É¶«´ó»á¡¢¶Ê»á¾öÒéÄÚÈÝÎ¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æµÄ£¬¹É¶«ÓÐȨÇëÇóÈËÃñ·¨ÔºÈ϶¨ÎÞЧ¡£
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.
¹É¶«´ó»á¡¢¶Ê»áµÄ»áÒéÕÙ¼¯³ÌÐò¡¢±í¾ö·½Ê½Î¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̣¬»òÕß¾öÒéÄÚÈÝÎ¥·´±¾Õ³Ì
µÄ£¬¹É¶«ÓÐȨ×Ô¾öÒé×÷³öÖ®ÈÕÆð 60 ÈÕÄÚ£¬ÇëÇóÈËÃñ·¨Ôº³·Ïú¡£
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.
µÚÁùʮһÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËð
ʧµÄ£¬Á¬Ðø 180 ÈÕÒÔÉϵ¥¶À»òºÏ²¢³ÖÓй«Ë¾ 1%ÒÔÉϹɷݵĹɶ«ÓÐȨÊéÃæÇëÇó¼àÊ»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ;
¼àÊ»áÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬¹É¶«¿ÉÒÔÊéÃæÇëÇó¶
Ê»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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
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
22
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¼àÊ»ᡢ¶Ê»áÊÕµ½Ç°¿î¹æ¶¨µÄ¹É¶«ÊéÃæÇëÇóºó¾Ü¾øÌáÆðËßËÏ£¬»òÕß×ÔÊÕµ½ÇëÇóÖ®ÈÕÆð 30 ÈÕÄÚδÌáÆðËß
ËÏ£¬»òÕßÇé¿ö½ô¼±¡¢²»Á¢¼´ÌáÆðËßËϽ«»áʹ¹«Ë¾ÀûÒæÊܵ½ÄÑÒÔÃÖ²¹µÄË𺦵ģ¬Ç°¿î¹æ¶¨µÄ¹É¶«ÓÐȨΪÁ˹«
˾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
ËûÈËÇÖ·¸¹«Ë¾ºÏ·¨È¨Ò棬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬±¾ÌõµÚÒ»¿î¹æ¶¨µÄ¹É¶«¿ÉÒÔÒÀÕÕǰÁ½¿îµÄ¹æ¶¨ÏòÈËÃñ·¨ÔºÌá
ÆðËßËÏ¡£
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.
µÚÁùÊ®¶þÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËԱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬Ë𺦹ɶ«ÀûÒæµÄ£¬¹É¶«¿ÉÒÔÏò
ÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
µÚÁùÊ®ÈýÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«³Ðµ£ÏÂÁÐÒåÎñ£º
Article 63 The ordinary shareholders of the Company shall assume the following obligations:
(Ò») ×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³Ì;
To abide by laws, administrative regulations and the Articles of Association;
(¶þ) ÒÀÆäËùÈϹºµÄ¹É·ÝºÍÈë¹É·½Ê½½ÉÄɹɽð;
To pay subscription monies according to the number of shares subscribed and the method of
subscription.
(Èý) ³ý·¨ÂÉ¡¢·¨¹æ¹æ¶¨µÄÇéÐÎÍ⣬²»µÃÍ˹É;
Not to surrender the shares unless required by the laws and regulations.
(ËÄ) ²»µÃÀÄÓùɶ«È¨ÀûË𺦹«Ë¾»òÕ߯äËû¹É¶«µÄÀûÒæ; ²»µÃÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈÎËðº¦
¹«Ë¾Õ®È¨È˵ÄÀûÒæ;
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.
¹«Ë¾¹É¶«ÀÄÓùɶ«È¨Àû¸ø¹«Ë¾»òÕ߯äËû¹É¶«Ôì³ÉËðʧµÄ£¬Ó¦µ±ÒÀ·¨³Ðµ£Åâ³¥ÔðÈΡ£
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.
¹«Ë¾¹É¶«ÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈΣ¬ÌÓ±ÜÕ®Îñ£¬ÑÏÖØË𺦹«Ë¾Õ®È¨ÈËÀûÒæµÄ£¬Ó¦µ±¶Ô¹«Ë¾Õ®
Îñ³Ðµ£Á¬´øÔðÈΡ£
Where shareholders of the Company abuse the Company¡¯s position as an independent legal person and
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.
23
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°±¾Õ³̹涨Ӧµ±³Ðµ£µÄÆäËûÒåÎñ¡£
other obligations imposed by laws, administrative regulations and the Articles of Association.
¹É¶«³ýÁ˹ɷݵÄÈϹºÈËÔÚÈϹºÊ±ËùͬÒâµÄÌõ¼þÍ⣬²»³Ðµ£Æäºó×·¼ÓÈκιɱ¾µÄÔðÈΡ£
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.
µÚÁùÊ®ËÄÌõ ³ÖÓй«Ë¾ 5%ÒÔÉÏÓбí¾öȨ¹É·ÝµÄ¹É¶«£¬½«Æä³ÖÓеĹɷݽøÐÐÖÊѺµÄ£¬Ó¦µ±×Ô¸ÃÊÂʵ·¢Éúµ±ÈÕ£¬
Ïò¹«Ë¾×÷³öÊéÃæ±¨¸æ¡£
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.
µÚÁùÊ®ÎåÌõ ¹«Ë¾µÄ¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈËÔ±²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ¡£Î¥·´¹æ¶¨µÄ£¬¸ø¹«Ë¾Ôì
³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦Ó빫˾ʵÐÐÈËÔ±¡¢×ʲú¡¢²ÆÎñ·Ö¿ª£¬ÊµÏÖ»ú¹¹¡¢ÒµÎñ¡¢
ÈËÔ±¶ÀÁ¢£¬¸÷×Ô¶ÀÁ¢ºËËã¡¢¶ÀÁ¢³Ðµ£ÔðÈκͷçÏÕ¡£
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.
¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦²ÉÈ¡ÓÐЧ´ëÊ©±ÜÃâͬҵ¾ºÕù¡£
The controlling shareholder of the Company shall take effective measures to avoid horizontal
competition.
¹«Ë¾¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈ˶Թ«Ë¾ºÍ¹«Ë¾Éç»á¹«Öڹɹɶ«¸ºÓгÏÐÅÒåÎñ¡£¿Ø¹É¹É¶«Ó¦ÑϸñÒÀ·¨ÐÐʹ³ö×ÊÈË
µÄȨÀû£¬¿Ø¹É¹É¶«²»µÃÀûÓÃÀûÈó·ÖÅä¡¢×ʲúÖØ×é¡¢¶ÔÍâͶ×Ê¡¢×ʽðÕ¼Óᢽè¿îµ£±£µÈ·½Ê½Ë𺦹«Ë¾ºÍÉç»á
¹«Öڹɹɶ«µÄºÏ·¨È¨Ò棬²»µÃÀûÓÃÆä¿ØÖÆµØÎ»Ë𺦹«Ë¾ºÍÉç»á¹«Öڹɹɶ«µÄÀûÒæ¡£
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.
¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËԱӦά»¤¹«Ë¾×ʽðµÄ°²È«£¬¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½
ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúʱ£¬¹«Ë¾¶Ê»áÊÓÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÓèÒÔ°ÕÃâ
µÄ³ÌÐò¡£
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.
¹«Ë¾¶Ê»ὨÁ¢¶Ô¿Ø¹É¹É¶«Ëù³Ö¹«Ë¾¹É·Ý¡°Õ¼Óü´¶³½á¡±»úÖÆ£¬¼´·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúÁ¢¼´ÉêÇë˾·¨
¶³½á£¬·²²»ÄÜÒÔÏÖ½ðÇå³¥µÄ£¬Í¨¹ý±äÏÖ¹ÉȨ³¥»¹ÇÖÕ¼×ʲú¡£¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËÔ±¸ºÓÐά»¤¹«Ë¾
×ʽð°²È«µÄ·¨¶¨ÒåÎñ£¬¹«Ë¾²ÆÎñ¸ºÔðÈËΪ¡°Õ¼Óü´¶³½á¡±»úÖÆµÄ¾ßÌåÔðÈÎÈË¡£¹«Ë¾²ÆÎñ¸ºÔðÈËÒ»µ©·¢ÏÖ¹«Ë¾
¿Ø¹É¹É¶«»òÕßʵ¼Ê¿ØÖÆÈ˼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú£¬Ó¦Á¢¼´Æô¶¯ÒÔϳÌÐò£º
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,
24
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») ¹«Ë¾²ÆÎñ¸ºÔðÈËÔÚ·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúµÄµ±Ì죬ӦÒÔÊéÃæÐÎʽ±¨¸æ¹«Ë¾¶Ê³¤£¬Í¬Ê±³ËͶ
Ê»áÃØÊé; Èô·¢ÏÖͬʱ´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú
Çé¿öµÄ£¬²ÆÎñ¸ºÔðÈËÔÚÊéÃæ±¨¸æÖл¹Ó¦µ±Ð´Ã÷ËùÉæ¼°µÄ¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû¡¢ÐÖú»ò×ÝÈݿعÉ
¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇé½Ú;
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;
(¶þ) ¶Ê³¤ÔÚÊÕµ½²ÆÎñ¸ºÔðÈ˵ı¨¸æºó£¬Ó¦Á¢¼´ÕÙ¼¯¡¢ÕÙ¿ª¶Ê»á»áÒ飬ÉóÒéÒªÇó¿Ø¹É¹É¶«Çå³¥µÄÆÚÏÞ¡¢
ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË; Èô´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈÝ
¿Ø¹É¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇéÐΣ¬¹«Ë¾¶Ê»áÓ¦ÊÓÆäÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ
¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÌáÇë¹É¶«´ó»áÓèÒÔ°ÕÃâ¡£
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;
(Èý) ¶Ê»áÃØÊé¸ù¾Ý¶Ê»á¾öÒéÏò¿Ø¹É¹É¶«·¢ËÍÏÞÆÚÇ峥֪ͨ£¬Ö´ÐжÔÏà¹Ø¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±µÄ´¦·Ö
¾ö¶¨¡¢ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË£¬²¢×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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;
(ËÄ) Èô¿Ø¹É¹É¶«ÎÞ·¨Ôڹ涨ÆÚÏÞÄÚÇå³¥£¬¹«Ë¾Ó¦Ôڹ涨ÆÚÏÞµ½ÆÚºó 30 ÈÕÄÚÏòÏà¹ØË¾·¨²¿ÃÅÉêÇ뽫¶³½á¹É
·Ý±äÏÖÒÔ³¥»¹ÇÖÕ¼×ʲú£¬¶Ê»áÃØÊé×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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,
to pay back the appropriated assets, and the Secretary of the Board of Directors shall disclose
relevant information properly.
³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔòËùÒªÇóµÄÒåÎñÍ⣬¿Ø¹É¹É¶«ÔÚÐÐʹÆä¹É¶«µÄ
ȨÁ¦Ê±£¬²»µÃÒòÐÐʹÆä±í¾öȨÔÚÏÂÁÐÎÊÌâÉÏ×÷³öÓÐËðÓÚÈ«Ìå»òÕß²¿·Ö¹É¶«µÄÀûÒæµÄ¾ö¶¨£º
25
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») Ãâ³ý¶Ê¡¢¼àÊÂÓ¦µ±Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐʵÄÔðÈÎ;
to relieve a Director or supervisor of his duty to act honestly in the best interests of the Company;
(¶þ) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) ÒÔÈκÎÐÎʽ°þ¶á¹«Ë¾²Æ²ú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκζԹ«Ë¾ÓÐ
ÀûµÄ»ú»á;
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;
(Èý) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) °þ¶áÆäËû¹É¶«µÄ¸öÈËÈ¨Òæ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκηÖÅäȨ¡¢
±í¾öȨ£¬µ«²»°üÀ¨¸ù¾Ý¹«Ë¾Õ³ÌÌá½»¹É¶«´ó»áͨ¹ýµÄ¹«Ë¾¸Ä×é¡£
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.
µÚÁùÊ®ÁùÌõ ±¾½ÚËù³Æ¿Ø¹É¹É¶«ÊǾ߱¸ÒÔÏÂÌõ¼þÖ®Ò»µÄÈË£º
Article 66 The term ¡°controlling shareholder¡± referred to in the Articles of Association means a person
who satisfies any one of the following conditions:
(Ò») ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÑ¡³ö°ëÊýÒÔÉϵĶÊÂ;
a person who, acting alone or in concert with others, has the power to elect more than half of the
Board members;
(¶þ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÐÐʹ¹«Ë¾°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ±í¾öȨ»òÕß¿ÉÒÔ
¿ØÖƹ«Ë¾µÄ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) ±í¾öȨµÄÐÐʹ;
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;
(Èý) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬³ÖÓй«Ë¾·¢ÐÐÔÚÍâ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ¹É·Ý;
a person who, acting alone or in concert with others, holds 30% (inclusive) or more of the issued
and outstanding shares of the Company;
(ËÄ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬ÒÔÆäËû·½Ê½ÔÚÊÂʵÉÏ¿ØÖƹ«Ë¾¡£
a person who, acting alone or in concert with others, has de facto control of the Company in any
other way.
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting
µÚÁùÊ®ÆßÌõ ¹É¶«´ó»áÊǹ«Ë¾µÄȨÁ¦»ú¹¹£¬ÒÀ·¨ÐÐʹÏÂÁÐְȨ£º
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:
(Ò») ¾ö¶¨¹«Ë¾µÄ¾Óª·½ÕëºÍͶ×ʼƻ®;
to decide on the operating policies and investment plans of the Company;
(¶þ) Ñ¡¾ÙºÍ¸ü»»¶Ê¼°·ÇÓÉÖ°¹¤´ú±íµ£ÈεļàÊ£¬¾ö¶¨ÓйضÊ¡¢¼àʵı¨³êÊÂÏî;
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;
26
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ÉóÒéÅú×¼¶Ê»áµÄ±¨¸æ;
to examine and approve reports of the Board;
(ËÄ) ÉóÒéÅú×¼¼àÊ»áµÄ±¨¸æ;
to examine and approve reports of the Board of Supervisors;
(Îå) ÉóÒéÅú×¼¹«Ë¾µÄÄê¶È²ÆÎñÔ¤Ëã·½°¸¡¢¾öËã·½°¸;
to examine and approve the Company's proposed annual preliminary financial budgets and final
accounts;
(Áù) ÉóÒéÅú×¼¹«Ë¾µÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
to examine and approve the Company's profit distribution plans and plans for making up losses;
(Æß) ¶Ô¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾×÷³ö¾öÒé;
to decide on increases or reductions in the Company's registered capital;
(°Ë) ¶Ô¹«Ë¾·¢ÐÐծȯ×÷³ö¾öÒé;
to decide on the issue of bonds by the Company;
(¾Å) ¶Ô¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¡¢½âÉ¢¡¢ÇåËã»òÕß±ä¸ü¹«Ë¾ÐÎʽ×÷³ö¾öÒé;
to decide on matters such as merger, division, dissolution and liquidation of the Company or
alteration of corporate form;
(Ê®) Ð޸ı¾Õ³Ì;
to amend the Articles of Association;
(ʮһ) ¶Ô¹«Ë¾Æ¸ÓᢽâƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËù×÷³ö¾öÒé;
to adopt resolutions on the Company¡¯s appointments, dismissals or non-reappointments of
accounting firms;
(Ê®¶þ) ÉóÒéÅú×¼µÚÁùÊ®°ËÌõ¹æ¶¨µÄµ£±£ÊÂÏî;
to examine and approve the provision of guarantees under the Article 68;
(Ê®Èý) ÉóÒ鹫˾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú¡¢×ʲúµÖѺ¡¢Î¯ÍÐÀí²Æ³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%
µÄÊÂÏ
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;
(Ê®ËÄ) ÉóÒéÅú×¼±ä¸ü=×ʽðÓÃ;ÊÂÏî;
to examine and approve matters relating to changes in the use of funds raised;
(Ê®Îå) ÉóÒé¹ÉȨ¼¤Àø¼Æ»®;
to examine the Company¡¯s share incentive schemes;
(Ê®Áù) ÉóÒéÐè¹É¶«´ó»á¾ö¶¨µÄ¹ØÁª½»Ò×;
to examine connection transactions which shall be decided at the general meeting;
(Ê®Æß) ÉóÒé´ú±í¹«Ë¾·¢ÐÐÔÚÍâÓбí¾öȨ¹É·Ý×ÜÊýµÄ°Ù·ÖÖ®ÈýÒÔÉÏ (º¬°Ù·ÖÖ®Èý) µÄ¹É¶«Ìá°¸;
to examine the proposals submitted by shareholders holding not less than 3% (inclusive) of the
Company¡¯s voting shares;
(Ê®°Ë) ÉóÒé·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¹æ¶¨µÄÓ¦µ±Óɹɶ«´ó
»á¾ö¶¨µÄÆäËûÊÂÏî¡£
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.
27
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÊ®°ËÌõ ¹«Ë¾ÏÂÁжÔÍâµ£±£ÐÐΪ£¬Ð뾹ɶ«´ó»áÉóÒéͨ¹ý¡£
Article 68 Any guarantees of the Company shall be subject to approval by the general meeting of
shareholders.
(Ò») ±¾¹«Ë¾¼°±¾¹«Ë¾¿Ø¹É×Ó¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%ÒÔºóÌṩµÄ
Èκε£±£;
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;
(¶þ) ¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲúµÄ 30%ÒÔºóÌṩµÄÈκε£±£;
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;
(Èý) Ϊ×ʲú¸ºÕ®Âʳ¬¹ý 70%µÄµ£±£¶ÔÏóÌṩµÄµ£±£;
a guarantee to be provided to a party which has an asset-liability ratio in excess of 70%;
(ËÄ) µ¥±Êµ£±£¶î³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲú 10%µÄµ£±£;
a single guarantee amount in excess of 10% of the Company¡¯s latest audited net assets;
(Îå) µ£±£½ð¶îÁ¬ÐøÊ®¶þ¸öÔÂÄÚÀۼƼÆËãÔÔò£¬³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%£¬ÇÒ¾ø¶Ô½ð¶î³¬¹ý
ÈËÃñ±Ò 5000 ÍòÔªµÄµ£±£;
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;
(Áù) ¶Ô¹É¶«¡¢Êµ¼Ê¿ØÖÆÈ˼°Æä¹ØÁª·½ÌṩµÄµ£±£;
the guarantee to be provided in favor of shareholders, de facto controllers and their related parties.
(Æß) ÉϺ£Ö¤È¯½»Ò×Ëù¡¢Ïã¸ÛÁª½»Ëù»òÏà¹Ø·¨¹æ¹æ¶¨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by the Shanghai Stock Exchange, the HKEX or relevant
laws and regulations.
µÚÁùÊ®¾ÅÌõ ¹É¶«´ó»á·ÖΪÄê¶È¹É¶«´ó»áºÍÁÙʱ¹É¶«´ó»á¡£Äê¶È¹É¶«´ó»áÿÄêÕÙ¿ª 1 ´Î£¬Ó¦µ±ÓÚÉÏÒ»»á¼Æ
Äê¶È½áÊøºóµÄ 6 ¸öÔÂÄÚ¾ÙÐС£
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.
µÚÆßÊ®Ìõ ÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾ÔÚÊÂʵ·¢ÉúÖ®ÈÕÆð 2 ¸öÔÂÒÔÄÚÕÙ¿ªÁÙʱ¹É¶«´ó»á£º
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:
(Ò») ¶ÊÂÈËÊý²»×ã 6 Ãûʱ;
the number of Directors is less than six (6);
(¶þ) ¹«Ë¾Î´ÃÖ²¹µÄ¿÷Ëð´ïʵÊչɱ¾×ܶî 1/3 ʱ;
the uncovered losses are in excess of one-third of the Company¡¯s total share capital;
(Èý) µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10% (²»º¬Í¶Æ±´úÀíȨ) ÒÔÉϹɷݵĹɶ«ÇëÇóʱ;
shareholders individually or jointly holding not less than 10% (exclusive proxy) of the Company¡¯s
issued shares request to hold an extraordinary general meeting;
(ËÄ) ¶Ê»áÈÏΪ±ØÒªÊ±;
the Board considers it necessary to hold such a meeting;
28
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ¼àÊ»áÌáÒéÕÙ¿ªÊ±;
the Board of Supervisors proposes to hold such a meeting;
(Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by laws and regulations, departmental rules or the
Articles of Association.
µÚÆßʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»áµÄµØµãΪ¹«Ë¾»áÒéÊÒ»ò֪ͨµÄÆäËûµØÖ·
Article 71 The Company shall hold the general meeting at the conference room of the Company or such
revenue as specified in the notice.
¹É¶«´ó»á½«ÉèÖû᳡£¬ÒÔÏÖ³¡»áÒéÐÎʽÕÙ¿ª¡£¹«Ë¾»¹½«ÊÓÇé¿öÌá¹©ÍøÂçͶƱ·½Ê½Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ
±ãÀû¡£¹É¶«Í¨¹ýÉÏÊö·½Ê½²Î¼Ó¹É¶«´ó»áµÄ£¬ÊÓΪ³öϯ¡£
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.
·¢³ö¹É¶«´ó»á֪ͨºó£¬ÎÞÕýµ±ÀíÓÉ£¬¹É¶«´ó»áÏÖ³¡»áÒéÕÙ¿ªµØµã²»µÃ±ä¸ü¡£È·Ðè±ä¸üµÄ£¬ÕÙ¼¯ÈËÓ¦µ±ÔÚÏÖ
³¡»áÒéÕÙ¿ªÈÕǰÖÁÉÙ 2 ¸ö¹¤×÷ÈÕ¹«¸æ²¢ËµÃ÷ÔÒò¡£
Once the notice of a general meeting is issued, the venue of an on-site general meeting shall not be
altered without proper reasons. In the event of alternation, the convener shall make an announcement to
state the reasons at least 2 working days prior to the convening date of the onsite meeting.
µÚÆßÊ®¶þÌõ ±¾¹«Ë¾ÕÙ¿ª¹É¶«´ó»áʱ½«Æ¸ÇëÂÉʦ¶ÔÒÔÏÂÎÊÌâ³ö¾ß·¨ÂÉÒâ¼û²¢¹«¸æ:
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:
(Ò») »áÒéµÄÕÙ¼¯¡¢ÕÙ¿ª³ÌÐòÊÇ·ñ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³Ì
whether the procedures relating to the convening and the holding of such meeting comply with the
laws, administrative regulations and the Articles of Association;
(¶þ) ³öϯ»áÒéÈËÔ±µÄ×ʸñ¡¢ÕÙ¼¯ÈË×ʸñÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the qualifications of the attendees and the convener of the meeting;
(Èý) »áÒéµÄ±í¾ö³ÌÐò¡¢±í¾ö½á¹ûÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the voting procedures and voting results;
(ËÄ) Ó¦±¾¹«Ë¾ÒªÇó¶ÔÆäËûÓйØÎÊÌâ³ö¾ßµÄ·¨ÂÉÒâ¼û¡£
legal opinions issued on other related matters as requested by the Company.
¹«Ë¾¶Ê»áÒ²¿ÉͬʱƸÇ빫֤ÈËÔ±³öϯ¹É¶«´ó»á¡£
The Board of the Company shall also engage notaries to be present in the general meeting.
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting
µÚÆßÊ®ÈýÌõ ¶ÀÁ¢¶ÊÂÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á¡£¶Ô¶ÀÁ¢¶ÊÂÒªÇóÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÌáÒ飬
¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÌáÒéºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«
´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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
29
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ; ¶Ê»᲻ͬ
ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ËµÃ÷ÀíÓɲ¢¹«¸æ¡£
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.
µÚÆßÊ®ËÄÌõ ¼àÊ»áÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±
¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ
·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔ
ÌáÒéµÄ±ä¸ü£¬Ó¦Õ÷µÃ¼àÊ»áµÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬ÊÓΪ¶Ê»᲻ÄÜÂÄÐлòÕß²»
ÂÄÐÐÕÙ¼¯¹É¶«´ó»á»áÒéÖ°Ô𣬼àÊ»á¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
µÚÆßÊ®ÎåÌõ µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÇëÇóÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔ
ÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚÌá³öͬ
Òâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦µ±ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔ
ÔÇëÇóµÄ±ä¸ü£¬Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%
ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¼àÊ»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¼àÊ»áÌá³öÇëÇó¡£
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
30
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
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).
¼àÊ»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦ÔÚÊÕµ½ÇëÇó 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔÌá°¸µÄ±ä¸ü£¬
Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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.
¼àÊ»áδÔڹ涨ÆÚÏÞÄÚ·¢³ö¹É¶«´ó»á֪ͨµÄ£¬ÊÓΪ¼àÊ»᲻ÕÙ¼¯ºÍÖ÷³Ö¹É¶«´ó»á£¬Á¬Ðø 90 ÈÕÒÔÉϵ¥¶À»ò
ÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
¹É¶«Òò¶Ê»áºÍ¼àÊ»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«
˾³Ðµ££¬²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
µÚÆßÊ®ÁùÌõ ¹É¶«ÒªÇóÕÙ¼¯Àà±ð¹É¶«»áÒ飬Ӧµ±°´ÕÕÏÂÁгÌÐò°ìÀí£º
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:
(Ò») ºÏ¼Æ³ÖÓÐÔÚÄâ¾ÙÐеĻáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÁ½¸ö»òÕßÁ½¸öÒÔÉϵĹÉ
¶«£¬¿ÉÒÔÇ©ÊðÒ»·Ý»òÕßÊý·ÝͬÑù¸ñʽÄÚÈݵÄÊéÃæÒªÇó£¬ÌáÇë¶Ê»áÕÙ¼¯Àà±ð¹É¶«»áÒ飬²¢²ûÃ÷»áÒé
µÄÒéÌâ¡£¶Ê»áÔÚÊÕµ½Ç°ÊéÃæÒªÇóºóÓ¦µ±¾¡¿ìÕÙ¼¯Àà±ð¹É¶«»áÒ顣ǰÊö³Ö¹ÉÊý°´¹É¶«Ìá³öÊéÃæÒªÇó
ÈÕ¼ÆËã¡£
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.
(¶þ) Èç¹û¶Ê»áÔÚÊÕµ½Ç°ÊöÊéÃæÒªÇóºóÈýÊ®ÈÕÄÚûÓз¢³öÕÙ¼¯»áÒéµÄͨ¸æ£¬Ìá³ö¸ÃÒªÇóµÄ¹É¶«¿ÉÒÔÔÚ¶
Ê»áÊÕµ½¸ÃÒªÇóºóËĸöÔÂÄÚ×ÔÐÐÕÙ¼¯»áÒ飬ÕÙ¼¯µÄ³ÌÐòÓ¦µ±¾¡¿ÉÄÜÓë¶Ê»áÕÙ¼¯¹É¶«»áÒéµÄ³ÌÐòÏà
ͬ¡£
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.
¹É¶«Òò¶Ê»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«Ë¾³Ðµ££¬
²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
31
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÆßÊ®ÆßÌõ ¼àÊ»á»ò¹É¶«¾ö¶¨×ÔÐÐÕÙ¼¯¹É¶«´ó»áµÄ£¬ÐëÊéÃæÍ¨Öª¶Ê»ᣬͬʱÏò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»á
Åɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¸°¸¡£
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.
Ôڹɶ«´ó»á¾öÒ鹫¸æÇ°£¬ÕÙ¼¯¹É¶«³Ö¹É±ÈÀý²»µÃµÍÓÚ 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.
¼àÊ»á»òÕÙ¼¯¹É¶« (ÊÓ¾ßÌåÇé¿ö¶ø¶¨) Ó¦ÔÚ·¢³ö¹É¶«´ó»á֪ͨ¼°¹É¶«´ó»á¾öÒ鹫¸æÊ±£¬Ïò¹«Ë¾ËùÔÚµØÖйú
Ö¤¼à»áÅɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×ËùÌá½»ÓйØÖ¤Ã÷²ÄÁÏ¡£
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.
µÚÆßÊ®°ËÌõ ¶ÔÓÚ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬¶Ê»áºÍ¶Ê»áÃØÊ齫ÓèÅäºÏ¡£¶Ê»áÓ¦µ±Ìṩ¹É
ȨµÇ¼ÇÈյĹɶ«Ãû²á¡£
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.
µÚÆßÊ®¾ÅÌõ ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬»áÒéËù±ØÐèµÄ·ÑÓÃÓɹ«Ë¾³Ðµ£¡£
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.
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting
µÚ°ËÊ®Ìõ Ìá°¸µÄÄÚÈÝÓ¦µ±ÊôÓڹɶ«´ó»áְȨ·¶Î§£¬ÓÐÃ÷È·ÒéÌâºÍ¾ßÌå¾öÒéÊÂÏ²¢ÇÒ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨
¹æºÍ±¾Õ³̵ÄÓйع涨¡£
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.
µÚ°ËʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á£¬¶Ê»ᡢ¼àÊ»áÒÔ¼°µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬ÓÐȨÏò
¹«Ë¾Ìá³öÌá°¸¡£
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.
µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬¿ÉÒÔÔڹɶ«´ó»áÕÙ¿ª 10 ÈÕǰÌá³öÁÙʱÌá°¸²¢ÊéÃæÌá½»ÕÙ¼¯ÈË;
ÕÙ¼¯ÈËÓ¦µ±ÔÚÊÕµ½Ìá°¸ºó 2 ÈÕÄÚ·¢³ö¹É¶«´ó»á²¹³ä֪ͨ£¬ËµÃ÷ÁÙʱÌá°¸µÄÄÚÈÝ£¬²¢½«¸ÃÁÙʱÌá°¸Ìá½»¹É¶«
´ó»áÉóÒé; ΩÉÏÊöÌõ¿îµÄ²Ù×÷Ðëͬʱ·ûºÏ·¨ÂÉ·¨¹æºÍÏã¸ÛÉÏÊйæÔò϶ÔÏà¹ØÊÂÒËÌá³öµÄ¹æ¶¨ºÍʱ¼äÒªÇó¡£
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
32
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
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 .
³ýǰ¿î¹æ¶¨µÄÇéÐÎÍ⣬ÕÙ¼¯ÈËÔÚ·¢³ö¹É¶«´ó»á֪ͨºó£¬²»µÃÐ޸Ĺɶ«´ó»á֪ͨÖÐÒÑÁÐÃ÷µÄÌá°¸»òÔö¼ÓеÄ
Ìá°¸¡£
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.
¹É¶«´ó»á֪ͨÖÐδÁÐÃ÷»ò²»·ûºÏ±¾Õ³̵ڰËÊ®Ìõ¹æ¶¨µÄÌá°¸£¬¹É¶«´ó»á²»µÃ½øÐбí¾ö²¢×÷³ö¾öÒé¡£
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.
µÚ°ËÊ®¶þÌõ ¹«Ë¾ÕÙ¿ªÄê¶È¹É¶«´ó»áÓ¦µ±ÓÚ»áÒéÕÙ¿ª¶þÊ®¸öÓªÒµÈÕǰ·¢³ö֪ͨ£¬¹«Ë¾ÕÙ¿ªÁÙʱ¹É¶«´ó»áÓ¦
µ±ÓÚ»áÒéÕÙ¿ªÊ®¸öÓªÒµÈÕ»òÊ®ÎåÈÕ£¨ÒԽϳ¤ÕßΪ׼£©Ç°·¢³ö֪ͨ£¬½«»áÒéÄâÉóÒéµÄÊÂÏîÒÔ¼°¿ª»áµÄÈÕÆÚºÍ
µØµã¸æÖªËùÓÐÔÚ²á¹É¶«¡£
Article 82 Notice of an annual general meeting by the Company shall be dispatched twenty (20)
business days prior to the date of the meeting and notice of an extraordinary general meeting by the
Company shall be dispatched ten (10) business days or fifteen (15) days (whichever is longer) prior to
the date of the 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.
¹«Ë¾ÔÚ¼ÆËãÆðʼÆÚÏÞʱ£¬²»Ó¦µ±°üÀ¨»áÒéÕÙ¿ªµ±ÈÕ¡£±¾Õ³ÌÖеÄÓªÒµÈÕÊÇÖ¸Ïã¸ÛÁª½»Ëù¿ªÊнøÐÐ֤ȯÂòÂô
µÄÈÕ×Ó¡£
When the Company calculates the period of the meeting, the date of the meeting shall not be included. A
business day in the Articles of Association shall mean a day on which the Hong Kong Stock Exchange is
open for business for dealing in securities.
µÚ°ËÊ®ÈýÌõ ¹É¶«´ó»á²»µÃ¾ö¶¨Í¨¸æÎ´ÔØÃ÷µÄÊÂÏî¡£
Article 83 No shareholders¡¯ general meeting shall decide on the matters not stated in the notice for the
meeting.
µÚ°ËÊ®ËÄÌõ ¹É¶«´ó»áµÄ֪ͨӦµ±·ûºÏÏÂÁÐÒªÇó:
Article 84 A of the general meeting shall meet the following requirements:
(Ò») ÒÔÊéÃæÐÎʽ×ö³ö;
be in writing;
(¶þ) Ö¸¶¨»áÒéµÄʱ¼ä¡¢µØµãºÍ»áÒéÆÚÏÞ;
specify the date, place and period of the meeting;
(Èý) ˵Ã÷Ìá½»»áÒéÉóÒéµÄÊÂÏîºÍÌá°¸;
state the matters and proposals to be discussed at the meeting;
(ËÄ) Ïò¹É¶«ÌṩΪʹ¹É¶«¶Ô½«ÌÖÂÛµÄÊÂÏî×÷³öÃ÷ÖǾö¶¨ËùÐèÒªµÄ×ÊÁϼ°½âÊÍ; ´ËÔÔò°üÀ¨ (µ«²»ÏÞÓÚ)
ÔÚ¹«Ë¾Ìá³öºÏ²¢¡¢¹º»Ø¹É·Ý¡¢¹É±¾ÖØ×é»òÕ߯äËû¸Ä×éʱ£¬Ó¦µ±ÌṩÄâÒéÖеĽ»Ò׵ľßÌåÌõ¼þºÍºÏͬ (Èç
ÓÐ) £¬²¢¶ÔÆäÆðÒòºÍºó¹û×÷³öÈÏÕæµÄ½âÊÍ;
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;
33
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ÈçÈκζÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ó뽫ÌÖÂÛµÄÊÂÏîÓÐÖØÒªÀûº¦¹ØÏµ£¬Ó¦µ±Åû¶ÆäÀûº¦
¹ØÏµµÄÐÔÖʺͳ̶È; Èç¹û½«ÌÖÂÛµÄÊÂÏî¶Ô¸Ã¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±×÷Ϊ¹É¶«µÄÓ°Ïì
ÓбðÓÚ¶ÔÆäËûͬÀà±ð¹É¶«µÄÓ°Ï죬ÔòÓ¦µ±ËµÃ÷ÆäÇø±ð;
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;
(Áù) ÔØÓÐÈκÎÄâÔÚ»áÒéÉÏÌáÒéͨ¹ýµÄÌØ±ð¾öÒéµÄÈ«ÎÄ;
contain the full text of any special resolution to be proposed at the meeting;
(Æß) ÒÔÃ÷ÏÔµÄÎÄ×Ö˵Ã÷: ÓÐȨ³öϯºÍ±í¾öµÄ¹É¶«ÓÐȨÊéÃæÎ¯ÈÎһλ»òÕßһλÒÔÉϵĹɶ«´úÀíÈË´úΪ³öϯ
ºÍ±í¾ö£¬¶ø¸Ã¹É¶«´úÀíÈ˲»±ØÎª¹É¶«;
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;
(°Ë) ÔØÃ÷»áÒéͶƱ´úÀíίÍÐÊéµÄËÍ´ïʱ¼äºÍµØµã;
specify the time and place for lodging proxy forms for the relevant meeting;
(¾Å) ÔØÃ÷ÓÐȨ³öϯ¹É¶«´ó»á¹É¶«µÄ¹ÉȨµÇ¼ÇÈÕ;
the date of registration of equity entitlements for shareholders having the right to attend the general
meeting;
(Ê®) ÔØÃ÷»áÎñ³£ÉèÁªÏµÈËÐÕÃû£¬µç»°ºÅÂë¡£
the names and contact telephone numbers of the contact persons in connection with the meeting.
¹É¶«´ó»á֪ͨºÍ²¹³ä֪ͨÖÐÓ¦µ±³ä·Ö¡¢ÍêÕûÅû¶ËùÓÐÌá°¸µÄÈ«²¿¾ßÌåÄÚÈÝ¡£ÄâÌÖÂÛµÄÊÂÏîÐèÒª¶ÀÁ¢¶Ê·¢
±íÒâ¼ûµÄ£¬·¢²¼¹É¶«´ó»á֪ͨ»ò²¹³ä֪ͨʱ½«Í¬Ê±Åû¶¶ÀÁ¢¶ÊµÄÒâ¼û¼°ÀíÓÉ¡£
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.
¹É¶«´ó»á²ÉÓÃÍøÂç»òÆäËû·½Ê½µÄ£¬Ó¦µ±Ôڹɶ«´ó»á֪ͨÖÐÃ÷È·ÔØÃ÷ÍøÂç»òÆäËû·½Ê½µÄ±í¾öʱ¼ä¼°±í¾ö³Ì
Ðò¡£¹É¶«´ó»áÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄ¿ªÊ¼Ê±¼ä£¬²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»áÕÙ¿ªÇ°Ò»ÈÕÏÂÎç 3:00£¬²¢²»µÃ³ÙÓÚ
ÏÖ³¡¹É¶«´ó»áÕÙ¿ªµ±ÈÕÉÏÎç 9:30£¬Æä½áÊøÊ±¼ä²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»á½áÊøµ±ÈÕÏÂÎç 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.
¹ÉȨµÇ¼ÇÈÕÓë»áÒéÈÕÆÚÖ®¼äµÄ¼ä¸ôÓ¦µ±²»¶àÓÚ 7 ¸ö¹¤×÷ÈÕ¡£¹ÉȨµÇ¼ÇÈÕÒ»µ©È·ÈÏ£¬²»µÃ±ä¸ü¡£
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.
µÚ°ËÊ®ÎåÌõ ¹É¶«´ó»áÄâÌÖÂÛ¶Ê¡¢¼àÊÂÑ¡¾ÙÊÂÏîµÄ£¬¹É¶«´ó»á֪ͨÖн«³ä·ÖÅû¶¶Ê¡¢¼àʺòÑ¡È˵ÄÏê
ϸ×ÊÁÏ£¬ÖÁÉÙ°üÀ¨ÒÔÏÂÄÚÈÝ:
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:
34
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ½ÌÓý±³¾°¡¢¹¤×÷¾Àú¡¢¼æÖ°µÈ¸öÈËÇé¿ö;
personal particulars such as educational background, working experience and part-time job;
(¶þ) Óë±¾¹«Ë¾»ò±¾¹«Ë¾µÄ¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈËÊÇ·ñ´æÔÚ¹ØÁª¹ØÏµ;
whether or not the candidate has any connected relationship with the Company or its controlling
shareholders and de facto controllers;
(Èý) Åû¶³ÖÓб¾¹«Ë¾¹É·ÝÊýÁ¿;
disclose the number of shares of the Company held by the candidate;
(ËÄ) ÊÇ·ñÊܹýÖйúÖ¤¼à»á¼°ÆäËûÓйز¿ÃŵĴ¦·£ºÍ֤ȯ½»Ò×Ëù³Í½ä¡£
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;
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£
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.
µÚ°ËÊ®ÁùÌõ ³ý±¾¹«Ë¾Õ³ÌÁíÓй涨Í⣬¹É¶«´ó»á֪ͨӦµ±Ïò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«£¨²»ÂÛÔڹɶ«´ó»áÉÏÊÇ
·ñÓбí¾öȨ£©ÒÔרÈËËͳö»òÕßÒÔÓÊ×ÊÒѸ¶µÄÓʼþËͳö£¬ÊÕ¼þÈ˵ØÖ·ÒԹɶ«Ãû²áµÇ¼ÇµÄµØÖ·Îª×¼¡£¶ÔÄÚ×ʹÉ
¹É¶«£¬¹É¶«´ó»á֪ͨҲ¿ÉÒÔÓù«¸æ·½Ê½½øÐС£
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.
ǰ¿îËù³Æ¹«¸æ£¬Ó¦µ±ÔÚ¹úÎñԺ֤ȯÖ÷¹Ü»ú¹¹Ö¸¶¨µÄÒ»¼Ò»òÕß¶à¼Ò±¨¿¯ÉÏ¿¯µÇ£¬Ò»¾¹«¸æ£¬ÊÓΪËùÓÐÄÚ×ʹÉ
¹É¶«ÒÑÊÕµ½Óйعɶ«»áÒéµÄ֪ͨ¡£
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. 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.
ÔÚ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨²¢ÂÄÐÐÓйع涨³ÌÐòµÄǰ
ÌáÏ£¬¶Ô H shares ¹É¶«£¬¹«Ë¾Ò²¿ÉÒÔͨ¹ýÔÚ¹«Ë¾ÍøÕ¾¼°Ïã¸ÛÁª½»ËùÖ¸¶¨µÄÍøÕ¾ÉÏ·¢²¼µÄ·½Ê½»òÕßÒÔÏã¸Û
ÉÏÊйæÔòÒÔ¼°±¾Õ³ÌÔÊÐíµÄÆäËû·½Ê½·¢³ö¹É¶«´ó»á֪ͨ£¬ÒÔ´úÌæÏò H shares ¹É¶«ÒÔרÈËËͳö»òÕßÒÔÓÊ×Ê
ÒѸ¶ÓʼþµÄ·½Ê½Ëͳö¡£
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,
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.
µÚ°ËÊ®ÆßÌõ ÒòÒâÍâÒÅ©δÏòijÓÐȨµÃµ½Í¨ÖªµÄÈËËͳö»áÒé֪ͨ»òÕ߸õÈÈËûÓÐÊÕµ½»áÒé֪ͨ£¬»áÒé¼°»á
Òé×÷³öµÄ¾öÒé²¢²»Òò´ËÎÞЧ¡£
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.
µÚ°ËÊ®°ËÌõ ·¢³ö¹É¶«´ó»á֪ͨºó£¬ÎÞÕýµ±ÀíÓÉ£¬¹É¶«´ó»á²»Ó¦ÑÓÆÚ»òÈ¡Ïû£¬¹É¶«´ó»á֪ͨÖÐÁÐÃ÷µÄÌá°¸
²»Ó¦È¡Ïû¡£Ò»µ©³öÏÖÑÓÆÚ»òÈ¡ÏûµÄÇéÐΣ¬ÕÙ¼¯ÈËÓ¦µ±ÔÚÔ¶¨ÕÙ¿ªÈÕǰÖÁÉÙ 2 ¸ö¹¤×÷ÈÕ¹«¸æ²¢ËµÃ÷ÔÒò¡£
Article 88 Subsequent to the dispatch of a notice of the general meeting, the general meeting shall not
35
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings
µÚ°ËÊ®¾ÅÌõ ¹«Ë¾¶Ê»áºÍÆäËûÕÙ¼¯È˽«²ÉÈ¡±ØÒª´ëÊ©£¬±£Ö¤¹É¶«´ó»áµÄÕý³£ÖÈÐò¡£¶ÔÓÚ¸ÉÈŹɶ«´ó»á¡¢
Ñ°ÐÆ×ÌʺÍÇÖ·¸¹É¶«ºÏ·¨È¨ÒæµÄÐÐΪ£¬½«²ÉÈ¡´ëÊ©¼ÓÒÔÖÆÖ¹²¢¼°Ê±±¨¸æÓйز¿ÃŲ鴦¡£
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.
µÚ¾ÅÊ®Ìõ ¹ÉȨµÇ¼ÇÈյǼÇÔÚ²áµÄËùÓйɶ« (°üÀ¨Æä´úÀíÈË) £¬¾ùÓÐȨ³öϯ¹É¶«´ó»á£¬²¢ÒÀÕÕÓйط¨ÂÉ¡¢·¨
¹æ¼°±¾Õ³ÌÐÐʹ±í¾öȨ¡£
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.
¹É¶«¿ÉÒÔÇ××Ô³öϯ¹É¶«´ó»á£¬Ò²¿ÉÒÔίÍдúÀíÈË´úΪ³öϯºÍ±í¾ö¡£
Shareholder may either attend the shareholders' general meeting in person or appoint proxy to attend
and vote at such meeting on his behalf.
µÚ¾ÅʮһÌõ ¹É¶«Ó¦µ±ÒÔÊéÃæÐÎʽίÍдúÀíÈË£¬Î¯ÍÐÊéÓÉίÍÐÈËÇ©Êð»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©
Êð; ίÍÐÈËΪ·¨È˵ģ¬Ó¦µ±¼Ó¸Ç·¨ÈËÓ¡Õ»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
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.
¸öÈ˹ɶ«Ç××Ô³öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí·ÝÖ¤»òÆäËûÄܹ»±íÃ÷ÆäÉí·ÝµÄÓÐЧ֤¼þ»òÖ¤Ã÷¡¢¹ÉƱÕË»§¿¨; ί
ÍдúÀíËûÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÓÐЧÉí·ÝÖ¤¼þ¡¢¹É¶«ÊÚȨίÍÐÊé¡£
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.
·¨È˹ɶ«Ó¦ÓÉ·¨¶¨´ú±íÈË»òÕß·¨¶¨´ú±íÈËίÍеĴúÀíÈ˳öϯ»áÒé¡£·¨¶¨´ú±íÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí
·ÝÖ¤¡¢ÄÜÖ¤Ã÷Æä¾ßÓз¨¶¨´ú±íÈË×ʸñµÄÓÐЧ֤Ã÷; ίÍдúÀíÈ˳öϯ»áÒéµÄ£¬´úÀíÈËÓ¦³öʾ±¾ÈËÉí·ÝÖ¤¡¢·¨
È˹ɶ«µ¥Î»µÄ·¨¶¨´ú±íÈËÒÀ·¨³ö¾ßµÄÊéÃæÊÚȨίÍÐÊé¡£
Corporate shareholders shall be represented by its legal representative or proxies authorized by the
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.
µÚ¾ÅÊ®¶þÌõ ÈκÎÓÐȨ³öϯ¹É¶«»áÒé²¢ÓÐȨ±í¾öµÄ¹É¶«£¬ÓÐȨÊéÃæÎ¯ÈÎÒ»ÈË»òÕßÊýÈË (¸ÃÈË¿ÉÒÔ²»Êǹɶ«)
×÷ΪÆä¹É¶«´úÀíÈË£¬´úΪ³öϯºÍ±í¾ö¡£¸Ã¹É¶«´úÀíÈËÒÀÕոùɶ«µÄίÍУ¬¿ÉÒÔÐÐʹÏÂÁÐȨÀû£º
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:
36
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ¸Ã¹É¶«Ôڹɶ«´ó»áÉϵķ¢ÑÔȨ;
the shareholder¡¯s right to speak at the meeting;
(¶þ) ×ÔÐлòÕßÓëËûÈ˹²Í¬ÒªÇóÒÔͶƱ·½Ê½±í¾ö;
the right to demand or join in demand for a poll;
(Èý) ³ý·Ç¸ù¾ÝÊÊÓõÄ֤ȯÉÏÊйæÔò»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨Í⣬ÒÔ¾ÙÊÖ»òÕßͶƱ·½Ê½ÐÐʹ±í¾öȨ£¬
µ«ÊÇίÈεĹɶ«´úÀíÈ˳¬¹ýÒ»ÈËʱ£¬¸ÃµÈ¹É¶«´úÀíÈËÖ»ÄÜÒÔͶƱ·½Ê½ÐÐʹ±í¾öȨ¡£
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.
Èç¸Ã¹É¶«ÎªÈϿɽáËãËù (»òÆä´úÀíÈË) £¬¸Ã¹É¶«¿ÉÒÔÊÚȨÆäÈÏΪºÏÊʵÄÒ»¸ö»òÒÔÉÏÈËÊ¿ÔÚÈκιɶ«´ó»á»ò
ÕßÈκÎÀà±ð¹É¶«»áÒéÉϵ£ÈÎÆä´ú±í; µ«ÊÇ£¬Èç¹ûÒ»ÃûÒÔÉϵÄÈËÊ¿»ñµÃÊÚȨ£¬ÔòÊÚȨÊéÓ¦ÔØÃ÷ÿÃû¸ÃµÈÈËÊ¿
¾´ËÊÚȨËùÉæ¼°µÄ¹É·ÝÊýÄ¿ºÍÖÖÀà¡£¾´ËÊÚȨµÄÈËÊ¿¿ÉÒÔ´ú±íÈϿɽáËãËù (»òÆä´úÀíÈË) ÐÐʹȨÀû£¬Èçͬ
¸ÃÈËÊ¿Êǹ«Ë¾µÄ¸öÈ˹ɶ«¡£
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.
µÚ¾ÅÊ®ÈýÌõ ¹É¶«³ö¾ßµÄίÍÐËûÈ˳öϯ¹É¶«´ó»áµÄÊÚȨίÍÐÊéÓ¦µ±ÔØÃ÷ÏÂÁÐÄÚÈÝ:
Article 93 The authorization letter issued by shareholders to authorize other persons to attend the
general meeting shall clearly state the followings:
(Ò») ´úÀíÈ˵ÄÐÕÃû;
the name of the proxies;
(¶þ) ÊÇ·ñ¾ßÓбí¾öȨ;
whether the proxies have the right to vote;
(Èý) ·Ö±ð¶ÔÁÐÈë¹É¶«´ó»áÒé³ÌµÄÿһÉóÒéÊÂÏîͶÔ޳ɡ¢·´¶Ô»òÆúȨƱµÄָʾ;
instructions to vote for, against or abstain from voting on each of the items in the agenda of the
meeting;
(ËÄ) ίÍÐÊéÇ©·¢ÈÕÆÚºÍÓÐЧÆÚÏÞ;
the signing date and the effective period of the authorization letter;
(Îå) ίÍÐÈË»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©Ãû(»ò¸ÇÕÂ)¡£Î¯ÍÐÈËΪ·¨È˹ɶ«µÄ£¬Ó¦¼Ó¸Ç·¨È˵¥Î»Ó¡ÕÂ
»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
signature (or seal) of the appointing shareholders or the proxies appointed in writing. If the
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.
µÚ¾ÅÊ®ËÄÌõ ÈκÎÓɹ«Ë¾¶Ê»ᷢ¸ø¹É¶«ÓÃÓÚÈÎÃü¹É¶«´úÀíÈ˵ÄίÍÐÊéµÄ¸ñʽ£¬Ó¦µ±Èùɶ«×ÔÓÉÑ¡Ôñָʾ
¹É¶«´úÀíÈËͶÔÞ³ÉÆ±»òÕß·´¶ÔƱ£¬²¢¾Í»áÒéÿÏîÒéÌâËùÒª×÷³ö±í¾öµÄÊÂÏî·Ö±ð×÷³öָʾ¡£Î¯ÍÐÊéÓ¦µ±ËµÃ÷
Èç¹û¹É¶«²»×÷ָʾ£¬¹É¶«´úÀíÈË¿ÉÒÔ°´×Ô¼ºµÄÒâ˼±í¾ö¡£
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.
37
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¾ÅÊ®ÎåÌõ ±í¾ö´úÀíίÍÐÊéÖÁÉÙÓ¦µ±ÔÚ¸ÃίÍÐÊéίÍбí¾öµÄÓйػáÒéÕÙ¿ªÇ°¶þÊ®ËÄСʱ£¬»òÕßÔÚÖ¸¶¨±í
¾öʱ¼äǰ¶þÊ®ËÄСʱ£¬±¸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£´úÀíͶƱÊÚȨίÍÐÊéÓÉί
ÍÐÈËÊÚȨËûÈËÇ©ÊðµÄ£¬ÊÚȨǩÊðµÄÊÚȨÊé»òÕ߯äËûÊÚȨÎļþÓ¦µ±¾¹ý¹«Ö¤¡£¾¹«Ö¤µÄÊÚȨÊé»òÕ߯äËûÊÚȨ
Îļþ£¬ºÍͶƱ´úÀíίÍÐÊé¾ùÐ豸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£
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.
ίÍÐÈËΪ·¨È˵ģ¬ÓÉÆä·¨¶¨´ú±íÈË»òÕß¶Ê»ᡢÆäËû¾ö²ß»ú¹¹¾öÒéÊÚȨµÄÈË×÷Ϊ´ú±í³öϯ¹«Ë¾µÄ¹É¶«´ó»á¡£
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.
µÚ¾ÅÊ®ÁùÌõ ±í¾öǰίÍÐÈËÒѾȥÊÀ¡¢É¥Ê§ÐÐΪÄÜÁ¦¡¢³·»ØÎ¯ÈΡ¢³·»ØÇ©ÊðίÈεÄÊÚȨ»òÕßÓйعɷÝÒѱ»
תÈõģ¬Ö»Òª¹«Ë¾ÔÚÓйػáÒ鿪ʼǰûÓÐÊÕµ½¸ÃµÈÊÂÏîµÄÊéÃæÍ¨Öª£¬Óɹɶ«´úÀíÈËÒÀίÍÐÊéËù×÷³öµÄ±í¾ö
ÈÔÈ»ÓÐЧ¡£
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.
µÚ¾ÅÊ®ÆßÌõ ³öϯ»áÒéÈËÔ±µÄ»áÒéµÇ¼Ç²áÓɹ«Ë¾¸ºÔðÖÆ×÷¡£»áÒéµÇ¼Ç²áÔØÃ÷²Î¼Ó»áÒéÈËÔ±ÐÕÃû(»òµ¥Î»Ãû
³Æ)¡¢Éí·ÝÖ¤ºÅÂ롢סËùµØÖ·¡¢³ÖÓлòÕß´ú±íÓбí¾öȨµÄ¹É·ÝÊý¶î¡¢±»´úÀíÈËÐÕÃû(»òµ¥Î»Ãû³Æ)µÈÊÂÏî¡£
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.
µÚ¾ÅÊ®°ËÌõ ÕÙ¼¯È˺͹«Ë¾Æ¸ÇëµÄÂÉʦ½«ÒÀ¾Ý֤ȯµÇ¼Ç½áËã»ú¹¹¼°¾³Íâ´úÀí»ú¹¹ÌṩµÄ¹É¶«Ãû²á¹²Í¬¶Ô¹É
¶«×ʸñµÄºÏ·¨ÐÔ½øÐÐÑéÖ¤£¬²¢µÇ¼Ç¹É¶«ÐÕÃû(»òÃû³Æ)¼°ÆäËù³ÖÓбí¾öȨµÄ¹É·ÝÊý¡£ÔÚ»áÒéÖ÷ϯÐû²¼ÏÖ³¡³ö
ϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý֮ǰ£¬»áÒéµÇ¼ÇÓ¦µ±ÖÕÖ¹¡£
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
meeting announces the number of shareholders and proxies attending the meeting and the total number
of voting shares they hold.
µÚ¾ÅÊ®¾ÅÌõ ¹É¶«´ó»áÕÙ¿ªÊ±£¬±¾¹«Ë¾È«Ìå¶Ê¡¢¼àʺͶÊ»áÃØÊéÓ¦µ±³öϯ»áÒ飬×ܾÀíºÍÆäËû¸ß¼¶¹Ü
ÀíÈËÔ±Ó¦µ±ÁÐϯ»áÒé¡£
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.
µÚÒ»°ÙÌõ ¹É¶«´ó»á»áÒéÓɶÊ»áÕÙ¼¯µÄ£¬Óɶʳ¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ¡£¶Ê³¤Òò¹Ê²»Äܳöϯ»áÒéµÄ£¬
Óɸ±¶Ê³¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; ¶Ê³¤ºÍ¸±¶Ê³¤¾ùÎÞ·¨³öϯ»áÒéµÄ£¬¶Ê³¤¿ÉÒÔÖ¸¶¨Ò»Ãû¹«Ë¾¶Ê´ú
ÆäÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; δָ¶¨»áÒéÖ÷ϯµÄ£¬³öϯ»áÒéµÄ¹É¶«¿ÉÒÔÑ¡¾ÙÒ»È˵£ÈÎÖ÷ϯ; Èç¹ûÒòÈκÎÀíÓÉ£¬
¹É¶«ÎÞ·¨Ñ¡¾ÙÖ÷ϯ£¬Ó¦µ±Óɳöϯ»áÒéµÄ³ÖÓÐ×î¶à±í¾öȨ¹É·ÝµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) µ£ÈλáÒéÖ÷ϯ¡£
Article 100 The Board of Directors shall convene and the Chairman of the Board of Directors shall chair
38
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¼àÊ»á×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓɼàÊ»áÖ÷ϯµ£ÈλáÒéÖ÷ϯ¡£¼àÊ»áÖ÷ϯ²»ÄÜÂÄÐÐÖ°Îñ»ò²»ÂÄÐÐÖ°Îñʱ£¬ÓÉ
°ëÊýÒÔÉϼàʹ²Í¬ÍƾٵÄÒ»Ãû¼àʵ£ÈλáÒéÖ÷ϯ¡£
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.
¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓÉÕÙ¼¯ÈËÍÆ¾Ù´ú±íµ£ÈλáÒéÖ÷ϯ¡£
The shareholders¡¯ general meeting convened by shareholders on their own initiative shall be presided
over by the representative nominated by the convener.
ÕÙ¿ª¹É¶«´ó»áʱ£¬»áÒéÖ÷ϯΥ·´ÒéʹæÔòʹ¹É¶«´ó»áÎÞ·¨¼ÌÐø½øÐе쬾ÏÖ³¡³öϯ¹É¶«´ó»áÓбí¾öȨ¹ý°ë
ÊýµÄ¹É¶«Í¬Ò⣬¹É¶«´ó»á¿ÉÍÆ¾ÙÒ»È˵£ÈλáÒéÖ÷ϯ£¬¼ÌÐø¿ª»á¡£
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.
µÚÒ»Áã°ÙÒ»Ìõ ¹«Ë¾Öƶ¨¹É¶«´ó»áÒéʹæÔò£¬Ïêϸ¹æ¶¨¹É¶«´ó»áµÄÕÙ¿ªºÍ±í¾ö³ÌÐò£¬°üÀ¨Í¨Öª¡¢µÇ¼Ç¡¢Ìá
°¸µÄÉóÒ顢ͶƱ¡¢¼ÆÆ±¡¢±í¾ö½á¹ûµÄÐû²¼¡¢»áÒé¾öÒéµÄÐγɡ¢»áÒé¼Ç¼¼°ÆäÇ©Êð¡¢¹«¸æµÈÄÚÈÝ£¬ÒÔ¼°¹É¶«
´ó»á¶Ô¶Ê»áµÄÊÚȨÔÔò£¬ÊÚȨÄÚÈÝÓ¦Ã÷È·¾ßÌå¡£¹É¶«´ó»áÒéʹæÔòÓ¦×÷ΪÕ³̵ĸ½¼þ£¬ÓɶÊ»áÄⶨ£¬
¹É¶«´ó»áÅú×¼¡£
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.
µÚÒ»°ÙÁã¶þÌõ ÔÚÄê¶È¹É¶«´ó»áÉÏ£¬¶Ê»ᡢ¼àÊ»áÓ¦µ±¾ÍÆä¹ýÈ¥ 1 ÄêµÄ¹¤×÷Ïò¹É¶«´ó»á×÷³ö±¨¸æ¡£Ã¿Ãû
¶ÀÁ¢¶ÊÂÒ²Ó¦×÷³öÊöÖ°±¨¸æ¡£
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.
µÚÒ»°ÙÁãÈýÌõ ¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ôڹɶ«´ó»áÉϾ͹ɶ«µÄÖÊѯºÍ½¨Òé×÷³ö½âÊͺÍ˵Ã÷¡£
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.
µÚÒ»°ÙÁãËÄÌõ »áÒéÖ÷ϯӦµ±ÔÚ±í¾öǰÐû²¼ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×Ü
Êý£¬ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊýÒÔ»áÒéµÇ¼ÇΪ׼¡£
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
39
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÁãÎåÌõ ¹É¶«´ó»áÓ¦ÓлáÒé¼Ç¼£¬ÓɶÊ»áÃØÊ鸺Ôð¡£»áÒé¼Ç¼¼ÇÔØÒÔÏÂÄÚÈÝ:
Article 105 Minutes of shareholders¡¯ general meetings shall be recorded by the secretary to the Board.
The minutes shall contain the following items:
(Ò») »áÒéʱ¼ä¡¢µØµã¡¢Òé³ÌºÍÕÙ¼¯ÈËÐÕÃû»òÃû³Æ;
the date, place and agenda of the meeting, and the name of the convener;
(¶þ) »áÒéÖ÷ϯÒÔ¼°³öϯ»òÁÐϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû;
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;
(Èý) ³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾¹É·Ý×ÜÊýµÄ±ÈÀý;
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;
(ËÄ) ¶ÔÿһÌá°¸µÄÉóÒé¾¹ý¡¢·¢ÑÔÒªµãºÍ±í¾ö½á¹û;
the discussions in respect of each proposal, highlights of the speeches made at the meeting and
the results of voting;
(Îå) ¹É¶«µÄÖÊѯÒâ¼û»ò½¨ÒéÒÔ¼°ÏàÓ¦µÄ´ð¸´»ò˵Ã÷;
details of the queries or recommendations of the shareholders, and the corresponding answers or
explanations;
(Áù) ÂÉʦ¼°¼ÆÆ±ÈË¡¢¼àƱÈËÐÕÃû;
the name of lawyers, counting officers and scrutinizers;
(Æß) ±¾Õ³̹涨Ӧµ±ÔØÈë»áÒé¼Ç¼µÄÆäËûÄÚÈÝ¡£
such other matters which shall be recorded in the minutes of the meeting in accordance with the
provisions of the Articles of Association.
µÚÒ»°ÙÁãÁùÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤»áÒé¼Ç¼ÄÚÈÝÕæÊµ¡¢×¼È·ºÍÍêÕû¡£³öϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢¶Ê»áÃØÊé¡¢
ÕÙ¼¯ÈË»òÆä´ú±í¡¢»áÒéÖ÷ϯӦµ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£»áÒé¼Ç¼Ӧµ±ÓëÏÖ³¡³öϯ¹É¶«µÄÇ©Ãû²á¼°´úÀí³öϯµÄ
ίÍÐÊé¡¢ÍøÂç¼°ÆäËû·½Ê½±í¾öÇé¿öµÄÓÐЧ×ÊÁÏÒ»²¢±£´æ£¬±£´æÆÚÏÞ²»ÉÙÓÚ 10 Äê¡£
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
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.
µÚÒ»°ÙÁãÆßÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤¹É¶«´ó»áÁ¬Ðø¾ÙÐУ¬Ö±ÖÁÐγÉ×îÖÕ¾öÒé¡£Òò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«
´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéµÄ£¬Ó¦²ÉÈ¡±ØÒª´ëÊ©¾¡¿ì»Ö¸´ÕÙ¿ª¹É¶«´ó»á»òÖ±½ÓÖÕÖ¹±¾´Î¹É¶«´ó»á£¬²¢¼°Ê±¹«
¸æ¡£Í¬Ê±£¬ÕÙ¼¯ÈËÓ¦Ïò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»áÅɳö»ú¹¹¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¨¸æ¡£
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.
40
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting
µÚÒ»°ÙÁã°ËÌõ ¹É¶«´ó»á¾öÒé·ÖΪÆÕͨ¾öÒéºÍÌØ±ð¾öÒé¡£
Article 108 Resolutions of shareholders¡¯ general meeting shall be divided into ordinary resolutions and
special resolutions.
¹É¶«´ó»á×÷³öÆÕͨ¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 1/2 ÒÔÉÏͨ¹ý¡£
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.
¹É¶«´ó»á×÷³öÌØ±ð¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ¹ý¡£
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.
µÚÒ»°ÙÁã¾ÅÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÆÕͨ¾öÒéͨ¹ý£º
Article 109 The following matters shall be resolved by an ordinary resolution at a shareholders¡¯ general
meeting:
(Ò») ¶Ê»áºÍ¼àÊ»áµÄ¹¤×÷±¨¸æ;
work reports of the Board of Directors and the Board of Supervisors;
(¶þ) ¶Ê»áÄⶨµÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
profit distribution plans and loss recovery plans formulated by the Board of Directors;
(Èý) ¶Ê»áºÍ¼àÊ»á³ÉÔ±µÄÈÎÃâ¼°Æä±¨³êºÍÖ§¸¶·½·¨;
appointment and dismissal of members of the Board of Directors and members of the Board of
Supervisors, their remuneration and manner of payment;
(ËÄ) ¹«Ë¾Äê¶ÈÔ¤Ë㱨¸æ¡¢¾öË㱨¸æ¡¢×ʲú¸ºÕ®±í¡¢ÀûÈó±í¼°ÆäËü²ÆÎñ±¨±í;
preliminary and final annual budgets, balance sheets, profit accounts, and other financial
statements of the Company;
(Îå) ¹«Ë¾Äê¶È±¨¸æ;
annual report of the Company;
(Áù) ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨Ó¦µ±ÒÔÌØ±ð¾öÒéͨ¹ý
ÒÔÍâµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÌØ±ð¾öÒéͨ¹ý£º
Article 110 The following matters shall be resolved by a special resolution at a shareholders¡¯ general
meeting:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
the increase or reduction in registered capital of the Company;
(¶þ) ·¢ÐÐÈκÎÖÖÀà¹ÉƱ¡¢ÈϹÉÖ¤ºÍÆäËüÀàËÆÖ¤È¯;
the issue of shares of any class, warrants and other similar securities;
(Èý) ·¢Ðй«Ë¾Õ®È¯;
the issue of debentures of the Company;
(ËÄ) ¹«Ë¾µÄ·ÖÁ¢¡¢ºÏ²¢¡¢½âÉ¢ºÍÇåËã;
the division, merger, dissolution and liquidation of the Company;
41
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) Ð޸ı¾Õ³Ì;
the amendment of the Company¡¯s Articles of Association;
(Áù) ¹«Ë¾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú»òÕßµ£±£½ð¶î³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%µÄ;
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;
(Æß) ¹ÉȨ¼¤Àø¼Æ»®;
any equity-based incentive plan;
(°Ë) ¹«Ë¾µ÷ÕûÀûÈó·ÖÅäÕþ²ß
the profit distribution policy under adjustment of the Company;
(¾Å) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨µÄ£¬ÒÔ¼°¹É¶«´ó»áÒÔ
ÆÕͨ¾öÒéÈ϶¨»á¶Ô¹«Ë¾²úÉúÖØ´óÓ°ÏìµÄ¡¢ÐèÒªÒÔÌØ±ð¾öÒéͨ¹ýµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮһÌõ ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) ÒÔÆäËù´ú±íµÄÓбí¾öȨµÄ¹É·ÝÊý¶îÐÐʹ±í¾öȨ£¬³ý±¾¹«Ë¾Õ³̵Ú
Ò»°ÙһʮÆßÌõÍ⣬ÿһ¹É·ÝÏíÓÐһƱ±í¾öȨ¡£
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.
¹É¶«´ó»áÉóÒéÓ°ÏìÖÐСͶ×ÊÕßÀûÒæµÄÖØ´óÊÂÏîʱ£¬¶ÔÖÐСͶ×ÊÕß±í¾öÓ¦µ±µ¥¶À¼ÆÆ±¡£µ¥¶À¼ÆÆ±½á¹ûÓ¦µ±¼°
ʱ¹«¿ªÅû¶¡£
Where significant matters affecting the interests of minority investors are considered in general meeting,
the votes cast by minority investors shall be counted separately. The result of such separate
vote-counting shall be disclosed promptly to the public.
¹«Ë¾³ÖÓеı¾¹«Ë¾¹É·ÝûÓбí¾öȨ£¬ÇҸò¿·Ö¹É·Ý²»¼ÆÈë³öϯ¹É¶«´ó»áÓбí¾öȨµÄ¹É·Ý×ÜÊý¡£
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.
¶Ê»ᡢ¶ÀÁ¢¶ÊºͷûºÏÏà¹Ø¹æ¶¨Ìõ¼þµÄ¹É¶«¿ÉÒÔÕ÷¼¯¹É¶«Í¶Æ±È¨¡£Õ÷¼¯¹É¶«Í¶Æ±È¨Ó¦µ±Ïò±»Õ÷¼¯È˳ä·Ö
Åû¶¾ßÌåͶƱÒâÏòµÈÐÅÏ¢¡£½ûÖ¹ÒÔÓг¥»òÕß±äÏàÓг¥µÄ·½Ê½Õ÷¼¯¹É¶«Í¶Æ±È¨¡£¹«Ë¾²»µÃ¶ÔÕ÷¼¯Í¶Æ±È¨Ìá³ö
×îµÍ³Ö¹É±ÈÀýÏÞÖÆ¡£
The Board, Independent Directors and shareholders who are qualified under the relevant conditions may
collect from other shareholders the rights to vote. Information including the specific voting intention shall
be fully disclosed to the shareholders from whom voting rights are being collected. Consideration or de
facto consideration for collecting shareholders¡¯ voting rights is prohibited. The Company shall not impose
any minimum shareholding limitation for collecting voting rights.
µÚÒ»°Ùһʮ¶þÌõ ¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«²»Ó¦µ±²ÎÓëͶƱ±í¾ö£¬ÆäËù´ú±íµÄÓбí¾ö
ȨµÄ¹É·ÝÊý²»¼ÆÈëÓÐЧ±í¾ö×ÜÊý; ¹É¶«´ó»á¾öÒéµÄ¹«¸æÓ¦µ±³ä·ÖÅû¶·Ç¹ØÁª¹É¶«µÄ±í¾öÇé¿ö¡£¹ØÁª¹É¶«µÄ
¶¨ÒåºÍ·¶Î§¸ù¾Ý¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¼°Ö¤È¯½»Ò×ËùµÄÏà¹Ø¹æ¶¨È·¶¨¡£
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
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
42
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«Ó¦Ö÷¶¯Ïò¹É¶«´ó»áÉêÃ÷¹ØÁª¹ØÏµ²¢»Ø±Ü±í¾ö¡£¹É¶«Ã»ÓÐÖ÷¶¯
˵Ã÷¹ØÁª¹ØÏµ²¢»Ø±ÜµÄ£¬ÆäËû¹É¶«¿ÉÒÔÒªÇóÆä˵Ã÷Çé¿ö²¢»Ø±Ü¡£
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.
¹É¶«´ó»á½áÊøºó£¬ÆäËû¹É¶«·¢ÏÖÓйØÁª¹É¶«²ÎÓëÓйعØÁª½»Ò×ÊÂÏîͶƱµÄ£¬»òÕ߹ɶ«¶ÔÊÇ·ñÓ¦ÊÊÓûرÜÓÐ
ÒìÒéµÄ£¬ÓÐȨ¾ÍÏà¹Ø¾öÒé¸ù¾Ý±¾Õ³̵ÄÓйع涨ÏòÈËÃñ·¨ÔºÆðËß¡£
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.
¹«Ë¾ÄâÓë¹ØÁª·¨ÈË·¢ÉúµÄ½ð¶î¸ßÓÚÈËÃñ±Ò 3000 ÍòÔª£¬ÇÒÕ¼¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲú¾ø¶ÔÖµ 5%ÒÔÉϵÄ
¹ØÁª½»Ò×Ó¦Óɹɶ«´ó»áÌÖÂÛ¾ö¶¨£¬Î©ÈôÆäËûÊÊÓõÄÏã¸Û·¨ÂÉ¡¢·¨¹æ¡¢¹æÔòÁíÓй涨£¬ÔòÐèÒª°´Õոõȷ¨ÂÉ¡¢
·¨¹æ¡¢¹æÔòµÄÒªÇóÖ´ÐС£
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.
µÚÒ»°ÙһʮÈýÌõ »áÒéÖ÷ϯ¸ºÔð¾ö¶¨¹É¶«´ó»áµÄ¾öÒéÊÇ·ñͨ¹ý£¬Æä¾ö¶¨ÎªÖÕ¾Ö¾ö¶¨£¬²¢Ó¦µ±ÔÚ»áÉÏÐû²¼ºÍ
ÔØÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°ÙһʮËÄÌõ ¹«Ë¾Ó¦ÔÚ±£Ö¤¹É¶«´ó»áºÏ·¨¡¢ÓÐЧµÄǰÌáÏ£¬Í¨¹ý¸÷ÖÖ·½Ê½ºÍ;¾¶£¬°üÀ¨Ìá¹©ÍøÂçÐÎʽ
µÄͶƱƽ̨µÈÏÖ´úÐÅÏ¢¼¼ÊõÊֶΣ¬Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ±ãÀû¡£
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.
µÚÒ»°ÙһʮÎåÌõ ³ý¹«Ë¾´¦ÓÚΣ»úµÈÌØÊâÇé¿öÍ⣬·Ç¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾½«²»Óë¶Ê¡¢×ܾ
ÀíºÍÆäËü¸ß¼¶¹ÜÀíÈËÔ±ÒÔÍâµÄÈ˶©Á¢½«¹«Ë¾È«²¿»òÕßÖØÒªÒµÎñµÄ¹ÜÀí½»Óè¸ÃÈ˸ºÔðµÄºÏͬ¡£
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.
µÚÒ»°ÙһʮÁùÌõ ¶Ê¡¢¼àʺòÑ¡ÈËÃûµ¥ÒÔÌá°¸µÄ·½Ê½ÌáÇë¹É¶«´ó»á±í¾ö¡£
Article 116 The list of candidates for Directors or supervisors shall be proposed to the shareholders¡¯
general meeting for votes.
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£¶Ê»áÓ¦µ±Ïò¹É¶«¹«
¸æ¶Ê¡¢¼àʺòÑ¡È˵ļòÀúºÍ»ù±¾Çé¿ö¡£
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. The Board of
43
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Directors shall announce the resumes and basic information of these candidates for Directors or
supervisors.
¶Ê¡¢¼àʵÄÌáÃû·½Ê½ºÍ³ÌÐòÈçÏ£º
The means and procedure of nomination for Directors and Supervisors shall be:
(Ò») ¶Ê»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÌá³ö·Ç¶ÀÁ¢¶ÊºòÑ¡È˵ÄÌáÃû£¬¶
Ê»á¾Õ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
The Board and shareholders individually or jointly holding not less than 3% of the Company¡¯s
shares 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.
(¶þ) ¼àÊ»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÌá³ö¹É¶«´ú±íµ£ÈεļàʺòÑ¡È˵ÄÌáÃû£¬¾
¼àÊ»áÕ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
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.
(Èý) ¶ÀÁ¢¶ÊµÄÌáÃû·½Ê½ºÍ³ÌÐòÓ¦°´ÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµÄÓйع涨ִÐС£
The means and procedure of nomination for Independent Director shall be in compliance with
relevant provisions of laws, administrative regulations and department rules.
µÚÒ»°ÙһʮÆßÌõ ¹É¶«´ó»á¾ÍÑ¡¾Ù¶Ê¡¢¼àʽøÐбí¾öʱ£¬¸ù¾Ý±¾Õ³̵Ĺ涨»òÕ߹ɶ«´ó»áµÄ¾öÒ飬¿ÉÒÔ
ʵÐÐÀÛ»ýÍ¶Æ±ÖÆ£¬¼´¹É¶«´ó»áÑ¡¾Ù¶Ê»òÕß¼àÊÂʱ£¬Ã¿Ò»¹É·ÝÓµÓÐÓëӦѡ¶Ê»òÕß¼àÊÂÈËÊýÏàͬµÄ±í¾öȨ£¬
¹É¶«ÓµÓеıí¾öȨ¿ÉÒÔ¼¯ÖÐʹÓ᣹«Ë¾µÚÒ»´ó¹É¶«µÄ¹ÉȨ±ÈÀýΪ 30%ÒÔÉÏ£¬»òÑ¡¾ÙµÄ¶Ê¡¢¼àÊÂΪ 2 ÃûÒÔ
ÉÏʱ£¬Ó¦µ±²ÉÓÃÀÛ»ýÍ¶Æ±ÖÆ¡£
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.
ÀÛ»ýÍ¶Æ±ÖÆµÄ¾ßÌå²Ù×÷³ÌÐòÈçÏ£º
The cumulative voting system shall be operated as:
(Ò») ¹«Ë¾¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂÓ¦·Ö¿ªÑ¡¾Ù£¬·Ö¿ªÍ¶Æ±¡£
separate election and voting for Independent Director, non-independent Directors and Supervisors.
(¶þ) Ñ¡¾Ù¶ÀÁ¢¶ÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ¶ÀÁ¢¶ÊÂÈË
ÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ¶ÀÁ¢¶ÊºòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
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.
(Èý) Ñ¡¾Ù·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ·Ç
¶ÀÁ¢¶Ê¡¢¼àÊÂÈËÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ·Ç¶ÀÁ¢¶Ê¡¢¼àʺòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
During the election of non-independent Directors and supervisors, the number of votes for each
shareholder shall be the number of shares held by him multiplied by the number of the
44
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
(ËÄ) ÔÚºòÑ¡ÈËÊý¶àÓÚ±¾Õ³̹涨µÄÈËÊýʱ£¬Ã¿Î»¹É¶«Í¶Æ±ËùÑ¡µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý²»
µÃ³¬¹ý±¾Õ³̹涨µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý£¬ËùͶѡƱÊýµÄ×ܺͲ»µÃ³¬¹ý¹É¶«ÓÐȨȡ
µÃµÄѡƱÊý£¬·ñÔò¸ÃѡƱ×÷·Ï¡£
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.
(Îå) ¹É¶«´ó»áµÄ¼àƱÈËºÍµãÆ±È˱ØÐëÈÏÕæºË¶ÔÉÏÊöÇé¿ö£¬ÒÔ±£Ö¤ÀÛ»ýͶƱµÄ¹«Õý¡¢ÓÐЧ¡£
counting officers and scrutinizers of the shareholders¡¯ general meeting shall carefully check the
aforesaid circumstances to guarantee fair and effective accumulative voting
µÚÒ»°Ùһʮ°ËÌõ ³ýÀÛ»ýÍ¶Æ±ÖÆÍ⣬¹É¶«´ó»á½«¶ÔËùÓÐÌá°¸½øÐÐÖðÏî±í¾ö£¬¶ÔͬһÊÂÏîÓв»Í¬Ìá°¸µÄ£¬½«
°´Ìá°¸Ìá³öµÄʱ¼ä˳Ðò½øÐбí¾ö¡£³ýÒò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéÍ⣬¹É¶«´ó
»á½«²»»á¶ÔÌá°¸½øÐиéÖûò²»Óè±í¾ö¡£
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.
µÚÒ»°Ùһʮ¾ÅÌõ ¹É¶«´ó»áÉóÒéÌ᰸ʱ£¬²»»á¶ÔÌá°¸½øÐÐÐ޸쬷ñÔò£¬Óйرä¸üÓ¦µ±±»ÊÓΪһ¸öеÄÌá°¸£¬
²»ÄÜÔÚ±¾´Î¹É¶«´ó»áÉϽøÐбí¾ö¡£
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.
µÚÒ»°Ù¶þÊ®Ìõ ͬһ±í¾öȨֻÄÜÑ¡ÔñÏÖ³¡¡¢ÍøÂç»òÆäËû±í¾ö·½Ê½ÖеÄÒ»ÖÖ¡£Í¬Ò»±í¾öȨ³öÏÖÖØ¸´±í¾öµÄÒÔ
µÚÒ»´ÎͶƱ½á¹ûΪ׼¡£
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.
µÚÒ»°Ù¶þʮһÌõ ¹É¶«´ó»áÒÔÏÖ³¡±í¾öµÄ·½Ê½½øÐÐʱ£¬³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄ
Ïà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨£¬»ò³ý·ÇÏÂÁÐÈËÔ±ÔÚ¾ÙÊÖ±í¾öÒÔǰ»òÕßÒÔºó£¬Òª
ÇóÒÔͶƱ·½Ê½±í¾ö£¬¹É¶«´ó»áÒÔ¾ÙÊÖ·½Ê½½øÐбí¾ö£º
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:
(Ò») »áÒéÖ÷ϯ;
by the chairman of the meeting;
(¶þ) ÖÁÉÙÁ½ÃûÓбí¾öȨµÄ¹É¶«»òÕßÓбí¾öȨµÄ¹É¶«µÄ´úÀíÈË;
by at least two (2) shareholders present in person or by proxy entitled to vote thereat;
(Èý) µ¥¶À»òÕߺϲ¢¼ÆËã³ÖÓÐÔڸûáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÒ»¸ö»òÕßÈô¸É¹É
¶« (°üÀ¨¹É¶«´úÀíÈË) ¡£
by one (1) or more shareholders present in person or by proxy representing 10% or more of all
45
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shares carrying the right to vote at the meeting, before or after a vote is carried out by a show of
hands.
³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄÏà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓйæ
¶¨£¬»òÓÐÈ˰´ÕÕǰÊö¹æ¶¨Ìá³öÒÔͶƱ·½Ê½±í¾ö£¬»áÒéÖ÷ϯ¸ù¾Ý¾ÙÊÖ±í¾öµÄ½á¹û£¬Ðû²¼ÌáÒéͨ¹ýÇé¿ö£¬²¢½«
´Ë¼ÇÔØÔÚ»áÒé¼Ç¼ÖУ¬×÷Ϊ×îÖÕµÄÒÀ¾Ý£¬ÎÞÐëÖ¤Ã÷¸Ã»áÒéͨ¹ýµÄ¾öÒéÖÐÖ§³Ö»òÕß·´¶ÔµÄƱÊý»òÕ߯ä±ÈÀý¡£
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.
ÒÔͶƱ·½Ê½±í¾öµÄÒªÇó¿ÉÒÔÓÉÌá³öÕß³·»Ø¡£
The demand for a poll may be withdrawn by the person who demanded the same.
µÚÒ»°Ù¶þÊ®¶þÌõ Èç¹ûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏîÊÇÑ¡¾ÙÖ÷ϯ»òÕßÖÐÖ¹»áÒ飬ÔòÓ¦µ±Á¢¼´½øÐÐͶƱ±í¾ö; Æä
ËûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏÓÉÖ÷ϯ¾ö¶¨ºÎʱ¾ÙÐÐͶƱ£¬»áÒé¿ÉÒÔ¼ÌÐø½øÐУ¬ÌÖÂÛÆäËûÊÂÏͶƱ½á¹û
ÈÔ±»ÊÓΪÔڸûáÒéÉÏËùͨ¹ýµÄ¾öÒé¡£
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.
µÚÒ»°Ù¶þÊ®ÈýÌõ ÔÚ¹ÉÆ±±í¾öʱ£¬ÓÐÁ½Æ±»òÕßÁ½Æ±ÒÔÉϵıí¾öȨµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) £¬²»±Ø°ÑËùÓбí
¾öȨȫ²¿Í¶ÔÞ³ÉÆ±»òÕß·´¶ÔƱ¡£
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.
µÚÒ»°Ù¶þÊ®ËÄÌõ µ±·´¶ÔºÍÔÞ³ÉÆ±ÏàµÈʱ£¬ÎÞÂÛÊǾÙÊÖ¡¢Í¶Æ±»¹ÊÇÆäËû·½Ê½±í¾ö£¬»áÒéÖ÷ϯÓÐȨ¶àͶһƱ¡£
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.
µÚÒ»°Ù¶þÊ®ÎåÌõ ¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öǰ£¬Ó¦µ±ÍƾÙÁ½Ãû¹É¶«´ú±í²Î¼Ó¼ÆÆ±ºÍ¼àƱ¡£ÉóÒéÊÂÏîÓë¹É¶«
ÓÐÀûº¦¹ØÏµµÄ£¬Ïà¹Ø¹É¶«¼°´úÀíÈ˲»µÃ²Î¼Ó¼ÆÆ±¡¢¼àƱ¡£
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.
¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öʱ£¬Ó¦µ±ÓÉÂÉʦ¡¢¹É¶«´ú±íÓë¼àÊ´ú±í¹²Í¬¸ºÔð¼ÆÆ±¡¢¼àƱ£¬²¢µ±³¡¹«²¼±í¾ö½á
¹û£¬¾öÒéµÄ±í¾ö½á¹ûÔØÈë»áÒé¼Ç¼¡£
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.
ͨ¹ýÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄÉÏÊй«Ë¾¹É¶«»òÆä´úÀíÈË£¬ÓÐȨͨ¹ýÏàÓ¦µÄͶƱϵͳ²éÑé×Ô¼ºµÄͶƱ½á¹û¡£
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.
µÚÒ»°Ù¶þÊ®ÁùÌõ ¹É¶«´ó»áÏÖ³¡½áÊøÊ±¼ä²»µÃÔçÓÚÍøÂç»òÆäËû·½Ê½£¬»áÒéÖ÷ϯӦµ±Ðû²¼Ã¿Ò»Ìá°¸µÄ±í¾öÇé
¿öºÍ½á¹û£¬²¢¸ù¾Ý±í¾ö½á¹ûÐû²¼Ìá°¸ÊÇ·ñͨ¹ý¡£
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
46
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
results of each resolution. He shall also announce whether the resolutions have been passed according
to the voting results.
ÔÚÕýʽ¹«²¼±í¾ö½á¹ûǰ£¬¹É¶«´ó»áÏÖ³¡¡¢ÍøÂç¼°ÆäËû±í¾ö·½Ê½ÖÐËùÉæ¼°µÄÉÏÊй«Ë¾¡¢¼ÆÆ±ÈË¡¢¼àƱÈË¡¢Ö÷
Òª¹É¶«¡¢ÍøÂç·þÎñ·½µÈÏà¹Ø¸÷·½¶Ô±í¾öÇé¿ö¾ù¸ºÓб£ÃÜÒåÎñ¡£
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.
µÚÒ»°Ù¶þÊ®ÆßÌõ ³öϯ¹É¶«´ó»áµÄ¹É¶«£¬Ó¦µ±¶ÔÌá½»±í¾öµÄÌá°¸·¢±íÒÔÏÂÒâ¼ûÖ®Ò»£ºÍ¬Òâ¡¢·´¶Ô»òÆúȨ¡£
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.
δÌî¡¢´íÌî¡¢×Ö¼£ÎÞ·¨±æÈϵıí¾öƱ¡¢Î´Í¶µÄ±í¾öƱ¾ùÊÓΪͶƱÈË·ÅÆú±í¾öȨÀû£¬ÆäËù³Ö¹É·ÝÊýµÄ±í¾ö½á
¹ûÓ¦¼ÆÎª¡°ÆúȨ¡±¡£
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¡±.
Èç¸ù¾ÝÊÊÓõķ¨ÂÉ·¨¹æ¼°¹«Ë¾¹ÉƱÉÏÊеĽ»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨£¬Èκιɶ«Ðë¾ÍijÒé°¸·ÅÆú±í¾öȨ£¬»òÏÞ
ÖÆÈκιɶ«Ö»Äܹ»Í¶Æ±ÔÞ³É (»ò·´¶Ô) ijÒé°¸£¬ÈçÓÐÈκÎÎ¥·´Ïà¹Ø¹æ¶¨»òÏÞÖÆµÄÇé¿ö£¬Óɸõȹɶ«»òÆä´ú
±íͶÏÂµÄÆ±Êý²»µÃ¼ÆËãÔÚÄÚ¡£
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.
µÚÒ»°Ù¶þÊ®°ËÌõ »áÒéÖ÷ϯÈç¹û¶ÔÌá½»±í¾öµÄ¾öÒé½á¹ûÓÐÈκλ³ÒÉ£¬¿ÉÒÔ¶ÔËùͶƱÊý×éÖ¯µãƱ; Èç¹û»áÒéÖ÷
ϯδ½øÐÐµãÆ±£¬³öϯ»áÒéµÄ¹É¶«»òÕ߹ɶ«´úÀíÈ˶ԻáÒéÖ÷ϯÐû²¼½á¹ûÓÐÒìÒéµÄ£¬ÓÐȨÔÚÐû²¼±í¾ö½á¹ûºóÁ¢
¼´ÒªÇóµãƱ£¬»áÒéÖ÷ϯӦµ±Á¢¼´×éÖ¯µãƱ¡£¹É¶«´ó»áÈç¹û½øÐÐµãÆ±£¬µãƱ½á¹ûÓ¦µ±¼ÇÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°Ù¶þÊ®¾ÅÌõ »áÒé¼Ç¼Á¬Í¬³öϯ¹É¶«µÄÇ©Ãû²¾¼°´úÀí³öϯµÄίÍÐÊ飬Ӧµ±ÔÚ¹«Ë¾×¡Ëù±£´æ¡£
Article 129 The minutes, shareholders¡¯ attendance lists and proxy forms shall be kept at the Company's
place of residence.
µÚÒ»°ÙÈýÊ®Ìõ ¹É¶«¿ÉÒÔÔÚ¹«Ë¾°ì¹«Ê±¼äÃâ·Ñ²éÔÄ»áÒé¼Ç¼¸´Ó¡¼þ¡£Èκιɶ«Ïò¹«Ë¾Ë÷È¡ÓйػáÒé¼Ç¼µÄ
¸´Ó¡¼þ£¬¹«Ë¾Ó¦µ±ÔÚÊÕµ½ºÏÀí·ÑÓúóÆßÈÕÄڰѸ´Ó¡¼þËͳö¡£
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.
µÚÒ»°ÙÈýʮһÌõ ¹É¶«´ó»á¾öÒéÓ¦µ±¼°Ê±¹«¸æ£¬¹«¸æÖÐÓ¦ÁÐÃ÷³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³Ö
Óбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾Óбí¾öȨ¹É·Ý×ÜÊýµÄ±ÈÀý¡¢±í¾ö·½Ê½¡¢Ã¿ÏîÌá°¸µÄ±í¾ö½á¹ûºÍͨ¹ýµÄ¸÷Ïî¾ö
ÒéµÄÏêϸÄÚÈÝ¡£
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,
47
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¹«¸æ»¹Ó¦µ±°üÀ¨(i)ʹÆä³ÖÓÐÈËÓÐȨ³öϯ´ó»á²¢ÓÚ»áÉϱí¾öÔ޳ɻò·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (ii)ʹÆä³ÖÓÐÈËÓÐ
Ȩ³öϯ´ó»áµ«Ö»¿ÉÓÚ»áÉϱí¾ö·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (iii) ÓйؾöÒ鰸ʵ¼ÊËùµÃÔ޳ɼ°·´¶ÔƱÊýËù·Ö±ð´ú
±íµÄ¹ÉÊý¡£¶øÇÒ£¬¹«Ë¾²¢ÐëÔÚ¹«¸æÖÐÈ·ÈÏÄÇÐ©Ôø±íʾ´òËã±í¾ö·´¶ÔÓйؾöÒé°¸»ò·ÅÆú±í¾öȨµÄÈËÊ¿Ôڹɶ«
´ó»áÉÏÊÇ·ñȷʵ°´¶øÐÐÊ¡£
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).
µÚÒ»°ÙÈýÊ®¶þÌõ Ì᰸δ»ñͨ¹ý£¬»òÕß±¾´Î¹É¶«´ó»á±ä¸üǰ´Î¹É¶«´ó»á¾öÒéµÄ£¬Ó¦µ±Ôڹɶ«´ó»á¾öÒ鹫¸æ
ÖÐ×÷ÌØ±ðÌáʾ¡£
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.
µÚÒ»°ÙÈýÊ®ÈýÌõ ¹É¶«´ó»áͨ¹ýÓйضÊ¡¢¼àÊÂÑ¡¾ÙÌá°¸µÄ£¬ÐÂÈζÊ¡¢¼àÊÂÔÚ»áÒé½áÊøÖ®ºóÁ¢¼´¾ÍÈΡ£
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.
µÚÒ»°ÙÈýÊ®ËÄÌõ ¹É¶«´ó»áͨ¹ýÓйØÅÉÏÖ¡¢Ë͹ɻò×ʱ¾¹«»ýתÔö¹É±¾Ìá°¸µÄ£¬¹«Ë¾½«Ôڹɶ«´ó»á½áÊøºó 2 ¸ö
ÔÂÄÚʵʩ¾ßÌå·½°¸¡£
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.
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders
µÚÒ»°ÙÈýÊ®ÎåÌõ ³ÖÓв»Í¬ÖÖÀà¹É·ÝµÄ¹É¶«£¬ÎªÀà±ð¹É¶«¡£
Article 135 Those shareholders who hold different classes of shares are class shareholders.
Àà±ð¹É¶«ÒÀ¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹«Ë¾Õ³̵Ĺ涨£¬ÏíÓÐȨÀûºÍ³Ðµ£ÒåÎñ¡£
Class shareholders shall enjoy rights and assume obligations in accordance with law, administrative
regulation and the Company¡¯s Articles of Association.
µÚÒ»°ÙÈýÊ®ÁùÌõ ¹«Ë¾Äâ±ä¸ü»òÕ߷ϳýÀà±ð¹É¶«µÄȨÀû£¬Ó¦µ±¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéͨ¹ýºÍ¾ÊÜÓ°ÏìµÄÀà
±ð¹É¶«ÔÚ°´µÚÒ»°ÙÈýÊ®°ËÌõÖÁµÚÒ»°ÙËÄÊ®¶þÌõ·Ö±ðÕÙ¼¯µÄ¹É¶«»áÒéÉÏͨ¹ý£¬·½¿É½øÐС£
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.
µÚÒ»°ÙÈýÊ®ÆßÌõ ÏÂÁÐÇéÐÎÓ¦µ±ÊÓΪ±ä¸ü»òÕ߷ϳýijÀà±ð¹É¶«µÄȨÀû£º
Article 137 The following circumstances shall be deemed to be variation or abrogation of the rights
attaching to a particular class of shares:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝµÄÊýÄ¿£¬»òÕßÔö¼Ó»ò¼õÉÙÓë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶àµÄ±í¾öȨ¡¢·ÖÅä
Ȩ¡¢ÆäËûÌØÈ¨µÄÀà±ð¹É·ÝµÄÊýÄ¿£»
48
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(¶þ) ½«¸ÃÀà±ð¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷ÆäËûÀà±ð£¬»òÕß½«ÁíÒ»Àà±ðµÄ¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷¸ÃÀà±ð¹É
·Ý»òÕßÊÚÓè¸ÃµÈת»»È¨£»
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;
(Èý) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеġ¢È¡µÃÒѲúÉúµÄ¹ÉÀû»òÕßÀÛ»ý¹ÉÀûµÄȨÀû£»
to remove or reduce rights to accrued dividends or rights to cumulative dividends attached to
shares of that class;
(ËÄ) ¼õÉÙ»òÕßÈ¡Ïû¸ÃÀà±ð¹É·ÝËù¾ßÓеÄÓÅÏÈÈ¡µÃ¹ÉÀû»òÕßÔÚ¹«Ë¾ÇåËãÖÐÓÅÏÈÈ¡µÃ²Æ²ú·ÖÅäµÄȨÀû£»
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;
(Îå) Ôö¼Ó¡¢È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеÄת»»¹É·ÝȨ¡¢Ñ¡ÔñȨ¡¢±í¾öȨ¡¢×ªÈÃȨ¡¢ÓÅÏÈÅäÊÛȨ¡¢È¡
µÃ¹«Ë¾Ö¤È¯µÄȨÀû£»
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;
(Áù) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеģ¬ÒÔÌØ¶¨»õ±ÒÊÕÈ¡¹«Ë¾Ó¦¸¶¿îÏîµÄȨÀû£»
to remove or reduce rights to receive payment payable by the Company in particular currencies
attached to shares of that class;
(Æß) ÉèÁ¢Óë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶à±í¾öȨ¡¢·ÖÅäȨ»òÕ߯äËûÌØÈ¨µÄÐÂÀà±ð£»
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;
(°Ë) ¶Ô¸ÃÀà±ð¹É·ÝµÄתÈûòËùÓÐȨ¼ÓÒÔÏÞÖÆ»òÕßÔö¼Ó¸ÃµÈÏÞÖÆ£»
to restrict the transfer or ownership of shares of that class or to increase the types of restrictions
attaching thereto;
(¾Å) ·¢ÐиÃÀà±ð»òÕßÁíÒ»Àà±ðµÄ¹É·ÝÈϹºÈ¨»òÕßת»»¹É·ÝµÄȨÀû£»
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;
(Ê®) Ôö¼ÓÆäËûÀà±ð¹É·ÝµÄȨÀûºÍÌØÈ¨£»
to increase the rights or privileges of shares of another class;
(ʮһ) ¹«Ë¾¸Ä×é·½°¸»á¹¹³É²»Í¬Àà±ð¹É¶«ÔÚ¸Ä×éÖв»°´±ÈÀýµØ³Ðµ£ÔðÈΣ»
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
(Ê®¶þ) Ð޸ĻòÕ߷ϳý±¾ÕÂËù¹æ¶¨µÄÌõ¿î¡£
to vary or abrogate the provisions of this Chapter.
µÚÒ»°ÙÈýÊ®°ËÌõ ÊÜÓ°ÏìµÄÀà±ð¹É¶«£¬ÎÞÂÛÔÀ´Ôڹɶ«´ó»áÉÏÊÇ·ñÓбí¾öȨ£¬ÔÚÉæ¼°µÚÒ»°ÙÈýÊ®ÆßÌõ£¨¶þ£©
ÖÁ£¨°Ë£©¡¢£¨Ê®Ò»£©ÖÁ£¨Ê®¶þ£©ÏîµÄÊÂÏîʱ£¬ÔÚÀà±ð¹É¶«»áÉϾßÓбí¾öȨ£¬µ«ÓÐÀûº¦¹ØÏµµÄ¹É¶«ÔÚÀà±ð¹É¶«
»áÉÏûÓбí¾öȨ¡£
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.
49
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ǰ¿îËùÊöÓÐÀûº¦¹ØÏµ¹É¶«µÄº¬ÒåÈçÏ£º
¡°(An) interested shareholder(s)¡±, as such term is used in the preceding paragraph, means:
(Ò») ÔÚ¹«Ë¾°´±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼»òÕßÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«
¿ª½»Ò×·½Ê½¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹ØÏµµÄ¹É¶«¡±ÊÇÖ¸±¾Õ³ÌËù¶¨ÒåµÄ¿Ø¹É¹É¶«£»
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;
(¶þ) ÔÚ¹«Ë¾°´ÕÕ±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹Ø
ϵµÄ¹É¶«¡±ÊÇÖ¸Óë¸ÃÐÒéÓйصĹɶ«£»
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;
(Èý) ÔÚ¹«Ë¾¸Ä×é·½°¸ÖУ¬¡°ÓÐÀûº¦¹ØÏµ¹É¶«¡±ÊÇÖ¸ÒÔµÍÓÚ±¾Àà±ðÆäËû¹É¶«µÄ±ÈÀý³Ðµ£ÔðÈεĹɶ«»òÕßÓë¸ÃÀà
±ðÖÐµÄÆäËû¹É¶«ÓµÓв»Í¬ÀûÒæµÄ¹É¶«¡£
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.
µÚÒ»°ÙÈýÊ®¾ÅÌõ Àà±ð¹É¶«»áµÄ¾öÒ飬Ӧµ±¾¸ù¾ÝµÚÒ»°ÙÈýÊ®°ËÌõÓɳöϯÀà±ð¹É¶«»áÒéµÄÓбí¾öȨµÄÈý·Ö
Ö®¶þÒÔÉϵĹÉȨ±í¾öͨ¹ý£¬·½¿É×÷³ö¡£
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.
µÚÒ»°ÙËÄÊ®Ìõ ¹«Ë¾ÕÙ¿ªÀà±ð¹É¶«»áÒ飬Ӧµ±ÓÚÄê¶È¹É¶«´ó»áÕÙ¿ª¶þÊ®¸öÓªÒµÈÕǰ£¬ÁÙʱ¹É¶«´ó»áÕÙ¿ªÊ®
¸öÓªÒµÈÕ»òÊ®ÎåÈÕ£¨ÒԽϳ¤ÕßΪ׼£©Ç°·¢³ö֪ͨ£¬½«»áÒéÄâÉóÒéµÄÊÂÏîÒÔ¼°¿ª»áÈÕÆÚºÍµØµã¸æÖªËùÓиÃÀà
±ð¹É·ÝµÄÔÚ²á¹É¶«¡£
Article 140 Notice of a class meeting shall be given to all shareholders who are registered as holders of
that class in the register of shareholders twenty (20) business days prior to the date of the annual
general meeting and ten (10) business days or fifteen (15) days (whichever is longer) prior to the date of
the extraordinary general 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.
µÚÒ»°ÙËÄʮһÌõ Àà±ð¹É¶«»áÒéµÄֻ֪ͨÐëË͸øÓÐȨÔڸûáÒéÉϱí¾öµÄ¹É¶«¡£
Article 141 Notice of class meetings need only be served on shareholders entitled to vote thereat.
Àà±ð¹É¶«»áÒéÓ¦µ±ÒÔÓë¹É¶«´ó»á¾¡¿ÉÄÜÏàͬµÄ³ÌÐò¾ÙÐУ¬¹«Ë¾Õ³ÌÖÐÓйعɶ«´ó»á¾ÙÐгÌÐòµÄÌõ¿îÊÊÓÃÓÚ
Àà±ð¹É¶«»áÒé¡£
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.
µÚÒ»°ÙËÄÊ®¶þÌõ ³ýÆäËûÀà±ð¹É·Ý¹É¶«Í⣬ÄÚ×ʹɹɶ«ºÍ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÊÓΪ²»Í¬Àà±ð¹É¶«¡£
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.
ÏÂÁÐÇéÐβ»ÊÊÓÃÀà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò£º£¨Ò»£©¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾Ã¿¼ä¸ôÊ®¶þ¸öÔµ¥¶À
»òÕßͬʱ·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɣ¬²¢ÇÒÄâ·¢ÐеÄÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵÄÊýÁ¿¸÷×Ô²»³¬¹ý¸ÃÀàÒÑ
·¢ÐÐÔÚÍâ¹É·ÝµÄ°Ù·ÖÖ®¶þÊ®µÄ£»£¨¶þ£©¹«Ë¾ÉèÁ¢Ê±·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵļƻ®£¬×ÔÖйú֤ȯ¼à¶½
50
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹ÜÀí»ú¹¹Åú×¼Ö®ÈÕÆðÊ®Îå¸öÔÂÄÚÍê³ÉµÄ£»»ò£¨Èý£©±¾Õ³̵ÚÊ®°ËÌõËùÊöµÄ¾Öйú֤ȯ¼à¶½¹ÜÀí»ú¹¹ºË×¼£¬
¹«Ë¾ÄÚ×ʹɹɶ«½«Ëù³Ö¹É·ÝתÈøø¾³ÍâͶ×ÊÈË£¬²¢ÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Òס£
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.
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee
µÚÒ»°ÙËÄÊ®ÈýÌõ¸ù¾Ý¡¶µ³Õ¡·¹æ¶¨£¬ÉèÁ¢Öйú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾Î¯Ô±»á£¨¼ò³Æ¡¸¹«Ë¾
µ³Î¯¡¹£©£¬¿ªÕ¹µ³µÄ»î¶¯¡£µ³Î¯·¢»ÓÁìµ¼ºËÐĺÍÕþÖκËÐÄ×÷Ó㬰ѷ½Ïò¡¢¹Ü´ó¾Ö¡¢±£Âäʵ¡£
Article 143 In accordance with the Party Constitution, the Company set up a committee of Zhengzhou
Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the ¡°Party Committee¡±) to
engage in activities of the Party. The Party Committee shall play a core role in leadership and politics,
and shall carry out the works by providing direction, managing the overall situation and ensuring
implementation.
µÚÒ»°ÙËÄÊ®ËÄÌõ¹«Ë¾Ö°¹¤ÒÀÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·×éÖ¯¹¤»á£¬¿ªÕ¹¹¤»á»î¶¯£¬Î¬»¤Ö°¹¤ºÏ·¨È¨Òæ¡£
¹¤»á×éÖ¯¸ºÔðÈËÓÉÉϼ¶µ³×éÖ¯ÍÆ¼ö£¬²¢°´ÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·µÈÓйع涨ѡ¾Ù»òÈÎÃü²úÉú¡£¹«Ë¾
Ϊ¹¤»áÌṩ±ØÒªµÄ»î¶¯Ìõ¼þ¡£
Article 144 In accordance with the Trade Union Law of the People¡¯s Republic of China, the employees
of the Company form a trade union for organization of union activities and protection of the legitimate
rights of the employees. The person(s) in charge of the trade union organization shall be recommended
by a superior Party organization and be elected and appointed in accordance with relevant requirements
including the Trade Union Law of the People¡¯s Republic of China. The Company shall provide necessary
convenience for the trade union to organize activities.
µÚÒ»°ÙËÄÊ®ÎåÌõ¹«Ë¾µ³Î¯ÉèÊé¼Ç 1 Ãû£¬°´ÕÕÉϼ¶µ³×éÖ¯Åú¸²ÉèÖÃÆäËûµ³Î¯³ÉÔ±¡£Í¬Ê±£¬¹«Ë¾°´¹æ¶¨ÉèÁ¢ÖÐ
¹ú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾¼ÍÂɼì²éίԱ»á(¼ò³Æ¡¸¹«Ë¾¼Íί¡¹)¡£µ³Î¯Êé¼Ç¡¢¼ÍίÊé¼Ç°´ÕÕ
¡¶µ³Õ¡·µÈ¹æ¶¨Ñ¡¾Ù»òÈÎÃü²úÉú¡£
Article 145 The Party Committee of the Company shall have one secretary. Other members of the Party
Committee shall be appointed upon approval by a superior Party organization. Meanwhile, in
accordance with relevant requirements, the Company shall establish a disciplinary inspection committee
of Zhengzhou Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the
¡°Disciplinary Committee¡±). The respective secretaries to the Party Committee and the Disciplinary
Committee shall be elected or appointed in accordance with relevant requirements including the Party
Constitution.
µÚÒ»°ÙËÄÊ®ÁùÌõµ³×éÖ¯»ú¹¹ÉèÖü°ÆäÈËÔ±±àÖÆÄÉÈ빫˾¹ÜÀí»ú¹¹ºÍ±àÖÆ£¬µ³×éÖ¯¹¤×÷¾·ÑÄÉÈ빫˾ԤË㣬
´Ó¹«Ë¾¹ÜÀí·ÑÖÐÁÐÖ§¡£
Article 146 The establishment of Party organization and its staff arrangements shall become part of the
management structure and staff arrangements of the Company. The funding for such Party organization
shall be included in the Company¡¯s budget and disbursed from the Company¡¯s management costs.
51
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙËÄÊ®ÆßÌõ¹«Ë¾µ³×éÖ¯°´ÕÕ¡¶Öйú¹²²úµ³»ù²ã×é֯ѡ¾Ù¹¤×÷ÔÝÐÐÌõÀý¡·ÒªÇó¶¨ÆÚ½øÐл»½ìÑ¡¾Ù¡£
Article 147 The Party organization of the Company shall conduct regular re-election pursuant to the
requirements under the Interim Provisions for the Election of Primary-Level Organizations of the
Communist Party of China.
µÚÒ»°ÙËÄÊ®°ËÌõ¹«Ë¾¼á³ÖºÍÍêÉÆ¡¸Ë«Ïò½øÈë¡¢½»²æÈÎÖ°¡¹µÄÁìµ¼ÌåÖÆ£¬·ûºÏÌõ¼þµÄµ³×éÖ¯Áìµ¼°à×Ó³ÉÔ±¿É
ÒÔͨ¹ý·¨¶¨³ÌÐò½øÈë¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã£¬¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã³ÉÔ±ÖзûºÏÌõ¼þµÄµ³Ô±¿ÉÒÔÒÀÕÕ
Óйع涨ºÍ³ÌÐò½øÈëµ³×éÖ¯Áìµ¼°à×Ó¡£
Article 148 The Company adheres to and keeps enhancing the leadership system of ¡°Dual Entry and
Cross Appointment¡±. Eligible members of the Party organization leadership may be appointed to the
Board of Directors, the Board of Supervisors and the management through legal procedures; eligible
Party members of the Board of Directors, the Board of Supervisors and the management may be
appointed to the leadership of the Party organization based on relevant regulations and procedures.
µÚÒ»°ÙËÄÊ®¾ÅÌõ¹«Ë¾µ³Î¯¶Ô¶Ê»ᡢ¾Àí²ãÄâ¾ö²ßµÄ¡¸ÈýÖØÒ»´ó¡¹µÈÖØ´óÎÊÌⰴǰÖóÌÐòÏÈÐÐÉóÒ飬ÌÖÂÛ
ͨ¹ýºó£¬ÔÙÓɶÊ»á»ò¾Àí²ãÉóÒé×÷³ö¾ö¶¨¡£
Article 149 The Party Committee of the Company shall, in advance, consider major matters such as
those classified as ¡°Three Importance and One Greatness¡± to be decided upon by the Board of Directors
and the management. After discussion and approval by the Party Committee, such matters can be
considered and decided upon by the Board of Directors or the management.
µÚÒ»°ÙÎåÊ®Ìõµ³×éÖ¯ÔÚ¹«Ë¾Áìµ¼ÈËԱѡ°ÎÈÎÓá¢ÅàÑø½ÌÓý¡¢¹ÜÀí¼à¶½ÖиºÓп¼ºË¡¢¼à¶½µÈÔðÈΣ¬Ö§³Ö¶ÊÂ
»áÒÀ·¨Ñ¡Ôñ¾Óª¹ÜÀíÕß¡¢¾Óª¹ÜÀíÕßÒÀ·¨ÐÐʹÓÃÈËȨ£¬¼á¾ö·ÀÖ¹ºÍÕûÖÎÑ¡ÈËÓÃÈËÖеIJ»ÕýÖ®·ç¡£
Article 150 The Party organization shall be responsible for evaluating and overseeing the selection and
appointment, training and development, as well as management and supervision of the members of the
leadership of the Company. It shall support the Board of Directors in selecting operating managers
according to the law, support the operating managers in exercising their right of staff deployment
according to the law, and adhere to preventing and rectifying wrongful behaviours in the selection and
deployment of staff.
µÚÒ»°ÙÎåʮһÌõÇÐʵÂäʵ¹«Ë¾·´¸¯³«Á®¡¸Á½¸öÔðÈΡ¹¡£µ³Î¯ÒªÇÐʵÂÄÐкÃÖ÷ÌåÔðÈΣ¬¼ÍίҪÂÄÐкüලÔð
ÈΡ£¼ÓÇ¿µ³ÐÔ½ÌÓý¡¢·¨ÖνÌÓý¡¢¾¯Ê¾½ÌÓý£¬Òýµ¼¹«Ë¾¸÷¼¶Áìµ¼ÈËÔ±¼á¶¨ÀíÏëÐÅÄ×Ô¾õ¼ùÐС¸ÈýÑÏÈýʵ¡¹
ÒªÇó£¬ÕýÈ·ÂÄÖ°ÐÐȨ¡£
Article 151 The ¡°Dual Duties¡± of anti-corruption and clean-handedness shall be strictly performed. The
Party Committee shall perform its principle responsibilities while the Disciplinary Committee shall
perform its duties of supervision. Education on Party regulations, education on rule of law and cautionary
education shall be strengthened to guide leaders of the Company at all levels in their adherence and
faithfulness to the ideals, in their implementation of the ¡°Three Strictness plus Honesty, Practicality and
Pragmatism¡±, and in their rightful discharge of duties and exercise of power.
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors
µÚÒ»°ÙÎåÊ®¶þÌõ ¹«Ë¾¶ÊÂΪ×ÔÈ»ÈË¡£¶ÊÂÎÞÐè³ÖÓй«Ë¾¹É·Ý¡£
Article 152 Directors of the Company are natural persons. It is unnecessary for Directors to hold shares
of the Company.
Î¥·´±¾Õ¹涨ѡ¾Ù¡¢Î¯ÅɶÊµģ¬¸ÃÑ¡¾Ù¡¢Î¯ÅÉ»òÕ߯¸ÈÎÎÞЧ¡£¶ÊÂÔÚÈÎÖ°ÆÚ¼ä³öÏÖµÚ¶þ°Ù¶þÊ®ÎåÌõÇéÐÎ
µÄ£¬¹«Ë¾½â³ýÆäÖ°Îñ¡£
52
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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 225 occurs during the term of office of a Director, the Company shall remove him.
µÚÒ»°ÙÎåÊ®ÈýÌõ ¶ÊÂÓɹɶ«´ó»áÑ¡¾Ù»ò¸ü»»£¬²¢¿ÉÔÚÈÎÆÚ½ìÂúǰÓɹɶ«´ó»á½â³ýÆäÖ°Îñ¡£¶ÊÂÈÎÆÚ 3 Ä꣬
ÈÎÆÚ½ìÂú¿ÉÁ¬Ñ¡Á¬ÈΡ£ÓйØÌáÃû¶ÊºòÑ¡È˵ÄÒâͼÒÔ¼°ºòÑ¡È˱íÃ÷Ô¸Òâ½ÓÊÜÌáÃûµÄÊéÃæÍ¨Öª£¬Ó¦µ±ÔÚÓйØ
¹É¶«´ó»á֪ͨ·¢³öºóÖÁ¹É¶«´ó»áÕÙ¿ªÆßÌìǰµÄÆÚ¼äÄÚ·¢¸ø¹«Ë¾£¬¶ø¸ÃÆÚ¼ä²»ÉÙÓÚÆßÌì¡£
Article 153 Directors shall be elected or replaced at the shareholders¡¯ general meeting and can be
removed from their office prior to the expiry of their term by the general meeting, with a term of three (3)
years. At the expiry of such term of office, the term is renewable upon re-election. 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.
¶ÊÂÈÎÆÚ´Ó¾ÍÈÎÖ®ÈÕÆð¼ÆË㣬ÖÁ±¾½ì¶Ê»áÈÎÆÚ½ìÂúʱΪֹ¡£¶ÊÂÈÎÆÚ½ìÂúδ¼°Ê±¸ÄÑ¡£¬ÔÚ¸ÄÑ¡³öµÄ¶ÊÂ
¾ÍÈÎǰ£¬Ô¶ÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÂÄÐжÊÂÖ°Îñ¡£
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.
¶Ê¿ÉÒÔÓÉ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±¼æÈΣ¬µ«¼æÈÎ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±Ö°ÎñµÄ¶ÊÂÒÔ¼°ÓÉÖ°
¹¤´ú±íµ£ÈεĶÊ£¬×ܼƲ»Äܳ¬¹ý¹«Ë¾¶ÊÂ×ÜÊýµÄ 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.
±¾¹«Ë¾¶Ê»᲻ÉèÓÉÖ°¹¤´ú±íµ£ÈεĶÊ¡£¶ÊµÄѡƸ³ÌÐòÈçÏ£º
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:
(Ò») °´±¾Õ³̵ÚÒ»°ÙһʮÁùÌõµÄ¹æ¶¨ÌáÃû¶ÊºòÑ¡ÈË£»
to nominate a candidate for Directorship subject to article 116 of the Company¡¯s Articles of
Association;
(¶þ) ¹«Ë¾Ôڹɶ«´ó»áÕÙ¿ªÇ°ÒÔ¹«¸æµÄÐÎʽÅû¶¶ÊºòÑ¡È˵ÄÏêϸ×ÊÁÏ£¬±£Ö¤¹É¶«ÔÚͶƱʱ¶ÔºòÑ¡ÈËÓÐ×ã
¹»µÄÁ˽⣻
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;
(Èý) ¶ÊºòÑ¡ÈËÔڹɶ«´ó»áÕÙ¿ªÖ®Ç°×÷³öÊéÃæ³Ðŵ£¬Í¬Òâ½ÓÊÜÌáÃû£¬³Ðŵ¹«¿ªÅû¶µÄ¶ÊºòÑ¡È˵Ä×ÊÁÏ
ÕæÊµ¡¢ÍêÕû²¢±£Ö¤µ±Ñ¡ºóÇÐʵÂÄÐжÊÂÖ°Ôð£»
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;
(ËÄ) °´±¾Õ³̵ÚÒ»°ÙһʮÆßÌõµÄ¹æ¶¨¶Ô¶ÊºòÑ¡ÈËÃûµ¥½øÐбí¾ö£»
to vote with respect of the list of Director candidates according to article 117 of the Company¡¯s
Articles of Association; and
53
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ¶Êµ±Ñ¡ºó£¬¹«Ë¾ÓëÆäÇ©¶©Æ¸ÈκÏͬ¡£
to enter into a contract of employment with the Director after his election.
µÚÒ»°ÙÎåÊ®ËÄÌõ ¶ÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÏÂÁÐÖÒʵÒåÎñ£º
Article 154 Directors shall observe laws, administrative regulations and the Company¡¯s Articles of
Association and shall assume the following duties of loyalty to the Company:
(Ò») ²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾µÄ²Æ²ú£»
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;
(¶þ) ²»µÃŲÓù«Ë¾×ʽð£»
not to misappropriate the funds of the Company;
(Èý) ²»µÃ½«¹«Ë¾×ʲú»òÕß×ʽðÒÔÆä¸öÈËÃûÒå»òÕ߯äËû¸öÈËÃûÒ忪Á¢ÕË»§´æ´¢£»
not to open accounts in his own or another individual's name for deposit of the Company¡¯s assets
or funds;
(ËÄ) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨£¬Î´¾¹É¶«´ó»á»ò¶Ê»áͬÒ⣬½«¹«Ë¾×ʽð½è´û¸øËûÈË»òÕßÒÔ¹«Ë¾²Æ²úΪËû
ÈËÌṩµ£±££»
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;
(Îå) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨»òδ¾¹É¶«´ó»áͬÒ⣬Óë±¾¹«Ë¾¶©Á¢ºÏͬ»òÕß½øÐн»Ò×£»
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;
(Áù) δ¾¹É¶«´ó»áͬÒ⣬²»µÃÀûÓÃÖ°Îñ±ãÀû£¬Îª×Ô¼º»òËûÈËıȡ±¾Ó¦ÊôÓÚ¹«Ë¾µÄÉÌÒµ»ú»á£¬×ÔÓª»òÕßΪ
ËûÈ˾ӪÓë±¾¹«Ë¾Í¬ÀàµÄÒµÎñ£»
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;
(Æß) ²»µÃ½ÓÊÜÓ빫˾½»Ò×µÄÓ¶½ð¹éΪ¼ºÓУ»
not to accept commissions relating to the transactions of the Company and appropriate to himself;
(°Ë) ²»µÃÉÃ×ÔÅû¶¹«Ë¾ÃØÃÜ£»
not to disclose secrets of the Company without permission;
(¾Å) ²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ£»
not to take advantage of his connection with the Company to harm interests of the Company; and
(Ê®) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̹涨µÄÆäËûÖÒʵÒåÎñ¡£
Other duties of loyalty as prescribed by laws, administrative regulations, department rules and the
Company¡¯s Articles of Association.
¶ÊÂÎ¥·´±¾Ìõ¹æ¶¨ËùµÃµÄÊÕÈ룬Ӧµ±¹é¹«Ë¾ËùÓУ»¸ø¹«Ë¾Ôì³ÉËðʧµÄ,Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
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.
µÚÒ»°ÙÎåÊ®ÎåÌõ ¶ÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÏÂÁÐÇÚÃãÒåÎñ£º
Article 155 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:
(Ò») Ó¦½÷É÷¡¢ÈÏÕæ¡¢ÇÚÃãµØÐÐʹ¹«Ë¾¸³ÓèµÄȨÀû£¬ÒÔ±£Ö¤¹«Ë¾µÄÉÌÒµÐÐΪ·ûºÏ¹ú¼Ò·¨ÂÉ¡¢ÐÐÕþ·¨¹æÒÔ¼°
54
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹ú¼Ò¸÷Ïî¾¼ÃÕþ²ßµÄÒªÇó£¬ÉÌÒµ»î¶¯²»³¬¹ýÓªÒµÖ´Õչ涨µÄÒµÎñ·¶Î§£»
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;
(¶þ) Ó¦¹«Æ½¶Ô´ýËùÓйɶ«£»
to treat fair all shareholders;
(Èý) ¼°Ê±Á˽⹫˾ҵÎñ¾Óª¹ÜÀí×´¿ö£»
To timely become aware of the business and management situation of the Company;
(ËÄ) Ó¦µ±¶Ô¹«Ë¾¶¨ÆÚ±¨¸æÇ©ÊðÊéÃæÈ·ÈÏÒâ¼û£»
to sign written confirmation comments with respect to the regular reports of the Company;
(Îå) Ó¦µ±ÈçʵÏò¼àÊ»áÌṩÓйØÇé¿öºÍ×ÊÁÏ£¬²»µÃ·Á°¼àÊ»á»òÕß¼àÊÂÐÐʹְȨ£»
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
(Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̹涨µÄÆäËûÇÚÃãÒåÎñ¡£
Other duties of due diligence as prescribed by laws, administrative regulations, department rules
and the Company¡¯s Articles of Association.
µÚÒ»°ÙÎåÊ®ÁùÌõ ¶ÊÂÁ¬ÐøÁ½´ÎδÄÜÇ××Ô³öϯ£¬Ò²²»Î¯ÍÐÆäËû¶Ê³öϯ¶Ê»á»áÒ飬ÊÓΪ²»ÄÜÂÄÐÐÖ°Ôð£¬
¶Ê»áÓ¦µ±½¨Òé¹É¶«´ó»áÓèÒÔ³·»»¡£
Article 156 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.
µÚÒ»°ÙÎåÊ®ÆßÌõ ¶Ê¿ÉÒÔÔÚÈÎÆÚ½ìÂúǰÌá³ö´ÇÖ°¡£¶Ê´ÇÖ°Ó¦Ïò¶Ê»áÌá½»ÊéÃæ´ÇÖ°±¨¸æ¡£
Article 157 A Director may resign before expiry of his term of office, subject to submission of a written
resignation report to the Board of Directors.
ÈçÒò¶ÊµĴÇÖ°µ¼Ö¹«Ë¾¶Ê»áµÍÓÚ·¨¶¨×îµÍÈËÊýʱ£¬ÔÚ¸ÄÑ¡³öµÄ¶Ê¾ÍÈÎǰ£¬Ô¶ÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢
ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̹涨£¬ÂÄÐжÊÂÖ°Îñ¡£
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.
³ýǰ¿îËùÁÐÇéÐÎÍ⣬¶Ê´ÇÖ°×Ô´ÇÖ°±¨¸æËÍ´ï¶Ê»áʱÉúЧ¡£Ñ¡¾ÙΪ¶ÊÂÒÔÌî²¹¶Ê»áÁÙʱ¿Õȱ»òÔö¼Ó¶
Ê»áÃû¶îµÄÈκÎÈËÊ¿£¬¸ÃÐÂÈζÊ»òΪÔö¼Ó¶Ê»áÃû¶î¶ø±»Î¯ÈÎΪ¶ÊµÄÈκÎÈËÊ¿µÄÈÎÆÚ×Ô»ñÑ¡ÉúЧ֮ÈÕ
ÆðÖÁ¹«Ë¾µÄÏÂÒ»½ì¹É¶«Äê»áΪֹ£¬²¢ÓÚÆäʱÓÐ×ʸñÖØÑ¡Á¬ÈΡ£
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.
µÚÒ»°ÙÎåÊ®°ËÌõ ¶Ê´ÇÖ°ÉúЧ»òÕßÈÎÆÚ½ìÂú£¬Ó¦Ïò¶Ê»á°ìÍ×ËùÓÐÒÆ½»ÊÖÐø£¬Æä¶Ô¹«Ë¾ºÍ¹É¶«³Ðµ£µÄÖÒ
ʵÒåÎñ£¬ÔÚÈÎÆÚ½áÊøºó²¢²»µ±È»½â³ý£¬ÔÚ±¾Õ³̹涨µÄºÏÀíÆÚÏÞÄÚÈÔÈ»ÓÐЧ¡£
Article 158 A Director whose resignation takes effect or whose term of office expires shall complete all
handover procedures to the Board of Director, but his duties of loyalty to the Company and shareholders
55
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÎåÊ®¾ÅÌõ δ¾±¾Õ³̹涨»òÕß¶Ê»áµÄºÏ·¨ÊÚȨ£¬Èκζʲ»µÃÒÔ¸öÈËÃûÒå´ú±í¹«Ë¾»òÕß¶Ê»á
ÐÐÊ¡£¶ÊÂÒÔÆä¸öÈËÃûÒåÐÐÊÂʱ£¬ÔÚµÚÈý·½»áºÏÀíµØÈÏΪ¸Ã¶ÊÂÔÚ´ú±í¹«Ë¾»òÕß¶Ê»áÐÐʵÄÇé¿öÏ£¬¸Ã
¶ÊÂÓ¦µ±ÊÂÏÈÉùÃ÷ÆäÁ¢³¡ºÍÉí·Ý¡£
Article 159 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.
µÚÒ»°ÙÁùÊ®Ìõ ¶ÊÂÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬
Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 160 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.
µÚÒ»°ÙÁùʮһÌõ ¶ÀÁ¢¶ÊÂÓ¦°´ÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµÄÓйع涨ִÐС£
Article 161 Independent Directors shall perform in accordance with pertinent provisions set forth in laws,
administrative regulations and department rules.
µÚ¶þ½Ú ¶Ê»á
Section 2 Board of Directors
µÚÒ»°ÙÁùÊ®¶þÌõ ¹«Ë¾Éè¶Ê»ᣬ¶Ô¹É¶«´ó»á¸ºÔð¡£
Article 162 The Company shall have a Board of Directors, which is accountable to the shareholders in
general meeting.
µÚÒ»°ÙÁùÊ®ÈýÌõ ¶Ê»áÓÉ 10 Ãû¶ÊÂ×é³É£¬Éè¶Ê³¤ 1 Ãû£¬¸±¶Ê³¤ 1 Ãû¡£
Article 163 The Board of Directors shall be composed of 10 Directors and shall have one (1) chairman
and one (1) vice chairman.
µÚÒ»°ÙÁùÊ®ËÄÌõ ¶Ê»áÐÐʹÏÂÁÐְȨ£º
Article 164 The Board of Directors exercises the following functions and powers:
(Ò») ÕÙ¼¯¹É¶«´ó»á£¬²¢Ïò¹É¶«´ó»á±¨¸æ¹¤×÷£»
to convene the shareholders¡¯ general meeting and to report on its work to the shareholders in
general meetings;
(¶þ) Ö´Ðйɶ«´ó»áµÄ¾öÒ飻
to implement the resolutions adopted by the shareholders in general meetings;
(Èý) ¾ö¶¨¹«Ë¾µÄ¾Óª¼Æ»®ºÍͶ×Ê·½°¸£»
to determine the Company¡¯s business plans and investment proposals;
(ËÄ) ÖÆ¶©¹«Ë¾µÄÄê¶È²ÆÎñÔ¤Ëã·½°¸¡¢¾öËã·½°¸£»
to formulate the Company¡¯s preliminary and final annual financial budgets;
(Îå) ÖÆ¶©¹«Ë¾µÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸£»
to formulate the Company's profit distribution proposal and loss recovery proposal;
(Áù) ÖÆ¶©¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾¡¢·¢ÐÐծȯ»òÆäËû֤ȯ¼°ÉÏÊз½°¸£»
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;
(Æß) Äâ¶©¹«Ë¾ÖØ´óÊÕ¹º¡¢ÊÕ¹º±¾¹«Ë¾¹ÉƱ»òÕߺϲ¢¡¢·ÖÁ¢¡¢½âÉ¢¼°±ä¸ü¹«Ë¾ÐÎʽµÄ·½°¸£»
to formulate plans for important mergers and acquisition of the shares of the Company,
56
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
consolidation, division, dissolution or change of the form of the Company;
(°Ë) Ôڹɶ«´ó»áÊÚȨ·¶Î§ÄÚ£¬¾ö¶¨¹«Ë¾¶ÔÍâͶ×Ê¡¢ÊÕ¹º³öÊÛ×ʲú¡¢×ʲúµÖѺ¡¢¶ÔÍâµ£±£ÊÂÏίÍÐÀí²Æ¡¢
¹ØÁª½»Ò×µÈÊÂÏ
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;
(¾Å) ¾ö¶¨¹«Ë¾ÄÚ²¿¹ÜÀí»ú¹¹µÄÉèÖã»
to decide on the Company¡¯s internal management structure;
(Ê®) ƸÈλòÕß½âÆ¸¹«Ë¾×ܾÀí¡¢¶Ê»áÃØÊ飻¸ù¾Ý×ܾÀíµÄÌáÃû£¬Æ¸ÈλòÕß½âÆ¸¹«Ë¾¸±×ܾÀí¡¢²ÆÎñ¸º
ÔðÈ˵ȸ߼¶¹ÜÀíÈËÔ±£¬²¢¾ö¶¨Æä±¨³êÊÂÏîºÍ½±³ÍÊÂÏ
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;
(ʮһ) ÖÆ¶©¹«Ë¾µÄ»ù±¾¹ÜÀíÖÆ¶È£»
to formulate the Company¡¯s basic management system;
(Ê®¶þ) ÖÆ¶©±¾Õ³̵ÄÐ޸ķ½°¸£»
to formulate proposals for any amendment of the Company¡¯s Articles of Association;
(Ê®Èý) ¹ÜÀí¹«Ë¾ÐÅÏ¢Åû¶ÊÂÏ
to manage the information disclosure of the Company;
(Ê®ËÄ) Ïò¹É¶«´ó»áÌáÇëÆ¸Çë»ò¸ü»»Îª¹«Ë¾Éó¼ÆµÄ»á¼ÆÊ¦ÊÂÎñËù£»
to propose to the shareholders¡¯ general meeting for retaining or replacement of the accountancy
firm that does auditing for the Company;
(Ê®Îå) ÌýÈ¡¹«Ë¾×ܾÀíµÄ¹¤×÷»ã±¨²¢¼ì²é×ܾÀíµÄ¹¤×÷£»
to hear reporting from the Company¡¯s general manager and inspect the performance of the
general manager; and
(Ê®Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³ÌÊÚÓèµÄÆäËûְȨ¡£
to exercise any other powers conferred by the laws, administrative regulations, department rules
or the Company¡¯s Articles of Association.
¶Ê»á×÷³öǰ¿î¾öÒéÊÂÏ³ý£¨Áù£©¡¢£¨Æß£©¡¢£¨Ê®¶þ£©ÏîºÍ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°±¾Õ³ÌÁíÓй涨µÄ±ØÐëÓÉ 2/3
ÒÔÉ϶ʱí¾öͬÒâÍ⣬ÆäÓà¿ÉÒÔÓɰëÊýÒÔÉϵĶʱí¾öͬÒâ¡£³¬¹ý¹É¶«´ó»áÊÚȨ·¶Î§µÄÊÂÏӦµ±Ìá½»¹É
¶«´ó»áÉóÒé¡£
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.
µÚÒ»°ÙÁùÊ®ÎåÌõ ¶Ê»áÓ¦µ±¾Í×¢²á»á¼ÆÊ¦¶Ô¹«Ë¾²ÆÎñ±¨¸æ³ö¾ßµÄ·Ç±ê×¼Éó¼ÆÒâ¼ûÏò¹É¶«´ó»á×÷³ö˵Ã÷¡£
Article 165 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.
µÚÒ»°ÙÁùÊ®ÁùÌõ ¶Ê»áÖÆ¶¨¶Ê»áÒéʹæÔò£¬ÒÔÈ·±£¶Ê»áÂäʵ¹É¶«´ó»á¾öÒ飬Ìá¸ß¹¤×÷ЧÂÊ£¬±£Ö¤¿Æ
ѧ¾ö²ß¡£
Article 166 The Board of Directors shall formulate the procedural rules to be followed at meetings of the
57
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÁùÊ®ÆßÌõ ¶Ê»áÓ¦µ±È·¶¨¶ÔÍâͶ×Ê¡¢ÊÕ¹º³öÊÛ×ʲú¡¢×ʲúµÖѺ¡¢¶ÔÍâµ£±£ÊÂÏίÍÐÀí²Æ¡¢¹ØÁª
½»Ò×µÄȨÏÞ£¬½¨Á¢ÑϸñµÄÉó²éºÍ¾ö²ß³ÌÐò£»ÖØ´óͶ×ÊÏîĿӦµ±×éÖ¯ÓйØ×¨¼Ò¡¢×¨ÒµÈËÔ±½øÐÐÆÀÉ󣬲¢±¨¹É
¶«´ó»áÅú×¼¡£
Article 167 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.
µÚÒ»°ÙÁùÊ®°ËÌõ ¹«Ë¾¶Ê³¤¡¢¸±¶Ê³¤ÓɶÊ»áÒÔÈ«Ìå¶ÊµĹý°ëÊýÑ¡¾Ù²úÉúºÍ°ÕÃâ¡£
Article 168 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.
µÚÒ»°ÙÁùÊ®¾ÅÌõ ¶Ê»áÔÚ´¦Öù̶¨×ʲúʱ£¬ÈçÄâ´¦Öù̶¨×ʲúµÄÔ¤ÆÚ¼ÛÖµ£¬Óë´ËÏî´¦Öý¨ÒéǰËĸöÔÂÄÚ
ÒÑ´¦ÖÃÁ˵Ĺ̶¨×ʲúËùµÃµ½µÄ¼ÛÖµµÄ×ܺͣ¬³¬¹ý¹É¶«´ó»á×î½üÉóÒéµÄ×ʲú¸ºÕ®±íËùÏÔʾµÄ¹Ì¶¨×ʲú¼ÛÖµµÄ
°Ù·ÖÖ®ÈýÊ®Èý£¬Ôò¶Ê»áÔÚδ¾¹É¶«´ó»áÅú׼ǰ²»µÃ´¦ÖûòÕßͬÒâ´¦Öøù̶¨×ʲú¡£
Article 169 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.
±¾ÌõËùÖ¸¶Ô¹Ì¶¨×ʲúµÄ´¦Ö㬰üÀ¨×ªÈÃijЩ×ʲúÈ¨ÒæµÄÐÐΪ£¬µ«²»°üÀ¨ÒԹ̶¨×ʲúÌṩµ£±£µÄÐÐΪ¡£
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.
¹«Ë¾´¦Öù̶¨×ʲú½øÐеĽ»Ò×µÄÓÐЧÐÔ£¬²»ÒòÎ¥·´±¾ÌõµÚÒ»¿î¶øÊÜÓ°Ïì¡£
The validity of a disposition by the Company shall not be affected by any breach of the first paragraph of
this Article.
µÚÒ»°ÙÆßÊ®Ìõ ¶Ê³¤Êǹ«Ë¾·¨¶¨´ú±íÈË£¬ÐÐʹÏÂÁÐְȨ£º
Article 170 The chairman of the Board of Directors is the legal representative of the Company and shall
exercise the following powers:
(Ò») Ö÷³Ö¹É¶«´ó»áºÍÕÙ¼¯¡¢Ö÷³Ö¶Ê»á»áÒ飻
to preside over shareholders¡¯ general meetings and to convene and preside over meetings of the
Board of Directors;
(¶þ) ¶½´Ù¡¢¼ì²é¶Ê»á¾öÒéµÄÖ´ÐУ»
to urge and check on the implementation of resolutions passed by the Board of Directors at
Directors¡¯ meetings;
(Èý) Ç©Êð¹«Ë¾·¢ÐеÄ֤ȯ£»
to sign the securities certificates issued by the Company; and
(ËÄ) ¶Ê»áÊÚÓèµÄÆäËûְȨ¡£
to exercise other powers conferred by the Board of Directors.
µÚÒ»°ÙÆßʮһÌõ ¹«Ë¾¸±¶Ê³¤ÐÖú¶Ê³¤¹¤×÷£¬¶Ê³¤²»ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬Óɸ±¶Ê³¤ÂÄ
ÐÐÖ°Îñ£»¸±¶Ê³¤²»ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬ÓɰëÊýÒÔÉ϶ʹ²Í¬ÍƾÙÒ»Ãû¶ÊÂÂÄÐÐÖ°Îñ¡£
58
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Article 171 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.
µÚÒ»°ÙÆßÊ®¶þÌõ ¶Ê»áÿÄêÖÁÉÙÕÙ¿ª 4 ´Î¶¨ÆÚ»áÒ飬Óɶʳ¤ÕÙ¼¯£¬ÓÚ»áÒéÕÙ¿ª 14 ÈÕÒÔǰÊéÃæÍ¨ÖªÈ«Ìå
¶ÊºͼàÊ¡£
Article 172 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.
¶Ê³¤²»ÄÜÕÙ¼¯¡¢Ö÷³Ö»áÒéʱ£¬Óɸ±¶Ê³¤ÕÙ¼¯¡¢Ö÷³Ö¶Ê»ᡣ
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.
µÚÒ»°ÙÆßÊ®ÈýÌõ ´ú±í 1/10 ÒÔÉϱí¾öȨµÄ¹É¶«¡¢1/3 ÒÔÉ϶Ê»òÕß¼àÊ»ᡢ1/2 ÒÔÉ϶ÀÁ¢¶Ê»ò×ܾÀíÌáÒé
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Article 173 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.
µÚÒ»°ÙÆßÊ®ËÄÌõ ¶Ê»áÕÙ¿ª¶Ê»áÁÙʱ»áÒéµÄ֪ͨ·½Ê½Îª×¨ÈËËÍ´ï¡¢Óʼþ¡¢´«Õæ»òµç»°Í¨Öª£»Í¨ÖªÊ±ÏÞ
Ϊ»áÒéÕÙ¿ª 5 ÈÕǰ¡£
Article 174 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.
µÚÒ»°ÙÆßÊ®ÎåÌõ ¶Ê»á»áÒé֪ͨ°üÀ¨ÒÔÏÂÄÚÈÝ:
Article 175 A written notice on the meeting of the Board of Directors shall at least include:
(Ò») »áÒéµÄʱ¼ä¡¢µØµã£»
the time and place of the meeting;
(¶þ) »áÒéµÄÕÙ¿ª·½Ê½£»
the method for holding the meeting;
(Èý) ÄâÉóÒéµÄÊÂÏ»áÒéÌá°¸£©£»
the matters (proposals) to be deliberated;
(ËÄ) »áÒéÕÙ¼¯È˺ÍÖ÷³ÖÈË¡¢ÁÙʱ»áÒéµÄÌáÒéÈ˼°ÆäÊéÃæÌáÒ飻
the convener and the presider of the meeting, the proponent of the special meeting as well as the
written proposals;
(Îå) ¶Ê±í¾öËù±ØÐèµÄ»áÒé²ÄÁÏ£»
the conference materials necessary for the voting of the Board of Directors;
(Áù) ¶ÊÂÓ¦µ±Ç××Ô³öϯ»òÕßίÍÐÆäËû¶Ê´úΪ³öϯ»áÒéµÄÒªÇó£»
the requirement that the Directors shall attend the meeting in person or by entrusting other
Directors; and
(Æß) ÁªÏµÈ˺ÍÁªÏµ·½Ê½¡£
the contact person and contact information.
59
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¿ÚÍ·»áÒé֪ͨÖÁÉÙÓ¦°üÀ¨ÉÏÊöµÚ£¨Ò»£©¡¢£¨¶þ£©¼°£¨Èý£©ÏîÄÚÈÝ£¬ÒÔ¼°Çé¿ö½ô¼±ÐèÒª¾¡¿ìÕÙ¿ª¶Ê»áÁÙʱ»á
ÒéµÄ˵Ã÷¡£
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.
µÚÒ»°ÙÆßÊ®ÁùÌõ ¶Ê»á»áÒéÓ¦µ±Óɹý°ëÊýµÄ¶Ê£¨°üÀ¨°´±¾Õ³̹涨£¬ÊéÃæÎ¯ÍÐÆäËû¶Ê´úΪ³öϯ¶ÊÂ
»áÒéµÄ¶Ê£©³öϯ·½¿É¾ÙÐС£¶Ê»á×÷³ö¾öÒ飬±ØÐë¾È«Ìå¶ÊµĹý°ëÊýͨ¹ý£¬·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»ò±¾Õ³Ì
ÁíÓй涨µÄ³ýÍâ¡£
Article 176 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.
¶Ê»á¾öÒéµÄ±í¾ö£¬ÊµÐÐÒ»ÈËһƱ¡£µ±·´¶ÔƱºÍÔÞ³ÉÆ±ÏàµÈʱ£¬¶Ê³¤ÓÐȨ¶àͶһƱ¡£
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.
µÚÒ»°ÙÆßÊ®ÆßÌõ ¶ÊÂÓë¶Ê»á»áÒé¾öÒéÊÂÏîËùÉæ¼°µÄÆóÒµÓйØÁª¹ØÏµµÄ£¬²»µÃ¶Ô¸ÃÏî¾öÒéÐÐʹ±í¾öȨ£¬
Ò²²»µÃ´úÀíÆäËû¶ÊÂÐÐʹ±í¾öȨ¡£¸Ã¶Ê»á»áÒéÓɹý°ëÊýµÄÎÞ¹ØÁª¹ØÏµ¶Ê³öϯ¼´¿É¾ÙÐУ¬¶Ê»á»áÒéËù
×÷¾öÒéÐë¾ÎÞ¹ØÁª¹ØÏµ¶Ê¹ý°ëÊýͨ¹ý¡£³öϯ¶Ê»áµÄÎÞ¹ØÁª¶ÊÂÈËÊý²»×ã 3 È˵ģ¬Ó¦½«¸ÃÊÂÏîÌá½»¹É¶«
´ó»áÉóÒé¡£¹ØÁª¶ÊµĶ¨ÒåºÍ·¶Î§¸ù¾Ý¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¼°Ö¤È¯½»Ò×ËùµÄÏà¹Ø¹æ¶¨È·¶¨¡£
Article 177 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.
µÚÒ»°ÙÆßÊ®°ËÌõ ¶Ê»á¾öÒé±í¾ö·½Ê½Îª¾ÙÊÖ»ò¼ÇÃûͶƱ±í¾ö¡£
Article 178 Resolutions to be adopted at the meeting of the Board of Directors shall be voted by raising
hands or by secret ballot.
¶Ê»áÁÙʱ»áÒéÔÚ±£Õ϶ʳä·Ö±í´ïÒâ¼ûµÄǰÌáÏ£¬¿ÉÒÔÓô«Õ淽ʽ½øÐв¢×÷³ö¾öÒ飬²¢Óɲλá¶ÊÂÇ©×Ö¡£
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.
µÚÒ»°ÙÆßÊ®¾ÅÌõ ¶Ê»á»áÒ飬ӦÓɶʱ¾È˳öϯ£»¶ÊÂÒò¹Ê²»Äܳöϯ£¬¿ÉÒÔÊéÃæÎ¯ÍÐÆäËû¶Ê´úΪ³öϯ£¬
ίÍÐÊéÖÐÓ¦ÔØÃ÷´úÀíÈ˵ÄÐÕÃû£¬´úÀíÊÂÏî¡¢ÊÚȨ·¶Î§ºÍÓÐЧÆÚÏÞ£¬²¢ÓÉίÍÐÈËÇ©Ãû»ò¸ÇÕ¡£´úΪ³öϯ»áÒé
µÄ¶ÊÂÓ¦µ±ÔÚÊÚȨ·¶Î§ÄÚÐÐʹ¶ÊµÄȨÀû¡£¶ÊÂδ³öϯ¶Ê»á»áÒ飬ÒàδίÍдú±í³öϯµÄ£¬ÊÓΪ·ÅÆúÔÚ¸Ã
´Î»áÒéÉϵÄͶƱȨ¡£
Article 179 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
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
60
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
deemed to have waived his right to vote at the meeting.
µÚÒ»°Ù°ËÊ®Ìõ ¶Ê»áÓ¦µ±¶Ô»áÒéËùÒéÊÂÏîµÄ¾ö¶¨×ö³É»áÒé¼Ç¼£¬³öϯ»áÒéµÄ¶ÊÂÓ¦µ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£
Article 180 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.
¶Ê»á»áÒé¼Ç¼×÷Ϊ¹«Ë¾µµ°¸±£´æ£¬±£´æÆÚÏÞΪ 10 Äê¡£
Such records regarding the resolutions on the matters discussed at the meeting shall be kept as
archives of the Company for ten (10) years.
µÚÒ»°Ù°ËʮһÌõ ¶Ê»á»áÒé¼Ç¼°üÀ¨ÒÔÏÂÄÚÈÝ£º
Article 181 The records of meetings of the Board of Directors shall include:
(Ò») »áÒéÕÙ¿ªµÄÈÕÆÚ¡¢µØµãºÍÕÙ¼¯ÈËÐÕÃû£»
time and place of the meeting and name of the convener;
(¶þ) ³öϯ¶ÊµÄÐÕÃûÒÔ¼°ÊÜËûÈËίÍгöϯ¶Ê»áµÄ¶ÊÂ(´úÀíÈË)ÐÕÃû£»
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;
(Èý) »áÒéÒé³Ì£»
agenda;
(ËÄ) ¶Ê·¢ÑÔÒªµã£¨ÆäÖÐÓ¦¸Ã°üÀ¨¶ÊÂÌá³öµÄÈκÎÒÉÂÇ»ò±í´ïµÄ·´¶ÔÒâ¼û£¬ÈçÓУ©£»
essentials of speeches delivered by Directors (including any doubt raised by the Directors or
objection expressed by the Directors, if any);
(Îå) ÿһ¾öÒéÊÂÏîµÄ±í¾ö·½Ê½ºÍ½á¹û(±í¾ö½á¹ûÓ¦ÔØÃ÷Ô޳ɡ¢·´¶Ô»òÆúȨµÄƱÊý)¡£
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).
µÚÒ»°Ù°ËÊ®¶þÌõ ¶ÊÂÓ¦ÔÚ¶Ê»á¾öÒéÉÏÇ©×Ö²¢¶Ô¶Ê»áµÄ¾öÒé³Ðµ£ÔðÈΡ£¶Ê»á¾öÒéÎ¥·´·¨ÂÉ¡¢·¨¹æ»ò
Õß¹«Ë¾Õ³̡¢¹É¶«´ó»á¾öÒ飬ÖÂʹ¹«Ë¾ÔâÊÜËðʧµÄ£¬²ÎÓë¾öÒéµÄ¶Ê¶Թ«Ë¾¸ºÅâ³¥ÔðÈΡ£µ«¾Ö¤Ã÷ÔÚ±í¾ö
Ê±Ôø±íÃ÷ÒìÒé²¢¼ÇÔØÓÚ»áÒé¼Ç¼µÄ£¬¸Ã¶Ê¿ÉÒÔÃâ³ýÔðÈΡ£
Article 182 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.
µÚÈý½Ú ¶Ê»áÃØÊé
Section 3 Secretary to the Board of Directors
µÚÒ»°Ù°ËÊ®ÈýÌõ ¹«Ë¾Éè¶Ê»áÃØÊ飬¸ºÔð¹«Ë¾¹É¶«´ó»áºÍ¶Ê»á»áÒéµÄ³ï±¸¡¢Îļþ±£¹ÜÒÔ¼°¹«Ë¾¹É¶«×Ê
ÁϹÜÀíµÈÊÂÒË¡£
Article 183 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.
¶Ê»áÃØÊéÊǹ«Ë¾¸ß¼¶¹ÜÀíÈËÔ±£¬¶Ô¹«Ë¾ºÍ¶Ê»ḺÔð£¬Ó¦×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̵ÄÓÐ
¹Ø¹æ¶¨¡£
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
61
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
regulations, department rules and the Company¡¯s Articles of Association.
µÚÒ»°Ù°ËÊ®ËÄÌõ ¹«Ë¾Ó¦µ±Îª¶Ê»áÃØÊéÂÄÐÐÖ°ÔðÌṩ±ãÀûÌõ¼þ£¬¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¼°¹«Ë¾ÓйØ
ÈËÔ±Ó¦µ±Ö§³Ö¡¢ÅäºÏ¶Ê»áÃØÊéµÄ¹¤×÷¡£
Article 184 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.
¶Ê»áÃØÊéΪÂÄÐÐÖ°ÔðÓÐȨÁ˽⹫˾µÄ²ÆÎñºÍ¾ÓªÇé¿ö£¬¹«Ë¾Óйز¿ÃźÍÈËÔ±Ó¦¼°Ê±ÌṩÏà¹Ø×ÊÁϺÍÐÅÏ¢¡£
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.
µÚÒ»°Ù°ËÊ®ÎåÌõ ¶Ê»áÃØÊéÓ¦µ±¾ß±¸ÂÄÐÐÖ°ÔðËù±ØÐèµÄ²ÆÎñ¡¢¹ÜÀí¡¢·¨ÂɵÈרҵ֪ʶ£¬¾ßÓÐÁ¼ºÃµÄÖ°Òµ
µÀµÂºÍ¸öÈËÆ·ÖÊ£¬²¢È¡µÃÉϺ£Ö¤È¯½»Ò×Ëù°ä·¢µÄ¶Ê»áÃØÊéÅàѵºÏ¸ñÖ¤Êé¡£
Article 185 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.
¾ßÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄÈËÊ¿²»µÃµ£ÈζÊ»áÃØÊ飺
Any of the following persons shall not serve as a secretary to the Board of Directors:
(Ò») ¡¶¹«Ë¾·¨¡·µÚÒ»°ÙËÄÊ®ÁùÌõ¹æ¶¨µÄÈκÎÒ»ÖÖÇéÐΣ»
any circumstance as provided in article 146 of the Company Law;
(¶þ) ×î½üÈýÄêÊܵ½¹ýÖйúÖ¤¼à»áµÄÐÐÕþ´¦·££»
having been subject to the administrative punishment of China Securities Regulatory Commission
in the recent year years;
(Èý) ×î½üÈýÄêÊܵ½¹ý֤ȯ½»Ò×Ëù¹«¿ªÇ´Ôð»òÕßÈý´ÎÒÔÉÏͨ±¨ÅúÆÀ£»
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;
(ËÄ) ±¾¹«Ë¾ÏÖÈμàÊ£»
Currently serving as supervisor of the Company; or
(Îå) ÉϺ£Ö¤È¯½»Ò×ËùÈ϶¨²»Êʺϵ£ÈζÊ»áÃØÊéµÄÆäËûÇéÐΡ£
Other circumstances which Shanghai Stock Exchange deems inappropriate to take the post of
secretary to the Board of Directors.
µÚÒ»°Ù°ËÊ®ÁùÌõ ¶Ê»áÃØÊéÓ¦µ±×ñÊØ¹«Ë¾Õ³̣¬³Ðµ£¹«Ë¾¸ß¼¶¹ÜÀíÈËÔ±µÄÓйط¨ÂÉÔðÈΣ¬¶Ô¹«Ë¾¸ºÓгÏ
ÐźÍÇÚÃãÒåÎñ£¬²»µÃÀûÓÃְȨΪ×Ô¼º»òËûÈËıȡ²»Õýµ±ÀûÒæ¡£
Article 186 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.
µÚÒ»°Ù°ËÊ®ÆßÌõ ¶Ê»áÃØÊéµÄÖ°Ôð£º
Article 187 The responsibilities of the secretary to the Board of Directors are to:
(Ò») ¸ºÔð¹«Ë¾ÐÅÏ¢¶ÔÍ⹫²¼£¬Ðµ÷¹«Ë¾ÐÅÏ¢Åû¶ÊÂÎñ£¬×éÖ¯ÖÆ¶¨¹«Ë¾ÐÅÏ¢Åû¶ÊÂÎñ¹ÜÀíÖÆ¶È£¬¶½´Ù¹«Ë¾
ºÍÏà¹ØÐÅÏ¢Åû¶ÒåÎñÈË×ñÊØÐÅÏ¢Åû¶Ïà¹Ø¹æ¶¨£»
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
62
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
observe related provisions governing information disclosure;
(¶þ) ¸ºÔðͶ×ÊÕß¹ØÏµ¹ÜÀí£¬Ðµ÷¹«Ë¾Óë֤ȯ¼à¹Ü»ú¹¹¡¢Í¶×ÊÕß¡¢Ö¤È¯·þÎñ»ú¹¹¡¢Ã½ÌåµÈÖ®¼äµÄÐÅÏ¢¹µÍ¨£»
administer investor relations, coordinate the information communication among the Company and
the securities regulatory institution, investors, security service agencies and the medias;
(Èý) ×éÖ¯³ï±¸¶Ê»á»áÒéºÍ¹É¶«´ó»á»áÒ飬²Î¼Ó¹É¶«´ó»á»áÒé¡¢¶Ê»á»áÒé¡¢¼àÊ»á»áÒé¼°¸ß¼¶¹ÜÀíÈË
Ô±Ïà¹Ø»áÒ飬¸ºÔð¶Ê»á»áÒé¼Ç¼¹¤×÷²¢Ç©×Ö
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;
(ËÄ) ¸ºÔð¹«Ë¾ÐÅÏ¢Åû¶µÄ±£Ãܹ¤×÷£¬ÔÚδ¹«¿ªÖØ´óÐÅϢй¶ʱ£¬¼°Ê±ÏòÉϺ£Ö¤È¯½»Ò×Ëù±¨¸æ²¢Åû¶£»
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;
(Îå) ¹Ø×¢Ã½Ì屨µÀ²¢Ö÷¶¯ÇóÖ¤±¨µÀµÄÕæÊµÐÔ£¬¶½´Ù¹«Ë¾¶Ê»ἰʱ»Ø¸´±¾ËùÎÊѯ£»
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;
(Áù) ×éÖ¯¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËÔ±½øÐÐÏà¹Ø·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾¹æÔò¼°Ïà¹Ø¹æ¶¨µÄÅàѵ£¬ÐÖúǰ
ÊöÈËÔ±Á˽â¸÷×ÔÔÚÐÅÏ¢Åû¶ÖеÄÖ°Ôð£»
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;
(Æß) ֪Ϥ¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËԱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢ ÆäËû¹æ·¶ÐÔÎļþ¡¢±¾¹æÔò¡¢
±¾ËùÆäËû¹æ¶¨ºÍ¹«Ë¾Õ³Ìʱ£¬»òÕß¹«Ë¾×÷³ö»ò¿ÉÄÜ×÷³öÎ¥·´Ïà¹Ø¹æ¶¨µÄ¾ö²ßʱ£¬Ó¦µ±ÌáÐÑÏà¹ØÈËÔ±£¬
²¢Á¢¼´ÏòÉϺ£Ö¤È¯½»Ò×Ëù±¨¸æ£»
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;
(°Ë) ¸ºÔð¹«Ë¾¹ÉȨ¹ÜÀíÊÂÎñ£¬±£¹Ü¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¡¢¿Ø¹É¹É¶«¼°Æä¶Ê¡¢¼àÊ¡¢¸ß¼¶¹Ü
ÀíÈËÔ±³ÖÓб¾¹«Ë¾¹É·ÝµÄ×ÊÁÏ£¬²¢¸ºÔðÅû¶¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±³Ö¹É±ä¶¯Çé¿ö£»
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;
(¾Å) ±£Ö¤¹«Ë¾ÓÐÍêÕûµÄ×éÖ¯ÎļþºÍ¼Ç¼£»
ensure the Company safekeep complete organizational files and records;
(Ê®) È·±£¹«Ë¾ÒÀ·¨×¼±¸ºÍµÝ½»ÓÐȨ»ú¹¹ÒªÇóµÄ±¨¸æºÍÎļþ£»
ensure that the Company prepare and deliver, in accordance with law, the reports and documents
required by competent authorities;
(ʮһ) ±£Ö¤¹«Ë¾µÄ¹É¶«Ãû²áÍ×ÉÆÉèÁ¢£¬±£Ö¤ÓÐȨµÃµ½¹«Ë¾ÓйؼǼºÍÎļþµÄÈ˼°Ê±µÃµ½ÓйؼǼºÍÎļþ¡£
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
63
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ê®¶þ) ¡¶¹«Ë¾·¨¡·¡¢ÖйúÖ¤¼à»áºÍÉϺ£Ö¤È¯½»Ò×ËùÒªÇóÂÄÐÐµÄÆäËûÖ°Ôð¡£
perform other duties as required by the Company Law, China Securities Regulatory Commission
and Shanghai Stock Exchange.
µÚÒ»°Ù°ËÊ®°ËÌõ ¶Ê»áÃØÊéÓɶʳ¤ÌáÃû£¬¾¶ÊÂ»áÆ¸ÈλòÕß½âÆ¸¡£¶Ê¼æÈζÊ»áÃØÊéµÄ£¬ÈçijһÐÐ
ΪÐèÓɶÊ¡¢¶Ê»áÃØÊé·Ö±ð×÷³öʱ£¬Ôò¸Ã¼æÈζʼ°¹«Ë¾¶Ê»áÃØÊéµÄÈ˲»µÃÒÔË«ÖØÉí·Ý×÷³ö¡£
Article 188 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.
µÚÒ»°Ù°ËÊ®¾ÅÌõ ¹«Ë¾½âƸ¶Ê»áÃØÊéÓ¦µ±¾ßÓгä·ÖÀíÓÉ£¬²»µÃÎ޹ʽ«Æä½âƸ¡£
Article 189 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.
µÚÒ»°Ù¾ÅÊ®Ìõ ¶Ê»áÃØÊéÓÐÒÔÏÂÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾Ó¦µ±×ÔÊÂʵ·¢ÉúÖ®ÈÕÆðÔÚ 1 ¸öÔÂÄÚ½âÆ¸¶Ê»áÃØÊ飺
Article 190 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:
(Ò») Á¬Ðø 3 ¸öÔÂÒÔÉϲ»ÄÜÂÄÐÐÖ°Ôð£»
failing to perform his duties for three (3) consecutive months or more;
(¶þ) ÔÚÖ´ÐÐÖ°Îñʱ³öÏÖÖØ´ó´íÎó»òÊè©£¬¸ø¹«Ë¾Ôì³ÉÖØ´óËðʧ£»
having gross errors or omissions in performing duties and causing heavy losses to the Company;
or
(Èý) Î¥·´¹ú¼Ò·¨ÂÉ¡¢·¨¹æ¡¢¹æÕº͹«Ë¾Õ³̣¬¸ø¹«Ë¾Ôì³ÉÖØ´óËðʧ¡£
violating laws, regulations and rules of the State or the Company¡¯s Articles of Association and thus
causing heavy losses to the Company.
µÚÒ»°Ù¾ÅʮһÌõ ¹«Ë¾Ó¦µ±ÔÚÆ¸ÈζÊ»áÃØÊéʱÓëÆäÇ©¶©±£ÃÜÐÒ飬ҪÇóÆä³ÐŵÔÚÈÎÖ°ÆÚ¼äÒÔ¼°ÔÚÀëÈκó
³ÖÐøÂÄÐб£ÃÜÒåÎñÖ±ÖÁÓйØÐÅÏ¢Åû¶Ϊֹ£¬µ«Éæ¼°¹«Ë¾Î¥·¨Î¥¹æµÄÐÅÏ¢³ýÍâ¡£
Article 191 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.
¶Ê»áÃØÊéÀëÈÎǰ£¬Ó¦µ±½ÓÊܶÊ»ᡢ¼àÊ»áµÄÀëÈÎÉó²é£¬ÔÚ¹«Ë¾¼àÊ»áµÄ¼à¶½ÏÂÒÆ½»Óйصµ°¸Îļþ¡¢Õý
ÔÚ°ìÀí»ò´ý°ìÀíÊÂÏî¡£
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.
µÚÒ»°Ù¾ÅÊ®¶þÌõ ¹«Ë¾¶Ê»áÃØÊé¿ÕȱÆÚ¼ä£¬¶Ê»áÓ¦µ±Ö¸¶¨Ò»Ãû¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±´úÐжÊ»áÃØÊéµÄ
Ö°Ôð¡£¹«Ë¾±ØÐëÔÚÔÈζÊ»áÃØÊéÀëÖ°ºó 3 ¸öÔÂÄÚÕýʽƸÈζÊ»áÃØÊé¡£
Article 192 The Board of Directors shall, during the vacancy of the secretary to the Board of Directors,
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.
µÚÒ»°Ù¾ÅÊ®ÈýÌõ ¹«Ë¾¶Ê»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±¿ÉÒÔ¼æÈι«Ë¾¶Ê»áÃØÊé¡£¹«Ë¾Æ¸ÇëµÄ»á¼ÆÊ¦ÊÂÎñËùµÄ
»á¼ÆÊ¦²»µÃ¼æÈι«Ë¾¶Ê»áÃØÊé¡£
Article 193 A Director or other senior officer of the Company may also act as the secretary to the Board
64
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
of Directors. An accountant of the accountancy firm retained by the Company shall not act as the
secretary to the Board of Directors.
µ±¹«Ë¾¶Ê»áÃØÊéÓɶʼæÈÎʱ£¬ÈçijһÐÐΪӦµ±Óɶʼ°¹«Ë¾¶Ê»áÃØÊé·Ö±ð×÷³ö£¬Ôò¸Ã¼æÈζʼ°¹«
˾¶Ê»áÃØÊéµÄÈ˲»µÃÒÔË«ÖØÉí·Ý×÷³ö¡£
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.
µÚËÄ½Ú ¶Ê»áרÃÅίԱ»á
Section 4 Special Committee of the Board of Directors
µÚÒ»°Ù¾ÅÊ®ËÄÌõ ¹«Ë¾¶Ê»áÉèÁ¢Õ½ÂÔ¡¢É󼯡¢ÌáÃû¡¢Ð½³êÓ뿼ºËµÈרÃÅίԱ»á¡£×¨ÃÅίԱ»á³ÉԱȫ²¿ÓÉ
¶ÊÂ×é³É£¬ÆäÖÐÉó¼ÆÎ¯Ô±»á¡¢ÌáÃûίԱ»á¡¢Ð½³êÓ뿼ºËίԱ»áÖжÀÁ¢¶ÊÂÓ¦Õ¼¶àÊý²¢µ£ÈÎÕÙ¼¯ÈË£¬Éó¼ÆÎ¯
Ô±»áµÄÕÙ¼¯ÈËΪ»á¼Æ×¨ÒµÈËÊ¿¡£¶Ê»ḺÔðÖÆ¶¨×¨ÃÅίԱ»á¹¤×÷¹æ³Ì£¬¹æ·¶×¨ÃÅίԱ»áµÄÔË×÷¡£
Article 194 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. The convener of the audit
committee shall be an accounting professional. The Board is responsible for formulating working rules,
to standardize the operation of of the special committees.
µÚÒ»°Ù¾ÅÊ®ÎåÌõ Õ½ÂÔίԱ»áµÄÖ÷ÒªÖ°ÔðÊǶԹ«Ë¾³¤ÆÚ·¢Õ¹Õ½ÂÔºÍÖØ´óͶ×ʾö²ß½øÐÐÑо¿²¢Ìá³ö½¨Òé¡£
Article 195 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.
µÚÒ»°Ù¾ÅÊ®ÁùÌõ Éó¼ÆÎ¯Ô±»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 196 The primary responsibilities of the audit committee are to:
(Ò») ÌáÒ鯏Çë»ò¸ü»»ÍⲿÉ󼯻ú¹¹£»
propose to retain or replace an external auditing office;
(¶þ) ¼à¶½¹«Ë¾µÄÄÚ²¿Éó¼ÆÖƶȼ°Æäʵʩ£»
supervise the internal auditing system of the Company and its implementation;
(Èý) ¸ºÔðÄÚ²¿Éó¼ÆÓëÍⲿÉó¼ÆÖ®¼äµÄ¹µÍ¨£»
take charge of the communication between internal auditors and external auditors;
(ËÄ) ÉóºË¹«Ë¾µÄ²ÆÎñÐÅÏ¢¼°ÆäÅû¶£»
audit financial information of the Company and its disclosure;
(Îå) Éó²é¹«Ë¾µÄÄÚ¿ØÖƶȣ»
audit the internal control system of the Company; and
(Áù) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®ÆßÌõ ÌáÃûίԱ»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 197 The primary responsibilities of the nomination committee are to:
(Ò») Ñо¿¶Ê¡¢×ܾÀíÈËÔ±µÄÑ¡Ôñ±ê×¼ºÍ³ÌÐò²¢Ìá³ö½¨Ò飻
work over the selection standards and procedures for Directors and general manager and table
proposals;
(¶þ) ¹ã·ºËÑѰºÏ¸ñµÄ¶ÊºÍ×ܾÀíÈËÔ±µÄÈËÑ¡£»
65
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
widely seek qualified candidates of Directors and that of the general manager;
(Èý) ¶Ô¶ÊºòÑ¡È˺Í×ܾÀíÈËÑ¡½øÐÐÉó²é²¢Ìá³ö½¨Ò飻
examine the candidate of Director and that of the general manager and make suggestions; and
(ËÄ) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®°ËÌõ н³êÓ뿼ºËίԱ»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 198 The primary responsibilities of the remuneration and assessment committees are to:
(Ò») Ñо¿¶ÊÂÓë×ܾÀíÈËÔ±¿¼ºËµÄ±ê×¼£¬½øÐп¼ºË²¢Ìá³ö½¨Ò飻
work out the assessment standards for Directors and the general manager, make assessment and
table proposals;
(¶þ) Ñо¿ºÍÉó²é¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄн³êÕþ²ßÓë·½°¸£»
study and examine the remuneration policies and proposals for Directors and senior management
members; and
(Èý) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®¾ÅÌõ ¸÷רÃÅίԱ»á¿ÉÒÔÆ¸ÇëÖнé»ú¹¹ÌṩרҵÒâ¼û£¬ÓйطÑÓÃÓɹ«Ë¾³Ðµ£¡£
Article 199 Each special committee may engage an intermediary to provide professional suggestions,
and expenses incurred thereby shall be borne by the Company.
µÚ¶þ°ÙÌõ ¸÷רÃÅίԱ»á¶Ô¶Ê»ḺÔ𣬸÷רÃÅίԱ»áµÄÌá°¸Ó¦Ìá½»¶Ê»áÉó²é¾ö¶¨¡£
Article 200 Each special committee shall be accountable for the Board of Directors, and submit their
proposals to the Board of Directors for examination.
µÚ¾ÅÕ ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±
Chapter 9 General Manager and Other Senior Management Members
µÚ¶þ°ÙÁãÒ»Ìõ ¹«Ë¾Éè×ܾÀí 1 Ãû£¬ÓɶÊÂ»áÆ¸Èλò½âƸ¡£¹«Ë¾É踱×ܾÀíÈô¸ÉÃû£¬²ÆÎñ×ܼà 1 Ãû£¬ÓÉ×Ü
¾ÀíÌáÃû¾¶Ê»á¾öÒ鯏Èλò½âƸ¡£
Article 201 The Company shall have one (1) general manager, who shall be appointed or dismissed by
the Board of Directors. The Company shall have several 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.
¹«Ë¾×ܾÀí¡¢¸±×ܾÀí¡¢²ÆÎñ×ܼࡢ¶Ê»áÃØÊéΪ¹«Ë¾¸ß¼¶¹ÜÀíÈËÔ±¡£
The general manager, vice general manager, CFO and secretary to the Board of Directors shall serve as
senior management members of the Company.
µÚ¶þ°ÙÁã¶þÌõ ÔÚ¹«Ë¾¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈ˵¥Î»µ£Èγý¶Ê¡¢¼àÊÂÒÔÍâÆäËûÖ°ÎñµÄÈËÔ±£¬²»µÃµ£Èι«Ë¾
µÄ¸ß¼¶¹ÜÀíÈËÔ±¡£
Article 202 Any person working in the controlling shareholder or actual controller of the Company other
than as a Director or supervisor shall not serve as a senior management member of the Company.
µÚ¶þ°ÙÁãÈýÌõ ×ܾÀíÿ½ìÈÎÆÚ 3 Ä꣬Á¬Æ¸¿ÉÒÔÁ¬ÈΡ£
Article 203 The term of office of the general manager shall be three (3) years, renewable upon
re-appointment.
µÚ¶þ°ÙÁãËÄÌõ ×ܾÀí¶Ô¶Ê»ḺÔð£¬ÐÐʹÏÂÁÐְȨ£º
Article 204 The general manager shall be accountable to the Board of Directors and shall exercise the
66
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
following functions and powers:
(Ò») Ö÷³Ö¹«Ë¾µÄÉú²ú¾Óª¹ÜÀí¹¤×÷£¬×é֯ʵʩ¶Ê»á¾öÒ飬²¢Ïò¶Ê»ᱨ¸æ¹¤×÷£»
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;
(¶þ) ×é֯ʵʩ¹«Ë¾Äê¶È¾Óª¼Æ»®ºÍͶ×Ê·½°¸£»
to organize the implementation of the Company¡¯s annual business plan and investment proposals;
(Èý) Äâ¶©¹«Ë¾ÄÚ²¿¹ÜÀí»ú¹¹ÉèÖ÷½°¸£»
to draft plans for the establishment of the Company¡¯s internal management structure;
(ËÄ) Äâ¶©¹«Ë¾µÄ»ù±¾¹ÜÀíÖÆ¶È£»
to draft the Company¡¯s basic management system;
(Îå) ÖÆ¶¨¹«Ë¾µÄ¾ßÌ广Õ£»
to formulate specific rules and regulations for the Company;
(Áù) ÌáÇë¶ÊÂ»áÆ¸ÈλòÕß½âÆ¸¹«Ë¾¸±×ܾÀí¡¢²ÆÎñ¸ºÔðÈË£»
to propose the appointment or dismissal by the Board of Directors of the Company¡¯s vice general
manager and CFO;
(Æß) ¾ö¶¨Æ¸ÈλòÕß½âÆ¸³ýÓ¦ÓɶÊ»á¾ö¶¨Æ¸ÈλòÕß½âÆ¸ÒÔÍâµÄ¸ºÔð¹ÜÀíÈËÔ±£»
to appoint or dismiss management personnel other than those required to be appointed or
dismissed by the Board of Directors;
(°Ë) ±¾Õ³̻ò¶Ê»áÊÚÓèµÄÆäËûְȨ¡£
other powers conferred by the Company¡¯s Articles of Association or the Board of Directors.
×ܾÀíÁÐϯ¶Ê»á»áÒé¡£·Ç¶Ê¾ÀíÔÚ¶Ê»á»áÒéÉÏûÓбí¾öȨ¡£
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.
µÚ¶þ°ÙÁãÎåÌõ ×ܾÀíÓ¦ÖÆ¶©×ܾÀí¹¤×÷ϸÔò£¬±¨¶Ê»áÅú×¼ºóʵʩ¡£
Article 205 The general manager shall formulate working rules of the general manager, and shall be
implemented after being approved by the Board of Directors.
(Ò») ×ܾÀí»áÒéÕÙ¿ªµÄÌõ¼þ¡¢³ÌÐòºÍ²Î¼ÓµÄÈËÔ±£»
specifying conditions, procedure and participants of the general manager¡¯s meeting;
(¶þ) ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±¸÷×Ô¾ßÌåµÄÖ°Ôð¼°Æä·Ö¹¤£»
responsibilities and work allocation of the general manager and other senior management
members of the Company,
(Èý) ¹«Ë¾×ʽð¡¢×ʲúÔËÓã¬Ç©¶©ÖØ´óºÏͬµÄȨÏÞ£¬ÒÔ¼°Ïò¶Ê»ᡢ¼àÊ»áµÄ±¨¸æÖƶȣ»
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
(ËÄ) ¶Ê»áÈÏΪ±ØÒªµÄÆäËûÊÂÏî¡£
other matters which the Board of Directors deems necessary.
µÚ¶þ°ÙÁãÁùÌõ ¹«Ë¾¾ÀíÔÚÐÐʹְȨʱ£¬Ó¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹«Ë¾Õ³̵Ĺ涨£¬ÂÄÐгÏÐźÍÇÚÃãµÄ
ÒåÎñ¡£
Article 206 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.
67
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þ°ÙÁãÆßÌõ ×ܾÀí¿ÉÒÔÔÚÈÎÆÚ½ìÂúÒÔǰÌá³ö´ÇÖ°¡£ÓйØ×ܾÀí´ÇÖ°µÄ¾ßÌå³ÌÐòºÍ°ì·¨ÓÉ×ܾÀíÓ빫˾
Ö®¼äµÄƸÈκÏͬ¹æ¶¨¡£
Article 207 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.
µÚ¶þ°ÙÁã°ËÌõ ×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺæ
¶¨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 208 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.
µÚʮՠ¼àÊ»á
Chapter 10 Board of Supervisors
µÚÒ»½Ú ¼àÊÂ
Section 1 Supervisors
µÚ¶þ°ÙÁã¾ÅÌõ ¶Ê¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±²»µÃ¼æÈμàÊ¡£
Article 209 The Directors, general manager and other senior management members of the Company
shall not act concurrently as supervisors.
µÚ¶þ°ÙһʮÌõ ¼àÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÖÒʵÒåÎñºÍÇÚÃãÒåÎñ£¬²»µÃÀûÓÃְȨ
ÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾µÄ²Æ²ú¡£
Article 210 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.
µÚ¶þ°ÙһʮһÌõ ¼àÊÂÿ½ìÈÎÆÚ 3 Ä꣬ÈÎÆÚ½ìÂú£¬Á¬Ñ¡¿ÉÒÔÁ¬ÈΡ£
Article 211 Each supervisor shall serve for a term of three (3) years, which term is renewable upon
reelection upon expiry.
µÚ¶þ°Ùһʮ¶þÌõ ¼àÊÂÈÎÆÚ½ìÂúδ¼°Ê±¸ÄÑ¡£¬»òÕß¼àÊÂÔÚÈÎÆÚÄÚ´ÇÖ°µ¼Ö¼àÊ»á³ÉÔ±µÍÓÚ·¨¶¨ÈËÊýµÄ£¬ÔÚ
¸ÄÑ¡³öµÄ¼àʾÍÈÎǰ£¬Ô¼àÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÂÄÐмàÊÂÖ°Îñ¡£
Article 212 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.
µÚ¶þ°ÙһʮÈýÌõ ¼àÊÂÓ¦µ±±£Ö¤¹«Ë¾Åû¶µÄÐÅÏ¢ÕæÊµ¡¢×¼È·¡¢ÍêÕû¡£
Article 213 A supervisor shall ensure that information disclosed by the Company is true, accurate and
complete.
µÚ¶þ°ÙһʮËÄÌõ ¼àÊ¿ÉÒÔÁÐϯ¶Ê»á»áÒ飬²¢¶Ô¶Ê»á¾öÒéÊÂÏîÌá³öÖÊѯ»òÕß½¨Òé¡£
Article 214 Supervisors shall attend meetings of the Board of Directors and may raise queries or
proposals regarding matters discussed at such meetings.
µÚ¶þ°ÙһʮÎåÌõ ¼àʲ»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ£¬Èô¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 215 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.
68
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þ°ÙһʮÁùÌõ ¼àÊÂÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧ
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Article 216 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.
µÚ¶þ°ÙһʮÆßÌõ ¼àÊ»áÐÐʹְȨʱƸÇëÂÉʦ¡¢×¢²á»á¼ÆÊ¦¡¢Ö´ÒµÉó¼ÆÊ¦µÈרҵÈËÔ±Ëù·¢ÉúµÄºÏÀí·ÑÓã¬
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Article 217 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.
µÚ¶þ½Ú ¼àÊ»á
Section 2 Board of Supervisors
µÚ¶þ°Ùһʮ°ËÌõ ¹«Ë¾Éè¼àÊ»ᡣ¼àÊ»áÓÉ 7 Ãû¼àÊÂ×é³É£¬¼àÊ»áÉèÖ÷ϯ 1 ÈË¡£¼àÊ»áÖ÷ϯµÄÈÎÃ⣬Ӧµ±
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ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬ÓɰëÊýÒÔÉϼàʹ²Í¬ÍƾÙÒ»Ãû¼àÊÂÕÙ¼¯ºÍÖ÷³Ö¼àÊ»á»áÒé¡£
Article 218 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.
¼àÊ»áÓ¦µ±°üÀ¨¹É¶«´ú±íºÍÊʵ±±ÈÀýµÄ¹«Ë¾Ö°¹¤´ú±í£¬ÆäÖÐÖ°¹¤´ú±íµÄ±ÈÀý²»µÍÓÚ 1/3¡£¼àÊ»áÖеÄÖ°¹¤
´ú±íÓɹ«Ë¾Ö°¹¤Í¨¹ýÖ°¹¤´ú±í´ó»á¡¢Ö°¹¤´ó»á»òÕ߯äËûÐÎʽÃñÖ÷Ñ¡¾Ù²úÉúºÍ°ÕÃâ¡£
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.
µÚ¶þ°Ùһʮ¾ÅÌõ ¼àÊ»áÏò¹É¶«´ó»á¸ºÔ𣬲¢ÒÀ·¨ÐÐʹÏÂÁÐְȨ£º
Article 219 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:
(Ò») Ó¦µ±¶Ô¶Ê»á±àÖÆµÄ¹«Ë¾¶¨ÆÚ±¨¸æ½øÐÐÉóºË²¢Ìá³öÊéÃæÉóºËÒâ¼û£»
examine regular reports prepared by the Board of Directors and propose written examination
suggestions;
(¶þ) ¼ì²é¹«Ë¾²ÆÎñ£»
to review the Company¡¯s financial position;
(Èý) ¶Ô¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñµÄÐÐΪ½øÐмල£¬¶ÔÎ¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̻òÕ߹ɶ«´ó
»á¾öÒéµÄ¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ìá³ö°ÕÃâµÄ½¨Ò飻
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;
(ËÄ) µ±¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄÐÐΪË𺦹«Ë¾µÄÀûÒæÊ±£¬ÒªÇó¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÓèÒÔ¾ÀÕý£»
69
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
to demand any Director or senior officer who acts in a manner which is harmful to the Company¡¯s
interest to rectify such behavior;
(Îå) ÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬ÔÚ¶Ê»᲻ÂÄÐС¶¹«Ë¾·¨¡·¹æ¶¨µÄÕÙ¼¯ºÍÖ÷³Ö¹É¶«´ó»áÖ°ÔðʱÕÙ¼¯ºÍÖ÷³Ö
¹É¶«´ó»á£»
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;
(Áù) Ïò¹É¶«´ó»áÌá³öÌá°¸£»
to submit proposals to shareholders¡¯ general meetings;
(Æß) ´ú±í¹«Ë¾Óë¶Ê½»Éæ»òÒÀÕÕ¡¶¹«Ë¾·¨¡·µÚÒ»°ÙÎåÊ®¶þÌõµÄ¹æ¶¨£¬¶Ô¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÌáÆðËßËÏ£»
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;
(°Ë) ·¢ÏÖ¹«Ë¾¾ÓªÇé¿öÒì³££¬¿ÉÒÔ½øÐе÷²é£»±ØÒªÊ±£¬¿ÉÒÔÆ¸Çë»á¼ÆÊ¦ÊÂÎñËù¡¢ÂÉʦÊÂÎñËùµÈרҵ»ú¹¹
ÐÖúÆä¹¤×÷£¬·ÑÓÃÓɹ«Ë¾³Ðµ££»
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
(¾Å) ºË¶Ô¶Ê»áÄâÌá½»¹É¶«´ó»áµÄ²ÆÎñ±¨¸æ¡¢ÓªÒµ±¨¸æºÍÀûÈó·ÖÅä·½°¸µÈ²ÆÎñ×ÊÁÏ£¬·¢ÏÖÒÉÎʵģ¬¿ÉÒÔ
¹«Ë¾ÃûÒåίÍÐ×¢²á»á¼ÆÊ¦¡¢Ö´ÒµÉó¼ÆÊ¦°ïÖú¸´Éó£»
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
(Ê®) ¹«Ë¾Õ³̹涨µÄÆäËûְȨ¡£
such other functions and powers as provided by the Company¡¯s Articles of association.
µÚ¶þ°Ù¶þÊ®Ìõ ¼àÊ»áÓ¦ÖÆ¶¨¹æ·¶µÄ¼àÊ»áÒéʹæÔò£¬Ã÷È·¼àÊ»áµÄÒéÊ·½Ê½ºÍ±í¾ö³ÌÐò£¬ÒÔÈ·±£¼àÊ»á
µÄ¹¤×÷ЧÂʺͼලÁ¦¶È¡£
Article 220 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.
µÚ¶þ°Ù¶þʮһÌõ ¼àÊ»áÿ 6 ¸öÔÂÖÁÉÙÕÙ¿ªÒ»´Î»áÒ飬»áÒé֪ͨӦµ±ÔÚ»áÒéÕÙ¿ª 10 ÈÕÒÔǰ֪ͨȫÌå¼àÊ¡£
¼àÊ»á¿ÉÒÔÕÙ¿ªÁÙʱ¼àÊ»á»áÒ飬ÁÙʱ»áÒé¿ÉÒÔÒÔ´«Õæ¡¢Óʼþ»òרÈËËÍ´ïµÈ·½Ê½ÓÚ»áÒéÕÙ¿ªÇ° 5 ÈÕ֪ͨȫ
Ìå¼àÊ¡£
Article 221 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.
µÚ¶þ°Ù¶þÊ®¶þÌõ ¼àÊ»á»áÒé֪ͨ°üÀ¨ÒÔÏÂÄÚÈÝ£º
Article 222 Notice of the meeting of the Board of Supervisors shall include:
(Ò») ¾ÙÐлáÒéµÄÈÕÆÚ¡¢µØµãºÍ»áÒéÆÚÏÞ£»
the date, place and duration of the meeting
(¶þ) ÊÂÓɼ°ÒéÌ⣻
70
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
particulars of a matter and the matters to be discussed; and
(Èý) ·¢³ö֪ͨµÄÈÕÆÚ¡£
the date when the notice is given.
µÚÈý½Ú ¼àÊ»á¾öÒé
Section 3 Resolution of the Board of Supervisors
µÚ¶þ°Ù¶þÊ®ÈýÌõ ¼àÊ»á»áÒéÓ¦Óɼàʱ¾ÈËÇ××Ô³öϯ£¬¼àÊÂÒò¹Ê²»ÄÜÇ××Ô³öϯʱ£¬¿ÉίÍÐÆäËû¼àÊ´úΪ³ö
ϯ£¬Î¯ÍÐÊéÓ¦Ã÷È·´úÀíÊÂÏîºÍȨÏÞ¡£
Article 223 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.
¼àÊ»á»áÒéÓ¦µ±°ëÊýÒÔÉϼàʳöϯ·½¿É¾ÙÐУ¬Ã¿Ò»¼àÊÂÏíÓÐһƱ±í¾öȨ¡£¼àÊ»á×ö³ö¾öÒ飬Ӧµ±ÓÉÈý·ÖÖ®
¶þÒÔÉÏ£¨º¬Èý·ÖÖ®¶þ£©¼àÊ»á³ÉÔ±±í¾öͨ¹ý¡£
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.
µÚ¶þ°Ù¶þÊ®ËÄÌõ ¼àÊ»á»áÒéÓ¦ÓмǼ£¬³öϯ»áÒéµÄ¼àʺͼǼÈË£¬Ó¦µ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£¼àÊÂÓÐȨҪ
ÇóÔڼǼÉÏ¶ÔÆäÔÚ»áÒéÉϵķ¢ÑÔ×÷³öijÖÖ˵Ã÷ÐÔ¼ÇÔØ¡£¼àÊ»á»áÒé¼Ç¼×÷Ϊ¹«Ë¾µµ°¸ÓɶÊ»áÃØÊé±£´æ¡£
¼àÊ»á»áÒé¼Ç¼µÄ±£¹ÜÆÚΪ 10 Äê¡£
Article 224 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.
µÚʮһÕ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄ×ʸñºÍÒåÎñ
Chapter 11 Qualifications and Duties of the Directors, Supervisors and
Senior Management Members of the Company
µÚ¶þ°Ù¶þÊ®ÎåÌõ ÓÐÏÂÁÐÇé¿öÖ®Ò»µÄ£¬²»µÃµ£Èι«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±£º
Article 225 No one shall be a Director, supervisor, general manager or other senior officer of the
Company if subject to any of the following circumstances:
(Ò») ÎÞÃñÊÂÐÐΪÄÜÁ¦»òÕßÏÞÖÆÃñÊÂÐÐΪÄÜÁ¦£»
being without civil capacity or having limited civil capacity;
(¶þ) Òò·¸ÓÐ̰ÎÛ¡¢»ß¸¡¢ÇÖÕ¼²Æ²ú¡¢Å²ÓòƲú×ï»òÕßÆÆ»µÉç»á¾¼ÃÖÈÐò×±»Åд¦ÐÌ·££¬Ö´ÐÐÆÚÂúδÓâ
ÎåÄ꣬»òÕßÒò·¸×ï±»°þ¶áÕþÖÎȨÀû£¬Ö´ÐÐÆÚÂúδÓâÎåÄꣻ
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;
(Èý) µ£ÈÎÒò¾Óª¹ÜÀí²»ÉÆÆÆ²úÇåËãµÄ¹«Ë¾¡¢ÆóÒµµÄ¶Ê»òÕß³§³¤¡¢¾Àí£¬²¢¶Ô¸Ã¹«Ë¾¡¢ÆóÒµµÄÆÆ²ú¸ºÓÐ
¸öÈËÔðÈεģ¬×Ըù«Ë¾¡¢Æó񵮮²úÇåËãÍê½áÖ®ÈÕÆðδÓâÈýÄꣻ
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
71
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
of the liquidation of the company or enterprise;
(ËÄ) µ£ÈÎÒòÎ¥·¨±»µõÏúÓªÒµÖ´ÕյĹ«Ë¾¡¢ÆóÒµµÄ·¨¶¨´ú±íÈË£¬²¢¸ºÓиöÈËÔðÈεģ¬×Ըù«Ë¾¡¢ÆóÒµ±»µõ
ÏúÓªÒµÖ´ÕÕÖ®ÈÕÆðδÓâÈýÄꣻ
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;
(Îå) ¸öÈËËù¸ºÊý¶î½Ï´óµÄÕ®Îñµ½ÆÚδÇå³¥£»
being a debtor personally liable for a relatively large debt which has not been paid as it fell due;
(Áù) Òò´¥·¸ÐÌ·¨±»Ë¾·¨»ú¹ØÁ¢°¸µ÷²é£¬ÉÐδ½á°¸£»
having been subject to an investigation by judicial authorities for criminal offences, and such
investigation not having come to an end;
(Æß) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨²»Äܵ£ÈÎÆóÒµÁìµ¼£»
being banned from being senior management of enterprises by laws and regulations;
(°Ë) ·Ç×ÔÈ»ÈË£»
being a non-natural person;
(¾Å) ±»ÖйúÖ¤¼à»á´¦ÒÔ֤ȯÊг¡½ûÈë´¦·££¬ÆÚÏÞδÂúµÄ£»
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
(Ê®) ±»ÓйØÖ÷¹Ü»ú¹¹²Ã¶¨Î¥·´ÓйØÖ¤È¯·¨¹æµÄ¹æ¶¨£¬ÇÒÉæ¼°ÓÐÆÛÕ©»òÕß²»³ÏʵµÄÐÐΪ£¬×Ըòö¨Ö®ÈÕÆð
δÓâÎåÄê¡£
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;
µÚ¶þ°Ù¶þÊ®ÁùÌõ ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±´ú±í¹«Ë¾µÄÐÐΪ¶ÔÉÆÒâµÚÈýÈ˵ÄÓÐЧÐÔ£¬²»ÒòÆäÔÚÈÎÖ°¡¢Ñ¡¾Ù
»òÕß×ʸñÉÏÓÐÈκβ»ºÏ¹æÐÐΪ¶øÊÜÓ°Ïì¡£
Article 226 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.
µÚ¶þ°Ù¶þÊ®ÆßÌõ ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔòÒªÇóµÄÒåÎñÍ⣬¹«Ë¾¶Ê¡¢
¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÐÐʹ¹«Ë¾¸³ÓèËûÃǵÄְȨʱ£¬»¹Ó¦µ±¶Ôÿ¸ö¹É¶«¸ºÓÐÏÂÁÐÒåÎñ£º
Article 227 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:
(Ò») ²»µÃʹ¹«Ë¾³¬Ô½ÆäÓªÒµÖ´Õչ涨µÄÓªÒµ·¶Î§£»
not to cause the Company to exceed the scope of business stipulated in its business license;
(¶þ) Ó¦µ±Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐÊ£»
to act honestly and in the best interests of the Company;
(Èý) ²»µÃÒÔÈκÎÐÎʽ°þ¶á¹«Ë¾²Æ²ú£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©¶Ô¹«Ë¾ÓÐÀûµÄ»ú»á£»
not to expropriate the Company¡¯s property in any way, including (without limitation) usurpation of
opportunities which benefit the Company;
(ËÄ) ²»µÃ°þ¶á¹É¶«µÄ¸öÈËÈ¨Òæ£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©·ÖÅäȨ¡¢±í¾öȨ£¬µ«²»°üÀ¨¸ù¾Ý¹«Ë¾Õ³ÌÌá½»¹É¶«´ó
72
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
»áͨ¹ýµÄ¹«Ë¾¸Ä×é¡£
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.
µÚ¶þ°Ù¶þÊ®°ËÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¶¼ÓÐÔðÈÎÔÚÐÐʹÆäȨÀû»òÕßÂÄÐÐÆäÒåÎñʱ£¬
ÒÔÒ»¸öºÏÀíµÄ½÷É÷µÄÈËÔÚÏàËÆÇéÐÎÏÂËùÓ¦±íÏֵĽ÷É÷¡¢ÇÚÃãºÍ¼¼ÄÜΪÆäËùӦΪµÄÐÐΪ¡£
Article 228 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.
µÚ¶þ°Ù¶þÊ®¾ÅÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÂÄÐÐÖ°Ôðʱ£¬±ØÐë×ñÊØ³ÏÐÅÔÔò£¬²»Ó¦
µ±ÖÃ×Ô¼ºÓÚ×ÔÉíµÄÀûÒæÓë³Ðµ£µÄÒåÎñ¿ÉÄÜ·¢Éú³åÍ»µÄ´¦¾³¡£´ËÔÔò°üÀ¨£¨µ«²»ÏÞÓÚ£©ÂÄÐÐÏÂÁÐÒåÎñ£º
Article 229 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):
(Ò») Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐÊ£»
to act honestly in the best interest of the Company;
(¶þ) ÔÚÆäְȨ·¶Î§ÄÚÐÐʹȨÁ¦£¬²»µÃԽȨ£»
to act within the scope of its powers and not to exceed such powers;
(Èý) Ç××ÔÐÐʹËù¸³ÓèËûµÄ×ÃÁ¿´¦ÀíȨ£¬²»µÃÊÜËûÈ˲Ù×Ý£»·Ç¾·¨ÂÉ¡¢ÐÐÕþ·¨¹æÔÊÐí»òÕߵõ½¹É¶«´ó»áÔÚ
ÖªÇéµÄÇé¿öϵÄͬÒ⣬²»µÃ½«Æä×ÃÁ¿´¦ÀíȨת¸øËûÈËÐÐʹ£»
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;
(ËÄ) ¶ÔͬÀà±ðµÄ¹É¶«Ó¦µ±Æ½µÈ£¬¶Ô²»Í¬Àà±ðµÄ¹É¶«Ó¦µ±¹«Æ½£»
to treat shareholders of the same class with equality, and different classes with fairness;
(Îå) ³ý¹«Ë¾Õ³ÌÁíÓй涨»òÕßÓɹɶ«´ó»áÔÚÖªÇéµÄÇé¿öÏÂÁíÓÐÅú×¼Í⣬²»µÃÓ빫˾¶©Á¢ºÏͬ¡¢½»Ò×»òÕß
°²ÅÅ£»
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;
(Áù) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃÒÔÈκÎÐÎʽÀûÓù«Ë¾²Æ²úΪ×Ô¼ºÄ±È¡ÀûÒæ£»
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;
(Æß) ²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÒÔÈκÎÐÎʽÇÖÕ¼¹«Ë¾µÄ²Æ²ú£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©¶Ô
¹«Ë¾ÓÐÀûµÄ»ú»á£»
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
Company;
(°Ë) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃ½ÓÊÜÓ빫˾½»Ò×ÓйصÄÓ¶½ð£»
not to accept commissions relating to the transactions of the Company, without the approval of the
shareholders with full knowledge at the general meeting;
73
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(¾Å) ×ñÊØ¹«Ë¾Õ³̣¬ÖÒʵÂÄÐÐÖ°Ôð£¬Î¬»¤¹«Ë¾ÀûÒæ£¬²»µÃÀûÓÃÆäÔÚ¹«Ë¾µÄµØÎ»ºÍְȨΪ×Ô¼ºÄ±È¡Ë½Àû£»
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;
(Ê®) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃÒÔÈκÎÐÎʽÓ빫˾¾ºÕù£»
not to compete with the Company in any way unless approved by the shareholders with full
knowledge at the general meeting;
(ʮһ) ²»µÃŲÓù«Ë¾×ʽð»òÕß½«¹«Ë¾×ʽð½è´û¸øËûÈË£¬²»µÃ½«¹«Ë¾×ʲúÒÔÆä¸öÈËÃûÒå»òÕßÒÔÆäËûÃûÒ忪Á¢
ÕÊ»§´æ´¢£¬²»µÃÒÔ¹«Ë¾×ʲúΪ±¾¹«Ë¾µÄ¹É¶«»òÕ߯äËû¸öÈËÕ®ÎñÌṩµ£±££»
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;
(Ê®¶þ) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃй¶ÆäÔÚÈÎÖ°ÆÚ¼äËù»ñµÃµÄÉæ¼°±¾¹«Ë¾µÄ»úÃÜÐÅÏ¢£»³ý·Ç
ÒÔ¹«Ë¾ÀûÒæÎªÄ¿µÄ£¬Ò಻µÃÀûÓøÃÐÅÏ¢£»µ«ÊÇ£¬ÔÚÏÂÁÐÇé¿öÏ£¬¿ÉÒÔÏò·¨Ôº»òÕ߯äËûÕþ¸®Ö÷¹Ü»ú¹¹
Åû¶¸ÃÐÅÏ¢£º
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¡¢ ·¨ÂÉÓй涨£»
as prescribed by law;
2¡¢ ¹«ÖÚÀûÒæÓÐÒªÇó£»
as required for the purpose of public interest;
3¡¢ ¸Ã¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±±¾ÉíµÄÀûÒæÓÐÒªÇó¡£
as required for the purpose of such Director¡¯s, supervisor¡¯s, general manager¡¯s or other
senior management members¡¯ own interests.
¶Êº͸߼¶¹ÜÀíÈËԱΥ·´±¾Ìõ¹æ¶¨ËùµÃµÄÊÕÈ룬Ӧµ±¹é¹«Ë¾ËùÓС£
The proceeds obtained by the Directors and senior management members in violation of this article shall
belong to the Company.
µÚ¶þ°ÙÈýÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬²»µÃָʹÏÂÁÐÈËÔ±»òÕß»ú¹¹£¨¡°Ïà¹ØÈË¡±£©×÷
³ö¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±²»ÄÜ×÷µÄÊ£º
Article 230 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:
(Ò») ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÅäż»òÕßδ³ÉÄê×ÓÅ®£»
spouses or underage children of Directors, supervisors, general manager or other senior
management members of the Company;
(¶þ) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±»òÕß±¾Ìõ£¨Ò»£©ÏîËùÊöÈËÔ±µÄÐÅÍÐÈË£»
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;
(Èý) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±»òÕß±¾Ìõ£¨Ò»£©¡¢£¨¶þ£©ÏîËùÊöÈËÔ±µÄºÏ»ïÈË£»
partners of Directors, supervisors, general manager or other senior management members of the
74
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Company or of such persons as described in item (i) or (ii) of this Article;
(ËÄ) Óɹ«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÊÂʵÉϵ¥¶À¿ØÖƵĹ«Ë¾£¬»òÕßÓë±¾Ìõ£¨Ò»£©¡¢£¨¶þ£©¡¢
£¨Èý£©ÏîËùÌá¼°µÄÈËÔ±»òÕß¹«Ë¾ÆäËû¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÊÂʵÉϹ²Í¬¿ØÖƵĹ«
˾£»
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
(Îå) ±¾Ìõ£¨ËÄ£©ÏîËùÖ¸±»¿ØÖƵĹ«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¡£
Directors, supervisors, general manager and other senior management members of the company
(companies) referred to by item (iv) of this Article
µÚ¶þ°ÙÈýʮһÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ëù¸ºµÄ³ÏÐÅÒåÎñ²»Ò»¶¨ÒòÆäÈÎÆÚ½áÊø¶øÖÕ
Ö¹£¬Æä¶Ô¹«Ë¾ÉÌÒµÃØÃܱ£ÃܵÄÒåÎñÔÚÆäÈÎÆÚ½áÊøºóÈÔÓÐЧ¡£ÆäËûÒåÎñµÄ³ÖÐøÆÚÓ¦µ±¸ù¾Ý¹«Æ½µÄÔÔò¾ö¶¨£¬
È¡¾öÓÚʼþ·¢ÉúʱÓëÀëÈÎÖ®¼äʱ¼äµÄ³¤¶Ì£¬ÒÔ¼°Ó빫˾µÄ¹ØÏµÔÚºÎÖÖÇéÐκÍÌõ¼þϽáÊø¡£
Article 231 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.
µÚ¶þ°ÙÈýÊ®¶þÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÒòÎ¥·´Ä³Ïî¾ßÌåÒåÎñËù¸ºµÄÔðÈΣ¬¿ÉÒÔÓÉ
¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öϽâ³ý£¬µ«ÊDZ¾Õ³̵ÚÁùÊ®ÎåÌõËù¹æ¶¨µÄÇéÐγýÍâ¡£
Article 232 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.
µÚ¶þ°ÙÈýÊ®ÈýÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬Ö±½Ó»òÕß¼ä½ÓÓ빫˾ÒѶ©Á¢µÄ»òÕ߼ƻ®
ÖеĺÏͬ¡¢½»Òס¢°²ÅÅÓÐÖØÒªÀûº¦¹ØÏµÊ±£¨¹«Ë¾Óë¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄƸÈκÏͬ³ý
Í⣩£¬²»ÂÛÓйØÊÂÏîÔÚÕý³£Çé¿öÏÂÊÇ·ñÐèÒª¶Ê»áÅú׼ͬÒ⣬¾ùÓ¦µ±¾¡¿ìÏò¶Ê»áÅû¶ÆäÀûº¦¹ØÏµµÄÐÔÖÊ
ºÍ³Ì¶È¡£
Article 233 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.
³ýÏã¸ÛÁª½»ËùÅú×¼µÄ¹«Ë¾Õ³ÌËùÌØ±ðÖ¸Ã÷µÄÇé¿ö£¨ÈçÓУ©Í⣬¶Ê²»µÃ¾ÍÈκÎͨ¹ýÆä±¾ÈË»òÆäÈκÎÁªÏµÈË
ÓµÓÐÖØ´óÈ¨ÒæµÄºÏÔ¼»ò°²ÅÅ»òÈÎºÎÆäËû½¨ÒéµÄ¶Ê»á¾öÒé½øÐÐͶƱ£»ÔÚÈ·¶¨ÊÇ·ñÓз¨¶¨ÈËÊý³öϯ¶Ê»á»á
Òéʱ£¬Æä±¾ÈËÒ಻µÃµãËãÔÚÄÚ¡£
In addition to the circumstances (if any) particularly prescribed in the Company¡¯s 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.
75
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
³ý·ÇÓÐÀûº¦¹ØÏµµÄ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±°´ÕÕ±¾ÌõµÚÒ»¿îµÄÒªÇóÏò¶Ê»á×öÁËÅû¶£¬
²¢ÇÒ¶Ê»áÔÚ²»½«Æä¼ÆÈë·¨¶¨ÈËÊý£¬Òàδ²Î¼Ó±í¾öµÄ»áÒéÉÏÅú×¼Á˸ÃÊÂÏ¹«Ë¾ÓÐȨ³·Ïû¸ÃºÏͬ¡¢½»Ò×»ò
Õß°²ÅÅ£¬µ«ÔÚ¶Ô·½ÊǶÔÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´ÆäÒåÎñµÄÐÐΪ²»ÖªÇéµÄÉÆÒâµ±ÊÂ
È˵ÄÇéÐÎϳýÍâ¡£
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.
¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÏà¹ØÈËÓëijºÏͬ¡¢½»Òס¢°²ÅÅÓÐÀûº¦¹ØÏµµÄ£¬ÓйضÊ¡¢
¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ò²Ó¦±»ÊÓΪÓÐÀûº¦¹ØÏµ¡£
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.
µÚ¶þ°ÙÈýÊ®ËÄÌõ Èç¹û¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚ¹«Ë¾Ê״ο¼ÂǶ©Á¢ÓйغÏͬ¡¢½»Òס¢
°²ÅÅǰÒÔÊéÃæÐÎʽ֪ͨ¶Ê»ᣬÉùÃ÷ÓÉÓÚ֪ͨËùÁеÄÄÚÈÝ£¬¹«Ë¾ÈÕºó´ï³ÉµÄºÏͬ¡¢½»Òס¢°²ÅÅÓëÆäÓÐÀûº¦
¹ØÏµ£¬ÔòÔÚ֪ͨ²ûÃ÷µÄ·¶Î§ÄÚ£¬ÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÓΪ×öÁ˱¾ÕÂǰÌõËù¹æ¶¨µÄ
Åû¶¡£
Article 234 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.
µÚ¶þ°ÙÈýÊ®ÎåÌõ ¹«Ë¾²»µÃÒÔÈκη½Ê½ÎªÆä¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±½ÉÄÉ˰¿î¡£
Article 235 The Company shall not, in any manner, perform tax duties for its Directors, supervisors,
general manager and other senior management members.
µÚ¶þ°ÙÈýÊ®ÁùÌõ ¹«Ë¾²»µÃÖ±½Ó»òÕß¼ä½ÓÏò±¾¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ´û¿î¡¢
´û¿îµ£±££»Ò಻µÃÏòǰÊöÈËÔ±µÄÏà¹ØÈËÌṩ´û¿î¡¢´û¿îµ£±£¡£
Article 236 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.
ǰ¿î¹æ¶¨²»ÊÊÓÃÓÚÏÂÁÐÇéÐΣº
The foregoing shall not apply to the following circumstances:
(Ò») ¹«Ë¾ÏòÆä×Ó¹«Ë¾Ìṩ´û¿î»òÕßΪ×Ó¹«Ë¾Ìṩ´û¿îµ£±££»
the provision by the Company of a loan or loan guarantee to its subsidiaries;
(¶þ) ¹«Ë¾¸ù¾Ý¾¹É¶«´ó»áÅú×¼µÄƸÈκÏͬ£¬Ïò¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ´û¿î¡¢
´û¿îµ£±£»òÕ߯äËû¿îÏʹ֧֮¸¶ÎªÁ˹«Ë¾Ä¿µÄ»òÕßΪÁËÂÄÐÐÆä¹«Ë¾Ö°ÔðËù·¢ÉúµÄ·ÑÓá£
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
76
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
his duties properly in accordance with an employment contract approved by the shareholders in a
general meeting;
(Èý) È繫˾µÄÕý³£ÒµÎñ·¶Î§°üÀ¨Ìṩ´û¿î¡¢´û¿îµ£±££¬¹«Ë¾¿ÉÒÔÏòÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶
¹ÜÀíÈËÔ±¼°ÆäÏà¹ØÈËÌṩ´û¿î¡¢´û¿îµ£±££¬µ«Ìṩ´û¿î¡¢´û¿îµ£±£µÄÌõ¼þÓ¦µ±ÊÇÕý³£ÉÌÎñÌõ¼þ¡£
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.
µÚ¶þ°ÙÈýÊ®ÆßÌõ ¹«Ë¾Î¥·´Ç°Ìõ¹æ¶¨Ìṩ´û¿îµÄ£¬²»ÂÛÆä´û¿îÌõ¼þÈçºÎ£¬ÊÕµ½¿îÏîµÄÈËÓ¦µ±Á¢¼´³¥»¹¡£
Article 237 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.
µÚ¶þ°ÙÈýÊ®°ËÌõ ¹«Ë¾Î¥·´µÚ¶þ°ÙÈýÊ®ÁùÌõµÚÒ»¿îµÄ¹æ¶¨ËùÌṩµÄ´û¿îµ£±££¬²»µÃÇ¿ÖÆ¹«Ë¾Ö´ÐУ»µ«ÏÂÁÐ
Çé¿ö³ýÍ⣺
Article 238 A guarantee for the repayment of a loan which has been provided by the Company in breach
of the preceding Article 236 (i) shall not be enforceable against the Company, save in respect of the
following circumstances:
(Ò») Ïò¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÏà¹ØÈËÌṩ´û¿îʱ£¬Ìṩ´û¿îÈ˲»ÖªÇéµÄ£»
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
(¶þ) ¹«Ë¾ÌṩµÄµ£±£ÎïÒÑÓÉÌṩ´û¿îÈ˺Ϸ¨µØÊÛÓèÉÆÒ⹺ÂòÕߵġ£
the collateral which has been provided by the Company has already been lawfully disposed of by
the lender to a bona fide purchaser.
µÚ¶þ°ÙÈýÊ®¾ÅÌõ ±¾ÕÂǰÊöÌõ¿îÖÐËù³Æµ£±££¬°üÀ¨Óɱ£Ö¤È˳е£ÔðÈλòÕßÌṩ²Æ²úÒÔ±£Ö¤ÒåÎñÈËÂÄÐÐÒåÎñ
µÄÐÐΪ¡£
Article 239 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.
µÚ¶þ°ÙËÄÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´¶Ô¹«Ë¾Ëù¸ºµÄÒåÎñʱ£¬³ý·¨ÂÉ¡¢ÐÐÕþ·¨
¹æ¹æ¶¨µÄ¸÷ÖÖȨÀû¡¢²¹¾È´ëÊ©Í⣬¹«Ë¾ÓÐȨ²ÉÈ¡ÒÔÏ´ëÊ©£º
Article 240 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:
(Ò») ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Åâ³¥ÓÉÓÚÆäʧְ¸ø¹«Ë¾Ôì³ÉµÄËðʧ£»
to demand such Director, supervisor, general manager or other senior officer compensate for the
losses sustained by it as a result of such breach;
(¶þ) ³·ÏûÈκÎÓɹ«Ë¾ÓëÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¶©Á¢µÄºÏͬ»òÕß½»Ò×£¬ÒÔ¼°Óɹ«Ë¾
ÓëµÚÈýÈË£¨µ±µÚÈýÈËÃ÷Öª»òÕßÀíÓ¦ÖªµÀ´ú±í¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´ÁË
¶Ô¹«Ë¾Ó¦¸ºµÄÒåÎñ£©¶©Á¢µÄºÏͬ»òÕß½»Ò×£»
to rescind any contract or transaction which has been entered into between the Company and such
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.
77
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±½»³öÒòÎ¥·´ÒåÎñ¶ø»ñµÃµÄÊÕÒæ£»
to demand such Director, supervisor, general manager or other senior officer account for the profits
made as result of the breach of his duty;
(ËÄ) ×·»ØÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÕÊܵı¾Ó¦Îª¹«Ë¾ËùÊÕÈ¡µÄ¿îÏ°üÀ¨£¨µ«²»ÏÞ
ÓÚ£©Ó¶½ð£»
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
(Îå) ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÍË»¹Òò±¾Ó¦½»Ó蹫˾µÄ¿îÏîËù׬ȡµÄ¡¢»òÕß¿ÉÄÜ
׬ȡµÄÀûÏ¢¡£
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.
µÚ¶þ°ÙËÄʮһÌõ ¹«Ë¾Ó¦µ±¾Í±¨³êÊÂÏîÓ빫˾¶Ê¡¢¼àʶ©Á¢ÊéÃæºÏͬ£¬²¢¾¹É¶«´ó»áÊÂÏÈÅú×¼¡£Ç°Êö±¨
³êÊÂÏî°üÀ¨£º
Article 241 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:
(Ò») ×÷Ϊ¹«Ë¾µÄ¶Ê¡¢¼àÊ»òÕ߸߼¶¹ÜÀíÈËÔ±µÄ±¨³ê£»
emoluments in respect of his service as Director, supervisor or senior officer of the Company;
(¶þ) ×÷Ϊ¹«Ë¾µÄ×Ó¹«Ë¾µÄ¶Ê¡¢¼àÊ»òÕ߸߼¶¹ÜÀíÈËÔ±µÄ±¨³ê£»
emoluments in respect of his service as Director, supervisor or senior officer of any subsidiary of
the Company;
(Èý) Ϊ¹«Ë¾¼°Æä×Ó¹«Ë¾µÄ¹ÜÀíÌṩÆäËû·þÎñµÄ±¨³ê£»
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;
(ËÄ) ¸Ã¶Ê»òÕß¼àÊÂÒòʧȥְλ»òÕßÍËÐÝËù»ñ²¹³¥µÄ¿îÏî¡£
payment by way of compensation for loss of office or as consideration for or in connection with his
retirement from office.
³ý°´Ç°ÊöºÏͬÍ⣬¶Ê¡¢¼àʲ»µÃÒòǰÊöÊÂÏîΪÆäÓ¦»ñÈ¡µÄÀûÒæÏò¹«Ë¾Ìá³öËßËÏ¡£
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.
µÚ¶þ°ÙËÄÊ®¶þÌõ ¹«Ë¾ÔÚÓ빫˾¶Ê¡¢¼àʶ©Á¢µÄÓйر¨³êÊÂÏîµÄºÏͬÖÐÓ¦µ±¹æ¶¨£¬µ±¹«Ë¾½«±»ÊÕ¹ºÊ±£¬
¹«Ë¾¶Ê¡¢¼àÊÂÔڹɶ«´ó»áÊÂÏÈÅú×¼µÄÌõ¼þÏ£¬ÓÐȨȡµÃÒòʧȥְλ»òÕßÍËÐݶø»ñµÃµÄ²¹³¥»òÕ߯äËû¿îÏî¡£
ǰ¿îËù³Æ¹«Ë¾±»ÊÕ¹ºÊÇÖ¸ÏÂÁÐÇé¿öÖ®Ò»£º
Article 242 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:
(Ò») ÈκÎÈËÏòÈ«Ìå¹É¶«Ìá³öÊÕ¹ºÒªÔ¼£»
a tender offer made by any person to all the shareholders; or
(¶þ) ÈκÎÈËÌá³öÊÕ¹ºÒªÔ¼£¬Ö¼ÔÚʹҪԼÈ˳ÉΪ¿Ø¹É¹É¶«¡£¿Ø¹É¹É¶«µÄ¶¨ÒåÓë±¾Õ³̵ÚÁùÊ®ÁùÌõÖе͍Òå
Ïàͬ¡£
78
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
Èç¹ûÓйضÊ¡¢¼àʲ»×ñÊØ±¾Ìõ¹æ¶¨£¬ÆäÊÕµ½µÄÈκοîÏӦµ±¹éÄÇЩÓÉÓÚ½ÓÊÜǰÊöÒªÔ¼¶ø½«Æä¹É·Ý³öÊÛ
µÄÈËËùÓУ¬¸Ã¶Ê¡¢¼àÊÂÓ¦µ±³Ðµ£Òò°´±ÈÀý·Ö·¢¸ÃµÈ¿îÏîËù²úÉúµÄ·ÑÓ㬸÷ÑÓò»µÃ´Ó¸ÃµÈ¿îÏîÖп۳ý¡£
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.
µÚÊ®¶þÕ ²ÆÎñ»á¼ÆÖƶȡ¢ÀûÈó·ÖÅäºÍÉó¼Æ
Chapter 12 Financial and Accounting Systems,
Profit Distribution and Auditing
µÚÒ»½Ú ²ÆÎñ»á¼ÆÖƶÈ
Section 1 Financial and Accounting System
µÚ¶þ°ÙËÄÊ®ÈýÌõ ¹«Ë¾ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹ú¼ÒÓйز¿ÃŵĹ涨£¬Öƶ©¹«Ë¾µÄ²ÆÎñ»á¼ÆÖƶȡ£¹«Ë¾Ó¦µ±
ÔÚÿһ»á¼ÆÄê¶ÈÖÕÁËÊ±ÖÆ×÷²ÆÎñ±¨¸æ£¬²¢ÒÀ·¨¾Éó²éÑéÖ¤¡£
Article 243 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.
µÚ¶þ°ÙËÄÊ®ËÄÌõ ¹«Ë¾ÔÚÿһ»á¼ÆÄê¶È½áÊøÖ®ÈÕÆð 4 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áºÍ֤ȯ½»Ò×Ëù±¨ËÍÄê¶È²ÆÎñ»á¼Æ
±¨¸æ£¬ÔÚÿһ»á¼ÆÄê¶Èǰ 6 ¸öÔ½áÊøÖ®ÈÕÆð 2 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áÅɳö»ú¹¹ºÍ֤ȯ½»Ò×Ëù±¨ËͰëÄê¶È²ÆÎñ
»á¼Æ±¨¸æ£¬ÔÚÿһ»á¼ÆÄê¶Èǰ 3 ¸öÔºÍǰ 9 ¸öÔ½áÊøÖ®ÈÕÆðµÄ 1 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áÅɳö»ú¹¹ºÍ֤ȯ½»Ò×
Ëù±¨Ëͼ¾¶È²ÆÎñ»á¼Æ±¨¸æ¡£
Article 244 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.
ÉÏÊö²ÆÎñ»á¼Æ±¨¸æ°´ÕÕÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµĹ涨½øÐбàÖÆ¡£
The aforementioned financial and accounting reports shall be prepared in accordance with laws,
administrative regulations and department rules.
µÚ¶þ°ÙËÄÊ®ÎåÌõ ¹«Ë¾¶Ê»áÓ¦µ±ÔÚÿ´Î¹É¶«Äê»áÉÏ£¬Ïò¹É¶«³Ê½»Óйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢µØ·½Õþ¸®¼°Ö÷¹Ü
²¿ÃŰ䲼µÄ¹æ·¶ÐÔÎļþËù¹æ¶¨Óɹ«Ë¾×¼±¸µÄ²ÆÎñ±¨¸æ¡£
Article 245 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.
µÚ¶þ°ÙËÄÊ®ÁùÌõ ¹«Ë¾µÄ²ÆÎñ±¨¸æÓ¦µ±ÔÚÕÙ¿ª¹É¶«´ó»áÄê»áµÄ¶þÊ®ÈÕÒÔǰÖñ¸ÓÚ±¾¹«Ë¾£¬¹©¹É¶«²éÔÄ¡£¹«
˾µÄÿ¸ö¹É¶«¶¼ÓÐȨµÃµ½±¾ÕÂÖÐËùÌá¼°µÄ²ÆÎñ±¨¸æ¡£
Article 246 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
79
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shareholder shall be entitled to obtain a copy of the financial reports referred to in this Chapter.
¹«Ë¾ÖÁÉÙÓ¦µ±Ôڹɶ«´ó»áÄê»áÕÙ¿ªÇ°¶þʮһÈÕ£¨¼°Ïà¹Ø·¨ÂÉ·¨¹æºÍ¡¶Ïã¸ÛÉÏÊйæÔò¡·Ï²»Ê±¹æ¶¨µÄ¸ü³¤Ê±
ÏÞ£©½«Ç°Êö²ÆÎñ±¨¸æ¡¢¶Ê»ᱨ¸æÁ¬Í¬×ʲú¸ºÕ®±í£¨°üÀ¨·¨Àý¹æ¶¨Ð븽¼ÓÚ×ʲú¸ºÕ®±íµÄÿ·ÝÎļþ£©¼°Ëð
Òæ±í»òÊÕÖ§¼ÆËã±í£¬»ò²ÆÎñÕªÒª±¨¸æ£¬ÒÔÓÊ×ÊÒѸ¶µÄÓʼþ»òÒÔ±¾Õ³̹涨µÄÆäËû·½Ê½·¢Ë͸øÃ¿¸ö¾³ÍâÉÏÊÐ
Íâ×ʹɹɶ«£»ÈçÒÔÓʼþ·½Ê½Ëͳö£¬ÊÕ¼þÈ˵ØÖ·ÒԹɶ«Ãû²áÉϵǼǵĵØÖ·Îª×¼¡£
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.
µÚ¶þ°ÙËÄÊ®ÆßÌõ ¹«Ë¾µÄ²ÆÎñ±¨±í³ýÓ¦µ±°´Öйú»á¼Æ×¼Ôò¼°·¨¹æ±àÖÆÍ⣬»¹Ó¦µ±°´¹ú¼Ê»òÕß¾³ÍâÉÏÊеػá
¼Æ×¼Ôò±àÖÆ¡£Èç°´Á½ÖÖ»á¼Æ×¼Ôò±àÖÆµÄ²ÆÎñ±¨±íÓÐÖØÒª³öÈ룬Ӧµ±ÔÚ²ÆÎñ±¨±í¸½×¢ÖмÓÒÔ×¢Ã÷¡£¹«Ë¾ÔÚ·Ö
ÅäÓÐ¹Ø»á¼ÆÄê¶ÈµÄ˰ºóÀûÈóʱ£¬ÒÔǰÊöÁ½ÖÖ²ÆÎñ±¨±íÖÐ˰ºóÀûÈóÊý½ÏÉÙÕßΪ׼¡£
Article 247 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.
µÚ¶þ°ÙËÄÊ®°ËÌõ ¹«Ë¾¹«²¼»òÕßÅû¶µÄÖÐÆÚÒµ¼¨»òÕß²ÆÎñ×ÊÁÏÓ¦µ±°´Öйú»á¼Æ×¼Ôò¼°·¨¹æ±àÖÆ£¬Í¬Ê±°´¹ú
¼Ê»òÕß¾³ÍâÉÏÊÐµØ»á¼Æ×¼Ôò±àÖÆ¡£
Article 248 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.
µÚ¶þ°ÙËÄÊ®¾ÅÌõ ¹«Ë¾³ý·¨¶¨µÄ»á¼ÆÕ˲¾Í⣬½«²»ÁíÁ¢»á¼ÆÕ˲¾¡£¹«Ë¾µÄ×ʲú£¬²»ÒÔÈκθöÈËÃûÒ忪Á¢ÕË
»§´æ´¢¡£
Article 249 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.
µÚ¶þ°ÙÎåÊ®Ìõ ×ʱ¾¹«»ý½ð°üÀ¨ÏÂÁпîÏ
Article 250 The capital common reserve fund includes the following items:
(Ò») ³¬¹ý¹ÉÆ±Ãæ¶î·¢ÐÐËùµÃµÄÒç¼Û¿î£»
any premium above the proceeds from share issuances at face value; and
(¶þ) ¹úÎñÔº²ÆÕþÖ÷¹Ü²¿ÃŹ涨ÁÐÈë×ʱ¾¹«»ý½ðµÄÆäËûÊÕÈë¡£
any other income designated for the capital common reserve fund by regulation of the finance
regulatory department of the State Council.
µÚ¶þ°ÙÎåʮһÌõ ¹«Ë¾·ÖÅäµ±Äê˰ºóÀûÈóʱ,Ó¦µ±ÌáÈ¡ÀûÈóµÄ 10%ÁÐÈ빫˾·¨¶¨¹«»ý½ð¡£¹«Ë¾·¨¶¨¹«»ý½ðÀÛ
¼Æ¶îΪ¹«Ë¾×¢²á×ʱ¾µÄ 50%ÒÔÉϵÄ,¿ÉÒÔ²»ÔÙÌáÈ¡¡£
Article 251 In distributing its after-tax profits, the Company shall allocate ten percent (10%) of its
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.
80
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹«Ë¾µÄ·¨¶¨¹«»ý½ð²»×ãÒÔÃÖ²¹ÒÔǰÄê¶È¿÷ËðµÄ,ÔÚÒÀÕÕǰ¿î¹æ¶¨ÌáÈ¡·¨¶¨¹«»ý½ð֮ǰ,Ó¦µ±ÏÈÓõ±ÄêÀûÈóÃÖ
²¹¿÷Ëð¡£
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.
¹«Ë¾´Ó˰ºóÀûÈóÖÐÌáÈ¡·¨¶¨¹«»ý½ðºó,¿ÉÒÔ´Ó˰ºóÀûÈóÖÐÌáÈ¡ 10%µÄÈÎÒâÓ¯Ó๫»ý½ð¡£
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.
¹«Ë¾ÃÖ²¹¿÷ËðºÍÌáÈ¡¹«»ý½ðºóËùÓà˰ºóÀûÈó,°´Õչɶ«³ÖÓеĹɷݱÈÀý·ÖÅä,µ«±¾Õ³̹涨²»°´³Ö¹É±ÈÀý·Ö
ÅäµÄ³ýÍâ¡£
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.
¹É¶«´ó»áÎ¥·´Ç°¿î¹æ¶¨,ÔÚ¹«Ë¾ÃÖ²¹¿÷ËðºÍÌáÈ¡·¨¶¨¹«»ý½ð֮ǰÏò¹É¶«·ÖÅäÀûÈóµÄ,¹É¶«±ØÐ뽫Υ·´¹æ¶¨·Ö
ÅäµÄÀûÈóÍË»¹¹«Ë¾¡£
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.
¹«Ë¾³ÖÓеı¾¹«Ë¾¹É·Ý²»²ÎÓë·ÖÅäÀûÈó¡£
The shares of the Company held by the Company may not apply to profit distribution.
µÚ¶þ°ÙÎåÊ®¶þÌõ ¹«Ë¾µÄ¹«»ý½ðÓÃÓÚÃÖ²¹¹«Ë¾µÄ¿÷Ëð¡¢À©´ó¹«Ë¾Éú²ú¾Óª»òÕßתΪÔö¼Ó¹«Ë¾×ʱ¾¡£µ«ÊÇ£¬
×ʱ¾¹«»ý½ð½«²»ÓÃÓÚÃÖ²¹¹«Ë¾µÄ¿÷Ëð¡£
Article 252 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.
·¨¶¨¹«»ý½ðתΪ×ʱ¾Ê±£¬ËùÁô´æµÄ¸ÃÏ»ý½ð½«²»ÉÙÓÚתÔöǰ¹«Ë¾×¢²á×ʱ¾µÄ 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.
µÚ¶þ°ÙÎåÊ®ÈýÌõ ¹«Ë¾¹É¶«´ó»á°´ÕÕ¹ú¼ÒÓйط¨ÂÉ·¨¹æ¹æ¶¨Í¨¹ýÀûÈó·ÖÅä·½°¸¾öÒ飬¹«Ë¾¶Ê»áÐëÔڹɶ«
´ó»á¾öÒéºó 2 ¸öÔÂÄÚÍê³ÉÀûÈó·ÖÅäÊÂÏî¡£
Article 253 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.
µÚ¶þ°ÙÎåÊ®ËÄÌõ ¹«Ë¾µÄÀûÈó·ÖÅäÕþ²ßÐë×ñÊØÏÂÁй涨£º
Article 254 The profit distribution policies of the Company shall observe the following provisions:
(Ò») ¹«Ë¾µÄÀûÈó·ÖÅäÓ¦µ±ÖØÊÓ¶ÔͶ×ÊÕߵĺÏÀí»Ø±¨£¬ÔÚ¼æ¹Ë¹«Ë¾ºÏÀí×ʽðÐèÇóµÄÇé¿öÏ£¬Ó¦½áºÏ¹É±¾¹æ
Ä£¡¢·¢Õ¹Õ½ÂÔ¡¢Í¶×ʹ滮¡¢ÀûÈóÔö³¤×´¿ö¡¢ÏÖ½ðÁ÷Á¿Çé¿öµÈÒòËØÖÆ¶¨·ûºÏ¹«Ë¾¿É³ÖÐø·¢Õ¹ÒªÇóºÍÀû
Òæ×îÓÅ»¯ÔÔòµÄÀûÈó·ÖÅä·½°¸¡£
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
principle of the Company by referring to factors such as the volume of stocks, development
strategies, investment plans, profit growths and cash flows;
81
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(¶þ) ¹«Ë¾¿ÉÒÔ²ÉÈ¡ÏÖ½ð»ò¹ÉƱ·½Ê½·ÖÅä¹ÉÀû£¬¿ÉÒÔ½øÐÐÖÐÆÚÏÖ½ð·Öºì¡£ÔÚÏÖ½ðÁ÷ÔÊÐíµÄÇé¿öÏ£¬Ó¦¾¡Á¿
ÒÔÏÖ½ð·Öºì·½Ê½½øÐÐÀûÈó·ÖÅä¡£
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.
£¨Èý£© ¹«Ë¾ÏÖ½ð·ÖºìÌõ¼þ£º¹«Ë¾µ±ÄêʵÏÖÓ¯Àû£¬ÇÒÃÖ²¹ÒÔǰÄê¶È¿÷ËðºÍÒÀ·¨ÌáÈ¡¹«»ý½ðºó£¬ÀÛ¼ÆÎ´·ÖÅä
ÀûÈóΪÕýÖµ£¬ÇÒÉ󼯻ú¹¹¶Ô¹«Ë¾µÄ¸ÃÄê¶È²ÆÎñ±¨¸æ³ö¾ßÎÞ±£ÁôÒâ¼ûµÄÉ󼯱¨¸æ£¬¹«Ë¾ÓÅÏȲÉÈ¡ÏÖ½ð
·½Ê½·ÖÅä¹ÉÀû¡£¹«Ë¾²ÉÈ¡ÏÖ½ð·½Ê½·ÖÅä¹ÉÀûµÄ£¬Ó¦µ±°´ÕÕÏÂÁй涨½øÐУº
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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³ÉÊìÆÚÇÒÎÞÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³ÉÊìÆÚÇÒÓÐÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³É³¤ÆÚÇÒÓÐÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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%£»
¹«Ë¾·¢Õ¹½×¶Î²»Ò×Çø·Öµ«ÓÐÖØ´ó×ʽðÖ§³ö°²Åŵģ¬¿ÉÒÔ°´ÕÕǰÏî¹æ¶¨´¦Àí¡£ ÖØ´óͶ×Ê»òÖØ´óÏÖ½ðÖ§
³öÊÇÖ¸£º¹«Ë¾Î´À´Ê®¶þ¸öÔÂÄÚÄâ¶ÔÍâͶ×Ê¡¢ÊÕ¹º×ʲú(º¬ÍÁµØÊ¹ÓÃȨ)»òÕß¹ºÂòÉ豸µÈµÄÀÛ¼ÆÖ§³ö´ï
µ½»òÕß³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 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.
£¨ËÄ£© ·¢·Å¹ÉƱ¹ÉÀûµÄ¾ßÌåÌõ¼þ£º¹«Ë¾ÔھӪ״¿öÁ¼ºÃ£¬±£Ö¤¹É±¾¹æÄ£ºÏÀíµÄǰÌáÏ£¬²¢ÇÒ¹«Ë¾¶Ê»á
ÈÏΪ·¢·Å¹ÉƱ¹ÉÀûÓÐÀûÓÚ¹«Ë¾È«Ìå¹É¶«ÕûÌåÀûÒæÊ±£¬¿ÉÒÔÌá³ö¹ÉƱ¹ÉÀû·ÖÅäÔ¤°¸£¬²¢¾¹É¶«´ó»áÉó
Òéͨ¹ýºóʵʩ£»
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;
(Îå) ¹«Ë¾µÄÀûÈó·ÖÅä²»µÃ³¬¹ý¹«Ë¾ÀۼƿɷÖÅäÀûÈóµÄ·¶Î§¡£
The profits of the Company to be distributed shall not go beyond the scope of cumulative
distributable profits.
(Áù) ÔÚµ±ÄêÓ¯ÀûµÄÇé¿öÏ£¬¹«Ë¾×ã¶îÌáÈ¡·¨¶¨¹«»ý½ðºó£¬×î½üÈýÄêÒÔÏÖ½ð·½Ê½ÀۼƷÖÅäµÄÀûÈó²»ÉÙÓÚ×î
½üÈýÄêʵÏÖµÄÄê¾ù¿É·ÖÅäÀûÈóµÄ 30%¡£
82
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
£¨Æß£©¹«Ë¾·¢ÐÐ֤ȯ¡¢ÖØ´ó×ʲúÖØ×é¡¢ºÏ²¢·ÖÁ¢»òÕßÒòÊÕ¹ºµ¼Ö¹«Ë¾¿ØÖÆÈ¨·¢Éú±ä¸üµÄ£¬¹«Ë¾Ó¦µ±ÔÚ=
˵Ã÷Êé»ò·¢ÐÐÔ¤°¸¡¢ÖØ´ó×ʲúÖØ×鱨¸æÊé¡¢È¨Òæ±ä¶¯±¨¸æÊé»òÕßÊÕ¹º±¨¸æÊéÖÐÏêϸÅû¶ļ¼¯»ò·¢ÐС¢
ÖØ×é»òÕß¿ØÖÆÈ¨·¢Éú±ä¸üºó¹«Ë¾µÄÏÖ½ð·ÖºìÕþ²ß¼°ÏàÓ¦µÄ°²ÅÅ¡¢¶Ê»á¶ÔÉÏÊöÇé¿öµÄ˵Ã÷µÈÐÅÏ¢£»
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;
(°Ë) ÔÚ³ä·Ö¿¼Âǹɶ«»Ø±¨¡¢ÇÐʵ±£ÕÏÉç»á¹«Öڹɶ«ºÏ·¨È¨ÒæµÄǰÌáÏ£¬¹«Ë¾µ±ÄêʵÏÖÓ¯Àû£¬ÓɶÊ»áÌá
³ö¿ÆÑ§¡¢ºÏÀíµÄÀûÈó·ÖÅ佨ÒéºÍÔ¤°¸£¬Ìá½»¹É¶«´ó»á±í¾ö¡£¹«Ë¾Ó¦µ±ÇÐʵ±£ÕÏÉç»á¹«Öڹɹɶ«²ÎÓë
¹É¶«´ó»áµÄȨÀû£¬¶Ê»ᡢ¶ÀÁ¢¶ÊºͷûºÏÒ»¶¨Ìõ¼þµÄ¹É¶«¿ÉÒÔÏò¹«Ë¾¹É¶«Õ÷¼¯¹É¶«´ó»áͶƱȨ¡£
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.
£¨¾Å£© ¹«Ë¾ÀûÈó·ÖÅäµÄ¾ö²ß³ÌÐòºÍ»úÖÆ
Decision-making processes and mechanisms for profit distribution of the Company
1¡¢ ¹«Ë¾¶Ê»á½áºÏ¹«Ë¾Ó¯ÀûÇé¿ö¡¢×ʽðÐèÇóºÍ¹É¶«»Ø±¨¹æ»®Ìá³öºÏÀíµÄ·Öºì½¨ÒéºÍÔ¤°¸£¬¾¶
Ê»áÉóÒéͨ¹ýºó±¨¾¹«Ë¾¹É¶«´ó»áÉóÒéÅú×¼ºóʵʩ¡£ÈçÐèµ÷ÕûÀûÈó·ÖÅä·½°¸£¬Ó¦ÖØÐÂÂÄÐÐÉÏ
Êö³ÌÐò¡£¹«Ë¾¶ÀÁ¢¶ÊÂÓ¦¶ÔÀûÈó·ÖÅäÔ¤°¸½øÐÐÉóºË²¢·¢±í¶ÀÁ¢Òâ¼û£»¶ÀÁ¢¶Ê¿ÉÒÔÕ÷¼¯ÖÐС
¹É¶«µÄÒâ¼û£¬Ìá³ö·ÖºìÌá°¸£¬²¢Ö±½ÓÌá½»¶Ê»áÉóÒé¡£
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¡¢ ¹«Ë¾Ó¦µ±ÑϸñÖ´Ðб¾Õ³ÌÈ·¶¨µÄÏÖ½ð·ÖºìÕþ²ßÒÔ¼°¹É¶«´ó»áÉóÒéÅú×¼µÄÏÖ½ð·Öºì¾ßÌå·½°¸¡£
È·ÓбØÒª¶Ô±¾Õ³ÌÈ·¶¨µÄÏÖ½ð·ÖºìÕþ²ß½øÐе÷Õû»òÕß±ä¸üµÄ£¬Ó¦µ±Âú×ã±¾Õ³̹涨µÄÌõ¼þ£¬
¾¹ýÏêϸÂÛÖ¤ºó£¬ÂÄÐÐÏàÓ¦µÄ¾ö²ß³ÌÐò£¬²¢¾³öϯ¹É¶«´ó»áµÄ¹É¶«Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ
¹ý£»¶ÀÁ¢¶ÊÂÒª¶Ôµ÷Õû»ò±ä¸üµÄÀíÓÉÕæÊµÐÔ¡¢³ä·ÖÐÔ¡¢ºÏÀíÐÔ¡¢ÉóÒé³ÌÐòÕæÊµÐÔºÍÓÐЧÐÔÒÔ
¼°ÊÇ·ñ·ûºÏ±¾Õ³̹涨µÄÌõ¼þµÈÊÂÏî·¢±íÃ÷È·Òâ¼û£¬ÇÒ¹«Ë¾Ó¦Ôڹɶ«´ó»áÕÙ¿ªÇ°ÓëÖÐС¹É¶«
³ä·Ö¹µÍ¨½»Á÷£¬²¢¼°Ê±´ð¸´ÖÐС¹É¶«¹ØÐĵÄÎÊÌ⣬±ØÒªÊ±£¬¿Éͨ¹ýÍøÂçͶƱϵͳÕ÷¼¯¹É¶«Òâ
¼û¡£
The Company shall strictly implement its cash dividend policy as determined in the Articles of
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
83
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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¡¢ ¹«Ë¾µ÷ÕûÏÖ½ð·ÖºìÕþ²ßµÄ¾ßÌåÌõ¼þ£º£¨1£©¹«Ë¾·¢Éú¿÷Ëð»òÕßÒÑ·¢²¼Ô¤¿÷ÌáʾÐÔ¹«¸æµÄ£»£¨2£©
×ÔÀûÈó·ÖÅäµÄ¹É¶«´ó»áÕÙ¿ªÈÕºóµÄÁ½¸öÔÂÄÚ£¬¹«Ë¾³ý=×ʽð¡¢Õþ¸®×¨Ïî²ÆÕþ×ʽðµÈר¿îר
Óûòר»§¹ÜÀí×ʽðÒÔÍâµÄÏֽ𣨺¬ÒøÐдæ¿î¡¢¸ßÁ÷¶¯ÐÔµÄծȯµÈ£©Óà¶î¾ù²»×ãÒÔÖ§¸¶ÏÖ½ð¹É
Àû£»£¨3£©°´Õռȶ¨·ÖºìÕþ²ßÖ´Ðн«µ¼Ö¹«Ë¾¹É¶«´ó»á»ò¶Ê»áÅú×¼µÄÖØ´óͶ×ÊÏîÄ¿¡¢ÖØ´ó½»
Ò×ÎÞ·¨°´¼È¶¨½»Ò×·½°¸ÊµÊ©µÄ£»£¨4£©¶Ê»áÓкÏÀíÀíÓÉÏàÐŰ´Õռȶ¨·ÖºìÕþ²ßÖ´Ðн«¶Ô¹«Ë¾
³ÖÐø¾Óª»ò±£³ÖÓ¯ÀûÄÜÁ¦¹¹³ÉʵÖÊÐÔ²»ÀûÓ°ÏìµÄ¡£
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.
£¨Ê®£© ÏÖ½ð·ÖºìµÄ¼à¶½Ô¼Êø»úÖÆ
Mechanism for supervision and limiting on cash dividend
1¡¢ ¼àÊ»áÓ¦¶Ô¶Ê»áºÍ¹ÜÀí²ãÖ´Ðй«Ë¾·ÖºìÕþ²ßºÍ¹É¶«»Ø±¨¹æ»®µÄÇé¿ö¼°¾ö²ß³ÌÐò½øÐмල£»
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¡¢ ¹«Ë¾¶Ê»ᡢ¹É¶«´ó»áÔÚ¶ÔÀûÈó·ÖÅäÕþ²ß½øÐоö²ßºÍÂÛÖ¤¹ý³ÌÖÐÓ¦µ±³ä·Ö¿¼ÂǶÀÁ¢¶ÊºÍÖÐ
С¹É¶«µÄÒâ¼û¡£¹É¶«´ó»á¶ÔÏÖ½ð·Öºì¾ßÌå·½°¸½øÐÐÉóÒéʱ£¬Ó¦Í¨¹ý¶àÖÖÇþµÀ£¨°üÀ¨µ«²»ÏÞÓÚ
µç»°¡¢´«Õæ¡¢µç×ÓÓʼþ¡¢Ðꝡ¢»¥ÁªÍøµÈ·½Ê½£©Ö÷¶¯Óë¹É¶«ÌرðÊÇÖÐС¹É¶«½øÐйµÍ¨ºÍ½»Á÷£¬
³ä·ÖÌýÈ¡ÖÐС¹É¶«ËßÇ󣬲¢¼°Ê±´ð¸´ÖÐС¹É¶«¹ØÐĵÄÎÊÌ⣻
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;
3¡¢ ÔÚ¹«Ë¾Ó¯ÀûµÄÇé¿öÏ£¬¹«Ë¾¶Ê»áδ×ö³öÏÖ½ðÀûÈó·ÖÅäÔ¤°¸µÄ£¬Ó¦µ±ÔÚ¶¨ÆÚ±¨¸æÖÐÅû¶δ·Ö
ºìµÄÔÒò¡¢Î´ÓÃÓÚ·ÖºìµÄ×ʽðÁô´æ¹«Ë¾µÄÓÃ;£¬¶ÀÁ¢¶ÊÂÓ¦µ±¶Ô´Ë·¢±íÃ÷È·µÄ¶ÀÁ¢Òâ¼û£»
If profit is recorded but the Board of Directors of the Company does not put forth a cash dividend
84
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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¡¢ ¹«Ë¾Ó¦µ±ÔÚ¶¨ÆÚ±¨¸æÖÐÏêϸÅû¶ÏÖ½ð·ÖºìÕþ²ßµÄÖÆ¶¨¼°Ö´ÐÐÇé¿ö£¬ËµÃ÷ÊÇ·ñ·ûºÏ¹«Ë¾Õ³̵Ä
¹æ¶¨»òÕ߹ɶ«´ó»á¾öÒéµÄÒªÇ󣬷ֺì±ê×¼ºÍ±ÈÀýÊÇ·ñÃ÷È·ºÍÇåÎú£¬Ïà¹ØµÄ¾ö²ß³ÌÐòºÍ»úÖÆÊÇ
·ñÍ걸£¬¶ÀÁ¢¶ÊÂÊÇ·ñ¾¡Ö°ÂÄÔð²¢·¢»ÓÁËÓ¦ÓеÄ×÷Óã¬ÖÐС¹É¶«ÊÇ·ñÓгä·Ö±í´ïÒâ¼ûºÍËßÇó
µÄ»ú»á£¬ÖÐС¹É¶«µÄºÏ·¨È¨ÒæÊÇ·ñµÃµ½³ä·Öά»¤µÈ¡£¶ÔÏÖ½ð·ÖºìÕþ²ß½øÐе÷Õû»ò±ä¸üµÄ£¬»¹
ÒªÏêϸ˵Ã÷µ÷Õû»ò±ä¸üµÄÌõ¼þºÍ³ÌÐòÊÇ·ñºÏ¹æºÍ͸Ã÷µÈ¡£
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.
µÚ¶þ°ÙÎåÊ®ÎåÌõ ¹«Ë¾Ó¦µ±Îª³ÖÓо³ÍâÉÏÊÐÍâ×ʹɹɷݵĹɶ«Î¯ÈÎÊÕ¿î´úÀíÈË¡£ÊÕ¿î´úÀíÈËÓ¦µ±´úÓйعÉ
¶«ÊÕÈ¡¹«Ë¾¾Í¾³ÍâÉÏÊÐÍâ×ʹɹɷݷÖÅäµÄ¹ÉÀû¼°ÆäËûÓ¦¸¶µÄ¿îÏî¡£
Article 255 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.
¹«Ë¾Î¯ÈεÄÊÕ¿î´úÀíÈËÓ¦µ±·ûºÏÉÏÊеط¨ÂÉ»òÕß֤ȯ½»Ò×ËùÓйع涨µÄÒªÇó¡£¹«Ë¾ÎªÆäÔÚÏã¸ÛÁª½»Ëù¹ÒÅÆ
ÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɹɶ«Î¯ÈεÄÊÕ¿î´úÀíÈË£¬Ó¦µ±ÎªÒÀÕÕÏã¸Û¡¶ÊÜÍÐÈËÌõÀý¡·×¢²áµÄÐÅÍй«Ë¾¡£
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.
µÚ¶þ°ÙÎåÊ®ÁùÌõ ¹«Ë¾Óڴ߽ɹɿîǰÒѽɸ¶µÄÈκιɷݵĹɿî¾ù¿ÉÏíÓÐÀûÏ¢£¬Î©¹É·Ý³ÖÓÐÈËÎÞȨ¾ÍÔ¤½É¹É
¿îÊÕÈ¡ÓÚÆäºóÐûÅɵĹÉÀû¡£
Article 256 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.
ÔÚ×ñÊØÖйúÓйط¨ÂÉ¡¢·¨¹æ¡¢¹æÕ¡¢¹æ·¶ÐÔÎļþµÄǰÌáÏ£¬¶ÔÓÚÎÞÈËÈÏÁìµÄ¹ÉÏ¢£¬¹«Ë¾¿ÉÐÐʹûÊÕȨÀû£¬
µ«¸ÃȨÀû½ö¿ÉÔÚÊÊÓõÄÓйØÊ±Ð§½ìÂúºó²Å¿ÉÐÐʹ¡£
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.
¹«Ë¾ÓÐȨÖÕÖ¹ÒÔÓʵݷ½Ê½Ïò¾³ÍâÉÏÊÐÍâ×ʹɳÖÓÐÈË·¢Ë͹ÉÏ¢µ¥£¬µ«¹«Ë¾Ó¦ÔÚ¹ÉÏ¢µ¥Á¬ÐøÁ½´ÎδÓèÌáÏÖºó·½
¿ÉÐÐʹ´ËÏîȨÀû¡£Èç¹ÉÏ¢µ¥³õ´ÎÓʼÄδÄÜËÍ´ïÊÕ¼þÈ˶øÔâÍ˻غ󣬹«Ë¾¼´¿ÉÐÐʹ´ËÏîȨÀû¡£
The Company shall have the right to terminate the serving of dividend warrant to holders of the
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.
¹«Ë¾ÓÐȨ°´¶Ê»áÈÏΪÊʵ±µÄ·½Ê½³öÊÛδÄÜÁªÂçµÄ¾³ÍâÉÏÊÐÍâ×ʹɵĹɶ«µÄ¹É·Ý£¬µ«±ØÐë×ñÊØÒÔÏÂÌõ¼þ£º
85
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
¹«Ë¾ÔÚ 12 ÄêÄÚÒѾ͸õȹɷÝ×îÉÙÅÉ·¢ÁËÈý´Î¹ÉÏ¢£¬¶øÔÚ¸Ã¶ÎÆÚ¼äÎÞÈËÈÏÁì¹ÉÏ¢£»¼°
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
¹«Ë¾ÔÚ 12 ÄêÆÚ¼ä½ìÂúºóÓÚ¹«Ë¾¹ÉƱÉÏÊеØÒ»·Ý»ò¶à·Ý±¨Õ¿¯µÇ¹«¸æ£¬ËµÃ÷ÆäÄ⽫¹É·Ý³öÊÛµÄÒâÏò£¬²¢Í¨
Öª¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹¡£
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.
µÚ¶þ½Ú ÄÚ²¿Éó¼Æ
Section 2 Internal Auditing
µÚ¶þ°ÙÎåÊ®ÆßÌõ ¹«Ë¾ÊµÐÐÄÚ²¿Éó¼ÆÖƶȣ¬Å䱸רְÉó¼ÆÈËÔ±£¬¶Ô¹«Ë¾²ÆÎñÊÕÖ§ºÍ¾¼Ã»î¶¯½øÐÐÄÚ²¿Éó¼Æ
¼à¶½¡£
Article 257 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.
µÚ¶þ°ÙÎåÊ®°ËÌõ ¹«Ë¾ÄÚ²¿Éó¼ÆÖƶȺÍÉó¼ÆÈËÔ±µÄÖ°Ôð£¬Ó¦µ±¾¶Ê»áÅú×¼ºóʵʩ¡£É󼯏ºÔðÈËÏò¶Ê»á
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Article 258 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.
µÚÈý½Ú »á¼ÆÊ¦ÊÂÎñËùµÄƸÈÎ
Section 3 Engagement of an Accountancy Firm
µÚ¶þ°ÙÎåÊ®¾ÅÌõ ¹«Ë¾Æ¸ÓöÀÁ¢µÄ¡¢È¡µÃ¡°´ÓÊÂ֤ȯÏà¹ØÒµÎñ×ʸñ¡±µÄ»á¼ÆÊ¦ÊÂÎñËù½øÐÐÄê¶È²ÆÎñ±¨¸æ¼°ÆäËü
²ÆÎñ±¨¸æÉ󼯡¢¾»×ʲúÑéÖ¤¼°ÆäËûÏà¹ØµÄ×Éѯ·þÎñµÈÒµÎñ¡£Æ¸ÆÚ 1 Ä꣬×Ô¹«Ë¾±¾´Î¹É¶«Äê»á½áÊøÊ±ÆðÖÁÏÂ
´Î¹É¶«Äê»á½áÊøÊ±Ö¹£¬¿ÉÒÔÐøÆ¸¡£¹«Ë¾µÄÊ×ÈÎ»á¼ÆÊ¦ÊÂÎñËù¿ÉÒÔÓÉ´´Á¢´ó»áÔÚÊ״ιɶ«Äê»áǰƸÈΣ¬¸Ã»á
¼ÆÊ¦ÊÂÎñËùµÄÈÎÆÚÔÚÊ״ιɶ«Äê»á½áÊøÊ±ÖÕÖ¹¡£´´Á¢´ó»á²»ÐÐʹǰ¿î¹æ¶¨µÄְȨʱ£¬ÓɶÊ»áÐÐʹ¸ÃְȨ¡£
Article 259 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.
µÚ¶þ°ÙÁùÊ®Ìõ ¾¹«Ë¾Æ¸ÓÃµÄ»á¼ÆÊ¦ÊÂÎñËùÏíÓÐÏÂÁÐȨÀû£º
Article 260 The auditors engaged by the Company shall enjoy the following rights:
(Ò») ËæÊ±²éÔĹ«Ë¾µÄÕʲ¾¡¢¼Ç¼»òÕ߯¾Ö¤£¬²¢ÓÐȨҪÇó¹«Ë¾µÄ¶Ê¡¢×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ
ÓйØ×ÊÁϺÍ˵Ã÷£»
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
86
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
relevant information and explanations;
(¶þ) ÒªÇó¹«Ë¾²ÉȡһÇкÏÀí´ëÊ©£¬´ÓÆä×Ó¹«Ë¾È¡µÃ¸Ã»á¼ÆÊ¦ÊÂÎñËùΪÂÄÐÐÖ°Îñ¶ø±ØÐèµÄ×ÊÁϺÍ˵Ã÷£»
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;
(Èý) ³öϯ¹É¶«»áÒ飬µÃµ½Èκιɶ«ÓÐȨÊÕµ½µÄ»áÒé֪ͨ»òÕßÓë»áÒéÓÐ¹ØµÄÆäËûÐÅÏ¢£¬ÔÚÈκιɶ«»áÒéÉÏ
¾ÍÉæ¼°Æä×÷Ϊ¹«Ë¾µÄ»á¼ÆÊ¦ÊÂÎñËùµÄÊÂÒË·¢ÑÔ¡£
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.
µÚ¶þ°ÙÁùʮһÌõ ¹«Ë¾±£Ö¤ÏòƸÓÃµÄ»á¼ÆÊ¦ÊÂÎñËùÌá¹©ÕæÊµ¡¢ÍêÕûµÄ»á¼ÆÆ¾Ö¤¡¢»á¼ÆÕ˲¾¡¢²ÆÎñ»á¼Æ±¨¸æ
¼°ÆäËû»á¼Æ×ÊÁÏ£¬²»µÃ¾Ü¾ø¡¢ÒþÄä¡¢»Ñ±¨¡£
Article 261 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.
µÚ¶þ°ÙÁùÊ®¶þÌõ¹«Ë¾Æ¸ÓᢽâƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËùÓɹɶ«´ó»á×÷³ö¾ö¶¨£¬²¢±¨¹úÎñԺ֤ȯÖ÷¹Ü»ú
¹¹±¸°¸¡£
Article 262 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.
µÚ¶þ°ÙÁùÊ®ÈýÌõ ¹«Ë¾½âƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËùʱ£¬Ìáǰ 30 ÌìÊÂÏÈ֪ͨ»á¼ÆÊ¦ÊÂÎñËù£¬¹«Ë¾¹É¶«´ó
»á¾Í½âƸ»á¼ÆÊ¦ÊÂÎñËù½øÐбí¾öʱ,ÔÊÐí»á¼ÆÊ¦ÊÂÎñËù³ÂÊöÒâ¼û¡£
Article 263 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.
»á¼ÆÊ¦ÊÂÎñËùÌá³ö´ÇƸµÄ£¬Ó¦µ±Ïò¹É¶«´ó»á˵Ã÷¹«Ë¾ÓÐÎÞ²»µ±ÇéÐΡ£
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.
»á¼ÆÊ¦ÊÂÎñËù¿ÉÒÔÓÃ°Ñ´ÇÆ¸ÊéÃæÍ¨ÖªÖÃÓÚ¹«Ë¾·¨¶¨µØÖ·µÄ·½Ê½´ÇÈ¥ÆäÖ°Îñ¡£Í¨ÖªÔÚÆäÖÃÓÚ¹«Ë¾·¨¶¨µØÖ·Ö®
ÈÕ»òÕß֪ͨÄÚ×¢Ã÷µÄ½Ï³ÙµÄÈÕÆÚÉúЧ¡£¸Ã֪ͨӦµ±°üÀ¨ÏÂÁгÂÊö£º
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¡¢ ÈÏΪÆä´ÇƸ²¢²»Éæ¼°ÈκÎÓ¦¸ÃÏò¹«Ë¾¹É¶«»òÕßծȨÈ˽»´úÇé¿öµÄÉùÃ÷£»»òÕß
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¡¢ ÈκÎÓ¦µ±½»´úÇé¿öµÄ³ÂÊö¡£
representation regarding any issues to be explained.
¹«Ë¾ÊÕµ½Ç°¿îËùÖ¸ÊéÃæÍ¨ÖªµÄ 14 ÈÕÄÚ£¬Ó¦µ±½«¸Ã֪ͨ¸´Ó¡¼þËͳö¸øÓйØÖ÷¹Ü»ú¹Ø¡£Èç¹ûÍ¨ÖªÔØÓеڶþ°Ù
ÁùÊ®ÎåÌõµÚÒ»¿î£¨¶þ£©ÏîÌá¼°µÄ³ÂÊö£¬¹«Ë¾Ó¦µ±½«¸Ã³ÂÊöµÄ¸±±¾±¸ÖÃÓÚ¹«Ë¾£¬¹©¹É¶«²éÔÄ¡£¹«Ë¾»¹Ó¦½«Ç°
Êö³ÂÊö¸±±¾ÒÔÓÊ×ÊÒѸ¶µÄÓʼþ¼Ä¸øÃ¿¸öÓÐȨµÃµ½¹«Ë¾²ÆÎñ×´¿ö±¨¸æµÄ¹É¶«£¬ÊܼþÈ˵ØÖ·ÒԹɶ«µÄÃû²áµÇ¼Ç
µÄµØÖ·Îª×¼¡£
The Company shall, within fourteen (14) days upon receipt of the written notice prescribed in the
87
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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 265, 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.
Èç¹û»á¼ÆÊ¦ÊÂÎñËùµÄ´ÇÆ¸Í¨ÖªÔØÓÐÈκÎÓ¦µ±½»´úÇé¿öµÄ³ÂÊö£¬»á¼ÆÊ¦ÊÂÎñËù¿ÉÒªÇó¶Ê»áÕÙ¼¯ÁÙʱ¹É¶«´ó
»á£¬ÌýÈ¡Æä¾Í´ÇƸÓйØÇé¿ö×÷³öµÄ½âÊÍ¡£
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.
µÚ¶þ°ÙÁùÊ®ËÄÌõ Èç¹û»á¼ÆÊ¦ÊÂÎñËùְλ³öÏÖ¿Õȱ£¬¶Ê»áÔڹɶ«´ó»áÕÙ¿ªÇ°£¬¿ÉÒÔίÈÎ»á¼ÆÊ¦ÊÂÎñËùÌî
²¹¸Ã¿Õȱ¡£µ«ÔÚ¿Õȱ³ÖÐøÆÚ¼ä£¬¹«Ë¾ÈçÓÐÆäËûÔÚÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù£¬¸ÃµÈ»á¼ÆÊ¦ÊÂÎñËùÈÔ¿ÉÐÐÊ¡£
Article 264 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.
µÚ¶þ°ÙÁùÊ®ÎåÌõ ¹É¶«´ó»áÔÚÄâͨ¹ý¾öÒ飬ƸÈÎÒ»¼Ò·ÇÏÖÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÒÔÌî²¹»á¼ÆÊ¦ÊÂÎñËùְλµÄÈÎ
ºÎ¿Õȱ£¬»òÐøÆ¸Ò»¼ÒÓɶÊÂ»áÆ¸ÈÎÌî²¹¿ÕȱµÄ»á¼ÆÊ¦ÊÂÎñËù»òÕß½âÆ¸Ò»¼ÒÈÎÆÚδ½ìÂúµÄ»á¼ÆÊ¦ÊÂÎñËùµÄ£¬
Ó¦µ±·ûºÏÏÂÁÐ A
Article 265 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:
(Ò») ÓÐ¹ØÆ¸Èλò½âƸµÄÌá°¸Ôڹɶ«´ó»á»áÒé֪ͨ·¢³ö֮ǰ£¬Ó¦µ±Ë͸øÄâÆ¸ÈεĻòÕßÄâÀëÈεĻòÕßÔÚÓйØ
»á¼ÆÄê¶ÈÒÑÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù¡£
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.
ÀëÈΰüÀ¨±»½âƸ¡¢´ÇƸºÍÍËÈΡ£
For the purpose of this article, ¡°leaving¡± includes leaving by removal, resignation and retirement.
(¶þ) Èç¹û¼´½«ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù×÷³öÊéÃæ³ÂÊö£¬²¢ÒªÇó¹«Ë¾½«¸Ã³ÂÊö¸æÖª¹É¶«£¬¹«Ë¾³ý·ÇÊÕµ½ÊéÃæ³Â
Êö¹ýÍí£¬·ñÔòÓ¦µ±²ÉÈ¡ÒÔÏ´ëÊ©£º
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¡¢ ÔÚΪ×÷³ö¾öÒé¶ø·¢³ö֪ͨÉÏ˵Ã÷½«ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù×÷³öÁ˳ÂÊö£»
In any notice of the resolution given to shareholders, state the fact of the representations
having been made; and
2¡¢ ½«³ÂÊö¸±±¾×÷Ϊ֪ͨµÄ¸½¼þÒÔÕ³̹涨µÄ·½Ê½Ë͸øÃ¿Î»ÓÐȨµÃµ½¹É¶«´ó»á֪ͨµÄ¹É¶«¡£
Attach a copy of the representations to the notice and deliver it to the shareholders who are
entitled to receive the notice of shareholders¡¯ general meeting in the manner stipulated in the
Company¡¯s Articles of Association.
(Èý) ¹«Ë¾Èç¹û佫ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËùµÄ³ÂÊö°´±¾¿î£¨¶þ£©ÏîµÄ¹æ¶¨Ëͳö£¬ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËù¿ÉÒªÇó¸Ã³Â
ÊöÔڹɶ«´ó»áÉÏÐû¶Á£¬²¢¿ÉÒÔ½øÒ»²½×÷³öÉêËß¡£
88
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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.
(ËÄ) ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÓÐȨ³öϯÒÔÏ»áÒ飺
An auditor which is leaving its post shall be entitled to attend the following shareholders¡¯ general
meetings:
1¡¢ ÆäÈÎÆÚÓ¦µ½ÆÚµÄ¹É¶«´ó»á£»
The general meeting at which its term of office would otherwise have expired;
2¡¢ ΪÌî²¹ÒòÆä±»½âƸ¶ø³öÏÖ¿ÕȱµÄ¹É¶«´ó»á£»
The general meeting at which it is proposed to fill the vacancy caused by its removal; and
3¡¢ ÒòÆäÖ÷¶¯´ÇƸ¶øÕÙ¼¯µÄ¹É¶«´ó»á¡£
The general meeting which convened as a result of its resignation,
ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÓÐȨÊÕµ½Ç°Êö»áÒéµÄËùÓÐ֪ͨ»òÕßÓë»áÒéÓÐ¹ØµÄÆäËûÐÅÏ¢£¬²¢ÔÚǰÊö»áÒéÉϾÍÉæ¼°Æä
×÷Ϊ¹«Ë¾Ç°ÈÎ»á¼ÆÊ¦ÊÂÎñËùµÄÊÂÒË·¢ÑÔ¡£
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.
µÚ¶þ°ÙÁùÊ®ÁùÌõ ²»ÂÛ»á¼ÆÊ¦ÊÂÎñËùÓ빫˾¶©Á¢µÄºÏͬÌõ¿îÈçºÎ¹æ¶¨£¬¹É¶«´ó»á¿ÉÒÔÔÚÈÎºÎ»á¼ÆÊ¦ÊÂÎñËù
ÈÎÆÚ½ìÂúǰ£¬Í¨¹ýÆÕͨ¾öÒé¾ö¶¨½«¸Ã»á¼ÆÊÂÎñËù½âƸ¡£ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËùÈçÓÐÒò±»½âƸ¶øÏò¹«Ë¾Ë÷³¥µÄȨ
Àû£¬ÓйØÈ¨Àû²»Òò´Ë¶øÊÜÓ°Ïì¡£
Article 266 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.
µÚ¶þ°ÙÁùÊ®ÆßÌõ »á¼ÆÊ¦ÊÂÎñËùµÄ±¨³ê»òÕßÈ·¶¨±¨³êµÄ·½Ê½Óɹɶ«´ó»á¾ö¶¨¡£ÓɶÊÂ»áÆ¸ÈÎµÄ»á¼ÆÊ¦ÊÂÎñ
ËùµÄ±¨³êÓɶÊ»áÈ·¶¨¡£
Article 267 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.
µÚÊ®ÈýÕ ֪ͨºÍ¹«¸æ
Chapter 13 Notices and Announcements
µÚÒ»½Ú ֪ͨ
Section 1 Notices
µÚ¶þ°ÙÁùÊ®°ËÌõ ¹«Ë¾µÄ֪ͨÒÔÏÂÁÐÐÎʽ·¢³ö£º
Article 268 Notices of the Company shall be sent by the following means:
(Ò») ÒÔרÈËËͳö£»
by hand;
(¶þ) ÒÔÓʼþ·½Ê½Ëͳö£»
by mail;
(Èý) ÒÔ¹«¸æ·½Ê½½øÐУ»
by announcement; or
89
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(ËÄ) ±¾Õ³̹涨µÄÆäËûÐÎʽ¡£
by other means prescribed by the Company¡¯s Articles of Association.
¾Í¹«Ë¾°´ÕÕ¡¶Ïã¸ÛÉÏÊйæÔò¡·ÒªÇóÏò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ìṩ»ò·¢Ë͹«Ë¾Í¨Ñ¶µÄ·½Ê½¶øÑÔ£¬ÔÚ·ûºÏÉÏÊеØ
·¨ÂÉ·¨¹æ¼°ÉÏÊйæÔòºÍ¹«Ë¾Õ³̵ÄǰÌáÏ£¬¾ù¿Éͨ¹ý¹«Ë¾Ö¸¶¨µÄ¼°£¯»òÏã¸ÛÁª½»ËùÍøÕ¾»òͨ¹ýµç×Ó·½Ê½£¬
½«¹«Ë¾Í¨Ñ¶Ìṩ»ò·¢Ë͸ø¾³ÍâÉÏÊÐÍâ×ʹɹɶ«¡£
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.
ǰ¿îËù³Æ¹«Ë¾Í¨Ñ¶ÊÇÖ¸£¬¹«Ë¾·¢³ö»ò½«Óè·¢³öÒÔ¹©¹«Ë¾Èκξ³ÍâÉÏÊÐÍâ×ʹɹɶ«²ÎÕÕ»ò²ÉÈ¡Ðж¯µÄÈκÎÎÄ
¼þ£¬ÆäÖаüÀ¨µ«²»ÏÞÓÚ£º£¨1£©¶Ê»ᱨ¸æ¡¢¹«Ë¾µÄÄê¶ÈÕËÄ¿¡¢ºËÊýʦ±¨¸æÒÔ¼°²ÆÎñÕªÒª±¨¸æ£¨ÈçÊÊÓã©£»£¨2£©
¹«Ë¾ÖÐÆÚ±¨¸æ¼°ÖÐÆÚÕªÒª±¨¸æ£¨ÈçÊÊÓã©£»£¨3£©»áÒé֪ͨ£»£¨4£©ÉÏÊÐÎļþ£»£¨5£©Í¨º¯£»£¨6£©Î¯Èαí¸ñ£¨Î¯
Èαí¸ñ¾ßÓй«Ë¾¹É·ÝÉÏÊеؽ»Ò×ËùÉÏÊйæÔòËù¸³ÓèµÄº¬Ò壩¡£
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).
µÚ¶þ°ÙÁùÊ®¾ÅÌõ ¹«Ë¾·¢¸øÄÚ×ʹɹɶ«µÄ֪ͨ£¬ÐëÔÚ¹ú¼Ò֤ȯ¼à¶½¹ÜÀí»ú¹¹Ö¸¶¨µÄÒ»¼Ò»ò¶à¼Ò±¨¿¯ÉÏ¿¯µÇ
¹«¸æ¡£¸Ã¹«¸æÒ»¾¿¯µÇ£¬ËùÓÐÄÚ×ʹɹɶ«¼´±»ÊÓΪÒÑÊÕµ½¸ÃµÈ֪ͨ¡£
Article 269 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.
µÚ¶þ°ÙÆßÊ®Ìõ ³ý±¾Õ³ÌÁíÓй涨Í⣬¹«Ë¾·¢¸ø¾³ÍâÉÏÊÐÍâ×ʹɹɶ«µÄ֪ͨ¡¢×ÊÁÏ»òÊéÃæÉùÃ÷£¬Ðë°´¾³Íâ
ÉÏÊÐÍâ×ʹɹɶ«µÄ×¢²áµØÖ·Ëʹ»òÒÔÓʵݷ½Ê½¼ÄÖÁÿһλ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«¡£
Article 270 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.
ÐÐʹ±¾Õ³ÌÄڹ涨µÄȨÁ¦ÒÔ¹«¸æÐÎʽ·¢³ö֪ͨʱ£¬¸ÃµÈ¹«¸æ¿ÉÓÚ±¨ÕÂÉÏ¿¯µÇ¡£
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.
µÚ¶þ°ÙÆßʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»áµÄ»áÒé֪ͨ£¬ÒÔ¹«¸æ·½Ê½½øÐС£
Article 271 The notice of shareholders¡¯ general meeting to be convened shall be sent by
announcement.
µÚ¶þ°ÙÆßÊ®¶þÌõ ¹«Ë¾ÕÙ¿ª¶Ê»ᡢ¼àÊ»áµÄ»áÒé֪ͨ£¬ÒÔרÈËËͳö¡¢Óʵݡ¢´«Õæ¡¢µç×ÓÓʼþ·½Ê½½øÐС£
Article 272 The notice of meetings of the Board of Directors or Board of Supervisors to be convened
shall be sent by hand, mail, facsimile or e-mail.
µÚ¶þ°ÙÆßÊ®ÈýÌõ ¹«Ë¾Í¨ÖªÒÔרÈËËͳöµÄ£¬Óɱ»ËÍ´ïÈËÔÚËÍ´ï»ØÖ´ÉÏÇ©Ãû(»ò¸ÇÕÂ)£¬±»ËÍ´ïÈËÇ©ÊÕÈÕÆÚΪËÍ
´ïÈÕÆÚ£»¹«Ë¾Í¨ÖªÒÔÓʼþËͳöµÄ£¬×Ô½»¸¶ÓʾÖÖ®ÈÕÆðµÚ 3 ¸ö¹¤×÷ÈÕΪËÍ´ïÈÕÆÚ£»¹«Ë¾Í¨ÖªÒÔ¹«¸æ·½Ê½Ëͳö
µÄ£¬µÚÒ»´Î¹«¸æ¿¯µÇÈÕΪËÍ´ïÈÕÆÚ¡£
Article 273 Notices sent by hand shall be deemed effectively served on the day when the addressee
90
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚ¶þ°ÙÆßÊ®ËÄÌõ ÒòÒâÍâÒÅ©δÏòijÓÐȨµÃµ½Í¨ÖªµÄÈËËͳö»áÒé֪ͨ»òÕ߸õÈÈËûÓÐÊÕµ½»áÒé֪ͨ£¬»áÒé
¼°»áÒé×÷³öµÄ¾öÒé²¢²»Òò´ËÎÞЧ¡£
Article 274 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.
µÚ¶þ½Ú ¹«¸æ
Section 2 Announcements
µÚ¶þ°ÙÆßÊ®ÎåÌõ ¹«Ë¾Ö¸¶¨¡¶ÉϺ£Ö¤È¯±¨¡·¡¢¡¶Öйú֤ȯ±¨¡·ÒÔ¼°ÖйúÖ¤¼à»áÖ¸¶¨µÄÐÅÏ¢ÅûÂ¶ÍøÕ¾Îª¿¯µÇ¹«
¸æºÍÆäËûÐèÒªÅû¶ÐÅÏ¢µÄýÌå¡£
Article 275 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.
µÚ¶þ°ÙÆßÊ®ÁùÌõ Èç¸ù¾Ý¹«Ë¾Õ³ÌÓ¦Ïò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«·¢³ö¹«¸æ£¬ÔòÓйع«¸æÍ¬Ê±Ó¦¸ù¾Ý¡¶Ïã¸ÛÉÏÊÐ
¹æÔò¡·Ëù¹æ¶¨µÄ·½·¨¿¯µÇ¡£
Article 276 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.
µÚÊ®ËÄÕ ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×Ê¡¢¼õ×Ê¡¢½âÉ¢ºÍÇåËã
Chapter 14 Merger, Division, Capital Increase and Decrease,
Dissolution and Liquidation
µÚÒ»½Ú ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×ʺͼõ×Ê
Section 1 Merger, Division, Capital Increase and Decrease
µÚ¶þ°ÙÆßÊ®ÆßÌõ ¹«Ë¾¿ÉÒÔÒÀ·¨½øÐкϲ¢»òÕß·ÖÁ¢¡£
Article 277 The Company may be merged or divided according to law.
¹«Ë¾ºÏ²¢¿ÉÒÔ²ÉÈ¡ÎüÊպϲ¢ºÍÐÂÉèºÏ²¢Á½ÖÖÐÎʽ¡£Ò»¸ö¹«Ë¾ÎüÊÕÆäËû¹«Ë¾ÎªÎüÊպϲ¢£¬±»ÎüÊյĹ«Ë¾½âÉ¢¡£
Á½¸öÒÔÉϹ«Ë¾ºÏ²¢ÉèÁ¢Ò»¸öÐµĹ«Ë¾ÎªÐÂÉèºÏ²¢£¬ºÏ²¢¸÷·½½âÉ¢¡£
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.
µÚ¶þ°ÙÆßÊ®°ËÌõ ¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢£¬Ó¦µ±Óɹ«Ë¾¶Ê»áÌá³ö·½°¸£¬°´¹«Ë¾Õ³̹涨µÄ³ÌÐòͨ¹ýºó£¬ÒÀ·¨
°ìÀíÓйØÉóÅúÊÖÐø¡£·´¶Ô¹«Ë¾ºÏ²¢¡¢·ÖÁ¢·½°¸µÄ¹É¶«£¬ÓÐȨҪÇó¹«Ë¾»òÕßͬÒ⹫˾ºÏ²¢¡¢·ÖÁ¢·½°¸µÄ¹É¶«¡¢
ÒÔ¹«Æ½¼Û¸ñ¹ºÂòÆä¹É·Ý¡£¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒéµÄÄÚÈÝÓ¦µ±×÷³ÉרÃÅÎļþ£¬¹©¹É¶«²éÔÄ¡£
Article 278 In the event of the merger or division of the Company, a plan shall be presented by the
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.
91
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¶ÔÓÚ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«£¬Ç°ÊöÎļþÓ¦µ±ÒÔÓʼþ»ò±¾Õ³̹涨µÄÆäËû·½Ê½ËÍ´ï¡£
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.
µÚ¶þ°ÙÆßÊ®¾ÅÌõ ¹«Ë¾ºÏ²¢£¬Ó¦µ±Óɺϲ¢¸÷·½Ç©¶©ºÏ²¢ÐÒ飬²¢±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£¹«Ë¾Ó¦µ±×Ô
×÷³öºÏ²¢¾öÒéÖ®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚÓйر¨Ö½ÉϹ«¸æÖÁÉÙÈý´Î¡£Õ®È¨ÈË×Ô½Óµ½Í¨Öª
ÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æÖ®ÈÕÆð 45 ÈÕÄÚ£¬¿ÉÒÔÒªÇó¹«Ë¾Çå³¥Õ®Îñ»òÕßÌṩÏàÓ¦µÄµ£±£¡£
Article 279 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.
µÚ¶þ°Ù°ËÊ®Ìõ ¹«Ë¾ºÏ²¢Ê±£¬ºÏ²¢¸÷·½µÄծȨ¡¢Õ®Îñ£¬Óɺϲ¢ºó´æÐøµÄ¹«Ë¾»òÕßÐÂÉèµÄ¹«Ë¾³Ð¼Ì¡£
Article 280 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.
µÚ¶þ°Ù°ËʮһÌõ ¹«Ë¾·ÖÁ¢£¬Æä²Æ²ú×÷ÏàÓ¦µÄ·Ö¸î¡£
Article 281 Where there is a division of the Company, its assets shall be divided up accordingly.
¹«Ë¾·ÖÁ¢£¬Ó¦µ±ÓÉ·ÖÁ¢¸÷·½Ç©¶©·ÖÁ¢ÐÒ飬²¢±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£¹«Ë¾Ó¦µ±×Ô×÷³ö·ÖÁ¢¾öÒéÖ®ÈÕ
Æð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚ·¨ÂÉ¡¢·¨¹æ»òÖйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Ö¸¶¨µÄ±¨¿¯ÉϹ«¸æÖÁÉÙÈý´Î¡£
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.
µÚ¶þ°Ù°ËÊ®¶þÌõ ¹«Ë¾·ÖÁ¢Ç°µÄÕ®ÎñÓÉ·ÖÁ¢ºóµÄ¹«Ë¾³Ðµ£Á¬´øÔðÈΡ£µ«ÊÇ£¬¹«Ë¾ÔÚ·ÖÁ¢Ç°ÓëծȨÈ˾ÍÕ®Îñ
Çå³¥´ï³ÉµÄÊéÃæÐÒéÁíÓÐÔ¼¶¨µÄ³ýÍâ¡£
Article 282 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.
µÚ¶þ°Ù°ËÊ®ÈýÌõ ¹«Ë¾ÐèÒª¼õÉÙ×¢²á×ʱ¾Ê±£¬±ØÐë±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£
Article 283 The Company must prepare a balance sheet and an inventory list of its assets when it
reduces its registered capital.
¹«Ë¾Ó¦µ±×Ô×÷³ö¼õÉÙ×¢²á×ʱ¾¾öÒéÖ®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚ¡¶ÉϺ£Ö¤È¯±¨¡·ºÍ¡¶ÖйúÖ¤
ȯ±¨¡·ÉϹ«¸æÖÁÉÙÈý´Î¡£Õ®È¨ÈË×Ô½Óµ½Í¨ÖªÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æÖ®ÈÕÆð 45 ÈÕÄÚ£¬ÓÐ
ȨҪÇó¹«Ë¾Çå³¥Õ®Îñ»òÕßÌṩÏàÓ¦µÄµ£±£¡£
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
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.
¹«Ë¾¼õ×ʺóµÄ×¢²á×ʱ¾½«²»µÍÓÚ·¨¶¨µÄ×îµÍÏÞ¶î¡£
The Company¡¯s registered capital must not, after the reduction in capital, be less than the minimum
92
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
amount required by law.
µÚ¶þ°Ù°ËÊ®ËÄÌõ ¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢£¬µÇ¼ÇÊÂÏî·¢Éú±ä¸üµÄ£¬Ó¦µ±ÒÀ·¨Ïò¹«Ë¾µÇ¼Ç»ú¹Ø°ìÀí±ä¸üµÇ¼Ç£»¹«
˾½âÉ¢µÄ£¬Ó¦µ±ÒÀ·¨°ìÀí¹«Ë¾×¢ÏúµÇ¼Ç£»ÉèÁ¢Ð¹«Ë¾µÄ£¬Ó¦µ±ÒÀ·¨°ìÀí¹«Ë¾ÉèÁ¢µÇ¼Ç¡£
Article 284 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.
¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾£¬Ó¦µ±ÒÀ·¨Ïò¹«Ë¾µÇ¼Ç»ú¹Ø°ìÀí±ä¸üµÇ¼Ç¡£
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.
µÚ¶þ½Ú ½âÉ¢ºÍÇåËã
Section 2 Dissolution and Liquidation
µÚ¶þ°Ù°ËÊ®ÎåÌõ ¹«Ë¾ÒòÏÂÁÐÔÒò½âÉ¢£º
Article 285 The Company may be dissolved in any of the following circumstances:
(Ò») ±¾Õ³̹涨µÄ½âÉ¢ÊÂÓɳöÏÖ£»
Where any reason for dissolution provided herein occurs;
(¶þ) ¹É¶«´ó»á¾öÒé½âÉ¢£»
Where the shareholders' general meeting has adopted a resolution for dissolution;
(Èý) Òò¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢ÐèÒª½âÉ¢£»
Where dissolution is required due to merger or division of the company;
(ËÄ) Òò¹«Ë¾²»ÄÜÇå³¥µ½ÆÚÕ®Îñ±»ÒÀ·¨Ðû¸æÆÆ²ú£»
Where the Company is declared bankrupt in accordance with the law due to its inability to repay
the debts that are due;
(Îå) ÒÀ·¨±»µõÏúÓªÒµÖ´ÕÕ¡¢ÔðÁî¹Ø±Õ»òÕß±»³·Ïú£»
Where the business license of the Company is revoked, or the Company is ordered to close down;
(Áù) ¹«Ë¾¾Óª¹ÜÀí·¢ÉúÑÏÖØÀ§ÄÑ£¬¼ÌÐø´æÐø»áʹ¹É¶«ÀûÒæÊܵ½ÖØ´óËðʧ£¬Í¨¹ýÆäËû;¾¶²»Äܽâ¾öµÄ£¬³Ö
Óй«Ë¾È«²¿¹É¶«±í¾öȨ 10%ÒÔÉϵĹɶ«£¬¿ÉÒÔÇëÇóÈËÃñ·¨Ôº½âÉ¢¹«Ë¾£»
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;
(Æß) ÓªÒµÆÚÏÞ½ìÂú¡£
Where the term of operations expires.
µÚ¶þ°Ù°ËÊ®ÁùÌõ ¹«Ë¾Óеڶþ°Ù°ËÊ®ÎåÌõµÚ£¨Ò»£©ÏîÇéÐεģ¬¿ÉÒÔͨ¹ýÐ޸ı¾Õ³̶ø´æÐø¡£
Article 286 In the circumstance item (i) under Article 285, the Company may continue to exist by
amending the Articles of Association.
ÒÀÕÕǰ¿î¹æ¶¨Ð޸ı¾Õ³̣¬Ðë¾³öϯ¹É¶«´ó»á»áÒéµÄ¹É¶«Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ¹ý¡£
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.
µÚ¶þ°Ù°ËÊ®ÆßÌõ ¹«Ë¾Òò±¾Õ³̵ڶþ°Ù°ËÊ®ÎåÌõµÚ£¨Ò»£©Ïî¡¢µÚ£¨¶þ£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¡¢µÚ
£¨Æß£©Ïî¹æ¶¨¶ø½âÉ¢µÄ£¬Ó¦µ±ÔÚ½âÉ¢ÊÂÓɳöÏÖÖ®ÈÕÆð 15 ÈÕÄÚ³ÉÁ¢ÇåËã×飬¿ªÊ¼ÇåËã¡£
93
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Article 287 Where the Company is dissolved in accordance with the items (i), (ii), (v), (vi) and (vii) under
Article 285 hereof, a liquidation committee shall be established within 15 days upon occurrence of the
reason for dissolution to carry out liquidation.
ÇåËã×éÓɶÊ»òÕ߹ɶ«´ó»áÈ·¶¨µÄÈËÔ±×é³É¡£ÓâÆÚ²»³ÉÁ¢ÇåËã×é½øÐÐÇåËãµÄ£¬Õ®È¨ÈË¿ÉÒÔÉêÇëÈËÃñ·¨ÔºÖ¸
¶¨ÓйØÈËÔ±×é³ÉÇåËã×é½øÐÐÇåËã¡£
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.
¹«Ë¾Òò±¾Õ³̵ڶþ°Ù°ËÊ®ÎåÌõµÚ£¨ËÄ£©Ïî¹æ¶¨½âÉ¢µÄ£¬ÓÉÈËÃñ·¨ÔºÒÀÕÕÓйط¨ÂɵĹ涨£¬×éÖ¯¹É¶«¡¢ÓйØ
»ú¹Ø¼°ÓйØ×¨ÒµÈËÔ±³ÉÁ¢ÇåËã×飬½øÐÐÇåËã¡£
Where the company is dissolved according to the item (iv) under Article 285 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.
¹«Ë¾ÒòǰÌõ£¨Î壩Ïî¹æ¶¨½âÉ¢µÄ£¬ÓÉÓйØÖ÷¹Ü»ú¹Ø×éÖ¯¹É¶«¡¢Óйػú¹Ø¼°ÓйØ×¨ÒµÈËÔ±³ÉÁ¢ÇåËã×飬½øÐÐ
ÇåËã¡£
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.
µÚ¶þ°Ù°ËÊ®°ËÌõ Èç¶Ê»á¾ö¶¨¹«Ë¾½øÐÐÇåË㣨Òò¹«Ë¾Ðû¸æÆÆ²ú¶øÇåËãµÄ³ýÍ⣩£¬Ó¦µ±ÔÚΪ´ËÕÙ¼¯µÄ¹É¶«´ó
»áµÄ֪ͨÖУ¬ÉùÃ÷¶Ê»á¶Ô¹«Ë¾µÄ×´¿öÒѾ×öÁËÈ«ÃæµÄµ÷²é£¬²¢ÈÏΪ¹«Ë¾¿ÉÒÔÔÚÇåË㿪ʼºó 12 ¸öÔÂÄÚÈ«
²¿Çå³¥¹«Ë¾Õ®Îñ¡£
Article 288 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.
¹É¶«´ó»á½øÐÐÇåËãµÄ¾öÒéͨ¹ýÖ®ºó£¬¹«Ë¾¶Ê»áµÄְȨÁ¢¼´ÖÕÖ¹¡£
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.
ÇåËã×éÓ¦µ±×ñѹɶ«´ó»áµÄָʾ£¬Ã¿ÄêÖÁÉÙÏò¹É¶«´ó»á±¨¸æÒ»´ÎÇåËã×éµÄÊÕÈëºÍÖ§³ö£¬¹«Ë¾µÄÒµÎñºÍÇåËã
µÄ½øÕ¹£¬²¢ÔÚÇåËã½áÊøÊ±Ïò¹É¶«´ó»á×÷×îºó±¨¸æ¡£
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.
µÚ¶þ°Ù°ËÊ®¾ÅÌõ ÇåËã×éÔÚÇåËãÆÚ¼äÐÐʹÏÂÁÐְȨ£º
Article 289 During the liquidation period, the liquidation committee shall exercise the following functions
and powers;
(Ò») ÇåÀí¹«Ë¾²Æ²ú£¬·Ö±ð±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥£»
to sort out the Company¡¯s assets and prepare a balance sheet and an inventory of assets
respectively;
(¶þ) ֪ͨ¡¢¹«¸æÕ®È¨ÈË£»
To notify the creditor(s) or to publish public announcements;
94
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ´¦ÀíÓëÇåËãÓйصĹ«Ë¾Î´Á˽áµÄÒµÎñ£»
to dispose of and liquidate any unfinished businesses of the Company;
(ËÄ) Çå½ÉËùǷ˰¿îÒÔ¼°ÇåËã¹ý³ÌÖвúÉúµÄ˰¿î£»
to pay all outstanding taxes and taxes arising from the liquidation;
(Îå) ÇåÀíծȨ¡¢Õ®Îñ£»
to settle claims and debts;
(Áù) ´¦Àí¹«Ë¾Çå³¥Õ®ÎñºóµÄÊ£Óà²Æ²ú£»
to deal with the surplus assets remaining after the Company¡¯s debts have been repaid;
(Æß) ´ú±í¹«Ë¾²ÎÓëÃñÊÂËßËϻ¡£
to represent the Company in any civil proceedings.
µÚ¶þ°Ù¾ÅÊ®Ìõ ÇåËã×éÓ¦µ±×Ô³ÉÁ¢Ö®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 60 ÈÕÄÚÔÚ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»ò¹ú¼Ò֤ȯ
¼à¹Ü»ú¹¹Ö¸¶¨µÄ±¨¿¯ÉÏÖÁÉÙ¹«¸æÈý´Î¡£Õ®È¨ÈËÓ¦µ±×Ô½Óµ½Í¨ÖªÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æ
Ö®ÈÕÆð 45 ÈÕÄÚ£¬ÏòÇåËã×éÉ걨ÆäծȨ¡£
Article 290 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.
ծȨÈËÉ걨ծȨ£¬Ó¦µ±ËµÃ÷ծȨµÄÓйØÊÂÏ²¢Ìṩ֤Ã÷²ÄÁÏ¡£ÇåËã×éÓ¦µ±¶ÔծȨ½øÐеǼǡ£
In claiming its rights, the creditor shall provide evidential material in respect thereof. The liquidation
committee shall register the creditor's rights.
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In the course of claiming of creditors¡¯ rights, the liquidation committee shall not make any repayment to
creditors.
µÚ¶þ°Ù¾ÅʮһÌõ ÇåËã×éÔÚÇåÀí¹«Ë¾²Æ²ú¡¢±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥ºó£¬Ó¦µ±Öƶ¨ÇåËã·½°¸£¬²¢±¨¹É¶«
´ó»á»òÕßÈËÃñ·¨ÔºÈ·ÈÏ¡£
Article 291 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.
¹«Ë¾²Æ²úÔÚÒÀ´Î·Ö±ðÖ§¸¶ÇåËã·ÑÓá¢Ö°¹¤µÄ¹¤×Ê¡¢Éç»á±£ÏÕ·ÑÓúͷ¨¶¨²¹³¥½ð£¬½ÉÄÉËùǷ˰¿î£¬Çå³¥¹«Ë¾
Õ®ÎñºóµÄÊ£Óà²Æ²ú£¬¹«Ë¾°´Õչɶ«³ÖÓеĹɷݱÈÀý·ÖÅä¡£
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.
ÇåËãÆÚ¼ä£¬¹«Ë¾´æÐø£¬µ«²»ÄÜ¿ªÕ¹ÓëÇåËãÎ޹صľӪ»î¶¯¡£¹«Ë¾²Æ²úÔÚδ°´Ç°¿î¹æ¶¨Ç峥ǰ£¬½«²»»á·ÖÅä
¸ø¹É¶«¡£
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
shareholders prior to repaying debts in accordance with the foregoing provision.
µÚ¶þ°Ù¾ÅÊ®¶þÌõ ÇåËã×éÔÚÇåÀí¹«Ë¾²Æ²ú¡¢±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥ºó£¬·¢ÏÖ¹«Ë¾²Æ²ú²»×ãÇå³¥Õ®ÎñµÄ£¬
Ó¦µ±ÒÀ·¨ÏòÈËÃñ·¨ÔºÉêÇëÐû¸æÆÆ²ú¡£
Article 292 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
95
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Company's debts in full, the liquidation committee shall immediately apply to the people¡¯s court for a
declaration of insolvency.
¹«Ë¾¾ÈËÃñ·¨Ôº²Ã¶¨Ðû¸æÆÆ²úºó£¬ÇåËã×éÓ¦µ±½«ÇåËãÊÂÎñÒÆ½»¸øÈËÃñ·¨Ôº¡£
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.
µÚ¶þ°Ù¾ÅÊ®ÈýÌõ ¹«Ë¾ÇåËã½áÊøºó£¬ÇåËã×éÓ¦µ±ÖÆ×÷ÇåË㱨¸æÒÔ¼°ÇåËãÆÚÄÚµÄÊÕÖ§±¨±íºÍ²ÆÎñÕʲᣬ¾ÖÐ
¹ú×¢²á»á¼ÆÊ¦ÑéÖ¤ºó£¬±¨¹É¶«´ó»á»òÕßÓйØÖ÷¹Ü»ú¹ØÈ·ÈÏ¡£
Article 293 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.
ÇåËã×éÓ¦µ±×Թɶ«´ó»á»òÕßÓйØÖ÷¹Ü»ú¹ØÈ·ÈÏÖ®ÈÕÆð 30 ÈÕÄÚ£¬½«Ç°ÊöÎļþ±¨Ë͹«Ë¾µÇ¼Ç»ú¹Ø£¬ÉêÇë×¢Ïú
¹«Ë¾µÇ¼Ç£¬¹«¸æ¹«Ë¾ÖÕÖ¹¡£
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.
µÚ¶þ°Ù¾ÅÊ®ËÄÌõ ÇåËã×é³ÉÔ±Ó¦µ±ÖÒÓÚÖ°ÊØ£¬ÒÀ·¨ÂÄÐÐÇåËãÒåÎñ¡£
Article 294 Members of the liquidation committee shall faithfully perform their duties and carry out their
liquidation obligations in accordance with the law.
ÇåËã×é³ÉÔ±²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾²Æ²ú¡£
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.
ÇåËã×é³ÉÔ±Òò¹ÊÒâ»òÕßÖØ´ó¹ýʧ¸ø¹«Ë¾»òÕßծȨÈËÔì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
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.
µÚ¶þ°Ù¾ÅÊ®ÎåÌõ ¹«Ë¾±»ÒÀ·¨Ðû¸æÆÆ²úµÄ£¬ÒÀÕÕÓÐ¹ØÆó񵮮²úµÄ·¨ÂÉÊµÊ©ÆÆ²úÇåËã¡£
Article 295 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.
µÚÊ®ÎåÕ ÐÞ¸ÄÕ³Ì
Chapter 15 Amendment of the Articles of Association
µÚ¶þ°Ù¾ÅÊ®ÁùÌõ ÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾Ó¦µ±Ð޸ı¾Õ³̣º
Article 296 In any of the following circumstances, the Company shall amend the Articles of Association:
(Ò») ¡¶¹«Ë¾·¨¡·»òÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æÐ޸ĺ󣬱¾Õ³̹涨µÄÊÂÏîÓëÐ޸ĺóµÄ·¨ÂÉ¡¢ÐÐÕþ·¨¹æµÄ¹æ¶¨Ïà
µÖ´¥£»
The Articles of Association is contradictory to any provision of the amended version of the
Company Law or other applicable laws or administrative regulations;
(¶þ) ¹«Ë¾µÄÇé¿ö·¢Éú±ä»¯£¬Óë±¾Õ³̼ÇÔØµÄÊÂÏî²»Ò»Ö£»
There is any change to the Company¡¯s situation and is inconsistent with any matter recorded in the
Articles of Association;
(Èý) ¹É¶«´ó»á¾ö¶¨Ð޸ı¾Õ³̡£
A shareholders¡¯ general meeting adopts a resolution for amendment of the Articles of Association.
96
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þ°Ù¾ÅÊ®ÆßÌõ ¹É¶«´ó»á¾öÒéͨ¹ýµÄ±¾Õ³ÌÐÞ¸ÄÊÂÏîÓ¦¾Ö÷¹Ü»ú¹ØÉóÅúµÄ£¬Ð뱨ÔÉóÅúµÄÖ÷¹Ü»ú¹ØÅú×¼£»
Éæ¼°¹«Ë¾µÇ¼ÇÊÂÏîµÄ£¬ÒÀ·¨°ìÀí±ä¸üµÇ¼Ç¡£
Article 297 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.
µÚ¶þ°Ù¾ÅÊ®°ËÌõ ¶Ê»áÒÀÕչɶ«´ó»áÐÞ¸ÄÕ³̵ľöÒéºÍÓйØÖ÷¹Ü»ú¹ØµÄÉóÅúÒâ¼ûÐ޸ı¾Õ³̡£
Article 298 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.
µÚ¶þ°Ù¾ÅÊ®¾ÅÌõ Õ³ÌÐÞ¸ÄÊÂÏîÊôÓÚ·¨ÂÉ¡¢·¨¹æÒªÇóÅû¶µÄÐÅÏ¢£¬°´¹æ¶¨ÓèÒÔ¹«¸æ¡£
Article 299 If amendments to the Articles of Association need to be disclosed pursuant to laws and
regulations, they shall be disclosed accordingly.
µÚÊ®ÁùÕ ÕùÒé½â¾ö
Chapter 16 Dispute Resolution
µÚÈý°ÙÌõ ¹«Ë¾×ñ´ÓÏÂÊöÕùÒé½â¾ö¹æÔò£º
Article 300 The Company shall abide by the following principles of dispute resolution:
(Ò») ·²¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ó빫˾֮¼ä£¬¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ó빫˾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö®¼ä£¬
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÓëÄÚ×ʹɹɶ«Ö®¼ä£¬»ùÓÚ¹«Ë¾Õ³̡¢¡¶¹«Ë¾·¨¡·¼°ÆäËûÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æËù¹æ
¶¨µÄȨÀûÒåÎñ·¢ÉúµÄÓ빫˾ÊÂÎñÓйصÄÕùÒé»òÕßȨÀûÖ÷ÕÅ£¬Óйص±ÊÂÈËÓ¦µ±½«´ËÀàÕùÒé»òÕßȨÀûÖ÷
ÕÅÌá½»Öٲýâ¾ö¡£
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.
ǰÊöÕùÒé»òÕßȨÀûÖ÷ÕÅÌá½»ÖÙ²Ãʱ£¬Ó¦µ±ÊÇÈ«²¿È¨ÀûÖ÷ÕÅ»òÕßÕùÒéÕûÌ壻ËùÓÐÓÉÓÚͬһÊÂÓÉÓÐËßÒòµÄÈË»ò
Õ߸ÃÕùÒé»òȨÀûÖ÷ÕŵĽâ¾öÐèÒªÆä²ÎÓëµÄÈË£¬Èç¹ûÆäÉí·ÝΪ¹«Ë¾»ò¹«Ë¾¹É¶«¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±£¬
Ó¦µ±·þ´ÓÖٲá£
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.
Óйعɶ«½ç¶¨¡¢¹É¶«Ãû²áµÄÕùÒ飬¿ÉÒÔ²»ÓÃÖٲ÷½Ê½½â¾ö¡£
Dispute in respect of the definition of shareholders and dispute in relation to the register of shareholders
need not be resolved by arbitration.
(¶þ) ÉêÇëÖÙ²ÃÕß¿ÉÒÔÑ¡ÔñÖйú¹ú¼Ê¾¼ÃóÒ×ÖÙ²ÃίԱ»á°´ÆäÖٲùæÔò½øÐÐÖٲã¬Ò²¿ÉÒÔÑ¡ÔñÏã¸Û¹ú¼ÊÖÙ
²ÃÖÐÐİ´Æä֤ȯÖٲùæÔò½øÐÐÖٲá£ÉêÇëÖÙ²ÃÕß½«ÕùÒé»òÕßȨÀûÖ÷ÕÅÌá½»Öٲú󣬶Է½±ØÐëÔÚÉêÇë
ÕßÑ¡ÔñµÄÖٲûú¹¹½øÐÐÖٲá£
97
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
ÈçÉêÇëÖÙ²ÃÕßÑ¡ÔñÏã¸Û¹ú¼ÊÖÙ²ÃÖÐÐĽøÐÐÖٲã¬ÔòÈκÎÒ»·½¿ÉÒÔ°´Ïã¸Û¹ú¼ÊÖÙ²ÃÖÐÐĵÄ֤ȯÖٲùæÔòµÄ¹æ
¶¨ÇëÇó¸ÃÖÙ²ÃÔÚÉîÛÚ½øÐС£
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,
(Èý) ÒÔÖٲ÷½Ê½½â¾öÒò±¾Ìõ£¨Ò»£©ÏîËùÊöÕùÒé»òÕßȨÀûÖ÷ÕÅ£¬ÊÊÓÃÖлªÈËÃñ¹²ºÍ¹úµÄ·¨ÂÉ£»µ«·¨ÂÉ¡¢ÐÐ
Õþ·¨¹æÁíÓй涨µÄ³ýÍâ¡£
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.
(ËÄ) Öٲûú¹¹×÷³öµÄ²Ã¾öÊÇÖվֲþö£¬¶Ô¸÷·½¾ù¾ßÓÐÔ¼ÊøÁ¦¡£
The award of an arbitral body shall be final and conclusive and binding on all parties.
µÚÈý°ÙÁãÒ»Ìõ ²»Éæ¼°µÚÈý°ÙÌõËùÊöµÄÕùÒ飬µ±ÊÂÈË¿ÉÒÔÑ¡ÔñÒÔËßËÏ»òÖٲ÷½Ê½½â¾ö¡£
Article 301 For any dispute not mentioned in Article 300, the parties may resolve it through either
litigation or arbitration.
µÚÊ®ÆßÕ ¸½Ôò
Chapter 17 Supplementary Provisions
µÚÈý°ÙÁã¶þÌõ ÊÍÒå
Article 302 Definition
(Ò») ¿Ø¹É¹É¶«£¬ÊÇÖ¸Æä³ÖÓеĹɷÝÕ¼¹«Ë¾¹É±¾×ܶî 50%ÒÔÉϵĹɶ«£»³ÖÓйɷݵıÈÀýËäÈ»²»×ã 50%£¬µ«
ÒÀÆä³ÖÓеĹɷÝËùÏíÓеıí¾öȨÒÑ×ãÒԶԹɶ«´ó»áµÄ¾öÒé²úÉúÖØ´óÓ°ÏìµÄ¹É¶«¡£
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.
(¶þ) ʵ¼Ê¿ØÖÆÈË£¬ÊÇÖ¸Ëä²»Êǹ«Ë¾µÄ¹É¶«£¬µ«Í¨¹ýͶ×ʹØÏµ¡¢ÐÒé»òÕ߯äËû°²ÅÅ£¬Äܹ»Êµ¼ÊÖ§Å乫˾ÐÐ
ΪµÄÈË¡£
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.
(Èý) ¹ØÁª¹ØÏµ£¬ÊÇÖ¸¹«Ë¾¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈË¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±ÓëÆäÖ±½Ó»òÕß¼ä½Ó¿ØÖƵÄ
ÆóÒµÖ®¼äµÄ¹ØÏµ£¬ÒÔ¼°¿ÉÄܵ¼Ö¹«Ë¾ÀûÒæ×ªÒÆµÄÆäËû¹ØÏµ¡£
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.
(ËÄ) ¶ÔÍâµ£±££¬ÊÇÖ¸¹«Ë¾ÎªËûÈËÌṩµÄµ£±££¬°üÀ¨¹«Ë¾¶Ô¿Ø¹É×Ó¹«Ë¾µÄµ£±££»¹«Ë¾¼°¿Ø¹É×Ó¹«Ë¾µÄ¶ÔÍâ
µ£±£×ܶÊÇÖ¸°üÀ¨¹«Ë¾¶Ô¿Ø¹É×Ó¹«Ë¾µ£±£ÔÚÄڵĹ«Ë¾¶ÔÍâµ£±£×ܶîÓ빫˾¿Ø¹É×Ó¹«Ë¾¶ÔÍâµ£±£×Ü
98
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¶îÖ®ºÍ¡£
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.
µÚÈý°ÙÁãÈýÌõ ¶Ê»á¿ÉÒÀÕÕÕ³̵Ĺ涨£¬Öƶ©Õ³ÌϸÔò¡£Õ³ÌϸÔò²»µÃÓëÕ³̵Ĺ涨ÏàµÖ´¥¡£
Article 303 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.
µÚÈý°ÙÁãËÄÌõ ±¾Õ³ÌÒÔÖÐÎÄÊéд£¬ÆäËûÈκÎÓïÖÖ»ò²»Í¬°æ±¾µÄÕ³ÌÓë±¾Õ³ÌÓÐÆçÒåʱ£¬ÒÔÔÚÖ£ÖÝÊй¤ÉÌ
ÐÐÕþ¹ÜÀí¾Ö×î½üÒ»´ÎºË×¼µÇ¼ÇºóµÄÖÐÎİæÕ³ÌΪ׼¡£
Article 304 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.
µÚÈý°ÙÁãÎåÌõ ±¾Õ³ÌËù³Æ¡°ÒÔÉÏ¡±¡¢¡°ÒÔÄÚ¡±¡¢¡°ÒÔÏ¡±£¬ ¶¼º¬±¾Êý£»¡°²»Âú¡±¡¢¡°ÒÔÍ⡱¡¢¡°µÍÓÚ¡±¡¢¡°¶àÓÚ¡±²»º¬±¾Êý¡£
Article 305 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.
µÚÈý°ÙÁãÁùÌõ ±¾Õ³ÌÓɹ«Ë¾¶Ê»ḺÔð½âÊÍ¡£
Article 306 The Company¡¯s Board of Directors shall have the power to interpret the Company¡¯s Articles
of Association.
µÚÈý°ÙÁãÆßÌõ ±¾Õ³̸½¼þ°üÀ¨¹É¶«´ó»áÒéʹæÔò¡¢¶Ê»áÒéʹæÔòºÍ¼àÊ»áÒéʹæÔò¡£
Article 307 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.
99
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Zhengzhou Coal Mining Machinery (Group)
Co., Ltd.
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Articles of Association
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(Revised in 2020)
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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Contents
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions ................................................................................................................. 1
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business ......................................................................................... 3
µÚÈýÕ ¹É·Ý
Chapter 3 Shares ................................................................................................................................... 3
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares .......................................................................................................... 3
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares.............................................. 8
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares .......................................................................................................... 12
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s Shares ............................................ 14
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders ................................................................. 16
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting .............................................................. 20
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders .................................................................................................................. 20
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting .......................................... 26
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting ............................................................... 29
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting ............................................... 32
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings .................................................................. 36
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting ........................................... 41
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders ..................................................... 48
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee .............................................................................................................. 51
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors ................................................................................................................. 53
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors ......................................................................................................................... 53
µÚ¶þ½Ú ¶Ê»á
Section 2 Board of Directors .......................................................................................................... 57
µÚÈý½Ú ¶Ê»áÃØÊé
Section 3 Secretary to the Board of Directors ................................................................................ 62
µÚËÄ½Ú ¶Ê»áרÃÅίԱ»á
Section 4 Special Committee of the Board of Directors ................................................................. 66
µÚ¾ÅÕ ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±
Chapter 9 General Manager and Other Senior Management Members............................................... 67
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮՠ¼àÊ»á
Chapter 10 Board of Supervisors .......................................................................................................... 69
µÚÒ»½Ú ¼àÊÂ
Section 1 Supervisors .................................................................................................................... 69
µÚ¶þ½Ú ¼àÊ»á
Section 2 Board of Supervisors ...................................................................................................... 70
µÚÈý½Ú ¼àÊ»á¾öÒé
Section 3 Resolution of the Board of Supervisors ......................................................................... 72
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Chapter 11 Qualifications and Duties of the Directors, Supervisors and Senior Management Members
of the Company ........................................................................................................................................ 72
µÚÊ®¶þÕ ²ÆÎñ»á¼ÆÖƶȡ¢ÀûÈó·ÖÅäºÍÉó¼Æ
Chapter 12 Financial and Accounting Systems, Profit Distribution and Auditing ............................... 80
µÚÒ»½Ú ²ÆÎñ»á¼ÆÖƶÈ
Section 1 Financial and Accounting System .................................................................................. 80
µÚ¶þ½Ú ÄÚ²¿Éó¼Æ
Section 2 Internal Auditing.............................................................................................................. 87
µÚÈý½Ú »á¼ÆÊ¦ÊÂÎñËùµÄƸÈÎ
Section 3 Engagement of an Accountancy Firm ............................................................................ 87
µÚÊ®ÈýÕ ֪ͨºÍ¹«¸æ
Chapter 13 Notices and Announcements .............................................................................................. 90
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Section 1 Notices............................................................................................................................ 90
µÚ¶þ½Ú ¹«¸æ
Section 2 Announcements ............................................................................................................. 92
µÚÊ®ËÄÕ ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×Ê¡¢¼õ×Ê¡¢½âÉ¢ºÍÇåËã
Chapter 14 Merger, Division, Capital Increase and Decrease, Dissolution and Liquidation ................ 92
µÚÒ»½Ú ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×ʺͼõ×Ê
Section 1 Merger, Division, Capital Increase and Decrease.......................................................... 92
µÚ¶þ½Ú ½âÉ¢ºÍÇåËã
Section 2 Dissolution and Liquidation ............................................................................................ 94
µÚÊ®ÎåÕ ÐÞ¸ÄÕ³Ì
Chapter 15 Amendment of the Articles of Association .......................................................................... 97
µÚÊ®ÁùÕ ÕùÒé½â¾ö
Chapter 16 Dispute Resolution.............................................................................................................. 98
µÚÊ®ÆßÕ ¸½Ôò
Chapter 17 Supplementary Provisions .................................................................................................. 99
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions
µÚÒ»Ìõ Ϊά»¤Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°¹«Ë¾¡±) ¡¢¹É¶«ºÍծȨÈ˵ĺϷ¨È¨Ò棬¹æ·¶¹«Ë¾
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Êй«Ë¾Õ³̱ر¸Ìõ¿î¡·(ÒÔϼò³Æ¡°¡¶±Ø±¸Ìõ¿î¡·¡±)¡¢¡¶ÉÏÊй«Ë¾Õ³ÌÖ¸Òý¡· (ÒÔϼò³Æ¡°¡¶Õ³ÌÖ¸Òý¡·¡±)¡¢¡¶¹Ø
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³Æ¡°¡¶Ïã¸ÛÉÏÊйæÔò¡·¡±)ºÍÖлªÈËÃñ¹²ºÍ¹ú(ÒÔϼò³Æ¡°Öйú¡±£¬¾Í±¾Õ³̶øÑÔ£¬²»°üÀ¨Ïã¸ÛÌØ±ðÐÐÕþÇø¡¢°ÄÃÅ
ÌØ±ðÐÐÕþÇøºĮ́ÍåµØÇø) ÆäËûÓйع涨£¬Öƶ¨±¾Õ³̡£
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, and for the Party organization of the Company to play a core role in leadership and
politics, 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 Constitution of the Communist Party of China
(the ¡°Party Constitution¡±), 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 ).
µÚ¶þÌõ ¹«Ë¾ÏµÒÀÕÕ¡¶¹«Ë¾·¨¡·¡¢¡¶ÌØ±ð¹æ¶¨¡·ºÍÖйúÆäËûÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹æ·¶ÐÔÎļþ³ÉÁ¢µÄ¹É·ÝÓÐ
ÏÞ¹«Ë¾¡£
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.
¹«Ë¾¾ºÓÄÏÊ¡¹ú×Êί (Ô¥¹ú×ÊÆó¸Ä[2008]20 ºÅ) Åú×¼£¬ÒÔ·¢Æð·½Ê½ÉèÁ¢£¬ÓÚ 2008 Äê 12 Ô 28 ÈÕÔÚÖ£ÖÝÊÐ
¹¤ÉÌÐÐÕþ¹ÜÀí¾Ö×¢²á³ÉÁ¢£¬È¡µÃÓªÒµÖ´ÕÕ¡£¹«Ë¾µÄͳһÉç»áÐÅÓôúÂëΪ£º91410100170033534A¡£
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 unified social credit code of the Company is: 91410100170033534A.
µÚÈýÌõ ¹«Ë¾ÓÚ 2010 Äê 5 Ô 28 ÈÕ¾Öйú֤ȯ¼à¶½¹ÜÀíίԱ»áÖ¤¼àÐí¿É[2010]735 ºÅÎÄÅú×¼£¬Ê×´ÎÏòÉç»á
¹«ÖÚ·¢ÐÐÈËÃñ±ÒÆÕͨ¹É 140,000,000 ¹É£¬ÓÚ 2010 Äê 8 Ô 3 ÈÕÔÚÉϺ£Ö¤È¯½»Ò×ËùÉÏÊС£
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.
µÚËÄÌõ ¹«Ë¾×¢²áÃû³Æ£º
Article 4 Registered name of the Company:
ÖÐÎÄÃû³Æ£ºÖ£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾
The Chinese name of the Company is£ºZhengzhou Coal Mining Machinery (Group) Co., Ltd.
Ó¢ÎÄÃû³Æ£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
The English name of the Company is£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
1
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÌõ ¹«Ë¾×¡Ëù£ºÖ£Öݾ¼Ã¼¼Êõ¿ª·¢ÇøµÚ¾Å´ó½Ö 167 ºÅ
Article 5 Address of the Company: No.167, 9th Street, Ecno-Tech Development Zone, Zhengzhou
ÓÊÕþ±àÂ룺450016
Post Code£º450016
µç»°ºÅÂ룺+86-371-67891026
Telephone Number£º+86-371-67891026
´«ÕæºÅÂ룺+86-371-67891000
Fax Number£º+86-371-67891000
µÚÁùÌõ ¹«Ë¾×¢²á×ʱ¾ÎªÈËÃñ±Ò 1,732,471,370 Ôª¡£
Article 6 The Company¡¯s registered capital is RMB1,732,471,370.
µÚÆßÌõ ¹«Ë¾ÎªÓÀ¾Ã´æÐøµÄ¹É·ÝÓÐÏÞ¹«Ë¾¡£
Article 7 The Company is a joint stock limited company that has perpetual existence.
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Article 8 The Chairman of the Board of Directors of the Company is the Company's legal
representative.
µÚ¾ÅÌõ ¹«Ë¾È«²¿×ʱ¾·ÖΪµÈ¶î¹É·Ý£¬¹É¶«ÒÔÆäÈϹºµÄ¹É·ÝΪÏÞ¶Ô¹«Ë¾³Ðµ£ÔðÈΣ¬¹«Ë¾ÒÔÆäÈ«²¿×ʲú¶Ô¹«
˾µÄÕ®Îñ³Ðµ£ÔðÈΡ£
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.
µÚÊ®Ìõ ±¾Õ³̾¹«Ë¾¹É¶«´ó»á¾öÒéͨ¹ý£¬×Ô¹«Ë¾¹«¿ª·¢Ðеľ³ÍâÉÏÊÐÍâ×Ê¹É (H ¹É) ÓÚÏã¸ÛÁªºÏ½»Ò×Ëù
ÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°Ïã¸ÛÁª½»Ëù¡±) ¹ÒÅÆ½»Ò×Ö®ÈÕÆðÉúЧ; ×Ô±¾Õ³ÌÉúЧ֮ÈÕÆð£¬Ô¹«Ë¾Õ³Ì×Ô¶¯Ê§Ð§¡£
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.
±¾¹«Ë¾Õ³Ì×ÔÉúЧ֮ÈÕÆð£¬¼´³ÉΪ¹æ·¶¹«Ë¾µÄ×éÖ¯ÓëÐÐΪ¡¢¹«Ë¾Óë¹É¶«¡¢¹É¶«Óë¹É¶«Ö®¼äȨÀûÒåÎñ¹ØÏµµÄ
¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ£¬¶Ô¹«Ë¾¡¢¹É¶«¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ; ǰÊöÈËÔ±¾ù
¿ÉÒÔÒÀ¾Ý±¾Õ³ÌÌá³öÓ빫˾ÊÂÒËÓйصÄȨÀûÖ÷ÕÅ¡£ÒÀ¾Ý±¾Õ³̣¬¹É¶«¿ÉÒÔÆðË߹ɶ«£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾¶
Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾£¬¹«Ë¾¿ÉÒÔÆðË߹ɶ«¡¢¶Ê¡¢¼àÊ¡¢×ܾÀíºÍ
ÆäËû¸ß¼¶¹ÜÀíÈËÔ±¡£
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.
ǰ¿îËù³ÆÆðËߣ¬°üÀ¨Ïò·¨ÔºÌáÆðËßËÏ»òÕßÏòÖٲûú¹¹ÉêÇëÖٲá£
The term ¡°sue¡± in the preceding Article shall refer to and include commencing court proceedings and
applying for arbitration proceedings.
2
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮһÌõ ¹«Ë¾¿ÉÒÔÏòÆäËûÓÐÏÞÔðÈι«Ë¾¡¢¹É·ÝÓÐÏÞ¹«Ë¾Í¶×Ê£¬²¢ÒԸóö×ʶîΪÏÞ¶ÔËùͶ×ʹ«Ë¾³Ðµ£ÔðÈΡ£
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.
³ý·¨ÂÉÁíÓй涨Í⣬¹«Ë¾²»µÃ³ÉΪ¶ÔËùͶ×ÊÆóÒµµÄÕ®Îñ³Ðµ£Á¬´øÔðÈεijö×ÊÈË¡£
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.
µÚÊ®¶þÌõ ±¾Õ³ÌËù³ÆÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÇÖ¸¹«Ë¾µÄ¸±×ܾÀí¡¢¶Ê»áÃØÊé¡¢²ÆÎñ×ܼࡣ
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.
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business
µÚÊ®ÈýÌõ ¹«Ë¾µÄ¾Óª×ÚÖ¼£ºÒÀ¿¿¸ßм¼Êõ£¬·¢»Ó»úÖÆÓÅÊÆ£¬Ìá¸ß¹æÄ£Ð§Ò棬ʵÏÖ¿ÆÑ§¹ÜÀí£¬²ÎÓëÊг¡¾º
Õù£¬Å¬Á¦Ìá¸ßÀͶ¯Éú²úÂʺÍÁ¼ºÃ¾¼ÃÐ§Òæ£¬²»¶ÏÌá¸ßÖ°¹¤µÄÊÕÈëˮƽ£¬È·±£¹úÓÐ×ʲú±£ÖµÔöÖµ£¬ÎªÉç»á´´
Ôì²Æ¸»£¬ÊµÏÖ¹«Ë¾¹É¶«ÀûÒæºÍÆóÒµ¼ÛÖµµÄ×î´ó»¯¡£
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.
µÚÊ®ËÄÌõ ¾ÒÀ·¨µÇ¼Ç£¬¹«Ë¾µÄ¾Óª·¶Î§£ºÉè¼Æ¡¢¼Ó¹¤¡¢ÖÆÔì¿óɽ»úеÉ豸¡¢»·±£É豸¡¢Í¨Óûúе¡¢µçÕ¾
É豸¡¢¸½ÊôÅä¼þ¡¢¹¤Ä£¾ß; ½ðÊô²ÄÁϵÄÏúÊÛ; Èí¼þ¿ª·¢¡¢ÏúÊÛ¡¢×Éѯ¡¢Î¬»¤¡¢²âÊÔ£»ÆóÒµ¹ÜÀí×Éѯ; ´ÓÊ»õ
ÎïºÍ¼¼ÊõµÄ½ø³ö¿ÚÒµÎñ£¬¹ú¼Ò½ûÖ¹ºÍÏÞ¶¨µÄ»õÎïºÍ¼¼Êõ³ýÍ⣻²»¶¯²ú×âÁÞ¡¢ÓÐÐζ¯²ú×âÁÞ¡¢¼¼Êõ·þÎñ¡£
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; software development, sales, consultation, maintenance and testing; 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.
µÚÈýÕ ¹É·Ý
Chapter 3 Shares
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares
µÚÊ®ÎåÌõ ¹«Ë¾ÉèÖÃÆÕͨ¹É; ¸ù¾ÝÐèÒª£¬¾¹úÎñÔºÊÚȨµÄ¹«Ë¾ÉóÅú²¿ÃÅÅú×¼£¬¿ÉÒÔÉèÖÃÆäËûÖÖÀàµÄ¹É·Ý£¬
µ«ÈÔÐèÊÜÏÞÓÚÊÊÓõķ¨ÂÉ¡¢·¨¹æ¼°¹æÔòµÄ¹æ¶¨
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.
µÚÊ®ÁùÌõ ¹«Ë¾µÄ¹É·Ý²ÉÈ¡¹ÉƱµÄÐÎʽ¡£
Article 16 The shares of the Company shall take the form of share certificates.
3
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÊ®ÆßÌõ ¾ÖйúÖ¤¼à»áºË×¼£¬¹«Ë¾¿ÉÒÔÏò¾³ÄÚͶ×ÊÈ˺;³ÍâͶ×ÊÈË·¢ÐÐ¹ÉÆ±¡£
Article 17 Subject to the approval of the China Securities Regulatory Commission, the Company may
issue shares to domestic and foreign investors.
ǰ¿îËù³Æ¾³ÍâͶ×ÊÈËÊÇÖ¸ÈϹº¹«Ë¾·¢ÐйɷݵÄÍâ¹úºÍÏã¸Û¡¢°ÄÃÅ¡¢Ì¨ÍåµØÇøµÄͶ×ÊÈË; ¾³ÄÚͶ×ÊÈËÊÇÖ¸ÈÏ
¹º¹«Ë¾·¢Ðйɷݵ쬳ýǰÊöµØÇøÒÔÍâµÄÖлªÈËÃñ¹²ºÍ¹ú¾³ÄÚµÄͶ×ÊÈË¡£
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.
µÚÊ®°ËÌõ ¹«Ë¾Ïò¾³ÄÚͶ×ÊÈË·¢ÐеÄÒÔÈËÃñ±ÒÈϹºµÄ¹É·Ý£¬³ÆÎªÄÚ×ʹɡ£¹«Ë¾Ïò¾³ÍâͶ×ÊÈË·¢ÐеÄÒÔÍâ±Ò
ÈϹºµÄ¹É·Ý£¬³ÆÎªÍâ×ʹɡ£Íâ×ʹÉÔÚ¾³ÍâÉÏÊе쬳ÆÎª¾³ÍâÉÏÊÐÍâ×ʹɡ£
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.
ÄÚ×ʹɹɶ«ºÍ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Í¬ÊÇÆÕͨ¹É¹É¶«£¬ÓµÓкͳе£ÏàͬµÄȨÀûºÍÒåÎñ¡£
Both the holders of the domestic shares and H shares are holders of the ordinary shares and shall have
the same obligations and rights.
¾Öйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Åú×¼£¬¹«Ë¾ÄÚ×ʹɹɶ«¿É½«Æä³ÖÓеĹɷÝתÈøø¾³ÍâͶ×ÊÈË£¬²¢ÔÚ¾³ÍâÉÏÊн»Òס£
ËùתÈõĹɷÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×£¬»¹Ó¦µ±×ñÊØ¾³Íâ֤ȯÊг¡µÄ¼à¹Ü³ÌÐò¡¢¹æ¶¨ºÍÒªÇó¡£ËùתÈõÄ
¹É·ÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×µÄÇéÐΣ¬²»ÐèÒªÕÙ¿ªÀà±ð¹É¶«»á±í¾ö¡£
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.
µÚÊ®¾ÅÌõ ¹«Ë¾¹É·ÝµÄ·¢ÐУ¬ÊµÐй«Æ½¡¢¹«ÕýµÄÔÔò£¬Í¬ÖÖÀàµÄÿһ¹É·Ý¾ßÓÐͬµÈȨÀû¡£
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.
ͬ´Î·¢ÐеÄͬÖÖÀà¹ÉƱ£¬Ã¿¹ÉµÄ·¢ÐÐÌõ¼þºÍ¼Û¸ñÏàͬ; Èκε¥Î»»òÕ߸öÈËËùÈϹºµÄ¹É·Ý£¬Ã¿¹ÉÖ§¸¶Ïàͬ¼Û
¶î¡£
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.
µÚ¶þÊ®Ìõ ¹«Ë¾·¢ÐÐµÄ¹ÉÆ±£¬ÒÔÈËÃñ±Ò±êÃ÷ÃæÖµ¡£Ã¿¹ÉÃæÖµÈËÃñ±Ò 1 Ôª¡£
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.
ǰ¿îËù³Æ¡°ÈËÃñ±Ò¡±£¬Ö¸ÖйúµÄ·¨¶¨»õ±Ò¡£
For the purposes of the preceding paragraph, the term¡°Renminbi¡± means the lawful currency of China.
µÚ¶þʮһÌõ ¹«Ë¾·¢ÐеÄÄÚ×ʹɣ¬ÔÚÖйú֤ȯµÇ¼Ç½áËãÓÐÏÞÔðÈι«Ë¾ÉϺ£·Ö¹«Ë¾¼¯Öдæ¹Ü¡£¹«Ë¾·¢Ðеľ³
ÍâÉÏÊÐÍâ×ʹÉÖ÷ÒªÔÚÏã¸ÛÖÐÑë½áËãÓÐÏÞ¹«Ë¾ÊôϵÄÊÜÍдú¹Ü¹«Ë¾´æ¹Ü¡£
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
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þÊ®¶þÌõ ¾¹úÎñÔºÊÚȨµÄÉóÅú²¿ÃÅÅú×¼£¬¹«Ë¾ÓÚ³ÉÁ¢Ê±Ïò·¢ÆðÈË·¢ÐÐÆÕͨ¹É 56000 Íò¹É£¬Õ¼¹«Ë¾µ±Ê±
·¢ÐÐµÄÆÕͨ¹É×ÜÊýµÄ°Ù·ÖÖ®°Ù£¬¸÷·¢ÆðÈ˾ùÒÔ¾»×ʲúÈϹº¡£¹«Ë¾·¢ÆðÈ˵ÄÐÕÃû»òÕßÃû³Æ¼°ÆäÈϹºµÄ¹É·ÝÊý
·Ö±ðΪ£º
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:
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ»á
1 State-owned Assets Supervision and 28560 51
Administration Commission of Henan Province
ÉϺ£Á¢ÑÔͶ×ÊÖÐÐÄ( ÓÐÏ޺ϻï )
2 Shanghai Liyan Equity Investment Center 15000003200804170100 8335.04 14.884
( Limited Partnership )
Î÷°²ºº¸ß¿Æ¼¼·¢Õ¹ÓÐÏÞ¹«Ë¾
3 Xi'an Hangao Technology Development Co., 610100100005216-A 2837.52 5.067
Ltd.
º¼ÖÝÈçɽ´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
4 Hangzhou Rushan Venture Capital Investment 330100000001557 1773.52 3.167
Co., Ltd.
ÉϺ£¶¦·áÐÅÏ¢¿Æ¼¼ÓÐÏÞ¹«Ë¾
5 Shanghai Dingfeng Information Technology 31029001304667 1773.52 3.167
Co., Ltd.
±±¾©ºèÖÇ»ÛͨʵҵÓÐÏÞ¹«Ë¾
6 110000005144254 1773.52 3.167
Beijing Hongzhi Huitong Industry Co., Ltd.
Ìì½ò²©ÐÅÒ»ÆÚͶ×ÊÖÐÐÄ (ÓÐÏ޺ϻï)
7 Tianjin Boxin Phase 1 Investment Center 120191000022859 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊÐÖÐÄϳɳ¤Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
8 South China Capital Management Co., Ltd. 440300602145763 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊд´ÐÂͶ×ʼ¯ÍÅÓÐÏÞ¹«Ë¾
9 440301103289709 1667.12 2.977
Shenzhen Capital Group
³£ÖÝÐŻԴ´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
10 3204001104780 886.48 1.583
Changzhou Xinhui Venture Capital Co., Ltd.
Ö£ÖݰÙÈð´´ÐÂ×ʱ¾´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
11 410100100006007 709.52 1.267
Bairui Capital Group (Zhengzhou)
ÉîÛÚÊиßÌØ¼Ñ´´¸»Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
12 Shenzhen GTJA Investment Group Co., Ltd. 440300602136449 532 0.95
(Limited Partnership)
Î÷°²¾·¢´´ÐÂͶ×ÊÓÐÏÞ¹«Ë¾
13 6101011210368 354.48 0.633
Xi'an Jingfa Venture Capital Co., Ltd.
½¹³ÐÒ¢
14 410102196305231515 239.456 0.4276
Jiao Chengrao
5
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ÉÛ´ºÉú
15 410102195804121519 239.456 0.4276
Shao Chunsheng
Ïò¼ÒÓê
16 41122196508045515 168.448 0.3008
Xiang Jiayu
ÕÅÃüÁÖ
17 410105196301281653 168.448 0.3008
Zhang Minglin
¸¶×æ¸Ô
18 410102196511111514 168.448 0.3008
Fu Zugang
ÍõÐÂÓ¨
19 410102196510201534 168.448 0.3008
Wang Xinying
³Â½¨Ãñ
20 410102196401121535 168.448 0.3008
Chen Jianmin
ÀîÖØÇì
21 410102196411303017 168.448 0.3008
Li Chongqing
¹ùê»·å
22 44010619652271832 168.448 0.3008
Guo Haofeng
¸ßÓнø
23 410102196309261578 168.448 0.3008
Gao Youjin
±«Ñ©Á¼
24 120102196303210930 164.864 0.2944
Bao Xueliang
¹ùµÂÉú
25 410102196110151531 159.6 0.285
Guo Desheng
¶¡ »Ô
26 410102195511251512 159.6 0.285
Ding Hui
ÄßºÍÆ½
27 210102196501305617 159.6 0.285
Ni Heping
×£±þÁ¼
28 410102194909153010 159.6 0.285
Zhu Bingliang
ÑîÒÔ´¾
29 410105194905302217 159.6 0.285
Yang Yichun
Ðì×ÚÁÖ
30 410102196302161515 141.848 0.2533
Xu Zonglin
³þÕñÁë
31 410106196503311891 35.448 0.0633
Chu Zhenling
¶ öÎ
32 410102197405101536 35.448 0.0633
Dong Xin
ÀîºÆÆæ
33 320311196812121252 35.448 0.0633
Li Haoqi
ÀîÓÅÉú
34 410102195412231532 35.448 0.0633
Li Yousheng
Íõ³¯Ñô
35 410102196605191551 35.448 0.0633
Wang Chaoyang
µË¸ß·å
36 510212196607210359 35.448 0.0633
Deng Gaofeng
6
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
Áõ¸¶Óª
37 410102196512081513 35.448 0.0633
Liu Fuying
ÓÚµÂÈó
38 410102196207011578 35.448 0.0633
Yu Derun
ÖÜÖ¾¸Õ
39 410102195711032031 35.448 0.0633
Zhou Zhigang
ºÏ¼Æ
56000 100
Total
µÚ¶þÊ®ÈýÌõ ¹«Ë¾³ÉÁ¢ºó£¬¾ÖйúÖ¤¼à»áºË×¼£¬¹«¿ª·¢ÐÐÁË 14,000 Íò¹ÉÈËÃñ±ÒÆÕͨ¹É£¬·¢Ðкó¹«Ë¾µÄ¹É·Ý
×ÜÊýΪ 70,000 Íò¹É¡£
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.
¸ù¾Ý¡¶¾³ÄÚ֤ȯÊг¡×ª³Ö²¿·Ö¹úÓйɳäʵȫ¹úÉç»á±£ÕÏ»ù½ðʵʩ°ì·¨¡·£¬¾ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ
»áÅú×¼£¬¹«Ë¾¹úÓйɶ«½«Ëù³Ö 1400 Íò¹ÉÈËÃñ±ÒÆÕͨ¹ÉתÓÉÈ«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»á³ÖÓС£
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.
¹«Ë¾¾ 2012 Äê 2 Ô 28 Èչɶ«´ó»áÉóÒ飬½«×ʱ¾¹«»ý½ðתÔö¹É±¾£¬ÏòÈ«ÌåµÇ¼Ç¹É¶«Ã¿ 10 ¹ÉתÔö 10 ¹É£¬¹«
˾¹É·Ý×ÜÊýÓÉ 70,000 Íò¹ÉÔöÖÁ 140,000 Íò¹É¡£
¹«Ë¾¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2012]1092 ºÅÎĺË×¼·¢Ðо³ÍâÉÏÊÐÍâ×ʹɣ¨H ¹É£©£¬²¢»ñµÃÏã¸ÛÁª½»ËùÅú×¼£¬
¹«Ë¾ H ¹É¹É·ÝÓÚ 2012 Äê 12 Ô 5 ÈÕÓÚÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊС£¹«Ë¾·¢ÐÐ 221,122,000 ¹É¾³ÍâÉÏÊÐÍâ×ʹɣ¨Î´
ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾¹É·Ý×ÜÊýÓÉ 140,000 Íò¹ÉÔöÖÁ 162,112.2 Íò¹É¡£Èô¹«Ë¾ÐÐʹȫ²¿³¬¶îÅäÊÛȨ£¬¹«
˾½«³¬¶îÅäÊÛ·¢ÐÐ 33,168,200 ¹É¾³ÍâÉÏÊÐÍâ×ʹɡ£¹«Ë¾¹É·Ý×ÜÊýÔöÖÁ 165,429.02 Íò¹É¡£¸ù¾Ý¡¶¹úÎñÔº¹Ø
ÓÚ¼õ³Ö¹úÓйɳOÉç»á±£ÕÏ×ʽð¹ÜÀíÔÝÐа취¡·µÈÓйع涨¼°Ïà¹Ø»ú¹ØµÄÅú¸´£¬¹«Ë¾¹úÓйɶ«½«Ëù³ÖµÈ¶î
ÓÚ H ¹Éʵ¼Ê·¢ÐÐÁ¿ 10%µÄ A ¹É¹É·Ý»®×ªµ½È«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»ᾳÍâÕË»§¡£
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 (‡ø„ÕÔºêPì¶œp³Ö‡øÓйɻI¼¯Éç•þ±£ÕÏ
ÙY½ð¹ÜÀ핺ÐÐÞk·¨) 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
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
be issued.
µÚ¶þÊ®ËÄÌõ ÔÚ H ¹É·¢ÐÐÍê³Éºó£¨Î´ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾µÄ¹É±¾½á¹¹Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 162,112.2
Íò¹É£¬ÆäÖÐÄÚ×Ê¹É 137,788.78 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2016]3190 ºÅÎĺË×¼£¬¹«Ë¾·¢ÐйɷݹºÂò×ʲú²¢Ä¼¼¯ÅäÌ××ʽ𣬷ǹ«¿ª·¢ÐÐÁË
111,349,370 ¹É A ¹É¹É·Ý¡£·¢ÐÐÍê³Éºó£¬¹«Ë¾¹É±¾½á¹¹±ä»¯Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 173,247.137 Íò¹É£¬
ÆäÖÐÄÚ×Ê¹É 148,923.717 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
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.
As approved by China Securities Regulatory Commission pursuant to the document Zheng Jian Xu Ke
[2016] No. 3190, the Company purchased assets by way of share issue and conducted the fundraising,
pursuant to which 111,349,370 A Shares were issued on a non-public basis. Upon the completion of the
share issuance, the share capital structure of the Company shall become: 1,732,471,370 shares of the
ordinary shares issued in total, of which 1,489,237,170 shares of domestic-invested shares and
243,234,200 shares of overseas-listed foreign-invested shares.
µÚ¶þÊ®ÎåÌõ ¾ÖйúÖ¤¼à»áÅú×¼µÄ¹«Ë¾·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¹«Ë¾¶Ê»á¿ÉÒÔ×÷³ö·Ö±ð·¢
ÐеÄʵʩ°²ÅÅ¡£
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.
¹«Ë¾ÒÀÕÕǰ¿î¹æ¶¨·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¿ÉÒÔ×ÔÖйúÖ¤¼à»áÅú×¼Ö®ÈÕÆð 15 ¸öÔÂÄÚ·Ö
±ðʵʩ¡£
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.
µÚ¶þÊ®ÁùÌõ ¹«Ë¾ÔÚ·¢Ðмƻ®È·¶¨µÄ¹É·Ý×ÜÊýÄÚ£¬·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵģ¬Ó¦µ±·Ö±ðÒ»´Îļ
×ã; ÓÐÌØÊâÇé¿ö²»ÄÜÒ»´Îļ×ãµÄ£¬¾ÖйúÖ¤¼à»áÅú×¼£¬Ò²¿ÉÒԷִη¢ÐС£
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.
µÚ¶þÊ®ÆßÌõ ¹«Ë¾»ò¹«Ë¾µÄ×Ó¹«Ë¾ (°üÀ¨¹«Ë¾µÄ¸½ÊôÆóÒµ) ²»ÒÔÔùÓë¡¢µæ×Ê¡¢µ£±£¡¢²¹³¥»ò´û¿îµÈÐÎʽ£¬¶Ô
¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈκÎ×ÊÖú¡£
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.
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares
µÚ¶þÊ®°ËÌõ ¹«Ë¾¸ù¾Ý¾ÓªºÍ·¢Õ¹µÄÐèÒª£¬ÒÀÕÕ·¨ÂÉ¡¢·¨¹æµÄ¹æ¶¨£¬¾¹É¶«´ó»á·Ö±ð×÷³ö¾öÒ飬¿ÉÒÔ²ÉÓÃ
ÏÂÁз½Ê½Ôö¼Ó×ʱ¾:
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:
8
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ¹«¿ª·¢ÐйɷÝ;
by public issuance of shares;
(¶þ) ·Ç¹«¿ª·¢ÐйɷÝ;
by non-public issuance of shares;
(Èý) ÏòÏÖÓйɶ«ÅÉËͺì¹É;
by allotting bonus shares to its existing shareholders;
(ËÄ) ÒÔ¹«»ý½ðתÔö¹É±¾;
by capitalizing its capital reserve;
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨ÒÔ¼°ÖйúÖ¤¼à»áÅú×¼µÄÆäËû·½Ê½¡£
by any other means which is permitted by laws, administrative regulations and authorized by the
China Securities Regulatory Commission.
¹«Ë¾Ôö×Ê·¢ÐÐйɣ¬°´ÕÕ±¾Õ³̵Ĺ涨Åú×¼ºó£¬¸ù¾Ý¹ú¼ÒÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹
¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚ¶þÊ®¾ÅÌõ ¹«Ë¾¿ÉÒÔ¼õÉÙ×¢²á×ʱ¾¡£¹«Ë¾¼õÉÙ×¢²á×ʱ¾£¬Ó¦µ±°´ÕÕ¡¶¹«Ë¾·¨¡·ºÍÆäËûÓйع涨ÒÔ¼°±¾ÕÂ
³Ì¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚÈýÊ®Ìõ ¹«Ë¾ÔÚÏÂÁÐÇé¿öÏ£¬¿ÉÒÔÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÊÕ¹º±¾¹«Ë¾µÄ¹É·Ý£º
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:
(Ò») ¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
reducing the registered capital of the Company;
(¶þ) Óë³ÖÓб¾¹«Ë¾¹É·ÝµÄÆäËû¹«Ë¾ºÏ²¢;
merging with another company that holds shares in the Company;
(Èý) ½«¹É·ÝÓÃÓÚÔ±¹¤³Ö¹É¼Æ»®»òÕß¹ÉȨ¼¤Àø;
using shares in employee shareholding schemes or as shareholding incentives;
(ËÄ) ¹É¶«Òò¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒ飬ҪÇó¹«Ë¾ÊÕ¹ºÆä¹É·ÝµÄ;
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;
(Îå) ½«¹É·ÝÓÃÓÚת»»¹«Ë¾·¢ÐеĿÉת»»Îª¹ÉƱµÄ¹«Ë¾Õ®È¯£»
using shares to convert the corporate bonds issued by the Company that are convertible to shares;
(Áù) ¹«Ë¾ÎªÎ¬»¤¹«Ë¾¼ÛÖµ¼°¹É¶«È¨ÒæËù±ØÐ裻
serving as a necessity for the Company to protect its value and shareholders¡¯ interests;
(Æß) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æÐí¿ÉµÄÆäËûÇé¿ö¡£
other circumstances as permitted by laws and administrative regulations.
9
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
³ýÉÏÊöÇéÐÎÍ⣬¹«Ë¾²»½øÐÐÂòÂô±¾¹«Ë¾¹É·ÝµÄ»î¶¯¡£
The Company shall not engage in the trading of its shares save for the circumstances specified above.
µÚÈýʮһÌõ ÔÚÂú×ã·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢Ö¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòºÍ±¾Õ³̹涨µÄǰÌáÏ£¬
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·Ý£¬¿ÉÒÔÑ¡ÔñÏÂÁз½Ê½Ö®Ò»½øÐÐ:
Article 31 Based on compliance with laws, administrative regulations, departmental rules, the rules
governing the listing of securities on the stock exchange where the shares of the Company are listed,
and the Articles and Association, the Company may conduct the repurchase in one of the following
manners:
(Ò») ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼;
make a pro rata general offer of repurchase to all of its shareholders;
(¶þ) ÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«¿ª½»Ò×·½Ê½¹º»Ø;
repurchase shares through public trading on a stock exchange;
(Èý) ÔÚ֤ȯ½»Ò×ËùÒÔÍâÒÔÐÒ鷽ʽ¹º»Ø;
repurchase through an off-market agreement;
(ËÄ) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹Ðí¿ÉµÄÆäËûÐÎʽ
other means as permitted by the laws, administrative regulations and securities regulatory
authority where the Company is listed.
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±ÒÀÕÕ¡¶Ö¤È¯·¨¡·µÄ¹æ¶¨ÂÄÐÐÐÅÏ¢Åû¶ÒåÎñ¡£¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©
Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±Í¨¹ý¹«¿ªµÄ¼¯Öн»Ò×·½Ê½½øÐС£
In respect of the repurchase of its shares, the Company shall perform the information disclosure
obligation as required under the Securities Law. In the event of a repurchase in any circumstance
provided under Article 30 (3), (5) and (6), such repurchase shall take place in the form of open and
centralized trading.
µÚÈýÊ®¶þÌõ ¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ (Ò») Ïî¡¢µÚ (¶þ) ÏîµÄÔÒòÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾¹É¶«´ó»á¾ö
Ò飻¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾
Èý·ÖÖ®¶þÒÔÉ϶ʳöϯµÄ¶Ê»á»áÒé¾öÒé¡£
Article 32 For any share purchases by the Company due to the causes described under Article 30 (1)
and (2), such purchase is subject to a resolution at the general meeting; and for any share purchases by
the Company in the circumstances provided under items (3), (5) and (6) of Article 30 such purchase is
subject to a resolution at the Board meeting attended by more than two thirds of Directors.
¹«Ë¾ÒÀÕÕ±¾Õ³̵ÚÈýÊ®Ìõ¹æ¶¨ÊÕ¹º±¾¹«Ë¾¹É·Ýºó£¬ÊôÓÚµÚ (Ò») ÏîÇéÐεģ¬Ó¦µ±×ÔÊÕ¹ºÖ®ÈÕÆð 10 ÈÕÄÚ×¢Ïú;
ÊôÓÚµÚ (¶þ) Ïî¡¢µÚ (ËÄ) ÏîÇéÐεģ¬Ó¦µ±ÔÚ 6 ¸öÔÂÄÚתÈûòÕß×¢Ïú£»ÊôÓÚµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©
ÏîÇéÐε쬹«Ë¾ºÏ¼Æ³ÖÓеı¾¹«Ë¾¹É·ÝÊý²»µÃ³¬¹ý±¾¹«Ë¾ÒÑ·¢ÐйɷÝ×ܶîµÄ°Ù·Ö֮ʮ£¬²¢Ó¦µ±ÔÚÈýÄêÄÚת
ÈûòÕß×¢Ïú¡£Éæ¼°ÊÕ¹º¹«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɵ쬻¹Ó¦µ±×ñÊØÖ¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòµÄÏà¹Ø¹æ¶¨¡£
For any share purchases by the Company pursuant to Article 30 of the Articles of Association, shares
purchased under item (1) shall be cancelled within ten (10) days from the date of acquisition; for the
circumstances described under items (2) and (4), the shares shall be transferred or cancelled within six
(6) months. For the circumstances described under items (3), (5) and (6), the total number of shares held
by the Company shall not exceed 10% of the total number of its shares in issue, and the shares
purchased by the Company shall be transferred or cancelled within three(3) years. For purchase of any
overseas listed foreign shares of the Company, the Company shall also comply with relevant provisions
under the rules governing the listing of securities on the stock exchange where the shares of the
Company are listed.
µÚÈýÊ®ÈýÌõ ¹«Ë¾ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø¹É·Ýʱ£¬Ó¦µ±ÊÂÏȾ¹É¶«´ó»á°´±¾Õ³̵Ĺ涨Åú×¼¡£¾
¹É¶«´ó»áÒÔͬһ·½Ê½ÊÂÏÈÅú×¼£¬¹«Ë¾¿ÉÒÔ½â³ý»òÕ߸ıä¾Ç°Êö·½Ê½ÒѶ©Á¢µÄºÏͬ£¬»òÕß·ÅÆúÆäºÏͬÖеÄÈÎ
10
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ºÎȨÀû¡£
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.
ǰ¿îËù³Æ¹º»Ø¹É·ÝµÄºÏͬ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ͬÒâ³Ðµ£¹º»Ø¹É·ÝÒåÎñºÍÈ¡µÃ¹º»Ø¹É·ÝȨÀûµÄÐÒé¡£
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.
¹«Ë¾²»µÃתÈùº»ØÆä¹É·ÝµÄºÏͬ»òÕߺÏͬÖй涨µÄÈκÎȨÀû¡£
The Company shall not assign a contract for repurchasing its shares or any of its rights thereunder.
¶ÔÓÚ¹«Ë¾ÓÐȨ¹º»Ø¿ÉÊê»Ø¹É·Ý£¬Èç·Ç¾Êг¡»òÒÔÕб귽ʽ¹º»Ø£¬Æä¼Û¸ñ±ØÐëÏÞ¶¨ÔÚijһ×î¸ß¼Û¸ñ; ÈçÒÔÕÐ
±ê·½Ê½¹º»Ø£¬Ôò±ØÐëÒÔͬµÈÌõ¼þÏòÈ«Ìå¹É¶«Ìá³öÕб꽨Òé¡£
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.
µÚÈýÊ®ËÄÌõ ¹«Ë¾ÒÀ·¨¹º»Ø¹É·Ýºó£¬Ó¦µ±ÔÚ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨µÄÆÚÏÞÄÚ£¬×¢Ïú¸Ã²¿·Ö¹É·Ý£¬²¢ÏòÔ¹«Ë¾
µÇ¼Ç»ú¹ØÉêÇë°ìÀí×¢²á×ʱ¾±ä¸üµÇ¼Ç¡£
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.
±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµÓ¦µ±´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õ¡£
The amount of the Company¡¯s registered share capital shall be reduced by the aggregate par value of
those cancelled shares.
µÚÈýÊ®ÎåÌõ ³ý·Ç¹«Ë¾ÒѾ½øÈëÇåËã½×¶Î£¬¹«Ë¾¹º»ØÆä·¢ÐÐÔÚÍâµÄ¹É·Ý£¬Ó¦µ±×ñÊØÏÂÁй涨£º
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:
(Ò») ¹«Ë¾ÒÔÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Æä¿îÏîÓ¦µ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄйÉ
ËùµÃÖмõ³ý;
where the Company repurchases its shares at par value, payment shall be made out of book
balance of the distributable profits of the Company or out of proceeds of a fresh issue of shares
made for repurchase;
(¶þ) ¹«Ë¾ÒÔ¸ßÓÚÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Ï൱ÓÚÃæÖµµÄ²¿·Ö´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø
·¢ÐеÄйÉËùµÃÖмõ³ý; ¸ß³öÃæÖµµÄ²¿·Ö£¬°´ÕÕÏÂÊö°ì·¨°ìÀí£º
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) ¹º»ØµÄ¹É·ÝÊÇÒÔÃæÖµ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶îÖмõ³ý;
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) ¹º»ØµÄ¹É·ÝÊÇÒÔ¸ßÓÚÃæÖµµÄ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄ
йÉËùµÃÖмõ³ý; µ«ÊÇ´Ó·¢ÐÐйÉËùµÃÖмõ³ýµÄ½ð¶î£¬²»µÃ³¬¹ý¹º»ØµÄ¾É¹É·¢ÐÐʱËùµÃµÄÒç¼Û
×ܶҲ²»µÃ³¬¹ý¹º»ØÊ±¹«Ë¾Òç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÉϵĽð¶î (°üÀ¨·¢ÐÐйɵÄÒç¼Û
11
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
½ð¶î) ;
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;
(Èý) ¹«Ë¾ÎªÏÂÁÐÓÃ;ËùÖ§¸¶µÄ¿îÏӦµ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³ö£º
payment by the Company in consideration of the following shall be made out of the Company¡¯s
distributable profits:
(1) È¡µÃ¹º»ØÆä¹É·ÝµÄ¹º»ØÈ¨;
acquisition of rights to repurchase shares of the Company;
(2) ±ä¸ü¹º»ØÆä¹É·ÝµÄºÏͬ;
variation of any contract for repurchasing shares of the Company;
(3) ½â³ýÆäÔÚ¹º»ØºÏͬÖеÄÒåÎñ¡£
release of any of the Company¡¯s obligations under any contract for repurchasing its shares;
(ËÄ) ±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµ¸ù¾ÝÓйع涨´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õºó£¬´Ó¿É·ÖÅäµÄÀûÈóÖмõ³ýµÄÓÃÓÚ¹º
»Ø¹É·ÝÃæÖµ²¿·ÖµÄ½ð¶î£¬Ó¦µ±¼ÆÈ빫˾µÄÒç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÖС£
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).
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares
µÚÈýÊ®ÁùÌõ ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̺͹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨ÁíÓй涨Í⣬¹«Ë¾µÄ
¹É·Ý¿ÉÒÔ×ÔÓÉתÈ㬲¢²»¸½´øÈκÎÁôÖÃȨ¡£
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.
µÚÈýÊ®ÆßÌõ ËùÓйɱ¾ÒѽÉÇåµÄÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɣ¬½Ô¿ÉÒÀ¾Ý±¾Õ³Ì×ÔÓÉתÈã¬Ò಻¸½
´øÈκÎÁôÖÃȨ¡£µ«ÊÇ£¬³ý·Ç·ûºÏÏÂÁÐÌõ¼þ£¬·ñÔò¶Ê»á¿É¾Ü¾ø³ÐÈÏÈκÎתÈÃÎļþ£¬²¢ÎÞÐèÉêÊöÈκÎÀíÓÉ£º
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:
(Ò») ÓëÈκιɷÝËùÓÐȨÓйصĻò»áÓ°Ïì¹É·ÝËùÓÐȨµÄתÈÃÎļþ¼°ÆäËûÎļþ£¬¾ùÐëµÇ¼Ç£¬²¢Ðë¾ÍµÇ¼ÇÏò±¾
¹«Ë¾Ö§¸¶·ÑÓã¬Î©·ÑÓò»µÃ³¬¹ýÏã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ×î¸ß·ÑÓÃ;
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;
(¶þ) תÈÃÎļþֻɿ¼°ÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹÉ;
the instrument of transfer involves only the H shares listed in HKEX;
12
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) תÈÃÎļþÒѸ¶Ó¦½ÉÏã¸Û·¨ÂÉÒªÇóµÄÓ¡»¨Ë°;
the stamp duty payable by the laws of Hong Kong on the instrument of transfer has been paid;
(ËÄ) Ó¦µ±ÌṩÓÐ¹ØµÄ¹ÉÆ±£¬ÒÔ¼°¶Ê»áËùºÏÀíÒªÇóµÄÖ¤Ã÷תÈÃÈËÓÐȨתÈùɷݵÄÖ¤¾Ý;
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;
(Îå) Èç¹É·ÝÄâתÈÃÓèÁªÃû³ÖÓÐÈË£¬ÔòÁªÃûµÇ¼ÇµÄ¹É¶«ÈËÊý²»µÃ³¬¹ýËÄÃû;
if the shares are to be transferred to joint holders, the number of such joint shareholders shall not
exceed four (4);
(Áù) ÓйعɷÝûÓи½´øÈκα¾¹«Ë¾µÄÁôÖÃȨ¡£
the Company does not have any lien over the relevant shares.
ËùÓÐÔÚÏã¸ÛÉÏÊÐµÄ H shares µÄתÈýÔÓ¦²ÉÓÃÒ»°ã»òÆÕͨ¸ñʽ»òÈÎºÎÆäËûΪ¶Ê»á½ÓÊܵĸñʽµÄÊéÃæ×ªÈÃ
ÎÄ¾Ý (°üÀ¨Ïã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ±ê׼תÈøñʽ»ò¹ý»§±í¸ñ) ; ¿ÉÒÔÖ»ÓÃÈËÊÖÇ©ÊðתÈÃÎľݣ¬»ò (Èç³öÈ÷½
»òÊÜÈ÷½Îª¹«Ë¾) ¸ÇÉϹ«Ë¾µÄÓ¡Õ¡£Èç³öÈ÷½»òÊÜÈ÷½ÎªÒÀÕÕÏã¸Û·¨Âɲ»Ê±ÉúЧµÄÓйØÌõÀýËù¶¨ÒåµÄÈÏ¿É
½áËãËù (¼ò³Æ¡°ÈϿɽáËãËù¡±) »òÆä´úÀíÈË£¬×ªÈñí¸ñ¿ÉÓÃÈËÊÖÇ©Êð»ò»úÓ¡ÐÎʽǩÊð¡£
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.
Èç¹û¹«Ë¾¾Ü¾øµÇ¼Ç¹É·ÝתÈ㬹«Ë¾Ó¦ÔÚתÈÃÉêÇëÕýʽÌá³öÖ®ÈÕÆð 2 ¸öÔÂÄÚ¸ø×ªÈÃÈ˺ͳÐÈÃÈËÒ»·Ý¾Ü¾øµÇ¼Ç
¸Ã¹É·ÝתÈõÄ֪ͨ¡£
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.
ËùÓÐתÈÃÎľÝÓ¦±¸ÖÃÓÚ the ¡°Company Law¡± ¶¨µØÖ·»ò¶Ê»᲻ʱָ¶¨µÄµØÖ·¡£
All transfer instruments shall be placed at the legal address of the Company or any address specified by
the Board from time to time.
µÚÈýÊ®°ËÌõ ¹«Ë¾²»½ÓÊܱ¾¹«Ë¾µÄ¹ÉƱ×÷ΪÖÊѺȨµÄ±êµÄ¡£
Article 38 The Company shall not accept any shares of the Company as the subject of pledge.
µÚÈýÊ®¾ÅÌõ ·¢ÆðÈ˳ÖÓеı¾¹«Ë¾¹É·Ý£¬×Ô¹«Ë¾³ÉÁ¢Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈ᣹«Ë¾¹«¿ª·¢ÐйɷÝǰÒÑ·¢ÐÐ
µÄ¹É·Ý£¬×Ô¹«Ë¾¹ÉƱÔÚ֤ȯ½»Ò×ËùÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈá£
Article 39 Shares of the Company held by the promoters shall not be transferred within one (1) year
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).
¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ó¦µ±Ïò¹«Ë¾É걨Ëù³ÖÓеı¾¹«Ë¾µÄ¹É·Ý¼°Æä±ä¶¯Çé¿ö£¬ÔÚÈÎÖ°ÆÚ¼äÿÄêת
ÈõĹɷݲ»µÃ³¬¹ýÆäËù³ÖÓб¾¹«Ë¾¹É·Ý×ÜÊýµÄ 25%; Ëù³Ö±¾¹«Ë¾¹É·Ý×Ô¹«Ë¾¹ÉƱÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»
µÃתÈá£ÉÏÊöÈËÔ±ÀëÖ°ºó°ëÄêÄÚ£¬²»µÃתÈÃÆäËù³ÖÓеı¾¹«Ë¾¹É·Ý¡£
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.
13
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚËÄÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¡¢³ÖÓб¾¹«Ë¾¹É·Ý 5%ÒÔÉϵĹɶ«£¬½«Æä³ÖÓеı¾¹«Ë¾¹ÉƱÔÚÂò
Èëºó 6 ¸öÔÂÄÚÂô³ö£¬»òÕßÔÚÂô³öºó 6 ¸öÔÂÄÚÓÖÂòÈ룬ÓÉ´ËËùµÃÊÕÒæ¹é±¾¹«Ë¾ËùÓУ¬±¾¹«Ë¾¶Ê»ὫÊÕ»ØÆä
ËùµÃÊÕÒæ¡£µ«ÊÇ£¬Ö¤È¯¹«Ë¾Òò°üÏú¹ºÈëÊÛºóÊ£Óà¹ÉƱ¶ø³ÖÓÐ 5%ÒÔÉϹɷݵģ¬Âô³ö¸Ã¹ÉƱ²»ÊÜ 6 ¸öÔÂʱ¼ä
ÏÞÖÆ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕǰ¿î¹æ¶¨Ö´Ðе쬹ɶ«ÓÐȨҪÇó¶Ê»áÔÚ 30 ÈÕÄÚÖ´ÐС£¹«Ë¾¶Ê»áδÔÚÉÏÊöÆÚÏÞÄÚÖ´
Ðе쬹ɶ«ÓÐȨΪÁ˹«Ë¾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕµÚÒ»¿îµÄ¹æ¶¨Ö´Ðе쬏ºÓÐÔðÈεĶÊÂÒÀ·¨³Ðµ£Á¬´øÔðÈΡ£
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.
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s
Shares
µÚËÄʮһÌõ ¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬¶Ô¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈÎ
ºÎ²ÆÎñ×ÊÖú¡£Ç°Êö¹ºÂò¹«Ë¾¹É·ÝµÄÈË£¬°üÀ¨Òò¹ºÂò¹«Ë¾¹É·Ý¶øÖ±½Ó»òÕß¼ä½Ó³Ðµ£ÒåÎñµÄÈË¡£
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.
¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬Îª¼õÉÙ»òÕß½â³ýǰÊöÒåÎñÈ˵ÄÒåÎñÏòÆäÌṩ²ÆÎñ×ÊÖú¡£
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.
±¾Ìõ¹æ¶¨²»ÊÊÓÃÓÚ±¾Õ³̵ÚËÄÊ®ÈýÌõËùÊöµÄÇéÐΡ£
The provisions in this Article shall not apply to the circumstances stated in the Article 43.
µÚËÄÊ®¶þÌõ ±¾Õ³ÌËù³Æ²ÆÎñ×ÊÖú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÏÂÁз½Ê½£º
Article 42 The term ¡°financial assistance¡± referred to in this Chapter includes (but not limited to) the
following means:
(Ò») À¡Ôù;
gift;
(¶þ) µ£±£ (°üÀ¨Óɱ£Ö¤È˳е£ÔðÈλòÕßÌṩ²Æ²úÒÔ±£Ö¤ÒåÎñÈËÂÄÐÐÒåÎñ) ¡¢²¹³¥ (µ«ÊDz»°üÀ¨Òò¹«Ë¾±¾Éí
µÄ¹ý´íËùÒýÆðµÄ²¹³¥) ¡¢½â³ý»òÕß·ÅÆúȨÀû;
guarantee (including the assumption of liability by the guarantor or the provision of assets by the
14
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(Èý) Ìṩ´û¿î»òÕß¶©Á¢Óɹ«Ë¾ÏÈÓÚËû·½ÂÄÐÐÒåÎñµÄºÏͬ£¬ÒÔ¼°¸Ã´û¿î¡¢ºÏͬµ±Ê·½µÄ±ä¸üºÍ¸Ã´û¿î¡¢ºÏ
ͬÖÐȨÀûµÄתÈõÈ;
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;
(ËÄ) ¹«Ë¾ÔÚÎÞÁ¦³¥»¹Õ®Îñ¡¢Ã»Óо»×ʲú»òÕß½«»áµ¼Ö¾»×ʲú´ó·ù¶È¼õÉÙµÄÇéÐÎÏ£¬ÒÔÈÎºÎÆäËû·½Ê½Ìṩ
µÄ²ÆÎñ×ÊÖú¡£
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.
±¾ÕÂËù³Æ³Ðµ£ÒåÎñ£¬°üÀ¨ÒåÎñÈËÒò¶©Á¢ºÏͬ»òÕß×÷³ö°²ÅÅ (²»Â۸úÏͬ»òÕß°²ÅÅÊÇ·ñ¿ÉÒÔÇ¿ÖÆÖ´ÐУ¬Ò²²»
ÂÛÊÇÓÉÆä¸öÈË»òÕßÓëÈÎºÎÆäËûÈ˹²Í¬³Ðµ£) £¬»òÕßÒÔÈÎºÎÆäËû·½Ê½¸Ä±äÁËÆä²ÆÎñ×´¿ö¶ø³Ðµ£µÄÒåÎñ¡£
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.
µÚËÄÊ®ÈýÌõ ÏÂÁÐÐÐΪ²»ÊÓΪµÚËÄʮһÌõ½ûÖ¹µÄÐÐΪ£º
Article 43 The following activities shall not be deemed to be activities as prohibited in Article 41:
(Ò») ¹«Ë¾ÌṩµÄÓйزÆÎñ×ÊÖúÊdzÏʵµØÎªÁ˹«Ë¾ÀûÒæ£¬²¢ÇÒ¸ÃÏî²ÆÎñ×ÊÖúµÄÖ÷ҪĿµÄ²»ÊÇΪ¹ºÂò±¾¹«Ë¾
¹É·Ý£¬»òÕ߸ÃÏî²ÆÎñ×ÊÖúÊǹ«Ë¾Ä³Ïî×ܼƻ®Öи½´øµÄÒ»²¿·Ö;
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;
(¶þ) ¹«Ë¾ÒÀ·¨ÒÔÆä²Æ²ú×÷Ϊ¹ÉÀû½øÐзÖÅä;
the lawful distribution of the Company¡¯s assets by way of dividend;
(Èý) ÒԹɷݵÄÐÎʽ·ÖÅä¹ÉÀû;
the allotment of shares as dividends;
(ËÄ) ÒÀ¾Ý¹«Ë¾Õ³̼õÉÙ×¢²á×ʱ¾¡¢¹º»Ø¹É·Ý¡¢µ÷Õû¹ÉȨ½á¹¹µÈ;
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;
(Îå) ¹«Ë¾ÔÚÆä¾Óª·¶Î§ÄÚ£¬ÎªÆäÕý³£µÄÒµÎñ»î¶¯Ìṩ´û¿î (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹
¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²ÆÎñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ;
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);
(Áù) ¹«Ë¾ÎªÖ°¹¤³Ö¹É¼Æ»®Ìṩ¿îÏî (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²Æ
Îñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ¡£
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).
15
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders
µÚËÄÊ®ËÄÌõ ¹«Ë¾¹ÉƱ²ÉÓüÇÃûʽ¡£
Article 44 The Company¡¯s share certificates shall be in registered form.
¹«Ë¾¹ÉƱӦµ±ÔØÃ÷µÄÊÂÏ³ý¡¶¹«Ë¾·¨¡·¹æ¶¨µÄÍ⣬»¹Ó¦µ±°üÀ¨¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇóÔØÃ÷µÄÆä
ËûÊÂÏî¡£
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.
µÚËÄÊ®ÎåÌõ ¹ÉƱÓɶʳ¤Ç©Êð¡£¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇó¹«Ë¾ÆäËû¸ß¼¶¹ÜÀíÈËԱǩÊðµÄ£¬»¹Ó¦µ±
ÓÉÆäËûÓйظ߼¶¹ÜÀíÈËԱǩÊð¡£¹ÉÆ±¾¼Ó¸Ç¹«Ë¾Ó¡Õ»òÒÔÓ¡Ë¢ÐÎʽ¼Ó¸ÇÓ¡ÕºóÉúЧ¡£ÔÚ¹ÉÆ±ÉϼӸǹ«Ë¾Ó¡
Õ»ò¹«Ë¾Ö¤È¯Ó¡Õ£¬Ó¦µ±ÓжÊ»áµÄÊÚȨ¡£¹«Ë¾¶Ê³¤»òÕ߯äËûÓйظ߼¶¹ÜÀíÈËÔ±ÔÚ¹ÉÆ±ÉϵÄÇ©×ÖÒ²¿ÉÒÔ
²ÉȡӡˢÐÎʽ¡£
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.
µÚËÄÊ®ÁùÌõ ¹«Ë¾¹ÉƱÔÚÎÞÖ½»¯·¢Ðкͽ»Ò×µÄÌõ¼þÏ£¬ÊÊÓù«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÁíÐй涨¡£
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.
µÚËÄÊ®ÆßÌõ ¹«Ë¾ÒÀ¾Ý¾³ÄÚ֤ȯµÇ¼Ç»ú¹¹ÌṩµÄƾ֤½¨Á¢ÄÚ×ʹɹɶ«Ãû²á¡£¹«Ë¾Ó¦µ±ÉèÁ¢¾³ÍâÉÏÊÐÍâ×ʹÉ
¹É¶«Ãû²á£¬µÇ¼ÇÒÔÏÂÊÂÏ
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:
(Ò») ¸÷¹É¶«µÄÐÕÃû (Ãû³Æ) ¡¢µØÖ· (סËù) ¡¢Ö°Òµ»òÐÔÖÊ;
the name, address (domicile), occupation or nature of each shareholder;
(¶þ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄÀà±ð¼°ÆäÊýÁ¿;
the class and number of shares held by each shareholder;
(Èý) ¸÷¹É¶«Ëù³Ö¹É·ÝÒѸ¶»òÕßÓ¦¸¶µÄ¿îÏî;
the amount paid-up or payable in respect of shares held by each shareholder;
(ËÄ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄ±àºÅ;
the serial numbers of the shares held by each shareholder;
(Îå) ¸÷¹É¶«µÇ¼ÇΪ¹É¶«µÄÈÕÆÚ;
the date on which a person registers as a shareholder;
(Áù) ¸÷¹É¶«ÖÕֹΪ¹É¶«µÄÈÕÆÚ¡£
the date on which a person ceases to be a shareholder;
16
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É¶«Ãû²áΪ֤Ã÷¹É¶«³ÖÓй«Ë¾¹É·ÝµÄ³ä·ÖÖ¤¾Ý; µ«ÊÇÓÐÏà·´Ö¤¾ÝµÄ³ýÍâ¡£
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.
ËùÓо³ÍâÉÏÊÐÍâ×ʹɵÄÐÐΪ»òתÈý«µÇ¼ÇÓÚ¸ù¾Ý±¾Õ³̵Ĺ涨´æ·ÅÓÚÉÏÊеصľ³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á¡£
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.
µÚËÄÊ®°ËÌõ ¹«Ë¾¿ÉÒÔÒÀ¾ÝÖйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Óë¾³Íâ֤ȯ¼à¹Ü»ú¹¹´ï³ÉµÄÁ½⡢ÐÒ飬½«¾³ÍâÉÏÊÐÍâ
×ʹɹɶ«Ãû²á´æ·ÅÔÚ¾³Í⣬²¢Î¯Íо³Íâ´úÀí»ú¹¹¹ÜÀí¡£ÓйØÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɹɶ«µÄ
¹É¶«Ãû²áÕý±¾Ó¦µ±´æ·ÅÔÚÏã¸Û¡£
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.
¹«Ë¾Ó¦µ±½«¾³ÍâÉÏÊÐÍâ×ʹɶ«Ãû²áµÄ¸±±¾±¸ÖÃÓÚ¹«Ë¾×¡Ëù; ÊÜίÍеľ³Íâ´úÀí»ú¹¹Ó¦µ±ËæÊ±±£Ö¤¾³ÍâÉÏÊÐ
Íâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄÒ»ÖÂÐÔ¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄ¼ÇÔØ²»Ò»ÖÂʱ£¬ÒÔÕý±¾Îª×¼¡£
If there is any inconsistency between the original and the duplicate of the register of holders of H shares,
the original version shall prevail.
µÚËÄÊ®¾ÅÌõ ¹«Ë¾Ó¦µ±±£´æÓÐÍêÕûµÄ¹É¶«Ãû²á¡£
Article 49 The Company shall keep a complete register of shareholders.
¹É¶«Ãû²á°üÀ¨ÏÂÁв¿·Ö£º
The register of shareholders shall include the following:
(Ò») ´æ·ÅÔÚ¹«Ë¾×¡ËùµÄ¡¢³ý±¾¿î (¶þ) ¡¢ (Èý) Ïî¹æ¶¨ÒÔÍâµÄ¹É¶«Ãû²á;
the register of members maintained at the Company¡¯s domicile other than those parts as described
in items (ii) and (iii) of this Article;
(¶þ) ´æ·ÅÔÚ¾³ÍâÉÏÊеÄ֤ȯ½»Ò×ËùËùÔڵصĹ«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á;
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;
(Èý) ¶Ê»áΪ¹«Ë¾¹ÉƱÉÏÊеÄÐèÒª¶ø¾ö¶¨´æ·ÅÔÚÆäËûµØ·½µÄ¹É¶«Ãû²á¡£
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.
µÚÎåÊ®Ìõ ¹É¶«Ãû²áµÄ¸÷²¿·ÖÓ¦µ±»¥²»Öصþ¡£Ôڹɶ«Ãû²áijһ²¿·Ö×¢²áµÄ¹É·ÝµÄתÈã¬ÔڸùɷÝ×¢²á´æÐø
ÆÚ¼ä²»µÃ×¢²áµ½¹É¶«Ãû²áµÄÆäËû²¿·Ö¡£
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.
¹É¶«Ãû²á¸÷²¿·ÖµÄ¸ü¸Ä»òÕ߸üÕý£¬Ó¦µ±¸ù¾Ý¹É¶«Ãû²á¸÷²¿·Ö´æ·ÅµØµÄ·¨ÂɽøÐС£
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.
17
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåʮһÌõ ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢¹æ·¶ÐÔÎļþ¼°¹«Ë¾¹ÉƱÉÏÊеØÏà¹ØÖ¤È¯½»Ò×Ëù»ò¼à¹Ü»ú¹¹¶Ô¹É
¶«´ó»áÕÙ¿ªÇ°»òÕß¹«Ë¾¾ö¶¨·ÖÅä¹ÉÀûµÄ»ù×¼ÈÕǰ£¬ÔÝÍ£°ìÀí¹É·Ý¹ý»§µÇ¼ÇÊÖÐøÆÚ¼äÓй涨µÄ£¬´ÓÆä¹æ¶¨¡£
Article 51 Where laws, administrative regulations, departmental rules, normative documents and
requirements of relevant stock exchanges or regulatory authorities where the shares of the Company are
listed, stipulate on the period of closure of the register of shareholders prior to a shareholders¡¯ general
meeting or the reference date set by the Company for the purpose of distribution of dividends, such
provisions shall prevail.
µÚÎåÊ®¶þÌõ ÈκÎÈ˶Թɶ«Ãû²á³ÖÓÐÒìÒé¶øÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉÏ£¬»òÕßÒªÇ󽫯äÐÕÃû
(Ãû³Æ) ´Ó¹É¶«Ãû²áÖÐɾ³ýµÄ£¬¾ù¿ÉÒÔÏòÓйÜϽȨµÄ·¨ÔºÉêÇë¸üÕý¹É¶«Ãû²á¡£
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.
µÚÎåÊ®ÈýÌõ ÈκεǼÇÔڹɶ«Ãû²áÉϵĹɶ«»òÕßÈκÎÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË£¬Èç¹ûÆä
¹ÉƱ (¼´¡°Ô¹ÉƱ¡±) ÒÅʧ£¬¿ÉÒÔÏò¹«Ë¾ÉêÇë¾Í¸Ã¹É·Ý (¼´¡°Óйعɷݡ±) ²¹·¢ÐÂ¹ÉÆ±¡£
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¡±).
ÄÚ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬ÒÀÕÕ¡¶¹«Ë¾·¨¡·Ïà¹Ø¹æ¶¨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬¿ÉÒÔÒÀÕÕ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý±¾´æ·ÅµØµÄ·¨ÂÉ¡¢¾³Íâ
֤ȯ½»Ò׳¡Ëù¹æÔò»òÕ߯äËûÓйع涨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱÉêÇë²¹·¢µÄ£¬Æä¹ÉƱµÄ²¹·¢Ó¦µ±·ûºÏÏÂÁÐÒªÇó£º
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:
(Ò») ÉêÇëÈËÓ¦µ±Óù«Ë¾Ö¸¶¨µÄ±ê×¼¸ñʽÌá³öÉêÇë²¢¸½ÉϹ«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷Îļþ¡£¹«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷
ÎļþµÄÄÚÈÝÓ¦µ±°üÀ¨ÉêÇëÈËÉêÇëµÄÀíÓÉ¡¢¹ÉƱÒÅʧµÄÇéÐμ°Ö¤¾Ý£¬ÒÔ¼°ÎÞÆäËûÈκÎÈ˿ɾÍÓйعɷÝ
ÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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
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.
(¶þ) ¹«Ë¾¾ö¶¨²¹·¢ÐÂ¹ÉÆ±Ö®Ç°£¬Ã»ÓÐÊÕµ½ÉêÇëÈËÒÔÍâµÄÈκÎÈ˶ԸùɷÝÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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.
(Èý) ¹«Ë¾¾ö¶¨ÏòÉêÇëÈ˲¹·¢ÐÂ¹ÉÆ±£¬Ó¦µ±ÔÚ¶Ê»áÖ¸¶¨µÄ±¨¿¯ÉÏ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æ; ¹«¸æÆÚ¼äΪ
¾ÅÊ®ÈÕ£¬Ã¿ÈýÊ®ÈÕÖÁÉÙÖØ¸´¿¯µÇÒ»´Î¡£
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.
18
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(ËÄ) ¹«Ë¾ÔÚ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æÖ®Ç°£¬Ó¦µ±ÏòÆä¹ÒÅÆÉÏÊеÄ֤ȯ½»Ò×ËùÌá½»Ò»·ÝÄ⿯µÇµÄ¹«¸æ¸±
±¾£¬ÊÕµ½¸Ã֤ȯ½»Ò×ËùµÄ»Ø¸´£¬È·ÈÏÒÑÔÚ¸Ã֤ȯ½»Ò×ËùÄÚչʾ¸Ã¹«¸æºó£¬¼´¿É¿¯µÇ¡£¹«¸æÔÚ¸Ã֤ȯ
½»Ò×ËùÄÚչʾµÄÆÚ¼äΪ¾ÅÊ®ÈÕ¡£
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.
Èç¹û²¹·¢¹ÉƱµÄÉêÇëδµÃµ½ÓйعɷݵĵǼÇÔÚ²á¹É¶«µÄͬÒ⣬¹«Ë¾Ó¦µ±½«Ä⿯µÇµÄ¹«¸æµÄ¸´Ó¡¼þÓʼĸø¸Ã
¹É¶«¡£
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.
(Îå) ±¾Ìõ (Èý) ¡¢ (ËÄ) ÏîËù¹æ¶¨µÄ¹«¸æ¡¢Õ¹Ê¾µÄ¾ÅÊ®ÈÕÆÚÏÞ½ìÂú£¬È繫˾δÊÕµ½ÈκÎÈ˶Բ¹·¢¹ÉƱµÄÒì
Ò飬¼´¿ÉÒÔ¸ù¾ÝÉêÇëÈ˵ÄÉêÇë²¹·¢ÐÂ¹ÉÆ±¡£
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.
(Áù) ¹«Ë¾¸ù¾Ý±¾Ìõ¹æ¶¨²¹·¢ÐÂ¹ÉÆ±Ê±£¬Ó¦µ±Á¢¼´×¢ÏúÔ¹ÉÆ±£¬²¢½«´Ë×¢ÏúºÍ²¹·¢ÊÂÏîµÇ¼ÇÔڹɶ«Ãû²áÉÏ¡£
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.
(Æß) ¹«Ë¾Îª×¢ÏúÔ¹ÉÆ±ºÍ²¹·¢ÐÂ¹ÉÆ±µÄÈ«²¿·ÑÓ㬾ùÓÉÉêÇëÈ˸ºµ£¡£ÔÚÉêÇëÈËδÌṩºÏÀíµÄµ£±£Ö®Ç°£¬¹«
˾ÓÐȨ¾Ü¾ø²ÉÈ¡ÈκÎÐж¯¡£
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.
µÚÎåÊ®ËÄÌõ ¹«Ë¾¸ù¾Ý¹«Ë¾Õ³̵Ĺ涨²¹·¢ÐÂ¹ÉÆ±ºó£¬»ñµÃǰÊöÐÂ¹ÉÆ±µÄÉÆÒ⹺ÂòÕß»òÕ߯äºóµÇ¼ÇΪ¸Ã¹É
·ÝµÄËùÓÐÕߵĹɶ« (ÈçÊôÉÆÒ⹺ÂòÕß) £¬ÆäÐÕÃû (Ãû³Æ) ¾ù²»µÃ´Ó¹É¶«Ãû²áÖÐɾ³ý¡£
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.
µÚÎåÊ®ÎåÌõ ¹«Ë¾¶ÔÓÚÈκÎÓÉÓÚ×¢ÏúÔ¹ÉÆ±»òÕß²¹·¢ÐÂ¹ÉÆ±¶øÊܵ½Ë𺦵ÄÈ˾ùÎÞÅâ³¥ÒåÎñ£¬³ý·Ç¸Ãµ±ÊÂÈË
ÄÜÖ¤Ã÷¹«Ë¾ÓÐÆÛÕ©ÐÐΪ¡£
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.
19
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders
µÚÎåÊ®ÁùÌõ ¹«Ë¾¹É¶«ÎªÒÀ·¨³ÖÓй«Ë¾¹É·Ý²¢ÇÒÆäÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË¡£
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.
¹É¶«°´ÆäËù³ÖÓйɷݵÄÖÖÀàÏíÓÐȨÀû£¬³Ðµ£ÒåÎñ; ³ÖÓÐͬһÖÖÀà¹É·ÝµÄ¹É¶«£¬ÏíÓÐͬµÈȨÀû£¬³Ðµ£Í¬ÖÖÒå
Îñ¡£
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.
ÈçÁ½¸öÒÔÉϵÄÈ˵ǼÇΪÈκιɷݵÄÁªÃû¹É¶«£¬ËûÃÇÓ¦±»ÊÓΪÓйعɷݵĹ²Í¬¹²ÓÐÈË£¬µ«±ØÐëÊÜÒÔÏÂÌõ¿îÏÞ
ÖÆ£º
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:
(Ò») ¹«Ë¾²»Ó¦½«³¬¹ýËÄÃûÈËÊ¿µÇ¼ÇΪÈκιɷݵÄÁªÃû¹É¶«;
The Company shall register no more than four people as the joint holder of any share;
(¶þ) ÈκιɷݵÄËùÓÐÁªÃû¹É¶«Ó¦¶ÔÖ§¸¶ÓйعɷÝËùÓ¦¸¶µÄËùÓнð¶î³Ðµ£Á¬´øÔðÈÎ;
The joint holders of any shares shall jointly assume the liability to pay for all amounts payable for
the relevant shares.
(Èý) ÈçÁªÃû¹É¶«Ö®Ò»ËÀÍö£¬ÔòÖ»ÓÐÁªÃû¹É¶«ÖÐµÄÆäËûÉдæÈËʿӦ±»¹«Ë¾ÊÓΪ¶ÔÓйعɷÝÓµÓÐËùÓÐȨµÄÈË£¬
µ«¶Ê»áÓÐȨΪÐ޸Ĺɶ«Ãû²á֮ĿµÄ¶øÒªÇóÌṩÆäÈÏΪǡµ±µÄËÀÍöÖ¤Ã÷Îļþ;
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.
¾ÍÈκιɷݵÄÁªÃû¹É¶«¶øÑÔ£¬Ö»ÓÐÔڹɶ«Ãû²áÉÏÅÅÃûÊ×λµÄÁªÃû¹É¶«ÓÐȨ´Ó¹«Ë¾ÊÕÈ¡ÓÐ¹Ø¹É·ÝµÄ¹ÉÆ±£¬ÊÕ
È¡¹«Ë¾µÄ֪ͨ£¬³öϯ¹«Ë¾¹É¶«´ó»á»òÐÐʹÓйعɷݵÄÈ«²¿±í¾öȨ£¬¶øÈκÎËÍ´ïǰÊöÈËÊ¿µÄ֪ͨӦ±»ÊÓΪÒÑ
ËÍ´ïÓйعɷݵÄËùÓÐÁªÃû¹É¶«¡£
. 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.
µÚÎåÊ®ÆßÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á¡¢·ÖÅä¹ÉÀû¡¢ÇåËã¼°´ÓÊÂÆäËûÐèҪȷÈϹɶ«Éí·ÝµÄÐÐΪʱ£¬ÓɶÊ»á»ò¹É
¶«´ó»áÕÙ¼¯ÈËÈ·¶¨¹ÉȨµÇ¼ÇÈÕ£¬¹ÉȨµÇ¼ÇÈÕÊÕÊкóµÇ¼ÇÔÚ²áµÄ¹É¶«ÎªÏíÓÐÏà¹ØÈ¨ÒæµÄ¹É¶«¡£
Article 57 When the Company intends to convene a shareholders¡¯ general meeting, distribute dividends,
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.
20
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÊ®°ËÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«ÏíÓÐÏÂÁÐȨÀû:
Article 58 The ordinary shareholders of the Company shall be entitled to the following rights:
(Ò») ÒÀÕÕÆäËù³ÖÓеĹɷݷݶî»ñµÃ¹ÉÀûºÍÆäËûÐÎʽµÄÀûÒæ·ÖÅä;
the right to dividends and other forms of distribution in proportion to the number of shares held;
(¶þ) ÒÀ·¨ÇëÇó¡¢ÕÙ¼¯¡¢Ö÷³Ö¡¢²Î¼Ó»òÕßίÅɹɶ«´úÀíÈ˲μӹɶ«´ó»á£¬²¢ÐÐʹÏàÓ¦µÄ±í¾öȨ;
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;
(Èý) ¶Ô¹«Ë¾µÄÒµÎñ¾Óª»î¶¯½øÐмල£¬Ìá³ö½¨Òé»òÕßÖÊѯ;
the right to supervise the business activities of the Company and to put forward proposals and raise
inquiries;
(ËÄ) ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨¼°±¾Õ³̵Ĺ涨תÈá¢ÔùÓë»òÖÊ
ѺÆäËù³ÖÓеĹɷÝ;
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;
(Îå) ÒÀÕÕ±¾Õ³̵Ĺ涨»ñµÃÓйØÐÅÏ¢£¬°üÀ¨£º
the right to obtain relevant information in accordance with the provisions of the Articles of
Association, including:
(1) Ôڽɸ¶³É±¾·ÑÓúóµÃµ½¹«Ë¾Õ³Ì;
to obtain a copy of the Articles of Association, subject to payment of the cost of such copy;
(2) Ôڽɸ¶Á˺ÏÀí·ÑÓúóÓÐȨ²éÔĺ͸´Ó¡£º
to inspect and copy, subject to payment of a reasonable charge:
(i) ËùÓи÷²¿·Ö¹É¶«µÄÃû²á;
all parts of the register of shareholders;
(ii) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄ¸öÈË×ÊÁÏ£¬°üÀ¨£º(a) ÏÖÔÚ¼°ÒÔǰµÄÐÕÃû¡¢
±ðÃû; (b) Ö÷ÒªµØÖ· (סËù) ; (c)¹ú¼®; (d)רְ¼°ÆäËûÈ«²¿¼æÖ°µÄÖ°Òµ¡¢Ö°Îñ; ºÍ(e)Éí·ÝÖ¤
Ã÷Îļþ¼°ÆäºÅÂë;
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) ¹«Ë¾¹É±¾×´¿ö;
report on the state of the Company¡¯s share capital;
(iv) ×ÔÉÏÒ»»á¼ÆÄê¶ÈÒÔÀ´¹«Ë¾¹º»Ø×Ô¼ºÃ¿Ò»Àà±ð¹É·ÝµÄÆ±Ãæ×ÜÖµ¡¢ÊýÁ¿¡¢×î¸ß¼ÛºÍ×îµÍ¼Û£¬
ÒÔ¼°¹«Ë¾Îª´ËÖ§¸¶µÄÈ«²¿·ÑÓõı¨¸æ;
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;
(v) ¹«Ë¾Õ®È¯´æ¸ù;
counterfoils of company debt securities;
(vi) ²ÆÎñ»á¼Æ±¨¸æ; ¼°
financial reports; and
21
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(vii) ¹É¶«´ó»á»áÒé¼Ç¼¡¢¶Ê»á»áÒé¾öÒé¡¢¼àÊ»á»áÒé¾öÒé;
minutes of shareholders¡¯ general meetings, resolutions of Boarding meetings,
resolutions of Board of Supervisors meetings;
(Áù) ¹«Ë¾ÖÕÖ¹»òÕßÇåËãʱ£¬°´ÆäËù³ÖÓеĹɷݷݶî²Î¼Ó¹«Ë¾Ê£Óà²Æ²úµÄ·ÖÅä;
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;
(Æß) ¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒéµÄ¹É¶«£¬ÒªÇó¹«Ë¾ÊÕ¹ºÆä¹É·Ý;
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;
(°Ë) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûȨÀû¡£
other rights conferred by laws, administrative regulations, departmental rules or the Articles of
Association.
µÚÎåÊ®¾ÅÌõ ¹É¶«Ìá³ö²éÔÄǰÌõËùÊöÓйØÐÅÏ¢»òÕßË÷È¡×ÊÁϵģ¬Ó¦µ±Ïò¹«Ë¾Ìṩ֤Ã÷Æä³ÖÓй«Ë¾¹É·ÝµÄÖÖ
ÀàÒÔ¼°³Ö¹ÉÊýÁ¿µÄÊéÃæÎļþ£¬¹«Ë¾¾ºËʵ¹É¶«Éí·Ýºó°´Õչɶ«µÄÒªÇóÓèÒÔÌṩ¡£
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.
²»µÃÖ»ÒòÈκÎÖ±½Ó»ò¼ä½ÓÓµÓÐÈ¨ÒæµÄÈËÊ¿²¢ÎÞÏò¹«Ë¾Åû¶ÆäÈ¨Òæ¶øÐÐʹÈκÎȨÁ¦ÒÔ¶³½á»òÒÔÆäËû·½Ê½Ëð
º¦ÆäËù³ÖÈκιɷݸ½ÓеÄȨÀû¡£
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.
µÚÁùÊ®Ìõ ¹«Ë¾¹É¶«´ó»á¡¢¶Ê»á¾öÒéÄÚÈÝÎ¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æµÄ£¬¹É¶«ÓÐȨÇëÇóÈËÃñ·¨ÔºÈ϶¨ÎÞЧ¡£
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.
¹É¶«´ó»á¡¢¶Ê»áµÄ»áÒéÕÙ¼¯³ÌÐò¡¢±í¾ö·½Ê½Î¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̣¬»òÕß¾öÒéÄÚÈÝÎ¥·´±¾Õ³Ì
µÄ£¬¹É¶«ÓÐȨ×Ô¾öÒé×÷³öÖ®ÈÕÆð 60 ÈÕÄÚ£¬ÇëÇóÈËÃñ·¨Ôº³·Ïú¡£
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.
µÚÁùʮһÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËð
ʧµÄ£¬Á¬Ðø 180 ÈÕÒÔÉϵ¥¶À»òºÏ²¢³ÖÓй«Ë¾ 1%ÒÔÉϹɷݵĹɶ«ÓÐȨÊéÃæÇëÇó¼àÊ»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ;
¼àÊ»áÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬¹É¶«¿ÉÒÔÊéÃæÇëÇó¶
Ê»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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
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
22
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¼àÊ»ᡢ¶Ê»áÊÕµ½Ç°¿î¹æ¶¨µÄ¹É¶«ÊéÃæÇëÇóºó¾Ü¾øÌáÆðËßËÏ£¬»òÕß×ÔÊÕµ½ÇëÇóÖ®ÈÕÆð 30 ÈÕÄÚδÌáÆðËß
ËÏ£¬»òÕßÇé¿ö½ô¼±¡¢²»Á¢¼´ÌáÆðËßËϽ«»áʹ¹«Ë¾ÀûÒæÊܵ½ÄÑÒÔÃÖ²¹µÄË𺦵ģ¬Ç°¿î¹æ¶¨µÄ¹É¶«ÓÐȨΪÁ˹«
˾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
ËûÈËÇÖ·¸¹«Ë¾ºÏ·¨È¨Ò棬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬±¾ÌõµÚÒ»¿î¹æ¶¨µÄ¹É¶«¿ÉÒÔÒÀÕÕǰÁ½¿îµÄ¹æ¶¨ÏòÈËÃñ·¨ÔºÌá
ÆðËßËÏ¡£
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.
µÚÁùÊ®¶þÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËԱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬Ë𺦹ɶ«ÀûÒæµÄ£¬¹É¶«¿ÉÒÔÏò
ÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
µÚÁùÊ®ÈýÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«³Ðµ£ÏÂÁÐÒåÎñ£º
Article 63 The ordinary shareholders of the Company shall assume the following obligations:
(Ò») ×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³Ì;
To abide by laws, administrative regulations and the Articles of Association;
(¶þ) ÒÀÆäËùÈϹºµÄ¹É·ÝºÍÈë¹É·½Ê½½ÉÄɹɽð;
To pay subscription monies according to the number of shares subscribed and the method of
subscription.
(Èý) ³ý·¨ÂÉ¡¢·¨¹æ¹æ¶¨µÄÇéÐÎÍ⣬²»µÃÍ˹É;
Not to surrender the shares unless required by the laws and regulations.
(ËÄ) ²»µÃÀÄÓùɶ«È¨ÀûË𺦹«Ë¾»òÕ߯äËû¹É¶«µÄÀûÒæ; ²»µÃÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈÎËðº¦
¹«Ë¾Õ®È¨È˵ÄÀûÒæ;
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.
¹«Ë¾¹É¶«ÀÄÓùɶ«È¨Àû¸ø¹«Ë¾»òÕ߯äËû¹É¶«Ôì³ÉËðʧµÄ£¬Ó¦µ±ÒÀ·¨³Ðµ£Åâ³¥ÔðÈΡ£
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.
¹«Ë¾¹É¶«ÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈΣ¬ÌÓ±ÜÕ®Îñ£¬ÑÏÖØË𺦹«Ë¾Õ®È¨ÈËÀûÒæµÄ£¬Ó¦µ±¶Ô¹«Ë¾Õ®
Îñ³Ðµ£Á¬´øÔðÈΡ£
Where shareholders of the Company abuse the Company¡¯s position as an independent legal person and
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.
23
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°±¾Õ³̹涨Ӧµ±³Ðµ£µÄÆäËûÒåÎñ¡£
other obligations imposed by laws, administrative regulations and the Articles of Association.
¹É¶«³ýÁ˹ɷݵÄÈϹºÈËÔÚÈϹºÊ±ËùͬÒâµÄÌõ¼þÍ⣬²»³Ðµ£Æäºó×·¼ÓÈκιɱ¾µÄÔðÈΡ£
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.
µÚÁùÊ®ËÄÌõ ³ÖÓй«Ë¾ 5%ÒÔÉÏÓбí¾öȨ¹É·ÝµÄ¹É¶«£¬½«Æä³ÖÓеĹɷݽøÐÐÖÊѺµÄ£¬Ó¦µ±×Ô¸ÃÊÂʵ·¢Éúµ±ÈÕ£¬
Ïò¹«Ë¾×÷³öÊéÃæ±¨¸æ¡£
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.
µÚÁùÊ®ÎåÌõ ¹«Ë¾µÄ¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈËÔ±²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ¡£Î¥·´¹æ¶¨µÄ£¬¸ø¹«Ë¾Ôì
³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦Ó빫˾ʵÐÐÈËÔ±¡¢×ʲú¡¢²ÆÎñ·Ö¿ª£¬ÊµÏÖ»ú¹¹¡¢ÒµÎñ¡¢
ÈËÔ±¶ÀÁ¢£¬¸÷×Ô¶ÀÁ¢ºËËã¡¢¶ÀÁ¢³Ðµ£ÔðÈκͷçÏÕ¡£
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.
¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦²ÉÈ¡ÓÐЧ´ëÊ©±ÜÃâͬҵ¾ºÕù¡£
The controlling shareholder of the Company shall take effective measures to avoid horizontal
competition.
¹«Ë¾¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈ˶Թ«Ë¾ºÍ¹«Ë¾Éç»á¹«Öڹɹɶ«¸ºÓгÏÐÅÒåÎñ¡£¿Ø¹É¹É¶«Ó¦ÑϸñÒÀ·¨ÐÐʹ³ö×ÊÈË
µÄȨÀû£¬¿Ø¹É¹É¶«²»µÃÀûÓÃÀûÈó·ÖÅä¡¢×ʲúÖØ×é¡¢¶ÔÍâͶ×Ê¡¢×ʽðÕ¼Óᢽè¿îµ£±£µÈ·½Ê½Ë𺦹«Ë¾ºÍÉç»á
¹«Öڹɹɶ«µÄºÏ·¨È¨Ò棬²»µÃÀûÓÃÆä¿ØÖÆµØÎ»Ë𺦹«Ë¾ºÍÉç»á¹«Öڹɹɶ«µÄÀûÒæ¡£
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.
¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËԱӦά»¤¹«Ë¾×ʽðµÄ°²È«£¬¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½
ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúʱ£¬¹«Ë¾¶Ê»áÊÓÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÓèÒÔ°ÕÃâ
µÄ³ÌÐò¡£
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.
¹«Ë¾¶Ê»ὨÁ¢¶Ô¿Ø¹É¹É¶«Ëù³Ö¹«Ë¾¹É·Ý¡°Õ¼Óü´¶³½á¡±»úÖÆ£¬¼´·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúÁ¢¼´ÉêÇë˾·¨
¶³½á£¬·²²»ÄÜÒÔÏÖ½ðÇå³¥µÄ£¬Í¨¹ý±äÏÖ¹ÉȨ³¥»¹ÇÖÕ¼×ʲú¡£¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËÔ±¸ºÓÐά»¤¹«Ë¾
×ʽð°²È«µÄ·¨¶¨ÒåÎñ£¬¹«Ë¾²ÆÎñ¸ºÔðÈËΪ¡°Õ¼Óü´¶³½á¡±»úÖÆµÄ¾ßÌåÔðÈÎÈË¡£¹«Ë¾²ÆÎñ¸ºÔðÈËÒ»µ©·¢ÏÖ¹«Ë¾
¿Ø¹É¹É¶«»òÕßʵ¼Ê¿ØÖÆÈ˼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú£¬Ó¦Á¢¼´Æô¶¯ÒÔϳÌÐò£º
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,
24
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») ¹«Ë¾²ÆÎñ¸ºÔðÈËÔÚ·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúµÄµ±Ì죬ӦÒÔÊéÃæÐÎʽ±¨¸æ¹«Ë¾¶Ê³¤£¬Í¬Ê±³ËͶ
Ê»áÃØÊé; Èô·¢ÏÖͬʱ´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú
Çé¿öµÄ£¬²ÆÎñ¸ºÔðÈËÔÚÊéÃæ±¨¸æÖл¹Ó¦µ±Ð´Ã÷ËùÉæ¼°µÄ¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû¡¢ÐÖú»ò×ÝÈݿعÉ
¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇé½Ú;
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;
(¶þ) ¶Ê³¤ÔÚÊÕµ½²ÆÎñ¸ºÔðÈ˵ı¨¸æºó£¬Ó¦Á¢¼´ÕÙ¼¯¡¢ÕÙ¿ª¶Ê»á»áÒ飬ÉóÒéÒªÇó¿Ø¹É¹É¶«Çå³¥µÄÆÚÏÞ¡¢
ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË; Èô´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈÝ
¿Ø¹É¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇéÐΣ¬¹«Ë¾¶Ê»áÓ¦ÊÓÆäÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ
¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÌáÇë¹É¶«´ó»áÓèÒÔ°ÕÃâ¡£
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;
(Èý) ¶Ê»áÃØÊé¸ù¾Ý¶Ê»á¾öÒéÏò¿Ø¹É¹É¶«·¢ËÍÏÞÆÚÇ峥֪ͨ£¬Ö´ÐжÔÏà¹Ø¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±µÄ´¦·Ö
¾ö¶¨¡¢ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË£¬²¢×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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;
(ËÄ) Èô¿Ø¹É¹É¶«ÎÞ·¨Ôڹ涨ÆÚÏÞÄÚÇå³¥£¬¹«Ë¾Ó¦Ôڹ涨ÆÚÏÞµ½ÆÚºó 30 ÈÕÄÚÏòÏà¹ØË¾·¨²¿ÃÅÉêÇ뽫¶³½á¹É
·Ý±äÏÖÒÔ³¥»¹ÇÖÕ¼×ʲú£¬¶Ê»áÃØÊé×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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,
to pay back the appropriated assets, and the Secretary of the Board of Directors shall disclose
relevant information properly.
³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔòËùÒªÇóµÄÒåÎñÍ⣬¿Ø¹É¹É¶«ÔÚÐÐʹÆä¹É¶«µÄ
ȨÁ¦Ê±£¬²»µÃÒòÐÐʹÆä±í¾öȨÔÚÏÂÁÐÎÊÌâÉÏ×÷³öÓÐËðÓÚÈ«Ìå»òÕß²¿·Ö¹É¶«µÄÀûÒæµÄ¾ö¶¨£º
25
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») Ãâ³ý¶Ê¡¢¼àÊÂÓ¦µ±Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐʵÄÔðÈÎ;
to relieve a Director or supervisor of his duty to act honestly in the best interests of the Company;
(¶þ) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) ÒÔÈκÎÐÎʽ°þ¶á¹«Ë¾²Æ²ú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκζԹ«Ë¾ÓÐ
ÀûµÄ»ú»á;
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;
(Èý) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) °þ¶áÆäËû¹É¶«µÄ¸öÈËÈ¨Òæ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκηÖÅäȨ¡¢
±í¾öȨ£¬µ«²»°üÀ¨¸ù¾Ý¹«Ë¾Õ³ÌÌá½»¹É¶«´ó»áͨ¹ýµÄ¹«Ë¾¸Ä×é¡£
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.
µÚÁùÊ®ÁùÌõ ±¾½ÚËù³Æ¿Ø¹É¹É¶«ÊǾ߱¸ÒÔÏÂÌõ¼þÖ®Ò»µÄÈË£º
Article 66 The term ¡°controlling shareholder¡± referred to in the Articles of Association means a person
who satisfies any one of the following conditions:
(Ò») ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÑ¡³ö°ëÊýÒÔÉϵĶÊÂ;
a person who, acting alone or in concert with others, has the power to elect more than half of the
Board members;
(¶þ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÐÐʹ¹«Ë¾°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ±í¾öȨ»òÕß¿ÉÒÔ
¿ØÖƹ«Ë¾µÄ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) ±í¾öȨµÄÐÐʹ;
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;
(Èý) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬³ÖÓй«Ë¾·¢ÐÐÔÚÍâ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ¹É·Ý;
a person who, acting alone or in concert with others, holds 30% (inclusive) or more of the issued
and outstanding shares of the Company;
(ËÄ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬ÒÔÆäËû·½Ê½ÔÚÊÂʵÉÏ¿ØÖƹ«Ë¾¡£
a person who, acting alone or in concert with others, has de facto control of the Company in any
other way.
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting
µÚÁùÊ®ÆßÌõ ¹É¶«´ó»áÊǹ«Ë¾µÄȨÁ¦»ú¹¹£¬ÒÀ·¨ÐÐʹÏÂÁÐְȨ£º
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:
(Ò») ¾ö¶¨¹«Ë¾µÄ¾Óª·½ÕëºÍͶ×ʼƻ®;
to decide on the operating policies and investment plans of the Company;
(¶þ) Ñ¡¾ÙºÍ¸ü»»¶Ê¼°·ÇÓÉÖ°¹¤´ú±íµ£ÈεļàÊ£¬¾ö¶¨ÓйضÊ¡¢¼àʵı¨³êÊÂÏî;
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;
26
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ÉóÒéÅú×¼¶Ê»áµÄ±¨¸æ;
to examine and approve reports of the Board;
(ËÄ) ÉóÒéÅú×¼¼àÊ»áµÄ±¨¸æ;
to examine and approve reports of the Board of Supervisors;
(Îå) ÉóÒéÅú×¼¹«Ë¾µÄÄê¶È²ÆÎñÔ¤Ëã·½°¸¡¢¾öËã·½°¸;
to examine and approve the Company's proposed annual preliminary financial budgets and final
accounts;
(Áù) ÉóÒéÅú×¼¹«Ë¾µÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
to examine and approve the Company's profit distribution plans and plans for making up losses;
(Æß) ¶Ô¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾×÷³ö¾öÒé;
to decide on increases or reductions in the Company's registered capital;
(°Ë) ¶Ô¹«Ë¾·¢ÐÐծȯ×÷³ö¾öÒé;
to decide on the issue of bonds by the Company;
(¾Å) ¶Ô¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¡¢½âÉ¢¡¢ÇåËã»òÕß±ä¸ü¹«Ë¾ÐÎʽ×÷³ö¾öÒé;
to decide on matters such as merger, division, dissolution and liquidation of the Company or
alteration of corporate form;
(Ê®) Ð޸ı¾Õ³Ì;
to amend the Articles of Association;
(ʮһ) ¶Ô¹«Ë¾Æ¸ÓᢽâƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËù×÷³ö¾öÒé;
to adopt resolutions on the Company¡¯s appointments, dismissals or non-reappointments of
accounting firms;
(Ê®¶þ) ÉóÒéÅú×¼µÚÁùÊ®°ËÌõ¹æ¶¨µÄµ£±£ÊÂÏî;
to examine and approve the provision of guarantees under the Article 68;
(Ê®Èý) ÉóÒ鹫˾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú¡¢×ʲúµÖѺ¡¢Î¯ÍÐÀí²Æ³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%
µÄÊÂÏ
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;
(Ê®ËÄ) ÉóÒéÅú×¼±ä¸ü=×ʽðÓÃ;ÊÂÏî;
to examine and approve matters relating to changes in the use of funds raised;
(Ê®Îå) ÉóÒé¹ÉȨ¼¤Àø¼Æ»®;
to examine the Company¡¯s share incentive schemes;
(Ê®Áù) ÉóÒéÐè¹É¶«´ó»á¾ö¶¨µÄ¹ØÁª½»Ò×;
to examine connection transactions which shall be decided at the general meeting;
(Ê®Æß) ÉóÒé´ú±í¹«Ë¾·¢ÐÐÔÚÍâÓбí¾öȨ¹É·Ý×ÜÊýµÄ°Ù·ÖÖ®ÈýÒÔÉÏ (º¬°Ù·ÖÖ®Èý) µÄ¹É¶«Ìá°¸;
to examine the proposals submitted by shareholders holding not less than 3% (inclusive) of the
Company¡¯s voting shares;
(Ê®°Ë) ÉóÒé·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¹æ¶¨µÄÓ¦µ±Óɹɶ«´ó
»á¾ö¶¨µÄÆäËûÊÂÏî¡£
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.
27
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÊ®°ËÌõ ¹«Ë¾ÏÂÁжÔÍâµ£±£ÐÐΪ£¬Ð뾹ɶ«´ó»áÉóÒéͨ¹ý¡£
Article 68 Any guarantees of the Company shall be subject to approval by the general meeting of
shareholders.
(Ò») ±¾¹«Ë¾¼°±¾¹«Ë¾¿Ø¹É×Ó¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%ÒÔºóÌṩµÄ
Èκε£±£;
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;
(¶þ) ¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲúµÄ 30%ÒÔºóÌṩµÄÈκε£±£;
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;
(Èý) Ϊ×ʲú¸ºÕ®Âʳ¬¹ý 70%µÄµ£±£¶ÔÏóÌṩµÄµ£±£;
a guarantee to be provided to a party which has an asset-liability ratio in excess of 70%;
(ËÄ) µ¥±Êµ£±£¶î³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲú 10%µÄµ£±£;
a single guarantee amount in excess of 10% of the Company¡¯s latest audited net assets;
(Îå) µ£±£½ð¶îÁ¬ÐøÊ®¶þ¸öÔÂÄÚÀۼƼÆËãÔÔò£¬³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%£¬ÇÒ¾ø¶Ô½ð¶î³¬¹ý
ÈËÃñ±Ò 5000 ÍòÔªµÄµ£±£;
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;
(Áù) ¶Ô¹É¶«¡¢Êµ¼Ê¿ØÖÆÈ˼°Æä¹ØÁª·½ÌṩµÄµ£±£;
the guarantee to be provided in favor of shareholders, de facto controllers and their related parties.
(Æß) ÉϺ£Ö¤È¯½»Ò×Ëù¡¢Ïã¸ÛÁª½»Ëù»òÏà¹Ø·¨¹æ¹æ¶¨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by the Shanghai Stock Exchange, the HKEX or relevant
laws and regulations.
µÚÁùÊ®¾ÅÌõ ¹É¶«´ó»á·ÖΪÄê¶È¹É¶«´ó»áºÍÁÙʱ¹É¶«´ó»á¡£Äê¶È¹É¶«´ó»áÿÄêÕÙ¿ª 1 ´Î£¬Ó¦µ±ÓÚÉÏÒ»»á¼Æ
Äê¶È½áÊøºóµÄ 6 ¸öÔÂÄÚ¾ÙÐС£
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.
µÚÆßÊ®Ìõ ÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾ÔÚÊÂʵ·¢ÉúÖ®ÈÕÆð 2 ¸öÔÂÒÔÄÚÕÙ¿ªÁÙʱ¹É¶«´ó»á£º
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:
(Ò») ¶ÊÂÈËÊý²»×ã 6 Ãûʱ;
the number of Directors is less than six (6);
(¶þ) ¹«Ë¾Î´ÃÖ²¹µÄ¿÷Ëð´ïʵÊչɱ¾×ܶî 1/3 ʱ;
the uncovered losses are in excess of one-third of the Company¡¯s total share capital;
(Èý) µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10% (²»º¬Í¶Æ±´úÀíȨ) ÒÔÉϹɷݵĹɶ«ÇëÇóʱ;
shareholders individually or jointly holding not less than 10% (exclusive proxy) of the Company¡¯s
issued shares request to hold an extraordinary general meeting;
(ËÄ) ¶Ê»áÈÏΪ±ØÒªÊ±;
the Board considers it necessary to hold such a meeting;
28
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ¼àÊ»áÌáÒéÕÙ¿ªÊ±;
the Board of Supervisors proposes to hold such a meeting;
(Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by laws and regulations, departmental rules or the
Articles of Association.
µÚÆßʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»áµÄµØµãΪ¹«Ë¾»áÒéÊÒ»ò֪ͨµÄÆäËûµØÖ·
Article 71 The Company shall hold the general meeting at the conference room of the Company or such
revenue as specified in the notice.
¹É¶«´ó»á½«ÉèÖû᳡£¬ÒÔÏÖ³¡»áÒéÐÎʽÕÙ¿ª¡£¹«Ë¾»¹½«ÊÓÇé¿öÌá¹©ÍøÂçͶƱ·½Ê½Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ
±ãÀû¡£¹É¶«Í¨¹ýÉÏÊö·½Ê½²Î¼Ó¹É¶«´ó»áµÄ£¬ÊÓΪ³öϯ¡£
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.
·¢³ö¹É¶«´ó»á֪ͨºó£¬ÎÞÕýµ±ÀíÓÉ£¬¹É¶«´ó»áÏÖ³¡»áÒéÕÙ¿ªµØµã²»µÃ±ä¸ü¡£È·Ðè±ä¸üµÄ£¬ÕÙ¼¯ÈËÓ¦µ±ÔÚÏÖ
³¡»áÒéÕÙ¿ªÈÕǰÖÁÉÙ 2 ¸ö¹¤×÷ÈÕ¹«¸æ²¢ËµÃ÷ÔÒò¡£
Once the notice of a general meeting is issued, the venue of an on-site general meeting shall not be
altered without proper reasons. In the event of alternation, the convener shall make an announcement to
state the reasons at least 2 working days prior to the convening date of the onsite meeting.
µÚÆßÊ®¶þÌõ ±¾¹«Ë¾ÕÙ¿ª¹É¶«´ó»áʱ½«Æ¸ÇëÂÉʦ¶ÔÒÔÏÂÎÊÌâ³ö¾ß·¨ÂÉÒâ¼û²¢¹«¸æ:
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:
(Ò») »áÒéµÄÕÙ¼¯¡¢ÕÙ¿ª³ÌÐòÊÇ·ñ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³Ì
whether the procedures relating to the convening and the holding of such meeting comply with the
laws, administrative regulations and the Articles of Association;
(¶þ) ³öϯ»áÒéÈËÔ±µÄ×ʸñ¡¢ÕÙ¼¯ÈË×ʸñÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the qualifications of the attendees and the convener of the meeting;
(Èý) »áÒéµÄ±í¾ö³ÌÐò¡¢±í¾ö½á¹ûÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the voting procedures and voting results;
(ËÄ) Ó¦±¾¹«Ë¾ÒªÇó¶ÔÆäËûÓйØÎÊÌâ³ö¾ßµÄ·¨ÂÉÒâ¼û¡£
legal opinions issued on other related matters as requested by the Company.
¹«Ë¾¶Ê»áÒ²¿ÉͬʱƸÇ빫֤ÈËÔ±³öϯ¹É¶«´ó»á¡£
The Board of the Company shall also engage notaries to be present in the general meeting.
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting
µÚÆßÊ®ÈýÌõ ¶ÀÁ¢¶ÊÂÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á¡£¶Ô¶ÀÁ¢¶ÊÂÒªÇóÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÌáÒ飬
¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÌáÒéºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«
´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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
29
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ; ¶Ê»᲻ͬ
ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ËµÃ÷ÀíÓɲ¢¹«¸æ¡£
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.
µÚÆßÊ®ËÄÌõ ¼àÊ»áÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±
¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ
·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔ
ÌáÒéµÄ±ä¸ü£¬Ó¦Õ÷µÃ¼àÊ»áµÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬ÊÓΪ¶Ê»᲻ÄÜÂÄÐлòÕß²»
ÂÄÐÐÕÙ¼¯¹É¶«´ó»á»áÒéÖ°Ô𣬼àÊ»á¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
µÚÆßÊ®ÎåÌõ µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÇëÇóÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔ
ÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚÌá³öͬ
Òâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦µ±ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔ
ÔÇëÇóµÄ±ä¸ü£¬Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%
ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¼àÊ»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¼àÊ»áÌá³öÇëÇó¡£
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
30
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
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).
¼àÊ»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦ÔÚÊÕµ½ÇëÇó 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔÌá°¸µÄ±ä¸ü£¬
Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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.
¼àÊ»áδÔڹ涨ÆÚÏÞÄÚ·¢³ö¹É¶«´ó»á֪ͨµÄ£¬ÊÓΪ¼àÊ»᲻ÕÙ¼¯ºÍÖ÷³Ö¹É¶«´ó»á£¬Á¬Ðø 90 ÈÕÒÔÉϵ¥¶À»ò
ÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
¹É¶«Òò¶Ê»áºÍ¼àÊ»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«
˾³Ðµ££¬²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
µÚÆßÊ®ÁùÌõ ¹É¶«ÒªÇóÕÙ¼¯Àà±ð¹É¶«»áÒ飬Ӧµ±°´ÕÕÏÂÁгÌÐò°ìÀí£º
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:
(Ò») ºÏ¼Æ³ÖÓÐÔÚÄâ¾ÙÐеĻáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÁ½¸ö»òÕßÁ½¸öÒÔÉϵĹÉ
¶«£¬¿ÉÒÔÇ©ÊðÒ»·Ý»òÕßÊý·ÝͬÑù¸ñʽÄÚÈݵÄÊéÃæÒªÇó£¬ÌáÇë¶Ê»áÕÙ¼¯Àà±ð¹É¶«»áÒ飬²¢²ûÃ÷»áÒé
µÄÒéÌâ¡£¶Ê»áÔÚÊÕµ½Ç°ÊéÃæÒªÇóºóÓ¦µ±¾¡¿ìÕÙ¼¯Àà±ð¹É¶«»áÒ顣ǰÊö³Ö¹ÉÊý°´¹É¶«Ìá³öÊéÃæÒªÇó
ÈÕ¼ÆËã¡£
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.
(¶þ) Èç¹û¶Ê»áÔÚÊÕµ½Ç°ÊöÊéÃæÒªÇóºóÈýÊ®ÈÕÄÚûÓз¢³öÕÙ¼¯»áÒéµÄͨ¸æ£¬Ìá³ö¸ÃÒªÇóµÄ¹É¶«¿ÉÒÔÔÚ¶
Ê»áÊÕµ½¸ÃÒªÇóºóËĸöÔÂÄÚ×ÔÐÐÕÙ¼¯»áÒ飬ÕÙ¼¯µÄ³ÌÐòÓ¦µ±¾¡¿ÉÄÜÓë¶Ê»áÕÙ¼¯¹É¶«»áÒéµÄ³ÌÐòÏà
ͬ¡£
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.
¹É¶«Òò¶Ê»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«Ë¾³Ðµ££¬
²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
31
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÆßÊ®ÆßÌõ ¼àÊ»á»ò¹É¶«¾ö¶¨×ÔÐÐÕÙ¼¯¹É¶«´ó»áµÄ£¬ÐëÊéÃæÍ¨Öª¶Ê»ᣬͬʱÏò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»á
Åɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¸°¸¡£
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.
Ôڹɶ«´ó»á¾öÒ鹫¸æÇ°£¬ÕÙ¼¯¹É¶«³Ö¹É±ÈÀý²»µÃµÍÓÚ 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.
¼àÊ»á»òÕÙ¼¯¹É¶« (ÊÓ¾ßÌåÇé¿ö¶ø¶¨) Ó¦ÔÚ·¢³ö¹É¶«´ó»á֪ͨ¼°¹É¶«´ó»á¾öÒ鹫¸æÊ±£¬Ïò¹«Ë¾ËùÔÚµØÖйú
Ö¤¼à»áÅɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×ËùÌá½»ÓйØÖ¤Ã÷²ÄÁÏ¡£
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.
µÚÆßÊ®°ËÌõ ¶ÔÓÚ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬¶Ê»áºÍ¶Ê»áÃØÊ齫ÓèÅäºÏ¡£¶Ê»áÓ¦µ±Ìṩ¹É
ȨµÇ¼ÇÈյĹɶ«Ãû²á¡£
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.
µÚÆßÊ®¾ÅÌõ ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬»áÒéËù±ØÐèµÄ·ÑÓÃÓɹ«Ë¾³Ðµ£¡£
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.
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting
µÚ°ËÊ®Ìõ Ìá°¸µÄÄÚÈÝÓ¦µ±ÊôÓڹɶ«´ó»áְȨ·¶Î§£¬ÓÐÃ÷È·ÒéÌâºÍ¾ßÌå¾öÒéÊÂÏ²¢ÇÒ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨
¹æºÍ±¾Õ³̵ÄÓйع涨¡£
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.
µÚ°ËʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á£¬¶Ê»ᡢ¼àÊ»áÒÔ¼°µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬ÓÐȨÏò
¹«Ë¾Ìá³öÌá°¸¡£
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.
µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬¿ÉÒÔÔڹɶ«´ó»áÕÙ¿ª 10 ÈÕǰÌá³öÁÙʱÌá°¸²¢ÊéÃæÌá½»ÕÙ¼¯ÈË;
ÕÙ¼¯ÈËÓ¦µ±ÔÚÊÕµ½Ìá°¸ºó 2 ÈÕÄÚ·¢³ö¹É¶«´ó»á²¹³ä֪ͨ£¬ËµÃ÷ÁÙʱÌá°¸µÄÄÚÈÝ£¬²¢½«¸ÃÁÙʱÌá°¸Ìá½»¹É¶«
´ó»áÉóÒé; ΩÉÏÊöÌõ¿îµÄ²Ù×÷Ðëͬʱ·ûºÏ·¨ÂÉ·¨¹æºÍÏã¸ÛÉÏÊйæÔò϶ÔÏà¹ØÊÂÒËÌá³öµÄ¹æ¶¨ºÍʱ¼äÒªÇó¡£
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
32
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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 .
³ýǰ¿î¹æ¶¨µÄÇéÐÎÍ⣬ÕÙ¼¯ÈËÔÚ·¢³ö¹É¶«´ó»á֪ͨºó£¬²»µÃÐ޸Ĺɶ«´ó»á֪ͨÖÐÒÑÁÐÃ÷µÄÌá°¸»òÔö¼ÓеÄ
Ìá°¸¡£
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.
¹É¶«´ó»á֪ͨÖÐδÁÐÃ÷»ò²»·ûºÏ±¾Õ³̵ڰËÊ®Ìõ¹æ¶¨µÄÌá°¸£¬¹É¶«´ó»á²»µÃ½øÐбí¾ö²¢×÷³ö¾öÒé¡£
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.
µÚ°ËÊ®¶þÌõ ¹«Ë¾ÕÙ¿ªÄê¶È¹É¶«´ó»áÓ¦µ±ÓÚ»áÒéÕÙ¿ª¶þÊ®¸öÓªÒµÈÕǰ·¢³ö֪ͨ£¬¹«Ë¾ÕÙ¿ªÁÙʱ¹É¶«´ó»áÓ¦
µ±ÓÚ»áÒéÕÙ¿ªÊ®¸öÓªÒµÈÕ»òÊ®ÎåÈÕ£¨ÒԽϳ¤ÕßΪ׼£©Ç°·¢³ö֪ͨ£¬½«»áÒéÄâÉóÒéµÄÊÂÏîÒÔ¼°¿ª»áµÄÈÕÆÚºÍ
µØµã¸æÖªËùÓÐÔÚ²á¹É¶«¡£
Article 82 Notice of an annual general meeting by the Company shall be dispatched twenty (20)
business days prior to the date of the meeting and notice of an extraordinary general meeting by the
Company shall be dispatched ten (10) business days or fifteen (15) days (whichever is longer) prior to
the date of the 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.
¹«Ë¾ÔÚ¼ÆËãÆðʼÆÚÏÞʱ£¬²»Ó¦µ±°üÀ¨»áÒéÕÙ¿ªµ±ÈÕ¡£±¾Õ³ÌÖеÄÓªÒµÈÕÊÇÖ¸Ïã¸ÛÁª½»Ëù¿ªÊнøÐÐ֤ȯÂòÂô
µÄÈÕ×Ó¡£
When the Company calculates the period of the meeting, the date of the meeting shall not be included. A
business day in the Articles of Association shall mean a day on which the Hong Kong Stock Exchange is
open for business for dealing in securities.
µÚ°ËÊ®ÈýÌõ ¹É¶«´ó»á²»µÃ¾ö¶¨Í¨¸æÎ´ÔØÃ÷µÄÊÂÏî¡£
Article 83 No shareholders¡¯ general meeting shall decide on the matters not stated in the notice for the
meeting.
µÚ°ËÊ®ËÄÌõ ¹É¶«´ó»áµÄ֪ͨӦµ±·ûºÏÏÂÁÐÒªÇó:
Article 84 A of the general meeting shall meet the following requirements:
(Ò») ÒÔÊéÃæÐÎʽ×ö³ö;
be in writing;
(¶þ) Ö¸¶¨»áÒéµÄʱ¼ä¡¢µØµãºÍ»áÒéÆÚÏÞ;
specify the date, place and period of the meeting;
(Èý) ˵Ã÷Ìá½»»áÒéÉóÒéµÄÊÂÏîºÍÌá°¸;
state the matters and proposals to be discussed at the meeting;
(ËÄ) Ïò¹É¶«ÌṩΪʹ¹É¶«¶Ô½«ÌÖÂÛµÄÊÂÏî×÷³öÃ÷ÖǾö¶¨ËùÐèÒªµÄ×ÊÁϼ°½âÊÍ; ´ËÔÔò°üÀ¨ (µ«²»ÏÞÓÚ)
ÔÚ¹«Ë¾Ìá³öºÏ²¢¡¢¹º»Ø¹É·Ý¡¢¹É±¾ÖØ×é»òÕ߯äËû¸Ä×éʱ£¬Ó¦µ±ÌṩÄâÒéÖеĽ»Ò׵ľßÌåÌõ¼þºÍºÏͬ (Èç
ÓÐ) £¬²¢¶ÔÆäÆðÒòºÍºó¹û×÷³öÈÏÕæµÄ½âÊÍ;
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;
33
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ÈçÈκζÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ó뽫ÌÖÂÛµÄÊÂÏîÓÐÖØÒªÀûº¦¹ØÏµ£¬Ó¦µ±Åû¶ÆäÀûº¦
¹ØÏµµÄÐÔÖʺͳ̶È; Èç¹û½«ÌÖÂÛµÄÊÂÏî¶Ô¸Ã¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±×÷Ϊ¹É¶«µÄÓ°Ïì
ÓбðÓÚ¶ÔÆäËûͬÀà±ð¹É¶«µÄÓ°Ï죬ÔòÓ¦µ±ËµÃ÷ÆäÇø±ð;
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;
(Áù) ÔØÓÐÈκÎÄâÔÚ»áÒéÉÏÌáÒéͨ¹ýµÄÌØ±ð¾öÒéµÄÈ«ÎÄ;
contain the full text of any special resolution to be proposed at the meeting;
(Æß) ÒÔÃ÷ÏÔµÄÎÄ×Ö˵Ã÷: ÓÐȨ³öϯºÍ±í¾öµÄ¹É¶«ÓÐȨÊéÃæÎ¯ÈÎһλ»òÕßһλÒÔÉϵĹɶ«´úÀíÈË´úΪ³öϯ
ºÍ±í¾ö£¬¶ø¸Ã¹É¶«´úÀíÈ˲»±ØÎª¹É¶«;
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;
(°Ë) ÔØÃ÷»áÒéͶƱ´úÀíίÍÐÊéµÄËÍ´ïʱ¼äºÍµØµã;
specify the time and place for lodging proxy forms for the relevant meeting;
(¾Å) ÔØÃ÷ÓÐȨ³öϯ¹É¶«´ó»á¹É¶«µÄ¹ÉȨµÇ¼ÇÈÕ;
the date of registration of equity entitlements for shareholders having the right to attend the general
meeting;
(Ê®) ÔØÃ÷»áÎñ³£ÉèÁªÏµÈËÐÕÃû£¬µç»°ºÅÂë¡£
the names and contact telephone numbers of the contact persons in connection with the meeting.
¹É¶«´ó»á֪ͨºÍ²¹³ä֪ͨÖÐÓ¦µ±³ä·Ö¡¢ÍêÕûÅû¶ËùÓÐÌá°¸µÄÈ«²¿¾ßÌåÄÚÈÝ¡£ÄâÌÖÂÛµÄÊÂÏîÐèÒª¶ÀÁ¢¶Ê·¢
±íÒâ¼ûµÄ£¬·¢²¼¹É¶«´ó»á֪ͨ»ò²¹³ä֪ͨʱ½«Í¬Ê±Åû¶¶ÀÁ¢¶ÊµÄÒâ¼û¼°ÀíÓÉ¡£
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.
¹É¶«´ó»á²ÉÓÃÍøÂç»òÆäËû·½Ê½µÄ£¬Ó¦µ±Ôڹɶ«´ó»á֪ͨÖÐÃ÷È·ÔØÃ÷ÍøÂç»òÆäËû·½Ê½µÄ±í¾öʱ¼ä¼°±í¾ö³Ì
Ðò¡£¹É¶«´ó»áÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄ¿ªÊ¼Ê±¼ä£¬²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»áÕÙ¿ªÇ°Ò»ÈÕÏÂÎç 3:00£¬²¢²»µÃ³ÙÓÚ
ÏÖ³¡¹É¶«´ó»áÕÙ¿ªµ±ÈÕÉÏÎç 9:30£¬Æä½áÊøÊ±¼ä²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»á½áÊøµ±ÈÕÏÂÎç 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.
¹ÉȨµÇ¼ÇÈÕÓë»áÒéÈÕÆÚÖ®¼äµÄ¼ä¸ôÓ¦µ±²»¶àÓÚ 7 ¸ö¹¤×÷ÈÕ¡£¹ÉȨµÇ¼ÇÈÕÒ»µ©È·ÈÏ£¬²»µÃ±ä¸ü¡£
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.
µÚ°ËÊ®ÎåÌõ ¹É¶«´ó»áÄâÌÖÂÛ¶Ê¡¢¼àÊÂÑ¡¾ÙÊÂÏîµÄ£¬¹É¶«´ó»á֪ͨÖн«³ä·ÖÅû¶¶Ê¡¢¼àʺòÑ¡È˵ÄÏê
ϸ×ÊÁÏ£¬ÖÁÉÙ°üÀ¨ÒÔÏÂÄÚÈÝ:
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:
34
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ½ÌÓý±³¾°¡¢¹¤×÷¾Àú¡¢¼æÖ°µÈ¸öÈËÇé¿ö;
personal particulars such as educational background, working experience and part-time job;
(¶þ) Óë±¾¹«Ë¾»ò±¾¹«Ë¾µÄ¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈËÊÇ·ñ´æÔÚ¹ØÁª¹ØÏµ;
whether or not the candidate has any connected relationship with the Company or its controlling
shareholders and de facto controllers;
(Èý) Åû¶³ÖÓб¾¹«Ë¾¹É·ÝÊýÁ¿;
disclose the number of shares of the Company held by the candidate;
(ËÄ) ÊÇ·ñÊܹýÖйúÖ¤¼à»á¼°ÆäËûÓйز¿ÃŵĴ¦·£ºÍ֤ȯ½»Ò×Ëù³Í½ä¡£
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;
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£
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.
µÚ°ËÊ®ÁùÌõ ³ý±¾¹«Ë¾Õ³ÌÁíÓй涨Í⣬¹É¶«´ó»á֪ͨӦµ±Ïò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«£¨²»ÂÛÔڹɶ«´ó»áÉÏÊÇ
·ñÓбí¾öȨ£©ÒÔרÈËËͳö»òÕßÒÔÓÊ×ÊÒѸ¶µÄÓʼþËͳö£¬ÊÕ¼þÈ˵ØÖ·ÒԹɶ«Ãû²áµÇ¼ÇµÄµØÖ·Îª×¼¡£¶ÔÄÚ×ʹÉ
¹É¶«£¬¹É¶«´ó»á֪ͨҲ¿ÉÒÔÓù«¸æ·½Ê½½øÐС£
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.
ǰ¿îËù³Æ¹«¸æ£¬Ó¦µ±ÔÚ¹úÎñԺ֤ȯÖ÷¹Ü»ú¹¹Ö¸¶¨µÄÒ»¼Ò»òÕß¶à¼Ò±¨¿¯ÉÏ¿¯µÇ£¬Ò»¾¹«¸æ£¬ÊÓΪËùÓÐÄÚ×ʹÉ
¹É¶«ÒÑÊÕµ½Óйعɶ«»áÒéµÄ֪ͨ¡£
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. 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.
ÔÚ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨²¢ÂÄÐÐÓйع涨³ÌÐòµÄǰ
ÌáÏ£¬¶Ô H shares ¹É¶«£¬¹«Ë¾Ò²¿ÉÒÔͨ¹ýÔÚ¹«Ë¾ÍøÕ¾¼°Ïã¸ÛÁª½»ËùÖ¸¶¨µÄÍøÕ¾ÉÏ·¢²¼µÄ·½Ê½»òÕßÒÔÏã¸Û
ÉÏÊйæÔòÒÔ¼°±¾Õ³ÌÔÊÐíµÄÆäËû·½Ê½·¢³ö¹É¶«´ó»á֪ͨ£¬ÒÔ´úÌæÏò H shares ¹É¶«ÒÔרÈËËͳö»òÕßÒÔÓÊ×Ê
ÒѸ¶ÓʼþµÄ·½Ê½Ëͳö¡£
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,
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.
µÚ°ËÊ®ÆßÌõ ÒòÒâÍâÒÅ©δÏòijÓÐȨµÃµ½Í¨ÖªµÄÈËËͳö»áÒé֪ͨ»òÕ߸õÈÈËûÓÐÊÕµ½»áÒé֪ͨ£¬»áÒé¼°»á
Òé×÷³öµÄ¾öÒé²¢²»Òò´ËÎÞЧ¡£
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.
µÚ°ËÊ®°ËÌõ ·¢³ö¹É¶«´ó»á֪ͨºó£¬ÎÞÕýµ±ÀíÓÉ£¬¹É¶«´ó»á²»Ó¦ÑÓÆÚ»òÈ¡Ïû£¬¹É¶«´ó»á֪ͨÖÐÁÐÃ÷µÄÌá°¸
²»Ó¦È¡Ïû¡£Ò»µ©³öÏÖÑÓÆÚ»òÈ¡ÏûµÄÇéÐΣ¬ÕÙ¼¯ÈËÓ¦µ±ÔÚÔ¶¨ÕÙ¿ªÈÕǰÖÁÉÙ 2 ¸ö¹¤×÷ÈÕ¹«¸æ²¢ËµÃ÷ÔÒò¡£
Article 88 Subsequent to the dispatch of a notice of the general meeting, the general meeting shall not
35
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings
µÚ°ËÊ®¾ÅÌõ ¹«Ë¾¶Ê»áºÍÆäËûÕÙ¼¯È˽«²ÉÈ¡±ØÒª´ëÊ©£¬±£Ö¤¹É¶«´ó»áµÄÕý³£ÖÈÐò¡£¶ÔÓÚ¸ÉÈŹɶ«´ó»á¡¢
Ñ°ÐÆ×ÌʺÍÇÖ·¸¹É¶«ºÏ·¨È¨ÒæµÄÐÐΪ£¬½«²ÉÈ¡´ëÊ©¼ÓÒÔÖÆÖ¹²¢¼°Ê±±¨¸æÓйز¿ÃŲ鴦¡£
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.
µÚ¾ÅÊ®Ìõ ¹ÉȨµÇ¼ÇÈյǼÇÔÚ²áµÄËùÓйɶ« (°üÀ¨Æä´úÀíÈË) £¬¾ùÓÐȨ³öϯ¹É¶«´ó»á£¬²¢ÒÀÕÕÓйط¨ÂÉ¡¢·¨
¹æ¼°±¾Õ³ÌÐÐʹ±í¾öȨ¡£
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.
¹É¶«¿ÉÒÔÇ××Ô³öϯ¹É¶«´ó»á£¬Ò²¿ÉÒÔίÍдúÀíÈË´úΪ³öϯºÍ±í¾ö¡£
Shareholder may either attend the shareholders' general meeting in person or appoint proxy to attend
and vote at such meeting on his behalf.
µÚ¾ÅʮһÌõ ¹É¶«Ó¦µ±ÒÔÊéÃæÐÎʽίÍдúÀíÈË£¬Î¯ÍÐÊéÓÉίÍÐÈËÇ©Êð»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©
Êð; ίÍÐÈËΪ·¨È˵ģ¬Ó¦µ±¼Ó¸Ç·¨ÈËÓ¡Õ»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
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.
¸öÈ˹ɶ«Ç××Ô³öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí·ÝÖ¤»òÆäËûÄܹ»±íÃ÷ÆäÉí·ÝµÄÓÐЧ֤¼þ»òÖ¤Ã÷¡¢¹ÉƱÕË»§¿¨; ί
ÍдúÀíËûÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÓÐЧÉí·ÝÖ¤¼þ¡¢¹É¶«ÊÚȨίÍÐÊé¡£
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.
·¨È˹ɶ«Ó¦ÓÉ·¨¶¨´ú±íÈË»òÕß·¨¶¨´ú±íÈËίÍеĴúÀíÈ˳öϯ»áÒé¡£·¨¶¨´ú±íÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí
·ÝÖ¤¡¢ÄÜÖ¤Ã÷Æä¾ßÓз¨¶¨´ú±íÈË×ʸñµÄÓÐЧ֤Ã÷; ίÍдúÀíÈ˳öϯ»áÒéµÄ£¬´úÀíÈËÓ¦³öʾ±¾ÈËÉí·ÝÖ¤¡¢·¨
È˹ɶ«µ¥Î»µÄ·¨¶¨´ú±íÈËÒÀ·¨³ö¾ßµÄÊéÃæÊÚȨίÍÐÊé¡£
Corporate shareholders shall be represented by its legal representative or proxies authorized by the
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.
µÚ¾ÅÊ®¶þÌõ ÈκÎÓÐȨ³öϯ¹É¶«»áÒé²¢ÓÐȨ±í¾öµÄ¹É¶«£¬ÓÐȨÊéÃæÎ¯ÈÎÒ»ÈË»òÕßÊýÈË (¸ÃÈË¿ÉÒÔ²»Êǹɶ«)
×÷ΪÆä¹É¶«´úÀíÈË£¬´úΪ³öϯºÍ±í¾ö¡£¸Ã¹É¶«´úÀíÈËÒÀÕոùɶ«µÄίÍУ¬¿ÉÒÔÐÐʹÏÂÁÐȨÀû£º
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:
36
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ¸Ã¹É¶«Ôڹɶ«´ó»áÉϵķ¢ÑÔȨ;
the shareholder¡¯s right to speak at the meeting;
(¶þ) ×ÔÐлòÕßÓëËûÈ˹²Í¬ÒªÇóÒÔͶƱ·½Ê½±í¾ö;
the right to demand or join in demand for a poll;
(Èý) ³ý·Ç¸ù¾ÝÊÊÓõÄ֤ȯÉÏÊйæÔò»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨Í⣬ÒÔ¾ÙÊÖ»òÕßͶƱ·½Ê½ÐÐʹ±í¾öȨ£¬
µ«ÊÇίÈεĹɶ«´úÀíÈ˳¬¹ýÒ»ÈËʱ£¬¸ÃµÈ¹É¶«´úÀíÈËÖ»ÄÜÒÔͶƱ·½Ê½ÐÐʹ±í¾öȨ¡£
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.
Èç¸Ã¹É¶«ÎªÈϿɽáËãËù (»òÆä´úÀíÈË) £¬¸Ã¹É¶«¿ÉÒÔÊÚȨÆäÈÏΪºÏÊʵÄÒ»¸ö»òÒÔÉÏÈËÊ¿ÔÚÈκιɶ«´ó»á»ò
ÕßÈκÎÀà±ð¹É¶«»áÒéÉϵ£ÈÎÆä´ú±í; µ«ÊÇ£¬Èç¹ûÒ»ÃûÒÔÉϵÄÈËÊ¿»ñµÃÊÚȨ£¬ÔòÊÚȨÊéÓ¦ÔØÃ÷ÿÃû¸ÃµÈÈËÊ¿
¾´ËÊÚȨËùÉæ¼°µÄ¹É·ÝÊýÄ¿ºÍÖÖÀà¡£¾´ËÊÚȨµÄÈËÊ¿¿ÉÒÔ´ú±íÈϿɽáËãËù (»òÆä´úÀíÈË) ÐÐʹȨÀû£¬Èçͬ
¸ÃÈËÊ¿Êǹ«Ë¾µÄ¸öÈ˹ɶ«¡£
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.
µÚ¾ÅÊ®ÈýÌõ ¹É¶«³ö¾ßµÄίÍÐËûÈ˳öϯ¹É¶«´ó»áµÄÊÚȨίÍÐÊéÓ¦µ±ÔØÃ÷ÏÂÁÐÄÚÈÝ:
Article 93 The authorization letter issued by shareholders to authorize other persons to attend the
general meeting shall clearly state the followings:
(Ò») ´úÀíÈ˵ÄÐÕÃû;
the name of the proxies;
(¶þ) ÊÇ·ñ¾ßÓбí¾öȨ;
whether the proxies have the right to vote;
(Èý) ·Ö±ð¶ÔÁÐÈë¹É¶«´ó»áÒé³ÌµÄÿһÉóÒéÊÂÏîͶÔ޳ɡ¢·´¶Ô»òÆúȨƱµÄָʾ;
instructions to vote for, against or abstain from voting on each of the items in the agenda of the
meeting;
(ËÄ) ίÍÐÊéÇ©·¢ÈÕÆÚºÍÓÐЧÆÚÏÞ;
the signing date and the effective period of the authorization letter;
(Îå) ίÍÐÈË»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©Ãû(»ò¸ÇÕÂ)¡£Î¯ÍÐÈËΪ·¨È˹ɶ«µÄ£¬Ó¦¼Ó¸Ç·¨È˵¥Î»Ó¡ÕÂ
»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
signature (or seal) of the appointing shareholders or the proxies appointed in writing. If the
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.
µÚ¾ÅÊ®ËÄÌõ ÈκÎÓɹ«Ë¾¶Ê»ᷢ¸ø¹É¶«ÓÃÓÚÈÎÃü¹É¶«´úÀíÈ˵ÄίÍÐÊéµÄ¸ñʽ£¬Ó¦µ±Èùɶ«×ÔÓÉÑ¡Ôñָʾ
¹É¶«´úÀíÈËͶÔÞ³ÉÆ±»òÕß·´¶ÔƱ£¬²¢¾Í»áÒéÿÏîÒéÌâËùÒª×÷³ö±í¾öµÄÊÂÏî·Ö±ð×÷³öָʾ¡£Î¯ÍÐÊéÓ¦µ±ËµÃ÷
Èç¹û¹É¶«²»×÷ָʾ£¬¹É¶«´úÀíÈË¿ÉÒÔ°´×Ô¼ºµÄÒâ˼±í¾ö¡£
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.
37
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¾ÅÊ®ÎåÌõ ±í¾ö´úÀíίÍÐÊéÖÁÉÙÓ¦µ±ÔÚ¸ÃίÍÐÊéίÍбí¾öµÄÓйػáÒéÕÙ¿ªÇ°¶þÊ®ËÄСʱ£¬»òÕßÔÚÖ¸¶¨±í
¾öʱ¼äǰ¶þÊ®ËÄСʱ£¬±¸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£´úÀíͶƱÊÚȨίÍÐÊéÓÉί
ÍÐÈËÊÚȨËûÈËÇ©ÊðµÄ£¬ÊÚȨǩÊðµÄÊÚȨÊé»òÕ߯äËûÊÚȨÎļþÓ¦µ±¾¹ý¹«Ö¤¡£¾¹«Ö¤µÄÊÚȨÊé»òÕ߯äËûÊÚȨ
Îļþ£¬ºÍͶƱ´úÀíίÍÐÊé¾ùÐ豸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£
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.
ίÍÐÈËΪ·¨È˵ģ¬ÓÉÆä·¨¶¨´ú±íÈË»òÕß¶Ê»ᡢÆäËû¾ö²ß»ú¹¹¾öÒéÊÚȨµÄÈË×÷Ϊ´ú±í³öϯ¹«Ë¾µÄ¹É¶«´ó»á¡£
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.
µÚ¾ÅÊ®ÁùÌõ ±í¾öǰίÍÐÈËÒѾȥÊÀ¡¢É¥Ê§ÐÐΪÄÜÁ¦¡¢³·»ØÎ¯ÈΡ¢³·»ØÇ©ÊðίÈεÄÊÚȨ»òÕßÓйعɷÝÒѱ»
תÈõģ¬Ö»Òª¹«Ë¾ÔÚÓйػáÒ鿪ʼǰûÓÐÊÕµ½¸ÃµÈÊÂÏîµÄÊéÃæÍ¨Öª£¬Óɹɶ«´úÀíÈËÒÀίÍÐÊéËù×÷³öµÄ±í¾ö
ÈÔÈ»ÓÐЧ¡£
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.
µÚ¾ÅÊ®ÆßÌõ ³öϯ»áÒéÈËÔ±µÄ»áÒéµÇ¼Ç²áÓɹ«Ë¾¸ºÔðÖÆ×÷¡£»áÒéµÇ¼Ç²áÔØÃ÷²Î¼Ó»áÒéÈËÔ±ÐÕÃû(»òµ¥Î»Ãû
³Æ)¡¢Éí·ÝÖ¤ºÅÂ롢סËùµØÖ·¡¢³ÖÓлòÕß´ú±íÓбí¾öȨµÄ¹É·ÝÊý¶î¡¢±»´úÀíÈËÐÕÃû(»òµ¥Î»Ãû³Æ)µÈÊÂÏî¡£
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.
µÚ¾ÅÊ®°ËÌõ ÕÙ¼¯È˺͹«Ë¾Æ¸ÇëµÄÂÉʦ½«ÒÀ¾Ý֤ȯµÇ¼Ç½áËã»ú¹¹¼°¾³Íâ´úÀí»ú¹¹ÌṩµÄ¹É¶«Ãû²á¹²Í¬¶Ô¹É
¶«×ʸñµÄºÏ·¨ÐÔ½øÐÐÑéÖ¤£¬²¢µÇ¼Ç¹É¶«ÐÕÃû(»òÃû³Æ)¼°ÆäËù³ÖÓбí¾öȨµÄ¹É·ÝÊý¡£ÔÚ»áÒéÖ÷ϯÐû²¼ÏÖ³¡³ö
ϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý֮ǰ£¬»áÒéµÇ¼ÇÓ¦µ±ÖÕÖ¹¡£
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
meeting announces the number of shareholders and proxies attending the meeting and the total number
of voting shares they hold.
µÚ¾ÅÊ®¾ÅÌõ ¹É¶«´ó»áÕÙ¿ªÊ±£¬±¾¹«Ë¾È«Ìå¶Ê¡¢¼àʺͶÊ»áÃØÊéÓ¦µ±³öϯ»áÒ飬×ܾÀíºÍÆäËû¸ß¼¶¹Ü
ÀíÈËÔ±Ó¦µ±ÁÐϯ»áÒé¡£
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.
µÚÒ»°ÙÌõ ¹É¶«´ó»á»áÒéÓɶÊ»áÕÙ¼¯µÄ£¬Óɶʳ¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ¡£¶Ê³¤Òò¹Ê²»Äܳöϯ»áÒéµÄ£¬
Óɸ±¶Ê³¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; ¶Ê³¤ºÍ¸±¶Ê³¤¾ùÎÞ·¨³öϯ»áÒéµÄ£¬¶Ê³¤¿ÉÒÔÖ¸¶¨Ò»Ãû¹«Ë¾¶Ê´ú
ÆäÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; δָ¶¨»áÒéÖ÷ϯµÄ£¬³öϯ»áÒéµÄ¹É¶«¿ÉÒÔÑ¡¾ÙÒ»È˵£ÈÎÖ÷ϯ; Èç¹ûÒòÈκÎÀíÓÉ£¬
¹É¶«ÎÞ·¨Ñ¡¾ÙÖ÷ϯ£¬Ó¦µ±Óɳöϯ»áÒéµÄ³ÖÓÐ×î¶à±í¾öȨ¹É·ÝµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) µ£ÈλáÒéÖ÷ϯ¡£
Article 100 The Board of Directors shall convene and the Chairman of the Board of Directors shall chair
38
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¼àÊ»á×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓɼàÊ»áÖ÷ϯµ£ÈλáÒéÖ÷ϯ¡£¼àÊ»áÖ÷ϯ²»ÄÜÂÄÐÐÖ°Îñ»ò²»ÂÄÐÐÖ°Îñʱ£¬ÓÉ
°ëÊýÒÔÉϼàʹ²Í¬ÍƾٵÄÒ»Ãû¼àʵ£ÈλáÒéÖ÷ϯ¡£
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.
¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓÉÕÙ¼¯ÈËÍÆ¾Ù´ú±íµ£ÈλáÒéÖ÷ϯ¡£
The shareholders¡¯ general meeting convened by shareholders on their own initiative shall be presided
over by the representative nominated by the convener.
ÕÙ¿ª¹É¶«´ó»áʱ£¬»áÒéÖ÷ϯΥ·´ÒéʹæÔòʹ¹É¶«´ó»áÎÞ·¨¼ÌÐø½øÐе쬾ÏÖ³¡³öϯ¹É¶«´ó»áÓбí¾öȨ¹ý°ë
ÊýµÄ¹É¶«Í¬Ò⣬¹É¶«´ó»á¿ÉÍÆ¾ÙÒ»È˵£ÈλáÒéÖ÷ϯ£¬¼ÌÐø¿ª»á¡£
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.
µÚÒ»Áã°ÙÒ»Ìõ ¹«Ë¾Öƶ¨¹É¶«´ó»áÒéʹæÔò£¬Ïêϸ¹æ¶¨¹É¶«´ó»áµÄÕÙ¿ªºÍ±í¾ö³ÌÐò£¬°üÀ¨Í¨Öª¡¢µÇ¼Ç¡¢Ìá
°¸µÄÉóÒ顢ͶƱ¡¢¼ÆÆ±¡¢±í¾ö½á¹ûµÄÐû²¼¡¢»áÒé¾öÒéµÄÐγɡ¢»áÒé¼Ç¼¼°ÆäÇ©Êð¡¢¹«¸æµÈÄÚÈÝ£¬ÒÔ¼°¹É¶«
´ó»á¶Ô¶Ê»áµÄÊÚȨÔÔò£¬ÊÚȨÄÚÈÝÓ¦Ã÷È·¾ßÌå¡£¹É¶«´ó»áÒéʹæÔòÓ¦×÷ΪÕ³̵ĸ½¼þ£¬ÓɶÊ»áÄⶨ£¬
¹É¶«´ó»áÅú×¼¡£
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.
µÚÒ»°ÙÁã¶þÌõ ÔÚÄê¶È¹É¶«´ó»áÉÏ£¬¶Ê»ᡢ¼àÊ»áÓ¦µ±¾ÍÆä¹ýÈ¥ 1 ÄêµÄ¹¤×÷Ïò¹É¶«´ó»á×÷³ö±¨¸æ¡£Ã¿Ãû
¶ÀÁ¢¶ÊÂÒ²Ó¦×÷³öÊöÖ°±¨¸æ¡£
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.
µÚÒ»°ÙÁãÈýÌõ ¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ôڹɶ«´ó»áÉϾ͹ɶ«µÄÖÊѯºÍ½¨Òé×÷³ö½âÊͺÍ˵Ã÷¡£
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.
µÚÒ»°ÙÁãËÄÌõ »áÒéÖ÷ϯӦµ±ÔÚ±í¾öǰÐû²¼ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×Ü
Êý£¬ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊýÒÔ»áÒéµÇ¼ÇΪ׼¡£
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
39
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÁãÎåÌõ ¹É¶«´ó»áÓ¦ÓлáÒé¼Ç¼£¬ÓɶÊ»áÃØÊ鸺Ôð¡£»áÒé¼Ç¼¼ÇÔØÒÔÏÂÄÚÈÝ:
Article 105 Minutes of shareholders¡¯ general meetings shall be recorded by the secretary to the Board.
The minutes shall contain the following items:
(Ò») »áÒéʱ¼ä¡¢µØµã¡¢Òé³ÌºÍÕÙ¼¯ÈËÐÕÃû»òÃû³Æ;
the date, place and agenda of the meeting, and the name of the convener;
(¶þ) »áÒéÖ÷ϯÒÔ¼°³öϯ»òÁÐϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû;
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;
(Èý) ³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾¹É·Ý×ÜÊýµÄ±ÈÀý;
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;
(ËÄ) ¶ÔÿһÌá°¸µÄÉóÒé¾¹ý¡¢·¢ÑÔÒªµãºÍ±í¾ö½á¹û;
the discussions in respect of each proposal, highlights of the speeches made at the meeting and
the results of voting;
(Îå) ¹É¶«µÄÖÊѯÒâ¼û»ò½¨ÒéÒÔ¼°ÏàÓ¦µÄ´ð¸´»ò˵Ã÷;
details of the queries or recommendations of the shareholders, and the corresponding answers or
explanations;
(Áù) ÂÉʦ¼°¼ÆÆ±ÈË¡¢¼àƱÈËÐÕÃû;
the name of lawyers, counting officers and scrutinizers;
(Æß) ±¾Õ³̹涨Ӧµ±ÔØÈë»áÒé¼Ç¼µÄÆäËûÄÚÈÝ¡£
such other matters which shall be recorded in the minutes of the meeting in accordance with the
provisions of the Articles of Association.
µÚÒ»°ÙÁãÁùÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤»áÒé¼Ç¼ÄÚÈÝÕæÊµ¡¢×¼È·ºÍÍêÕû¡£³öϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢¶Ê»áÃØÊé¡¢
ÕÙ¼¯ÈË»òÆä´ú±í¡¢»áÒéÖ÷ϯӦµ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£»áÒé¼Ç¼Ӧµ±ÓëÏÖ³¡³öϯ¹É¶«µÄÇ©Ãû²á¼°´úÀí³öϯµÄ
ίÍÐÊé¡¢ÍøÂç¼°ÆäËû·½Ê½±í¾öÇé¿öµÄÓÐЧ×ÊÁÏÒ»²¢±£´æ£¬±£´æÆÚÏÞ²»ÉÙÓÚ 10 Äê¡£
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
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.
µÚÒ»°ÙÁãÆßÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤¹É¶«´ó»áÁ¬Ðø¾ÙÐУ¬Ö±ÖÁÐγÉ×îÖÕ¾öÒé¡£Òò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«
´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéµÄ£¬Ó¦²ÉÈ¡±ØÒª´ëÊ©¾¡¿ì»Ö¸´ÕÙ¿ª¹É¶«´ó»á»òÖ±½ÓÖÕÖ¹±¾´Î¹É¶«´ó»á£¬²¢¼°Ê±¹«
¸æ¡£Í¬Ê±£¬ÕÙ¼¯ÈËÓ¦Ïò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»áÅɳö»ú¹¹¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¨¸æ¡£
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.
40
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting
µÚÒ»°ÙÁã°ËÌõ ¹É¶«´ó»á¾öÒé·ÖΪÆÕͨ¾öÒéºÍÌØ±ð¾öÒé¡£
Article 108 Resolutions of shareholders¡¯ general meeting shall be divided into ordinary resolutions and
special resolutions.
¹É¶«´ó»á×÷³öÆÕͨ¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 1/2 ÒÔÉÏͨ¹ý¡£
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.
¹É¶«´ó»á×÷³öÌØ±ð¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ¹ý¡£
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.
µÚÒ»°ÙÁã¾ÅÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÆÕͨ¾öÒéͨ¹ý£º
Article 109 The following matters shall be resolved by an ordinary resolution at a shareholders¡¯ general
meeting:
(Ò») ¶Ê»áºÍ¼àÊ»áµÄ¹¤×÷±¨¸æ;
work reports of the Board of Directors and the Board of Supervisors;
(¶þ) ¶Ê»áÄⶨµÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
profit distribution plans and loss recovery plans formulated by the Board of Directors;
(Èý) ¶Ê»áºÍ¼àÊ»á³ÉÔ±µÄÈÎÃâ¼°Æä±¨³êºÍÖ§¸¶·½·¨;
appointment and dismissal of members of the Board of Directors and members of the Board of
Supervisors, their remuneration and manner of payment;
(ËÄ) ¹«Ë¾Äê¶ÈÔ¤Ë㱨¸æ¡¢¾öË㱨¸æ¡¢×ʲú¸ºÕ®±í¡¢ÀûÈó±í¼°ÆäËü²ÆÎñ±¨±í;
preliminary and final annual budgets, balance sheets, profit accounts, and other financial
statements of the Company;
(Îå) ¹«Ë¾Äê¶È±¨¸æ;
annual report of the Company;
(Áù) ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨Ó¦µ±ÒÔÌØ±ð¾öÒéͨ¹ý
ÒÔÍâµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÌØ±ð¾öÒéͨ¹ý£º
Article 110 The following matters shall be resolved by a special resolution at a shareholders¡¯ general
meeting:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
the increase or reduction in registered capital of the Company;
(¶þ) ·¢ÐÐÈκÎÖÖÀà¹ÉƱ¡¢ÈϹÉÖ¤ºÍÆäËüÀàËÆÖ¤È¯;
the issue of shares of any class, warrants and other similar securities;
(Èý) ·¢Ðй«Ë¾Õ®È¯;
the issue of debentures of the Company;
(ËÄ) ¹«Ë¾µÄ·ÖÁ¢¡¢ºÏ²¢¡¢½âÉ¢ºÍÇåËã;
the division, merger, dissolution and liquidation of the Company;
41
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) Ð޸ı¾Õ³Ì;
the amendment of the Company¡¯s Articles of Association;
(Áù) ¹«Ë¾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú»òÕßµ£±£½ð¶î³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%µÄ;
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;
(Æß) ¹ÉȨ¼¤Àø¼Æ»®;
any equity-based incentive plan;
(°Ë) ¹«Ë¾µ÷ÕûÀûÈó·ÖÅäÕþ²ß
the profit distribution policy under adjustment of the Company;
(¾Å) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨µÄ£¬ÒÔ¼°¹É¶«´ó»áÒÔ
ÆÕͨ¾öÒéÈ϶¨»á¶Ô¹«Ë¾²úÉúÖØ´óÓ°ÏìµÄ¡¢ÐèÒªÒÔÌØ±ð¾öÒéͨ¹ýµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮһÌõ ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) ÒÔÆäËù´ú±íµÄÓбí¾öȨµÄ¹É·ÝÊý¶îÐÐʹ±í¾öȨ£¬³ý±¾¹«Ë¾Õ³̵Ú
Ò»°ÙһʮÆßÌõÍ⣬ÿһ¹É·ÝÏíÓÐһƱ±í¾öȨ¡£
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.
¹É¶«´ó»áÉóÒéÓ°ÏìÖÐСͶ×ÊÕßÀûÒæµÄÖØ´óÊÂÏîʱ£¬¶ÔÖÐСͶ×ÊÕß±í¾öÓ¦µ±µ¥¶À¼ÆÆ±¡£µ¥¶À¼ÆÆ±½á¹ûÓ¦µ±¼°
ʱ¹«¿ªÅû¶¡£
Where significant matters affecting the interests of minority investors are considered in general meeting,
the votes cast by minority investors shall be counted separately. The result of such separate
vote-counting shall be disclosed promptly to the public.
¹«Ë¾³ÖÓеı¾¹«Ë¾¹É·ÝûÓбí¾öȨ£¬ÇҸò¿·Ö¹É·Ý²»¼ÆÈë³öϯ¹É¶«´ó»áÓбí¾öȨµÄ¹É·Ý×ÜÊý¡£
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.
¶Ê»ᡢ¶ÀÁ¢¶ÊºͷûºÏÏà¹Ø¹æ¶¨Ìõ¼þµÄ¹É¶«¿ÉÒÔÕ÷¼¯¹É¶«Í¶Æ±È¨¡£Õ÷¼¯¹É¶«Í¶Æ±È¨Ó¦µ±Ïò±»Õ÷¼¯È˳ä·Ö
Åû¶¾ßÌåͶƱÒâÏòµÈÐÅÏ¢¡£½ûÖ¹ÒÔÓг¥»òÕß±äÏàÓг¥µÄ·½Ê½Õ÷¼¯¹É¶«Í¶Æ±È¨¡£¹«Ë¾²»µÃ¶ÔÕ÷¼¯Í¶Æ±È¨Ìá³ö
×îµÍ³Ö¹É±ÈÀýÏÞÖÆ¡£
The Board, Independent Directors and shareholders who are qualified under the relevant conditions may
collect from other shareholders the rights to vote. Information including the specific voting intention shall
be fully disclosed to the shareholders from whom voting rights are being collected. Consideration or de
facto consideration for collecting shareholders¡¯ voting rights is prohibited. The Company shall not impose
any minimum shareholding limitation for collecting voting rights.
µÚÒ»°Ùһʮ¶þÌõ ¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«²»Ó¦µ±²ÎÓëͶƱ±í¾ö£¬ÆäËù´ú±íµÄÓбí¾ö
ȨµÄ¹É·ÝÊý²»¼ÆÈëÓÐЧ±í¾ö×ÜÊý; ¹É¶«´ó»á¾öÒéµÄ¹«¸æÓ¦µ±³ä·ÖÅû¶·Ç¹ØÁª¹É¶«µÄ±í¾öÇé¿ö¡£¹ØÁª¹É¶«µÄ
¶¨ÒåºÍ·¶Î§¸ù¾Ý¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¼°Ö¤È¯½»Ò×ËùµÄÏà¹Ø¹æ¶¨È·¶¨¡£
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
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
42
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«Ó¦Ö÷¶¯Ïò¹É¶«´ó»áÉêÃ÷¹ØÁª¹ØÏµ²¢»Ø±Ü±í¾ö¡£¹É¶«Ã»ÓÐÖ÷¶¯
˵Ã÷¹ØÁª¹ØÏµ²¢»Ø±ÜµÄ£¬ÆäËû¹É¶«¿ÉÒÔÒªÇóÆä˵Ã÷Çé¿ö²¢»Ø±Ü¡£
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.
¹É¶«´ó»á½áÊøºó£¬ÆäËû¹É¶«·¢ÏÖÓйØÁª¹É¶«²ÎÓëÓйعØÁª½»Ò×ÊÂÏîͶƱµÄ£¬»òÕ߹ɶ«¶ÔÊÇ·ñÓ¦ÊÊÓûرÜÓÐ
ÒìÒéµÄ£¬ÓÐȨ¾ÍÏà¹Ø¾öÒé¸ù¾Ý±¾Õ³̵ÄÓйع涨ÏòÈËÃñ·¨ÔºÆðËß¡£
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.
¹«Ë¾ÄâÓë¹ØÁª·¨ÈË·¢ÉúµÄ½ð¶î¸ßÓÚÈËÃñ±Ò 3000 ÍòÔª£¬ÇÒÕ¼¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲú¾ø¶ÔÖµ 5%ÒÔÉϵÄ
¹ØÁª½»Ò×Ó¦Óɹɶ«´ó»áÌÖÂÛ¾ö¶¨£¬Î©ÈôÆäËûÊÊÓõÄÏã¸Û·¨ÂÉ¡¢·¨¹æ¡¢¹æÔòÁíÓй涨£¬ÔòÐèÒª°´Õոõȷ¨ÂÉ¡¢
·¨¹æ¡¢¹æÔòµÄÒªÇóÖ´ÐС£
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.
µÚÒ»°ÙһʮÈýÌõ »áÒéÖ÷ϯ¸ºÔð¾ö¶¨¹É¶«´ó»áµÄ¾öÒéÊÇ·ñͨ¹ý£¬Æä¾ö¶¨ÎªÖÕ¾Ö¾ö¶¨£¬²¢Ó¦µ±ÔÚ»áÉÏÐû²¼ºÍ
ÔØÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°ÙһʮËÄÌõ ¹«Ë¾Ó¦ÔÚ±£Ö¤¹É¶«´ó»áºÏ·¨¡¢ÓÐЧµÄǰÌáÏ£¬Í¨¹ý¸÷ÖÖ·½Ê½ºÍ;¾¶£¬°üÀ¨Ìá¹©ÍøÂçÐÎʽ
µÄͶƱƽ̨µÈÏÖ´úÐÅÏ¢¼¼ÊõÊֶΣ¬Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ±ãÀû¡£
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.
µÚÒ»°ÙһʮÎåÌõ ³ý¹«Ë¾´¦ÓÚΣ»úµÈÌØÊâÇé¿öÍ⣬·Ç¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾½«²»Óë¶Ê¡¢×ܾ
ÀíºÍÆäËü¸ß¼¶¹ÜÀíÈËÔ±ÒÔÍâµÄÈ˶©Á¢½«¹«Ë¾È«²¿»òÕßÖØÒªÒµÎñµÄ¹ÜÀí½»Óè¸ÃÈ˸ºÔðµÄºÏͬ¡£
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.
µÚÒ»°ÙһʮÁùÌõ ¶Ê¡¢¼àʺòÑ¡ÈËÃûµ¥ÒÔÌá°¸µÄ·½Ê½ÌáÇë¹É¶«´ó»á±í¾ö¡£
Article 116 The list of candidates for Directors or supervisors shall be proposed to the shareholders¡¯
general meeting for votes.
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£¶Ê»áÓ¦µ±Ïò¹É¶«¹«
¸æ¶Ê¡¢¼àʺòÑ¡È˵ļòÀúºÍ»ù±¾Çé¿ö¡£
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. The Board of
43
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Directors shall announce the resumes and basic information of these candidates for Directors or
supervisors.
¶Ê¡¢¼àʵÄÌáÃû·½Ê½ºÍ³ÌÐòÈçÏ£º
The means and procedure of nomination for Directors and Supervisors shall be:
(Ò») ¶Ê»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÌá³ö·Ç¶ÀÁ¢¶ÊºòÑ¡È˵ÄÌáÃû£¬¶
Ê»á¾Õ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
The Board and shareholders individually or jointly holding not less than 3% of the Company¡¯s
shares 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.
(¶þ) ¼àÊ»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÌá³ö¹É¶«´ú±íµ£ÈεļàʺòÑ¡È˵ÄÌáÃû£¬¾
¼àÊ»áÕ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
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.
(Èý) ¶ÀÁ¢¶ÊµÄÌáÃû·½Ê½ºÍ³ÌÐòÓ¦°´ÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµÄÓйع涨ִÐС£
The means and procedure of nomination for Independent Director shall be in compliance with
relevant provisions of laws, administrative regulations and department rules.
µÚÒ»°ÙһʮÆßÌõ ¹É¶«´ó»á¾ÍÑ¡¾Ù¶Ê¡¢¼àʽøÐбí¾öʱ£¬¸ù¾Ý±¾Õ³̵Ĺ涨»òÕ߹ɶ«´ó»áµÄ¾öÒ飬¿ÉÒÔ
ʵÐÐÀÛ»ýÍ¶Æ±ÖÆ£¬¼´¹É¶«´ó»áÑ¡¾Ù¶Ê»òÕß¼àÊÂʱ£¬Ã¿Ò»¹É·ÝÓµÓÐÓëӦѡ¶Ê»òÕß¼àÊÂÈËÊýÏàͬµÄ±í¾öȨ£¬
¹É¶«ÓµÓеıí¾öȨ¿ÉÒÔ¼¯ÖÐʹÓ᣹«Ë¾µÚÒ»´ó¹É¶«µÄ¹ÉȨ±ÈÀýΪ 30%ÒÔÉÏ£¬»òÑ¡¾ÙµÄ¶Ê¡¢¼àÊÂΪ 2 ÃûÒÔ
ÉÏʱ£¬Ó¦µ±²ÉÓÃÀÛ»ýÍ¶Æ±ÖÆ¡£
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.
ÀÛ»ýÍ¶Æ±ÖÆµÄ¾ßÌå²Ù×÷³ÌÐòÈçÏ£º
The cumulative voting system shall be operated as:
(Ò») ¹«Ë¾¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂÓ¦·Ö¿ªÑ¡¾Ù£¬·Ö¿ªÍ¶Æ±¡£
separate election and voting for Independent Director, non-independent Directors and Supervisors.
(¶þ) Ñ¡¾Ù¶ÀÁ¢¶ÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ¶ÀÁ¢¶ÊÂÈË
ÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ¶ÀÁ¢¶ÊºòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
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.
(Èý) Ñ¡¾Ù·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ·Ç
¶ÀÁ¢¶Ê¡¢¼àÊÂÈËÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ·Ç¶ÀÁ¢¶Ê¡¢¼àʺòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
During the election of non-independent Directors and supervisors, the number of votes for each
shareholder shall be the number of shares held by him multiplied by the number of the
44
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
(ËÄ) ÔÚºòÑ¡ÈËÊý¶àÓÚ±¾Õ³̹涨µÄÈËÊýʱ£¬Ã¿Î»¹É¶«Í¶Æ±ËùÑ¡µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý²»
µÃ³¬¹ý±¾Õ³̹涨µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý£¬ËùͶѡƱÊýµÄ×ܺͲ»µÃ³¬¹ý¹É¶«ÓÐȨȡ
µÃµÄѡƱÊý£¬·ñÔò¸ÃѡƱ×÷·Ï¡£
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.
(Îå) ¹É¶«´ó»áµÄ¼àƱÈËºÍµãÆ±È˱ØÐëÈÏÕæºË¶ÔÉÏÊöÇé¿ö£¬ÒÔ±£Ö¤ÀÛ»ýͶƱµÄ¹«Õý¡¢ÓÐЧ¡£
counting officers and scrutinizers of the shareholders¡¯ general meeting shall carefully check the
aforesaid circumstances to guarantee fair and effective accumulative voting
µÚÒ»°Ùһʮ°ËÌõ ³ýÀÛ»ýÍ¶Æ±ÖÆÍ⣬¹É¶«´ó»á½«¶ÔËùÓÐÌá°¸½øÐÐÖðÏî±í¾ö£¬¶ÔͬһÊÂÏîÓв»Í¬Ìá°¸µÄ£¬½«
°´Ìá°¸Ìá³öµÄʱ¼ä˳Ðò½øÐбí¾ö¡£³ýÒò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéÍ⣬¹É¶«´ó
»á½«²»»á¶ÔÌá°¸½øÐиéÖûò²»Óè±í¾ö¡£
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.
µÚÒ»°Ùһʮ¾ÅÌõ ¹É¶«´ó»áÉóÒéÌ᰸ʱ£¬²»»á¶ÔÌá°¸½øÐÐÐ޸쬷ñÔò£¬Óйرä¸üÓ¦µ±±»ÊÓΪһ¸öеÄÌá°¸£¬
²»ÄÜÔÚ±¾´Î¹É¶«´ó»áÉϽøÐбí¾ö¡£
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.
µÚÒ»°Ù¶þÊ®Ìõ ͬһ±í¾öȨֻÄÜÑ¡ÔñÏÖ³¡¡¢ÍøÂç»òÆäËû±í¾ö·½Ê½ÖеÄÒ»ÖÖ¡£Í¬Ò»±í¾öȨ³öÏÖÖØ¸´±í¾öµÄÒÔ
µÚÒ»´ÎͶƱ½á¹ûΪ׼¡£
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.
µÚÒ»°Ù¶þʮһÌõ ¹É¶«´ó»áÒÔÏÖ³¡±í¾öµÄ·½Ê½½øÐÐʱ£¬³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄ
Ïà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨£¬»ò³ý·ÇÏÂÁÐÈËÔ±ÔÚ¾ÙÊÖ±í¾öÒÔǰ»òÕßÒÔºó£¬Òª
ÇóÒÔͶƱ·½Ê½±í¾ö£¬¹É¶«´ó»áÒÔ¾ÙÊÖ·½Ê½½øÐбí¾ö£º
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:
(Ò») »áÒéÖ÷ϯ;
by the chairman of the meeting;
(¶þ) ÖÁÉÙÁ½ÃûÓбí¾öȨµÄ¹É¶«»òÕßÓбí¾öȨµÄ¹É¶«µÄ´úÀíÈË;
by at least two (2) shareholders present in person or by proxy entitled to vote thereat;
(Èý) µ¥¶À»òÕߺϲ¢¼ÆËã³ÖÓÐÔڸûáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÒ»¸ö»òÕßÈô¸É¹É
¶« (°üÀ¨¹É¶«´úÀíÈË) ¡£
by one (1) or more shareholders present in person or by proxy representing 10% or more of all
45
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
shares carrying the right to vote at the meeting, before or after a vote is carried out by a show of
hands.
³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄÏà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓйæ
¶¨£¬»òÓÐÈ˰´ÕÕǰÊö¹æ¶¨Ìá³öÒÔͶƱ·½Ê½±í¾ö£¬»áÒéÖ÷ϯ¸ù¾Ý¾ÙÊÖ±í¾öµÄ½á¹û£¬Ðû²¼ÌáÒéͨ¹ýÇé¿ö£¬²¢½«
´Ë¼ÇÔØÔÚ»áÒé¼Ç¼ÖУ¬×÷Ϊ×îÖÕµÄÒÀ¾Ý£¬ÎÞÐëÖ¤Ã÷¸Ã»áÒéͨ¹ýµÄ¾öÒéÖÐÖ§³Ö»òÕß·´¶ÔµÄƱÊý»òÕ߯ä±ÈÀý¡£
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.
ÒÔͶƱ·½Ê½±í¾öµÄÒªÇó¿ÉÒÔÓÉÌá³öÕß³·»Ø¡£
The demand for a poll may be withdrawn by the person who demanded the same.
µÚÒ»°Ù¶þÊ®¶þÌõ Èç¹ûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏîÊÇÑ¡¾ÙÖ÷ϯ»òÕßÖÐÖ¹»áÒ飬ÔòÓ¦µ±Á¢¼´½øÐÐͶƱ±í¾ö; Æä
ËûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏÓÉÖ÷ϯ¾ö¶¨ºÎʱ¾ÙÐÐͶƱ£¬»áÒé¿ÉÒÔ¼ÌÐø½øÐУ¬ÌÖÂÛÆäËûÊÂÏͶƱ½á¹û
ÈÔ±»ÊÓΪÔڸûáÒéÉÏËùͨ¹ýµÄ¾öÒé¡£
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.
µÚÒ»°Ù¶þÊ®ÈýÌõ ÔÚ¹ÉÆ±±í¾öʱ£¬ÓÐÁ½Æ±»òÕßÁ½Æ±ÒÔÉϵıí¾öȨµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) £¬²»±Ø°ÑËùÓбí
¾öȨȫ²¿Í¶ÔÞ³ÉÆ±»òÕß·´¶ÔƱ¡£
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.
µÚÒ»°Ù¶þÊ®ËÄÌõ µ±·´¶ÔºÍÔÞ³ÉÆ±ÏàµÈʱ£¬ÎÞÂÛÊǾÙÊÖ¡¢Í¶Æ±»¹ÊÇÆäËû·½Ê½±í¾ö£¬»áÒéÖ÷ϯÓÐȨ¶àͶһƱ¡£
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.
µÚÒ»°Ù¶þÊ®ÎåÌõ ¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öǰ£¬Ó¦µ±ÍƾÙÁ½Ãû¹É¶«´ú±í²Î¼Ó¼ÆÆ±ºÍ¼àƱ¡£ÉóÒéÊÂÏîÓë¹É¶«
ÓÐÀûº¦¹ØÏµµÄ£¬Ïà¹Ø¹É¶«¼°´úÀíÈ˲»µÃ²Î¼Ó¼ÆÆ±¡¢¼àƱ¡£
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.
¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öʱ£¬Ó¦µ±ÓÉÂÉʦ¡¢¹É¶«´ú±íÓë¼àÊ´ú±í¹²Í¬¸ºÔð¼ÆÆ±¡¢¼àƱ£¬²¢µ±³¡¹«²¼±í¾ö½á
¹û£¬¾öÒéµÄ±í¾ö½á¹ûÔØÈë»áÒé¼Ç¼¡£
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.
ͨ¹ýÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄÉÏÊй«Ë¾¹É¶«»òÆä´úÀíÈË£¬ÓÐȨͨ¹ýÏàÓ¦µÄͶƱϵͳ²éÑé×Ô¼ºµÄͶƱ½á¹û¡£
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.
µÚÒ»°Ù¶þÊ®ÁùÌõ ¹É¶«´ó»áÏÖ³¡½áÊøÊ±¼ä²»µÃÔçÓÚÍøÂç»òÆäËû·½Ê½£¬»áÒéÖ÷ϯӦµ±Ðû²¼Ã¿Ò»Ìá°¸µÄ±í¾öÇé
¿öºÍ½á¹û£¬²¢¸ù¾Ý±í¾ö½á¹ûÐû²¼Ìá°¸ÊÇ·ñͨ¹ý¡£
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
46
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
results of each resolution. He shall also announce whether the resolutions have been passed according
to the voting results.
ÔÚÕýʽ¹«²¼±í¾ö½á¹ûǰ£¬¹É¶«´ó»áÏÖ³¡¡¢ÍøÂç¼°ÆäËû±í¾ö·½Ê½ÖÐËùÉæ¼°µÄÉÏÊй«Ë¾¡¢¼ÆÆ±ÈË¡¢¼àƱÈË¡¢Ö÷
Òª¹É¶«¡¢ÍøÂç·þÎñ·½µÈÏà¹Ø¸÷·½¶Ô±í¾öÇé¿ö¾ù¸ºÓб£ÃÜÒåÎñ¡£
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.
µÚÒ»°Ù¶þÊ®ÆßÌõ ³öϯ¹É¶«´ó»áµÄ¹É¶«£¬Ó¦µ±¶ÔÌá½»±í¾öµÄÌá°¸·¢±íÒÔÏÂÒâ¼ûÖ®Ò»£ºÍ¬Òâ¡¢·´¶Ô»òÆúȨ¡£
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.
δÌî¡¢´íÌî¡¢×Ö¼£ÎÞ·¨±æÈϵıí¾öƱ¡¢Î´Í¶µÄ±í¾öƱ¾ùÊÓΪͶƱÈË·ÅÆú±í¾öȨÀû£¬ÆäËù³Ö¹É·ÝÊýµÄ±í¾ö½á
¹ûÓ¦¼ÆÎª¡°ÆúȨ¡±¡£
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¡±.
Èç¸ù¾ÝÊÊÓõķ¨ÂÉ·¨¹æ¼°¹«Ë¾¹ÉƱÉÏÊеĽ»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨£¬Èκιɶ«Ðë¾ÍijÒé°¸·ÅÆú±í¾öȨ£¬»òÏÞ
ÖÆÈκιɶ«Ö»Äܹ»Í¶Æ±ÔÞ³É (»ò·´¶Ô) ijÒé°¸£¬ÈçÓÐÈκÎÎ¥·´Ïà¹Ø¹æ¶¨»òÏÞÖÆµÄÇé¿ö£¬Óɸõȹɶ«»òÆä´ú
±íͶÏÂµÄÆ±Êý²»µÃ¼ÆËãÔÚÄÚ¡£
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.
µÚÒ»°Ù¶þÊ®°ËÌõ »áÒéÖ÷ϯÈç¹û¶ÔÌá½»±í¾öµÄ¾öÒé½á¹ûÓÐÈκλ³ÒÉ£¬¿ÉÒÔ¶ÔËùͶƱÊý×éÖ¯µãƱ; Èç¹û»áÒéÖ÷
ϯδ½øÐÐµãÆ±£¬³öϯ»áÒéµÄ¹É¶«»òÕ߹ɶ«´úÀíÈ˶ԻáÒéÖ÷ϯÐû²¼½á¹ûÓÐÒìÒéµÄ£¬ÓÐȨÔÚÐû²¼±í¾ö½á¹ûºóÁ¢
¼´ÒªÇóµãƱ£¬»áÒéÖ÷ϯӦµ±Á¢¼´×éÖ¯µãƱ¡£¹É¶«´ó»áÈç¹û½øÐÐµãÆ±£¬µãƱ½á¹ûÓ¦µ±¼ÇÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°Ù¶þÊ®¾ÅÌõ »áÒé¼Ç¼Á¬Í¬³öϯ¹É¶«µÄÇ©Ãû²¾¼°´úÀí³öϯµÄίÍÐÊ飬Ӧµ±ÔÚ¹«Ë¾×¡Ëù±£´æ¡£
Article 129 The minutes, shareholders¡¯ attendance lists and proxy forms shall be kept at the Company's
place of residence.
µÚÒ»°ÙÈýÊ®Ìõ ¹É¶«¿ÉÒÔÔÚ¹«Ë¾°ì¹«Ê±¼äÃâ·Ñ²éÔÄ»áÒé¼Ç¼¸´Ó¡¼þ¡£Èκιɶ«Ïò¹«Ë¾Ë÷È¡ÓйػáÒé¼Ç¼µÄ
¸´Ó¡¼þ£¬¹«Ë¾Ó¦µ±ÔÚÊÕµ½ºÏÀí·ÑÓúóÆßÈÕÄڰѸ´Ó¡¼þËͳö¡£
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.
µÚÒ»°ÙÈýʮһÌõ ¹É¶«´ó»á¾öÒéÓ¦µ±¼°Ê±¹«¸æ£¬¹«¸æÖÐÓ¦ÁÐÃ÷³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³Ö
Óбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾Óбí¾öȨ¹É·Ý×ÜÊýµÄ±ÈÀý¡¢±í¾ö·½Ê½¡¢Ã¿ÏîÌá°¸µÄ±í¾ö½á¹ûºÍͨ¹ýµÄ¸÷Ïî¾ö
ÒéµÄÏêϸÄÚÈÝ¡£
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,
47
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¹«¸æ»¹Ó¦µ±°üÀ¨(i)ʹÆä³ÖÓÐÈËÓÐȨ³öϯ´ó»á²¢ÓÚ»áÉϱí¾öÔ޳ɻò·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (ii)ʹÆä³ÖÓÐÈËÓÐ
Ȩ³öϯ´ó»áµ«Ö»¿ÉÓÚ»áÉϱí¾ö·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (iii) ÓйؾöÒ鰸ʵ¼ÊËùµÃÔ޳ɼ°·´¶ÔƱÊýËù·Ö±ð´ú
±íµÄ¹ÉÊý¡£¶øÇÒ£¬¹«Ë¾²¢ÐëÔÚ¹«¸æÖÐÈ·ÈÏÄÇÐ©Ôø±íʾ´òËã±í¾ö·´¶ÔÓйؾöÒé°¸»ò·ÅÆú±í¾öȨµÄÈËÊ¿Ôڹɶ«
´ó»áÉÏÊÇ·ñȷʵ°´¶øÐÐÊ¡£
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).
µÚÒ»°ÙÈýÊ®¶þÌõ Ì᰸δ»ñͨ¹ý£¬»òÕß±¾´Î¹É¶«´ó»á±ä¸üǰ´Î¹É¶«´ó»á¾öÒéµÄ£¬Ó¦µ±Ôڹɶ«´ó»á¾öÒ鹫¸æ
ÖÐ×÷ÌØ±ðÌáʾ¡£
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.
µÚÒ»°ÙÈýÊ®ÈýÌõ ¹É¶«´ó»áͨ¹ýÓйضÊ¡¢¼àÊÂÑ¡¾ÙÌá°¸µÄ£¬ÐÂÈζÊ¡¢¼àÊÂÔÚ»áÒé½áÊøÖ®ºóÁ¢¼´¾ÍÈΡ£
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.
µÚÒ»°ÙÈýÊ®ËÄÌõ ¹É¶«´ó»áͨ¹ýÓйØÅÉÏÖ¡¢Ë͹ɻò×ʱ¾¹«»ýתÔö¹É±¾Ìá°¸µÄ£¬¹«Ë¾½«Ôڹɶ«´ó»á½áÊøºó 2 ¸ö
ÔÂÄÚʵʩ¾ßÌå·½°¸¡£
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.
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders
µÚÒ»°ÙÈýÊ®ÎåÌõ ³ÖÓв»Í¬ÖÖÀà¹É·ÝµÄ¹É¶«£¬ÎªÀà±ð¹É¶«¡£
Article 135 Those shareholders who hold different classes of shares are class shareholders.
Àà±ð¹É¶«ÒÀ¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹«Ë¾Õ³̵Ĺ涨£¬ÏíÓÐȨÀûºÍ³Ðµ£ÒåÎñ¡£
Class shareholders shall enjoy rights and assume obligations in accordance with law, administrative
regulation and the Company¡¯s Articles of Association.
µÚÒ»°ÙÈýÊ®ÁùÌõ ¹«Ë¾Äâ±ä¸ü»òÕ߷ϳýÀà±ð¹É¶«µÄȨÀû£¬Ó¦µ±¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéͨ¹ýºÍ¾ÊÜÓ°ÏìµÄÀà
±ð¹É¶«ÔÚ°´µÚÒ»°ÙÈýÊ®°ËÌõÖÁµÚÒ»°ÙËÄÊ®¶þÌõ·Ö±ðÕÙ¼¯µÄ¹É¶«»áÒéÉÏͨ¹ý£¬·½¿É½øÐС£
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.
µÚÒ»°ÙÈýÊ®ÆßÌõ ÏÂÁÐÇéÐÎÓ¦µ±ÊÓΪ±ä¸ü»òÕ߷ϳýijÀà±ð¹É¶«µÄȨÀû£º
Article 137 The following circumstances shall be deemed to be variation or abrogation of the rights
attaching to a particular class of shares:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝµÄÊýÄ¿£¬»òÕßÔö¼Ó»ò¼õÉÙÓë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶àµÄ±í¾öȨ¡¢·ÖÅä
Ȩ¡¢ÆäËûÌØÈ¨µÄÀà±ð¹É·ÝµÄÊýÄ¿£»
48
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(¶þ) ½«¸ÃÀà±ð¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷ÆäËûÀà±ð£¬»òÕß½«ÁíÒ»Àà±ðµÄ¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷¸ÃÀà±ð¹É
·Ý»òÕßÊÚÓè¸ÃµÈת»»È¨£»
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;
(Èý) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеġ¢È¡µÃÒѲúÉúµÄ¹ÉÀû»òÕßÀÛ»ý¹ÉÀûµÄȨÀû£»
to remove or reduce rights to accrued dividends or rights to cumulative dividends attached to
shares of that class;
(ËÄ) ¼õÉÙ»òÕßÈ¡Ïû¸ÃÀà±ð¹É·ÝËù¾ßÓеÄÓÅÏÈÈ¡µÃ¹ÉÀû»òÕßÔÚ¹«Ë¾ÇåËãÖÐÓÅÏÈÈ¡µÃ²Æ²ú·ÖÅäµÄȨÀû£»
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;
(Îå) Ôö¼Ó¡¢È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеÄת»»¹É·ÝȨ¡¢Ñ¡ÔñȨ¡¢±í¾öȨ¡¢×ªÈÃȨ¡¢ÓÅÏÈÅäÊÛȨ¡¢È¡
µÃ¹«Ë¾Ö¤È¯µÄȨÀû£»
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;
(Áù) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеģ¬ÒÔÌØ¶¨»õ±ÒÊÕÈ¡¹«Ë¾Ó¦¸¶¿îÏîµÄȨÀû£»
to remove or reduce rights to receive payment payable by the Company in particular currencies
attached to shares of that class;
(Æß) ÉèÁ¢Óë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶à±í¾öȨ¡¢·ÖÅäȨ»òÕ߯äËûÌØÈ¨µÄÐÂÀà±ð£»
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;
(°Ë) ¶Ô¸ÃÀà±ð¹É·ÝµÄתÈûòËùÓÐȨ¼ÓÒÔÏÞÖÆ»òÕßÔö¼Ó¸ÃµÈÏÞÖÆ£»
to restrict the transfer or ownership of shares of that class or to increase the types of restrictions
attaching thereto;
(¾Å) ·¢ÐиÃÀà±ð»òÕßÁíÒ»Àà±ðµÄ¹É·ÝÈϹºÈ¨»òÕßת»»¹É·ÝµÄȨÀû£»
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;
(Ê®) Ôö¼ÓÆäËûÀà±ð¹É·ÝµÄȨÀûºÍÌØÈ¨£»
to increase the rights or privileges of shares of another class;
(ʮһ) ¹«Ë¾¸Ä×é·½°¸»á¹¹³É²»Í¬Àà±ð¹É¶«ÔÚ¸Ä×éÖв»°´±ÈÀýµØ³Ðµ£ÔðÈΣ»
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
(Ê®¶þ) Ð޸ĻòÕ߷ϳý±¾ÕÂËù¹æ¶¨µÄÌõ¿î¡£
to vary or abrogate the provisions of this Chapter.
µÚÒ»°ÙÈýÊ®°ËÌõ ÊÜÓ°ÏìµÄÀà±ð¹É¶«£¬ÎÞÂÛÔÀ´Ôڹɶ«´ó»áÉÏÊÇ·ñÓбí¾öȨ£¬ÔÚÉæ¼°µÚÒ»°ÙÈýÊ®ÆßÌõ£¨¶þ£©
ÖÁ£¨°Ë£©¡¢£¨Ê®Ò»£©ÖÁ£¨Ê®¶þ£©ÏîµÄÊÂÏîʱ£¬ÔÚÀà±ð¹É¶«»áÉϾßÓбí¾öȨ£¬µ«ÓÐÀûº¦¹ØÏµµÄ¹É¶«ÔÚÀà±ð¹É¶«
»áÉÏûÓбí¾öȨ¡£
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.
49
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ǰ¿îËùÊöÓÐÀûº¦¹ØÏµ¹É¶«µÄº¬ÒåÈçÏ£º
¡°(An) interested shareholder(s)¡±, as such term is used in the preceding paragraph, means:
(Ò») ÔÚ¹«Ë¾°´±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼»òÕßÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«
¿ª½»Ò×·½Ê½¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹ØÏµµÄ¹É¶«¡±ÊÇÖ¸±¾Õ³ÌËù¶¨ÒåµÄ¿Ø¹É¹É¶«£»
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;
(¶þ) ÔÚ¹«Ë¾°´ÕÕ±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹Ø
ϵµÄ¹É¶«¡±ÊÇÖ¸Óë¸ÃÐÒéÓйصĹɶ«£»
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;
(Èý) ÔÚ¹«Ë¾¸Ä×é·½°¸ÖУ¬¡°ÓÐÀûº¦¹ØÏµ¹É¶«¡±ÊÇÖ¸ÒÔµÍÓÚ±¾Àà±ðÆäËû¹É¶«µÄ±ÈÀý³Ðµ£ÔðÈεĹɶ«»òÕßÓë¸ÃÀà
±ðÖÐµÄÆäËû¹É¶«ÓµÓв»Í¬ÀûÒæµÄ¹É¶«¡£
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.
µÚÒ»°ÙÈýÊ®¾ÅÌõ Àà±ð¹É¶«»áµÄ¾öÒ飬Ӧµ±¾¸ù¾ÝµÚÒ»°ÙÈýÊ®°ËÌõÓɳöϯÀà±ð¹É¶«»áÒéµÄÓбí¾öȨµÄÈý·Ö
Ö®¶þÒÔÉϵĹÉȨ±í¾öͨ¹ý£¬·½¿É×÷³ö¡£
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.
µÚÒ»°ÙËÄÊ®Ìõ ¹«Ë¾ÕÙ¿ªÀà±ð¹É¶«»áÒ飬Ӧµ±ÓÚÄê¶È¹É¶«´ó»áÕÙ¿ª¶þÊ®¸öÓªÒµÈÕǰ£¬ÁÙʱ¹É¶«´ó»áÕÙ¿ªÊ®
¸öÓªÒµÈÕ»òÊ®ÎåÈÕ£¨ÒԽϳ¤ÕßΪ׼£©Ç°·¢³ö֪ͨ£¬½«»áÒéÄâÉóÒéµÄÊÂÏîÒÔ¼°¿ª»áÈÕÆÚºÍµØµã¸æÖªËùÓиÃÀà
±ð¹É·ÝµÄÔÚ²á¹É¶«¡£
Article 140 Notice of a class meeting shall be given to all shareholders who are registered as holders of
that class in the register of shareholders twenty (20) business days prior to the date of the annual
general meeting and ten (10) business days or fifteen (15) days (whichever is longer) prior to the date of
the extraordinary general 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.
µÚÒ»°ÙËÄʮһÌõ Àà±ð¹É¶«»áÒéµÄֻ֪ͨÐëË͸øÓÐȨÔڸûáÒéÉϱí¾öµÄ¹É¶«¡£
Article 141 Notice of class meetings need only be served on shareholders entitled to vote thereat.
Àà±ð¹É¶«»áÒéÓ¦µ±ÒÔÓë¹É¶«´ó»á¾¡¿ÉÄÜÏàͬµÄ³ÌÐò¾ÙÐУ¬¹«Ë¾Õ³ÌÖÐÓйعɶ«´ó»á¾ÙÐгÌÐòµÄÌõ¿îÊÊÓÃÓÚ
Àà±ð¹É¶«»áÒé¡£
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.
µÚÒ»°ÙËÄÊ®¶þÌõ ³ýÆäËûÀà±ð¹É·Ý¹É¶«Í⣬ÄÚ×ʹɹɶ«ºÍ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÊÓΪ²»Í¬Àà±ð¹É¶«¡£
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.
ÏÂÁÐÇéÐβ»ÊÊÓÃÀà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò£º£¨Ò»£©¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾Ã¿¼ä¸ôÊ®¶þ¸öÔµ¥¶À
»òÕßͬʱ·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɣ¬²¢ÇÒÄâ·¢ÐеÄÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵÄÊýÁ¿¸÷×Ô²»³¬¹ý¸ÃÀàÒÑ
·¢ÐÐÔÚÍâ¹É·ÝµÄ°Ù·ÖÖ®¶þÊ®µÄ£»£¨¶þ£©¹«Ë¾ÉèÁ¢Ê±·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵļƻ®£¬×ÔÖйú֤ȯ¼à¶½
50
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹ÜÀí»ú¹¹Åú×¼Ö®ÈÕÆðÊ®Îå¸öÔÂÄÚÍê³ÉµÄ£»»ò£¨Èý£©±¾Õ³̵ÚÊ®°ËÌõËùÊöµÄ¾Öйú֤ȯ¼à¶½¹ÜÀí»ú¹¹ºË×¼£¬
¹«Ë¾ÄÚ×ʹɹɶ«½«Ëù³Ö¹É·ÝתÈøø¾³ÍâͶ×ÊÈË£¬²¢ÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Òס£
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.
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee
µÚÒ»°ÙËÄÊ®ÈýÌõ¸ù¾Ý¡¶µ³Õ¡·¹æ¶¨£¬ÉèÁ¢Öйú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾Î¯Ô±»á£¨¼ò³Æ¡¸¹«Ë¾
µ³Î¯¡¹£©£¬¿ªÕ¹µ³µÄ»î¶¯¡£µ³Î¯·¢»ÓÁìµ¼ºËÐĺÍÕþÖκËÐÄ×÷Ó㬰ѷ½Ïò¡¢¹Ü´ó¾Ö¡¢±£Âäʵ¡£
Article 143 In accordance with the Party Constitution, the Company set up a committee of Zhengzhou
Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the ¡°Party Committee¡±) to
engage in activities of the Party. The Party Committee shall play a core role in leadership and politics,
and shall carry out the works by providing direction, managing the overall situation and ensuring
implementation.
µÚÒ»°ÙËÄÊ®ËÄÌõ¹«Ë¾Ö°¹¤ÒÀÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·×éÖ¯¹¤»á£¬¿ªÕ¹¹¤»á»î¶¯£¬Î¬»¤Ö°¹¤ºÏ·¨È¨Òæ¡£
¹¤»á×éÖ¯¸ºÔðÈËÓÉÉϼ¶µ³×éÖ¯ÍÆ¼ö£¬²¢°´ÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·µÈÓйع涨ѡ¾Ù»òÈÎÃü²úÉú¡£¹«Ë¾
Ϊ¹¤»áÌṩ±ØÒªµÄ»î¶¯Ìõ¼þ¡£
Article 144 In accordance with the Trade Union Law of the People¡¯s Republic of China, the employees
of the Company form a trade union for organization of union activities and protection of the legitimate
rights of the employees. The person(s) in charge of the trade union organization shall be recommended
by a superior Party organization and be elected and appointed in accordance with relevant requirements
including the Trade Union Law of the People¡¯s Republic of China. The Company shall provide necessary
convenience for the trade union to organize activities.
µÚÒ»°ÙËÄÊ®ÎåÌõ¹«Ë¾µ³Î¯ÉèÊé¼Ç 1 Ãû£¬°´ÕÕÉϼ¶µ³×éÖ¯Åú¸²ÉèÖÃÆäËûµ³Î¯³ÉÔ±¡£Í¬Ê±£¬¹«Ë¾°´¹æ¶¨ÉèÁ¢ÖÐ
¹ú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾¼ÍÂɼì²éίԱ»á(¼ò³Æ¡¸¹«Ë¾¼Íί¡¹)¡£µ³Î¯Êé¼Ç¡¢¼ÍίÊé¼Ç°´ÕÕ
¡¶µ³Õ¡·µÈ¹æ¶¨Ñ¡¾Ù»òÈÎÃü²úÉú¡£
Article 145 The Party Committee of the Company shall have one secretary. Other members of the Party
Committee shall be appointed upon approval by a superior Party organization. Meanwhile, in
accordance with relevant requirements, the Company shall establish a disciplinary inspection committee
of Zhengzhou Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the
¡°Disciplinary Committee¡±). The respective secretaries to the Party Committee and the Disciplinary
Committee shall be elected or appointed in accordance with relevant requirements including the Party
Constitution.
µÚÒ»°ÙËÄÊ®ÁùÌõµ³×éÖ¯»ú¹¹ÉèÖü°ÆäÈËÔ±±àÖÆÄÉÈ빫˾¹ÜÀí»ú¹¹ºÍ±àÖÆ£¬µ³×éÖ¯¹¤×÷¾·ÑÄÉÈ빫˾ԤË㣬
´Ó¹«Ë¾¹ÜÀí·ÑÖÐÁÐÖ§¡£
Article 146 The establishment of Party organization and its staff arrangements shall become part of the
management structure and staff arrangements of the Company. The funding for such Party organization
shall be included in the Company¡¯s budget and disbursed from the Company¡¯s management costs.
51
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙËÄÊ®ÆßÌõ¹«Ë¾µ³×éÖ¯°´ÕÕ¡¶Öйú¹²²úµ³»ù²ã×é֯ѡ¾Ù¹¤×÷ÔÝÐÐÌõÀý¡·ÒªÇó¶¨ÆÚ½øÐл»½ìÑ¡¾Ù¡£
Article 147 The Party organization of the Company shall conduct regular re-election pursuant to the
requirements under the Interim Provisions for the Election of Primary-Level Organizations of the
Communist Party of China.
52
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙËÄÊ®°ËÌõ¹«Ë¾¼á³ÖºÍÍêÉÆ¡¸Ë«Ïò½øÈë¡¢½»²æÈÎÖ°¡¹µÄÁìµ¼ÌåÖÆ£¬·ûºÏÌõ¼þµÄµ³×éÖ¯Áìµ¼°à×Ó³ÉÔ±¿É
ÒÔͨ¹ý·¨¶¨³ÌÐò½øÈë¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã£¬¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã³ÉÔ±ÖзûºÏÌõ¼þµÄµ³Ô±¿ÉÒÔÒÀÕÕ
Óйع涨ºÍ³ÌÐò½øÈëµ³×éÖ¯Áìµ¼°à×Ó¡£
Article 148 The Company adheres to and keeps enhancing the leadership system of ¡°Dual Entry and
Cross Appointment¡±. Eligible members of the Party organization leadership may be appointed to the
Board of Directors, the Board of Supervisors and the management through legal procedures; eligible
Party members of the Board of Directors, the Board of Supervisors and the management may be
appointed to the leadership of the Party organization based on relevant regulations and procedures.
µÚÒ»°ÙËÄÊ®¾ÅÌõ¹«Ë¾µ³Î¯¶Ô¶Ê»ᡢ¾Àí²ãÄâ¾ö²ßµÄ¡¸ÈýÖØÒ»´ó¡¹µÈÖØ´óÎÊÌⰴǰÖóÌÐòÏÈÐÐÉóÒ飬ÌÖÂÛ
ͨ¹ýºó£¬ÔÙÓɶÊ»á»ò¾Àí²ãÉóÒé×÷³ö¾ö¶¨¡£
Article 149 The Party Committee of the Company shall, in advance, consider major matters such as
those classified as ¡°Three Importance and One Greatness¡± to be decided upon by the Board of Directors
and the management. After discussion and approval by the Party Committee, such matters can be
considered and decided upon by the Board of Directors or the management.
µÚÒ»°ÙÎåÊ®Ìõµ³×éÖ¯ÔÚ¹«Ë¾Áìµ¼ÈËԱѡ°ÎÈÎÓá¢ÅàÑø½ÌÓý¡¢¹ÜÀí¼à¶½ÖиºÓп¼ºË¡¢¼à¶½µÈÔðÈΣ¬Ö§³Ö¶ÊÂ
»áÒÀ·¨Ñ¡Ôñ¾Óª¹ÜÀíÕß¡¢¾Óª¹ÜÀíÕßÒÀ·¨ÐÐʹÓÃÈËȨ£¬¼á¾ö·ÀÖ¹ºÍÕûÖÎÑ¡ÈËÓÃÈËÖеIJ»ÕýÖ®·ç¡£
Article 150 The Party organization shall be responsible for evaluating and overseeing the selection and
appointment, training and development, as well as management and supervision of the members of the
leadership of the Company. It shall support the Board of Directors in selecting operating managers
according to the law, support the operating managers in exercising their right of staff deployment
according to the law, and adhere to preventing and rectifying wrongful behaviours in the selection and
deployment of staff.
µÚÒ»°ÙÎåʮһÌõÇÐʵÂäʵ¹«Ë¾·´¸¯³«Á®¡¸Á½¸öÔðÈΡ¹¡£µ³Î¯ÒªÇÐʵÂÄÐкÃÖ÷ÌåÔðÈΣ¬¼ÍίҪÂÄÐкüලÔð
ÈΡ£¼ÓÇ¿µ³ÐÔ½ÌÓý¡¢·¨ÖνÌÓý¡¢¾¯Ê¾½ÌÓý£¬Òýµ¼¹«Ë¾¸÷¼¶Áìµ¼ÈËÔ±¼á¶¨ÀíÏëÐÅÄ×Ô¾õ¼ùÐС¸ÈýÑÏÈýʵ¡¹
ÒªÇó£¬ÕýÈ·ÂÄÖ°ÐÐȨ¡£
Article 151 The ¡°Dual Duties¡± of anti-corruption and clean-handedness shall be strictly performed. The
Party Committee shall perform its principle responsibilities while the Disciplinary Committee shall
perform its duties of supervision. Education on Party regulations, education on rule of law and cautionary
education shall be strengthened to guide leaders of the Company at all levels in their adherence and
faithfulness to the ideals, in their implementation of the ¡°Three Strictness plus Honesty, Practicality and
Pragmatism¡±, and in their rightful discharge of duties and exercise of power.
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors
µÚÒ»°ÙÎåÊ®¶þÌõ ¹«Ë¾¶ÊÂΪ×ÔÈ»ÈË¡£¶ÊÂÎÞÐè³ÖÓй«Ë¾¹É·Ý¡£
Article 152 Directors of the Company are natural persons. It is unnecessary for Directors to hold shares
of the Company.
Î¥·´±¾Õ¹涨ѡ¾Ù¡¢Î¯ÅɶÊµģ¬¸ÃÑ¡¾Ù¡¢Î¯ÅÉ»òÕ߯¸ÈÎÎÞЧ¡£¶ÊÂÔÚÈÎÖ°ÆÚ¼ä³öÏÖµÚ¶þ°Ù¶þÊ®ÎåÌõÇéÐÎ
µÄ£¬¹«Ë¾½â³ýÆäÖ°Îñ¡£
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 225 occurs during the term of office of a Director, the Company shall remove him.
µÚÒ»°ÙÎåÊ®ÈýÌõ ¶ÊÂÓɹɶ«´ó»áÑ¡¾Ù»ò¸ü»»£¬²¢¿ÉÔÚÈÎÆÚ½ìÂúǰÓɹɶ«´ó»á½â³ýÆäÖ°Îñ¡£¶ÊÂÈÎÆÚ 3 Ä꣬
53
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ÈÎÆÚ½ìÂú¿ÉÁ¬Ñ¡Á¬ÈΡ£ÓйØÌáÃû¶ÊºòÑ¡È˵ÄÒâͼÒÔ¼°ºòÑ¡È˱íÃ÷Ô¸Òâ½ÓÊÜÌáÃûµÄÊéÃæÍ¨Öª£¬Ó¦µ±ÔÚÓйØ
¹É¶«´ó»á֪ͨ·¢³öºóÖÁ¹É¶«´ó»áÕÙ¿ªÆßÌìǰµÄÆÚ¼äÄÚ·¢¸ø¹«Ë¾£¬¶ø¸ÃÆÚ¼ä²»ÉÙÓÚÆßÌì¡£
Article 153 Directors shall be elected or replaced at the shareholders¡¯ general meeting and can be
removed from their office prior to the expiry of their term by the general meeting, with a term of three (3)
years. At the expiry of such term of office, the term is renewable upon re-election. 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.
¶ÊÂÈÎÆÚ´Ó¾ÍÈÎÖ®ÈÕÆð¼ÆË㣬ÖÁ±¾½ì¶Ê»áÈÎÆÚ½ìÂúʱΪֹ¡£¶ÊÂÈÎÆÚ½ìÂúδ¼°Ê±¸ÄÑ¡£¬ÔÚ¸ÄÑ¡³öµÄ¶ÊÂ
¾ÍÈÎǰ£¬Ô¶ÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÂÄÐжÊÂÖ°Îñ¡£
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.
¶Ê¿ÉÒÔÓÉ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±¼æÈΣ¬µ«¼æÈÎ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±Ö°ÎñµÄ¶ÊÂÒÔ¼°ÓÉÖ°
¹¤´ú±íµ£ÈεĶÊ£¬×ܼƲ»Äܳ¬¹ý¹«Ë¾¶ÊÂ×ÜÊýµÄ 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.
±¾¹«Ë¾¶Ê»᲻ÉèÓÉÖ°¹¤´ú±íµ£ÈεĶÊ¡£¶ÊµÄѡƸ³ÌÐòÈçÏ£º
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:
(Ò») °´±¾Õ³̵ÚÒ»°ÙһʮÁùÌõµÄ¹æ¶¨ÌáÃû¶ÊºòÑ¡ÈË£»
to nominate a candidate for Directorship subject to article 116 of the Company¡¯s Articles of
Association;
(¶þ) ¹«Ë¾Ôڹɶ«´ó»áÕÙ¿ªÇ°ÒÔ¹«¸æµÄÐÎʽÅû¶¶ÊºòÑ¡È˵ÄÏêϸ×ÊÁÏ£¬±£Ö¤¹É¶«ÔÚͶƱʱ¶ÔºòÑ¡ÈËÓÐ×ã
¹»µÄÁ˽⣻
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;
(Èý) ¶ÊºòÑ¡ÈËÔڹɶ«´ó»áÕÙ¿ªÖ®Ç°×÷³öÊéÃæ³Ðŵ£¬Í¬Òâ½ÓÊÜÌáÃû£¬³Ðŵ¹«¿ªÅû¶µÄ¶ÊºòÑ¡È˵Ä×ÊÁÏ
ÕæÊµ¡¢ÍêÕû²¢±£Ö¤µ±Ñ¡ºóÇÐʵÂÄÐжÊÂÖ°Ôð£»
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;
(ËÄ) °´±¾Õ³̵ÚÒ»°ÙһʮÆßÌõµÄ¹æ¶¨¶Ô¶ÊºòÑ¡ÈËÃûµ¥½øÐбí¾ö£»
to vote with respect of the list of Director candidates according to article 117 of the Company¡¯s
Articles of Association; and
(Îå) ¶Êµ±Ñ¡ºó£¬¹«Ë¾ÓëÆäÇ©¶©Æ¸ÈκÏͬ¡£
to enter into a contract of employment with the Director after his election.
µÚÒ»°ÙÎåÊ®ËÄÌõ ¶ÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÏÂÁÐÖÒʵÒåÎñ£º
Article 154 Directors shall observe laws, administrative regulations and the Company¡¯s Articles of
54
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Association and shall assume the following duties of loyalty to the Company:
(Ò») ²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾µÄ²Æ²ú£»
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;
(¶þ) ²»µÃŲÓù«Ë¾×ʽð£»
not to misappropriate the funds of the Company;
(Èý) ²»µÃ½«¹«Ë¾×ʲú»òÕß×ʽðÒÔÆä¸öÈËÃûÒå»òÕ߯äËû¸öÈËÃûÒ忪Á¢ÕË»§´æ´¢£»
not to open accounts in his own or another individual's name for deposit of the Company¡¯s assets
or funds;
(ËÄ) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨£¬Î´¾¹É¶«´ó»á»ò¶Ê»áͬÒ⣬½«¹«Ë¾×ʽð½è´û¸øËûÈË»òÕßÒÔ¹«Ë¾²Æ²úΪËû
ÈËÌṩµ£±££»
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;
(Îå) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨»òδ¾¹É¶«´ó»áͬÒ⣬Óë±¾¹«Ë¾¶©Á¢ºÏͬ»òÕß½øÐн»Ò×£»
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;
(Áù) δ¾¹É¶«´ó»áͬÒ⣬²»µÃÀûÓÃÖ°Îñ±ãÀû£¬Îª×Ô¼º»òËûÈËıȡ±¾Ó¦ÊôÓÚ¹«Ë¾µÄÉÌÒµ»ú»á£¬×ÔÓª»òÕßΪ
ËûÈ˾ӪÓë±¾¹«Ë¾Í¬ÀàµÄÒµÎñ£»
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;
(Æß) ²»µÃ½ÓÊÜÓ빫˾½»Ò×µÄÓ¶½ð¹éΪ¼ºÓУ»
not to accept commissions relating to the transactions of the Company and appropriate to himself;
(°Ë) ²»µÃÉÃ×ÔÅû¶¹«Ë¾ÃØÃÜ£»
not to disclose secrets of the Company without permission;
(¾Å) ²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ£»
not to take advantage of his connection with the Company to harm interests of the Company; and
(Ê®) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̹涨µÄÆäËûÖÒʵÒåÎñ¡£
Other duties of loyalty as prescribed by laws, administrative regulations, department rules and the
Company¡¯s Articles of Association.
¶ÊÂÎ¥·´±¾Ìõ¹æ¶¨ËùµÃµÄÊÕÈ룬Ӧµ±¹é¹«Ë¾ËùÓУ»¸ø¹«Ë¾Ôì³ÉËðʧµÄ,Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
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.
µÚÒ»°ÙÎåÊ®ÎåÌõ ¶ÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÏÂÁÐÇÚÃãÒåÎñ£º
Article 155 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:
(Ò») Ó¦½÷É÷¡¢ÈÏÕæ¡¢ÇÚÃãµØÐÐʹ¹«Ë¾¸³ÓèµÄȨÀû£¬ÒÔ±£Ö¤¹«Ë¾µÄÉÌÒµÐÐΪ·ûºÏ¹ú¼Ò·¨ÂÉ¡¢ÐÐÕþ·¨¹æÒÔ¼°
¹ú¼Ò¸÷Ïî¾¼ÃÕþ²ßµÄÒªÇó£¬ÉÌÒµ»î¶¯²»³¬¹ýÓªÒµÖ´Õչ涨µÄÒµÎñ·¶Î§£»
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;
55
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(¶þ) Ó¦¹«Æ½¶Ô´ýËùÓйɶ«£»
to treat fair all shareholders;
(Èý) ¼°Ê±Á˽⹫˾ҵÎñ¾Óª¹ÜÀí×´¿ö£»
To timely become aware of the business and management situation of the Company;
(ËÄ) Ó¦µ±¶Ô¹«Ë¾¶¨ÆÚ±¨¸æÇ©ÊðÊéÃæÈ·ÈÏÒâ¼û£»
to sign written confirmation comments with respect to the regular reports of the Company;
(Îå) Ó¦µ±ÈçʵÏò¼àÊ»áÌṩÓйØÇé¿öºÍ×ÊÁÏ£¬²»µÃ·Á°¼àÊ»á»òÕß¼àÊÂÐÐʹְȨ£»
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
(Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̹涨µÄÆäËûÇÚÃãÒåÎñ¡£
Other duties of due diligence as prescribed by laws, administrative regulations, department rules
and the Company¡¯s Articles of Association.
µÚÒ»°ÙÎåÊ®ÁùÌõ ¶ÊÂÁ¬ÐøÁ½´ÎδÄÜÇ××Ô³öϯ£¬Ò²²»Î¯ÍÐÆäËû¶Ê³öϯ¶Ê»á»áÒ飬ÊÓΪ²»ÄÜÂÄÐÐÖ°Ôð£¬
¶Ê»áÓ¦µ±½¨Òé¹É¶«´ó»áÓèÒÔ³·»»¡£
Article 156 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.
µÚÒ»°ÙÎåÊ®ÆßÌõ ¶Ê¿ÉÒÔÔÚÈÎÆÚ½ìÂúǰÌá³ö´ÇÖ°¡£¶Ê´ÇÖ°Ó¦Ïò¶Ê»áÌá½»ÊéÃæ´ÇÖ°±¨¸æ¡£
Article 157 A Director may resign before expiry of his term of office, subject to submission of a written
resignation report to the Board of Directors.
ÈçÒò¶ÊµĴÇÖ°µ¼Ö¹«Ë¾¶Ê»áµÍÓÚ·¨¶¨×îµÍÈËÊýʱ£¬ÔÚ¸ÄÑ¡³öµÄ¶Ê¾ÍÈÎǰ£¬Ô¶ÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢
ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̹涨£¬ÂÄÐжÊÂÖ°Îñ¡£
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.
³ýǰ¿îËùÁÐÇéÐÎÍ⣬¶Ê´ÇÖ°×Ô´ÇÖ°±¨¸æËÍ´ï¶Ê»áʱÉúЧ¡£Ñ¡¾ÙΪ¶ÊÂÒÔÌî²¹¶Ê»áÁÙʱ¿Õȱ»òÔö¼Ó¶
Ê»áÃû¶îµÄÈκÎÈËÊ¿£¬¸ÃÐÂÈζÊ»òΪÔö¼Ó¶Ê»áÃû¶î¶ø±»Î¯ÈÎΪ¶ÊµÄÈκÎÈËÊ¿µÄÈÎÆÚ×Ô»ñÑ¡ÉúЧ֮ÈÕ
ÆðÖÁ¹«Ë¾µÄÏÂÒ»½ì¹É¶«Äê»áΪֹ£¬²¢ÓÚÆäʱÓÐ×ʸñÖØÑ¡Á¬ÈΡ£
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.
µÚÒ»°ÙÎåÊ®°ËÌõ ¶Ê´ÇÖ°ÉúЧ»òÕßÈÎÆÚ½ìÂú£¬Ó¦Ïò¶Ê»á°ìÍ×ËùÓÐÒÆ½»ÊÖÐø£¬Æä¶Ô¹«Ë¾ºÍ¹É¶«³Ðµ£µÄÖÒ
ʵÒåÎñ£¬ÔÚÈÎÆÚ½áÊøºó²¢²»µ±È»½â³ý£¬ÔÚ±¾Õ³̹涨µÄºÏÀíÆÚÏÞÄÚÈÔÈ»ÓÐЧ¡£
Article 158 A Director whose resignation takes effect or whose term of office expires shall complete all
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.
µÚÒ»°ÙÎåÊ®¾ÅÌõ δ¾±¾Õ³̹涨»òÕß¶Ê»áµÄºÏ·¨ÊÚȨ£¬Èκζʲ»µÃÒÔ¸öÈËÃûÒå´ú±í¹«Ë¾»òÕß¶Ê»á
ÐÐÊ¡£¶ÊÂÒÔÆä¸öÈËÃûÒåÐÐÊÂʱ£¬ÔÚµÚÈý·½»áºÏÀíµØÈÏΪ¸Ã¶ÊÂÔÚ´ú±í¹«Ë¾»òÕß¶Ê»áÐÐʵÄÇé¿öÏ£¬¸Ã
56
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¶ÊÂÓ¦µ±ÊÂÏÈÉùÃ÷ÆäÁ¢³¡ºÍÉí·Ý¡£
Article 159 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.
µÚÒ»°ÙÁùÊ®Ìõ ¶ÊÂÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬
Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 160 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.
µÚÒ»°ÙÁùʮһÌõ ¶ÀÁ¢¶ÊÂÓ¦°´ÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµÄÓйع涨ִÐС£
Article 161 Independent Directors shall perform in accordance with pertinent provisions set forth in laws,
administrative regulations and department rules.
µÚ¶þ½Ú ¶Ê»á
Section 2 Board of Directors
µÚÒ»°ÙÁùÊ®¶þÌõ ¹«Ë¾Éè¶Ê»ᣬ¶Ô¹É¶«´ó»á¸ºÔð¡£
Article 162 The Company shall have a Board of Directors, which is accountable to the shareholders in
general meeting.
µÚÒ»°ÙÁùÊ®ÈýÌõ ¶Ê»áÓÉ 10 Ãû¶ÊÂ×é³É£¬Éè¶Ê³¤ 1 Ãû£¬¸±¶Ê³¤ 1 Ãû¡£
Article 163 The Board of Directors shall be composed of 10 Directors and shall have one (1) chairman
and one (1) vice chairman.
µÚÒ»°ÙÁùÊ®ËÄÌõ ¶Ê»áÐÐʹÏÂÁÐְȨ£º
Article 164 The Board of Directors exercises the following functions and powers:
(Ò») ÕÙ¼¯¹É¶«´ó»á£¬²¢Ïò¹É¶«´ó»á±¨¸æ¹¤×÷£»
to convene the shareholders¡¯ general meeting and to report on its work to the shareholders in
general meetings;
(¶þ) Ö´Ðйɶ«´ó»áµÄ¾öÒ飻
to implement the resolutions adopted by the shareholders in general meetings;
(Èý) ¾ö¶¨¹«Ë¾µÄ¾Óª¼Æ»®ºÍͶ×Ê·½°¸£»
to determine the Company¡¯s business plans and investment proposals;
(ËÄ) ÖÆ¶©¹«Ë¾µÄÄê¶È²ÆÎñÔ¤Ëã·½°¸¡¢¾öËã·½°¸£»
to formulate the Company¡¯s preliminary and final annual financial budgets;
(Îå) ÖÆ¶©¹«Ë¾µÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸£»
to formulate the Company's profit distribution proposal and loss recovery proposal;
(Áù) ÖÆ¶©¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾¡¢·¢ÐÐծȯ»òÆäËû֤ȯ¼°ÉÏÊз½°¸£»
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;
(Æß) Äâ¶©¹«Ë¾ÖØ´óÊÕ¹º¡¢ÊÕ¹º±¾¹«Ë¾¹ÉƱ»òÕߺϲ¢¡¢·ÖÁ¢¡¢½âÉ¢¼°±ä¸ü¹«Ë¾ÐÎʽµÄ·½°¸£»
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;
(°Ë) Ôڹɶ«´ó»áÊÚȨ·¶Î§ÄÚ£¬¾ö¶¨¹«Ë¾¶ÔÍâͶ×Ê¡¢ÊÕ¹º³öÊÛ×ʲú¡¢×ʲúµÖѺ¡¢¶ÔÍâµ£±£ÊÂÏίÍÐÀí²Æ¡¢
¹ØÁª½»Ò×µÈÊÂÏ
to determine, to the extent authorized by the shareholders¡¯ general meeting, on such matters as
57
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
the external investments, purchase or sale of assets, assets pledge, external guarantee, entrusted
banking and connected transactions of the Company;
(¾Å) ¾ö¶¨¹«Ë¾ÄÚ²¿¹ÜÀí»ú¹¹µÄÉèÖã»
to decide on the Company¡¯s internal management structure;
(Ê®) ƸÈλòÕß½âÆ¸¹«Ë¾×ܾÀí¡¢¶Ê»áÃØÊ飻¸ù¾Ý×ܾÀíµÄÌáÃû£¬Æ¸ÈλòÕß½âÆ¸¹«Ë¾¸±×ܾÀí¡¢²ÆÎñ¸º
ÔðÈ˵ȸ߼¶¹ÜÀíÈËÔ±£¬²¢¾ö¶¨Æä±¨³êÊÂÏîºÍ½±³ÍÊÂÏ
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;
(ʮһ) ÖÆ¶©¹«Ë¾µÄ»ù±¾¹ÜÀíÖÆ¶È£»
to formulate the Company¡¯s basic management system;
(Ê®¶þ) ÖÆ¶©±¾Õ³̵ÄÐ޸ķ½°¸£»
to formulate proposals for any amendment of the Company¡¯s Articles of Association;
(Ê®Èý) ¹ÜÀí¹«Ë¾ÐÅÏ¢Åû¶ÊÂÏ
to manage the information disclosure of the Company;
(Ê®ËÄ) Ïò¹É¶«´ó»áÌáÇëÆ¸Çë»ò¸ü»»Îª¹«Ë¾Éó¼ÆµÄ»á¼ÆÊ¦ÊÂÎñËù£»
to propose to the shareholders¡¯ general meeting for retaining or replacement of the accountancy
firm that does auditing for the Company;
(Ê®Îå) ÌýÈ¡¹«Ë¾×ܾÀíµÄ¹¤×÷»ã±¨²¢¼ì²é×ܾÀíµÄ¹¤×÷£»
to hear reporting from the Company¡¯s general manager and inspect the performance of the
general manager; and
(Ê®Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³ÌÊÚÓèµÄÆäËûְȨ¡£
to exercise any other powers conferred by the laws, administrative regulations, department rules
or the Company¡¯s Articles of Association.
¶Ê»á×÷³öǰ¿î¾öÒéÊÂÏ³ý£¨Áù£©¡¢£¨Æß£©¡¢£¨Ê®¶þ£©ÏîºÍ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°±¾Õ³ÌÁíÓй涨µÄ±ØÐëÓÉ 2/3
ÒÔÉ϶ʱí¾öͬÒâÍ⣬ÆäÓà¿ÉÒÔÓɰëÊýÒÔÉϵĶʱí¾öͬÒâ¡£³¬¹ý¹É¶«´ó»áÊÚȨ·¶Î§µÄÊÂÏӦµ±Ìá½»¹É
¶«´ó»áÉóÒé¡£
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.
µÚÒ»°ÙÁùÊ®ÎåÌõ ¶Ê»áÓ¦µ±¾Í×¢²á»á¼ÆÊ¦¶Ô¹«Ë¾²ÆÎñ±¨¸æ³ö¾ßµÄ·Ç±ê×¼Éó¼ÆÒâ¼ûÏò¹É¶«´ó»á×÷³ö˵Ã÷¡£
Article 165 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.
µÚÒ»°ÙÁùÊ®ÁùÌõ ¶Ê»áÖÆ¶¨¶Ê»áÒéʹæÔò£¬ÒÔÈ·±£¶Ê»áÂäʵ¹É¶«´ó»á¾öÒ飬Ìá¸ß¹¤×÷ЧÂÊ£¬±£Ö¤¿Æ
ѧ¾ö²ß¡£
Article 166 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.
µÚÒ»°ÙÁùÊ®ÆßÌõ ¶Ê»áÓ¦µ±È·¶¨¶ÔÍâͶ×Ê¡¢ÊÕ¹º³öÊÛ×ʲú¡¢×ʲúµÖѺ¡¢¶ÔÍâµ£±£ÊÂÏίÍÐÀí²Æ¡¢¹ØÁª
½»Ò×µÄȨÏÞ£¬½¨Á¢ÑϸñµÄÉó²éºÍ¾ö²ß³ÌÐò£»ÖØ´óͶ×ÊÏîĿӦµ±×éÖ¯ÓйØ×¨¼Ò¡¢×¨ÒµÈËÔ±½øÐÐÆÀÉ󣬲¢±¨¹É
58
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¶«´ó»áÅú×¼¡£
Article 167 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.
µÚÒ»°ÙÁùÊ®°ËÌõ ¹«Ë¾¶Ê³¤¡¢¸±¶Ê³¤ÓɶÊ»áÒÔÈ«Ìå¶ÊµĹý°ëÊýÑ¡¾Ù²úÉúºÍ°ÕÃâ¡£
Article 168 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.
µÚÒ»°ÙÁùÊ®¾ÅÌõ ¶Ê»áÔÚ´¦Öù̶¨×ʲúʱ£¬ÈçÄâ´¦Öù̶¨×ʲúµÄÔ¤ÆÚ¼ÛÖµ£¬Óë´ËÏî´¦Öý¨ÒéǰËĸöÔÂÄÚ
ÒÑ´¦ÖÃÁ˵Ĺ̶¨×ʲúËùµÃµ½µÄ¼ÛÖµµÄ×ܺͣ¬³¬¹ý¹É¶«´ó»á×î½üÉóÒéµÄ×ʲú¸ºÕ®±íËùÏÔʾµÄ¹Ì¶¨×ʲú¼ÛÖµµÄ
°Ù·ÖÖ®ÈýÊ®Èý£¬Ôò¶Ê»áÔÚδ¾¹É¶«´ó»áÅú׼ǰ²»µÃ´¦ÖûòÕßͬÒâ´¦Öøù̶¨×ʲú¡£
Article 169 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.
±¾ÌõËùÖ¸¶Ô¹Ì¶¨×ʲúµÄ´¦Ö㬰üÀ¨×ªÈÃijЩ×ʲúÈ¨ÒæµÄÐÐΪ£¬µ«²»°üÀ¨ÒԹ̶¨×ʲúÌṩµ£±£µÄÐÐΪ¡£
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.
¹«Ë¾´¦Öù̶¨×ʲú½øÐеĽ»Ò×µÄÓÐЧÐÔ£¬²»ÒòÎ¥·´±¾ÌõµÚÒ»¿î¶øÊÜÓ°Ïì¡£
The validity of a disposition by the Company shall not be affected by any breach of the first paragraph of
this Article.
µÚÒ»°ÙÆßÊ®Ìõ ¶Ê³¤Êǹ«Ë¾·¨¶¨´ú±íÈË£¬ÐÐʹÏÂÁÐְȨ£º
Article 170 The chairman of the Board of Directors is the legal representative of the Company and shall
exercise the following powers:
(Ò») Ö÷³Ö¹É¶«´ó»áºÍÕÙ¼¯¡¢Ö÷³Ö¶Ê»á»áÒ飻
to preside over shareholders¡¯ general meetings and to convene and preside over meetings of the
Board of Directors;
(¶þ) ¶½´Ù¡¢¼ì²é¶Ê»á¾öÒéµÄÖ´ÐУ»
to urge and check on the implementation of resolutions passed by the Board of Directors at
Directors¡¯ meetings;
(Èý) Ç©Êð¹«Ë¾·¢ÐеÄ֤ȯ£»
to sign the securities certificates issued by the Company; and
(ËÄ) ¶Ê»áÊÚÓèµÄÆäËûְȨ¡£
to exercise other powers conferred by the Board of Directors.
µÚÒ»°ÙÆßʮһÌõ ¹«Ë¾¸±¶Ê³¤ÐÖú¶Ê³¤¹¤×÷£¬¶Ê³¤²»ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬Óɸ±¶Ê³¤ÂÄ
ÐÐÖ°Îñ£»¸±¶Ê³¤²»ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬ÓɰëÊýÒÔÉ϶ʹ²Í¬ÍƾÙÒ»Ãû¶ÊÂÂÄÐÐÖ°Îñ¡£
Article 171 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.
59
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙÆßÊ®¶þÌõ ¶Ê»áÿÄêÖÁÉÙÕÙ¿ª 4 ´Î¶¨ÆÚ»áÒ飬Óɶʳ¤ÕÙ¼¯£¬ÓÚ»áÒéÕÙ¿ª 14 ÈÕÒÔǰÊéÃæÍ¨ÖªÈ«Ìå
¶ÊºͼàÊ¡£
Article 172 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.
¶Ê³¤²»ÄÜÕÙ¼¯¡¢Ö÷³Ö»áÒéʱ£¬Óɸ±¶Ê³¤ÕÙ¼¯¡¢Ö÷³Ö¶Ê»ᡣ
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.
µÚÒ»°ÙÆßÊ®ÈýÌõ ´ú±í 1/10 ÒÔÉϱí¾öȨµÄ¹É¶«¡¢1/3 ÒÔÉ϶Ê»òÕß¼àÊ»ᡢ1/2 ÒÔÉ϶ÀÁ¢¶Ê»ò×ܾÀíÌáÒé
ʱ£»¶Ê³¤ÈÏΪ±ØÒªÊ±£»»òÖйú֤ȯ¼à¹Ü»ú¹¹ÒªÇóʱ£¬¶Ê»áÓ¦ÕÙ¿ªÁÙʱ»áÒé¡£¶Ê³¤Ó¦µ±×Ô½Óµ½ÌáÒé»ò
Öйú֤ȯ¼à¹Ü²¿ÃÅÒªÇóºó 10 ÈÕÄÚ£¬ÕÙ¼¯ºÍÖ÷³Ö¶Ê»á»áÒé¡£
Article 173 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.
µÚÒ»°ÙÆßÊ®ËÄÌõ ¶Ê»áÕÙ¿ª¶Ê»áÁÙʱ»áÒéµÄ֪ͨ·½Ê½Îª×¨ÈËËÍ´ï¡¢Óʼþ¡¢´«Õæ»òµç»°Í¨Öª£»Í¨ÖªÊ±ÏÞ
Ϊ»áÒéÕÙ¿ª 5 ÈÕǰ¡£
Article 174 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.
µÚÒ»°ÙÆßÊ®ÎåÌõ ¶Ê»á»áÒé֪ͨ°üÀ¨ÒÔÏÂÄÚÈÝ:
Article 175 A written notice on the meeting of the Board of Directors shall at least include:
(Ò») »áÒéµÄʱ¼ä¡¢µØµã£»
the time and place of the meeting;
(¶þ) »áÒéµÄÕÙ¿ª·½Ê½£»
the method for holding the meeting;
(Èý) ÄâÉóÒéµÄÊÂÏ»áÒéÌá°¸£©£»
the matters (proposals) to be deliberated;
(ËÄ) »áÒéÕÙ¼¯È˺ÍÖ÷³ÖÈË¡¢ÁÙʱ»áÒéµÄÌáÒéÈ˼°ÆäÊéÃæÌáÒ飻
the convener and the presider of the meeting, the proponent of the special meeting as well as the
written proposals;
(Îå) ¶Ê±í¾öËù±ØÐèµÄ»áÒé²ÄÁÏ£»
the conference materials necessary for the voting of the Board of Directors;
(Áù) ¶ÊÂÓ¦µ±Ç××Ô³öϯ»òÕßίÍÐÆäËû¶Ê´úΪ³öϯ»áÒéµÄÒªÇó£»
the requirement that the Directors shall attend the meeting in person or by entrusting other
Directors; and
(Æß) ÁªÏµÈ˺ÍÁªÏµ·½Ê½¡£
the contact person and contact information.
¿ÚÍ·»áÒé֪ͨÖÁÉÙÓ¦°üÀ¨ÉÏÊöµÚ£¨Ò»£©¡¢£¨¶þ£©¼°£¨Èý£©ÏîÄÚÈÝ£¬ÒÔ¼°Çé¿ö½ô¼±ÐèÒª¾¡¿ìÕÙ¿ª¶Ê»áÁÙʱ»á
ÒéµÄ˵Ã÷¡£
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
60
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
circumstance.
µÚÒ»°ÙÆßÊ®ÁùÌõ ¶Ê»á»áÒéÓ¦µ±Óɹý°ëÊýµÄ¶Ê£¨°üÀ¨°´±¾Õ³̹涨£¬ÊéÃæÎ¯ÍÐÆäËû¶Ê´úΪ³öϯ¶ÊÂ
»áÒéµÄ¶Ê£©³öϯ·½¿É¾ÙÐС£¶Ê»á×÷³ö¾öÒ飬±ØÐë¾È«Ìå¶ÊµĹý°ëÊýͨ¹ý£¬·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»ò±¾Õ³Ì
ÁíÓй涨µÄ³ýÍâ¡£
Article 176 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.
¶Ê»á¾öÒéµÄ±í¾ö£¬ÊµÐÐÒ»ÈËһƱ¡£µ±·´¶ÔƱºÍÔÞ³ÉÆ±ÏàµÈʱ£¬¶Ê³¤ÓÐȨ¶àͶһƱ¡£
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.
µÚÒ»°ÙÆßÊ®ÆßÌõ ¶ÊÂÓë¶Ê»á»áÒé¾öÒéÊÂÏîËùÉæ¼°µÄÆóÒµÓйØÁª¹ØÏµµÄ£¬²»µÃ¶Ô¸ÃÏî¾öÒéÐÐʹ±í¾öȨ£¬
Ò²²»µÃ´úÀíÆäËû¶ÊÂÐÐʹ±í¾öȨ¡£¸Ã¶Ê»á»áÒéÓɹý°ëÊýµÄÎÞ¹ØÁª¹ØÏµ¶Ê³öϯ¼´¿É¾ÙÐУ¬¶Ê»á»áÒéËù
×÷¾öÒéÐë¾ÎÞ¹ØÁª¹ØÏµ¶Ê¹ý°ëÊýͨ¹ý¡£³öϯ¶Ê»áµÄÎÞ¹ØÁª¶ÊÂÈËÊý²»×ã 3 È˵ģ¬Ó¦½«¸ÃÊÂÏîÌá½»¹É¶«
´ó»áÉóÒé¡£¹ØÁª¶ÊµĶ¨ÒåºÍ·¶Î§¸ù¾Ý¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¼°Ö¤È¯½»Ò×ËùµÄÏà¹Ø¹æ¶¨È·¶¨¡£
Article 177 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.
µÚÒ»°ÙÆßÊ®°ËÌõ ¶Ê»á¾öÒé±í¾ö·½Ê½Îª¾ÙÊÖ»ò¼ÇÃûͶƱ±í¾ö¡£
Article 178 Resolutions to be adopted at the meeting of the Board of Directors shall be voted by raising
hands or by secret ballot.
¶Ê»áÁÙʱ»áÒéÔÚ±£Õ϶ʳä·Ö±í´ïÒâ¼ûµÄǰÌáÏ£¬¿ÉÒÔÓô«Õ淽ʽ½øÐв¢×÷³ö¾öÒ飬²¢Óɲλá¶ÊÂÇ©×Ö¡£
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.
µÚÒ»°ÙÆßÊ®¾ÅÌõ ¶Ê»á»áÒ飬ӦÓɶʱ¾È˳öϯ£»¶ÊÂÒò¹Ê²»Äܳöϯ£¬¿ÉÒÔÊéÃæÎ¯ÍÐÆäËû¶Ê´úΪ³öϯ£¬
ίÍÐÊéÖÐÓ¦ÔØÃ÷´úÀíÈ˵ÄÐÕÃû£¬´úÀíÊÂÏî¡¢ÊÚȨ·¶Î§ºÍÓÐЧÆÚÏÞ£¬²¢ÓÉίÍÐÈËÇ©Ãû»ò¸ÇÕ¡£´úΪ³öϯ»áÒé
µÄ¶ÊÂÓ¦µ±ÔÚÊÚȨ·¶Î§ÄÚÐÐʹ¶ÊµÄȨÀû¡£¶ÊÂδ³öϯ¶Ê»á»áÒ飬ÒàδίÍдú±í³öϯµÄ£¬ÊÓΪ·ÅÆúÔÚ¸Ã
´Î»áÒéÉϵÄͶƱȨ¡£
Article 179 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
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.
µÚÒ»°Ù°ËÊ®Ìõ ¶Ê»áÓ¦µ±¶Ô»áÒéËùÒéÊÂÏîµÄ¾ö¶¨×ö³É»áÒé¼Ç¼£¬³öϯ»áÒéµÄ¶ÊÂÓ¦µ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£
Article 180 The Board of Directors shall prepare records regarding the resolutions on the matters
61
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
discussed at the meeting, which shall be signed by the Directors in presence.
¶Ê»á»áÒé¼Ç¼×÷Ϊ¹«Ë¾µµ°¸±£´æ£¬±£´æÆÚÏÞΪ 10 Äê¡£
Such records regarding the resolutions on the matters discussed at the meeting shall be kept as
archives of the Company for ten (10) years.
µÚÒ»°Ù°ËʮһÌõ ¶Ê»á»áÒé¼Ç¼°üÀ¨ÒÔÏÂÄÚÈÝ£º
Article 181 The records of meetings of the Board of Directors shall include:
(Ò») »áÒéÕÙ¿ªµÄÈÕÆÚ¡¢µØµãºÍÕÙ¼¯ÈËÐÕÃû£»
time and place of the meeting and name of the convener;
(¶þ) ³öϯ¶ÊµÄÐÕÃûÒÔ¼°ÊÜËûÈËίÍгöϯ¶Ê»áµÄ¶ÊÂ(´úÀíÈË)ÐÕÃû£»
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;
(Èý) »áÒéÒé³Ì£»
agenda;
(ËÄ) ¶Ê·¢ÑÔÒªµã£¨ÆäÖÐÓ¦¸Ã°üÀ¨¶ÊÂÌá³öµÄÈκÎÒÉÂÇ»ò±í´ïµÄ·´¶ÔÒâ¼û£¬ÈçÓУ©£»
essentials of speeches delivered by Directors (including any doubt raised by the Directors or
objection expressed by the Directors, if any);
(Îå) ÿһ¾öÒéÊÂÏîµÄ±í¾ö·½Ê½ºÍ½á¹û(±í¾ö½á¹ûÓ¦ÔØÃ÷Ô޳ɡ¢·´¶Ô»òÆúȨµÄƱÊý)¡£
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).
µÚÒ»°Ù°ËÊ®¶þÌõ ¶ÊÂÓ¦ÔÚ¶Ê»á¾öÒéÉÏÇ©×Ö²¢¶Ô¶Ê»áµÄ¾öÒé³Ðµ£ÔðÈΡ£¶Ê»á¾öÒéÎ¥·´·¨ÂÉ¡¢·¨¹æ»ò
Õß¹«Ë¾Õ³̡¢¹É¶«´ó»á¾öÒ飬ÖÂʹ¹«Ë¾ÔâÊÜËðʧµÄ£¬²ÎÓë¾öÒéµÄ¶Ê¶Թ«Ë¾¸ºÅâ³¥ÔðÈΡ£µ«¾Ö¤Ã÷ÔÚ±í¾ö
Ê±Ôø±íÃ÷ÒìÒé²¢¼ÇÔØÓÚ»áÒé¼Ç¼µÄ£¬¸Ã¶Ê¿ÉÒÔÃâ³ýÔðÈΡ£
Article 182 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.
µÚÈý½Ú ¶Ê»áÃØÊé
Section 3 Secretary to the Board of Directors
µÚÒ»°Ù°ËÊ®ÈýÌõ ¹«Ë¾Éè¶Ê»áÃØÊ飬¸ºÔð¹«Ë¾¹É¶«´ó»áºÍ¶Ê»á»áÒéµÄ³ï±¸¡¢Îļþ±£¹ÜÒÔ¼°¹«Ë¾¹É¶«×Ê
ÁϹÜÀíµÈÊÂÒË¡£
Article 183 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.
¶Ê»áÃØÊéÊǹ«Ë¾¸ß¼¶¹ÜÀíÈËÔ±£¬¶Ô¹«Ë¾ºÍ¶Ê»ḺÔð£¬Ó¦×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¼°±¾Õ³̵ÄÓÐ
¹Ø¹æ¶¨¡£
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.
µÚÒ»°Ù°ËÊ®ËÄÌõ ¹«Ë¾Ó¦µ±Îª¶Ê»áÃØÊéÂÄÐÐÖ°ÔðÌṩ±ãÀûÌõ¼þ£¬¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¼°¹«Ë¾ÓйØ
ÈËÔ±Ó¦µ±Ö§³Ö¡¢ÅäºÏ¶Ê»áÃØÊéµÄ¹¤×÷¡£
62
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Article 184 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.
¶Ê»áÃØÊéΪÂÄÐÐÖ°ÔðÓÐȨÁ˽⹫˾µÄ²ÆÎñºÍ¾ÓªÇé¿ö£¬¹«Ë¾Óйز¿ÃźÍÈËÔ±Ó¦¼°Ê±ÌṩÏà¹Ø×ÊÁϺÍÐÅÏ¢¡£
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.
µÚÒ»°Ù°ËÊ®ÎåÌõ ¶Ê»áÃØÊéÓ¦µ±¾ß±¸ÂÄÐÐÖ°ÔðËù±ØÐèµÄ²ÆÎñ¡¢¹ÜÀí¡¢·¨ÂɵÈרҵ֪ʶ£¬¾ßÓÐÁ¼ºÃµÄÖ°Òµ
µÀµÂºÍ¸öÈËÆ·ÖÊ£¬²¢È¡µÃÉϺ£Ö¤È¯½»Ò×Ëù°ä·¢µÄ¶Ê»áÃØÊéÅàѵºÏ¸ñÖ¤Êé¡£
Article 185 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.
¾ßÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄÈËÊ¿²»µÃµ£ÈζÊ»áÃØÊ飺
Any of the following persons shall not serve as a secretary to the Board of Directors:
(Ò») ¡¶¹«Ë¾·¨¡·µÚÒ»°ÙËÄÊ®ÁùÌõ¹æ¶¨µÄÈκÎÒ»ÖÖÇéÐΣ»
any circumstance as provided in article 146 of the Company Law;
(¶þ) ×î½üÈýÄêÊܵ½¹ýÖйúÖ¤¼à»áµÄÐÐÕþ´¦·££»
having been subject to the administrative punishment of China Securities Regulatory Commission
in the recent year years;
(Èý) ×î½üÈýÄêÊܵ½¹ý֤ȯ½»Ò×Ëù¹«¿ªÇ´Ôð»òÕßÈý´ÎÒÔÉÏͨ±¨ÅúÆÀ£»
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;
(ËÄ) ±¾¹«Ë¾ÏÖÈμàÊ£»
Currently serving as supervisor of the Company; or
(Îå) ÉϺ£Ö¤È¯½»Ò×ËùÈ϶¨²»Êʺϵ£ÈζÊ»áÃØÊéµÄÆäËûÇéÐΡ£
Other circumstances which Shanghai Stock Exchange deems inappropriate to take the post of
secretary to the Board of Directors.
µÚÒ»°Ù°ËÊ®ÁùÌõ ¶Ê»áÃØÊéÓ¦µ±×ñÊØ¹«Ë¾Õ³̣¬³Ðµ£¹«Ë¾¸ß¼¶¹ÜÀíÈËÔ±µÄÓйط¨ÂÉÔðÈΣ¬¶Ô¹«Ë¾¸ºÓгÏ
ÐźÍÇÚÃãÒåÎñ£¬²»µÃÀûÓÃְȨΪ×Ô¼º»òËûÈËıȡ²»Õýµ±ÀûÒæ¡£
Article 186 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.
µÚÒ»°Ù°ËÊ®ÆßÌõ ¶Ê»áÃØÊéµÄÖ°Ôð£º
Article 187 The responsibilities of the secretary to the Board of Directors are to:
(Ò») ¸ºÔð¹«Ë¾ÐÅÏ¢¶ÔÍ⹫²¼£¬Ðµ÷¹«Ë¾ÐÅÏ¢Åû¶ÊÂÎñ£¬×éÖ¯ÖÆ¶¨¹«Ë¾ÐÅÏ¢Åû¶ÊÂÎñ¹ÜÀíÖÆ¶È£¬¶½´Ù¹«Ë¾
ºÍÏà¹ØÐÅÏ¢Åû¶ÒåÎñÈË×ñÊØÐÅÏ¢Åû¶Ïà¹Ø¹æ¶¨£»
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;
(¶þ) ¸ºÔðͶ×ÊÕß¹ØÏµ¹ÜÀí£¬Ðµ÷¹«Ë¾Óë֤ȯ¼à¹Ü»ú¹¹¡¢Í¶×ÊÕß¡¢Ö¤È¯·þÎñ»ú¹¹¡¢Ã½ÌåµÈÖ®¼äµÄÐÅÏ¢¹µÍ¨£»
administer investor relations, coordinate the information communication among the Company and
63
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
the securities regulatory institution, investors, security service agencies and the medias;
(Èý) ×éÖ¯³ï±¸¶Ê»á»áÒéºÍ¹É¶«´ó»á»áÒ飬²Î¼Ó¹É¶«´ó»á»áÒé¡¢¶Ê»á»áÒé¡¢¼àÊ»á»áÒé¼°¸ß¼¶¹ÜÀíÈË
Ô±Ïà¹Ø»áÒ飬¸ºÔð¶Ê»á»áÒé¼Ç¼¹¤×÷²¢Ç©×Ö
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;
(ËÄ) ¸ºÔð¹«Ë¾ÐÅÏ¢Åû¶µÄ±£Ãܹ¤×÷£¬ÔÚδ¹«¿ªÖØ´óÐÅϢй¶ʱ£¬¼°Ê±ÏòÉϺ£Ö¤È¯½»Ò×Ëù±¨¸æ²¢Åû¶£»
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;
(Îå) ¹Ø×¢Ã½Ì屨µÀ²¢Ö÷¶¯ÇóÖ¤±¨µÀµÄÕæÊµÐÔ£¬¶½´Ù¹«Ë¾¶Ê»ἰʱ»Ø¸´±¾ËùÎÊѯ£»
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;
(Áù) ×éÖ¯¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËÔ±½øÐÐÏà¹Ø·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾¹æÔò¼°Ïà¹Ø¹æ¶¨µÄÅàѵ£¬ÐÖúǰ
ÊöÈËÔ±Á˽â¸÷×ÔÔÚÐÅÏ¢Åû¶ÖеÄÖ°Ôð£»
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;
(Æß) ֪Ϥ¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËԱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢ ÆäËû¹æ·¶ÐÔÎļþ¡¢±¾¹æÔò¡¢
±¾ËùÆäËû¹æ¶¨ºÍ¹«Ë¾Õ³Ìʱ£¬»òÕß¹«Ë¾×÷³ö»ò¿ÉÄÜ×÷³öÎ¥·´Ïà¹Ø¹æ¶¨µÄ¾ö²ßʱ£¬Ó¦µ±ÌáÐÑÏà¹ØÈËÔ±£¬
²¢Á¢¼´ÏòÉϺ£Ö¤È¯½»Ò×Ëù±¨¸æ£»
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;
(°Ë) ¸ºÔð¹«Ë¾¹ÉȨ¹ÜÀíÊÂÎñ£¬±£¹Ü¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¡¢¿Ø¹É¹É¶«¼°Æä¶Ê¡¢¼àÊ¡¢¸ß¼¶¹Ü
ÀíÈËÔ±³ÖÓб¾¹«Ë¾¹É·ÝµÄ×ÊÁÏ£¬²¢¸ºÔðÅû¶¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±³Ö¹É±ä¶¯Çé¿ö£»
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;
(¾Å) ±£Ö¤¹«Ë¾ÓÐÍêÕûµÄ×éÖ¯ÎļþºÍ¼Ç¼£»
ensure the Company safekeep complete organizational files and records;
(Ê®) È·±£¹«Ë¾ÒÀ·¨×¼±¸ºÍµÝ½»ÓÐȨ»ú¹¹ÒªÇóµÄ±¨¸æºÍÎļþ£»
ensure that the Company prepare and deliver, in accordance with law, the reports and documents
required by competent authorities;
(ʮһ) ±£Ö¤¹«Ë¾µÄ¹É¶«Ãû²áÍ×ÉÆÉèÁ¢£¬±£Ö¤ÓÐȨµÃµ½¹«Ë¾ÓйؼǼºÍÎļþµÄÈ˼°Ê±µÃµ½ÓйؼǼºÍÎļþ¡£
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
(Ê®¶þ) ¡¶¹«Ë¾·¨¡·¡¢ÖйúÖ¤¼à»áºÍÉϺ£Ö¤È¯½»Ò×ËùÒªÇóÂÄÐÐµÄÆäËûÖ°Ôð¡£
perform other duties as required by the Company Law, China Securities Regulatory Commission
and Shanghai Stock Exchange.
64
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°Ù°ËÊ®°ËÌõ ¶Ê»áÃØÊéÓɶʳ¤ÌáÃû£¬¾¶ÊÂ»áÆ¸ÈλòÕß½âÆ¸¡£¶Ê¼æÈζÊ»áÃØÊéµÄ£¬ÈçijһÐÐ
ΪÐèÓɶÊ¡¢¶Ê»áÃØÊé·Ö±ð×÷³öʱ£¬Ôò¸Ã¼æÈζʼ°¹«Ë¾¶Ê»áÃØÊéµÄÈ˲»µÃÒÔË«ÖØÉí·Ý×÷³ö¡£
Article 188 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.
µÚÒ»°Ù°ËÊ®¾ÅÌõ ¹«Ë¾½âƸ¶Ê»áÃØÊéÓ¦µ±¾ßÓгä·ÖÀíÓÉ£¬²»µÃÎ޹ʽ«Æä½âƸ¡£
Article 189 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.
µÚÒ»°Ù¾ÅÊ®Ìõ ¶Ê»áÃØÊéÓÐÒÔÏÂÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾Ó¦µ±×ÔÊÂʵ·¢ÉúÖ®ÈÕÆðÔÚ 1 ¸öÔÂÄÚ½âÆ¸¶Ê»áÃØÊ飺
Article 190 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:
(Ò») Á¬Ðø 3 ¸öÔÂÒÔÉϲ»ÄÜÂÄÐÐÖ°Ôð£»
failing to perform his duties for three (3) consecutive months or more;
(¶þ) ÔÚÖ´ÐÐÖ°Îñʱ³öÏÖÖØ´ó´íÎó»òÊè©£¬¸ø¹«Ë¾Ôì³ÉÖØ´óËðʧ£»
having gross errors or omissions in performing duties and causing heavy losses to the Company;
or
(Èý) Î¥·´¹ú¼Ò·¨ÂÉ¡¢·¨¹æ¡¢¹æÕº͹«Ë¾Õ³̣¬¸ø¹«Ë¾Ôì³ÉÖØ´óËðʧ¡£
violating laws, regulations and rules of the State or the Company¡¯s Articles of Association and thus
causing heavy losses to the Company.
µÚÒ»°Ù¾ÅʮһÌõ ¹«Ë¾Ó¦µ±ÔÚÆ¸ÈζÊ»áÃØÊéʱÓëÆäÇ©¶©±£ÃÜÐÒ飬ҪÇóÆä³ÐŵÔÚÈÎÖ°ÆÚ¼äÒÔ¼°ÔÚÀëÈκó
³ÖÐøÂÄÐб£ÃÜÒåÎñÖ±ÖÁÓйØÐÅÏ¢Åû¶Ϊֹ£¬µ«Éæ¼°¹«Ë¾Î¥·¨Î¥¹æµÄÐÅÏ¢³ýÍâ¡£
Article 191 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.
¶Ê»áÃØÊéÀëÈÎǰ£¬Ó¦µ±½ÓÊܶÊ»ᡢ¼àÊ»áµÄÀëÈÎÉó²é£¬ÔÚ¹«Ë¾¼àÊ»áµÄ¼à¶½ÏÂÒÆ½»Óйصµ°¸Îļþ¡¢Õý
ÔÚ°ìÀí»ò´ý°ìÀíÊÂÏî¡£
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.
µÚÒ»°Ù¾ÅÊ®¶þÌõ ¹«Ë¾¶Ê»áÃØÊé¿ÕȱÆÚ¼ä£¬¶Ê»áÓ¦µ±Ö¸¶¨Ò»Ãû¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±´úÐжÊ»áÃØÊéµÄ
Ö°Ôð¡£¹«Ë¾±ØÐëÔÚÔÈζÊ»áÃØÊéÀëÖ°ºó 3 ¸öÔÂÄÚÕýʽƸÈζÊ»áÃØÊé¡£
Article 192 The Board of Directors shall, during the vacancy of the secretary to the Board of Directors,
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.
µÚÒ»°Ù¾ÅÊ®ÈýÌõ ¹«Ë¾¶Ê»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±¿ÉÒÔ¼æÈι«Ë¾¶Ê»áÃØÊé¡£¹«Ë¾Æ¸ÇëµÄ»á¼ÆÊ¦ÊÂÎñËùµÄ
»á¼ÆÊ¦²»µÃ¼æÈι«Ë¾¶Ê»áÃØÊé¡£
Article 193 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.
µ±¹«Ë¾¶Ê»áÃØÊéÓɶʼæÈÎʱ£¬ÈçijһÐÐΪӦµ±Óɶʼ°¹«Ë¾¶Ê»áÃØÊé·Ö±ð×÷³ö£¬Ôò¸Ã¼æÈζʼ°¹«
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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.
µÚËÄ½Ú ¶Ê»áרÃÅίԱ»á
Section 4 Special Committee of the Board of Directors
µÚÒ»°Ù¾ÅÊ®ËÄÌõ ¹«Ë¾¶Ê»áÉèÁ¢Õ½ÂÔ¡¢É󼯡¢ÌáÃû¡¢Ð½³êÓ뿼ºËµÈרÃÅίԱ»á¡£×¨ÃÅίԱ»á³ÉԱȫ²¿ÓÉ
¶ÊÂ×é³É£¬ÆäÖÐÉó¼ÆÎ¯Ô±»á¡¢ÌáÃûίԱ»á¡¢Ð½³êÓ뿼ºËίԱ»áÖжÀÁ¢¶ÊÂÓ¦Õ¼¶àÊý²¢µ£ÈÎÕÙ¼¯ÈË£¬Éó¼ÆÎ¯
Ô±»áµÄÕÙ¼¯ÈËΪ»á¼Æ×¨ÒµÈËÊ¿¡£¶Ê»ḺÔðÖÆ¶¨×¨ÃÅίԱ»á¹¤×÷¹æ³Ì£¬¹æ·¶×¨ÃÅίԱ»áµÄÔË×÷¡£
Article 194 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. The convener of the audit
committee shall be an accounting professional. The Board is responsible for formulating working rules,
to standardize the operation of of the special committees.
µÚÒ»°Ù¾ÅÊ®ÎåÌõ Õ½ÂÔίԱ»áµÄÖ÷ÒªÖ°ÔðÊǶԹ«Ë¾³¤ÆÚ·¢Õ¹Õ½ÂÔºÍÖØ´óͶ×ʾö²ß½øÐÐÑо¿²¢Ìá³ö½¨Òé¡£
Article 195 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.
µÚÒ»°Ù¾ÅÊ®ÁùÌõ Éó¼ÆÎ¯Ô±»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 196 The primary responsibilities of the audit committee are to:
(Ò») ÌáÒ鯏Çë»ò¸ü»»ÍⲿÉ󼯻ú¹¹£»
propose to retain or replace an external auditing office;
(¶þ) ¼à¶½¹«Ë¾µÄÄÚ²¿Éó¼ÆÖƶȼ°Æäʵʩ£»
supervise the internal auditing system of the Company and its implementation;
(Èý) ¸ºÔðÄÚ²¿Éó¼ÆÓëÍⲿÉó¼ÆÖ®¼äµÄ¹µÍ¨£»
take charge of the communication between internal auditors and external auditors;
(ËÄ) ÉóºË¹«Ë¾µÄ²ÆÎñÐÅÏ¢¼°ÆäÅû¶£»
audit financial information of the Company and its disclosure;
(Îå) Éó²é¹«Ë¾µÄÄÚ¿ØÖƶȣ»
audit the internal control system of the Company; and
(Áù) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®ÆßÌõ ÌáÃûίԱ»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 197 The primary responsibilities of the nomination committee are to:
(Ò») Ñо¿¶Ê¡¢×ܾÀíÈËÔ±µÄÑ¡Ôñ±ê×¼ºÍ³ÌÐò²¢Ìá³ö½¨Ò飻
work over the selection standards and procedures for Directors and general manager and table
proposals;
(¶þ) ¹ã·ºËÑѰºÏ¸ñµÄ¶ÊºÍ×ܾÀíÈËÔ±µÄÈËÑ¡£»
widely seek qualified candidates of Directors and that of the general manager;
(Èý) ¶Ô¶ÊºòÑ¡È˺Í×ܾÀíÈËÑ¡½øÐÐÉó²é²¢Ìá³ö½¨Ò飻
examine the candidate of Director and that of the general manager and make suggestions; and
66
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(ËÄ) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®°ËÌõ н³êÓ뿼ºËίԱ»áµÄÖ÷ÒªÖ°ÔðÊÇ£º
Article 198 The primary responsibilities of the remuneration and assessment committees are to:
(Ò») Ñо¿¶ÊÂÓë×ܾÀíÈËÔ±¿¼ºËµÄ±ê×¼£¬½øÐп¼ºË²¢Ìá³ö½¨Ò飻
work out the assessment standards for Directors and the general manager, make assessment and
table proposals;
(¶þ) Ñо¿ºÍÉó²é¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄн³êÕþ²ßÓë·½°¸£»
study and examine the remuneration policies and proposals for Directors and senior management
members; and
(Èý) ¶Ê»áÊÚȨµÄÆäËûÊÂÒË¡£
perform other matters authorized by the Board of Directors.
µÚÒ»°Ù¾ÅÊ®¾ÅÌõ ¸÷רÃÅίԱ»á¿ÉÒÔÆ¸ÇëÖнé»ú¹¹ÌṩרҵÒâ¼û£¬ÓйطÑÓÃÓɹ«Ë¾³Ðµ£¡£
Article 199 Each special committee may engage an intermediary to provide professional suggestions,
and expenses incurred thereby shall be borne by the Company.
µÚ¶þ°ÙÌõ ¸÷רÃÅίԱ»á¶Ô¶Ê»ḺÔ𣬸÷רÃÅίԱ»áµÄÌá°¸Ó¦Ìá½»¶Ê»áÉó²é¾ö¶¨¡£
Article 200 Each special committee shall be accountable for the Board of Directors, and submit their
proposals to the Board of Directors for examination.
µÚ¾ÅÕ ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±
Chapter 9 General Manager and Other Senior Management Members
µÚ¶þ°ÙÁãÒ»Ìõ ¹«Ë¾Éè×ܾÀí 1 Ãû£¬ÓɶÊÂ»áÆ¸Èλò½âƸ¡£¹«Ë¾É踱×ܾÀíÈô¸ÉÃû£¬²ÆÎñ×ܼà 1 Ãû£¬ÓÉ×Ü
¾ÀíÌáÃû¾¶Ê»á¾öÒ鯏Èλò½âƸ¡£
Article 201 The Company shall have one (1) general manager, who shall be appointed or dismissed by
the Board of Directors. The Company shall have several 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.
¹«Ë¾×ܾÀí¡¢¸±×ܾÀí¡¢²ÆÎñ×ܼࡢ¶Ê»áÃØÊéΪ¹«Ë¾¸ß¼¶¹ÜÀíÈËÔ±¡£
The general manager, vice general manager, CFO and secretary to the Board of Directors shall serve as
senior management members of the Company.
µÚ¶þ°ÙÁã¶þÌõ ÔÚ¹«Ë¾¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈ˵¥Î»µ£Èγý¶Ê¡¢¼àÊÂÒÔÍâÆäËûÖ°ÎñµÄÈËÔ±£¬²»µÃµ£Èι«Ë¾
µÄ¸ß¼¶¹ÜÀíÈËÔ±¡£
Article 202 Any person working in the controlling shareholder or actual controller of the Company other
than as a Director or supervisor shall not serve as a senior management member of the Company.
µÚ¶þ°ÙÁãÈýÌõ ×ܾÀíÿ½ìÈÎÆÚ 3 Ä꣬Á¬Æ¸¿ÉÒÔÁ¬ÈΡ£
Article 203 The term of office of the general manager shall be three (3) years, renewable upon
re-appointment.
µÚ¶þ°ÙÁãËÄÌõ ×ܾÀí¶Ô¶Ê»ḺÔð£¬ÐÐʹÏÂÁÐְȨ£º
Article 204 The general manager shall be accountable to the Board of Directors and shall exercise the
following functions and powers:
(Ò») Ö÷³Ö¹«Ë¾µÄÉú²ú¾Óª¹ÜÀí¹¤×÷£¬×é֯ʵʩ¶Ê»á¾öÒ飬²¢Ïò¶Ê»ᱨ¸æ¹¤×÷£»
to be in charge of the Company¡¯s production, operation and management, and to organize the
67
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
implementation of the resolutions of the Board of Directors and report on works to the Board of
Directors;
(¶þ) ×é֯ʵʩ¹«Ë¾Äê¶È¾Óª¼Æ»®ºÍͶ×Ê·½°¸£»
to organize the implementation of the Company¡¯s annual business plan and investment proposals;
(Èý) Äâ¶©¹«Ë¾ÄÚ²¿¹ÜÀí»ú¹¹ÉèÖ÷½°¸£»
to draft plans for the establishment of the Company¡¯s internal management structure;
(ËÄ) Äâ¶©¹«Ë¾µÄ»ù±¾¹ÜÀíÖÆ¶È£»
to draft the Company¡¯s basic management system;
(Îå) ÖÆ¶¨¹«Ë¾µÄ¾ßÌ广Õ£»
to formulate specific rules and regulations for the Company;
(Áù) ÌáÇë¶ÊÂ»áÆ¸ÈλòÕß½âÆ¸¹«Ë¾¸±×ܾÀí¡¢²ÆÎñ¸ºÔðÈË£»
to propose the appointment or dismissal by the Board of Directors of the Company¡¯s vice general
manager and CFO;
(Æß) ¾ö¶¨Æ¸ÈλòÕß½âÆ¸³ýÓ¦ÓɶÊ»á¾ö¶¨Æ¸ÈλòÕß½âÆ¸ÒÔÍâµÄ¸ºÔð¹ÜÀíÈËÔ±£»
to appoint or dismiss management personnel other than those required to be appointed or
dismissed by the Board of Directors;
(°Ë) ±¾Õ³̻ò¶Ê»áÊÚÓèµÄÆäËûְȨ¡£
other powers conferred by the Company¡¯s Articles of Association or the Board of Directors.
×ܾÀíÁÐϯ¶Ê»á»áÒé¡£·Ç¶Ê¾ÀíÔÚ¶Ê»á»áÒéÉÏûÓбí¾öȨ¡£
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.
µÚ¶þ°ÙÁãÎåÌõ ×ܾÀíÓ¦ÖÆ¶©×ܾÀí¹¤×÷ϸÔò£¬±¨¶Ê»áÅú×¼ºóʵʩ¡£
Article 205 The general manager shall formulate working rules of the general manager, and shall be
implemented after being approved by the Board of Directors.
(Ò») ×ܾÀí»áÒéÕÙ¿ªµÄÌõ¼þ¡¢³ÌÐòºÍ²Î¼ÓµÄÈËÔ±£»
specifying conditions, procedure and participants of the general manager¡¯s meeting;
(¶þ) ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±¸÷×Ô¾ßÌåµÄÖ°Ôð¼°Æä·Ö¹¤£»
responsibilities and work allocation of the general manager and other senior management
members of the Company,
(Èý) ¹«Ë¾×ʽð¡¢×ʲúÔËÓã¬Ç©¶©ÖØ´óºÏͬµÄȨÏÞ£¬ÒÔ¼°Ïò¶Ê»ᡢ¼àÊ»áµÄ±¨¸æÖƶȣ»
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
(ËÄ) ¶Ê»áÈÏΪ±ØÒªµÄÆäËûÊÂÏî¡£
other matters which the Board of Directors deems necessary.
µÚ¶þ°ÙÁãÁùÌõ ¹«Ë¾¾ÀíÔÚÐÐʹְȨʱ£¬Ó¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹«Ë¾Õ³̵Ĺ涨£¬ÂÄÐгÏÐźÍÇÚÃãµÄ
ÒåÎñ¡£
Article 206 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.
µÚ¶þ°ÙÁãÆßÌõ ×ܾÀí¿ÉÒÔÔÚÈÎÆÚ½ìÂúÒÔǰÌá³ö´ÇÖ°¡£ÓйØ×ܾÀí´ÇÖ°µÄ¾ßÌå³ÌÐòºÍ°ì·¨ÓÉ×ܾÀíÓ빫˾
Ö®¼äµÄƸÈκÏͬ¹æ¶¨¡£
Article 207 The general manager may resign before expiry of his term of office. The specific procedures
68
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and methods for the resignation of the general manager shall be specified in the employment contract
concluded by the general manager and the Company.
µÚ¶þ°ÙÁã°ËÌõ ×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺæ
¶¨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 208 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.
µÚʮՠ¼àÊ»á
Chapter 10 Board of Supervisors
µÚÒ»½Ú ¼àÊÂ
Section 1 Supervisors
µÚ¶þ°ÙÁã¾ÅÌõ ¶Ê¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±²»µÃ¼æÈμàÊ¡£
Article 209 The Directors, general manager and other senior management members of the Company
shall not act concurrently as supervisors.
µÚ¶þ°ÙһʮÌõ ¼àÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÖÒʵÒåÎñºÍÇÚÃãÒåÎñ£¬²»µÃÀûÓÃְȨ
ÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾µÄ²Æ²ú¡£
Article 210 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.
µÚ¶þ°ÙһʮһÌõ ¼àÊÂÿ½ìÈÎÆÚ 3 Ä꣬ÈÎÆÚ½ìÂú£¬Á¬Ñ¡¿ÉÒÔÁ¬ÈΡ£
Article 211 Each supervisor shall serve for a term of three (3) years, which term is renewable upon
reelection upon expiry.
µÚ¶þ°Ùһʮ¶þÌõ ¼àÊÂÈÎÆÚ½ìÂúδ¼°Ê±¸ÄÑ¡£¬»òÕß¼àÊÂÔÚÈÎÆÚÄÚ´ÇÖ°µ¼Ö¼àÊ»á³ÉÔ±µÍÓÚ·¨¶¨ÈËÊýµÄ£¬ÔÚ
¸ÄÑ¡³öµÄ¼àʾÍÈÎǰ£¬Ô¼àÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÂÄÐмàÊÂÖ°Îñ¡£
Article 212 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.
µÚ¶þ°ÙһʮÈýÌõ ¼àÊÂÓ¦µ±±£Ö¤¹«Ë¾Åû¶µÄÐÅÏ¢ÕæÊµ¡¢×¼È·¡¢ÍêÕû¡£
Article 213 A supervisor shall ensure that information disclosed by the Company is true, accurate and
complete.
µÚ¶þ°ÙһʮËÄÌõ ¼àÊ¿ÉÒÔÁÐϯ¶Ê»á»áÒ飬²¢¶Ô¶Ê»á¾öÒéÊÂÏîÌá³öÖÊѯ»òÕß½¨Òé¡£
Article 214 Supervisors shall attend meetings of the Board of Directors and may raise queries or
proposals regarding matters discussed at such meetings.
µÚ¶þ°ÙһʮÎåÌõ ¼àʲ»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ£¬Èô¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
Article 215 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.
µÚ¶þ°ÙһʮÁùÌõ ¼àÊÂÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧ
µÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
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Article 216 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.
µÚ¶þ°ÙһʮÆßÌõ ¼àÊ»áÐÐʹְȨʱƸÇëÂÉʦ¡¢×¢²á»á¼ÆÊ¦¡¢Ö´ÒµÉó¼ÆÊ¦µÈרҵÈËÔ±Ëù·¢ÉúµÄºÏÀí·ÑÓã¬
Ó¦µ±Óɹ«Ë¾³Ðµ£¡£
Article 217 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.
µÚ¶þ½Ú ¼àÊ»á
Section 2 Board of Supervisors
µÚ¶þ°Ùһʮ°ËÌõ ¹«Ë¾Éè¼àÊ»ᡣ¼àÊ»áÓÉ 7 Ãû¼àÊÂ×é³É£¬¼àÊ»áÉèÖ÷ϯ 1 ÈË¡£¼àÊ»áÖ÷ϯµÄÈÎÃ⣬Ӧµ±
¾Èý·ÖÖ®¶þÒÔÉÏ£¨º¬Èý·ÖÖ®¶þ£©¼àÊ»á³ÉÔ±±í¾öͨ¹ý¡£¼àÊ»áÖ÷ϯÕÙ¼¯ºÍÖ÷³Ö¼àÊ»á»áÒ飻¼àÊ»áÖ÷ϯ²»
ÄÜÂÄÐÐÖ°Îñ»òÕß²»ÂÄÐÐÖ°ÎñµÄ£¬ÓɰëÊýÒÔÉϼàʹ²Í¬ÍƾÙÒ»Ãû¼àÊÂÕÙ¼¯ºÍÖ÷³Ö¼àÊ»á»áÒé¡£
Article 218 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.
¼àÊ»áÓ¦µ±°üÀ¨¹É¶«´ú±íºÍÊʵ±±ÈÀýµÄ¹«Ë¾Ö°¹¤´ú±í£¬ÆäÖÐÖ°¹¤´ú±íµÄ±ÈÀý²»µÍÓÚ 1/3¡£¼àÊ»áÖеÄÖ°¹¤
´ú±íÓɹ«Ë¾Ö°¹¤Í¨¹ýÖ°¹¤´ú±í´ó»á¡¢Ö°¹¤´ó»á»òÕ߯äËûÐÎʽÃñÖ÷Ñ¡¾Ù²úÉúºÍ°ÕÃâ¡£
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.
µÚ¶þ°Ùһʮ¾ÅÌõ ¼àÊ»áÏò¹É¶«´ó»á¸ºÔ𣬲¢ÒÀ·¨ÐÐʹÏÂÁÐְȨ£º
Article 219 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:
(Ò») Ó¦µ±¶Ô¶Ê»á±àÖÆµÄ¹«Ë¾¶¨ÆÚ±¨¸æ½øÐÐÉóºË²¢Ìá³öÊéÃæÉóºËÒâ¼û£»
examine regular reports prepared by the Board of Directors and propose written examination
suggestions;
(¶þ) ¼ì²é¹«Ë¾²ÆÎñ£»
to review the Company¡¯s financial position;
(Èý) ¶Ô¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñµÄÐÐΪ½øÐмල£¬¶ÔÎ¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̻òÕ߹ɶ«´ó
»á¾öÒéµÄ¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ìá³ö°ÕÃâµÄ½¨Ò飻
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;
(ËÄ) µ±¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄÐÐΪË𺦹«Ë¾µÄÀûÒæÊ±£¬ÒªÇó¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÓèÒÔ¾ÀÕý£»
to demand any Director or senior officer who acts in a manner which is harmful to the Company¡¯s
interest to rectify such behavior;
70
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬ÔÚ¶Ê»᲻ÂÄÐС¶¹«Ë¾·¨¡·¹æ¶¨µÄÕÙ¼¯ºÍÖ÷³Ö¹É¶«´ó»áÖ°ÔðʱÕÙ¼¯ºÍÖ÷³Ö
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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;
(Áù) Ïò¹É¶«´ó»áÌá³öÌá°¸£»
to submit proposals to shareholders¡¯ general meetings;
(Æß) ´ú±í¹«Ë¾Óë¶Ê½»Éæ»òÒÀÕÕ¡¶¹«Ë¾·¨¡·µÚÒ»°ÙÎåÊ®¶þÌõµÄ¹æ¶¨£¬¶Ô¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÌáÆðËßËÏ£»
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;
(°Ë) ·¢ÏÖ¹«Ë¾¾ÓªÇé¿öÒì³££¬¿ÉÒÔ½øÐе÷²é£»±ØÒªÊ±£¬¿ÉÒÔÆ¸Çë»á¼ÆÊ¦ÊÂÎñËù¡¢ÂÉʦÊÂÎñËùµÈרҵ»ú¹¹
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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
(¾Å) ºË¶Ô¶Ê»áÄâÌá½»¹É¶«´ó»áµÄ²ÆÎñ±¨¸æ¡¢ÓªÒµ±¨¸æºÍÀûÈó·ÖÅä·½°¸µÈ²ÆÎñ×ÊÁÏ£¬·¢ÏÖÒÉÎʵģ¬¿ÉÒÔ
¹«Ë¾ÃûÒåίÍÐ×¢²á»á¼ÆÊ¦¡¢Ö´ÒµÉó¼ÆÊ¦°ïÖú¸´Éó£»
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
(Ê®) ¹«Ë¾Õ³̹涨µÄÆäËûְȨ¡£
such other functions and powers as provided by the Company¡¯s Articles of association.
µÚ¶þ°Ù¶þÊ®Ìõ ¼àÊ»áÓ¦ÖÆ¶¨¹æ·¶µÄ¼àÊ»áÒéʹæÔò£¬Ã÷È·¼àÊ»áµÄÒéÊ·½Ê½ºÍ±í¾ö³ÌÐò£¬ÒÔÈ·±£¼àÊ»á
µÄ¹¤×÷ЧÂʺͼලÁ¦¶È¡£
Article 220 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.
µÚ¶þ°Ù¶þʮһÌõ ¼àÊ»áÿ 6 ¸öÔÂÖÁÉÙÕÙ¿ªÒ»´Î»áÒ飬»áÒé֪ͨӦµ±ÔÚ»áÒéÕÙ¿ª 10 ÈÕÒÔǰ֪ͨȫÌå¼àÊ¡£
¼àÊ»á¿ÉÒÔÕÙ¿ªÁÙʱ¼àÊ»á»áÒ飬ÁÙʱ»áÒé¿ÉÒÔÒÔ´«Õæ¡¢Óʼþ»òרÈËËÍ´ïµÈ·½Ê½ÓÚ»áÒéÕÙ¿ªÇ° 5 ÈÕ֪ͨȫ
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Article 221 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.
µÚ¶þ°Ù¶þÊ®¶þÌõ ¼àÊ»á»áÒé֪ͨ°üÀ¨ÒÔÏÂÄÚÈÝ£º
Article 222 Notice of the meeting of the Board of Supervisors shall include:
(Ò») ¾ÙÐлáÒéµÄÈÕÆÚ¡¢µØµãºÍ»áÒéÆÚÏÞ£»
the date, place and duration of the meeting
(¶þ) ÊÂÓɼ°ÒéÌ⣻
particulars of a matter and the matters to be discussed; and
(Èý) ·¢³ö֪ͨµÄÈÕÆÚ¡£
71
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
the date when the notice is given.
µÚÈý½Ú ¼àÊ»á¾öÒé
Section 3 Resolution of the Board of Supervisors
µÚ¶þ°Ù¶þÊ®ÈýÌõ ¼àÊ»á»áÒéÓ¦Óɼàʱ¾ÈËÇ××Ô³öϯ£¬¼àÊÂÒò¹Ê²»ÄÜÇ××Ô³öϯʱ£¬¿ÉίÍÐÆäËû¼àÊ´úΪ³ö
ϯ£¬Î¯ÍÐÊéÓ¦Ã÷È·´úÀíÊÂÏîºÍȨÏÞ¡£
Article 223 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.
¼àÊ»á»áÒéÓ¦µ±°ëÊýÒÔÉϼàʳöϯ·½¿É¾ÙÐУ¬Ã¿Ò»¼àÊÂÏíÓÐһƱ±í¾öȨ¡£¼àÊ»á×ö³ö¾öÒ飬Ӧµ±ÓÉÈý·ÖÖ®
¶þÒÔÉÏ£¨º¬Èý·ÖÖ®¶þ£©¼àÊ»á³ÉÔ±±í¾öͨ¹ý¡£
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.
µÚ¶þ°Ù¶þÊ®ËÄÌõ ¼àÊ»á»áÒéÓ¦ÓмǼ£¬³öϯ»áÒéµÄ¼àʺͼǼÈË£¬Ó¦µ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£¼àÊÂÓÐȨҪ
ÇóÔڼǼÉÏ¶ÔÆäÔÚ»áÒéÉϵķ¢ÑÔ×÷³öijÖÖ˵Ã÷ÐÔ¼ÇÔØ¡£¼àÊ»á»áÒé¼Ç¼×÷Ϊ¹«Ë¾µµ°¸ÓɶÊ»áÃØÊé±£´æ¡£
¼àÊ»á»áÒé¼Ç¼µÄ±£¹ÜÆÚΪ 10 Äê¡£
Article 224 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.
µÚʮһÕ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄ×ʸñºÍÒåÎñ
Chapter 11 Qualifications and Duties of the Directors, Supervisors and
Senior Management Members of the Company
µÚ¶þ°Ù¶þÊ®ÎåÌõ ÓÐÏÂÁÐÇé¿öÖ®Ò»µÄ£¬²»µÃµ£Èι«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±£º
Article 225 No one shall be a Director, supervisor, general manager or other senior officer of the
Company if subject to any of the following circumstances:
(Ò») ÎÞÃñÊÂÐÐΪÄÜÁ¦»òÕßÏÞÖÆÃñÊÂÐÐΪÄÜÁ¦£»
being without civil capacity or having limited civil capacity;
(¶þ) Òò·¸ÓÐ̰ÎÛ¡¢»ß¸¡¢ÇÖÕ¼²Æ²ú¡¢Å²ÓòƲú×ï»òÕßÆÆ»µÉç»á¾¼ÃÖÈÐò×±»Åд¦ÐÌ·££¬Ö´ÐÐÆÚÂúδÓâ
ÎåÄ꣬»òÕßÒò·¸×ï±»°þ¶áÕþÖÎȨÀû£¬Ö´ÐÐÆÚÂúδÓâÎåÄꣻ
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;
(Èý) µ£ÈÎÒò¾Óª¹ÜÀí²»ÉÆÆÆ²úÇåËãµÄ¹«Ë¾¡¢ÆóÒµµÄ¶Ê»òÕß³§³¤¡¢¾Àí£¬²¢¶Ô¸Ã¹«Ë¾¡¢ÆóÒµµÄÆÆ²ú¸ºÓÐ
¸öÈËÔðÈεģ¬×Ըù«Ë¾¡¢Æó񵮮²úÇåËãÍê½áÖ®ÈÕÆðδÓâÈýÄꣻ
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;
(ËÄ) µ£ÈÎÒòÎ¥·¨±»µõÏúÓªÒµÖ´ÕյĹ«Ë¾¡¢ÆóÒµµÄ·¨¶¨´ú±íÈË£¬²¢¸ºÓиöÈËÔðÈεģ¬×Ըù«Ë¾¡¢ÆóÒµ±»µõ
72
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ÏúÓªÒµÖ´ÕÕÖ®ÈÕÆðδÓâÈýÄꣻ
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;
(Îå) ¸öÈËËù¸ºÊý¶î½Ï´óµÄÕ®Îñµ½ÆÚδÇå³¥£»
being a debtor personally liable for a relatively large debt which has not been paid as it fell due;
(Áù) Òò´¥·¸ÐÌ·¨±»Ë¾·¨»ú¹ØÁ¢°¸µ÷²é£¬ÉÐδ½á°¸£»
having been subject to an investigation by judicial authorities for criminal offences, and such
investigation not having come to an end;
(Æß) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨²»Äܵ£ÈÎÆóÒµÁìµ¼£»
being banned from being senior management of enterprises by laws and regulations;
(°Ë) ·Ç×ÔÈ»ÈË£»
being a non-natural person;
(¾Å) ±»ÖйúÖ¤¼à»á´¦ÒÔ֤ȯÊг¡½ûÈë´¦·££¬ÆÚÏÞδÂúµÄ£»
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
(Ê®) ±»ÓйØÖ÷¹Ü»ú¹¹²Ã¶¨Î¥·´ÓйØÖ¤È¯·¨¹æµÄ¹æ¶¨£¬ÇÒÉæ¼°ÓÐÆÛÕ©»òÕß²»³ÏʵµÄÐÐΪ£¬×Ըòö¨Ö®ÈÕÆð
δÓâÎåÄê¡£
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;
µÚ¶þ°Ù¶þÊ®ÁùÌõ ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±´ú±í¹«Ë¾µÄÐÐΪ¶ÔÉÆÒâµÚÈýÈ˵ÄÓÐЧÐÔ£¬²»ÒòÆäÔÚÈÎÖ°¡¢Ñ¡¾Ù
»òÕß×ʸñÉÏÓÐÈκβ»ºÏ¹æÐÐΪ¶øÊÜÓ°Ïì¡£
Article 226 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.
µÚ¶þ°Ù¶þÊ®ÆßÌõ ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔòÒªÇóµÄÒåÎñÍ⣬¹«Ë¾¶Ê¡¢
¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÐÐʹ¹«Ë¾¸³ÓèËûÃǵÄְȨʱ£¬»¹Ó¦µ±¶Ôÿ¸ö¹É¶«¸ºÓÐÏÂÁÐÒåÎñ£º
Article 227 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:
(Ò») ²»µÃʹ¹«Ë¾³¬Ô½ÆäÓªÒµÖ´Õչ涨µÄÓªÒµ·¶Î§£»
not to cause the Company to exceed the scope of business stipulated in its business license;
(¶þ) Ó¦µ±Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐÊ£»
to act honestly and in the best interests of the Company;
(Èý) ²»µÃÒÔÈκÎÐÎʽ°þ¶á¹«Ë¾²Æ²ú£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©¶Ô¹«Ë¾ÓÐÀûµÄ»ú»á£»
not to expropriate the Company¡¯s property in any way, including (without limitation) usurpation of
opportunities which benefit the Company;
(ËÄ) ²»µÃ°þ¶á¹É¶«µÄ¸öÈËÈ¨Òæ£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©·ÖÅäȨ¡¢±í¾öȨ£¬µ«²»°üÀ¨¸ù¾Ý¹«Ë¾Õ³ÌÌá½»¹É¶«´ó
»áͨ¹ýµÄ¹«Ë¾¸Ä×é¡£
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
73
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
has been submitted to the shareholders for approval in accordance with the Company¡¯s Articles of
Association.
µÚ¶þ°Ù¶þÊ®°ËÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¶¼ÓÐÔðÈÎÔÚÐÐʹÆäȨÀû»òÕßÂÄÐÐÆäÒåÎñʱ£¬
ÒÔÒ»¸öºÏÀíµÄ½÷É÷µÄÈËÔÚÏàËÆÇéÐÎÏÂËùÓ¦±íÏֵĽ÷É÷¡¢ÇÚÃãºÍ¼¼ÄÜΪÆäËùӦΪµÄÐÐΪ¡£
Article 228 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.
µÚ¶þ°Ù¶þÊ®¾ÅÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÂÄÐÐÖ°Ôðʱ£¬±ØÐë×ñÊØ³ÏÐÅÔÔò£¬²»Ó¦
µ±ÖÃ×Ô¼ºÓÚ×ÔÉíµÄÀûÒæÓë³Ðµ£µÄÒåÎñ¿ÉÄÜ·¢Éú³åÍ»µÄ´¦¾³¡£´ËÔÔò°üÀ¨£¨µ«²»ÏÞÓÚ£©ÂÄÐÐÏÂÁÐÒåÎñ£º
Article 229 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):
(Ò») Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐÊ£»
to act honestly in the best interest of the Company;
(¶þ) ÔÚÆäְȨ·¶Î§ÄÚÐÐʹȨÁ¦£¬²»µÃԽȨ£»
to act within the scope of its powers and not to exceed such powers;
(Èý) Ç××ÔÐÐʹËù¸³ÓèËûµÄ×ÃÁ¿´¦ÀíȨ£¬²»µÃÊÜËûÈ˲Ù×Ý£»·Ç¾·¨ÂÉ¡¢ÐÐÕþ·¨¹æÔÊÐí»òÕߵõ½¹É¶«´ó»áÔÚ
ÖªÇéµÄÇé¿öϵÄͬÒ⣬²»µÃ½«Æä×ÃÁ¿´¦ÀíȨת¸øËûÈËÐÐʹ£»
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;
(ËÄ) ¶ÔͬÀà±ðµÄ¹É¶«Ó¦µ±Æ½µÈ£¬¶Ô²»Í¬Àà±ðµÄ¹É¶«Ó¦µ±¹«Æ½£»
to treat shareholders of the same class with equality, and different classes with fairness;
(Îå) ³ý¹«Ë¾Õ³ÌÁíÓй涨»òÕßÓɹɶ«´ó»áÔÚÖªÇéµÄÇé¿öÏÂÁíÓÐÅú×¼Í⣬²»µÃÓ빫˾¶©Á¢ºÏͬ¡¢½»Ò×»òÕß
°²ÅÅ£»
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;
(Áù) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃÒÔÈκÎÐÎʽÀûÓù«Ë¾²Æ²úΪ×Ô¼ºÄ±È¡ÀûÒæ£»
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;
(Æß) ²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÒÔÈκÎÐÎʽÇÖÕ¼¹«Ë¾µÄ²Æ²ú£¬°üÀ¨£¨µ«²»ÏÞÓÚ£©¶Ô
¹«Ë¾ÓÐÀûµÄ»ú»á£»
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
Company;
(°Ë) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃ½ÓÊÜÓ빫˾½»Ò×ÓйصÄÓ¶½ð£»
not to accept commissions relating to the transactions of the Company, without the approval of the
shareholders with full knowledge at the general meeting;
(¾Å) ×ñÊØ¹«Ë¾Õ³̣¬ÖÒʵÂÄÐÐÖ°Ôð£¬Î¬»¤¹«Ë¾ÀûÒæ£¬²»µÃÀûÓÃÆäÔÚ¹«Ë¾µÄµØÎ»ºÍְȨΪ×Ô¼ºÄ±È¡Ë½Àû£»
to obey the Company¡¯s Articles of Association, perform his duties honestly and faithfully, protect
74
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
the Company¡¯s interests, and not to pursue his personal gain by taking advantage of his powers
and positions at the Company;
(Ê®) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃÒÔÈκÎÐÎʽÓ빫˾¾ºÕù£»
not to compete with the Company in any way unless approved by the shareholders with full
knowledge at the general meeting;
(ʮһ) ²»µÃŲÓù«Ë¾×ʽð»òÕß½«¹«Ë¾×ʽð½è´û¸øËûÈË£¬²»µÃ½«¹«Ë¾×ʲúÒÔÆä¸öÈËÃûÒå»òÕßÒÔÆäËûÃûÒ忪Á¢
ÕÊ»§´æ´¢£¬²»µÃÒÔ¹«Ë¾×ʲúΪ±¾¹«Ë¾µÄ¹É¶«»òÕ߯äËû¸öÈËÕ®ÎñÌṩµ£±££»
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;
(Ê®¶þ) δ¾¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öÏÂͬÒ⣬²»µÃй¶ÆäÔÚÈÎÖ°ÆÚ¼äËù»ñµÃµÄÉæ¼°±¾¹«Ë¾µÄ»úÃÜÐÅÏ¢£»³ý·Ç
ÒÔ¹«Ë¾ÀûÒæÎªÄ¿µÄ£¬Ò಻µÃÀûÓøÃÐÅÏ¢£»µ«ÊÇ£¬ÔÚÏÂÁÐÇé¿öÏ£¬¿ÉÒÔÏò·¨Ôº»òÕ߯äËûÕþ¸®Ö÷¹Ü»ú¹¹
Åû¶¸ÃÐÅÏ¢£º
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¡¢ ·¨ÂÉÓй涨£»
as prescribed by law;
2¡¢ ¹«ÖÚÀûÒæÓÐÒªÇó£»
as required for the purpose of public interest;
3¡¢ ¸Ã¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±±¾ÉíµÄÀûÒæÓÐÒªÇó¡£
as required for the purpose of such Director¡¯s, supervisor¡¯s, general manager¡¯s or other
senior management members¡¯ own interests.
¶Êº͸߼¶¹ÜÀíÈËԱΥ·´±¾Ìõ¹æ¶¨ËùµÃµÄÊÕÈ룬Ӧµ±¹é¹«Ë¾ËùÓС£
The proceeds obtained by the Directors and senior management members in violation of this article shall
belong to the Company.
µÚ¶þ°ÙÈýÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬²»µÃָʹÏÂÁÐÈËÔ±»òÕß»ú¹¹£¨¡°Ïà¹ØÈË¡±£©×÷
³ö¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±²»ÄÜ×÷µÄÊ£º
Article 230 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:
(Ò») ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÅäż»òÕßδ³ÉÄê×ÓÅ®£»
spouses or underage children of Directors, supervisors, general manager or other senior
management members of the Company;
(¶þ) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±»òÕß±¾Ìõ£¨Ò»£©ÏîËùÊöÈËÔ±µÄÐÅÍÐÈË£»
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;
(Èý) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±»òÕß±¾Ìõ£¨Ò»£©¡¢£¨¶þ£©ÏîËùÊöÈËÔ±µÄºÏ»ïÈË£»
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;
75
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(ËÄ) Óɹ«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÊÂʵÉϵ¥¶À¿ØÖƵĹ«Ë¾£¬»òÕßÓë±¾Ìõ£¨Ò»£©¡¢£¨¶þ£©¡¢
£¨Èý£©ÏîËùÌá¼°µÄÈËÔ±»òÕß¹«Ë¾ÆäËû¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚÊÂʵÉϹ²Í¬¿ØÖƵĹ«
˾£»
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
(Îå) ±¾Ìõ£¨ËÄ£©ÏîËùÖ¸±»¿ØÖƵĹ«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¡£
Directors, supervisors, general manager and other senior management members of the company
(companies) referred to by item (iv) of this Article
µÚ¶þ°ÙÈýʮһÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ëù¸ºµÄ³ÏÐÅÒåÎñ²»Ò»¶¨ÒòÆäÈÎÆÚ½áÊø¶øÖÕ
Ö¹£¬Æä¶Ô¹«Ë¾ÉÌÒµÃØÃܱ£ÃܵÄÒåÎñÔÚÆäÈÎÆÚ½áÊøºóÈÔÓÐЧ¡£ÆäËûÒåÎñµÄ³ÖÐøÆÚÓ¦µ±¸ù¾Ý¹«Æ½µÄÔÔò¾ö¶¨£¬
È¡¾öÓÚʼþ·¢ÉúʱÓëÀëÈÎÖ®¼äʱ¼äµÄ³¤¶Ì£¬ÒÔ¼°Ó빫˾µÄ¹ØÏµÔÚºÎÖÖÇéÐκÍÌõ¼þϽáÊø¡£
Article 231 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.
µÚ¶þ°ÙÈýÊ®¶þÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÒòÎ¥·´Ä³Ïî¾ßÌåÒåÎñËù¸ºµÄÔðÈΣ¬¿ÉÒÔÓÉ
¹É¶«´ó»áÔÚÖªÇéµÄÇé¿öϽâ³ý£¬µ«ÊDZ¾Õ³̵ÚÁùÊ®ÎåÌõËù¹æ¶¨µÄÇéÐγýÍâ¡£
Article 232 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.
µÚ¶þ°ÙÈýÊ®ÈýÌõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬Ö±½Ó»òÕß¼ä½ÓÓ빫˾ÒѶ©Á¢µÄ»òÕ߼ƻ®
ÖеĺÏͬ¡¢½»Òס¢°²ÅÅÓÐÖØÒªÀûº¦¹ØÏµÊ±£¨¹«Ë¾Óë¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄƸÈκÏͬ³ý
Í⣩£¬²»ÂÛÓйØÊÂÏîÔÚÕý³£Çé¿öÏÂÊÇ·ñÐèÒª¶Ê»áÅú׼ͬÒ⣬¾ùÓ¦µ±¾¡¿ìÏò¶Ê»áÅû¶ÆäÀûº¦¹ØÏµµÄÐÔÖÊ
ºÍ³Ì¶È¡£
Article 233 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.
³ýÏã¸ÛÁª½»ËùÅú×¼µÄ¹«Ë¾Õ³ÌËùÌØ±ðÖ¸Ã÷µÄÇé¿ö£¨ÈçÓУ©Í⣬¶Ê²»µÃ¾ÍÈκÎͨ¹ýÆä±¾ÈË»òÆäÈκÎÁªÏµÈË
ÓµÓÐÖØ´óÈ¨ÒæµÄºÏÔ¼»ò°²ÅÅ»òÈÎºÎÆäËû½¨ÒéµÄ¶Ê»á¾öÒé½øÐÐͶƱ£»ÔÚÈ·¶¨ÊÇ·ñÓз¨¶¨ÈËÊý³öϯ¶Ê»á»á
Òéʱ£¬Æä±¾ÈËÒ಻µÃµãËãÔÚÄÚ¡£
In addition to the circumstances (if any) particularly prescribed in the Company¡¯s 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.
³ý·ÇÓÐÀûº¦¹ØÏµµÄ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±°´ÕÕ±¾ÌõµÚÒ»¿îµÄÒªÇóÏò¶Ê»á×öÁËÅû¶£¬
76
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
²¢ÇÒ¶Ê»áÔÚ²»½«Æä¼ÆÈë·¨¶¨ÈËÊý£¬Òàδ²Î¼Ó±í¾öµÄ»áÒéÉÏÅú×¼Á˸ÃÊÂÏ¹«Ë¾ÓÐȨ³·Ïû¸ÃºÏͬ¡¢½»Ò×»ò
Õß°²ÅÅ£¬µ«ÔÚ¶Ô·½ÊǶÔÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´ÆäÒåÎñµÄÐÐΪ²»ÖªÇéµÄÉÆÒâµ±ÊÂ
È˵ÄÇéÐÎϳýÍâ¡£
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.
¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÏà¹ØÈËÓëijºÏͬ¡¢½»Òס¢°²ÅÅÓÐÀûº¦¹ØÏµµÄ£¬ÓйضÊ¡¢
¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ò²Ó¦±»ÊÓΪÓÐÀûº¦¹ØÏµ¡£
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.
µÚ¶þ°ÙÈýÊ®ËÄÌõ Èç¹û¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÔÚ¹«Ë¾Ê״ο¼ÂǶ©Á¢ÓйغÏͬ¡¢½»Òס¢
°²ÅÅǰÒÔÊéÃæÐÎʽ֪ͨ¶Ê»ᣬÉùÃ÷ÓÉÓÚ֪ͨËùÁеÄÄÚÈÝ£¬¹«Ë¾ÈÕºó´ï³ÉµÄºÏͬ¡¢½»Òס¢°²ÅÅÓëÆäÓÐÀûº¦
¹ØÏµ£¬ÔòÔÚ֪ͨ²ûÃ÷µÄ·¶Î§ÄÚ£¬ÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÓΪ×öÁ˱¾ÕÂǰÌõËù¹æ¶¨µÄ
Åû¶¡£
Article 234 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.
µÚ¶þ°ÙÈýÊ®ÎåÌõ ¹«Ë¾²»µÃÒÔÈκη½Ê½ÎªÆä¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±½ÉÄÉ˰¿î¡£
Article 235 The Company shall not, in any manner, perform tax duties for its Directors, supervisors,
general manager and other senior management members.
µÚ¶þ°ÙÈýÊ®ÁùÌõ ¹«Ë¾²»µÃÖ±½Ó»òÕß¼ä½ÓÏò±¾¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ´û¿î¡¢
´û¿îµ£±££»Ò಻µÃÏòǰÊöÈËÔ±µÄÏà¹ØÈËÌṩ´û¿î¡¢´û¿îµ£±£¡£
Article 236 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.
ǰ¿î¹æ¶¨²»ÊÊÓÃÓÚÏÂÁÐÇéÐΣº
The foregoing shall not apply to the following circumstances:
(Ò») ¹«Ë¾ÏòÆä×Ó¹«Ë¾Ìṩ´û¿î»òÕßΪ×Ó¹«Ë¾Ìṩ´û¿îµ£±££»
the provision by the Company of a loan or loan guarantee to its subsidiaries;
(¶þ) ¹«Ë¾¸ù¾Ý¾¹É¶«´ó»áÅú×¼µÄƸÈκÏͬ£¬Ïò¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ´û¿î¡¢
´û¿îµ£±£»òÕ߯äËû¿îÏʹ֧֮¸¶ÎªÁ˹«Ë¾Ä¿µÄ»òÕßΪÁËÂÄÐÐÆä¹«Ë¾Ö°ÔðËù·¢ÉúµÄ·ÑÓá£
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
77
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
general meeting;
(Èý) È繫˾µÄÕý³£ÒµÎñ·¶Î§°üÀ¨Ìṩ´û¿î¡¢´û¿îµ£±££¬¹«Ë¾¿ÉÒÔÏòÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶
¹ÜÀíÈËÔ±¼°ÆäÏà¹ØÈËÌṩ´û¿î¡¢´û¿îµ£±££¬µ«Ìṩ´û¿î¡¢´û¿îµ£±£µÄÌõ¼þÓ¦µ±ÊÇÕý³£ÉÌÎñÌõ¼þ¡£
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.
µÚ¶þ°ÙÈýÊ®ÆßÌõ ¹«Ë¾Î¥·´Ç°Ìõ¹æ¶¨Ìṩ´û¿îµÄ£¬²»ÂÛÆä´û¿îÌõ¼þÈçºÎ£¬ÊÕµ½¿îÏîµÄÈËÓ¦µ±Á¢¼´³¥»¹¡£
Article 237 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.
µÚ¶þ°ÙÈýÊ®°ËÌõ ¹«Ë¾Î¥·´µÚ¶þ°ÙÈýÊ®ÁùÌõµÚÒ»¿îµÄ¹æ¶¨ËùÌṩµÄ´û¿îµ£±££¬²»µÃÇ¿ÖÆ¹«Ë¾Ö´ÐУ»µ«ÏÂÁÐ
Çé¿ö³ýÍ⣺
Article 238 A guarantee for the repayment of a loan which has been provided by the Company in breach
of the preceding Article 236 (i) shall not be enforceable against the Company, save in respect of the
following circumstances:
(Ò») Ïò¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄÏà¹ØÈËÌṩ´û¿îʱ£¬Ìṩ´û¿îÈ˲»ÖªÇéµÄ£»
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
(¶þ) ¹«Ë¾ÌṩµÄµ£±£ÎïÒÑÓÉÌṩ´û¿îÈ˺Ϸ¨µØÊÛÓèÉÆÒ⹺ÂòÕߵġ£
the collateral which has been provided by the Company has already been lawfully disposed of by
the lender to a bona fide purchaser.
µÚ¶þ°ÙÈýÊ®¾ÅÌõ ±¾ÕÂǰÊöÌõ¿îÖÐËù³Æµ£±££¬°üÀ¨Óɱ£Ö¤È˳е£ÔðÈλòÕßÌṩ²Æ²úÒÔ±£Ö¤ÒåÎñÈËÂÄÐÐÒåÎñ
µÄÐÐΪ¡£
Article 239 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.
µÚ¶þ°ÙËÄÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´¶Ô¹«Ë¾Ëù¸ºµÄÒåÎñʱ£¬³ý·¨ÂÉ¡¢ÐÐÕþ·¨
¹æ¹æ¶¨µÄ¸÷ÖÖȨÀû¡¢²¹¾È´ëÊ©Í⣬¹«Ë¾ÓÐȨ²ÉÈ¡ÒÔÏ´ëÊ©£º
Article 240 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:
(Ò») ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Åâ³¥ÓÉÓÚÆäʧְ¸ø¹«Ë¾Ôì³ÉµÄËðʧ£»
to demand such Director, supervisor, general manager or other senior officer compensate for the
losses sustained by it as a result of such breach;
(¶þ) ³·ÏûÈκÎÓɹ«Ë¾ÓëÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±¶©Á¢µÄºÏͬ»òÕß½»Ò×£¬ÒÔ¼°Óɹ«Ë¾
ÓëµÚÈýÈË£¨µ±µÚÈýÈËÃ÷Öª»òÕßÀíÓ¦ÖªµÀ´ú±í¹«Ë¾µÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËԱΥ·´ÁË
¶Ô¹«Ë¾Ó¦¸ºµÄÒåÎñ£©¶©Á¢µÄºÏͬ»òÕß½»Ò×£»
to rescind any contract or transaction which has been entered into between the Company and such
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.
(Èý) ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±½»³öÒòÎ¥·´ÒåÎñ¶ø»ñµÃµÄÊÕÒæ£»
to demand such Director, supervisor, general manager or other senior officer account for the profits
78
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
made as result of the breach of his duty;
(ËÄ) ×·»ØÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÕÊܵı¾Ó¦Îª¹«Ë¾ËùÊÕÈ¡µÄ¿îÏ°üÀ¨£¨µ«²»ÏÞ
ÓÚ£©Ó¶½ð£»
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
(Îå) ÒªÇóÓйضÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÍË»¹Òò±¾Ó¦½»Ó蹫˾µÄ¿îÏîËù׬ȡµÄ¡¢»òÕß¿ÉÄÜ
׬ȡµÄÀûÏ¢¡£
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.
µÚ¶þ°ÙËÄʮһÌõ ¹«Ë¾Ó¦µ±¾Í±¨³êÊÂÏîÓ빫˾¶Ê¡¢¼àʶ©Á¢ÊéÃæºÏͬ£¬²¢¾¹É¶«´ó»áÊÂÏÈÅú×¼¡£Ç°Êö±¨
³êÊÂÏî°üÀ¨£º
Article 241 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:
(Ò») ×÷Ϊ¹«Ë¾µÄ¶Ê¡¢¼àÊ»òÕ߸߼¶¹ÜÀíÈËÔ±µÄ±¨³ê£»
emoluments in respect of his service as Director, supervisor or senior officer of the Company;
(¶þ) ×÷Ϊ¹«Ë¾µÄ×Ó¹«Ë¾µÄ¶Ê¡¢¼àÊ»òÕ߸߼¶¹ÜÀíÈËÔ±µÄ±¨³ê£»
emoluments in respect of his service as Director, supervisor or senior officer of any subsidiary of
the Company;
(Èý) Ϊ¹«Ë¾¼°Æä×Ó¹«Ë¾µÄ¹ÜÀíÌṩÆäËû·þÎñµÄ±¨³ê£»
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;
(ËÄ) ¸Ã¶Ê»òÕß¼àÊÂÒòʧȥְλ»òÕßÍËÐÝËù»ñ²¹³¥µÄ¿îÏî¡£
payment by way of compensation for loss of office or as consideration for or in connection with his
retirement from office.
³ý°´Ç°ÊöºÏͬÍ⣬¶Ê¡¢¼àʲ»µÃÒòǰÊöÊÂÏîΪÆäÓ¦»ñÈ¡µÄÀûÒæÏò¹«Ë¾Ìá³öËßËÏ¡£
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.
µÚ¶þ°ÙËÄÊ®¶þÌõ ¹«Ë¾ÔÚÓ빫˾¶Ê¡¢¼àʶ©Á¢µÄÓйر¨³êÊÂÏîµÄºÏͬÖÐÓ¦µ±¹æ¶¨£¬µ±¹«Ë¾½«±»ÊÕ¹ºÊ±£¬
¹«Ë¾¶Ê¡¢¼àÊÂÔڹɶ«´ó»áÊÂÏÈÅú×¼µÄÌõ¼þÏ£¬ÓÐȨȡµÃÒòʧȥְλ»òÕßÍËÐݶø»ñµÃµÄ²¹³¥»òÕ߯äËû¿îÏî¡£
ǰ¿îËù³Æ¹«Ë¾±»ÊÕ¹ºÊÇÖ¸ÏÂÁÐÇé¿öÖ®Ò»£º
Article 242 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:
(Ò») ÈκÎÈËÏòÈ«Ìå¹É¶«Ìá³öÊÕ¹ºÒªÔ¼£»
a tender offer made by any person to all the shareholders; or
(¶þ) ÈκÎÈËÌá³öÊÕ¹ºÒªÔ¼£¬Ö¼ÔÚʹҪԼÈ˳ÉΪ¿Ø¹É¹É¶«¡£¿Ø¹É¹É¶«µÄ¶¨ÒåÓë±¾Õ³̵ÚÁùÊ®ÁùÌõÖе͍Òå
Ïàͬ¡£
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.
79
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Èç¹ûÓйضÊ¡¢¼àʲ»×ñÊØ±¾Ìõ¹æ¶¨£¬ÆäÊÕµ½µÄÈκοîÏӦµ±¹éÄÇЩÓÉÓÚ½ÓÊÜǰÊöÒªÔ¼¶ø½«Æä¹É·Ý³öÊÛ
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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.
µÚÊ®¶þÕ ²ÆÎñ»á¼ÆÖƶȡ¢ÀûÈó·ÖÅäºÍÉó¼Æ
Chapter 12 Financial and Accounting Systems,
Profit Distribution and Auditing
µÚÒ»½Ú ²ÆÎñ»á¼ÆÖƶÈ
Section 1 Financial and Accounting System
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Article 243 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.
µÚ¶þ°ÙËÄÊ®ËÄÌõ ¹«Ë¾ÔÚÿһ»á¼ÆÄê¶È½áÊøÖ®ÈÕÆð 4 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áºÍ֤ȯ½»Ò×Ëù±¨ËÍÄê¶È²ÆÎñ»á¼Æ
±¨¸æ£¬ÔÚÿһ»á¼ÆÄê¶Èǰ 6 ¸öÔ½áÊøÖ®ÈÕÆð 2 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áÅɳö»ú¹¹ºÍ֤ȯ½»Ò×Ëù±¨ËͰëÄê¶È²ÆÎñ
»á¼Æ±¨¸æ£¬ÔÚÿһ»á¼ÆÄê¶Èǰ 3 ¸öÔºÍǰ 9 ¸öÔ½áÊøÖ®ÈÕÆðµÄ 1 ¸öÔÂÄÚÏòÖйúÖ¤¼à»áÅɳö»ú¹¹ºÍ֤ȯ½»Ò×
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Article 244 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.
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The aforementioned financial and accounting reports shall be prepared in accordance with laws,
administrative regulations and department rules.
µÚ¶þ°ÙËÄÊ®ÎåÌõ ¹«Ë¾¶Ê»áÓ¦µ±ÔÚÿ´Î¹É¶«Äê»áÉÏ£¬Ïò¹É¶«³Ê½»Óйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢µØ·½Õþ¸®¼°Ö÷¹Ü
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Article 245 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.
µÚ¶þ°ÙËÄÊ®ÁùÌõ ¹«Ë¾µÄ²ÆÎñ±¨¸æÓ¦µ±ÔÚÕÙ¿ª¹É¶«´ó»áÄê»áµÄ¶þÊ®ÈÕÒÔǰÖñ¸ÓÚ±¾¹«Ë¾£¬¹©¹É¶«²éÔÄ¡£¹«
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Article 246 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.
¹«Ë¾ÖÁÉÙÓ¦µ±Ôڹɶ«´ó»áÄê»áÕÙ¿ªÇ°¶þʮһÈÕ£¨¼°Ïà¹Ø·¨ÂÉ·¨¹æºÍ¡¶Ïã¸ÛÉÏÊйæÔò¡·Ï²»Ê±¹æ¶¨µÄ¸ü³¤Ê±
80
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ÏÞ£©½«Ç°Êö²ÆÎñ±¨¸æ¡¢¶Ê»ᱨ¸æÁ¬Í¬×ʲú¸ºÕ®±í£¨°üÀ¨·¨Àý¹æ¶¨Ð븽¼ÓÚ×ʲú¸ºÕ®±íµÄÿ·ÝÎļþ£©¼°Ëð
Òæ±í»òÊÕÖ§¼ÆËã±í£¬»ò²ÆÎñÕªÒª±¨¸æ£¬ÒÔÓÊ×ÊÒѸ¶µÄÓʼþ»òÒÔ±¾Õ³̹涨µÄÆäËû·½Ê½·¢Ë͸øÃ¿¸ö¾³ÍâÉÏÊÐ
Íâ×ʹɹɶ«£»ÈçÒÔÓʼþ·½Ê½Ëͳö£¬ÊÕ¼þÈ˵ØÖ·ÒԹɶ«Ãû²áÉϵǼǵĵØÖ·Îª×¼¡£
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.
µÚ¶þ°ÙËÄÊ®ÆßÌõ ¹«Ë¾µÄ²ÆÎñ±¨±í³ýÓ¦µ±°´Öйú»á¼Æ×¼Ôò¼°·¨¹æ±àÖÆÍ⣬»¹Ó¦µ±°´¹ú¼Ê»òÕß¾³ÍâÉÏÊеػá
¼Æ×¼Ôò±àÖÆ¡£Èç°´Á½ÖÖ»á¼Æ×¼Ôò±àÖÆµÄ²ÆÎñ±¨±íÓÐÖØÒª³öÈ룬Ӧµ±ÔÚ²ÆÎñ±¨±í¸½×¢ÖмÓÒÔ×¢Ã÷¡£¹«Ë¾ÔÚ·Ö
ÅäÓÐ¹Ø»á¼ÆÄê¶ÈµÄ˰ºóÀûÈóʱ£¬ÒÔǰÊöÁ½ÖÖ²ÆÎñ±¨±íÖÐ˰ºóÀûÈóÊý½ÏÉÙÕßΪ׼¡£
Article 247 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.
µÚ¶þ°ÙËÄÊ®°ËÌõ ¹«Ë¾¹«²¼»òÕßÅû¶µÄÖÐÆÚÒµ¼¨»òÕß²ÆÎñ×ÊÁÏÓ¦µ±°´Öйú»á¼Æ×¼Ôò¼°·¨¹æ±àÖÆ£¬Í¬Ê±°´¹ú
¼Ê»òÕß¾³ÍâÉÏÊÐµØ»á¼Æ×¼Ôò±àÖÆ¡£
Article 248 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.
µÚ¶þ°ÙËÄÊ®¾ÅÌõ ¹«Ë¾³ý·¨¶¨µÄ»á¼ÆÕ˲¾Í⣬½«²»ÁíÁ¢»á¼ÆÕ˲¾¡£¹«Ë¾µÄ×ʲú£¬²»ÒÔÈκθöÈËÃûÒ忪Á¢ÕË
»§´æ´¢¡£
Article 249 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.
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Article 250 The capital common reserve fund includes the following items:
(Ò») ³¬¹ý¹ÉÆ±Ãæ¶î·¢ÐÐËùµÃµÄÒç¼Û¿î£»
any premium above the proceeds from share issuances at face value; and
(¶þ) ¹úÎñÔº²ÆÕþÖ÷¹Ü²¿ÃŹ涨ÁÐÈë×ʱ¾¹«»ý½ðµÄÆäËûÊÕÈë¡£
any other income designated for the capital common reserve fund by regulation of the finance
regulatory department of the State Council.
µÚ¶þ°ÙÎåʮһÌõ ¹«Ë¾·ÖÅäµ±Äê˰ºóÀûÈóʱ,Ó¦µ±ÌáÈ¡ÀûÈóµÄ 10%ÁÐÈ빫˾·¨¶¨¹«»ý½ð¡£¹«Ë¾·¨¶¨¹«»ý½ðÀÛ
¼Æ¶îΪ¹«Ë¾×¢²á×ʱ¾µÄ 50%ÒÔÉϵÄ,¿ÉÒÔ²»ÔÙÌáÈ¡¡£
Article 251 In distributing its after-tax profits, the Company shall allocate ten percent (10%) of its
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.
¹«Ë¾µÄ·¨¶¨¹«»ý½ð²»×ãÒÔÃÖ²¹ÒÔǰÄê¶È¿÷ËðµÄ,ÔÚÒÀÕÕǰ¿î¹æ¶¨ÌáÈ¡·¨¶¨¹«»ý½ð֮ǰ,Ó¦µ±ÏÈÓõ±ÄêÀûÈóÃÖ
²¹¿÷Ëð¡£
Where the statutory common reserve fund of the Company is not sufficient to cover the Company¡¯s loss
81
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¹«Ë¾´Ó˰ºóÀûÈóÖÐÌáÈ¡·¨¶¨¹«»ý½ðºó,¿ÉÒÔ´Ó˰ºóÀûÈóÖÐÌáÈ¡ 10%µÄÈÎÒâÓ¯Ó๫»ý½ð¡£
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.
¹«Ë¾ÃÖ²¹¿÷ËðºÍÌáÈ¡¹«»ý½ðºóËùÓà˰ºóÀûÈó,°´Õչɶ«³ÖÓеĹɷݱÈÀý·ÖÅä,µ«±¾Õ³̹涨²»°´³Ö¹É±ÈÀý·Ö
ÅäµÄ³ýÍâ¡£
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.
¹É¶«´ó»áÎ¥·´Ç°¿î¹æ¶¨,ÔÚ¹«Ë¾ÃÖ²¹¿÷ËðºÍÌáÈ¡·¨¶¨¹«»ý½ð֮ǰÏò¹É¶«·ÖÅäÀûÈóµÄ,¹É¶«±ØÐ뽫Υ·´¹æ¶¨·Ö
ÅäµÄÀûÈóÍË»¹¹«Ë¾¡£
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.
¹«Ë¾³ÖÓеı¾¹«Ë¾¹É·Ý²»²ÎÓë·ÖÅäÀûÈó¡£
The shares of the Company held by the Company may not apply to profit distribution.
µÚ¶þ°ÙÎåÊ®¶þÌõ ¹«Ë¾µÄ¹«»ý½ðÓÃÓÚÃÖ²¹¹«Ë¾µÄ¿÷Ëð¡¢À©´ó¹«Ë¾Éú²ú¾Óª»òÕßתΪÔö¼Ó¹«Ë¾×ʱ¾¡£µ«ÊÇ£¬
×ʱ¾¹«»ý½ð½«²»ÓÃÓÚÃÖ²¹¹«Ë¾µÄ¿÷Ëð¡£
Article 252 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.
·¨¶¨¹«»ý½ðתΪ×ʱ¾Ê±£¬ËùÁô´æµÄ¸ÃÏ»ý½ð½«²»ÉÙÓÚתÔöǰ¹«Ë¾×¢²á×ʱ¾µÄ 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.
µÚ¶þ°ÙÎåÊ®ÈýÌõ ¹«Ë¾¹É¶«´ó»á°´ÕÕ¹ú¼ÒÓйط¨ÂÉ·¨¹æ¹æ¶¨Í¨¹ýÀûÈó·ÖÅä·½°¸¾öÒ飬¹«Ë¾¶Ê»áÐëÔڹɶ«
´ó»á¾öÒéºó 2 ¸öÔÂÄÚÍê³ÉÀûÈó·ÖÅäÊÂÏî¡£
Article 253 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.
µÚ¶þ°ÙÎåÊ®ËÄÌõ ¹«Ë¾µÄÀûÈó·ÖÅäÕþ²ßÐë×ñÊØÏÂÁй涨£º
Article 254 The profit distribution policies of the Company shall observe the following provisions:
(Ò») ¹«Ë¾µÄÀûÈó·ÖÅäÓ¦µ±ÖØÊÓ¶ÔͶ×ÊÕߵĺÏÀí»Ø±¨£¬ÔÚ¼æ¹Ë¹«Ë¾ºÏÀí×ʽðÐèÇóµÄÇé¿öÏ£¬Ó¦½áºÏ¹É±¾¹æ
Ä£¡¢·¢Õ¹Õ½ÂÔ¡¢Í¶×ʹ滮¡¢ÀûÈóÔö³¤×´¿ö¡¢ÏÖ½ðÁ÷Á¿Çé¿öµÈÒòËØÖÆ¶¨·ûºÏ¹«Ë¾¿É³ÖÐø·¢Õ¹ÒªÇóºÍÀû
Òæ×îÓÅ»¯ÔÔòµÄÀûÈó·ÖÅä·½°¸¡£
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
principle of the Company by referring to factors such as the volume of stocks, development
strategies, investment plans, profit growths and cash flows;
(¶þ) ¹«Ë¾¿ÉÒÔ²ÉÈ¡ÏÖ½ð»ò¹ÉƱ·½Ê½·ÖÅä¹ÉÀû£¬¿ÉÒÔ½øÐÐÖÐÆÚÏÖ½ð·Öºì¡£ÔÚÏÖ½ðÁ÷ÔÊÐíµÄÇé¿öÏ£¬Ó¦¾¡Á¿
ÒÔÏÖ½ð·Öºì·½Ê½½øÐÐÀûÈó·ÖÅä¡£
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
82
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
form of cash.
£¨Èý£© ¹«Ë¾ÏÖ½ð·ÖºìÌõ¼þ£º¹«Ë¾µ±ÄêʵÏÖÓ¯Àû£¬ÇÒÃÖ²¹ÒÔǰÄê¶È¿÷ËðºÍÒÀ·¨ÌáÈ¡¹«»ý½ðºó£¬ÀÛ¼ÆÎ´·ÖÅä
ÀûÈóΪÕýÖµ£¬ÇÒÉ󼯻ú¹¹¶Ô¹«Ë¾µÄ¸ÃÄê¶È²ÆÎñ±¨¸æ³ö¾ßÎÞ±£ÁôÒâ¼ûµÄÉ󼯱¨¸æ£¬¹«Ë¾ÓÅÏȲÉÈ¡ÏÖ½ð
·½Ê½·ÖÅä¹ÉÀû¡£¹«Ë¾²ÉÈ¡ÏÖ½ð·½Ê½·ÖÅä¹ÉÀûµÄ£¬Ó¦µ±°´ÕÕÏÂÁй涨½øÐУº
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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³ÉÊìÆÚÇÒÎÞÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³ÉÊìÆÚÇÒÓÐÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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£© ¹«Ë¾·¢Õ¹½×¶ÎÊô³É³¤ÆÚÇÒÓÐÖØ´ó×ʽðÖ§³ö°²Åŵ쬽øÐÐÀûÈó·ÖÅäʱ£¬ÏÖ½ð·ÖºìÔÚ±¾´ÎÀûÈó·Ö
ÅäÖÐËùÕ¼±ÈÀý×îµÍÓ¦´ïµ½ 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%£»
¹«Ë¾·¢Õ¹½×¶Î²»Ò×Çø·Öµ«ÓÐÖØ´ó×ʽðÖ§³ö°²Åŵģ¬¿ÉÒÔ°´ÕÕǰÏî¹æ¶¨´¦Àí¡£ ÖØ´óͶ×Ê»òÖØ´óÏÖ½ðÖ§
³öÊÇÖ¸£º¹«Ë¾Î´À´Ê®¶þ¸öÔÂÄÚÄâ¶ÔÍâͶ×Ê¡¢ÊÕ¹º×ʲú(º¬ÍÁµØÊ¹ÓÃȨ)»òÕß¹ºÂòÉ豸µÈµÄÀÛ¼ÆÖ§³ö´ï
µ½»òÕß³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 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.
£¨ËÄ£© ·¢·Å¹ÉƱ¹ÉÀûµÄ¾ßÌåÌõ¼þ£º¹«Ë¾ÔھӪ״¿öÁ¼ºÃ£¬±£Ö¤¹É±¾¹æÄ£ºÏÀíµÄǰÌáÏ£¬²¢ÇÒ¹«Ë¾¶Ê»á
ÈÏΪ·¢·Å¹ÉƱ¹ÉÀûÓÐÀûÓÚ¹«Ë¾È«Ìå¹É¶«ÕûÌåÀûÒæÊ±£¬¿ÉÒÔÌá³ö¹ÉƱ¹ÉÀû·ÖÅäÔ¤°¸£¬²¢¾¹É¶«´ó»áÉó
Òéͨ¹ýºóʵʩ£»
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;
(Îå) ¹«Ë¾µÄÀûÈó·ÖÅä²»µÃ³¬¹ý¹«Ë¾ÀۼƿɷÖÅäÀûÈóµÄ·¶Î§¡£
The profits of the Company to be distributed shall not go beyond the scope of cumulative
distributable profits.
(Áù) ÔÚµ±ÄêÓ¯ÀûµÄÇé¿öÏ£¬¹«Ë¾×ã¶îÌáÈ¡·¨¶¨¹«»ý½ðºó£¬×î½üÈýÄêÒÔÏÖ½ð·½Ê½ÀۼƷÖÅäµÄÀûÈó²»ÉÙÓÚ×î
½üÈýÄêʵÏÖµÄÄê¾ù¿É·ÖÅäÀûÈóµÄ 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.
83
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
£¨Æß£©¹«Ë¾·¢ÐÐ֤ȯ¡¢ÖØ´ó×ʲúÖØ×é¡¢ºÏ²¢·ÖÁ¢»òÕßÒòÊÕ¹ºµ¼Ö¹«Ë¾¿ØÖÆÈ¨·¢Éú±ä¸üµÄ£¬¹«Ë¾Ó¦µ±ÔÚ=
˵Ã÷Êé»ò·¢ÐÐÔ¤°¸¡¢ÖØ´ó×ʲúÖØ×鱨¸æÊé¡¢È¨Òæ±ä¶¯±¨¸æÊé»òÕßÊÕ¹º±¨¸æÊéÖÐÏêϸÅû¶ļ¼¯»ò·¢ÐС¢
ÖØ×é»òÕß¿ØÖÆÈ¨·¢Éú±ä¸üºó¹«Ë¾µÄÏÖ½ð·ÖºìÕþ²ß¼°ÏàÓ¦µÄ°²ÅÅ¡¢¶Ê»á¶ÔÉÏÊöÇé¿öµÄ˵Ã÷µÈÐÅÏ¢£»
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;
(°Ë) ÔÚ³ä·Ö¿¼Âǹɶ«»Ø±¨¡¢ÇÐʵ±£ÕÏÉç»á¹«Öڹɶ«ºÏ·¨È¨ÒæµÄǰÌáÏ£¬¹«Ë¾µ±ÄêʵÏÖÓ¯Àû£¬ÓɶÊ»áÌá
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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.
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Decision-making processes and mechanisms for profit distribution of the Company
1¡¢ ¹«Ë¾¶Ê»á½áºÏ¹«Ë¾Ó¯ÀûÇé¿ö¡¢×ʽðÐèÇóºÍ¹É¶«»Ø±¨¹æ»®Ìá³öºÏÀíµÄ·Öºì½¨ÒéºÍÔ¤°¸£¬¾¶
Ê»áÉóÒéͨ¹ýºó±¨¾¹«Ë¾¹É¶«´ó»áÉóÒéÅú×¼ºóʵʩ¡£ÈçÐèµ÷ÕûÀûÈó·ÖÅä·½°¸£¬Ó¦ÖØÐÂÂÄÐÐÉÏ
Êö³ÌÐò¡£¹«Ë¾¶ÀÁ¢¶ÊÂÓ¦¶ÔÀûÈó·ÖÅäÔ¤°¸½øÐÐÉóºË²¢·¢±í¶ÀÁ¢Òâ¼û£»¶ÀÁ¢¶Ê¿ÉÒÔÕ÷¼¯ÖÐС
¹É¶«µÄÒâ¼û£¬Ìá³ö·ÖºìÌá°¸£¬²¢Ö±½ÓÌá½»¶Ê»áÉóÒé¡£
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¡¢ ¹«Ë¾Ó¦µ±ÑϸñÖ´Ðб¾Õ³ÌÈ·¶¨µÄÏÖ½ð·ÖºìÕþ²ßÒÔ¼°¹É¶«´ó»áÉóÒéÅú×¼µÄÏÖ½ð·Öºì¾ßÌå·½°¸¡£
È·ÓбØÒª¶Ô±¾Õ³ÌÈ·¶¨µÄÏÖ½ð·ÖºìÕþ²ß½øÐе÷Õû»òÕß±ä¸üµÄ£¬Ó¦µ±Âú×ã±¾Õ³̹涨µÄÌõ¼þ£¬
¾¹ýÏêϸÂÛÖ¤ºó£¬ÂÄÐÐÏàÓ¦µÄ¾ö²ß³ÌÐò£¬²¢¾³öϯ¹É¶«´ó»áµÄ¹É¶«Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ
¹ý£»¶ÀÁ¢¶ÊÂÒª¶Ôµ÷Õû»ò±ä¸üµÄÀíÓÉÕæÊµÐÔ¡¢³ä·ÖÐÔ¡¢ºÏÀíÐÔ¡¢ÉóÒé³ÌÐòÕæÊµÐÔºÍÓÐЧÐÔÒÔ
¼°ÊÇ·ñ·ûºÏ±¾Õ³̹涨µÄÌõ¼þµÈÊÂÏî·¢±íÃ÷È·Òâ¼û£¬ÇÒ¹«Ë¾Ó¦Ôڹɶ«´ó»áÕÙ¿ªÇ°ÓëÖÐС¹É¶«
³ä·Ö¹µÍ¨½»Á÷£¬²¢¼°Ê±´ð¸´ÖÐС¹É¶«¹ØÐĵÄÎÊÌ⣬±ØÒªÊ±£¬¿Éͨ¹ýÍøÂçͶƱϵͳÕ÷¼¯¹É¶«Òâ
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The Company shall strictly implement its cash dividend policy as determined in the Articles of
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
84
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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¡¢ ¹«Ë¾µ÷ÕûÏÖ½ð·ÖºìÕþ²ßµÄ¾ßÌåÌõ¼þ£º£¨1£©¹«Ë¾·¢Éú¿÷Ëð»òÕßÒÑ·¢²¼Ô¤¿÷ÌáʾÐÔ¹«¸æµÄ£»£¨2£©
×ÔÀûÈó·ÖÅäµÄ¹É¶«´ó»áÕÙ¿ªÈÕºóµÄÁ½¸öÔÂÄÚ£¬¹«Ë¾³ý=×ʽð¡¢Õþ¸®×¨Ïî²ÆÕþ×ʽðµÈר¿îר
Óûòר»§¹ÜÀí×ʽðÒÔÍâµÄÏֽ𣨺¬ÒøÐдæ¿î¡¢¸ßÁ÷¶¯ÐÔµÄծȯµÈ£©Óà¶î¾ù²»×ãÒÔÖ§¸¶ÏÖ½ð¹É
Àû£»£¨3£©°´Õռȶ¨·ÖºìÕþ²ßÖ´Ðн«µ¼Ö¹«Ë¾¹É¶«´ó»á»ò¶Ê»áÅú×¼µÄÖØ´óͶ×ÊÏîÄ¿¡¢ÖØ´ó½»
Ò×ÎÞ·¨°´¼È¶¨½»Ò×·½°¸ÊµÊ©µÄ£»£¨4£©¶Ê»áÓкÏÀíÀíÓÉÏàÐŰ´Õռȶ¨·ÖºìÕþ²ßÖ´Ðн«¶Ô¹«Ë¾
³ÖÐø¾Óª»ò±£³ÖÓ¯ÀûÄÜÁ¦¹¹³ÉʵÖÊÐÔ²»ÀûÓ°ÏìµÄ¡£
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.
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Mechanism for supervision and limiting on cash dividend
1¡¢ ¼àÊ»áÓ¦¶Ô¶Ê»áºÍ¹ÜÀí²ãÖ´Ðй«Ë¾·ÖºìÕþ²ßºÍ¹É¶«»Ø±¨¹æ»®µÄÇé¿ö¼°¾ö²ß³ÌÐò½øÐмල£»
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¡¢ ¹«Ë¾¶Ê»ᡢ¹É¶«´ó»áÔÚ¶ÔÀûÈó·ÖÅäÕþ²ß½øÐоö²ßºÍÂÛÖ¤¹ý³ÌÖÐÓ¦µ±³ä·Ö¿¼ÂǶÀÁ¢¶ÊºÍÖÐ
С¹É¶«µÄÒâ¼û¡£¹É¶«´ó»á¶ÔÏÖ½ð·Öºì¾ßÌå·½°¸½øÐÐÉóÒéʱ£¬Ó¦Í¨¹ý¶àÖÖÇþµÀ£¨°üÀ¨µ«²»ÏÞÓÚ
µç»°¡¢´«Õæ¡¢µç×ÓÓʼþ¡¢Ðꝡ¢»¥ÁªÍøµÈ·½Ê½£©Ö÷¶¯Óë¹É¶«ÌرðÊÇÖÐС¹É¶«½øÐйµÍ¨ºÍ½»Á÷£¬
³ä·ÖÌýÈ¡ÖÐС¹É¶«ËßÇ󣬲¢¼°Ê±´ð¸´ÖÐС¹É¶«¹ØÐĵÄÎÊÌ⣻
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;
3¡¢ ÔÚ¹«Ë¾Ó¯ÀûµÄÇé¿öÏ£¬¹«Ë¾¶Ê»áδ×ö³öÏÖ½ðÀûÈó·ÖÅäÔ¤°¸µÄ£¬Ó¦µ±ÔÚ¶¨ÆÚ±¨¸æÖÐÅû¶δ·Ö
ºìµÄÔÒò¡¢Î´ÓÃÓÚ·ÖºìµÄ×ʽðÁô´æ¹«Ë¾µÄÓÃ;£¬¶ÀÁ¢¶ÊÂÓ¦µ±¶Ô´Ë·¢±íÃ÷È·µÄ¶ÀÁ¢Òâ¼û£»
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;
85
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
4¡¢ ¹«Ë¾Ó¦µ±ÔÚ¶¨ÆÚ±¨¸æÖÐÏêϸÅû¶ÏÖ½ð·ÖºìÕþ²ßµÄÖÆ¶¨¼°Ö´ÐÐÇé¿ö£¬ËµÃ÷ÊÇ·ñ·ûºÏ¹«Ë¾Õ³̵Ä
¹æ¶¨»òÕ߹ɶ«´ó»á¾öÒéµÄÒªÇ󣬷ֺì±ê×¼ºÍ±ÈÀýÊÇ·ñÃ÷È·ºÍÇåÎú£¬Ïà¹ØµÄ¾ö²ß³ÌÐòºÍ»úÖÆÊÇ
·ñÍ걸£¬¶ÀÁ¢¶ÊÂÊÇ·ñ¾¡Ö°ÂÄÔð²¢·¢»ÓÁËÓ¦ÓеÄ×÷Óã¬ÖÐС¹É¶«ÊÇ·ñÓгä·Ö±í´ïÒâ¼ûºÍËßÇó
µÄ»ú»á£¬ÖÐС¹É¶«µÄºÏ·¨È¨ÒæÊÇ·ñµÃµ½³ä·Öά»¤µÈ¡£¶ÔÏÖ½ð·ÖºìÕþ²ß½øÐе÷Õû»ò±ä¸üµÄ£¬»¹
ÒªÏêϸ˵Ã÷µ÷Õû»ò±ä¸üµÄÌõ¼þºÍ³ÌÐòÊÇ·ñºÏ¹æºÍ͸Ã÷µÈ¡£
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.
µÚ¶þ°ÙÎåÊ®ÎåÌõ ¹«Ë¾Ó¦µ±Îª³ÖÓо³ÍâÉÏÊÐÍâ×ʹɹɷݵĹɶ«Î¯ÈÎÊÕ¿î´úÀíÈË¡£ÊÕ¿î´úÀíÈËÓ¦µ±´úÓйعÉ
¶«ÊÕÈ¡¹«Ë¾¾Í¾³ÍâÉÏÊÐÍâ×ʹɹɷݷÖÅäµÄ¹ÉÀû¼°ÆäËûÓ¦¸¶µÄ¿îÏî¡£
Article 255 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.
¹«Ë¾Î¯ÈεÄÊÕ¿î´úÀíÈËÓ¦µ±·ûºÏÉÏÊеط¨ÂÉ»òÕß֤ȯ½»Ò×ËùÓйع涨µÄÒªÇó¡£¹«Ë¾ÎªÆäÔÚÏã¸ÛÁª½»Ëù¹ÒÅÆ
ÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɹɶ«Î¯ÈεÄÊÕ¿î´úÀíÈË£¬Ó¦µ±ÎªÒÀÕÕÏã¸Û¡¶ÊÜÍÐÈËÌõÀý¡·×¢²áµÄÐÅÍй«Ë¾¡£
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.
µÚ¶þ°ÙÎåÊ®ÁùÌõ ¹«Ë¾Óڴ߽ɹɿîǰÒѽɸ¶µÄÈκιɷݵĹɿî¾ù¿ÉÏíÓÐÀûÏ¢£¬Î©¹É·Ý³ÖÓÐÈËÎÞȨ¾ÍÔ¤½É¹É
¿îÊÕÈ¡ÓÚÆäºóÐûÅɵĹÉÀû¡£
Article 256 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.
ÔÚ×ñÊØÖйúÓйط¨ÂÉ¡¢·¨¹æ¡¢¹æÕ¡¢¹æ·¶ÐÔÎļþµÄǰÌáÏ£¬¶ÔÓÚÎÞÈËÈÏÁìµÄ¹ÉÏ¢£¬¹«Ë¾¿ÉÐÐʹûÊÕȨÀû£¬
µ«¸ÃȨÀû½ö¿ÉÔÚÊÊÓõÄÓйØÊ±Ð§½ìÂúºó²Å¿ÉÐÐʹ¡£
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.
¹«Ë¾ÓÐȨÖÕÖ¹ÒÔÓʵݷ½Ê½Ïò¾³ÍâÉÏÊÐÍâ×ʹɳÖÓÐÈË·¢Ë͹ÉÏ¢µ¥£¬µ«¹«Ë¾Ó¦ÔÚ¹ÉÏ¢µ¥Á¬ÐøÁ½´ÎδÓèÌáÏÖºó·½
¿ÉÐÐʹ´ËÏîȨÀû¡£Èç¹ÉÏ¢µ¥³õ´ÎÓʼÄδÄÜËÍ´ïÊÕ¼þÈ˶øÔâÍ˻غ󣬹«Ë¾¼´¿ÉÐÐʹ´ËÏîȨÀû¡£
The Company shall have the right to terminate the serving of dividend warrant to holders of the
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.
¹«Ë¾ÓÐȨ°´¶Ê»áÈÏΪÊʵ±µÄ·½Ê½³öÊÛδÄÜÁªÂçµÄ¾³ÍâÉÏÊÐÍâ×ʹɵĹɶ«µÄ¹É·Ý£¬µ«±ØÐë×ñÊØÒÔÏÂÌõ¼þ£º
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:
86
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹«Ë¾ÔÚ 12 ÄêÄÚÒѾ͸õȹɷÝ×îÉÙÅÉ·¢ÁËÈý´Î¹ÉÏ¢£¬¶øÔÚ¸Ã¶ÎÆÚ¼äÎÞÈËÈÏÁì¹ÉÏ¢£»¼°
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
¹«Ë¾ÔÚ 12 ÄêÆÚ¼ä½ìÂúºóÓÚ¹«Ë¾¹ÉƱÉÏÊеØÒ»·Ý»ò¶à·Ý±¨Õ¿¯µÇ¹«¸æ£¬ËµÃ÷ÆäÄ⽫¹É·Ý³öÊÛµÄÒâÏò£¬²¢Í¨
Öª¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹¡£
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.
µÚ¶þ½Ú ÄÚ²¿Éó¼Æ
Section 2 Internal Auditing
µÚ¶þ°ÙÎåÊ®ÆßÌõ ¹«Ë¾ÊµÐÐÄÚ²¿Éó¼ÆÖƶȣ¬Å䱸רְÉó¼ÆÈËÔ±£¬¶Ô¹«Ë¾²ÆÎñÊÕÖ§ºÍ¾¼Ã»î¶¯½øÐÐÄÚ²¿Éó¼Æ
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Article 257 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.
µÚ¶þ°ÙÎåÊ®°ËÌõ ¹«Ë¾ÄÚ²¿Éó¼ÆÖƶȺÍÉó¼ÆÈËÔ±µÄÖ°Ôð£¬Ó¦µ±¾¶Ê»áÅú×¼ºóʵʩ¡£É󼯏ºÔðÈËÏò¶Ê»á
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Article 258 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.
µÚÈý½Ú »á¼ÆÊ¦ÊÂÎñËùµÄƸÈÎ
Section 3 Engagement of an Accountancy Firm
µÚ¶þ°ÙÎåÊ®¾ÅÌõ ¹«Ë¾Æ¸ÓöÀÁ¢µÄ¡¢È¡µÃ¡°´ÓÊÂ֤ȯÏà¹ØÒµÎñ×ʸñ¡±µÄ»á¼ÆÊ¦ÊÂÎñËù½øÐÐÄê¶È²ÆÎñ±¨¸æ¼°ÆäËü
²ÆÎñ±¨¸æÉ󼯡¢¾»×ʲúÑéÖ¤¼°ÆäËûÏà¹ØµÄ×Éѯ·þÎñµÈÒµÎñ¡£Æ¸ÆÚ 1 Ä꣬×Ô¹«Ë¾±¾´Î¹É¶«Äê»á½áÊøÊ±ÆðÖÁÏÂ
´Î¹É¶«Äê»á½áÊøÊ±Ö¹£¬¿ÉÒÔÐøÆ¸¡£¹«Ë¾µÄÊ×ÈÎ»á¼ÆÊ¦ÊÂÎñËù¿ÉÒÔÓÉ´´Á¢´ó»áÔÚÊ״ιɶ«Äê»áǰƸÈΣ¬¸Ã»á
¼ÆÊ¦ÊÂÎñËùµÄÈÎÆÚÔÚÊ״ιɶ«Äê»á½áÊøÊ±ÖÕÖ¹¡£´´Á¢´ó»á²»ÐÐʹǰ¿î¹æ¶¨µÄְȨʱ£¬ÓɶÊ»áÐÐʹ¸ÃְȨ¡£
Article 259 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.
µÚ¶þ°ÙÁùÊ®Ìõ ¾¹«Ë¾Æ¸ÓÃµÄ»á¼ÆÊ¦ÊÂÎñËùÏíÓÐÏÂÁÐȨÀû£º
Article 260 The auditors engaged by the Company shall enjoy the following rights:
(Ò») ËæÊ±²éÔĹ«Ë¾µÄÕʲ¾¡¢¼Ç¼»òÕ߯¾Ö¤£¬²¢ÓÐȨҪÇó¹«Ë¾µÄ¶Ê¡¢×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±Ìṩ
ÓйØ×ÊÁϺÍ˵Ã÷£»
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;
(¶þ) ÒªÇó¹«Ë¾²ÉȡһÇкÏÀí´ëÊ©£¬´ÓÆä×Ó¹«Ë¾È¡µÃ¸Ã»á¼ÆÊ¦ÊÂÎñËùΪÂÄÐÐÖ°Îñ¶ø±ØÐèµÄ×ÊÁϺÍ˵Ã÷£»
a right to require the Company to take all reasonable steps to obtain from its subsidiaries such
87
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
information and explanations as are necessary for the discharge of its duties;
(Èý) ³öϯ¹É¶«»áÒ飬µÃµ½Èκιɶ«ÓÐȨÊÕµ½µÄ»áÒé֪ͨ»òÕßÓë»áÒéÓÐ¹ØµÄÆäËûÐÅÏ¢£¬ÔÚÈκιɶ«»áÒéÉÏ
¾ÍÉæ¼°Æä×÷Ϊ¹«Ë¾µÄ»á¼ÆÊ¦ÊÂÎñËùµÄÊÂÒË·¢ÑÔ¡£
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.
µÚ¶þ°ÙÁùʮһÌõ ¹«Ë¾±£Ö¤ÏòƸÓÃµÄ»á¼ÆÊ¦ÊÂÎñËùÌá¹©ÕæÊµ¡¢ÍêÕûµÄ»á¼ÆÆ¾Ö¤¡¢»á¼ÆÕ˲¾¡¢²ÆÎñ»á¼Æ±¨¸æ
¼°ÆäËû»á¼Æ×ÊÁÏ£¬²»µÃ¾Ü¾ø¡¢ÒþÄä¡¢»Ñ±¨¡£
Article 261 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.
µÚ¶þ°ÙÁùÊ®¶þÌõ¹«Ë¾Æ¸ÓᢽâƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËùÓɹɶ«´ó»á×÷³ö¾ö¶¨£¬²¢±¨¹úÎñԺ֤ȯÖ÷¹Ü»ú
¹¹±¸°¸¡£
Article 262 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.
µÚ¶þ°ÙÁùÊ®ÈýÌõ ¹«Ë¾½âƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËùʱ£¬Ìáǰ 30 ÌìÊÂÏÈ֪ͨ»á¼ÆÊ¦ÊÂÎñËù£¬¹«Ë¾¹É¶«´ó
»á¾Í½âƸ»á¼ÆÊ¦ÊÂÎñËù½øÐбí¾öʱ,ÔÊÐí»á¼ÆÊ¦ÊÂÎñËù³ÂÊöÒâ¼û¡£
Article 263 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.
»á¼ÆÊ¦ÊÂÎñËùÌá³ö´ÇƸµÄ£¬Ó¦µ±Ïò¹É¶«´ó»á˵Ã÷¹«Ë¾ÓÐÎÞ²»µ±ÇéÐΡ£
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.
»á¼ÆÊ¦ÊÂÎñËù¿ÉÒÔÓÃ°Ñ´ÇÆ¸ÊéÃæÍ¨ÖªÖÃÓÚ¹«Ë¾·¨¶¨µØÖ·µÄ·½Ê½´ÇÈ¥ÆäÖ°Îñ¡£Í¨ÖªÔÚÆäÖÃÓÚ¹«Ë¾·¨¶¨µØÖ·Ö®
ÈÕ»òÕß֪ͨÄÚ×¢Ã÷µÄ½Ï³ÙµÄÈÕÆÚÉúЧ¡£¸Ã֪ͨӦµ±°üÀ¨ÏÂÁгÂÊö£º
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¡¢ ÈÏΪÆä´ÇƸ²¢²»Éæ¼°ÈκÎÓ¦¸ÃÏò¹«Ë¾¹É¶«»òÕßծȨÈ˽»´úÇé¿öµÄÉùÃ÷£»»òÕß
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¡¢ ÈκÎÓ¦µ±½»´úÇé¿öµÄ³ÂÊö¡£
representation regarding any issues to be explained.
¹«Ë¾ÊÕµ½Ç°¿îËùÖ¸ÊéÃæÍ¨ÖªµÄ 14 ÈÕÄÚ£¬Ó¦µ±½«¸Ã֪ͨ¸´Ó¡¼þËͳö¸øÓйØÖ÷¹Ü»ú¹Ø¡£Èç¹ûÍ¨ÖªÔØÓеڶþ°Ù
ÁùÊ®ÎåÌõµÚÒ»¿î£¨¶þ£©ÏîÌá¼°µÄ³ÂÊö£¬¹«Ë¾Ó¦µ±½«¸Ã³ÂÊöµÄ¸±±¾±¸ÖÃÓÚ¹«Ë¾£¬¹©¹É¶«²éÔÄ¡£¹«Ë¾»¹Ó¦½«Ç°
Êö³ÂÊö¸±±¾ÒÔÓÊ×ÊÒѸ¶µÄÓʼþ¼Ä¸øÃ¿¸öÓÐȨµÃµ½¹«Ë¾²ÆÎñ×´¿ö±¨¸æµÄ¹É¶«£¬ÊܼþÈ˵ØÖ·ÒԹɶ«µÄÃû²áµÇ¼Ç
µÄµØÖ·Îª×¼¡£
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 265, 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
88
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
Èç¹û»á¼ÆÊ¦ÊÂÎñËùµÄ´ÇÆ¸Í¨ÖªÔØÓÐÈκÎÓ¦µ±½»´úÇé¿öµÄ³ÂÊö£¬»á¼ÆÊ¦ÊÂÎñËù¿ÉÒªÇó¶Ê»áÕÙ¼¯ÁÙʱ¹É¶«´ó
»á£¬ÌýÈ¡Æä¾Í´ÇƸÓйØÇé¿ö×÷³öµÄ½âÊÍ¡£
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.
µÚ¶þ°ÙÁùÊ®ËÄÌõ Èç¹û»á¼ÆÊ¦ÊÂÎñËùְλ³öÏÖ¿Õȱ£¬¶Ê»áÔڹɶ«´ó»áÕÙ¿ªÇ°£¬¿ÉÒÔίÈÎ»á¼ÆÊ¦ÊÂÎñËùÌî
²¹¸Ã¿Õȱ¡£µ«ÔÚ¿Õȱ³ÖÐøÆÚ¼ä£¬¹«Ë¾ÈçÓÐÆäËûÔÚÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù£¬¸ÃµÈ»á¼ÆÊ¦ÊÂÎñËùÈÔ¿ÉÐÐÊ¡£
Article 264 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.
µÚ¶þ°ÙÁùÊ®ÎåÌõ ¹É¶«´ó»áÔÚÄâͨ¹ý¾öÒ飬ƸÈÎÒ»¼Ò·ÇÏÖÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÒÔÌî²¹»á¼ÆÊ¦ÊÂÎñËùְλµÄÈÎ
ºÎ¿Õȱ£¬»òÐøÆ¸Ò»¼ÒÓɶÊÂ»áÆ¸ÈÎÌî²¹¿ÕȱµÄ»á¼ÆÊ¦ÊÂÎñËù»òÕß½âÆ¸Ò»¼ÒÈÎÆÚδ½ìÂúµÄ»á¼ÆÊ¦ÊÂÎñËùµÄ£¬
Ó¦µ±·ûºÏÏÂÁÐ A
Article 265 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:
(Ò») ÓÐ¹ØÆ¸Èλò½âƸµÄÌá°¸Ôڹɶ«´ó»á»áÒé֪ͨ·¢³ö֮ǰ£¬Ó¦µ±Ë͸øÄâÆ¸ÈεĻòÕßÄâÀëÈεĻòÕßÔÚÓйØ
»á¼ÆÄê¶ÈÒÑÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù¡£
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.
ÀëÈΰüÀ¨±»½âƸ¡¢´ÇƸºÍÍËÈΡ£
For the purpose of this article, ¡°leaving¡± includes leaving by removal, resignation and retirement.
(¶þ) Èç¹û¼´½«ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù×÷³öÊéÃæ³ÂÊö£¬²¢ÒªÇó¹«Ë¾½«¸Ã³ÂÊö¸æÖª¹É¶«£¬¹«Ë¾³ý·ÇÊÕµ½ÊéÃæ³Â
Êö¹ýÍí£¬·ñÔòÓ¦µ±²ÉÈ¡ÒÔÏ´ëÊ©£º
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¡¢ ÔÚΪ×÷³ö¾öÒé¶ø·¢³ö֪ͨÉÏ˵Ã÷½«ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËù×÷³öÁ˳ÂÊö£»
In any notice of the resolution given to shareholders, state the fact of the representations
having been made; and
2¡¢ ½«³ÂÊö¸±±¾×÷Ϊ֪ͨµÄ¸½¼þÒÔÕ³̹涨µÄ·½Ê½Ë͸øÃ¿Î»ÓÐȨµÃµ½¹É¶«´ó»á֪ͨµÄ¹É¶«¡£
Attach a copy of the representations to the notice and deliver it to the shareholders who are
entitled to receive the notice of shareholders¡¯ general meeting in the manner stipulated in the
Company¡¯s Articles of Association.
(Èý) ¹«Ë¾Èç¹û佫ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËùµÄ³ÂÊö°´±¾¿î£¨¶þ£©ÏîµÄ¹æ¶¨Ëͳö£¬ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËù¿ÉÒªÇó¸Ã³Â
ÊöÔڹɶ«´ó»áÉÏÐû¶Á£¬²¢¿ÉÒÔ½øÒ»²½×÷³öÉêËß¡£
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.
89
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(ËÄ) ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÓÐȨ³öϯÒÔÏ»áÒ飺
An auditor which is leaving its post shall be entitled to attend the following shareholders¡¯ general
meetings:
1¡¢ ÆäÈÎÆÚÓ¦µ½ÆÚµÄ¹É¶«´ó»á£»
The general meeting at which its term of office would otherwise have expired;
2¡¢ ΪÌî²¹ÒòÆä±»½âƸ¶ø³öÏÖ¿ÕȱµÄ¹É¶«´ó»á£»
The general meeting at which it is proposed to fill the vacancy caused by its removal; and
3¡¢ ÒòÆäÖ÷¶¯´ÇƸ¶øÕÙ¼¯µÄ¹É¶«´ó»á¡£
The general meeting which convened as a result of its resignation,
ÀëÈÎµÄ»á¼ÆÊ¦ÊÂÎñËùÓÐȨÊÕµ½Ç°Êö»áÒéµÄËùÓÐ֪ͨ»òÕßÓë»áÒéÓÐ¹ØµÄÆäËûÐÅÏ¢£¬²¢ÔÚǰÊö»áÒéÉϾÍÉæ¼°Æä
×÷Ϊ¹«Ë¾Ç°ÈÎ»á¼ÆÊ¦ÊÂÎñËùµÄÊÂÒË·¢ÑÔ¡£
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.
µÚ¶þ°ÙÁùÊ®ÁùÌõ ²»ÂÛ»á¼ÆÊ¦ÊÂÎñËùÓ빫˾¶©Á¢µÄºÏͬÌõ¿îÈçºÎ¹æ¶¨£¬¹É¶«´ó»á¿ÉÒÔÔÚÈÎºÎ»á¼ÆÊ¦ÊÂÎñËù
ÈÎÆÚ½ìÂúǰ£¬Í¨¹ýÆÕͨ¾öÒé¾ö¶¨½«¸Ã»á¼ÆÊÂÎñËù½âƸ¡£ÓÐ¹Ø»á¼ÆÊ¦ÊÂÎñËùÈçÓÐÒò±»½âƸ¶øÏò¹«Ë¾Ë÷³¥µÄȨ
Àû£¬ÓйØÈ¨Àû²»Òò´Ë¶øÊÜÓ°Ïì¡£
Article 266 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.
µÚ¶þ°ÙÁùÊ®ÆßÌõ »á¼ÆÊ¦ÊÂÎñËùµÄ±¨³ê»òÕßÈ·¶¨±¨³êµÄ·½Ê½Óɹɶ«´ó»á¾ö¶¨¡£ÓɶÊÂ»áÆ¸ÈÎµÄ»á¼ÆÊ¦ÊÂÎñ
ËùµÄ±¨³êÓɶÊ»áÈ·¶¨¡£
Article 267 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.
µÚÊ®ÈýÕ ֪ͨºÍ¹«¸æ
Chapter 13 Notices and Announcements
µÚÒ»½Ú ֪ͨ
Section 1 Notices
µÚ¶þ°ÙÁùÊ®°ËÌõ ¹«Ë¾µÄ֪ͨÒÔÏÂÁÐÐÎʽ·¢³ö£º
Article 268 Notices of the Company shall be sent by the following means:
(Ò») ÒÔרÈËËͳö£»
by hand;
(¶þ) ÒÔÓʼþ·½Ê½Ëͳö£»
by mail;
(Èý) ÒÔ¹«¸æ·½Ê½½øÐУ»
by announcement; or
(ËÄ) ±¾Õ³̹涨µÄÆäËûÐÎʽ¡£
by other means prescribed by the Company¡¯s Articles of Association.
¾Í¹«Ë¾°´ÕÕ¡¶Ïã¸ÛÉÏÊйæÔò¡·ÒªÇóÏò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ìṩ»ò·¢Ë͹«Ë¾Í¨Ñ¶µÄ·½Ê½¶øÑÔ£¬ÔÚ·ûºÏÉÏÊеØ
90
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
·¨ÂÉ·¨¹æ¼°ÉÏÊйæÔòºÍ¹«Ë¾Õ³̵ÄǰÌáÏ£¬¾ù¿Éͨ¹ý¹«Ë¾Ö¸¶¨µÄ¼°£¯»òÏã¸ÛÁª½»ËùÍøÕ¾»òͨ¹ýµç×Ó·½Ê½£¬
½«¹«Ë¾Í¨Ñ¶Ìṩ»ò·¢Ë͸ø¾³ÍâÉÏÊÐÍâ×ʹɹɶ«¡£
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.
ǰ¿îËù³Æ¹«Ë¾Í¨Ñ¶ÊÇÖ¸£¬¹«Ë¾·¢³ö»ò½«Óè·¢³öÒÔ¹©¹«Ë¾Èκξ³ÍâÉÏÊÐÍâ×ʹɹɶ«²ÎÕÕ»ò²ÉÈ¡Ðж¯µÄÈκÎÎÄ
¼þ£¬ÆäÖаüÀ¨µ«²»ÏÞÓÚ£º£¨1£©¶Ê»ᱨ¸æ¡¢¹«Ë¾µÄÄê¶ÈÕËÄ¿¡¢ºËÊýʦ±¨¸æÒÔ¼°²ÆÎñÕªÒª±¨¸æ£¨ÈçÊÊÓã©£»£¨2£©
¹«Ë¾ÖÐÆÚ±¨¸æ¼°ÖÐÆÚÕªÒª±¨¸æ£¨ÈçÊÊÓã©£»£¨3£©»áÒé֪ͨ£»£¨4£©ÉÏÊÐÎļþ£»£¨5£©Í¨º¯£»£¨6£©Î¯Èαí¸ñ£¨Î¯
Èαí¸ñ¾ßÓй«Ë¾¹É·ÝÉÏÊеؽ»Ò×ËùÉÏÊйæÔòËù¸³ÓèµÄº¬Ò壩¡£
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).
µÚ¶þ°ÙÁùÊ®¾ÅÌõ ¹«Ë¾·¢¸øÄÚ×ʹɹɶ«µÄ֪ͨ£¬ÐëÔÚ¹ú¼Ò֤ȯ¼à¶½¹ÜÀí»ú¹¹Ö¸¶¨µÄÒ»¼Ò»ò¶à¼Ò±¨¿¯ÉÏ¿¯µÇ
¹«¸æ¡£¸Ã¹«¸æÒ»¾¿¯µÇ£¬ËùÓÐÄÚ×ʹɹɶ«¼´±»ÊÓΪÒÑÊÕµ½¸ÃµÈ֪ͨ¡£
Article 269 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.
µÚ¶þ°ÙÆßÊ®Ìõ ³ý±¾Õ³ÌÁíÓй涨Í⣬¹«Ë¾·¢¸ø¾³ÍâÉÏÊÐÍâ×ʹɹɶ«µÄ֪ͨ¡¢×ÊÁÏ»òÊéÃæÉùÃ÷£¬Ðë°´¾³Íâ
ÉÏÊÐÍâ×ʹɹɶ«µÄ×¢²áµØÖ·Ëʹ»òÒÔÓʵݷ½Ê½¼ÄÖÁÿһλ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«¡£
Article 270 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.
ÐÐʹ±¾Õ³ÌÄڹ涨µÄȨÁ¦ÒÔ¹«¸æÐÎʽ·¢³ö֪ͨʱ£¬¸ÃµÈ¹«¸æ¿ÉÓÚ±¨ÕÂÉÏ¿¯µÇ¡£
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.
µÚ¶þ°ÙÆßʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»áµÄ»áÒé֪ͨ£¬ÒÔ¹«¸æ·½Ê½½øÐС£
Article 271 The notice of shareholders¡¯ general meeting to be convened shall be sent by
announcement.
µÚ¶þ°ÙÆßÊ®¶þÌõ ¹«Ë¾ÕÙ¿ª¶Ê»ᡢ¼àÊ»áµÄ»áÒé֪ͨ£¬ÒÔרÈËËͳö¡¢Óʵݡ¢´«Õæ¡¢µç×ÓÓʼþ·½Ê½½øÐС£
Article 272 The notice of meetings of the Board of Directors or Board of Supervisors to be convened
shall be sent by hand, mail, facsimile or e-mail.
µÚ¶þ°ÙÆßÊ®ÈýÌõ ¹«Ë¾Í¨ÖªÒÔרÈËËͳöµÄ£¬Óɱ»ËÍ´ïÈËÔÚËÍ´ï»ØÖ´ÉÏÇ©Ãû(»ò¸ÇÕÂ)£¬±»ËÍ´ïÈËÇ©ÊÕÈÕÆÚΪËÍ
´ïÈÕÆÚ£»¹«Ë¾Í¨ÖªÒÔÓʼþËͳöµÄ£¬×Ô½»¸¶ÓʾÖÖ®ÈÕÆðµÚ 3 ¸ö¹¤×÷ÈÕΪËÍ´ïÈÕÆÚ£»¹«Ë¾Í¨ÖªÒÔ¹«¸æ·½Ê½Ëͳö
µÄ£¬µÚÒ»´Î¹«¸æ¿¯µÇÈÕΪËÍ´ïÈÕÆÚ¡£
Article 273 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.
91
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þ°ÙÆßÊ®ËÄÌõ ÒòÒâÍâÒÅ©δÏòijÓÐȨµÃµ½Í¨ÖªµÄÈËËͳö»áÒé֪ͨ»òÕ߸õÈÈËûÓÐÊÕµ½»áÒé֪ͨ£¬»áÒé
¼°»áÒé×÷³öµÄ¾öÒé²¢²»Òò´ËÎÞЧ¡£
Article 274 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.
µÚ¶þ½Ú ¹«¸æ
Section 2 Announcements
µÚ¶þ°ÙÆßÊ®ÎåÌõ ¹«Ë¾Ö¸¶¨¡¶ÉϺ£Ö¤È¯±¨¡·¡¢¡¶Öйú֤ȯ±¨¡·ÒÔ¼°ÖйúÖ¤¼à»áÖ¸¶¨µÄÐÅÏ¢ÅûÂ¶ÍøÕ¾Îª¿¯µÇ¹«
¸æºÍÆäËûÐèÒªÅû¶ÐÅÏ¢µÄýÌå¡£
Article 275 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.
µÚ¶þ°ÙÆßÊ®ÁùÌõ Èç¸ù¾Ý¹«Ë¾Õ³ÌÓ¦Ïò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«·¢³ö¹«¸æ£¬ÔòÓйع«¸æÍ¬Ê±Ó¦¸ù¾Ý¡¶Ïã¸ÛÉÏÊÐ
¹æÔò¡·Ëù¹æ¶¨µÄ·½·¨¿¯µÇ¡£
Article 276 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.
µÚÊ®ËÄÕ ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×Ê¡¢¼õ×Ê¡¢½âÉ¢ºÍÇåËã
Chapter 14 Merger, Division, Capital Increase and Decrease,
Dissolution and Liquidation
µÚÒ»½Ú ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×ʺͼõ×Ê
Section 1 Merger, Division, Capital Increase and Decrease
µÚ¶þ°ÙÆßÊ®ÆßÌõ ¹«Ë¾¿ÉÒÔÒÀ·¨½øÐкϲ¢»òÕß·ÖÁ¢¡£
Article 277 The Company may be merged or divided according to law.
¹«Ë¾ºÏ²¢¿ÉÒÔ²ÉÈ¡ÎüÊպϲ¢ºÍÐÂÉèºÏ²¢Á½ÖÖÐÎʽ¡£Ò»¸ö¹«Ë¾ÎüÊÕÆäËû¹«Ë¾ÎªÎüÊպϲ¢£¬±»ÎüÊյĹ«Ë¾½âÉ¢¡£
Á½¸öÒÔÉϹ«Ë¾ºÏ²¢ÉèÁ¢Ò»¸öÐµĹ«Ë¾ÎªÐÂÉèºÏ²¢£¬ºÏ²¢¸÷·½½âÉ¢¡£
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.
µÚ¶þ°ÙÆßÊ®°ËÌõ ¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢£¬Ó¦µ±Óɹ«Ë¾¶Ê»áÌá³ö·½°¸£¬°´¹«Ë¾Õ³̹涨µÄ³ÌÐòͨ¹ýºó£¬ÒÀ·¨
°ìÀíÓйØÉóÅúÊÖÐø¡£·´¶Ô¹«Ë¾ºÏ²¢¡¢·ÖÁ¢·½°¸µÄ¹É¶«£¬ÓÐȨҪÇó¹«Ë¾»òÕßͬÒ⹫˾ºÏ²¢¡¢·ÖÁ¢·½°¸µÄ¹É¶«¡¢
ÒÔ¹«Æ½¼Û¸ñ¹ºÂòÆä¹É·Ý¡£¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒéµÄÄÚÈÝÓ¦µ±×÷³ÉרÃÅÎļþ£¬¹©¹É¶«²éÔÄ¡£
Article 278 In the event of the merger or division of the Company, a plan shall be presented by the
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.
¶ÔÓÚ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«£¬Ç°ÊöÎļþÓ¦µ±ÒÔÓʼþ»ò±¾Õ³̹涨µÄÆäËû·½Ê½ËÍ´ï¡£
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
92
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
register of shareholders.
µÚ¶þ°ÙÆßÊ®¾ÅÌõ ¹«Ë¾ºÏ²¢£¬Ó¦µ±Óɺϲ¢¸÷·½Ç©¶©ºÏ²¢ÐÒ飬²¢±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£¹«Ë¾Ó¦µ±×Ô
×÷³öºÏ²¢¾öÒéÖ®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚÓйر¨Ö½ÉϹ«¸æÖÁÉÙÈý´Î¡£Õ®È¨ÈË×Ô½Óµ½Í¨Öª
ÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æÖ®ÈÕÆð 45 ÈÕÄÚ£¬¿ÉÒÔÒªÇó¹«Ë¾Çå³¥Õ®Îñ»òÕßÌṩÏàÓ¦µÄµ£±£¡£
Article 279 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.
µÚ¶þ°Ù°ËÊ®Ìõ ¹«Ë¾ºÏ²¢Ê±£¬ºÏ²¢¸÷·½µÄծȨ¡¢Õ®Îñ£¬Óɺϲ¢ºó´æÐøµÄ¹«Ë¾»òÕßÐÂÉèµÄ¹«Ë¾³Ð¼Ì¡£
Article 280 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.
µÚ¶þ°Ù°ËʮһÌõ ¹«Ë¾·ÖÁ¢£¬Æä²Æ²ú×÷ÏàÓ¦µÄ·Ö¸î¡£
Article 281 Where there is a division of the Company, its assets shall be divided up accordingly.
¹«Ë¾·ÖÁ¢£¬Ó¦µ±ÓÉ·ÖÁ¢¸÷·½Ç©¶©·ÖÁ¢ÐÒ飬²¢±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£¹«Ë¾Ó¦µ±×Ô×÷³ö·ÖÁ¢¾öÒéÖ®ÈÕ
Æð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚ·¨ÂÉ¡¢·¨¹æ»òÖйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Ö¸¶¨µÄ±¨¿¯ÉϹ«¸æÖÁÉÙÈý´Î¡£
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.
µÚ¶þ°Ù°ËÊ®¶þÌõ ¹«Ë¾·ÖÁ¢Ç°µÄÕ®ÎñÓÉ·ÖÁ¢ºóµÄ¹«Ë¾³Ðµ£Á¬´øÔðÈΡ£µ«ÊÇ£¬¹«Ë¾ÔÚ·ÖÁ¢Ç°ÓëծȨÈ˾ÍÕ®Îñ
Çå³¥´ï³ÉµÄÊéÃæÐÒéÁíÓÐÔ¼¶¨µÄ³ýÍâ¡£
Article 282 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.
µÚ¶þ°Ù°ËÊ®ÈýÌõ ¹«Ë¾ÐèÒª¼õÉÙ×¢²á×ʱ¾Ê±£¬±ØÐë±àÖÆ×ʲú¸ºÕ®±í¼°²Æ²úÇåµ¥¡£
Article 283 The Company must prepare a balance sheet and an inventory list of its assets when it
reduces its registered capital.
¹«Ë¾Ó¦µ±×Ô×÷³ö¼õÉÙ×¢²á×ʱ¾¾öÒéÖ®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 30 ÈÕÄÚÔÚ¡¶ÉϺ£Ö¤È¯±¨¡·ºÍ¡¶ÖйúÖ¤
ȯ±¨¡·ÉϹ«¸æÖÁÉÙÈý´Î¡£Õ®È¨ÈË×Ô½Óµ½Í¨ÖªÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æÖ®ÈÕÆð 45 ÈÕÄÚ£¬ÓÐ
ȨҪÇó¹«Ë¾Çå³¥Õ®Îñ»òÕßÌṩÏàÓ¦µÄµ£±£¡£
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
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.
¹«Ë¾¼õ×ʺóµÄ×¢²á×ʱ¾½«²»µÍÓÚ·¨¶¨µÄ×îµÍÏÞ¶î¡£
The Company¡¯s registered capital must not, after the reduction in capital, be less than the minimum
amount required by law.
µÚ¶þ°Ù°ËÊ®ËÄÌõ ¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢£¬µÇ¼ÇÊÂÏî·¢Éú±ä¸üµÄ£¬Ó¦µ±ÒÀ·¨Ïò¹«Ë¾µÇ¼Ç»ú¹Ø°ìÀí±ä¸üµÇ¼Ç£»¹«
93
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
˾½âÉ¢µÄ£¬Ó¦µ±ÒÀ·¨°ìÀí¹«Ë¾×¢ÏúµÇ¼Ç£»ÉèÁ¢Ð¹«Ë¾µÄ£¬Ó¦µ±ÒÀ·¨°ìÀí¹«Ë¾ÉèÁ¢µÇ¼Ç¡£
Article 284 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.
¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾£¬Ó¦µ±ÒÀ·¨Ïò¹«Ë¾µÇ¼Ç»ú¹Ø°ìÀí±ä¸üµÇ¼Ç¡£
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.
µÚ¶þ½Ú ½âÉ¢ºÍÇåËã
Section 2 Dissolution and Liquidation
µÚ¶þ°Ù°ËÊ®ÎåÌõ ¹«Ë¾ÒòÏÂÁÐÔÒò½âÉ¢£º
Article 285 The Company may be dissolved in any of the following circumstances:
(Ò») ±¾Õ³̹涨µÄ½âÉ¢ÊÂÓɳöÏÖ£»
Where any reason for dissolution provided herein occurs;
(¶þ) ¹É¶«´ó»á¾öÒé½âÉ¢£»
Where the shareholders' general meeting has adopted a resolution for dissolution;
(Èý) Òò¹«Ë¾ºÏ²¢»òÕß·ÖÁ¢ÐèÒª½âÉ¢£»
Where dissolution is required due to merger or division of the company;
(ËÄ) Òò¹«Ë¾²»ÄÜÇå³¥µ½ÆÚÕ®Îñ±»ÒÀ·¨Ðû¸æÆÆ²ú£»
Where the Company is declared bankrupt in accordance with the law due to its inability to repay
the debts that are due;
(Îå) ÒÀ·¨±»µõÏúÓªÒµÖ´ÕÕ¡¢ÔðÁî¹Ø±Õ»òÕß±»³·Ïú£»
Where the business license of the Company is revoked, or the Company is ordered to close down;
(Áù) ¹«Ë¾¾Óª¹ÜÀí·¢ÉúÑÏÖØÀ§ÄÑ£¬¼ÌÐø´æÐø»áʹ¹É¶«ÀûÒæÊܵ½ÖØ´óËðʧ£¬Í¨¹ýÆäËû;¾¶²»Äܽâ¾öµÄ£¬³Ö
Óй«Ë¾È«²¿¹É¶«±í¾öȨ 10%ÒÔÉϵĹɶ«£¬¿ÉÒÔÇëÇóÈËÃñ·¨Ôº½âÉ¢¹«Ë¾£»
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;
(Æß) ÓªÒµÆÚÏÞ½ìÂú¡£
Where the term of operations expires.
µÚ¶þ°Ù°ËÊ®ÁùÌõ ¹«Ë¾Óеڶþ°Ù°ËÊ®ÎåÌõµÚ£¨Ò»£©ÏîÇéÐεģ¬¿ÉÒÔͨ¹ýÐ޸ı¾Õ³̶ø´æÐø¡£
Article 286 In the circumstance item (i) under Article 285, the Company may continue to exist by
amending the Articles of Association.
ÒÀÕÕǰ¿î¹æ¶¨Ð޸ı¾Õ³̣¬Ðë¾³öϯ¹É¶«´ó»á»áÒéµÄ¹É¶«Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ¹ý¡£
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.
µÚ¶þ°Ù°ËÊ®ÆßÌõ ¹«Ë¾Òò±¾Õ³̵ڶþ°Ù°ËÊ®ÎåÌõµÚ£¨Ò»£©Ïî¡¢µÚ£¨¶þ£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¡¢µÚ
£¨Æß£©Ïî¹æ¶¨¶ø½âÉ¢µÄ£¬Ó¦µ±ÔÚ½âÉ¢ÊÂÓɳöÏÖÖ®ÈÕÆð 15 ÈÕÄÚ³ÉÁ¢ÇåËã×飬¿ªÊ¼ÇåËã¡£
Article 287 Where the Company is dissolved in accordance with the items (i), (ii), (v), (vi) and (vii) under
Article 285 hereof, a liquidation committee shall be established within 15 days upon occurrence of the
reason for dissolution to carry out liquidation.
94
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ÇåËã×éÓɶÊ»òÕ߹ɶ«´ó»áÈ·¶¨µÄÈËÔ±×é³É¡£ÓâÆÚ²»³ÉÁ¢ÇåËã×é½øÐÐÇåËãµÄ£¬Õ®È¨ÈË¿ÉÒÔÉêÇëÈËÃñ·¨ÔºÖ¸
¶¨ÓйØÈËÔ±×é³ÉÇåËã×é½øÐÐÇåËã¡£
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.
¹«Ë¾Òò±¾Õ³̵ڶþ°Ù°ËÊ®ÎåÌõµÚ£¨ËÄ£©Ïî¹æ¶¨½âÉ¢µÄ£¬ÓÉÈËÃñ·¨ÔºÒÀÕÕÓйط¨ÂɵĹ涨£¬×éÖ¯¹É¶«¡¢ÓйØ
»ú¹Ø¼°ÓйØ×¨ÒµÈËÔ±³ÉÁ¢ÇåËã×飬½øÐÐÇåËã¡£
Where the company is dissolved according to the item (iv) under Article 285 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.
¹«Ë¾ÒòǰÌõ£¨Î壩Ïî¹æ¶¨½âÉ¢µÄ£¬ÓÉÓйØÖ÷¹Ü»ú¹Ø×éÖ¯¹É¶«¡¢Óйػú¹Ø¼°ÓйØ×¨ÒµÈËÔ±³ÉÁ¢ÇåËã×飬½øÐÐ
ÇåËã¡£
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.
µÚ¶þ°Ù°ËÊ®°ËÌõ Èç¶Ê»á¾ö¶¨¹«Ë¾½øÐÐÇåË㣨Òò¹«Ë¾Ðû¸æÆÆ²ú¶øÇåËãµÄ³ýÍ⣩£¬Ó¦µ±ÔÚΪ´ËÕÙ¼¯µÄ¹É¶«´ó
»áµÄ֪ͨÖУ¬ÉùÃ÷¶Ê»á¶Ô¹«Ë¾µÄ×´¿öÒѾ×öÁËÈ«ÃæµÄµ÷²é£¬²¢ÈÏΪ¹«Ë¾¿ÉÒÔÔÚÇåË㿪ʼºó 12 ¸öÔÂÄÚÈ«
²¿Çå³¥¹«Ë¾Õ®Îñ¡£
Article 288 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.
¹É¶«´ó»á½øÐÐÇåËãµÄ¾öÒéͨ¹ýÖ®ºó£¬¹«Ë¾¶Ê»áµÄְȨÁ¢¼´ÖÕÖ¹¡£
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.
ÇåËã×éÓ¦µ±×ñѹɶ«´ó»áµÄָʾ£¬Ã¿ÄêÖÁÉÙÏò¹É¶«´ó»á±¨¸æÒ»´ÎÇåËã×éµÄÊÕÈëºÍÖ§³ö£¬¹«Ë¾µÄÒµÎñºÍÇåËã
µÄ½øÕ¹£¬²¢ÔÚÇåËã½áÊøÊ±Ïò¹É¶«´ó»á×÷×îºó±¨¸æ¡£
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.
µÚ¶þ°Ù°ËÊ®¾ÅÌõ ÇåËã×éÔÚÇåËãÆÚ¼äÐÐʹÏÂÁÐְȨ£º
Article 289 During the liquidation period, the liquidation committee shall exercise the following functions
and powers;
(Ò») ÇåÀí¹«Ë¾²Æ²ú£¬·Ö±ð±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥£»
to sort out the Company¡¯s assets and prepare a balance sheet and an inventory of assets
respectively;
(¶þ) ֪ͨ¡¢¹«¸æÕ®È¨ÈË£»
To notify the creditor(s) or to publish public announcements;
(Èý) ´¦ÀíÓëÇåËãÓйصĹ«Ë¾Î´Á˽áµÄÒµÎñ£»
to dispose of and liquidate any unfinished businesses of the Company;
(ËÄ) Çå½ÉËùǷ˰¿îÒÔ¼°ÇåËã¹ý³ÌÖвúÉúµÄ˰¿î£»
to pay all outstanding taxes and taxes arising from the liquidation;
95
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ÇåÀíծȨ¡¢Õ®Îñ£»
to settle claims and debts;
(Áù) ´¦Àí¹«Ë¾Çå³¥Õ®ÎñºóµÄÊ£Óà²Æ²ú£»
to deal with the surplus assets remaining after the Company¡¯s debts have been repaid;
(Æß) ´ú±í¹«Ë¾²ÎÓëÃñÊÂËßËϻ¡£
to represent the Company in any civil proceedings.
µÚ¶þ°Ù¾ÅÊ®Ìõ ÇåËã×éÓ¦µ±×Ô³ÉÁ¢Ö®ÈÕÆð 10 ÈÕÄÚ֪ͨծȨÈË£¬²¢ÓÚ 60 ÈÕÄÚÔÚ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»ò¹ú¼Ò֤ȯ
¼à¹Ü»ú¹¹Ö¸¶¨µÄ±¨¿¯ÉÏÖÁÉÙ¹«¸æÈý´Î¡£Õ®È¨ÈËÓ¦µ±×Ô½Óµ½Í¨ÖªÊéÖ®ÈÕÆð 30 ÈÕÄÚ£¬Î´½Óµ½Í¨ÖªÊéµÄ×Ô¹«¸æ
Ö®ÈÕÆð 45 ÈÕÄÚ£¬ÏòÇåËã×éÉ걨ÆäծȨ¡£
Article 290 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.
ծȨÈËÉ걨ծȨ£¬Ó¦µ±ËµÃ÷ծȨµÄÓйØÊÂÏ²¢Ìṩ֤Ã÷²ÄÁÏ¡£ÇåËã×éÓ¦µ±¶ÔծȨ½øÐеǼǡ£
In claiming its rights, the creditor shall provide evidential material in respect thereof. The liquidation
committee shall register the creditor's rights.
ÔÚÉ걨ծȨÆÚ¼ä£¬ÇåËã×é²»µÃ¶ÔծȨÈ˽øÐÐÇå³¥¡£
In the course of claiming of creditors¡¯ rights, the liquidation committee shall not make any repayment to
creditors.
µÚ¶þ°Ù¾ÅʮһÌõ ÇåËã×éÔÚÇåÀí¹«Ë¾²Æ²ú¡¢±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥ºó£¬Ó¦µ±Öƶ¨ÇåËã·½°¸£¬²¢±¨¹É¶«
´ó»á»òÕßÈËÃñ·¨ÔºÈ·ÈÏ¡£
Article 291 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.
¹«Ë¾²Æ²úÔÚÒÀ´Î·Ö±ðÖ§¸¶ÇåËã·ÑÓá¢Ö°¹¤µÄ¹¤×Ê¡¢Éç»á±£ÏÕ·ÑÓúͷ¨¶¨²¹³¥½ð£¬½ÉÄÉËùǷ˰¿î£¬Çå³¥¹«Ë¾
Õ®ÎñºóµÄÊ£Óà²Æ²ú£¬¹«Ë¾°´Õչɶ«³ÖÓеĹɷݱÈÀý·ÖÅä¡£
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.
ÇåËãÆÚ¼ä£¬¹«Ë¾´æÐø£¬µ«²»ÄÜ¿ªÕ¹ÓëÇåËãÎ޹صľӪ»î¶¯¡£¹«Ë¾²Æ²úÔÚδ°´Ç°¿î¹æ¶¨Ç峥ǰ£¬½«²»»á·ÖÅä
¸ø¹É¶«¡£
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
shareholders prior to repaying debts in accordance with the foregoing provision.
µÚ¶þ°Ù¾ÅÊ®¶þÌõ ÇåËã×éÔÚÇåÀí¹«Ë¾²Æ²ú¡¢±àÖÆ×ʲú¸ºÕ®±íºÍ²Æ²úÇåµ¥ºó£¬·¢ÏÖ¹«Ë¾²Æ²ú²»×ãÇå³¥Õ®ÎñµÄ£¬
Ó¦µ±ÒÀ·¨ÏòÈËÃñ·¨ÔºÉêÇëÐû¸æÆÆ²ú¡£
Article 292 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.
¹«Ë¾¾ÈËÃñ·¨Ôº²Ã¶¨Ðû¸æÆÆ²úºó£¬ÇåËã×éÓ¦µ±½«ÇåËãÊÂÎñÒÆ½»¸øÈËÃñ·¨Ôº¡£
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.
96
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þ°Ù¾ÅÊ®ÈýÌõ ¹«Ë¾ÇåËã½áÊøºó£¬ÇåËã×éÓ¦µ±ÖÆ×÷ÇåË㱨¸æÒÔ¼°ÇåËãÆÚÄÚµÄÊÕÖ§±¨±íºÍ²ÆÎñÕʲᣬ¾ÖÐ
¹ú×¢²á»á¼ÆÊ¦ÑéÖ¤ºó£¬±¨¹É¶«´ó»á»òÕßÓйØÖ÷¹Ü»ú¹ØÈ·ÈÏ¡£
Article 293 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.
ÇåËã×éÓ¦µ±×Թɶ«´ó»á»òÕßÓйØÖ÷¹Ü»ú¹ØÈ·ÈÏÖ®ÈÕÆð 30 ÈÕÄÚ£¬½«Ç°ÊöÎļþ±¨Ë͹«Ë¾µÇ¼Ç»ú¹Ø£¬ÉêÇë×¢Ïú
¹«Ë¾µÇ¼Ç£¬¹«¸æ¹«Ë¾ÖÕÖ¹¡£
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.
µÚ¶þ°Ù¾ÅÊ®ËÄÌõ ÇåËã×é³ÉÔ±Ó¦µ±ÖÒÓÚÖ°ÊØ£¬ÒÀ·¨ÂÄÐÐÇåËãÒåÎñ¡£
Article 294 Members of the liquidation committee shall faithfully perform their duties and carry out their
liquidation obligations in accordance with the law.
ÇåËã×é³ÉÔ±²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾²Æ²ú¡£
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.
ÇåËã×é³ÉÔ±Òò¹ÊÒâ»òÕßÖØ´ó¹ýʧ¸ø¹«Ë¾»òÕßծȨÈËÔì³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£
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.
µÚ¶þ°Ù¾ÅÊ®ÎåÌõ ¹«Ë¾±»ÒÀ·¨Ðû¸æÆÆ²úµÄ£¬ÒÀÕÕÓÐ¹ØÆó񵮮²úµÄ·¨ÂÉÊµÊ©ÆÆ²úÇåËã¡£
Article 295 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.
µÚÊ®ÎåÕ ÐÞ¸ÄÕ³Ì
Chapter 15 Amendment of the Articles of Association
µÚ¶þ°Ù¾ÅÊ®ÁùÌõ ÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾Ó¦µ±Ð޸ı¾Õ³̣º
Article 296 In any of the following circumstances, the Company shall amend the Articles of Association:
(Ò») ¡¶¹«Ë¾·¨¡·»òÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æÐ޸ĺ󣬱¾Õ³̹涨µÄÊÂÏîÓëÐ޸ĺóµÄ·¨ÂÉ¡¢ÐÐÕþ·¨¹æµÄ¹æ¶¨Ïà
µÖ´¥£»
The Articles of Association is contradictory to any provision of the amended version of the
Company Law or other applicable laws or administrative regulations;
(¶þ) ¹«Ë¾µÄÇé¿ö·¢Éú±ä»¯£¬Óë±¾Õ³̼ÇÔØµÄÊÂÏî²»Ò»Ö£»
There is any change to the Company¡¯s situation and is inconsistent with any matter recorded in the
Articles of Association;
(Èý) ¹É¶«´ó»á¾ö¶¨Ð޸ı¾Õ³̡£
A shareholders¡¯ general meeting adopts a resolution for amendment of the Articles of Association.
µÚ¶þ°Ù¾ÅÊ®ÆßÌõ ¹É¶«´ó»á¾öÒéͨ¹ýµÄ±¾Õ³ÌÐÞ¸ÄÊÂÏîÓ¦¾Ö÷¹Ü»ú¹ØÉóÅúµÄ£¬Ð뱨ÔÉóÅúµÄÖ÷¹Ü»ú¹ØÅú×¼£»
Éæ¼°¹«Ë¾µÇ¼ÇÊÂÏîµÄ£¬ÒÀ·¨°ìÀí±ä¸üµÇ¼Ç¡£
Article 297 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
97
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
registered particulars of the Company, application shall be made for change in registration in accordance
with the law.
µÚ¶þ°Ù¾ÅÊ®°ËÌõ ¶Ê»áÒÀÕչɶ«´ó»áÐÞ¸ÄÕ³̵ľöÒéºÍÓйØÖ÷¹Ü»ú¹ØµÄÉóÅúÒâ¼ûÐ޸ı¾Õ³̡£
Article 298 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.
µÚ¶þ°Ù¾ÅÊ®¾ÅÌõ Õ³ÌÐÞ¸ÄÊÂÏîÊôÓÚ·¨ÂÉ¡¢·¨¹æÒªÇóÅû¶µÄÐÅÏ¢£¬°´¹æ¶¨ÓèÒÔ¹«¸æ¡£
Article 299 If amendments to the Articles of Association need to be disclosed pursuant to laws and
regulations, they shall be disclosed accordingly.
µÚÊ®ÁùÕ ÕùÒé½â¾ö
Chapter 16 Dispute Resolution
µÚÈý°ÙÌõ ¹«Ë¾×ñ´ÓÏÂÊöÕùÒé½â¾ö¹æÔò£º
Article 300 The Company shall abide by the following principles of dispute resolution:
(Ò») ·²¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ó빫˾֮¼ä£¬¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ó빫˾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö®¼ä£¬
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÓëÄÚ×ʹɹɶ«Ö®¼ä£¬»ùÓÚ¹«Ë¾Õ³̡¢¡¶¹«Ë¾·¨¡·¼°ÆäËûÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æËù¹æ
¶¨µÄȨÀûÒåÎñ·¢ÉúµÄÓ빫˾ÊÂÎñÓйصÄÕùÒé»òÕßȨÀûÖ÷ÕÅ£¬Óйص±ÊÂÈËÓ¦µ±½«´ËÀàÕùÒé»òÕßȨÀûÖ÷
ÕÅÌá½»Öٲýâ¾ö¡£
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.
ǰÊöÕùÒé»òÕßȨÀûÖ÷ÕÅÌá½»ÖÙ²Ãʱ£¬Ó¦µ±ÊÇÈ«²¿È¨ÀûÖ÷ÕÅ»òÕßÕùÒéÕûÌ壻ËùÓÐÓÉÓÚͬһÊÂÓÉÓÐËßÒòµÄÈË»ò
Õ߸ÃÕùÒé»òȨÀûÖ÷ÕŵĽâ¾öÐèÒªÆä²ÎÓëµÄÈË£¬Èç¹ûÆäÉí·ÝΪ¹«Ë¾»ò¹«Ë¾¹É¶«¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±£¬
Ó¦µ±·þ´ÓÖٲá£
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.
Óйعɶ«½ç¶¨¡¢¹É¶«Ãû²áµÄÕùÒ飬¿ÉÒÔ²»ÓÃÖٲ÷½Ê½½â¾ö¡£
Dispute in respect of the definition of shareholders and dispute in relation to the register of shareholders
need not be resolved by arbitration.
(¶þ) ÉêÇëÖÙ²ÃÕß¿ÉÒÔÑ¡ÔñÖйú¹ú¼Ê¾¼ÃóÒ×ÖÙ²ÃίԱ»á°´ÆäÖٲùæÔò½øÐÐÖٲã¬Ò²¿ÉÒÔÑ¡ÔñÏã¸Û¹ú¼ÊÖÙ
²ÃÖÐÐİ´Æä֤ȯÖٲùæÔò½øÐÐÖٲá£ÉêÇëÖÙ²ÃÕß½«ÕùÒé»òÕßȨÀûÖ÷ÕÅÌá½»Öٲú󣬶Է½±ØÐëÔÚÉêÇë
ÕßÑ¡ÔñµÄÖٲûú¹¹½øÐÐÖٲá£
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.
98
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ÈçÉêÇëÖÙ²ÃÕßÑ¡ÔñÏã¸Û¹ú¼ÊÖÙ²ÃÖÐÐĽøÐÐÖٲã¬ÔòÈκÎÒ»·½¿ÉÒÔ°´Ïã¸Û¹ú¼ÊÖÙ²ÃÖÐÐĵÄ֤ȯÖٲùæÔòµÄ¹æ
¶¨ÇëÇó¸ÃÖÙ²ÃÔÚÉîÛÚ½øÐС£
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,
(Èý) ÒÔÖٲ÷½Ê½½â¾öÒò±¾Ìõ£¨Ò»£©ÏîËùÊöÕùÒé»òÕßȨÀûÖ÷ÕÅ£¬ÊÊÓÃÖлªÈËÃñ¹²ºÍ¹úµÄ·¨ÂÉ£»µ«·¨ÂÉ¡¢ÐÐ
Õþ·¨¹æÁíÓй涨µÄ³ýÍâ¡£
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.
(ËÄ) Öٲûú¹¹×÷³öµÄ²Ã¾öÊÇÖվֲþö£¬¶Ô¸÷·½¾ù¾ßÓÐÔ¼ÊøÁ¦¡£
The award of an arbitral body shall be final and conclusive and binding on all parties.
µÚÈý°ÙÁãÒ»Ìõ ²»Éæ¼°µÚÈý°ÙÌõËùÊöµÄÕùÒ飬µ±ÊÂÈË¿ÉÒÔÑ¡ÔñÒÔËßËÏ»òÖٲ÷½Ê½½â¾ö¡£
Article 301 For any dispute not mentioned in Article 300, the parties may resolve it through either
litigation or arbitration.
µÚÊ®ÆßÕ ¸½Ôò
Chapter 17 Supplementary Provisions
µÚÈý°ÙÁã¶þÌõ ÊÍÒå
Article 302 Definition
(Ò») ¿Ø¹É¹É¶«£¬ÊÇÖ¸Æä³ÖÓеĹɷÝÕ¼¹«Ë¾¹É±¾×ܶî 50%ÒÔÉϵĹɶ«£»³ÖÓйɷݵıÈÀýËäÈ»²»×ã 50%£¬µ«
ÒÀÆä³ÖÓеĹɷÝËùÏíÓеıí¾öȨÒÑ×ãÒԶԹɶ«´ó»áµÄ¾öÒé²úÉúÖØ´óÓ°ÏìµÄ¹É¶«¡£
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.
(¶þ) ʵ¼Ê¿ØÖÆÈË£¬ÊÇÖ¸Ëä²»Êǹ«Ë¾µÄ¹É¶«£¬µ«Í¨¹ýͶ×ʹØÏµ¡¢ÐÒé»òÕ߯äËû°²ÅÅ£¬Äܹ»Êµ¼ÊÖ§Å乫˾ÐÐ
ΪµÄÈË¡£
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.
(Èý) ¹ØÁª¹ØÏµ£¬ÊÇÖ¸¹«Ë¾¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈË¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±ÓëÆäÖ±½Ó»òÕß¼ä½Ó¿ØÖƵÄ
ÆóÒµÖ®¼äµÄ¹ØÏµ£¬ÒÔ¼°¿ÉÄܵ¼Ö¹«Ë¾ÀûÒæ×ªÒÆµÄÆäËû¹ØÏµ¡£
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.
(ËÄ) ¶ÔÍâµ£±££¬ÊÇÖ¸¹«Ë¾ÎªËûÈËÌṩµÄµ£±££¬°üÀ¨¹«Ë¾¶Ô¿Ø¹É×Ó¹«Ë¾µÄµ£±££»¹«Ë¾¼°¿Ø¹É×Ó¹«Ë¾µÄ¶ÔÍâ
µ£±£×ܶÊÇÖ¸°üÀ¨¹«Ë¾¶Ô¿Ø¹É×Ó¹«Ë¾µ£±£ÔÚÄڵĹ«Ë¾¶ÔÍâµ£±£×ܶîÓ빫˾¿Ø¹É×Ó¹«Ë¾¶ÔÍâµ£±£×Ü
¶îÖ®ºÍ¡£
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
99
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
external guarantees provided by the Company¡¯s subsidiaries.
µÚÈý°ÙÁãÈýÌõ ¶Ê»á¿ÉÒÀÕÕÕ³̵Ĺ涨£¬Öƶ©Õ³ÌϸÔò¡£Õ³ÌϸÔò²»µÃÓëÕ³̵Ĺ涨ÏàµÖ´¥¡£
Article 303 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.
µÚÈý°ÙÁãËÄÌõ ±¾Õ³ÌÒÔÖÐÎÄÊéд£¬ÆäËûÈκÎÓïÖÖ»ò²»Í¬°æ±¾µÄÕ³ÌÓë±¾Õ³ÌÓÐÆçÒåʱ£¬ÒÔÔÚÖ£ÖÝÊй¤ÉÌ
ÐÐÕþ¹ÜÀí¾Ö×î½üÒ»´ÎºË×¼µÇ¼ÇºóµÄÖÐÎİæÕ³ÌΪ׼¡£
Article 304 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.
µÚÈý°ÙÁãÎåÌõ ±¾Õ³ÌËù³Æ¡°ÒÔÉÏ¡±¡¢¡°ÒÔÄÚ¡±¡¢¡°ÒÔÏ¡±£¬ ¶¼º¬±¾Êý£»¡°²»Âú¡±¡¢¡°ÒÔÍ⡱¡¢¡°µÍÓÚ¡±¡¢¡°¶àÓÚ¡±²»º¬±¾Êý¡£
Article 305 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.
µÚÈý°ÙÁãÁùÌõ ±¾Õ³ÌÓɹ«Ë¾¶Ê»ḺÔð½âÊÍ¡£
Article 306 The Company¡¯s Board of Directors shall have the power to interpret the Company¡¯s Articles
of Association.
µÚÈý°ÙÁãÆßÌõ ±¾Õ³̸½¼þ°üÀ¨¹É¶«´ó»áÒéʹæÔò¡¢¶Ê»áÒéʹæÔòºÍ¼àÊ»áÒéʹæÔò¡£
Article 307 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.
100
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Zhengzhou Coal Mining Machinery (Group)
Co., Ltd.
Õ ³Ì
Articles of Association
£¨2019 ÄêµÚ¶þ´ÎÐÞ¶©£©
(Second Revised in 2019)
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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Contents
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions ................................................................................................................1
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business ........................................................................................3
µÚÈýÕ ¹É·Ý
Chapter 3 Shares .................................................................................................................................3
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares .........................................................................................................3
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares .............................................8
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares ........................................................................................................12
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s Shares ...........................................14
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders ................................................................16
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting .............................................................20
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders ................................................................................................................20
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting ..........................................26
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting ..............................................................29
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting ...............................................32
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings .................................................................36
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting ...........................................41
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders ....................................................48
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee .............................................................................................................52
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors ...............................................................................................................54
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors .......................................................................................................................54
µÚ¶þ½Ú ¶Ê»á
Section 2 Board of Directors .........................................................................................................57
µÚÈý½Ú ¶Ê»áÃØÊé
Section 3 Secretary to the Board of Directors ...............................................................................63
µÚËÄ½Ú ¶Ê»áרÃÅίԱ»á
Section 4 Special Committee of the Board of Directors ................................................................66
µÚ¾ÅÕ ×ܾÀí¼°ÆäËû¸ß¼¶¹ÜÀíÈËÔ±
Chapter 9 General Manager and Other Senior Management Members ..............................................68
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮՠ¼àÊ»á
Chapter 10 Board of Supervisors .........................................................................................................69
µÚÒ»½Ú ¼àÊÂ
Section 1 Supervisors ...................................................................................................................69
µÚ¶þ½Ú ¼àÊ»á
Section 2 Board of Supervisors ....................................................................................................70
µÚÈý½Ú ¼àÊ»á¾öÒé
Section 3 Resolution of the Board of Supervisors ........................................................................72
µÚʮһÕ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±µÄ×ʸñºÍÒåÎñ
Chapter 11 Qualifications and Duties of the Directors, Supervisors and Senior Management Members
of the Company ......................................................................................................................................73
µÚÊ®¶þÕ ²ÆÎñ»á¼ÆÖƶȡ¢ÀûÈó·ÖÅäºÍÉó¼Æ
Chapter 12 Financial and Accounting Systems, Profit Distribution and Auditing ...............................80
µÚÒ»½Ú ²ÆÎñ»á¼ÆÖƶÈ
Section 1 Financial and Accounting System .................................................................................80
µÚ¶þ½Ú ÄÚ²¿Éó¼Æ
Section 2 Internal Auditing ............................................................................................................88
µÚÈý½Ú »á¼ÆÊ¦ÊÂÎñËùµÄƸÈÎ
Section 3 Engagement of an Accountancy Firm ...........................................................................88
µÚÊ®ÈýÕ ֪ͨºÍ¹«¸æ
Chapter 13 Notices and Announcements.............................................................................................91
µÚÒ»½Ú ֪ͨ
Section 1 Notices ..........................................................................................................................91
µÚ¶þ½Ú ¹«¸æ
Section 2 Announcements ............................................................................................................93
µÚÊ®ËÄÕ ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×Ê¡¢¼õ×Ê¡¢½âÉ¢ºÍÇåËã
Chapter 14 Merger, Division, Capital Increase and Decrease, Dissolution and Liquidation .................93
µÚÒ»½Ú ºÏ²¢¡¢·ÖÁ¢¡¢Ôö×ʺͼõ×Ê
Section 1 Merger, Division, Capital Increase and Decrease .........................................................93
µÚ¶þ½Ú ½âÉ¢ºÍÇåËã
Section 2 Dissolution and Liquidation ...........................................................................................95
µÚÊ®ÎåÕ ÐÞ¸ÄÕ³Ì
Chapter 15 Amendment of the Articles of Association .........................................................................98
µÚÊ®ÁùÕ ÕùÒé½â¾ö
Chapter 16 Dispute Resolution ............................................................................................................99
µÚÊ®ÆßÕ ¸½Ôò
Chapter 17 Supplementary Provisions...............................................................................................100
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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ÍâÉÏÊй«Ë¾¶Ê»áÃØÊ鹤×÷Ö¸Òý¡· (Ö¤¼à·¢ÐÐ×Ö[1999]39 ºÅ) ; ¡¶¶Ê»áÃØÊé¹ÜÀí°ì·¨¡·Ö¸ÉϺ£Ö¤È¯½»Ò×
ËùÓÚ 2007 Äê 11 Ô 1 ÈÕ°ä²¼µÄ¡¶ÉϺ£Ö¤È¯½»Ò×ËùÉÏÊй«Ë¾¶Ê»áÃØÊé¹ÜÀí°ì·¨ (ÊÔÐÐ) ¡·(2007 ÐÞ¶©) ;¡¶ÏÖ
½ð·ÖºìÈô¸É¹æ¶¨¡·Ö¸Öйú֤ȯ¼à¶½¹ÜÀíίԱ»á°ä²¼µÄ¡¶¹ØÓÚÐÞ¸ÄÉÏÊй«Ë¾ÏÖ½ð·ÖºìÈô¸É¹æ¶¨µÄ¾ö¶¨¡· ¡¶ÉÏ
ÊйæÔò¡·Ö¸µÄÊÇ¡¶Ïã¸ÛÁªºÏ½»Ò×ËùÓÐÏÞ¹«Ë¾Ö¤È¯ÉÏÊйæÔò¡·; ¡°¸½Â¼Èý¡±Ö¸µÄÊÇ¡¶Ïã¸ÛÁªºÏ½»Ò×ËùÓÐÏÞ¹«Ë¾
֤ȯÉÏÊйæÔò¡·¸½Â¼Èý¡°¹«Ë¾Õ³ÌϸÔò¡±; ¡°¸½Â¼Ê®Èý D¡±Ö¸µÄÊÇ¡¶Ïã¸ÛÁªºÏ½»Ò×ËùÓÐÏÞ¹«Ë¾Ö¤È¯ÉÏÊйæÔò¡·¸½
¼ʮÈý¡°ÓйØÈô¸É˾·¨¹ÜÏ½ÇøµÄ¸½¼Ó¹æ¶¨¡±Ö® D ²¿¡°ÖлªÈËÃñ¹²ºÍ¹ú¡±¡£
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.
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»Õ ×ÜÔò
Chapter 1 General Provisions
µÚÒ»Ìõ Ϊά»¤Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°¹«Ë¾¡±) ¡¢¹É¶«ºÍծȨÈ˵ĺϷ¨È¨Ò棬¹æ·¶¹«Ë¾
µÄ×éÖ¯ºÍÐÐΪ£¬³ä·Ö·¢»Ó¹«Ë¾µ³×éÖ¯µÄÁìµ¼ºËÐĺÍÕþÖκËÐÄ×÷Ó㬸ù¾Ý¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹«Ë¾·¨¡·(ÒÔϼò
³Æ ¡°¡¶¹«Ë¾·¨¡·¡±)¡¢¡¶ÖлªÈËÃñ¹²ºÍ¹ú֤ȯ·¨¡· (ÒÔϼò³Æ¡°¡¶Ö¤È¯·¨¡·¡±)¡¢¡¶Öйú¹²²úµ³Õ³̡·£¨ÒÔϼò³Æ¡¶µ³
Õ¡·£©¡¢¡¶¹úÎñÔº¹ØÓڹɷÝÓÐÏÞ¹«Ë¾¾³Íâ=¹É·Ý¼°ÉÏÊеÄÌØ±ð¹æ¶¨¡·(ÒÔϼò³Æ¡°¡¶ÌØ±ð¹æ¶¨¡·¡±¡¢¡¶µ½¾³ÍâÉÏ
Êй«Ë¾Õ³̱ر¸Ìõ¿î¡·(ÒÔϼò³Æ¡°¡¶±Ø±¸Ìõ¿î¡·¡±)¡¢¡¶ÉÏÊй«Ë¾Õ³ÌÖ¸Òý¡· (ÒÔϼò³Æ¡°¡¶Õ³ÌÖ¸Òý¡·¡±)¡¢¡¶¹Ø
ÓÚµ½Ïã¸ÛÉÏÊй«Ë¾¶Ô¹«Ë¾Õ³Ì×÷²¹³äÐ޸ĵÄÒâ¼ûµÄº¯¡·¡¢¡¶Ïã¸ÛÁªºÏ½»Ò×ËùÓÐÏÞ¹«Ë¾Ö¤È¯ÉÏÊйæÔò¡·(ÒÔϼò
³Æ¡°¡¶Ïã¸ÛÉÏÊйæÔò¡·¡±)ºÍÖлªÈËÃñ¹²ºÍ¹ú(ÒÔϼò³Æ¡°Öйú¡±£¬¾Í±¾Õ³̶øÑÔ£¬²»°üÀ¨Ïã¸ÛÌØ±ðÐÐÕþÇø¡¢°ÄÃÅ
ÌØ±ðÐÐÕþÇøºĮ́ÍåµØÇø) ÆäËûÓйع涨£¬Öƶ¨±¾Õ³̡£
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, and for the Party organization of the Company to play a core role in leadership and
politics, 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 Constitution of the Communist Party of China
(the ¡°Party Constitution¡±), 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 ).
µÚ¶þÌõ ¹«Ë¾ÏµÒÀÕÕ¡¶¹«Ë¾·¨¡·¡¢¡¶ÌØ±ð¹æ¶¨¡·ºÍÖйúÆäËûÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹æ·¶ÐÔÎļþ³ÉÁ¢µÄ¹É·ÝÓÐ
ÏÞ¹«Ë¾¡£
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.
¹«Ë¾¾ºÓÄÏÊ¡¹ú×Êί (Ô¥¹ú×ÊÆó¸Ä[2008]20 ºÅ) Åú×¼£¬ÒÔ·¢Æð·½Ê½ÉèÁ¢£¬ÓÚ 2008 Äê 12 Ô 28 ÈÕÔÚÖ£ÖÝÊÐ
¹¤ÉÌÐÐÕþ¹ÜÀí¾Ö×¢²á³ÉÁ¢£¬È¡µÃÓªÒµÖ´ÕÕ¡£¹«Ë¾µÄͳһÉç»áÐÅÓôúÂëΪ£º91410100170033534A¡£
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 unified social credit code of the Company is: 91410100170033534A.
µÚÈýÌõ ¹«Ë¾ÓÚ 2010 Äê 5 Ô 28 ÈÕ¾Öйú֤ȯ¼à¶½¹ÜÀíίԱ»áÖ¤¼àÐí¿É[2010]735 ºÅÎÄÅú×¼£¬Ê×´ÎÏòÉç»á
¹«ÖÚ·¢ÐÐÈËÃñ±ÒÆÕͨ¹É 140,000,000 ¹É£¬ÓÚ 2010 Äê 8 Ô 3 ÈÕÔÚÉϺ£Ö¤È¯½»Ò×ËùÉÏÊС£
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.
µÚËÄÌõ ¹«Ë¾×¢²áÃû³Æ£º
Article 4 Registered name of the Company:
ÖÐÎÄÃû³Æ£ºÖ£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾
The Chinese name of the Company is£ºZhengzhou Coal Mining Machinery (Group) Co., Ltd.
Ó¢ÎÄÃû³Æ£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
The English name of the Company is£ºZHENG ZHOU COAL MINING MACHINERY GROUP Co., Ltd.
1
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÌõ ¹«Ë¾×¡Ëù£ºÖ£Öݾ¼Ã¼¼Êõ¿ª·¢ÇøµÚ¾Å´ó½Ö 167 ºÅ
Article 5 Address of the Company: No.167, 9th Street, Ecno-Tech Development Zone, Zhengzhou
ÓÊÕþ±àÂ룺450016
Post Code£º450016
µç»°ºÅÂ룺+86-371-67891026
Telephone Number£º+86-371-67891026
´«ÕæºÅÂ룺+86-371-67891000
Fax Number£º+86-371-67891000
µÚÁùÌõ ¹«Ë¾×¢²á×ʱ¾ÎªÈËÃñ±Ò 1,732,471,370 Ôª¡£
Article 6 The Company¡¯s registered capital is RMB1,732,471,370.
µÚÆßÌõ ¹«Ë¾ÎªÓÀ¾Ã´æÐøµÄ¹É·ÝÓÐÏÞ¹«Ë¾¡£
Article 7 The Company is a joint stock limited company that has perpetual existence.
µÚ°ËÌõ ¶Ê³¤Îª¹«Ë¾µÄ·¨¶¨´ú±íÈË¡£
Article 8 The Chairman of the Board of Directors of the Company is the Company's legal
representative.
µÚ¾ÅÌõ ¹«Ë¾È«²¿×ʱ¾·ÖΪµÈ¶î¹É·Ý£¬¹É¶«ÒÔÆäÈϹºµÄ¹É·ÝΪÏÞ¶Ô¹«Ë¾³Ðµ£ÔðÈΣ¬¹«Ë¾ÒÔÆäÈ«²¿×ʲú¶Ô¹«
˾µÄÕ®Îñ³Ðµ£ÔðÈΡ£
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.
µÚÊ®Ìõ ±¾Õ³̾¹«Ë¾¹É¶«´ó»á¾öÒéͨ¹ý£¬×Ô¹«Ë¾¹«¿ª·¢Ðеľ³ÍâÉÏÊÐÍâ×Ê¹É (H ¹É) ÓÚÏã¸ÛÁªºÏ½»Ò×Ëù
ÓÐÏÞ¹«Ë¾ (ÒÔϼò³Æ¡°Ïã¸ÛÁª½»Ëù¡±) ¹ÒÅÆ½»Ò×Ö®ÈÕÆðÉúЧ; ×Ô±¾Õ³ÌÉúЧ֮ÈÕÆð£¬Ô¹«Ë¾Õ³Ì×Ô¶¯Ê§Ð§¡£
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.
±¾¹«Ë¾Õ³Ì×ÔÉúЧ֮ÈÕÆð£¬¼´³ÉΪ¹æ·¶¹«Ë¾µÄ×éÖ¯ÓëÐÐΪ¡¢¹«Ë¾Óë¹É¶«¡¢¹É¶«Óë¹É¶«Ö®¼äȨÀûÒåÎñ¹ØÏµµÄ
¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ£¬¶Ô¹«Ë¾¡¢¹É¶«¡¢¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¾ßÓз¨ÂÉÔ¼ÊøÁ¦µÄÎļþ; ǰÊöÈËÔ±¾ù
¿ÉÒÔÒÀ¾Ý±¾Õ³ÌÌá³öÓ빫˾ÊÂÒËÓйصÄȨÀûÖ÷ÕÅ¡£ÒÀ¾Ý±¾Õ³̣¬¹É¶«¿ÉÒÔÆðË߹ɶ«£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾¶
Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±£¬¹É¶«¿ÉÒÔÆðËß¹«Ë¾£¬¹«Ë¾¿ÉÒÔÆðË߹ɶ«¡¢¶Ê¡¢¼àÊ¡¢×ܾÀíºÍ
ÆäËû¸ß¼¶¹ÜÀíÈËÔ±¡£
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.
ǰ¿îËù³ÆÆðËߣ¬°üÀ¨Ïò·¨ÔºÌáÆðËßËÏ»òÕßÏòÖٲûú¹¹ÉêÇëÖٲá£
The term ¡°sue¡± in the preceding Article shall refer to and include commencing court proceedings and
applying for arbitration proceedings.
2
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚʮһÌõ ¹«Ë¾¿ÉÒÔÏòÆäËûÓÐÏÞÔðÈι«Ë¾¡¢¹É·ÝÓÐÏÞ¹«Ë¾Í¶×Ê£¬²¢ÒԸóö×ʶîΪÏÞ¶ÔËùͶ×ʹ«Ë¾³Ðµ£ÔðÈΡ£
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.
³ý·¨ÂÉÁíÓй涨Í⣬¹«Ë¾²»µÃ³ÉΪ¶ÔËùͶ×ÊÆóÒµµÄÕ®Îñ³Ðµ£Á¬´øÔðÈεijö×ÊÈË¡£
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.
µÚÊ®¶þÌõ ±¾Õ³ÌËù³ÆÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÊÇÖ¸¹«Ë¾µÄ¸±×ܾÀí¡¢¶Ê»áÃØÊé¡¢²ÆÎñ×ܼࡣ
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.
µÚ¶þÕ ¾Óª×ÚÖ¼ºÍ·¶Î§
Chapter 2 Objectives and Scope of Business
µÚÊ®ÈýÌõ ¹«Ë¾µÄ¾Óª×ÚÖ¼£ºÒÀ¿¿¸ßм¼Êõ£¬·¢»Ó»úÖÆÓÅÊÆ£¬Ìá¸ß¹æÄ£Ð§Ò棬ʵÏÖ¿ÆÑ§¹ÜÀí£¬²ÎÓëÊг¡¾º
Õù£¬Å¬Á¦Ìá¸ßÀͶ¯Éú²úÂʺÍÁ¼ºÃ¾¼ÃÐ§Òæ£¬²»¶ÏÌá¸ßÖ°¹¤µÄÊÕÈëˮƽ£¬È·±£¹úÓÐ×ʲú±£ÖµÔöÖµ£¬ÎªÉç»á´´
Ôì²Æ¸»£¬ÊµÏÖ¹«Ë¾¹É¶«ÀûÒæºÍÆóÒµ¼ÛÖµµÄ×î´ó»¯¡£
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.
µÚÊ®ËÄÌõ ¾ÒÀ·¨µÇ¼Ç£¬¹«Ë¾µÄ¾Óª·¶Î§£ºÉè¼Æ¡¢¼Ó¹¤¡¢ÖÆÔì¿óɽ»úеÉ豸¡¢»·±£É豸¡¢Í¨Óûúе¡¢µçÕ¾
É豸¡¢¸½ÊôÅä¼þ¡¢¹¤Ä£¾ß; ½ðÊô²ÄÁϵÄÏúÊÛ; Èí¼þ¿ª·¢¡¢ÏúÊÛ¡¢×Éѯ¡¢Î¬»¤¡¢²âÊÔ£»ÆóÒµ¹ÜÀí×Éѯ; ´ÓÊ»õ
ÎïºÍ¼¼ÊõµÄ½ø³ö¿ÚÒµÎñ£¬¹ú¼Ò½ûÖ¹ºÍÏÞ¶¨µÄ»õÎïºÍ¼¼Êõ³ýÍ⣻²»¶¯²ú×âÁÞ¡¢ÓÐÐζ¯²ú×âÁÞ¡¢¼¼Êõ·þÎñ¡£
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; software development, sales, consultation, maintenance and testing; 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.
µÚÈýÕ ¹É·Ý
Chapter 3 Shares
µÚÒ»½Ú ¹É·Ý·¢ÐÐ
Section 1 Issuance of Shares
µÚÊ®ÎåÌõ ¹«Ë¾ÉèÖÃÆÕͨ¹É; ¸ù¾ÝÐèÒª£¬¾¹úÎñÔºÊÚȨµÄ¹«Ë¾ÉóÅú²¿ÃÅÅú×¼£¬¿ÉÒÔÉèÖÃÆäËûÖÖÀàµÄ¹É·Ý£¬
µ«ÈÔÐèÊÜÏÞÓÚÊÊÓõķ¨ÂÉ¡¢·¨¹æ¼°¹æÔòµÄ¹æ¶¨
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.
µÚÊ®ÁùÌõ ¹«Ë¾µÄ¹É·Ý²ÉÈ¡¹ÉƱµÄÐÎʽ¡£
Article 16 The shares of the Company shall take the form of share certificates.
3
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÊ®ÆßÌõ ¾ÖйúÖ¤¼à»áºË×¼£¬¹«Ë¾¿ÉÒÔÏò¾³ÄÚͶ×ÊÈ˺;³ÍâͶ×ÊÈË·¢ÐÐ¹ÉÆ±¡£
Article 17 Subject to the approval of the China Securities Regulatory Commission, the Company may
issue shares to domestic and foreign investors.
ǰ¿îËù³Æ¾³ÍâͶ×ÊÈËÊÇÖ¸ÈϹº¹«Ë¾·¢ÐйɷݵÄÍâ¹úºÍÏã¸Û¡¢°ÄÃÅ¡¢Ì¨ÍåµØÇøµÄͶ×ÊÈË; ¾³ÄÚͶ×ÊÈËÊÇÖ¸ÈÏ
¹º¹«Ë¾·¢Ðйɷݵ쬳ýǰÊöµØÇøÒÔÍâµÄÖлªÈËÃñ¹²ºÍ¹ú¾³ÄÚµÄͶ×ÊÈË¡£
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.
µÚÊ®°ËÌõ ¹«Ë¾Ïò¾³ÄÚͶ×ÊÈË·¢ÐеÄÒÔÈËÃñ±ÒÈϹºµÄ¹É·Ý£¬³ÆÎªÄÚ×ʹɡ£¹«Ë¾Ïò¾³ÍâͶ×ÊÈË·¢ÐеÄÒÔÍâ±Ò
ÈϹºµÄ¹É·Ý£¬³ÆÎªÍâ×ʹɡ£Íâ×ʹÉÔÚ¾³ÍâÉÏÊе쬳ÆÎª¾³ÍâÉÏÊÐÍâ×ʹɡ£
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.
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Both the holders of the domestic shares and H shares are holders of the ordinary shares and shall have
the same obligations and rights.
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ËùתÈõĹɷÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×£¬»¹Ó¦µ±×ñÊØ¾³Íâ֤ȯÊг¡µÄ¼à¹Ü³ÌÐò¡¢¹æ¶¨ºÍÒªÇó¡£ËùתÈõÄ
¹É·ÝÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Ò×µÄÇéÐΣ¬²»ÐèÒªÕÙ¿ªÀà±ð¹É¶«»á±í¾ö¡£
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.
µÚÊ®¾ÅÌõ ¹«Ë¾¹É·ÝµÄ·¢ÐУ¬ÊµÐй«Æ½¡¢¹«ÕýµÄÔÔò£¬Í¬ÖÖÀàµÄÿһ¹É·Ý¾ßÓÐͬµÈȨÀû¡£
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.
ͬ´Î·¢ÐеÄͬÖÖÀà¹ÉƱ£¬Ã¿¹ÉµÄ·¢ÐÐÌõ¼þºÍ¼Û¸ñÏàͬ; Èκε¥Î»»òÕ߸öÈËËùÈϹºµÄ¹É·Ý£¬Ã¿¹ÉÖ§¸¶Ïàͬ¼Û
¶î¡£
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.
µÚ¶þÊ®Ìõ ¹«Ë¾·¢ÐÐµÄ¹ÉÆ±£¬ÒÔÈËÃñ±Ò±êÃ÷ÃæÖµ¡£Ã¿¹ÉÃæÖµÈËÃñ±Ò 1 Ôª¡£
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.
ǰ¿îËù³Æ¡°ÈËÃñ±Ò¡±£¬Ö¸ÖйúµÄ·¨¶¨»õ±Ò¡£
For the purposes of the preceding paragraph, the term¡°Renminbi¡± means the lawful currency of China.
µÚ¶þʮһÌõ ¹«Ë¾·¢ÐеÄÄÚ×ʹɣ¬ÔÚÖйú֤ȯµÇ¼Ç½áËãÓÐÏÞÔðÈι«Ë¾ÉϺ£·Ö¹«Ë¾¼¯Öдæ¹Ü¡£¹«Ë¾·¢Ðеľ³
ÍâÉÏÊÐÍâ×ʹÉÖ÷ÒªÔÚÏã¸ÛÖÐÑë½áËãÓÐÏÞ¹«Ë¾ÊôϵÄÊÜÍдú¹Ü¹«Ë¾´æ¹Ü¡£
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
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¶þÊ®¶þÌõ ¾¹úÎñÔºÊÚȨµÄÉóÅú²¿ÃÅÅú×¼£¬¹«Ë¾ÓÚ³ÉÁ¢Ê±Ïò·¢ÆðÈË·¢ÐÐÆÕͨ¹É 56000 Íò¹É£¬Õ¼¹«Ë¾µ±Ê±
·¢ÐÐµÄÆÕͨ¹É×ÜÊýµÄ°Ù·ÖÖ®°Ù£¬¸÷·¢ÆðÈ˾ùÒÔ¾»×ʲúÈϹº¡£¹«Ë¾·¢ÆðÈ˵ÄÐÕÃû»òÕßÃû³Æ¼°ÆäÈϹºµÄ¹É·ÝÊý
·Ö±ðΪ£º
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:
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ»á
1 State-owned Assets Supervision and 28560 51
Administration Commission of Henan Province
ÉϺ£Á¢ÑÔͶ×ÊÖÐÐÄ( ÓÐÏ޺ϻï )
2 Shanghai Liyan Equity Investment Center 15000003200804170100 8335.04 14.884
( Limited Partnership )
Î÷°²ºº¸ß¿Æ¼¼·¢Õ¹ÓÐÏÞ¹«Ë¾
3 Xi'an Hangao Technology Development Co., 610100100005216-A 2837.52 5.067
Ltd.
º¼ÖÝÈçɽ´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
4 Hangzhou Rushan Venture Capital Investment 330100000001557 1773.52 3.167
Co., Ltd.
ÉϺ£¶¦·áÐÅÏ¢¿Æ¼¼ÓÐÏÞ¹«Ë¾
5 Shanghai Dingfeng Information Technology 31029001304667 1773.52 3.167
Co., Ltd.
±±¾©ºèÖÇ»ÛͨʵҵÓÐÏÞ¹«Ë¾
6 110000005144254 1773.52 3.167
Beijing Hongzhi Huitong Industry Co., Ltd.
Ìì½ò²©ÐÅÒ»ÆÚͶ×ÊÖÐÐÄ (ÓÐÏ޺ϻï)
7 Tianjin Boxin Phase 1 Investment Center 120191000022859 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊÐÖÐÄϳɳ¤Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
8 South China Capital Management Co., Ltd. 440300602145763 1773.52 3.167
(Limited Partnership)
ÉîÛÚÊд´ÐÂͶ×ʼ¯ÍÅÓÐÏÞ¹«Ë¾
9 440301103289709 1667.12 2.977
Shenzhen Capital Group
³£ÖÝÐŻԴ´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
10 3204001104780 886.48 1.583
Changzhou Xinhui Venture Capital Co., Ltd.
Ö£ÖݰÙÈð´´ÐÂ×ʱ¾´´ÒµÍ¶×ÊÓÐÏÞ¹«Ë¾
11 410100100006007 709.52 1.267
Bairui Capital Group (Zhengzhou)
ÉîÛÚÊиßÌØ¼Ñ´´¸»Í¶×ʺϻïÆóÒµ (ÓÐÏ޺ϻï)
12 Shenzhen GTJA Investment Group Co., Ltd. 440300602136449 532 0.95
(Limited Partnership)
Î÷°²¾·¢´´ÐÂͶ×ÊÓÐÏÞ¹«Ë¾
13 6101011210368 354.48 0.633
Xi'an Jingfa Venture Capital Co., Ltd.
½¹³ÐÒ¢
14 410102196305231515 239.456 0.4276
Jiao Chengrao
5
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
ÉÛ´ºÉú
15 410102195804121519 239.456 0.4276
Shao Chunsheng
Ïò¼ÒÓê
16 41122196508045515 168.448 0.3008
Xiang Jiayu
ÕÅÃüÁÖ
17 410105196301281653 168.448 0.3008
Zhang Minglin
¸¶×æ¸Ô
18 410102196511111514 168.448 0.3008
Fu Zugang
ÍõÐÂÓ¨
19 410102196510201534 168.448 0.3008
Wang Xinying
³Â½¨Ãñ
20 410102196401121535 168.448 0.3008
Chen Jianmin
ÀîÖØÇì
21 410102196411303017 168.448 0.3008
Li Chongqing
¹ùê»·å
22 44010619652271832 168.448 0.3008
Guo Haofeng
¸ßÓнø
23 410102196309261578 168.448 0.3008
Gao Youjin
±«Ñ©Á¼
24 120102196303210930 164.864 0.2944
Bao Xueliang
¹ùµÂÉú
25 410102196110151531 159.6 0.285
Guo Desheng
¶¡ »Ô
26 410102195511251512 159.6 0.285
Ding Hui
ÄßºÍÆ½
27 210102196501305617 159.6 0.285
Ni Heping
×£±þÁ¼
28 410102194909153010 159.6 0.285
Zhu Bingliang
ÑîÒÔ´¾
29 410105194905302217 159.6 0.285
Yang Yichun
Ðì×ÚÁÖ
30 410102196302161515 141.848 0.2533
Xu Zonglin
³þÕñÁë
31 410106196503311891 35.448 0.0633
Chu Zhenling
¶ öÎ
32 410102197405101536 35.448 0.0633
Dong Xin
ÀîºÆÆæ
33 320311196812121252 35.448 0.0633
Li Haoqi
ÀîÓÅÉú
34 410102195412231532 35.448 0.0633
Li Yousheng
Íõ³¯Ñô
35 410102196605191551 35.448 0.0633
Wang Chaoyang
µË¸ß·å
36 510212196607210359 35.448 0.0633
Deng Gaofeng
6
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É·ÝÊýÁ¿ (Íò¹É) Õ¼×ܹɱ¾
µ¥Î»Ö¤ºÅ»òÉí·ÝÖ¤ºÅÂë
ÐòºÅ ¹É¶«Ãû³Æ Number of ±ÈÀý (%)
Registration Certificate
No. Name of Shareholder Shares Shareholding
No. or ID Card No.
(10,000 shares) Ratio (%)
Áõ¸¶Óª
37 410102196512081513 35.448 0.0633
Liu Fuying
ÓÚµÂÈó
38 410102196207011578 35.448 0.0633
Yu Derun
ÖÜÖ¾¸Õ
39 410102195711032031 35.448 0.0633
Zhou Zhigang
ºÏ¼Æ
56000 100
Total
µÚ¶þÊ®ÈýÌõ ¹«Ë¾³ÉÁ¢ºó£¬¾ÖйúÖ¤¼à»áºË×¼£¬¹«¿ª·¢ÐÐÁË 14,000 Íò¹ÉÈËÃñ±ÒÆÕͨ¹É£¬·¢Ðкó¹«Ë¾µÄ¹É·Ý
×ÜÊýΪ 70,000 Íò¹É¡£
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.
¸ù¾Ý¡¶¾³ÄÚ֤ȯÊг¡×ª³Ö²¿·Ö¹úÓйɳäʵȫ¹úÉç»á±£ÕÏ»ù½ðʵʩ°ì·¨¡·£¬¾ºÓÄÏÊ¡¹úÓÐ×ʲú¼à¶½¹ÜÀíίԱ
»áÅú×¼£¬¹«Ë¾¹úÓйɶ«½«Ëù³Ö 1400 Íò¹ÉÈËÃñ±ÒÆÕͨ¹ÉתÓÉÈ«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»á³ÖÓС£
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.
¹«Ë¾¾ 2012 Äê 2 Ô 28 Èչɶ«´ó»áÉóÒ飬½«×ʱ¾¹«»ý½ðתÔö¹É±¾£¬ÏòÈ«ÌåµÇ¼Ç¹É¶«Ã¿ 10 ¹ÉתÔö 10 ¹É£¬¹«
˾¹É·Ý×ÜÊýÓÉ 70,000 Íò¹ÉÔöÖÁ 140,000 Íò¹É¡£
¹«Ë¾¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2012]1092 ºÅÎĺË×¼·¢Ðо³ÍâÉÏÊÐÍâ×ʹɣ¨H ¹É£©£¬²¢»ñµÃÏã¸ÛÁª½»ËùÅú×¼£¬
¹«Ë¾ H ¹É¹É·ÝÓÚ 2012 Äê 12 Ô 5 ÈÕÓÚÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊС£¹«Ë¾·¢ÐÐ 221,122,000 ¹É¾³ÍâÉÏÊÐÍâ×ʹɣ¨Î´
ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾¹É·Ý×ÜÊýÓÉ 140,000 Íò¹ÉÔöÖÁ 162,112.2 Íò¹É¡£Èô¹«Ë¾ÐÐʹȫ²¿³¬¶îÅäÊÛȨ£¬¹«
˾½«³¬¶îÅäÊÛ·¢ÐÐ 33,168,200 ¹É¾³ÍâÉÏÊÐÍâ×ʹɡ£¹«Ë¾¹É·Ý×ÜÊýÔöÖÁ 165,429.02 Íò¹É¡£¸ù¾Ý¡¶¹úÎñÔº¹Ø
ÓÚ¼õ³Ö¹úÓйɳOÉç»á±£ÕÏ×ʽð¹ÜÀíÔÝÐа취¡·µÈÓйع涨¼°Ïà¹Ø»ú¹ØµÄÅú¸´£¬¹«Ë¾¹úÓйɶ«½«Ëù³ÖµÈ¶î
ÓÚ H ¹Éʵ¼Ê·¢ÐÐÁ¿ 10%µÄ A ¹É¹É·Ý»®×ªµ½È«¹úÉç»á±£ÕÏ»ù½ðÀíÊ»ᾳÍâÕË»§¡£
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 (‡ø„ÕÔºêPì¶œp³Ö‡øÓйɻI¼¯Éç•þ±£ÕÏ
ÙY½ð¹ÜÀ핺ÐÐÞk·¨) 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
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
be issued.
µÚ¶þÊ®ËÄÌõ ÔÚ H ¹É·¢ÐÐÍê³Éºó£¨Î´ÐÐʹ³¬¶îÅäÊÛȨ£©£¬¹«Ë¾µÄ¹É±¾½á¹¹Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 162,112.2
Íò¹É£¬ÆäÖÐÄÚ×Ê¹É 137,788.78 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
¾ÖйúÖ¤¼à»áÖ¤¼àÐí¿É[2016]3190 ºÅÎĺË×¼£¬¹«Ë¾·¢ÐйɷݹºÂò×ʲú²¢Ä¼¼¯ÅäÌ××ʽ𣬷ǹ«¿ª·¢ÐÐÁË
111,349,370 ¹É A ¹É¹É·Ý¡£·¢ÐÐÍê³Éºó£¬¹«Ë¾¹É±¾½á¹¹±ä»¯Îª£ºÒÑ·¢ÐÐÆÕͨ¹É×ÜÊýΪ 173,247.137 Íò¹É£¬
ÆäÖÐÄÚ×Ê¹É 148,923.717 Íò¹É£¬Íâ×Ê¹É 24,323.42 Íò¹É¡£
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.
As approved by China Securities Regulatory Commission pursuant to the document Zheng Jian Xu Ke
[2016] No. 3190, the Company purchased assets by way of share issue and conducted the fundraising,
pursuant to which 111,349,370 A Shares were issued on a non-public basis. Upon the completion of the
share issuance, the share capital structure of the Company shall become: 1,732,471,370 shares of the
ordinary shares issued in total, of which 1,489,237,170 shares of domestic-invested shares and
243,234,200 shares of overseas-listed foreign-invested shares.
µÚ¶þÊ®ÎåÌõ ¾ÖйúÖ¤¼à»áÅú×¼µÄ¹«Ë¾·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¹«Ë¾¶Ê»á¿ÉÒÔ×÷³ö·Ö±ð·¢
ÐеÄʵʩ°²ÅÅ¡£
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.
¹«Ë¾ÒÀÕÕǰ¿î¹æ¶¨·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵļƻ®£¬¿ÉÒÔ×ÔÖйúÖ¤¼à»áÅú×¼Ö®ÈÕÆð 15 ¸öÔÂÄÚ·Ö
±ðʵʩ¡£
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.
µÚ¶þÊ®ÁùÌõ ¹«Ë¾ÔÚ·¢Ðмƻ®È·¶¨µÄ¹É·Ý×ÜÊýÄÚ£¬·Ö±ð·¢Ðо³ÍâÉÏÊÐÍâ×ʹɺÍÄÚ×ʹɵģ¬Ó¦µ±·Ö±ðÒ»´Îļ
×ã; ÓÐÌØÊâÇé¿ö²»ÄÜÒ»´Îļ×ãµÄ£¬¾ÖйúÖ¤¼à»áÅú×¼£¬Ò²¿ÉÒԷִη¢ÐС£
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.
µÚ¶þÊ®ÆßÌõ ¹«Ë¾»ò¹«Ë¾µÄ×Ó¹«Ë¾ (°üÀ¨¹«Ë¾µÄ¸½ÊôÆóÒµ) ²»ÒÔÔùÓë¡¢µæ×Ê¡¢µ£±£¡¢²¹³¥»ò´û¿îµÈÐÎʽ£¬¶Ô
¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈκÎ×ÊÖú¡£
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.
µÚ¶þ½Ú ¹É·ÝÔö¼õºÍ»Ø¹º
Section 2 Increase/Deduction of Capital and Repurchase of Shares
µÚ¶þÊ®°ËÌõ ¹«Ë¾¸ù¾Ý¾ÓªºÍ·¢Õ¹µÄÐèÒª£¬ÒÀÕÕ·¨ÂÉ¡¢·¨¹æµÄ¹æ¶¨£¬¾¹É¶«´ó»á·Ö±ð×÷³ö¾öÒ飬¿ÉÒÔ²ÉÓÃ
ÏÂÁз½Ê½Ôö¼Ó×ʱ¾:
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:
8
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Ò») ¹«¿ª·¢ÐйɷÝ;
by public issuance of shares;
(¶þ) ·Ç¹«¿ª·¢ÐйɷÝ;
by non-public issuance of shares;
(Èý) ÏòÏÖÓйɶ«ÅÉËͺì¹É;
by allotting bonus shares to its existing shareholders;
(ËÄ) ÒÔ¹«»ý½ðתÔö¹É±¾;
by capitalizing its capital reserve;
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨ÒÔ¼°ÖйúÖ¤¼à»áÅú×¼µÄÆäËû·½Ê½¡£
by any other means which is permitted by laws, administrative regulations and authorized by the
China Securities Regulatory Commission.
¹«Ë¾Ôö×Ê·¢ÐÐйɣ¬°´ÕÕ±¾Õ³̵Ĺ涨Åú×¼ºó£¬¸ù¾Ý¹ú¼ÒÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹
¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚ¶þÊ®¾ÅÌõ ¹«Ë¾¿ÉÒÔ¼õÉÙ×¢²á×ʱ¾¡£¹«Ë¾¼õÉÙ×¢²á×ʱ¾£¬Ó¦µ±°´ÕÕ¡¶¹«Ë¾·¨¡·ºÍÆäËûÓйع涨ÒÔ¼°±¾ÕÂ
³Ì¹æ¶¨µÄ³ÌÐò°ìÀí¡£
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.
µÚÈýÊ®Ìõ ¹«Ë¾ÔÚÏÂÁÐÇé¿öÏ£¬¿ÉÒÔÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÊÕ¹º±¾¹«Ë¾µÄ¹É·Ý£º
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:
(Ò») ¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
reducing the registered capital of the Company;
(¶þ) Óë³ÖÓб¾¹«Ë¾¹É·ÝµÄÆäËû¹«Ë¾ºÏ²¢;
merging with another company that holds shares in the Company;
(Èý) ½«¹É·ÝÓÃÓÚÔ±¹¤³Ö¹É¼Æ»®»òÕß¹ÉȨ¼¤Àø;
using shares in employee shareholding schemes or as shareholding incentives;
(ËÄ) ¹É¶«Òò¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒ飬ҪÇó¹«Ë¾ÊÕ¹ºÆä¹É·ÝµÄ;
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;
(Îå) ½«¹É·ÝÓÃÓÚת»»¹«Ë¾·¢ÐеĿÉת»»Îª¹ÉƱµÄ¹«Ë¾Õ®È¯£»
using shares to convert the corporate bonds issued by the Company that are convertible to shares;
(Áù) ¹«Ë¾ÎªÎ¬»¤¹«Ë¾¼ÛÖµ¼°¹É¶«È¨ÒæËù±ØÐ裻
serving as a necessity for the Company to protect its value and shareholders¡¯ interests;
(Æß) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æÐí¿ÉµÄÆäËûÇé¿ö¡£
other circumstances as permitted by laws and administrative regulations.
9
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
³ýÉÏÊöÇéÐÎÍ⣬¹«Ë¾²»½øÐÐÂòÂô±¾¹«Ë¾¹É·ÝµÄ»î¶¯¡£
The Company shall not engage in the trading of its shares save for the circumstances specified above.
µÚÈýʮһÌõ ÔÚÂú×ã·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ¡¢Ö¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòºÍ±¾Õ³̹涨µÄǰÌáÏ£¬
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·Ý£¬¿ÉÒÔÑ¡ÔñÏÂÁз½Ê½Ö®Ò»½øÐÐ:
Article 31 Based on compliance with laws, administrative regulations, departmental rules, the rules
governing the listing of securities on the stock exchange where the shares of the Company are listed,
and the Articles and Association, the Company may conduct the repurchase in one of the following
manners:
(Ò») ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼;
make a pro rata general offer of repurchase to all of its shareholders;
(¶þ) ÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«¿ª½»Ò×·½Ê½¹º»Ø;
repurchase shares through public trading on a stock exchange;
(Èý) ÔÚ֤ȯ½»Ò×ËùÒÔÍâÒÔÐÒ鷽ʽ¹º»Ø;
repurchase through an off-market agreement;
(ËÄ) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹Ðí¿ÉµÄÆäËûÐÎʽ
other means as permitted by the laws, administrative regulations and securities regulatory
authority where the Company is listed.
¹«Ë¾ÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±ÒÀÕÕ¡¶Ö¤È¯·¨¡·µÄ¹æ¶¨ÂÄÐÐÐÅÏ¢Åû¶ÒåÎñ¡£¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©
Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±Í¨¹ý¹«¿ªµÄ¼¯Öн»Ò×·½Ê½½øÐС£
In respect of the repurchase of its shares, the Company shall perform the information disclosure
obligation as required under the Securities Law. In the event of a repurchase in any circumstance
provided under Article 30 (3), (5) and (6), such repurchase shall take place in the form of open and
centralized trading.
µÚÈýÊ®¶þÌõ ¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ (Ò») Ïî¡¢µÚ (¶þ) ÏîµÄÔÒòÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾¹É¶«´ó»á¾ö
Ò飻¹«Ë¾Òò±¾Õ³̵ÚÈýÊ®ÌõµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©Ïî¹æ¶¨µÄÇéÐÎÊÕ¹º±¾¹«Ë¾¹É·ÝµÄ£¬Ó¦µ±¾
Èý·ÖÖ®¶þÒÔÉ϶ʳöϯµÄ¶Ê»á»áÒé¾öÒé¡£
Article 32 For any share purchases by the Company due to the causes described under Article 30 (1)
and (2), such purchase is subject to a resolution at the general meeting; and for any share purchases by
the Company in the circumstances provided under items (3), (5) and (6) of Article 30 such purchase is
subject to a resolution at the Board meeting attended by more than two thirds of Directors.
¹«Ë¾ÒÀÕÕ±¾Õ³̵ÚÈýÊ®Ìõ¹æ¶¨ÊÕ¹º±¾¹«Ë¾¹É·Ýºó£¬ÊôÓÚµÚ (Ò») ÏîÇéÐεģ¬Ó¦µ±×ÔÊÕ¹ºÖ®ÈÕÆð 10 ÈÕÄÚ×¢Ïú;
ÊôÓÚµÚ (¶þ) Ïî¡¢µÚ (ËÄ) ÏîÇéÐεģ¬Ó¦µ±ÔÚ 6 ¸öÔÂÄÚתÈûòÕß×¢Ïú£»ÊôÓÚµÚ£¨Èý£©Ïî¡¢µÚ£¨Î壩Ïî¡¢µÚ£¨Áù£©
ÏîÇéÐε쬹«Ë¾ºÏ¼Æ³ÖÓеı¾¹«Ë¾¹É·ÝÊý²»µÃ³¬¹ý±¾¹«Ë¾ÒÑ·¢ÐйɷÝ×ܶîµÄ°Ù·Ö֮ʮ£¬²¢Ó¦µ±ÔÚÈýÄêÄÚת
ÈûòÕß×¢Ïú¡£Éæ¼°ÊÕ¹º¹«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɵ쬻¹Ó¦µ±×ñÊØÖ¤È¯ÉÏÊн»Ò×Ëù֤ȯÉÏÊйæÔòµÄÏà¹Ø¹æ¶¨¡£
For any share purchases by the Company pursuant to Article 30 of the Articles of Association, shares
purchased under item (1) shall be cancelled within ten (10) days from the date of acquisition; for the
circumstances described under items (2) and (4), the shares shall be transferred or cancelled within six
(6) months. For the circumstances described under items (3), (5) and (6), the total number of shares held
by the Company shall not exceed 10% of the total number of its shares in issue, and the shares
purchased by the Company shall be transferred or cancelled within three(3) years. For purchase of any
overseas listed foreign shares of the Company, the Company shall also comply with relevant provisions
under the rules governing the listing of securities on the stock exchange where the shares of the
Company are listed.
µÚÈýÊ®ÈýÌõ ¹«Ë¾ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø¹É·Ýʱ£¬Ó¦µ±ÊÂÏȾ¹É¶«´ó»á°´±¾Õ³̵Ĺ涨Åú×¼¡£¾
¹É¶«´ó»áÒÔͬһ·½Ê½ÊÂÏÈÅú×¼£¬¹«Ë¾¿ÉÒÔ½â³ý»òÕ߸ıä¾Ç°Êö·½Ê½ÒѶ©Á¢µÄºÏͬ£¬»òÕß·ÅÆúÆäºÏͬÖеÄÈÎ
10
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ºÎȨÀû¡£
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.
ǰ¿îËù³Æ¹º»Ø¹É·ÝµÄºÏͬ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ͬÒâ³Ðµ£¹º»Ø¹É·ÝÒåÎñºÍÈ¡µÃ¹º»Ø¹É·ÝȨÀûµÄÐÒé¡£
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.
¹«Ë¾²»µÃתÈùº»ØÆä¹É·ÝµÄºÏͬ»òÕߺÏͬÖй涨µÄÈκÎȨÀû¡£
The Company shall not assign a contract for repurchasing its shares or any of its rights thereunder.
¶ÔÓÚ¹«Ë¾ÓÐȨ¹º»Ø¿ÉÊê»Ø¹É·Ý£¬Èç·Ç¾Êг¡»òÒÔÕб귽ʽ¹º»Ø£¬Æä¼Û¸ñ±ØÐëÏÞ¶¨ÔÚijһ×î¸ß¼Û¸ñ; ÈçÒÔÕÐ
±ê·½Ê½¹º»Ø£¬Ôò±ØÐëÒÔͬµÈÌõ¼þÏòÈ«Ìå¹É¶«Ìá³öÕб꽨Òé¡£
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.
µÚÈýÊ®ËÄÌõ ¹«Ë¾ÒÀ·¨¹º»Ø¹É·Ýºó£¬Ó¦µ±ÔÚ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨µÄÆÚÏÞÄÚ£¬×¢Ïú¸Ã²¿·Ö¹É·Ý£¬²¢ÏòÔ¹«Ë¾
µÇ¼Ç»ú¹ØÉêÇë°ìÀí×¢²á×ʱ¾±ä¸üµÇ¼Ç¡£
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.
±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµÓ¦µ±´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õ¡£
The amount of the Company¡¯s registered share capital shall be reduced by the aggregate par value of
those cancelled shares.
µÚÈýÊ®ÎåÌõ ³ý·Ç¹«Ë¾ÒѾ½øÈëÇåËã½×¶Î£¬¹«Ë¾¹º»ØÆä·¢ÐÐÔÚÍâµÄ¹É·Ý£¬Ó¦µ±×ñÊØÏÂÁй涨£º
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:
(Ò») ¹«Ë¾ÒÔÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Æä¿îÏîÓ¦µ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄйÉ
ËùµÃÖмõ³ý;
where the Company repurchases its shares at par value, payment shall be made out of book
balance of the distributable profits of the Company or out of proceeds of a fresh issue of shares
made for repurchase;
(¶þ) ¹«Ë¾ÒÔ¸ßÓÚÃæÖµ¼Û¸ñ¹º»Ø¹É·ÝµÄ£¬Ï൱ÓÚÃæÖµµÄ²¿·Ö´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø
·¢ÐеÄйÉËùµÃÖмõ³ý; ¸ß³öÃæÖµµÄ²¿·Ö£¬°´ÕÕÏÂÊö°ì·¨°ìÀí£º
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) ¹º»ØµÄ¹É·ÝÊÇÒÔÃæÖµ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶îÖмõ³ý;
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) ¹º»ØµÄ¹É·ÝÊÇÒÔ¸ßÓÚÃæÖµµÄ¼Û¸ñ·¢Ðе쬴ӹ«Ë¾µÄ¿É·ÖÅäÀûÈóÕËÃæÓà¶î¡¢Îª¹º»Ø¾É¹É¶ø·¢ÐеÄ
йÉËùµÃÖмõ³ý; µ«ÊÇ´Ó·¢ÐÐйÉËùµÃÖмõ³ýµÄ½ð¶î£¬²»µÃ³¬¹ý¹º»ØµÄ¾É¹É·¢ÐÐʱËùµÃµÄÒç¼Û
×ܶҲ²»µÃ³¬¹ý¹º»ØÊ±¹«Ë¾Òç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÉϵĽð¶î (°üÀ¨·¢ÐÐйɵÄÒç¼Û
11
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
½ð¶î) ;
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;
(Èý) ¹«Ë¾ÎªÏÂÁÐÓÃ;ËùÖ§¸¶µÄ¿îÏӦµ±´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³ö£º
payment by the Company in consideration of the following shall be made out of the Company¡¯s
distributable profits:
(1) È¡µÃ¹º»ØÆä¹É·ÝµÄ¹º»ØÈ¨;
acquisition of rights to repurchase shares of the Company;
(2) ±ä¸ü¹º»ØÆä¹É·ÝµÄºÏͬ;
variation of any contract for repurchasing shares of the Company;
(3) ½â³ýÆäÔÚ¹º»ØºÏͬÖеÄÒåÎñ¡£
release of any of the Company¡¯s obligations under any contract for repurchasing its shares;
(ËÄ) ±»×¢Ïú¹É·ÝµÄÆ±Ãæ×ÜÖµ¸ù¾ÝÓйع涨´Ó¹«Ë¾µÄ×¢²á×ʱ¾Öк˼õºó£¬´Ó¿É·ÖÅäµÄÀûÈóÖмõ³ýµÄÓÃÓÚ¹º
»Ø¹É·ÝÃæÖµ²¿·ÖµÄ½ð¶î£¬Ó¦µ±¼ÆÈ빫˾µÄÒç¼ÛÕË»§ (»ò×ʱ¾¹«»ý½ðÕË»§) ÖС£
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).
µÚÈý½Ú ¹É·ÝתÈÃ
Section 3 Transfer of Shares
µÚÈýÊ®ÁùÌõ ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̺͹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨ÁíÓй涨Í⣬¹«Ë¾µÄ
¹É·Ý¿ÉÒÔ×ÔÓÉתÈ㬲¢²»¸½´øÈκÎÁôÖÃȨ¡£
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.
µÚÈýÊ®ÆßÌõ ËùÓйɱ¾ÒѽÉÇåµÄÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɣ¬½Ô¿ÉÒÀ¾Ý±¾Õ³Ì×ÔÓÉתÈã¬Ò಻¸½
´øÈκÎÁôÖÃȨ¡£µ«ÊÇ£¬³ý·Ç·ûºÏÏÂÁÐÌõ¼þ£¬·ñÔò¶Ê»á¿É¾Ü¾ø³ÐÈÏÈκÎתÈÃÎļþ£¬²¢ÎÞÐèÉêÊöÈκÎÀíÓÉ£º
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:
(Ò») ÓëÈκιɷÝËùÓÐȨÓйصĻò»áÓ°Ïì¹É·ÝËùÓÐȨµÄתÈÃÎļþ¼°ÆäËûÎļþ£¬¾ùÐëµÇ¼Ç£¬²¢Ðë¾ÍµÇ¼ÇÏò±¾
¹«Ë¾Ö§¸¶·ÑÓã¬Î©·ÑÓò»µÃ³¬¹ýÏã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ×î¸ß·ÑÓÃ;
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;
(¶þ) תÈÃÎļþֻɿ¼°ÔÚÏã¸ÛÁª½»ËùÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹÉ;
the instrument of transfer involves only the H shares listed in HKEX;
12
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) תÈÃÎļþÒѸ¶Ó¦½ÉÏã¸Û·¨ÂÉÒªÇóµÄÓ¡»¨Ë°;
the stamp duty payable by the laws of Hong Kong on the instrument of transfer has been paid;
(ËÄ) Ó¦µ±ÌṩÓÐ¹ØµÄ¹ÉÆ±£¬ÒÔ¼°¶Ê»áËùºÏÀíÒªÇóµÄÖ¤Ã÷תÈÃÈËÓÐȨתÈùɷݵÄÖ¤¾Ý;
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;
(Îå) Èç¹É·ÝÄâתÈÃÓèÁªÃû³ÖÓÐÈË£¬ÔòÁªÃûµÇ¼ÇµÄ¹É¶«ÈËÊý²»µÃ³¬¹ýËÄÃû;
if the shares are to be transferred to joint holders, the number of such joint shareholders shall not
exceed four (4);
(Áù) ÓйعɷÝûÓи½´øÈκα¾¹«Ë¾µÄÁôÖÃȨ¡£
the Company does not have any lien over the relevant shares.
ËùÓÐÔÚÏã¸ÛÉÏÊÐµÄ H shares µÄתÈýÔÓ¦²ÉÓÃÒ»°ã»òÆÕͨ¸ñʽ»òÈÎºÎÆäËûΪ¶Ê»á½ÓÊܵĸñʽµÄÊéÃæ×ªÈÃ
ÎÄ¾Ý (°üÀ¨Ïã¸ÛÁª½»Ëù²»Ê±¹æ¶¨µÄ±ê׼תÈøñʽ»ò¹ý»§±í¸ñ) ; ¿ÉÒÔÖ»ÓÃÈËÊÖÇ©ÊðתÈÃÎľݣ¬»ò (Èç³öÈ÷½
»òÊÜÈ÷½Îª¹«Ë¾) ¸ÇÉϹ«Ë¾µÄÓ¡Õ¡£Èç³öÈ÷½»òÊÜÈ÷½ÎªÒÀÕÕÏã¸Û·¨Âɲ»Ê±ÉúЧµÄÓйØÌõÀýËù¶¨ÒåµÄÈÏ¿É
½áËãËù (¼ò³Æ¡°ÈϿɽáËãËù¡±) »òÆä´úÀíÈË£¬×ªÈñí¸ñ¿ÉÓÃÈËÊÖÇ©Êð»ò»úÓ¡ÐÎʽǩÊð¡£
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.
Èç¹û¹«Ë¾¾Ü¾øµÇ¼Ç¹É·ÝתÈ㬹«Ë¾Ó¦ÔÚתÈÃÉêÇëÕýʽÌá³öÖ®ÈÕÆð 2 ¸öÔÂÄÚ¸ø×ªÈÃÈ˺ͳÐÈÃÈËÒ»·Ý¾Ü¾øµÇ¼Ç
¸Ã¹É·ÝתÈõÄ֪ͨ¡£
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.
ËùÓÐתÈÃÎľÝÓ¦±¸ÖÃÓÚ the ¡°Company Law¡± ¶¨µØÖ·»ò¶Ê»᲻ʱָ¶¨µÄµØÖ·¡£
All transfer instruments shall be placed at the legal address of the Company or any address specified by
the Board from time to time.
µÚÈýÊ®°ËÌõ ¹«Ë¾²»½ÓÊܱ¾¹«Ë¾µÄ¹ÉƱ×÷ΪÖÊѺȨµÄ±êµÄ¡£
Article 38 The Company shall not accept any shares of the Company as the subject of pledge.
µÚÈýÊ®¾ÅÌõ ·¢ÆðÈ˳ÖÓеı¾¹«Ë¾¹É·Ý£¬×Ô¹«Ë¾³ÉÁ¢Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈ᣹«Ë¾¹«¿ª·¢ÐйɷÝǰÒÑ·¢ÐÐ
µÄ¹É·Ý£¬×Ô¹«Ë¾¹ÉƱÔÚ֤ȯ½»Ò×ËùÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»µÃתÈá£
Article 39 Shares of the Company held by the promoters shall not be transferred within one (1) year
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).
¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ó¦µ±Ïò¹«Ë¾É걨Ëù³ÖÓеı¾¹«Ë¾µÄ¹É·Ý¼°Æä±ä¶¯Çé¿ö£¬ÔÚÈÎÖ°ÆÚ¼äÿÄêת
ÈõĹɷݲ»µÃ³¬¹ýÆäËù³ÖÓб¾¹«Ë¾¹É·Ý×ÜÊýµÄ 25%; Ëù³Ö±¾¹«Ë¾¹É·Ý×Ô¹«Ë¾¹ÉƱÉÏÊн»Ò×Ö®ÈÕÆð 1 ÄêÄÚ²»
µÃתÈá£ÉÏÊöÈËÔ±ÀëÖ°ºó°ëÄêÄÚ£¬²»µÃתÈÃÆäËù³ÖÓеı¾¹«Ë¾¹É·Ý¡£
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.
13
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚËÄÊ®Ìõ ¹«Ë¾¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±¡¢³ÖÓб¾¹«Ë¾¹É·Ý 5%ÒÔÉϵĹɶ«£¬½«Æä³ÖÓеı¾¹«Ë¾¹ÉƱÔÚÂò
Èëºó 6 ¸öÔÂÄÚÂô³ö£¬»òÕßÔÚÂô³öºó 6 ¸öÔÂÄÚÓÖÂòÈ룬ÓÉ´ËËùµÃÊÕÒæ¹é±¾¹«Ë¾ËùÓУ¬±¾¹«Ë¾¶Ê»ὫÊÕ»ØÆä
ËùµÃÊÕÒæ¡£µ«ÊÇ£¬Ö¤È¯¹«Ë¾Òò°üÏú¹ºÈëÊÛºóÊ£Óà¹ÉƱ¶ø³ÖÓÐ 5%ÒÔÉϹɷݵģ¬Âô³ö¸Ã¹ÉƱ²»ÊÜ 6 ¸öÔÂʱ¼ä
ÏÞÖÆ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕǰ¿î¹æ¶¨Ö´Ðе쬹ɶ«ÓÐȨҪÇó¶Ê»áÔÚ 30 ÈÕÄÚÖ´ÐС£¹«Ë¾¶Ê»áδÔÚÉÏÊöÆÚÏÞÄÚÖ´
Ðе쬹ɶ«ÓÐȨΪÁ˹«Ë¾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
¹«Ë¾¶Ê»᲻°´ÕÕµÚÒ»¿îµÄ¹æ¶¨Ö´Ðе쬏ºÓÐÔðÈεĶÊÂÒÀ·¨³Ðµ£Á¬´øÔðÈΡ£
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.
µÚËÄÕ ¹ºÂò¹«Ë¾¹É·ÝµÄ²ÆÎñ×ÊÖú
Chapter 4 Financial Assistance for Acquisition of the Company¡¯s
Shares
µÚËÄʮһÌõ ¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬¶Ô¹ºÂò»òÕßÄ⹺Âò¹«Ë¾¹É·ÝµÄÈËÌṩÈÎ
ºÎ²ÆÎñ×ÊÖú¡£Ç°Êö¹ºÂò¹«Ë¾¹É·ÝµÄÈË£¬°üÀ¨Òò¹ºÂò¹«Ë¾¹É·Ý¶øÖ±½Ó»òÕß¼ä½Ó³Ðµ£ÒåÎñµÄÈË¡£
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.
¹«Ë¾»òÕ߯ä×Ó¹«Ë¾ÔÚÈκÎʱºò¾ù²»Ó¦µ±ÒÔÈκη½Ê½£¬Îª¼õÉÙ»òÕß½â³ýǰÊöÒåÎñÈ˵ÄÒåÎñÏòÆäÌṩ²ÆÎñ×ÊÖú¡£
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.
±¾Ìõ¹æ¶¨²»ÊÊÓÃÓÚ±¾Õ³̵ÚËÄÊ®ÈýÌõËùÊöµÄÇéÐΡ£
The provisions in this Article shall not apply to the circumstances stated in the Article 43.
µÚËÄÊ®¶þÌõ ±¾Õ³ÌËù³Æ²ÆÎñ×ÊÖú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÏÂÁз½Ê½£º
Article 42 The term ¡°financial assistance¡± referred to in this Chapter includes (but not limited to) the
following means:
(Ò») À¡Ôù;
gift;
(¶þ) µ£±£ (°üÀ¨Óɱ£Ö¤È˳е£ÔðÈλòÕßÌṩ²Æ²úÒÔ±£Ö¤ÒåÎñÈËÂÄÐÐÒåÎñ) ¡¢²¹³¥ (µ«ÊDz»°üÀ¨Òò¹«Ë¾±¾Éí
µÄ¹ý´íËùÒýÆðµÄ²¹³¥) ¡¢½â³ý»òÕß·ÅÆúȨÀû;
guarantee (including the assumption of liability by the guarantor or the provision of assets by the
14
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(Èý) Ìṩ´û¿î»òÕß¶©Á¢Óɹ«Ë¾ÏÈÓÚËû·½ÂÄÐÐÒåÎñµÄºÏͬ£¬ÒÔ¼°¸Ã´û¿î¡¢ºÏͬµ±Ê·½µÄ±ä¸üºÍ¸Ã´û¿î¡¢ºÏ
ͬÖÐȨÀûµÄתÈõÈ;
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;
(ËÄ) ¹«Ë¾ÔÚÎÞÁ¦³¥»¹Õ®Îñ¡¢Ã»Óо»×ʲú»òÕß½«»áµ¼Ö¾»×ʲú´ó·ù¶È¼õÉÙµÄÇéÐÎÏ£¬ÒÔÈÎºÎÆäËû·½Ê½Ìṩ
µÄ²ÆÎñ×ÊÖú¡£
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.
±¾ÕÂËù³Æ³Ðµ£ÒåÎñ£¬°üÀ¨ÒåÎñÈËÒò¶©Á¢ºÏͬ»òÕß×÷³ö°²ÅÅ (²»Â۸úÏͬ»òÕß°²ÅÅÊÇ·ñ¿ÉÒÔÇ¿ÖÆÖ´ÐУ¬Ò²²»
ÂÛÊÇÓÉÆä¸öÈË»òÕßÓëÈÎºÎÆäËûÈ˹²Í¬³Ðµ£) £¬»òÕßÒÔÈÎºÎÆäËû·½Ê½¸Ä±äÁËÆä²ÆÎñ×´¿ö¶ø³Ðµ£µÄÒåÎñ¡£
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.
µÚËÄÊ®ÈýÌõ ÏÂÁÐÐÐΪ²»ÊÓΪµÚËÄʮһÌõ½ûÖ¹µÄÐÐΪ£º
Article 43 The following activities shall not be deemed to be activities as prohibited in Article 41:
(Ò») ¹«Ë¾ÌṩµÄÓйزÆÎñ×ÊÖúÊdzÏʵµØÎªÁ˹«Ë¾ÀûÒæ£¬²¢ÇÒ¸ÃÏî²ÆÎñ×ÊÖúµÄÖ÷ҪĿµÄ²»ÊÇΪ¹ºÂò±¾¹«Ë¾
¹É·Ý£¬»òÕ߸ÃÏî²ÆÎñ×ÊÖúÊǹ«Ë¾Ä³Ïî×ܼƻ®Öи½´øµÄÒ»²¿·Ö;
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;
(¶þ) ¹«Ë¾ÒÀ·¨ÒÔÆä²Æ²ú×÷Ϊ¹ÉÀû½øÐзÖÅä;
the lawful distribution of the Company¡¯s assets by way of dividend;
(Èý) ÒԹɷݵÄÐÎʽ·ÖÅä¹ÉÀû;
the allotment of shares as dividends;
(ËÄ) ÒÀ¾Ý¹«Ë¾Õ³̼õÉÙ×¢²á×ʱ¾¡¢¹º»Ø¹É·Ý¡¢µ÷Õû¹ÉȨ½á¹¹µÈ;
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;
(Îå) ¹«Ë¾ÔÚÆä¾Óª·¶Î§ÄÚ£¬ÎªÆäÕý³£µÄÒµÎñ»î¶¯Ìṩ´û¿î (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹
¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²ÆÎñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ;
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);
(Áù) ¹«Ë¾ÎªÖ°¹¤³Ö¹É¼Æ»®Ìṩ¿îÏî (µ«ÊDz»Ó¦µ±µ¼Ö¹«Ë¾µÄ¾»×ʲú¼õÉÙ£¬»òÕß¼´Ê¹¹¹³ÉÁ˼õÉÙ£¬µ«¸ÃÏî²Æ
Îñ×ÊÖúÊÇ´Ó¹«Ë¾µÄ¿É·ÖÅäÀûÈóÖÐÖ§³öµÄ) ¡£
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).
15
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÕ ¹ÉƱºÍ¹É¶«Ãû²á
Chapter 5 Share Certificates and Register of Shareholders
µÚËÄÊ®ËÄÌõ ¹«Ë¾¹ÉƱ²ÉÓüÇÃûʽ¡£
Article 44 The Company¡¯s share certificates shall be in registered form.
¹«Ë¾¹ÉƱӦµ±ÔØÃ÷µÄÊÂÏ³ý¡¶¹«Ë¾·¨¡·¹æ¶¨µÄÍ⣬»¹Ó¦µ±°üÀ¨¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇóÔØÃ÷µÄÆä
ËûÊÂÏî¡£
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.
µÚËÄÊ®ÎåÌõ ¹ÉƱÓɶʳ¤Ç©Êð¡£¹«Ë¾¹ÉƱÉÏÊеÄ֤ȯ½»Ò×ËùÒªÇó¹«Ë¾ÆäËû¸ß¼¶¹ÜÀíÈËԱǩÊðµÄ£¬»¹Ó¦µ±
ÓÉÆäËûÓйظ߼¶¹ÜÀíÈËԱǩÊð¡£¹ÉÆ±¾¼Ó¸Ç¹«Ë¾Ó¡Õ»òÒÔÓ¡Ë¢ÐÎʽ¼Ó¸ÇÓ¡ÕºóÉúЧ¡£ÔÚ¹ÉÆ±ÉϼӸǹ«Ë¾Ó¡
Õ»ò¹«Ë¾Ö¤È¯Ó¡Õ£¬Ó¦µ±ÓжÊ»áµÄÊÚȨ¡£¹«Ë¾¶Ê³¤»òÕ߯äËûÓйظ߼¶¹ÜÀíÈËÔ±ÔÚ¹ÉÆ±ÉϵÄÇ©×ÖÒ²¿ÉÒÔ
²ÉȡӡˢÐÎʽ¡£
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.
µÚËÄÊ®ÁùÌõ ¹«Ë¾¹ÉƱÔÚÎÞÖ½»¯·¢Ðкͽ»Ò×µÄÌõ¼þÏ£¬ÊÊÓù«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÁíÐй涨¡£
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.
µÚËÄÊ®ÆßÌõ ¹«Ë¾ÒÀ¾Ý¾³ÄÚ֤ȯµÇ¼Ç»ú¹¹ÌṩµÄƾ֤½¨Á¢ÄÚ×ʹɹɶ«Ãû²á¡£¹«Ë¾Ó¦µ±ÉèÁ¢¾³ÍâÉÏÊÐÍâ×ʹÉ
¹É¶«Ãû²á£¬µÇ¼ÇÒÔÏÂÊÂÏ
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:
(Ò») ¸÷¹É¶«µÄÐÕÃû (Ãû³Æ) ¡¢µØÖ· (סËù) ¡¢Ö°Òµ»òÐÔÖÊ;
the name, address (domicile), occupation or nature of each shareholder;
(¶þ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄÀà±ð¼°ÆäÊýÁ¿;
the class and number of shares held by each shareholder;
(Èý) ¸÷¹É¶«Ëù³Ö¹É·ÝÒѸ¶»òÕßÓ¦¸¶µÄ¿îÏî;
the amount paid-up or payable in respect of shares held by each shareholder;
(ËÄ) ¸÷¹É¶«Ëù³Ö¹É·ÝµÄ±àºÅ;
the serial numbers of the shares held by each shareholder;
(Îå) ¸÷¹É¶«µÇ¼ÇΪ¹É¶«µÄÈÕÆÚ;
the date on which a person registers as a shareholder;
(Áù) ¸÷¹É¶«ÖÕֹΪ¹É¶«µÄÈÕÆÚ¡£
the date on which a person ceases to be a shareholder;
16
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
¹É¶«Ãû²áΪ֤Ã÷¹É¶«³ÖÓй«Ë¾¹É·ÝµÄ³ä·ÖÖ¤¾Ý; µ«ÊÇÓÐÏà·´Ö¤¾ÝµÄ³ýÍâ¡£
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.
ËùÓо³ÍâÉÏÊÐÍâ×ʹɵÄÐÐΪ»òתÈý«µÇ¼ÇÓÚ¸ù¾Ý±¾Õ³̵Ĺ涨´æ·ÅÓÚÉÏÊеصľ³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á¡£
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.
µÚËÄÊ®°ËÌõ ¹«Ë¾¿ÉÒÔÒÀ¾ÝÖйú֤ȯ¼à¶½¹ÜÀí»ú¹¹Óë¾³Íâ֤ȯ¼à¹Ü»ú¹¹´ï³ÉµÄÁ½⡢ÐÒ飬½«¾³ÍâÉÏÊÐÍâ
×ʹɹɶ«Ãû²á´æ·ÅÔÚ¾³Í⣬²¢Î¯Íо³Íâ´úÀí»ú¹¹¹ÜÀí¡£ÓйØÏã¸ÛÁª½»Ëù¹ÒÅÆÉÏÊеľ³ÍâÉÏÊÐÍâ×ʹɹɶ«µÄ
¹É¶«Ãû²áÕý±¾Ó¦µ±´æ·ÅÔÚÏã¸Û¡£
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.
¹«Ë¾Ó¦µ±½«¾³ÍâÉÏÊÐÍâ×ʹɶ«Ãû²áµÄ¸±±¾±¸ÖÃÓÚ¹«Ë¾×¡Ëù; ÊÜίÍеľ³Íâ´úÀí»ú¹¹Ó¦µ±ËæÊ±±£Ö¤¾³ÍâÉÏÊÐ
Íâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄÒ»ÖÂÐÔ¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý¡¢¸±±¾µÄ¼ÇÔØ²»Ò»ÖÂʱ£¬ÒÔÕý±¾Îª×¼¡£
If there is any inconsistency between the original and the duplicate of the register of holders of H shares,
the original version shall prevail.
µÚËÄÊ®¾ÅÌõ ¹«Ë¾Ó¦µ±±£´æÓÐÍêÕûµÄ¹É¶«Ãû²á¡£
Article 49 The Company shall keep a complete register of shareholders.
¹É¶«Ãû²á°üÀ¨ÏÂÁв¿·Ö£º
The register of shareholders shall include the following:
(Ò») ´æ·ÅÔÚ¹«Ë¾×¡ËùµÄ¡¢³ý±¾¿î (¶þ) ¡¢ (Èý) Ïî¹æ¶¨ÒÔÍâµÄ¹É¶«Ãû²á;
the register of members maintained at the Company¡¯s domicile other than those parts as described
in items (ii) and (iii) of this Article;
(¶þ) ´æ·ÅÔÚ¾³ÍâÉÏÊеÄ֤ȯ½»Ò×ËùËùÔڵصĹ«Ë¾¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²á;
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;
(Èý) ¶Ê»áΪ¹«Ë¾¹ÉƱÉÏÊеÄÐèÒª¶ø¾ö¶¨´æ·ÅÔÚÆäËûµØ·½µÄ¹É¶«Ãû²á¡£
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.
µÚÎåÊ®Ìõ ¹É¶«Ãû²áµÄ¸÷²¿·ÖÓ¦µ±»¥²»Öصþ¡£Ôڹɶ«Ãû²áijһ²¿·Ö×¢²áµÄ¹É·ÝµÄתÈã¬ÔڸùɷÝ×¢²á´æÐø
ÆÚ¼ä²»µÃ×¢²áµ½¹É¶«Ãû²áµÄÆäËû²¿·Ö¡£
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.
¹É¶«Ãû²á¸÷²¿·ÖµÄ¸ü¸Ä»òÕ߸üÕý£¬Ó¦µ±¸ù¾Ý¹É¶«Ãû²á¸÷²¿·Ö´æ·ÅµØµÄ·¨ÂɽøÐС£
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.
17
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåʮһÌõ ¹É¶«´ó»áÕÙ¿ªÇ°ÈýÊ®ÈÕÄÚ»òÕß¹«Ë¾¾ö¶¨·ÖÅä¹ÉÀûµÄ»ù×¼ÈÕǰÎåÈÕÄÚ£¬²»µÃ½øÐÐÒò¹É·ÝתÈöø
·¢ÉúµÄ¹É¶«Ãû²áµÄ±ä¸üµÇ¼Ç¡£
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.
¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹ÁíÓй涨µÄ£¬´ÓÆä¹æ¶¨¡£
If the securities regulatory authority where the shares of the Company are listed, have special provisions,
those provisions shall be followed.
µÚÎåÊ®¶þÌõ ÈκÎÈ˶Թɶ«Ãû²á³ÖÓÐÒìÒé¶øÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉÏ£¬»òÕßÒªÇ󽫯äÐÕÃû
(Ãû³Æ) ´Ó¹É¶«Ãû²áÖÐɾ³ýµÄ£¬¾ù¿ÉÒÔÏòÓйÜϽȨµÄ·¨ÔºÉêÇë¸üÕý¹É¶«Ãû²á¡£
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.
µÚÎåÊ®ÈýÌõ ÈκεǼÇÔڹɶ«Ãû²áÉϵĹɶ«»òÕßÈκÎÒªÇ󽫯äÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË£¬Èç¹ûÆä
¹ÉƱ (¼´¡°Ô¹ÉƱ¡±) ÒÅʧ£¬¿ÉÒÔÏò¹«Ë¾ÉêÇë¾Í¸Ã¹É·Ý (¼´¡°Óйعɷݡ±) ²¹·¢ÐÂ¹ÉÆ±¡£
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¡±).
ÄÚ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬ÒÀÕÕ¡¶¹«Ë¾·¨¡·Ïà¹Ø¹æ¶¨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱ£¬ÉêÇë²¹·¢µÄ£¬¿ÉÒÔÒÀÕÕ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«Ãû²áÕý±¾´æ·ÅµØµÄ·¨ÂÉ¡¢¾³Íâ
֤ȯ½»Ò׳¡Ëù¹æÔò»òÕ߯äËûÓйع涨´¦Àí¡£
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.
¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÒÅʧ¹ÉƱÉêÇë²¹·¢µÄ£¬Æä¹ÉƱµÄ²¹·¢Ó¦µ±·ûºÏÏÂÁÐÒªÇó£º
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:
(Ò») ÉêÇëÈËÓ¦µ±Óù«Ë¾Ö¸¶¨µÄ±ê×¼¸ñʽÌá³öÉêÇë²¢¸½ÉϹ«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷Îļþ¡£¹«Ö¤Êé»òÕß·¨¶¨ÉùÃ÷
ÎļþµÄÄÚÈÝÓ¦µ±°üÀ¨ÉêÇëÈËÉêÇëµÄÀíÓÉ¡¢¹ÉƱÒÅʧµÄÇéÐμ°Ö¤¾Ý£¬ÒÔ¼°ÎÞÆäËûÈκÎÈ˿ɾÍÓйعɷÝ
ÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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
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.
(¶þ) ¹«Ë¾¾ö¶¨²¹·¢ÐÂ¹ÉÆ±Ö®Ç°£¬Ã»ÓÐÊÕµ½ÉêÇëÈËÒÔÍâµÄÈκÎÈ˶ԸùɷÝÒªÇóµÇ¼ÇΪ¹É¶«µÄÉùÃ÷¡£
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.
(Èý) ¹«Ë¾¾ö¶¨ÏòÉêÇëÈ˲¹·¢ÐÂ¹ÉÆ±£¬Ó¦µ±ÔÚ¶Ê»áÖ¸¶¨µÄ±¨¿¯ÉÏ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æ; ¹«¸æÆÚ¼äΪ
¾ÅÊ®ÈÕ£¬Ã¿ÈýÊ®ÈÕÖÁÉÙÖØ¸´¿¯µÇÒ»´Î¡£
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
18
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
designated by the Board. The announcement shall be made at least once every thirty (30) days in
a period of ninety (90) days.
(ËÄ) ¹«Ë¾ÔÚ¿¯µÇ×¼±¸²¹·¢ÐÂ¹ÉÆ±µÄ¹«¸æÖ®Ç°£¬Ó¦µ±ÏòÆä¹ÒÅÆÉÏÊеÄ֤ȯ½»Ò×ËùÌá½»Ò»·ÝÄ⿯µÇµÄ¹«¸æ¸±
±¾£¬ÊÕµ½¸Ã֤ȯ½»Ò×ËùµÄ»Ø¸´£¬È·ÈÏÒÑÔÚ¸Ã֤ȯ½»Ò×ËùÄÚչʾ¸Ã¹«¸æºó£¬¼´¿É¿¯µÇ¡£¹«¸æÔÚ¸Ã֤ȯ
½»Ò×ËùÄÚչʾµÄÆÚ¼äΪ¾ÅÊ®ÈÕ¡£
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.
Èç¹û²¹·¢¹ÉƱµÄÉêÇëδµÃµ½ÓйعɷݵĵǼÇÔÚ²á¹É¶«µÄͬÒ⣬¹«Ë¾Ó¦µ±½«Ä⿯µÇµÄ¹«¸æµÄ¸´Ó¡¼þÓʼĸø¸Ã
¹É¶«¡£
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.
(Îå) ±¾Ìõ (Èý) ¡¢ (ËÄ) ÏîËù¹æ¶¨µÄ¹«¸æ¡¢Õ¹Ê¾µÄ¾ÅÊ®ÈÕÆÚÏÞ½ìÂú£¬È繫˾δÊÕµ½ÈκÎÈ˶Բ¹·¢¹ÉƱµÄÒì
Ò飬¼´¿ÉÒÔ¸ù¾ÝÉêÇëÈ˵ÄÉêÇë²¹·¢ÐÂ¹ÉÆ±¡£
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.
(Áù) ¹«Ë¾¸ù¾Ý±¾Ìõ¹æ¶¨²¹·¢ÐÂ¹ÉÆ±Ê±£¬Ó¦µ±Á¢¼´×¢ÏúÔ¹ÉÆ±£¬²¢½«´Ë×¢ÏúºÍ²¹·¢ÊÂÏîµÇ¼ÇÔڹɶ«Ãû²áÉÏ¡£
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.
(Æß) ¹«Ë¾Îª×¢ÏúÔ¹ÉÆ±ºÍ²¹·¢ÐÂ¹ÉÆ±µÄÈ«²¿·ÑÓ㬾ùÓÉÉêÇëÈ˸ºµ£¡£ÔÚÉêÇëÈËδÌṩºÏÀíµÄµ£±£Ö®Ç°£¬¹«
˾ÓÐȨ¾Ü¾ø²ÉÈ¡ÈκÎÐж¯¡£
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.
µÚÎåÊ®ËÄÌõ ¹«Ë¾¸ù¾Ý¹«Ë¾Õ³̵Ĺ涨²¹·¢ÐÂ¹ÉÆ±ºó£¬»ñµÃǰÊöÐÂ¹ÉÆ±µÄÉÆÒ⹺ÂòÕß»òÕ߯äºóµÇ¼ÇΪ¸Ã¹É
·ÝµÄËùÓÐÕߵĹɶ« (ÈçÊôÉÆÒ⹺ÂòÕß) £¬ÆäÐÕÃû (Ãû³Æ) ¾ù²»µÃ´Ó¹É¶«Ãû²áÖÐɾ³ý¡£
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.
µÚÎåÊ®ÎåÌõ ¹«Ë¾¶ÔÓÚÈκÎÓÉÓÚ×¢ÏúÔ¹ÉÆ±»òÕß²¹·¢ÐÂ¹ÉÆ±¶øÊܵ½Ë𺦵ÄÈ˾ùÎÞÅâ³¥ÒåÎñ£¬³ý·Ç¸Ãµ±ÊÂÈË
ÄÜÖ¤Ã÷¹«Ë¾ÓÐÆÛÕ©ÐÐΪ¡£
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.
19
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÕ ¹É¶«ºÍ¹É¶«´ó»á
Chapter 6 Shareholders and Shareholders¡¯ General Meeting
µÚÒ»½Ú ¹É ¶«
Section 1 Shareholders
µÚÎåÊ®ÁùÌõ ¹«Ë¾¹É¶«ÎªÒÀ·¨³ÖÓй«Ë¾¹É·Ý²¢ÇÒÆäÐÕÃû (Ãû³Æ) µÇ¼ÇÔڹɶ«Ãû²áÉϵÄÈË¡£
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.
¹É¶«°´ÆäËù³ÖÓйɷݵÄÖÖÀàÏíÓÐȨÀû£¬³Ðµ£ÒåÎñ; ³ÖÓÐͬһÖÖÀà¹É·ÝµÄ¹É¶«£¬ÏíÓÐͬµÈȨÀû£¬³Ðµ£Í¬ÖÖÒå
Îñ¡£
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.
ÈçÁ½¸öÒÔÉϵÄÈ˵ǼÇΪÈκιɷݵÄÁªÃû¹É¶«£¬ËûÃÇÓ¦±»ÊÓΪÓйعɷݵĹ²Í¬¹²ÓÐÈË£¬µ«±ØÐëÊÜÒÔÏÂÌõ¿îÏÞ
ÖÆ£º
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:
(Ò») ¹«Ë¾²»Ó¦½«³¬¹ýËÄÃûÈËÊ¿µÇ¼ÇΪÈκιɷݵÄÁªÃû¹É¶«;
The Company shall register no more than four people as the joint holder of any share;
(¶þ) ÈκιɷݵÄËùÓÐÁªÃû¹É¶«Ó¦¶ÔÖ§¸¶ÓйعɷÝËùÓ¦¸¶µÄËùÓнð¶î³Ðµ£Á¬´øÔðÈÎ;
The joint holders of any shares shall jointly assume the liability to pay for all amounts payable for
the relevant shares.
(Èý) ÈçÁªÃû¹É¶«Ö®Ò»ËÀÍö£¬ÔòÖ»ÓÐÁªÃû¹É¶«ÖÐµÄÆäËûÉдæÈËʿӦ±»¹«Ë¾ÊÓΪ¶ÔÓйعɷÝÓµÓÐËùÓÐȨµÄÈË£¬
µ«¶Ê»áÓÐȨΪÐ޸Ĺɶ«Ãû²á֮ĿµÄ¶øÒªÇóÌṩÆäÈÏΪǡµ±µÄËÀÍöÖ¤Ã÷Îļþ;
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.
¾ÍÈκιɷݵÄÁªÃû¹É¶«¶øÑÔ£¬Ö»ÓÐÔڹɶ«Ãû²áÉÏÅÅÃûÊ×λµÄÁªÃû¹É¶«ÓÐȨ´Ó¹«Ë¾ÊÕÈ¡ÓÐ¹Ø¹É·ÝµÄ¹ÉÆ±£¬ÊÕ
È¡¹«Ë¾µÄ֪ͨ£¬³öϯ¹«Ë¾¹É¶«´ó»á»òÐÐʹÓйعɷݵÄÈ«²¿±í¾öȨ£¬¶øÈκÎËÍ´ïǰÊöÈËÊ¿µÄ֪ͨӦ±»ÊÓΪÒÑ
ËÍ´ïÓйعɷݵÄËùÓÐÁªÃû¹É¶«¡£
. 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.
µÚÎåÊ®ÆßÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á¡¢·ÖÅä¹ÉÀû¡¢ÇåËã¼°´ÓÊÂÆäËûÐèҪȷÈϹɶ«Éí·ÝµÄÐÐΪʱ£¬ÓɶÊ»á»ò¹É
¶«´ó»áÕÙ¼¯ÈËÈ·¶¨¹ÉȨµÇ¼ÇÈÕ£¬¹ÉȨµÇ¼ÇÈÕÊÕÊкóµÇ¼ÇÔÚ²áµÄ¹É¶«ÎªÏíÓÐÏà¹ØÈ¨ÒæµÄ¹É¶«¡£
Article 57 When the Company intends to convene a shareholders¡¯ general meeting, distribute dividends,
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.
20
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÎåÊ®°ËÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«ÏíÓÐÏÂÁÐȨÀû:
Article 58 The ordinary shareholders of the Company shall be entitled to the following rights:
(Ò») ÒÀÕÕÆäËù³ÖÓеĹɷݷݶî»ñµÃ¹ÉÀûºÍÆäËûÐÎʽµÄÀûÒæ·ÖÅä;
the right to dividends and other forms of distribution in proportion to the number of shares held;
(¶þ) ÒÀ·¨ÇëÇó¡¢ÕÙ¼¯¡¢Ö÷³Ö¡¢²Î¼Ó»òÕßίÅɹɶ«´úÀíÈ˲μӹɶ«´ó»á£¬²¢ÐÐʹÏàÓ¦µÄ±í¾öȨ;
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;
(Èý) ¶Ô¹«Ë¾µÄÒµÎñ¾Óª»î¶¯½øÐмල£¬Ìá³ö½¨Òé»òÕßÖÊѯ;
the right to supervise the business activities of the Company and to put forward proposals and raise
inquiries;
(ËÄ) ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨¼°±¾Õ³̵Ĺ涨תÈá¢ÔùÓë»òÖÊ
ѺÆäËù³ÖÓеĹɷÝ;
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;
(Îå) ÒÀÕÕ±¾Õ³̵Ĺ涨»ñµÃÓйØÐÅÏ¢£¬°üÀ¨£º
the right to obtain relevant information in accordance with the provisions of the Articles of
Association, including:
(1) Ôڽɸ¶³É±¾·ÑÓúóµÃµ½¹«Ë¾Õ³Ì;
to obtain a copy of the Articles of Association, subject to payment of the cost of such copy;
(2) Ôڽɸ¶Á˺ÏÀí·ÑÓúóÓÐȨ²éÔĺ͸´Ó¡£º
to inspect and copy, subject to payment of a reasonable charge:
(i) ËùÓи÷²¿·Ö¹É¶«µÄÃû²á;
all parts of the register of shareholders;
(ii) ¹«Ë¾¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±µÄ¸öÈË×ÊÁÏ£¬°üÀ¨£º(a) ÏÖÔÚ¼°ÒÔǰµÄÐÕÃû¡¢
±ðÃû; (b) Ö÷ÒªµØÖ· (סËù) ; (c)¹ú¼®; (d)רְ¼°ÆäËûÈ«²¿¼æÖ°µÄÖ°Òµ¡¢Ö°Îñ; ºÍ(e)Éí·ÝÖ¤
Ã÷Îļþ¼°ÆäºÅÂë;
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) ¹«Ë¾¹É±¾×´¿ö;
report on the state of the Company¡¯s share capital;
(iv) ×ÔÉÏÒ»»á¼ÆÄê¶ÈÒÔÀ´¹«Ë¾¹º»Ø×Ô¼ºÃ¿Ò»Àà±ð¹É·ÝµÄÆ±Ãæ×ÜÖµ¡¢ÊýÁ¿¡¢×î¸ß¼ÛºÍ×îµÍ¼Û£¬
ÒÔ¼°¹«Ë¾Îª´ËÖ§¸¶µÄÈ«²¿·ÑÓõı¨¸æ;
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;
(v) ¹«Ë¾Õ®È¯´æ¸ù;
counterfoils of company debt securities;
(vi) ²ÆÎñ»á¼Æ±¨¸æ; ¼°
financial reports; and
21
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(vii) ¹É¶«´ó»á»áÒé¼Ç¼¡¢¶Ê»á»áÒé¾öÒé¡¢¼àÊ»á»áÒé¾öÒé;
minutes of shareholders¡¯ general meetings, resolutions of Boarding meetings,
resolutions of Board of Supervisors meetings;
(Áù) ¹«Ë¾ÖÕÖ¹»òÕßÇåËãʱ£¬°´ÆäËù³ÖÓеĹɷݷݶî²Î¼Ó¹«Ë¾Ê£Óà²Æ²úµÄ·ÖÅä;
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;
(Æß) ¶Ô¹É¶«´ó»á×÷³öµÄ¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¾öÒé³ÖÒìÒéµÄ¹É¶«£¬ÒªÇó¹«Ë¾ÊÕ¹ºÆä¹É·Ý;
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;
(°Ë) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûȨÀû¡£
other rights conferred by laws, administrative regulations, departmental rules or the Articles of
Association.
µÚÎåÊ®¾ÅÌõ ¹É¶«Ìá³ö²éÔÄǰÌõËùÊöÓйØÐÅÏ¢»òÕßË÷È¡×ÊÁϵģ¬Ó¦µ±Ïò¹«Ë¾Ìṩ֤Ã÷Æä³ÖÓй«Ë¾¹É·ÝµÄÖÖ
ÀàÒÔ¼°³Ö¹ÉÊýÁ¿µÄÊéÃæÎļþ£¬¹«Ë¾¾ºËʵ¹É¶«Éí·Ýºó°´Õչɶ«µÄÒªÇóÓèÒÔÌṩ¡£
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.
²»µÃÖ»ÒòÈκÎÖ±½Ó»ò¼ä½ÓÓµÓÐÈ¨ÒæµÄÈËÊ¿²¢ÎÞÏò¹«Ë¾Åû¶ÆäÈ¨Òæ¶øÐÐʹÈκÎȨÁ¦ÒÔ¶³½á»òÒÔÆäËû·½Ê½Ëð
º¦ÆäËù³ÖÈκιɷݸ½ÓеÄȨÀû¡£
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.
µÚÁùÊ®Ìõ ¹«Ë¾¹É¶«´ó»á¡¢¶Ê»á¾öÒéÄÚÈÝÎ¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æµÄ£¬¹É¶«ÓÐȨÇëÇóÈËÃñ·¨ÔºÈ϶¨ÎÞЧ¡£
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.
¹É¶«´ó»á¡¢¶Ê»áµÄ»áÒéÕÙ¼¯³ÌÐò¡¢±í¾ö·½Ê½Î¥·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̣¬»òÕß¾öÒéÄÚÈÝÎ¥·´±¾Õ³Ì
µÄ£¬¹É¶«ÓÐȨ×Ô¾öÒé×÷³öÖ®ÈÕÆð 60 ÈÕÄÚ£¬ÇëÇóÈËÃñ·¨Ôº³·Ïú¡£
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.
µÚÁùʮһÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±Ö´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËð
ʧµÄ£¬Á¬Ðø 180 ÈÕÒÔÉϵ¥¶À»òºÏ²¢³ÖÓй«Ë¾ 1%ÒÔÉϹɷݵĹɶ«ÓÐȨÊéÃæÇëÇó¼àÊ»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ;
¼àÊ»áÖ´Ðй«Ë¾Ö°ÎñʱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬¹É¶«¿ÉÒÔÊéÃæÇëÇó¶
Ê»áÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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
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
22
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
¼àÊ»ᡢ¶Ê»áÊÕµ½Ç°¿î¹æ¶¨µÄ¹É¶«ÊéÃæÇëÇóºó¾Ü¾øÌáÆðËßËÏ£¬»òÕß×ÔÊÕµ½ÇëÇóÖ®ÈÕÆð 30 ÈÕÄÚδÌáÆðËß
ËÏ£¬»òÕßÇé¿ö½ô¼±¡¢²»Á¢¼´ÌáÆðËßËϽ«»áʹ¹«Ë¾ÀûÒæÊܵ½ÄÑÒÔÃÖ²¹µÄË𺦵ģ¬Ç°¿î¹æ¶¨µÄ¹É¶«ÓÐȨΪÁ˹«
˾µÄÀûÒæÒÔ×Ô¼ºµÄÃûÒåÖ±½ÓÏòÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
ËûÈËÇÖ·¸¹«Ë¾ºÏ·¨È¨Ò棬¸ø¹«Ë¾Ôì³ÉËðʧµÄ£¬±¾ÌõµÚÒ»¿î¹æ¶¨µÄ¹É¶«¿ÉÒÔÒÀÕÕǰÁ½¿îµÄ¹æ¶¨ÏòÈËÃñ·¨ÔºÌá
ÆðËßËÏ¡£
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.
µÚÁùÊ®¶þÌõ ¶Ê¡¢¸ß¼¶¹ÜÀíÈËԱΥ·´·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß±¾Õ³̵Ĺ涨£¬Ë𺦹ɶ«ÀûÒæµÄ£¬¹É¶«¿ÉÒÔÏò
ÈËÃñ·¨ÔºÌáÆðËßËÏ¡£
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.
µÚÁùÊ®ÈýÌõ ¹«Ë¾ÆÕͨ¹É¹É¶«³Ðµ£ÏÂÁÐÒåÎñ£º
Article 63 The ordinary shareholders of the Company shall assume the following obligations:
(Ò») ×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³Ì;
To abide by laws, administrative regulations and the Articles of Association;
(¶þ) ÒÀÆäËùÈϹºµÄ¹É·ÝºÍÈë¹É·½Ê½½ÉÄɹɽð;
To pay subscription monies according to the number of shares subscribed and the method of
subscription.
(Èý) ³ý·¨ÂÉ¡¢·¨¹æ¹æ¶¨µÄÇéÐÎÍ⣬²»µÃÍ˹É;
Not to surrender the shares unless required by the laws and regulations.
(ËÄ) ²»µÃÀÄÓùɶ«È¨ÀûË𺦹«Ë¾»òÕ߯äËû¹É¶«µÄÀûÒæ; ²»µÃÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈÎËðº¦
¹«Ë¾Õ®È¨È˵ÄÀûÒæ;
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.
¹«Ë¾¹É¶«ÀÄÓùɶ«È¨Àû¸ø¹«Ë¾»òÕ߯äËû¹É¶«Ôì³ÉËðʧµÄ£¬Ó¦µ±ÒÀ·¨³Ðµ£Åâ³¥ÔðÈΡ£
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.
¹«Ë¾¹É¶«ÀÄÓù«Ë¾·¨È˶ÀÁ¢µØÎ»ºÍ¹É¶«ÓÐÏÞÔðÈΣ¬ÌÓ±ÜÕ®Îñ£¬ÑÏÖØË𺦹«Ë¾Õ®È¨ÈËÀûÒæµÄ£¬Ó¦µ±¶Ô¹«Ë¾Õ®
Îñ³Ðµ£Á¬´øÔðÈΡ£
Where shareholders of the Company abuse the Company¡¯s position as an independent legal person and
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.
23
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°±¾Õ³̹涨Ӧµ±³Ðµ£µÄÆäËûÒåÎñ¡£
other obligations imposed by laws, administrative regulations and the Articles of Association.
¹É¶«³ýÁ˹ɷݵÄÈϹºÈËÔÚÈϹºÊ±ËùͬÒâµÄÌõ¼þÍ⣬²»³Ðµ£Æäºó×·¼ÓÈκιɱ¾µÄÔðÈΡ£
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.
µÚÁùÊ®ËÄÌõ ³ÖÓй«Ë¾ 5%ÒÔÉÏÓбí¾öȨ¹É·ÝµÄ¹É¶«£¬½«Æä³ÖÓеĹɷݽøÐÐÖÊѺµÄ£¬Ó¦µ±×Ô¸ÃÊÂʵ·¢Éúµ±ÈÕ£¬
Ïò¹«Ë¾×÷³öÊéÃæ±¨¸æ¡£
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.
µÚÁùÊ®ÎåÌõ ¹«Ë¾µÄ¿Ø¹É¹É¶«¡¢Êµ¼Ê¿ØÖÆÈËÔ±²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ¡£Î¥·´¹æ¶¨µÄ£¬¸ø¹«Ë¾Ôì
³ÉËðʧµÄ£¬Ó¦µ±³Ðµ£Åâ³¥ÔðÈΡ£¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦Ó빫˾ʵÐÐÈËÔ±¡¢×ʲú¡¢²ÆÎñ·Ö¿ª£¬ÊµÏÖ»ú¹¹¡¢ÒµÎñ¡¢
ÈËÔ±¶ÀÁ¢£¬¸÷×Ô¶ÀÁ¢ºËËã¡¢¶ÀÁ¢³Ðµ£ÔðÈκͷçÏÕ¡£
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.
¹«Ë¾µÄ¿Ø¹É¹É¶«Ó¦²ÉÈ¡ÓÐЧ´ëÊ©±ÜÃâͬҵ¾ºÕù¡£
The controlling shareholder of the Company shall take effective measures to avoid horizontal
competition.
¹«Ë¾¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈ˶Թ«Ë¾ºÍ¹«Ë¾Éç»á¹«Öڹɹɶ«¸ºÓгÏÐÅÒåÎñ¡£¿Ø¹É¹É¶«Ó¦ÑϸñÒÀ·¨ÐÐʹ³ö×ÊÈË
µÄȨÀû£¬¿Ø¹É¹É¶«²»µÃÀûÓÃÀûÈó·ÖÅä¡¢×ʲúÖØ×é¡¢¶ÔÍâͶ×Ê¡¢×ʽðÕ¼Óᢽè¿îµ£±£µÈ·½Ê½Ë𺦹«Ë¾ºÍÉç»á
¹«Öڹɹɶ«µÄºÏ·¨È¨Ò棬²»µÃÀûÓÃÆä¿ØÖÆµØÎ»Ë𺦹«Ë¾ºÍÉç»á¹«Öڹɹɶ«µÄÀûÒæ¡£
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.
¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËԱӦά»¤¹«Ë¾×ʽðµÄ°²È«£¬¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½
ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúʱ£¬¹«Ë¾¶Ê»áÊÓÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÓèÒÔ°ÕÃâ
µÄ³ÌÐò¡£
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.
¹«Ë¾¶Ê»ὨÁ¢¶Ô¿Ø¹É¹É¶«Ëù³Ö¹«Ë¾¹É·Ý¡°Õ¼Óü´¶³½á¡±»úÖÆ£¬¼´·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúÁ¢¼´ÉêÇë˾·¨
¶³½á£¬·²²»ÄÜÒÔÏÖ½ðÇå³¥µÄ£¬Í¨¹ý±äÏÖ¹ÉȨ³¥»¹ÇÖÕ¼×ʲú¡£¹«Ë¾¶Ê¡¢¼àʺ͸߼¶¹ÜÀíÈËÔ±¸ºÓÐά»¤¹«Ë¾
×ʽð°²È«µÄ·¨¶¨ÒåÎñ£¬¹«Ë¾²ÆÎñ¸ºÔðÈËΪ¡°Õ¼Óü´¶³½á¡±»úÖÆµÄ¾ßÌåÔðÈÎÈË¡£¹«Ë¾²ÆÎñ¸ºÔðÈËÒ»µ©·¢ÏÖ¹«Ë¾
¿Ø¹É¹É¶«»òÕßʵ¼Ê¿ØÖÆÈ˼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú£¬Ó¦Á¢¼´Æô¶¯ÒÔϳÌÐò£º
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,
24
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») ¹«Ë¾²ÆÎñ¸ºÔðÈËÔÚ·¢Ïֿعɹɶ«ÇÖÕ¼¹«Ë¾×ʲúµÄµ±Ì죬ӦÒÔÊéÃæÐÎʽ±¨¸æ¹«Ë¾¶Ê³¤£¬Í¬Ê±³ËͶ
Ê»áÃØÊé; Èô·¢ÏÖͬʱ´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈݿعɹɶ«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲú
Çé¿öµÄ£¬²ÆÎñ¸ºÔðÈËÔÚÊéÃæ±¨¸æÖл¹Ó¦µ±Ð´Ã÷ËùÉæ¼°µÄ¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû¡¢ÐÖú»ò×ÝÈݿعÉ
¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇé½Ú;
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;
(¶þ) ¶Ê³¤ÔÚÊÕµ½²ÆÎñ¸ºÔðÈ˵ı¨¸æºó£¬Ó¦Á¢¼´ÕÙ¼¯¡¢ÕÙ¿ª¶Ê»á»áÒ飬ÉóÒéÒªÇó¿Ø¹É¹É¶«Çå³¥µÄÆÚÏÞ¡¢
ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË; Èô´æÔÚ¹«Ë¾¶Ê¡¢¸ß¼¶¹ÜÀíÈËÔ±ÐÖú¡¢×ÝÈÝ
¿Ø¹É¹É¶«¼°Æä¸½ÊôÆóÒµÇÖÕ¼¹«Ë¾×ʲúµÄÇéÐΣ¬¹«Ë¾¶Ê»áÓ¦ÊÓÆäÇé½ÚÇáÖØ¶ÔÖ±½ÓÔðÈÎÈ˸øÓè´¦·ÖºÍ
¶Ô¸ºÓÐÑÏÖØÔðÈεĶÊÂÌáÇë¹É¶«´ó»áÓèÒÔ°ÕÃâ¡£
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;
(Èý) ¶Ê»áÃØÊé¸ù¾Ý¶Ê»á¾öÒéÏò¿Ø¹É¹É¶«·¢ËÍÏÞÆÚÇ峥֪ͨ£¬Ö´ÐжÔÏà¹Ø¶Ê»ò¸ß¼¶¹ÜÀíÈËÔ±µÄ´¦·Ö
¾ö¶¨¡¢ÏòÏà¹ØË¾·¨²¿ÃÅÉêÇë°ìÀí¿Ø¹É¹É¶«¹É·Ý¶³½áµÈÏà¹ØÊÂÒË£¬²¢×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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;
(ËÄ) Èô¿Ø¹É¹É¶«ÎÞ·¨Ôڹ涨ÆÚÏÞÄÚÇå³¥£¬¹«Ë¾Ó¦Ôڹ涨ÆÚÏÞµ½ÆÚºó 30 ÈÕÄÚÏòÏà¹ØË¾·¨²¿ÃÅÉêÇ뽫¶³½á¹É
·Ý±äÏÖÒÔ³¥»¹ÇÖÕ¼×ʲú£¬¶Ê»áÃØÊé×öºÃÏà¹ØÐÅÏ¢Åû¶¹¤×÷¡£
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,
to pay back the appropriated assets, and the Secretary of the Board of Directors shall disclose
relevant information properly.
³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ»òÕß¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔòËùÒªÇóµÄÒåÎñÍ⣬¿Ø¹É¹É¶«ÔÚÐÐʹÆä¹É¶«µÄ
ȨÁ¦Ê±£¬²»µÃÒòÐÐʹÆä±í¾öȨÔÚÏÂÁÐÎÊÌâÉÏ×÷³öÓÐËðÓÚÈ«Ìå»òÕß²¿·Ö¹É¶«µÄÀûÒæµÄ¾ö¶¨£º
25
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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:
(Ò») Ãâ³ý¶Ê¡¢¼àÊÂÓ¦µ±Õæ³ÏµØÒÔ¹«Ë¾×î´óÀûÒæÎª³ö·¢µãÐÐʵÄÔðÈÎ;
to relieve a Director or supervisor of his duty to act honestly in the best interests of the Company;
(¶þ) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) ÒÔÈκÎÐÎʽ°þ¶á¹«Ë¾²Æ²ú£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκζԹ«Ë¾ÓÐ
ÀûµÄ»ú»á;
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;
(Èý) Åú×¼¶Ê¡¢¼àÊ (Ϊ×Ô¼º»òÕßËûÈËÀûÒæ) °þ¶áÆäËû¹É¶«µÄ¸öÈËÈ¨Òæ£¬°üÀ¨ (µ«²»ÏÞÓÚ) ÈκηÖÅäȨ¡¢
±í¾öȨ£¬µ«²»°üÀ¨¸ù¾Ý¹«Ë¾Õ³ÌÌá½»¹É¶«´ó»áͨ¹ýµÄ¹«Ë¾¸Ä×é¡£
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.
µÚÁùÊ®ÁùÌõ ±¾½ÚËù³Æ¿Ø¹É¹É¶«ÊǾ߱¸ÒÔÏÂÌõ¼þÖ®Ò»µÄÈË£º
Article 66 The term ¡°controlling shareholder¡± referred to in the Articles of Association means a person
who satisfies any one of the following conditions:
(Ò») ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÑ¡³ö°ëÊýÒÔÉϵĶÊÂ;
a person who, acting alone or in concert with others, has the power to elect more than half of the
Board members;
(¶þ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬¿ÉÒÔÐÐʹ¹«Ë¾°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ±í¾öȨ»òÕß¿ÉÒÔ
¿ØÖƹ«Ë¾µÄ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) ±í¾öȨµÄÐÐʹ;
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;
(Èý) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬³ÖÓй«Ë¾·¢ÐÐÔÚÍâ°Ù·ÖÖ®ÈýÊ®ÒÔÉÏ (º¬°Ù·ÖÖ®ÈýÊ®) µÄ¹É·Ý;
a person who, acting alone or in concert with others, holds 30% (inclusive) or more of the issued
and outstanding shares of the Company;
(ËÄ) ¸ÃÈ˵¥¶À»òÕßÓëËûÈËÒ»ÖÂÐж¯Ê±£¬ÒÔÆäËû·½Ê½ÔÚÊÂʵÉÏ¿ØÖƹ«Ë¾¡£
a person who, acting alone or in concert with others, has de facto control of the Company in any
other way.
µÚ¶þ½Ú ¹É¶«´ó»áµÄÒ»°ã¹æ¶¨
Section 2 General Provisions for the Shareholders¡¯ General Meeting
µÚÁùÊ®ÆßÌõ ¹É¶«´ó»áÊǹ«Ë¾µÄȨÁ¦»ú¹¹£¬ÒÀ·¨ÐÐʹÏÂÁÐְȨ£º
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:
(Ò») ¾ö¶¨¹«Ë¾µÄ¾Óª·½ÕëºÍͶ×ʼƻ®;
to decide on the operating policies and investment plans of the Company;
(¶þ) Ñ¡¾ÙºÍ¸ü»»¶Ê¼°·ÇÓÉÖ°¹¤´ú±íµ£ÈεļàÊ£¬¾ö¶¨ÓйضÊ¡¢¼àʵı¨³êÊÂÏî;
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;
26
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ÉóÒéÅú×¼¶Ê»áµÄ±¨¸æ;
to examine and approve reports of the Board;
(ËÄ) ÉóÒéÅú×¼¼àÊ»áµÄ±¨¸æ;
to examine and approve reports of the Board of Supervisors;
(Îå) ÉóÒéÅú×¼¹«Ë¾µÄÄê¶È²ÆÎñÔ¤Ëã·½°¸¡¢¾öËã·½°¸;
to examine and approve the Company's proposed annual preliminary financial budgets and final
accounts;
(Áù) ÉóÒéÅú×¼¹«Ë¾µÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
to examine and approve the Company's profit distribution plans and plans for making up losses;
(Æß) ¶Ô¹«Ë¾Ôö¼Ó»òÕß¼õÉÙ×¢²á×ʱ¾×÷³ö¾öÒé;
to decide on increases or reductions in the Company's registered capital;
(°Ë) ¶Ô¹«Ë¾·¢ÐÐծȯ×÷³ö¾öÒé;
to decide on the issue of bonds by the Company;
(¾Å) ¶Ô¹«Ë¾ºÏ²¢¡¢·ÖÁ¢¡¢½âÉ¢¡¢ÇåËã»òÕß±ä¸ü¹«Ë¾ÐÎʽ×÷³ö¾öÒé;
to decide on matters such as merger, division, dissolution and liquidation of the Company or
alteration of corporate form;
(Ê®) Ð޸ı¾Õ³Ì;
to amend the Articles of Association;
(ʮһ) ¶Ô¹«Ë¾Æ¸ÓᢽâƸ»òÕß²»ÔÙÐøÆ¸»á¼ÆÊ¦ÊÂÎñËù×÷³ö¾öÒé;
to adopt resolutions on the Company¡¯s appointments, dismissals or non-reappointments of
accounting firms;
(Ê®¶þ) ÉóÒéÅú×¼µÚÁùÊ®°ËÌõ¹æ¶¨µÄµ£±£ÊÂÏî;
to examine and approve the provision of guarantees under the Article 68;
(Ê®Èý) ÉóÒ鹫˾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú¡¢×ʲúµÖѺ¡¢Î¯ÍÐÀí²Æ³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%
µÄÊÂÏ
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;
(Ê®ËÄ) ÉóÒéÅú×¼±ä¸ü=×ʽðÓÃ;ÊÂÏî;
to examine and approve matters relating to changes in the use of funds raised;
(Ê®Îå) ÉóÒé¹ÉȨ¼¤Àø¼Æ»®;
to examine the Company¡¯s share incentive schemes;
(Ê®Áù) ÉóÒéÐè¹É¶«´ó»á¾ö¶¨µÄ¹ØÁª½»Ò×;
to examine connection transactions which shall be decided at the general meeting;
(Ê®Æß) ÉóÒé´ú±í¹«Ë¾·¢ÐÐÔÚÍâÓбí¾öȨ¹É·Ý×ÜÊýµÄ°Ù·ÖÖ®ÈýÒÔÉÏ (º¬°Ù·ÖÖ®Èý) µÄ¹É¶«Ìá°¸;
to examine the proposals submitted by shareholders holding not less than 3% (inclusive) of the
Company¡¯s voting shares;
(Ê®°Ë) ÉóÒé·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¹æ¶¨µÄÓ¦µ±Óɹɶ«´ó
»á¾ö¶¨µÄÆäËûÊÂÏî¡£
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.
27
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÁùÊ®°ËÌõ ¹«Ë¾ÏÂÁжÔÍâµ£±£ÐÐΪ£¬Ð뾹ɶ«´ó»áÉóÒéͨ¹ý¡£
Article 68 Any guarantees of the Company shall be subject to approval by the general meeting of
shareholders.
(Ò») ±¾¹«Ë¾¼°±¾¹«Ë¾¿Ø¹É×Ó¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%ÒÔºóÌṩµÄ
Èκε£±£;
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;
(¶þ) ¹«Ë¾µÄ¶ÔÍâµ£±£×ܶ´ïµ½»ò³¬¹ý×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲúµÄ 30%ÒÔºóÌṩµÄÈκε£±£;
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;
(Èý) Ϊ×ʲú¸ºÕ®Âʳ¬¹ý 70%µÄµ£±£¶ÔÏóÌṩµÄµ£±£;
a guarantee to be provided to a party which has an asset-liability ratio in excess of 70%;
(ËÄ) µ¥±Êµ£±£¶î³¬¹ý×î½üÒ»ÆÚ¾É󼯾»×ʲú 10%µÄµ£±£;
a single guarantee amount in excess of 10% of the Company¡¯s latest audited net assets;
(Îå) µ£±£½ð¶îÁ¬ÐøÊ®¶þ¸öÔÂÄÚÀۼƼÆËãÔÔò£¬³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲúµÄ 50%£¬ÇÒ¾ø¶Ô½ð¶î³¬¹ý
ÈËÃñ±Ò 5000 ÍòÔªµÄµ£±£;
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;
(Áù) ¶Ô¹É¶«¡¢Êµ¼Ê¿ØÖÆÈ˼°Æä¹ØÁª·½ÌṩµÄµ£±£;
the guarantee to be provided in favor of shareholders, de facto controllers and their related parties.
(Æß) ÉϺ£Ö¤È¯½»Ò×Ëù¡¢Ïã¸ÛÁª½»Ëù»òÏà¹Ø·¨¹æ¹æ¶¨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by the Shanghai Stock Exchange, the HKEX or relevant
laws and regulations.
µÚÁùÊ®¾ÅÌõ ¹É¶«´ó»á·ÖΪÄê¶È¹É¶«´ó»áºÍÁÙʱ¹É¶«´ó»á¡£Äê¶È¹É¶«´ó»áÿÄêÕÙ¿ª 1 ´Î£¬Ó¦µ±ÓÚÉÏÒ»»á¼Æ
Äê¶È½áÊøºóµÄ 6 ¸öÔÂÄÚ¾ÙÐС£
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.
µÚÆßÊ®Ìõ ÓÐÏÂÁÐÇéÐÎÖ®Ò»µÄ£¬¹«Ë¾ÔÚÊÂʵ·¢ÉúÖ®ÈÕÆð 2 ¸öÔÂÒÔÄÚÕÙ¿ªÁÙʱ¹É¶«´ó»á£º
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:
(Ò») ¶ÊÂÈËÊý²»×ã 6 Ãûʱ;
the number of Directors is less than six (6);
(¶þ) ¹«Ë¾Î´ÃÖ²¹µÄ¿÷Ëð´ïʵÊչɱ¾×ܶî 1/3 ʱ;
the uncovered losses are in excess of one-third of the Company¡¯s total share capital;
(Èý) µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10% (²»º¬Í¶Æ±´úÀíȨ) ÒÔÉϹɷݵĹɶ«ÇëÇóʱ;
shareholders individually or jointly holding not less than 10% (exclusive proxy) of the Company¡¯s
issued shares request to hold an extraordinary general meeting;
(ËÄ) ¶Ê»áÈÏΪ±ØÒªÊ±;
the Board considers it necessary to hold such a meeting;
28
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Îå) ¼àÊ»áÌáÒéÕÙ¿ªÊ±;
the Board of Supervisors proposes to hold such a meeting;
(Áù) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕ»ò±¾Õ³̹涨µÄÆäËûÇéÐΡ£
such other circumstances as provided for by laws and regulations, departmental rules or the
Articles of Association.
µÚÆßʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»áµÄµØµãΪ¹«Ë¾»áÒéÊÒ»ò֪ͨµÄÆäËûµØÖ·
Article 71 The Company shall hold the general meeting at the conference room of the Company or such
revenue as specified in the notice.
¹É¶«´ó»á½«ÉèÖû᳡£¬ÒÔÏÖ³¡»áÒéÐÎʽÕÙ¿ª¡£¹«Ë¾»¹½«ÊÓÇé¿öÌá¹©ÍøÂçͶƱ·½Ê½Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ
±ãÀû¡£¹É¶«Í¨¹ýÉÏÊö·½Ê½²Î¼Ó¹É¶«´ó»áµÄ£¬ÊÓΪ³öϯ¡£
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.
µÚÆßÊ®¶þÌõ ±¾¹«Ë¾ÕÙ¿ª¹É¶«´ó»áʱ½«Æ¸ÇëÂÉʦ¶ÔÒÔÏÂÎÊÌâ³ö¾ß·¨ÂÉÒâ¼û²¢¹«¸æ:
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:
(Ò») »áÒéµÄÕÙ¼¯¡¢ÕÙ¿ª³ÌÐòÊÇ·ñ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³Ì
whether the procedures relating to the convening and the holding of such meeting comply with the
laws, administrative regulations and the Articles of Association;
(¶þ) ³öϯ»áÒéÈËÔ±µÄ×ʸñ¡¢ÕÙ¼¯ÈË×ʸñÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the qualifications of the attendees and the convener of the meeting;
(Èý) »áÒéµÄ±í¾ö³ÌÐò¡¢±í¾ö½á¹ûÊÇ·ñºÏ·¨ÓÐЧ;
the legality and validity of the voting procedures and voting results;
(ËÄ) Ó¦±¾¹«Ë¾ÒªÇó¶ÔÆäËûÓйØÎÊÌâ³ö¾ßµÄ·¨ÂÉÒâ¼û¡£
legal opinions issued on other related matters as requested by the Company.
¹«Ë¾¶Ê»áÒ²¿ÉͬʱƸÇ빫֤ÈËÔ±³öϯ¹É¶«´ó»á¡£
The Board of the Company shall also engage notaries to be present in the general meeting.
µÚÈý½Ú ¹É¶«´ó»áµÄÕÙ¼¯
Section 3 Convening of Shareholders¡¯ General Meeting
µÚÆßÊ®ÈýÌõ ¶ÀÁ¢¶ÊÂÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á¡£¶Ô¶ÀÁ¢¶ÊÂÒªÇóÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÌáÒ飬
¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÌáÒéºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«
´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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
upon receiving the request in accordance with the requirements of the laws, administrative regulations
and the Articles of Association.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ; ¶Ê»᲻ͬ
ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ËµÃ÷ÀíÓɲ¢¹«¸æ¡£
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
29
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
extraordinary general meeting requested by Independent Director, reasons shall be explained and
announced.
µÚÆßÊ®ËÄÌõ ¼àÊ»áÓÐȨÏò¶Ê»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±
¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚÌá³öͬÒâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ
·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬½«ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔ
ÌáÒéµÄ±ä¸ü£¬Ó¦Õ÷µÃ¼àÊ»áµÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½Ìá°¸ºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬ÊÓΪ¶Ê»᲻ÄÜÂÄÐлòÕß²»
ÂÄÐÐÕÙ¼¯¹É¶«´ó»á»áÒéÖ°Ô𣬼àÊ»á¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
µÚÆßÊ®ÎåÌõ µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÇëÇóÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔ
ÊéÃæÐÎʽÏò¶Ê»áÌá³ö¡£¶Ê»áÓ¦µ±¸ù¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̵Ĺ涨£¬ÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚÌá³öͬ
Òâ»ò²»Í¬ÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄÊéÃæ·´À¡Òâ¼û¡£
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.
¶Ê»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦µ±ÔÚ×÷³ö¶Ê»á¾öÒéºóµÄ 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔ
ÔÇëÇóµÄ±ä¸ü£¬Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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.
¶Ê»᲻ͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬»òÕßÔÚÊÕµ½ÇëÇóºó 10 ÈÕÄÚδ×÷³ö·´À¡µÄ£¬µ¥¶À»òÕߺϼƳÖÓй«Ë¾ 10%
ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¼àÊ»áÌáÒéÕÙ¿ªÁÙʱ¹É¶«´ó»á£¬²¢Ó¦µ±ÒÔÊéÃæÐÎʽÏò¼àÊ»áÌá³öÇëÇó¡£
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
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).
¼àÊ»áͬÒâÕÙ¿ªÁÙʱ¹É¶«´ó»áµÄ£¬Ó¦ÔÚÊÕµ½ÇëÇó 5 ÈÕÄÚ·¢³öÕÙ¿ª¹É¶«´ó»áµÄ֪ͨ£¬Í¨ÖªÖжÔÔÌá°¸µÄ±ä¸ü£¬
Ó¦µ±Õ÷µÃÏà¹Ø¹É¶«µÄͬÒâ¡£
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
30
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
there be alterations to the original requests in the notice, consent has to be obtained from the related
shareholders.
¼àÊ»áδÔڹ涨ÆÚÏÞÄÚ·¢³ö¹É¶«´ó»á֪ͨµÄ£¬ÊÓΪ¼àÊ»᲻ÕÙ¼¯ºÍÖ÷³Ö¹É¶«´ó»á£¬Á¬Ðø 90 ÈÕÒÔÉϵ¥¶À»ò
ÕߺϼƳÖÓй«Ë¾ 10%ÒÔÉϹɷݵĹɶ«¿ÉÒÔ×ÔÐÐÕÙ¼¯ºÍÖ÷³Ö¡£
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.
¹É¶«Òò¶Ê»áºÍ¼àÊ»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«
˾³Ðµ££¬²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
µÚÆßÊ®ÁùÌõ ¹É¶«ÒªÇóÕÙ¼¯Àà±ð¹É¶«»áÒ飬Ӧµ±°´ÕÕÏÂÁгÌÐò°ìÀí£º
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:
(Ò») ºÏ¼Æ³ÖÓÐÔÚÄâ¾ÙÐеĻáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÁ½¸ö»òÕßÁ½¸öÒÔÉϵĹÉ
¶«£¬¿ÉÒÔÇ©ÊðÒ»·Ý»òÕßÊý·ÝͬÑù¸ñʽÄÚÈݵÄÊéÃæÒªÇó£¬ÌáÇë¶Ê»áÕÙ¼¯Àà±ð¹É¶«»áÒ飬²¢²ûÃ÷»áÒé
µÄÒéÌâ¡£¶Ê»áÔÚÊÕµ½Ç°ÊéÃæÒªÇóºóÓ¦µ±¾¡¿ìÕÙ¼¯Àà±ð¹É¶«»áÒ顣ǰÊö³Ö¹ÉÊý°´¹É¶«Ìá³öÊéÃæÒªÇó
ÈÕ¼ÆËã¡£
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.
(¶þ) Èç¹û¶Ê»áÔÚÊÕµ½Ç°ÊöÊéÃæÒªÇóºóÈýÊ®ÈÕÄÚûÓз¢³öÕÙ¼¯»áÒéµÄͨ¸æ£¬Ìá³ö¸ÃÒªÇóµÄ¹É¶«¿ÉÒÔÔÚ¶
Ê»áÊÕµ½¸ÃÒªÇóºóËĸöÔÂÄÚ×ÔÐÐÕÙ¼¯»áÒ飬ÕÙ¼¯µÄ³ÌÐòÓ¦µ±¾¡¿ÉÄÜÓë¶Ê»áÕÙ¼¯¹É¶«»áÒéµÄ³ÌÐòÏà
ͬ¡£
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.
¹É¶«Òò¶Ê»áδӦǰÊöÒªÇó¾ÙÐлáÒé¶ø×ÔÐÐÕÙ¼¯²¢¾ÙÐлáÒéµÄ£¬ÆäËù·¢ÉúµÄºÏÀí·ÑÓã¬Ó¦µ±Óɹ«Ë¾³Ðµ££¬
²¢´Ó¹«Ë¾Ç·¸¶Ê§Ö°¶ÊµĿîÏîÖп۳ý¡£
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.
µÚÆßÊ®ÆßÌõ ¼àÊ»á»ò¹É¶«¾ö¶¨×ÔÐÐÕÙ¼¯¹É¶«´ó»áµÄ£¬ÐëÊéÃæÍ¨Öª¶Ê»ᣬͬʱÏò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»á
Åɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¸°¸¡£
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.
31
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Ôڹɶ«´ó»á¾öÒ鹫¸æÇ°£¬ÕÙ¼¯¹É¶«³Ö¹É±ÈÀý²»µÃµÍÓÚ 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.
¼àÊ»á»òÕÙ¼¯¹É¶« (ÊÓ¾ßÌåÇé¿ö¶ø¶¨) Ó¦ÔÚ·¢³ö¹É¶«´ó»á֪ͨ¼°¹É¶«´ó»á¾öÒ鹫¸æÊ±£¬Ïò¹«Ë¾ËùÔÚµØÖйú
Ö¤¼à»áÅɳö»ú¹¹ºÍ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×ËùÌá½»ÓйØÖ¤Ã÷²ÄÁÏ¡£
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.
µÚÆßÊ®°ËÌõ ¶ÔÓÚ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬¶Ê»áºÍ¶Ê»áÃØÊ齫ÓèÅäºÏ¡£¶Ê»áÓ¦µ±Ìṩ¹É
ȨµÇ¼ÇÈյĹɶ«Ãû²á¡£
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.
µÚÆßÊ®¾ÅÌõ ¼àÊ»á»ò¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬»áÒéËù±ØÐèµÄ·ÑÓÃÓɹ«Ë¾³Ðµ£¡£
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.
µÚËÄ½Ú ¹É¶«´ó»áµÄÌá°¸Óë֪ͨ
Section 4 Proposal and Notice at Shareholders¡¯ General Meeting
µÚ°ËÊ®Ìõ Ìá°¸µÄÄÚÈÝÓ¦µ±ÊôÓڹɶ«´ó»áְȨ·¶Î§£¬ÓÐÃ÷È·ÒéÌâºÍ¾ßÌå¾öÒéÊÂÏ²¢ÇÒ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨
¹æºÍ±¾Õ³̵ÄÓйع涨¡£
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.
µÚ°ËʮһÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á£¬¶Ê»ᡢ¼àÊ»áÒÔ¼°µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬ÓÐȨÏò
¹«Ë¾Ìá³öÌá°¸¡£
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.
µ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«£¬¿ÉÒÔÔڹɶ«´ó»áÕÙ¿ª 10 ÈÕǰÌá³öÁÙʱÌá°¸²¢ÊéÃæÌá½»ÕÙ¼¯ÈË;
ÕÙ¼¯ÈËÓ¦µ±ÔÚÊÕµ½Ìá°¸ºó 2 ÈÕÄÚ·¢³ö¹É¶«´ó»á²¹³ä֪ͨ£¬ËµÃ÷ÁÙʱÌá°¸µÄÄÚÈÝ£¬²¢½«¸ÃÁÙʱÌá°¸Ìá½»¹É¶«
´ó»áÉóÒé; ΩÉÏÊöÌõ¿îµÄ²Ù×÷Ðëͬʱ·ûºÏ·¨ÂÉ·¨¹æºÍÏã¸ÛÉÏÊйæÔò϶ÔÏà¹ØÊÂÒËÌá³öµÄ¹æ¶¨ºÍʱ¼äÒªÇó¡£
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
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 .
³ýǰ¿î¹æ¶¨µÄÇéÐÎÍ⣬ÕÙ¼¯ÈËÔÚ·¢³ö¹É¶«´ó»á֪ͨºó£¬²»µÃÐ޸Ĺɶ«´ó»á֪ͨÖÐÒÑÁÐÃ÷µÄÌá°¸»òÔö¼ÓеÄ
Ìá°¸¡£
Unless otherwise required by the preceding paragraph, the convener shall not amend the proposals
32
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
listed in the aforesaid notice or add any new proposals subsequent to the dispatch of a notice of the
general meeting.
¹É¶«´ó»á֪ͨÖÐδÁÐÃ÷»ò²»·ûºÏ±¾Õ³̵ڰËÊ®Ìõ¹æ¶¨µÄÌá°¸£¬¹É¶«´ó»á²»µÃ½øÐбí¾ö²¢×÷³ö¾öÒé¡£
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.
µÚ°ËÊ®¶þÌõ ¹«Ë¾ÕÙ¿ª¹É¶«´ó»á£¬Ó¦µ±ÓÚ»áÒéÕÙ¿ªËÄÊ®ÎåÈÕǰ·¢³öÊéÃæÍ¨Öª£¬½«»áÒéÄâÉóÒéµÄÊÂÏîÒÔ¼°¿ª
»áµÄÈÕÆÚºÍµØµã¸æÖªËùÓÐÔÚ²á¹É¶«¡£Äâ³öϯ¹É¶«´ó»áµÄ¹É¶«£¬Ó¦µ±ÓÚ»áÒéÕÙ¿ª¶þÊ®ÈÕǰ£¬½«³öϯ»áÒéµÄÊé
Ãæ»Ø¸´Ëʹ﹫˾¡£
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.
¹«Ë¾ÔÚ¼ÆËãÆðʼÆÚÏÞʱ£¬²»Ó¦µ±°üÀ¨»áÒéÕÙ¿ªµ±ÈÕ¡£
When the Company calculates the period of the meeting, the date of the meeting shall not be included.
µÚ°ËÊ®ÈýÌõ ¹«Ë¾¸ù¾Ý¹É¶«´ó»áÕÙ¿ªÇ°¶þÊ®ÈÕÊÕµ½µÄÊéÃæ»Ø¸´£¬¼ÆËãÄâ³öϯ»áÒéµÄ¹É¶«Ëù´ú±íµÄÓбí¾öȨ
µÄ¹É·ÝÊý¡£Äâ³öϯ»áÒéµÄ¹É¶«Ëù´ú±íµÄÓбí¾öȨµÄ¹É·ÝÊý´ïµ½¹«Ë¾Óбí¾öȨµÄ¹É·Ý×ÜÊý¶þ·ÖÖ®Ò»ÒÔÉϵģ¬
¹«Ë¾¿ÉÒÔÕÙ¿ª¹É¶«´ó»á£»´ï²»µ½µÄ£¬¹«Ë¾Ó¦µ±ÔÚÎåÈÕÄÚ½«»áÒéÄâÉóÒéµÄÊÂÏî¡¢¿ª»áÈÕÆÚºÍµØµãÒÔ¹«¸æ»ò±¾
Õ³̹涨µÄÆäËûÐÎʽ£¨ÈçÐèÒª£©ÐÎʽÔÙ´Î֪ͨ¹É¶«£¬¾¹«¸æ»ò±¾Õ³̹涨µÄÆäËûÐÎʽ£¨ÈçÐèÒª£©Í¨Öª£¬¹«
˾¿ÉÒÔÕÙ¿ª¹É¶«´ó»á¡£
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).
ÁÙʱ¹É¶«´ó»á²»µÃ¾ö¶¨Í¨¸æÎ´ÔØÃ÷µÄÊÂÏî¡£
No shareholders¡¯ general meeting shall decide on the matters not stated in the notice for the meeting.
µÚ°ËÊ®ËÄÌõ ¹É¶«´ó»áµÄ֪ͨӦµ±·ûºÏÏÂÁÐÒªÇó:
Article 84 A of the general meeting shall meet the following requirements:
(Ò») ÒÔÊéÃæÐÎʽ×ö³ö;
be in writing;
(¶þ) Ö¸¶¨»áÒéµÄʱ¼ä¡¢µØµãºÍ»áÒéÆÚÏÞ;
specify the date, place and period of the meeting;
(Èý) ˵Ã÷Ìá½»»áÒéÉóÒéµÄÊÂÏîºÍÌá°¸;
state the matters and proposals to be discussed at the meeting;
(ËÄ) Ïò¹É¶«ÌṩΪʹ¹É¶«¶Ô½«ÌÖÂÛµÄÊÂÏî×÷³öÃ÷ÖǾö¶¨ËùÐèÒªµÄ×ÊÁϼ°½âÊÍ; ´ËÔÔò°üÀ¨ (µ«²»ÏÞÓÚ)
ÔÚ¹«Ë¾Ìá³öºÏ²¢¡¢¹º»Ø¹É·Ý¡¢¹É±¾ÖØ×é»òÕ߯äËû¸Ä×éʱ£¬Ó¦µ±ÌṩÄâÒéÖеĽ»Ò׵ľßÌåÌõ¼þºÍºÏͬ (Èç
ÓÐ) £¬²¢¶ÔÆäÆðÒòºÍºó¹û×÷³öÈÏÕæµÄ½âÊÍ;
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
33
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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;
(Îå) ÈçÈκζÊ¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±Ó뽫ÌÖÂÛµÄÊÂÏîÓÐÖØÒªÀûº¦¹ØÏµ£¬Ó¦µ±Åû¶ÆäÀûº¦
¹ØÏµµÄÐÔÖʺͳ̶È; Èç¹û½«ÌÖÂÛµÄÊÂÏî¶Ô¸Ã¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±×÷Ϊ¹É¶«µÄÓ°Ïì
ÓбðÓÚ¶ÔÆäËûͬÀà±ð¹É¶«µÄÓ°Ï죬ÔòÓ¦µ±ËµÃ÷ÆäÇø±ð;
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;
(Áù) ÔØÓÐÈκÎÄâÔÚ»áÒéÉÏÌáÒéͨ¹ýµÄÌØ±ð¾öÒéµÄÈ«ÎÄ;
contain the full text of any special resolution to be proposed at the meeting;
(Æß) ÒÔÃ÷ÏÔµÄÎÄ×Ö˵Ã÷: ÓÐȨ³öϯºÍ±í¾öµÄ¹É¶«ÓÐȨÊéÃæÎ¯ÈÎһλ»òÕßһλÒÔÉϵĹɶ«´úÀíÈË´úΪ³öϯ
ºÍ±í¾ö£¬¶ø¸Ã¹É¶«´úÀíÈ˲»±ØÎª¹É¶«;
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;
(°Ë) ÔØÃ÷»áÒéͶƱ´úÀíίÍÐÊéµÄËÍ´ïʱ¼äºÍµØµã;
specify the time and place for lodging proxy forms for the relevant meeting;
(¾Å) ÔØÃ÷ÓÐȨ³öϯ¹É¶«´ó»á¹É¶«µÄ¹ÉȨµÇ¼ÇÈÕ;
the date of registration of equity entitlements for shareholders having the right to attend the general
meeting;
(Ê®) ÔØÃ÷»áÎñ³£ÉèÁªÏµÈËÐÕÃû£¬µç»°ºÅÂë¡£
the names and contact telephone numbers of the contact persons in connection with the meeting.
¹É¶«´ó»á֪ͨºÍ²¹³ä֪ͨÖÐÓ¦µ±³ä·Ö¡¢ÍêÕûÅû¶ËùÓÐÌá°¸µÄÈ«²¿¾ßÌåÄÚÈÝ¡£ÄâÌÖÂÛµÄÊÂÏîÐèÒª¶ÀÁ¢¶Ê·¢
±íÒâ¼ûµÄ£¬·¢²¼¹É¶«´ó»á֪ͨ»ò²¹³ä֪ͨʱ½«Í¬Ê±Åû¶¶ÀÁ¢¶ÊµÄÒâ¼û¼°ÀíÓÉ¡£
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.
¹É¶«´ó»á²ÉÓÃÍøÂç»òÆäËû·½Ê½µÄ£¬Ó¦µ±Ôڹɶ«´ó»á֪ͨÖÐÃ÷È·ÔØÃ÷ÍøÂç»òÆäËû·½Ê½µÄ±í¾öʱ¼ä¼°±í¾ö³Ì
Ðò¡£¹É¶«´ó»áÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄ¿ªÊ¼Ê±¼ä£¬²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»áÕÙ¿ªÇ°Ò»ÈÕÏÂÎç 3:00£¬²¢²»µÃ³ÙÓÚ
ÏÖ³¡¹É¶«´ó»áÕÙ¿ªµ±ÈÕÉÏÎç 9:30£¬Æä½áÊøÊ±¼ä²»µÃÔçÓÚÏÖ³¡¹É¶«´ó»á½áÊøµ±ÈÕÏÂÎç 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.
¹ÉȨµÇ¼ÇÈÕÓë»áÒéÈÕÆÚÖ®¼äµÄ¼ä¸ôÓ¦µ±²»¶àÓÚ 7 ¸ö¹¤×÷ÈÕ¡£¹ÉȨµÇ¼ÇÈÕÒ»µ©È·ÈÏ£¬²»µÃ±ä¸ü¡£
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.
34
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ°ËÊ®ÎåÌõ ¹É¶«´ó»áÄâÌÖÂÛ¶Ê¡¢¼àÊÂÑ¡¾ÙÊÂÏîµÄ£¬¹É¶«´ó»á֪ͨÖн«³ä·ÖÅû¶¶Ê¡¢¼àʺòÑ¡È˵ÄÏê
ϸ×ÊÁÏ£¬ÖÁÉÙ°üÀ¨ÒÔÏÂÄÚÈÝ:
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:
(Ò») ½ÌÓý±³¾°¡¢¹¤×÷¾Àú¡¢¼æÖ°µÈ¸öÈËÇé¿ö;
personal particulars such as educational background, working experience and part-time job;
(¶þ) Óë±¾¹«Ë¾»ò±¾¹«Ë¾µÄ¿Ø¹É¹É¶«¼°Êµ¼Ê¿ØÖÆÈËÊÇ·ñ´æÔÚ¹ØÁª¹ØÏµ;
whether or not the candidate has any connected relationship with the Company or its controlling
shareholders and de facto controllers;
(Èý) Åû¶³ÖÓб¾¹«Ë¾¹É·ÝÊýÁ¿;
disclose the number of shares of the Company held by the candidate;
(ËÄ) ÊÇ·ñÊܹýÖйúÖ¤¼à»á¼°ÆäËûÓйز¿ÃŵĴ¦·£ºÍ֤ȯ½»Ò×Ëù³Í½ä¡£
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;
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£
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.
µÚ°ËÊ®ÁùÌõ ³ý±¾¹«Ë¾Õ³ÌÁíÓй涨Í⣬¹É¶«´ó»á֪ͨӦµ±Ïò¾³ÍâÉÏÊÐÍâ×ʹɹɶ«£¨²»ÂÛÔڹɶ«´ó»áÉÏÊÇ
·ñÓбí¾öȨ£©ÒÔרÈËËͳö»òÕßÒÔÓÊ×ÊÒѸ¶µÄÓʼþËͳö£¬ÊÕ¼þÈ˵ØÖ·ÒԹɶ«Ãû²áµÇ¼ÇµÄµØÖ·Îª×¼¡£¶ÔÄÚ×ʹÉ
¹É¶«£¬¹É¶«´ó»á֪ͨҲ¿ÉÒÔÓù«¸æ·½Ê½½øÐС£
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.
ǰ¿îËù³Æ¹«¸æ£¬Ó¦µ±ÓÚ»áÒéÕÙ¿ªÇ°ËÄÊ®ÎåÈÕÖÁÎåÊ®ÈÕµÄÆÚ¼äÄÚ£¬ÔÚ¹úÎñԺ֤ȯÖ÷¹Ü»ú¹¹Ö¸¶¨µÄÒ»¼Ò»òÕß¶à
¼Ò±¨¿¯ÉÏ¿¯µÇ£¬Ò»¾¹«¸æ£¬ÊÓΪËùÓÐÄÚ×ʹɹɶ«ÒÑÊÕµ½Óйعɶ«»áÒéµÄ֪ͨ¡£
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.
ÔÚ·ûºÏ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢¹æ·¶ÐÔÎļþ¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹µÄÏà¹Ø¹æ¶¨²¢ÂÄÐÐÓйع涨³ÌÐòµÄǰ
ÌáÏ£¬¶Ô H shares ¹É¶«£¬¹«Ë¾Ò²¿ÉÒÔͨ¹ýÔÚ¹«Ë¾ÍøÕ¾¼°Ïã¸ÛÁª½»ËùÖ¸¶¨µÄÍøÕ¾ÉÏ·¢²¼µÄ·½Ê½»òÕßÒÔÏã¸Û
ÉÏÊйæÔòÒÔ¼°±¾Õ³ÌÔÊÐíµÄÆäËû·½Ê½·¢³ö¹É¶«´ó»á֪ͨ£¬ÒÔ´úÌæÏò H shares ¹É¶«ÒÔרÈËËͳö»òÕßÒÔÓÊ×Ê
ÒѸ¶ÓʼþµÄ·½Ê½Ëͳö¡£
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,
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.
µÚ°ËÊ®ÆßÌõ ÒòÒâÍâÒÅ©δÏòijÓÐȨµÃµ½Í¨ÖªµÄÈËËͳö»áÒé֪ͨ»òÕ߸õÈÈËûÓÐÊÕµ½»áÒé֪ͨ£¬»áÒé¼°»á
Òé×÷³öµÄ¾öÒé²¢²»Òò´ËÎÞЧ¡£
35
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚ°ËÊ®°ËÌõ ·¢³ö¹É¶«´ó»á֪ͨºó£¬ÎÞÕýµ±ÀíÓÉ£¬¹É¶«´ó»á²»Ó¦ÑÓÆÚ»òÈ¡Ïû£¬¹É¶«´ó»á֪ͨÖÐÁÐÃ÷µÄÌá°¸
²»Ó¦È¡Ïû¡£Ò»µ©³öÏÖÑÓÆÚ»òÈ¡ÏûµÄÇéÐΣ¬ÕÙ¼¯ÈËÓ¦µ±ÔÚÔ¶¨ÕÙ¿ªÈÕǰÖÁÉÙ 2 ¸ö¹¤×÷ÈÕ¹«¸æ²¢ËµÃ÷ÔÒò¡£
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.
µÚÎå½Ú ¹É¶«´ó»áµÄÕÙ¿ª
Section 5 Holding of Shareholders¡¯ General Meetings
µÚ°ËÊ®¾ÅÌõ ¹«Ë¾¶Ê»áºÍÆäËûÕÙ¼¯È˽«²ÉÈ¡±ØÒª´ëÊ©£¬±£Ö¤¹É¶«´ó»áµÄÕý³£ÖÈÐò¡£¶ÔÓÚ¸ÉÈŹɶ«´ó»á¡¢
Ñ°ÐÆ×ÌʺÍÇÖ·¸¹É¶«ºÏ·¨È¨ÒæµÄÐÐΪ£¬½«²ÉÈ¡´ëÊ©¼ÓÒÔÖÆÖ¹²¢¼°Ê±±¨¸æÓйز¿ÃŲ鴦¡£
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.
µÚ¾ÅÊ®Ìõ ¹ÉȨµÇ¼ÇÈյǼÇÔÚ²áµÄËùÓйɶ« (°üÀ¨Æä´úÀíÈË) £¬¾ùÓÐȨ³öϯ¹É¶«´ó»á£¬²¢ÒÀÕÕÓйط¨ÂÉ¡¢·¨
¹æ¼°±¾Õ³ÌÐÐʹ±í¾öȨ¡£
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.
¹É¶«¿ÉÒÔÇ××Ô³öϯ¹É¶«´ó»á£¬Ò²¿ÉÒÔίÍдúÀíÈË´úΪ³öϯºÍ±í¾ö¡£
Shareholder may either attend the shareholders' general meeting in person or appoint proxy to attend
and vote at such meeting on his behalf.
µÚ¾ÅʮһÌõ ¹É¶«Ó¦µ±ÒÔÊéÃæÐÎʽίÍдúÀíÈË£¬Î¯ÍÐÊéÓÉίÍÐÈËÇ©Êð»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©
Êð; ίÍÐÈËΪ·¨È˵ģ¬Ó¦µ±¼Ó¸Ç·¨ÈËÓ¡Õ»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
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.
¸öÈ˹ɶ«Ç××Ô³öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí·ÝÖ¤»òÆäËûÄܹ»±íÃ÷ÆäÉí·ÝµÄÓÐЧ֤¼þ»òÖ¤Ã÷¡¢¹ÉƱÕË»§¿¨; ί
ÍдúÀíËûÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÓÐЧÉí·ÝÖ¤¼þ¡¢¹É¶«ÊÚȨίÍÐÊé¡£
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.
·¨È˹ɶ«Ó¦ÓÉ·¨¶¨´ú±íÈË»òÕß·¨¶¨´ú±íÈËίÍеĴúÀíÈ˳öϯ»áÒé¡£·¨¶¨´ú±íÈ˳öϯ»áÒéµÄ£¬Ó¦³öʾ±¾ÈËÉí
·ÝÖ¤¡¢ÄÜÖ¤Ã÷Æä¾ßÓз¨¶¨´ú±íÈË×ʸñµÄÓÐЧ֤Ã÷; ίÍдúÀíÈ˳öϯ»áÒéµÄ£¬´úÀíÈËÓ¦³öʾ±¾ÈËÉí·ÝÖ¤¡¢·¨
È˹ɶ«µ¥Î»µÄ·¨¶¨´ú±íÈËÒÀ·¨³ö¾ßµÄÊéÃæÊÚȨίÍÐÊé¡£
Corporate shareholders shall be represented by its legal representative or proxies authorized by the
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.
36
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ¾ÅÊ®¶þÌõ ÈκÎÓÐȨ³öϯ¹É¶«»áÒé²¢ÓÐȨ±í¾öµÄ¹É¶«£¬ÓÐȨÊéÃæÎ¯ÈÎÒ»ÈË»òÕßÊýÈË (¸ÃÈË¿ÉÒÔ²»Êǹɶ«)
×÷ΪÆä¹É¶«´úÀíÈË£¬´úΪ³öϯºÍ±í¾ö¡£¸Ã¹É¶«´úÀíÈËÒÀÕոùɶ«µÄίÍУ¬¿ÉÒÔÐÐʹÏÂÁÐȨÀû£º
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:
(Ò») ¸Ã¹É¶«Ôڹɶ«´ó»áÉϵķ¢ÑÔȨ;
the shareholder¡¯s right to speak at the meeting;
(¶þ) ×ÔÐлòÕßÓëËûÈ˹²Í¬ÒªÇóÒÔͶƱ·½Ê½±í¾ö;
the right to demand or join in demand for a poll;
(Èý) ³ý·Ç¸ù¾ÝÊÊÓõÄ֤ȯÉÏÊйæÔò»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨Í⣬ÒÔ¾ÙÊÖ»òÕßͶƱ·½Ê½ÐÐʹ±í¾öȨ£¬
µ«ÊÇίÈεĹɶ«´úÀíÈ˳¬¹ýÒ»ÈËʱ£¬¸ÃµÈ¹É¶«´úÀíÈËÖ»ÄÜÒÔͶƱ·½Ê½ÐÐʹ±í¾öȨ¡£
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.
Èç¸Ã¹É¶«ÎªÈϿɽáËãËù (»òÆä´úÀíÈË) £¬¸Ã¹É¶«¿ÉÒÔÊÚȨÆäÈÏΪºÏÊʵÄÒ»¸ö»òÒÔÉÏÈËÊ¿ÔÚÈκιɶ«´ó»á»ò
ÕßÈκÎÀà±ð¹É¶«»áÒéÉϵ£ÈÎÆä´ú±í; µ«ÊÇ£¬Èç¹ûÒ»ÃûÒÔÉϵÄÈËÊ¿»ñµÃÊÚȨ£¬ÔòÊÚȨÊéÓ¦ÔØÃ÷ÿÃû¸ÃµÈÈËÊ¿
¾´ËÊÚȨËùÉæ¼°µÄ¹É·ÝÊýÄ¿ºÍÖÖÀà¡£¾´ËÊÚȨµÄÈËÊ¿¿ÉÒÔ´ú±íÈϿɽáËãËù (»òÆä´úÀíÈË) ÐÐʹȨÀû£¬Èçͬ
¸ÃÈËÊ¿Êǹ«Ë¾µÄ¸öÈ˹ɶ«¡£
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.
µÚ¾ÅÊ®ÈýÌõ ¹É¶«³ö¾ßµÄίÍÐËûÈ˳öϯ¹É¶«´ó»áµÄÊÚȨίÍÐÊéÓ¦µ±ÔØÃ÷ÏÂÁÐÄÚÈÝ:
Article 93 The authorization letter issued by shareholders to authorize other persons to attend the
general meeting shall clearly state the followings:
(Ò») ´úÀíÈ˵ÄÐÕÃû;
the name of the proxies;
(¶þ) ÊÇ·ñ¾ßÓбí¾öȨ;
whether the proxies have the right to vote;
(Èý) ·Ö±ð¶ÔÁÐÈë¹É¶«´ó»áÒé³ÌµÄÿһÉóÒéÊÂÏîͶÔ޳ɡ¢·´¶Ô»òÆúȨƱµÄָʾ;
instructions to vote for, against or abstain from voting on each of the items in the agenda of the
meeting;
(ËÄ) ίÍÐÊéÇ©·¢ÈÕÆÚºÍÓÐЧÆÚÏÞ;
the signing date and the effective period of the authorization letter;
(Îå) ίÍÐÈË»òÕßÓÉÆäÒÔÊéÃæÐÎʽίÍеĴúÀíÈËÇ©Ãû(»ò¸ÇÕÂ)¡£Î¯ÍÐÈËΪ·¨È˹ɶ«µÄ£¬Ó¦¼Ó¸Ç·¨È˵¥Î»Ó¡ÕÂ
»òÕßÓÉÆä¶Ê»òÕßÕýʽίÈεĴúÀíÈËÇ©Êð¡£
signature (or seal) of the appointing shareholders or the proxies appointed in writing. If the
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.
µÚ¾ÅÊ®ËÄÌõ ÈκÎÓɹ«Ë¾¶Ê»ᷢ¸ø¹É¶«ÓÃÓÚÈÎÃü¹É¶«´úÀíÈ˵ÄίÍÐÊéµÄ¸ñʽ£¬Ó¦µ±Èùɶ«×ÔÓÉÑ¡Ôñָʾ
¹É¶«´úÀíÈËͶÔÞ³ÉÆ±»òÕß·´¶ÔƱ£¬²¢¾Í»áÒéÿÏîÒéÌâËùÒª×÷³ö±í¾öµÄÊÂÏî·Ö±ð×÷³öָʾ¡£Î¯ÍÐÊéÓ¦µ±ËµÃ÷
Èç¹û¹É¶«²»×÷ָʾ£¬¹É¶«´úÀíÈË¿ÉÒÔ°´×Ô¼ºµÄÒâ˼±í¾ö¡£
37
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚ¾ÅÊ®ÎåÌõ ±í¾ö´úÀíίÍÐÊéÖÁÉÙÓ¦µ±ÔÚ¸ÃίÍÐÊéίÍбí¾öµÄÓйػáÒéÕÙ¿ªÇ°¶þÊ®ËÄСʱ£¬»òÕßÔÚÖ¸¶¨±í
¾öʱ¼äǰ¶þÊ®ËÄСʱ£¬±¸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£´úÀíͶƱÊÚȨίÍÐÊéÓÉί
ÍÐÈËÊÚȨËûÈËÇ©ÊðµÄ£¬ÊÚȨǩÊðµÄÊÚȨÊé»òÕ߯äËûÊÚȨÎļþÓ¦µ±¾¹ý¹«Ö¤¡£¾¹«Ö¤µÄÊÚȨÊé»òÕ߯äËûÊÚȨ
Îļþ£¬ºÍͶƱ´úÀíίÍÐÊé¾ùÐ豸ÖÃÓÚ¹«Ë¾×¡Ëù»òÕßÕÙ¼¯»áÒéµÄ֪ͨÖÐÖ¸¶¨µÄÆäËûµØ·½¡£
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.
ίÍÐÈËΪ·¨È˵ģ¬ÓÉÆä·¨¶¨´ú±íÈË»òÕß¶Ê»ᡢÆäËû¾ö²ß»ú¹¹¾öÒéÊÚȨµÄÈË×÷Ϊ´ú±í³öϯ¹«Ë¾µÄ¹É¶«´ó»á¡£
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.
µÚ¾ÅÊ®ÁùÌõ ±í¾öǰίÍÐÈËÒѾȥÊÀ¡¢É¥Ê§ÐÐΪÄÜÁ¦¡¢³·»ØÎ¯ÈΡ¢³·»ØÇ©ÊðίÈεÄÊÚȨ»òÕßÓйعɷÝÒѱ»
תÈõģ¬Ö»Òª¹«Ë¾ÔÚÓйػáÒ鿪ʼǰûÓÐÊÕµ½¸ÃµÈÊÂÏîµÄÊéÃæÍ¨Öª£¬Óɹɶ«´úÀíÈËÒÀίÍÐÊéËù×÷³öµÄ±í¾ö
ÈÔÈ»ÓÐЧ¡£
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.
µÚ¾ÅÊ®ÆßÌõ ³öϯ»áÒéÈËÔ±µÄ»áÒéµÇ¼Ç²áÓɹ«Ë¾¸ºÔðÖÆ×÷¡£»áÒéµÇ¼Ç²áÔØÃ÷²Î¼Ó»áÒéÈËÔ±ÐÕÃû(»òµ¥Î»Ãû
³Æ)¡¢Éí·ÝÖ¤ºÅÂ롢סËùµØÖ·¡¢³ÖÓлòÕß´ú±íÓбí¾öȨµÄ¹É·ÝÊý¶î¡¢±»´úÀíÈËÐÕÃû(»òµ¥Î»Ãû³Æ)µÈÊÂÏî¡£
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.
µÚ¾ÅÊ®°ËÌõ ÕÙ¼¯È˺͹«Ë¾Æ¸ÇëµÄÂÉʦ½«ÒÀ¾Ý֤ȯµÇ¼Ç½áËã»ú¹¹¼°¾³Íâ´úÀí»ú¹¹ÌṩµÄ¹É¶«Ãû²á¹²Í¬¶Ô¹É
¶«×ʸñµÄºÏ·¨ÐÔ½øÐÐÑéÖ¤£¬²¢µÇ¼Ç¹É¶«ÐÕÃû(»òÃû³Æ)¼°ÆäËù³ÖÓбí¾öȨµÄ¹É·ÝÊý¡£ÔÚ»áÒéÖ÷ϯÐû²¼ÏÖ³¡³ö
ϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý֮ǰ£¬»áÒéµÇ¼ÇÓ¦µ±ÖÕÖ¹¡£
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
meeting announces the number of shareholders and proxies attending the meeting and the total number
of voting shares they hold.
µÚ¾ÅÊ®¾ÅÌõ ¹É¶«´ó»áÕÙ¿ªÊ±£¬±¾¹«Ë¾È«Ìå¶Ê¡¢¼àʺͶÊ»áÃØÊéÓ¦µ±³öϯ»áÒ飬×ܾÀíºÍÆäËû¸ß¼¶¹Ü
ÀíÈËÔ±Ó¦µ±ÁÐϯ»áÒé¡£
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.
38
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙÌõ ¹É¶«´ó»á»áÒéÓɶÊ»áÕÙ¼¯µÄ£¬Óɶʳ¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ¡£¶Ê³¤Òò¹Ê²»Äܳöϯ»áÒéµÄ£¬
Óɸ±¶Ê³¤ÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; ¶Ê³¤ºÍ¸±¶Ê³¤¾ùÎÞ·¨³öϯ»áÒéµÄ£¬¶Ê³¤¿ÉÒÔÖ¸¶¨Ò»Ãû¹«Ë¾¶Ê´ú
ÆäÕÙ¼¯²¢µ£ÈλáÒéÖ÷ϯ; δָ¶¨»áÒéÖ÷ϯµÄ£¬³öϯ»áÒéµÄ¹É¶«¿ÉÒÔÑ¡¾ÙÒ»È˵£ÈÎÖ÷ϯ; Èç¹ûÒòÈκÎÀíÓÉ£¬
¹É¶«ÎÞ·¨Ñ¡¾ÙÖ÷ϯ£¬Ó¦µ±Óɳöϯ»áÒéµÄ³ÖÓÐ×î¶à±í¾öȨ¹É·ÝµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) µ£ÈλáÒéÖ÷ϯ¡£
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.
¼àÊ»á×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓɼàÊ»áÖ÷ϯµ£ÈλáÒéÖ÷ϯ¡£¼àÊ»áÖ÷ϯ²»ÄÜÂÄÐÐÖ°Îñ»ò²»ÂÄÐÐÖ°Îñʱ£¬ÓÉ
°ëÊýÒÔÉϼàʹ²Í¬ÍƾٵÄÒ»Ãû¼àʵ£ÈλáÒéÖ÷ϯ¡£
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.
¹É¶«×ÔÐÐÕÙ¼¯µÄ¹É¶«´ó»á£¬ÓÉÕÙ¼¯ÈËÍÆ¾Ù´ú±íµ£ÈλáÒéÖ÷ϯ¡£
The shareholders¡¯ general meeting convened by shareholders on their own initiative shall be presided
over by the representative nominated by the convener.
ÕÙ¿ª¹É¶«´ó»áʱ£¬»áÒéÖ÷ϯΥ·´ÒéʹæÔòʹ¹É¶«´ó»áÎÞ·¨¼ÌÐø½øÐе쬾ÏÖ³¡³öϯ¹É¶«´ó»áÓбí¾öȨ¹ý°ë
ÊýµÄ¹É¶«Í¬Ò⣬¹É¶«´ó»á¿ÉÍÆ¾ÙÒ»È˵£ÈλáÒéÖ÷ϯ£¬¼ÌÐø¿ª»á¡£
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.
µÚÒ»Áã°ÙÒ»Ìõ ¹«Ë¾Öƶ¨¹É¶«´ó»áÒéʹæÔò£¬Ïêϸ¹æ¶¨¹É¶«´ó»áµÄÕÙ¿ªºÍ±í¾ö³ÌÐò£¬°üÀ¨Í¨Öª¡¢µÇ¼Ç¡¢Ìá
°¸µÄÉóÒ顢ͶƱ¡¢¼ÆÆ±¡¢±í¾ö½á¹ûµÄÐû²¼¡¢»áÒé¾öÒéµÄÐγɡ¢»áÒé¼Ç¼¼°ÆäÇ©Êð¡¢¹«¸æµÈÄÚÈÝ£¬ÒÔ¼°¹É¶«
´ó»á¶Ô¶Ê»áµÄÊÚȨÔÔò£¬ÊÚȨÄÚÈÝÓ¦Ã÷È·¾ßÌå¡£¹É¶«´ó»áÒéʹæÔòÓ¦×÷ΪÕ³̵ĸ½¼þ£¬ÓɶÊ»áÄⶨ£¬
¹É¶«´ó»áÅú×¼¡£
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.
µÚÒ»°ÙÁã¶þÌõ ÔÚÄê¶È¹É¶«´ó»áÉÏ£¬¶Ê»ᡢ¼àÊ»áÓ¦µ±¾ÍÆä¹ýÈ¥ 1 ÄêµÄ¹¤×÷Ïò¹É¶«´ó»á×÷³ö±¨¸æ¡£Ã¿Ãû
¶ÀÁ¢¶ÊÂÒ²Ó¦×÷³öÊöÖ°±¨¸æ¡£
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.
µÚÒ»°ÙÁãÈýÌõ ¶Ê¡¢¼àÊ¡¢¸ß¼¶¹ÜÀíÈËÔ±Ôڹɶ«´ó»áÉϾ͹ɶ«µÄÖÊѯºÍ½¨Òé×÷³ö½âÊͺÍ˵Ã÷¡£
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.
39
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙÁãËÄÌõ »áÒéÖ÷ϯӦµ±ÔÚ±í¾öǰÐû²¼ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×Ü
Êý£¬ÏÖ³¡³öϯ»áÒéµÄ¹É¶«ºÍ´úÀíÈËÈËÊý¼°Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊýÒÔ»áÒéµÇ¼ÇΪ׼¡£
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.
µÚÒ»°ÙÁãÎåÌõ ¹É¶«´ó»áÓ¦ÓлáÒé¼Ç¼£¬ÓɶÊ»áÃØÊ鸺Ôð¡£»áÒé¼Ç¼¼ÇÔØÒÔÏÂÄÚÈÝ:
Article 105 Minutes of shareholders¡¯ general meetings shall be recorded by the secretary to the Board.
The minutes shall contain the following items:
(Ò») »áÒéʱ¼ä¡¢µØµã¡¢Òé³ÌºÍÕÙ¼¯ÈËÐÕÃû»òÃû³Æ;
the date, place and agenda of the meeting, and the name of the convener;
(¶þ) »áÒéÖ÷ϯÒÔ¼°³öϯ»òÁÐϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢×ܾÀíºÍÆäËû¸ß¼¶¹ÜÀíÈËÔ±ÐÕÃû;
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;
(Èý) ³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³ÖÓбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾¹É·Ý×ÜÊýµÄ±ÈÀý;
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;
(ËÄ) ¶ÔÿһÌá°¸µÄÉóÒé¾¹ý¡¢·¢ÑÔÒªµãºÍ±í¾ö½á¹û;
the discussions in respect of each proposal, highlights of the speeches made at the meeting and
the results of voting;
(Îå) ¹É¶«µÄÖÊѯÒâ¼û»ò½¨ÒéÒÔ¼°ÏàÓ¦µÄ´ð¸´»ò˵Ã÷;
details of the queries or recommendations of the shareholders, and the corresponding answers or
explanations;
(Áù) ÂÉʦ¼°¼ÆÆ±ÈË¡¢¼àƱÈËÐÕÃû;
the name of lawyers, counting officers and scrutinizers;
(Æß) ±¾Õ³̹涨Ӧµ±ÔØÈë»áÒé¼Ç¼µÄÆäËûÄÚÈÝ¡£
such other matters which shall be recorded in the minutes of the meeting in accordance with the
provisions of the Articles of Association.
µÚÒ»°ÙÁãÁùÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤»áÒé¼Ç¼ÄÚÈÝÕæÊµ¡¢×¼È·ºÍÍêÕû¡£³öϯ»áÒéµÄ¶Ê¡¢¼àÊ¡¢¶Ê»áÃØÊé¡¢
ÕÙ¼¯ÈË»òÆä´ú±í¡¢»áÒéÖ÷ϯӦµ±ÔÚ»áÒé¼Ç¼ÉÏÇ©Ãû¡£»áÒé¼Ç¼Ӧµ±ÓëÏÖ³¡³öϯ¹É¶«µÄÇ©Ãû²á¼°´úÀí³öϯµÄ
ίÍÐÊé¡¢ÍøÂç¼°ÆäËû·½Ê½±í¾öÇé¿öµÄÓÐЧ×ÊÁÏÒ»²¢±£´æ£¬±£´æÆÚÏÞ²»ÉÙÓÚ 10 Äê¡£
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
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.
µÚÒ»°ÙÁãÆßÌõ ÕÙ¼¯ÈËÓ¦µ±±£Ö¤¹É¶«´ó»áÁ¬Ðø¾ÙÐУ¬Ö±ÖÁÐγÉ×îÖÕ¾öÒé¡£Òò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«
´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéµÄ£¬Ó¦²ÉÈ¡±ØÒª´ëÊ©¾¡¿ì»Ö¸´ÕÙ¿ª¹É¶«´ó»á»òÖ±½ÓÖÕÖ¹±¾´Î¹É¶«´ó»á£¬²¢¼°Ê±¹«
¸æ¡£Í¬Ê±£¬ÕÙ¼¯ÈËÓ¦Ïò¹«Ë¾ËùÔÚµØÖйúÖ¤¼à»áÅɳö»ú¹¹¼°¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯½»Ò×Ëù±¨¸æ¡£
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
40
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÁù½Ú ¹É¶«´ó»áµÄ±í¾öºÍ¾öÒé
Section 6 Voting and Resolutions at Shareholders¡¯ General Meeting
µÚÒ»°ÙÁã°ËÌõ ¹É¶«´ó»á¾öÒé·ÖΪÆÕͨ¾öÒéºÍÌØ±ð¾öÒé¡£
Article 108 Resolutions of shareholders¡¯ general meeting shall be divided into ordinary resolutions and
special resolutions.
¹É¶«´ó»á×÷³öÆÕͨ¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 1/2 ÒÔÉÏͨ¹ý¡£
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.
¹É¶«´ó»á×÷³öÌØ±ð¾öÒ飬Ӧµ±Óɳöϯ¹É¶«´ó»áµÄ¹É¶«(°üÀ¨¹É¶«´úÀíÈË)Ëù³Ö±í¾öȨµÄ 2/3 ÒÔÉÏͨ¹ý¡£
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.
µÚÒ»°ÙÁã¾ÅÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÆÕͨ¾öÒéͨ¹ý£º
Article 109 The following matters shall be resolved by an ordinary resolution at a shareholders¡¯ general
meeting:
(Ò») ¶Ê»áºÍ¼àÊ»áµÄ¹¤×÷±¨¸æ;
work reports of the Board of Directors and the Board of Supervisors;
(¶þ) ¶Ê»áÄⶨµÄÀûÈó·ÖÅä·½°¸ºÍÃÖ²¹¿÷Ëð·½°¸;
profit distribution plans and loss recovery plans formulated by the Board of Directors;
(Èý) ¶Ê»áºÍ¼àÊ»á³ÉÔ±µÄÈÎÃâ¼°Æä±¨³êºÍÖ§¸¶·½·¨;
appointment and dismissal of members of the Board of Directors and members of the Board of
Supervisors, their remuneration and manner of payment;
(ËÄ) ¹«Ë¾Äê¶ÈÔ¤Ë㱨¸æ¡¢¾öË㱨¸æ¡¢×ʲú¸ºÕ®±í¡¢ÀûÈó±í¼°ÆäËü²ÆÎñ±¨±í;
preliminary and final annual budgets, balance sheets, profit accounts, and other financial
statements of the Company;
(Îå) ¹«Ë¾Äê¶È±¨¸æ;
annual report of the Company;
(Áù) ³ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨Ó¦µ±ÒÔÌØ±ð¾öÒéͨ¹ý
ÒÔÍâµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮÌõ ÏÂÁÐÊÂÏîÓɹɶ«´ó»áÒÔÌØ±ð¾öÒéͨ¹ý£º
Article 110 The following matters shall be resolved by a special resolution at a shareholders¡¯ general
meeting:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¹«Ë¾×¢²á×ʱ¾;
the increase or reduction in registered capital of the Company;
(¶þ) ·¢ÐÐÈκÎÖÖÀà¹ÉƱ¡¢ÈϹÉÖ¤ºÍÆäËüÀàËÆÖ¤È¯;
the issue of shares of any class, warrants and other similar securities;
41
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) ·¢Ðй«Ë¾Õ®È¯;
the issue of debentures of the Company;
(ËÄ) ¹«Ë¾µÄ·ÖÁ¢¡¢ºÏ²¢¡¢½âÉ¢ºÍÇåËã;
the division, merger, dissolution and liquidation of the Company;
(Îå) Ð޸ı¾Õ³Ì;
the amendment of the Company¡¯s Articles of Association;
(Áù) ¹«Ë¾ÔÚÒ»ÄêÄÚ¹ºÂò¡¢³öÊÛÖØ´ó×ʲú»òÕßµ£±£½ð¶î³¬¹ý¹«Ë¾×î½üÒ»ÆÚ¾Éó¼Æ×Ü×ʲú 30%µÄ;
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;
(Æß) ¹ÉȨ¼¤Àø¼Æ»®;
any equity-based incentive plan;
(°Ë) ¹«Ë¾µ÷ÕûÀûÈó·ÖÅäÕþ²ß
the profit distribution policy under adjustment of the Company;
(¾Å) ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢±¾Õ³̹涨µÄ»ò¹«Ë¾¹É·ÝÉÏÊеÄ֤ȯ½»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨µÄ£¬ÒÔ¼°¹É¶«´ó»áÒÔ
ÆÕͨ¾öÒéÈ϶¨»á¶Ô¹«Ë¾²úÉúÖØ´óÓ°ÏìµÄ¡¢ÐèÒªÒÔÌØ±ð¾öÒéͨ¹ýµÄÆäËûÊÂÏî¡£
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.
µÚÒ»°ÙһʮһÌõ ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) ÒÔÆäËù´ú±íµÄÓбí¾öȨµÄ¹É·ÝÊý¶îÐÐʹ±í¾öȨ£¬³ý±¾¹«Ë¾Õ³̵Ú
Ò»°ÙһʮÆßÌõÍ⣬ÿһ¹É·ÝÏíÓÐһƱ±í¾öȨ¡£
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.
¹É¶«´ó»áÉóÒéÓ°ÏìÖÐСͶ×ÊÕßÀûÒæµÄÖØ´óÊÂÏîʱ£¬¶ÔÖÐСͶ×ÊÕß±í¾öÓ¦µ±µ¥¶À¼ÆÆ±¡£µ¥¶À¼ÆÆ±½á¹ûÓ¦µ±¼°
ʱ¹«¿ªÅû¶¡£
Where significant matters affecting the interests of minority investors are considered in general meeting,
the votes cast by minority investors shall be counted separately. The result of such separate
vote-counting shall be disclosed promptly to the public.
¹«Ë¾³ÖÓеı¾¹«Ë¾¹É·ÝûÓбí¾öȨ£¬ÇҸò¿·Ö¹É·Ý²»¼ÆÈë³öϯ¹É¶«´ó»áÓбí¾öȨµÄ¹É·Ý×ÜÊý¡£
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.
¶Ê»ᡢ¶ÀÁ¢¶ÊºͷûºÏÏà¹Ø¹æ¶¨Ìõ¼þµÄ¹É¶«¿ÉÒÔÕ÷¼¯¹É¶«Í¶Æ±È¨¡£Õ÷¼¯¹É¶«Í¶Æ±È¨Ó¦µ±Ïò±»Õ÷¼¯È˳ä·Ö
Åû¶¾ßÌåͶƱÒâÏòµÈÐÅÏ¢¡£½ûÖ¹ÒÔÓг¥»òÕß±äÏàÓг¥µÄ·½Ê½Õ÷¼¯¹É¶«Í¶Æ±È¨¡£¹«Ë¾²»µÃ¶ÔÕ÷¼¯Í¶Æ±È¨Ìá³ö
×îµÍ³Ö¹É±ÈÀýÏÞÖÆ¡£
The Board, Independent Directors and shareholders who are qualified under the relevant conditions may
collect from other shareholders the rights to vote. Information including the specific voting intention shall
be fully disclosed to the shareholders from whom voting rights are being collected. Consideration or de
facto consideration for collecting shareholders¡¯ voting rights is prohibited. The Company shall not impose
any minimum shareholding limitation for collecting voting rights.
µÚÒ»°Ùһʮ¶þÌõ ¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«²»Ó¦µ±²ÎÓëͶƱ±í¾ö£¬ÆäËù´ú±íµÄÓбí¾ö
ȨµÄ¹É·ÝÊý²»¼ÆÈëÓÐЧ±í¾ö×ÜÊý; ¹É¶«´ó»á¾öÒéµÄ¹«¸æÓ¦µ±³ä·ÖÅû¶·Ç¹ØÁª¹É¶«µÄ±í¾öÇé¿ö¡£¹ØÁª¹É¶«µÄ
¶¨ÒåºÍ·¶Î§¸ù¾Ý¹«Ë¾ÉÏÊеØÖ¤È¯¼à¹Ü»ú¹¹¼°Ö¤È¯½»Ò×ËùµÄÏà¹Ø¹æ¶¨È·¶¨¡£
42
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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
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.
¹É¶«´ó»áÉóÒéÓйعØÁª½»Ò×ÊÂÏîʱ£¬¹ØÁª¹É¶«Ó¦Ö÷¶¯Ïò¹É¶«´ó»áÉêÃ÷¹ØÁª¹ØÏµ²¢»Ø±Ü±í¾ö¡£¹É¶«Ã»ÓÐÖ÷¶¯
˵Ã÷¹ØÁª¹ØÏµ²¢»Ø±ÜµÄ£¬ÆäËû¹É¶«¿ÉÒÔÒªÇóÆä˵Ã÷Çé¿ö²¢»Ø±Ü¡£
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.
¹É¶«´ó»á½áÊøºó£¬ÆäËû¹É¶«·¢ÏÖÓйØÁª¹É¶«²ÎÓëÓйعØÁª½»Ò×ÊÂÏîͶƱµÄ£¬»òÕ߹ɶ«¶ÔÊÇ·ñÓ¦ÊÊÓûرÜÓÐ
ÒìÒéµÄ£¬ÓÐȨ¾ÍÏà¹Ø¾öÒé¸ù¾Ý±¾Õ³̵ÄÓйع涨ÏòÈËÃñ·¨ÔºÆðËß¡£
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.
¹«Ë¾ÄâÓë¹ØÁª·¨ÈË·¢ÉúµÄ½ð¶î¸ßÓÚÈËÃñ±Ò 3000 ÍòÔª£¬ÇÒÕ¼¹«Ë¾×î½üÒ»ÆÚ¾É󼯾»×ʲú¾ø¶ÔÖµ 5%ÒÔÉϵÄ
¹ØÁª½»Ò×Ó¦Óɹɶ«´ó»áÌÖÂÛ¾ö¶¨£¬Î©ÈôÆäËûÊÊÓõÄÏã¸Û·¨ÂÉ¡¢·¨¹æ¡¢¹æÔòÁíÓй涨£¬ÔòÐèÒª°´Õոõȷ¨ÂÉ¡¢
·¨¹æ¡¢¹æÔòµÄÒªÇóÖ´ÐС£
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.
µÚÒ»°ÙһʮÈýÌõ »áÒéÖ÷ϯ¸ºÔð¾ö¶¨¹É¶«´ó»áµÄ¾öÒéÊÇ·ñͨ¹ý£¬Æä¾ö¶¨ÎªÖÕ¾Ö¾ö¶¨£¬²¢Ó¦µ±ÔÚ»áÉÏÐû²¼ºÍ
ÔØÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°ÙһʮËÄÌõ ¹«Ë¾Ó¦ÔÚ±£Ö¤¹É¶«´ó»áºÏ·¨¡¢ÓÐЧµÄǰÌáÏ£¬Í¨¹ý¸÷ÖÖ·½Ê½ºÍ;¾¶£¬°üÀ¨Ìá¹©ÍøÂçÐÎʽ
µÄͶƱƽ̨µÈÏÖ´úÐÅÏ¢¼¼ÊõÊֶΣ¬Îª¹É¶«²Î¼Ó¹É¶«´ó»áÌṩ±ãÀû¡£
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.
µÚÒ»°ÙһʮÎåÌõ ³ý¹«Ë¾´¦ÓÚΣ»úµÈÌØÊâÇé¿öÍ⣬·Ç¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾½«²»Óë¶Ê¡¢×ܾ
ÀíºÍÆäËü¸ß¼¶¹ÜÀíÈËÔ±ÒÔÍâµÄÈ˶©Á¢½«¹«Ë¾È«²¿»òÕßÖØÒªÒµÎñµÄ¹ÜÀí½»Óè¸ÃÈ˸ºÔðµÄºÏͬ¡£
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.
µÚÒ»°ÙһʮÁùÌõ ¶Ê¡¢¼àʺòÑ¡ÈËÃûµ¥ÒÔÌá°¸µÄ·½Ê½ÌáÇë¹É¶«´ó»á±í¾ö¡£
Article 116 The list of candidates for Directors or supervisors shall be proposed to the shareholders¡¯
general meeting for votes.
43
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
³ý²ÉÈ¡ÀÛ»ýÍ¶Æ±ÖÆÑ¡¾Ù¶Ê¡¢¼àÊÂÍ⣬ÿλ¶Ê¡¢¼àʺòÑ¡ÈËÓ¦µ±ÒÔµ¥ÏîÌá°¸Ìá³ö¡£¶Ê»áÓ¦µ±Ïò¹É¶«¹«
¸æ¶Ê¡¢¼àʺòÑ¡È˵ļòÀúºÍ»ù±¾Çé¿ö¡£
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. The Board of
Directors shall announce the resumes and basic information of these candidates for Directors or
supervisors.
¶Ê¡¢¼àʵÄÌáÃû·½Ê½ºÍ³ÌÐòÈçÏ£º
The means and procedure of nomination for Directors and Supervisors shall be:
(Ò») ¶Ê»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÏò¶Ê»áÌá³ö·Ç¶ÀÁ¢¶ÊºòÑ¡È˵ÄÌáÃû£¬¶
Ê»á¾Õ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
The Board and shareholders individually or jointly holding not less than 3% of the Company¡¯s
shares 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.
(¶þ) ¼àÊ»ᡢµ¥¶À»òÕߺϲ¢³ÖÓй«Ë¾ 3%ÒÔÉϹɷݵĹɶ«ÓÐȨÌá³ö¹É¶«´ú±íµ£ÈεļàʺòÑ¡È˵ÄÌáÃû£¬¾
¼àÊ»áÕ÷Çó±»ÌáÃûÈËÒâ¼û²¢¶ÔÆäÈÎÖ°×ʸñ½øÐÐÉó²éºó£¬Ïò¹É¶«´ó»áÌá³öÌá°¸¡£
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.
(Èý) ¶ÀÁ¢¶ÊµÄÌáÃû·½Ê½ºÍ³ÌÐòÓ¦°´ÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¼°²¿ÃŹæÕµÄÓйع涨ִÐС£
The means and procedure of nomination for Independent Director shall be in compliance with
relevant provisions of laws, administrative regulations and department rules.
µÚÒ»°ÙһʮÆßÌõ ¹É¶«´ó»á¾ÍÑ¡¾Ù¶Ê¡¢¼àʽøÐбí¾öʱ£¬¸ù¾Ý±¾Õ³̵Ĺ涨»òÕ߹ɶ«´ó»áµÄ¾öÒ飬¿ÉÒÔ
ʵÐÐÀÛ»ýÍ¶Æ±ÖÆ£¬¼´¹É¶«´ó»áÑ¡¾Ù¶Ê»òÕß¼àÊÂʱ£¬Ã¿Ò»¹É·ÝÓµÓÐÓëӦѡ¶Ê»òÕß¼àÊÂÈËÊýÏàͬµÄ±í¾öȨ£¬
¹É¶«ÓµÓеıí¾öȨ¿ÉÒÔ¼¯ÖÐʹÓ᣹«Ë¾µÚÒ»´ó¹É¶«µÄ¹ÉȨ±ÈÀýΪ 30%ÒÔÉÏ£¬»òÑ¡¾ÙµÄ¶Ê¡¢¼àÊÂΪ 2 ÃûÒÔ
ÉÏʱ£¬Ó¦µ±²ÉÓÃÀÛ»ýÍ¶Æ±ÖÆ¡£
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.
ÀÛ»ýÍ¶Æ±ÖÆµÄ¾ßÌå²Ù×÷³ÌÐòÈçÏ£º
The cumulative voting system shall be operated as:
(Ò») ¹«Ë¾¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂÓ¦·Ö¿ªÑ¡¾Ù£¬·Ö¿ªÍ¶Æ±¡£
separate election and voting for Independent Director, non-independent Directors and Supervisors.
(¶þ) Ñ¡¾Ù¶ÀÁ¢¶ÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ¶ÀÁ¢¶ÊÂÈË
ÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ¶ÀÁ¢¶ÊºòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
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.
44
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(Èý) Ñ¡¾Ù·Ç¶ÀÁ¢¶Ê¡¢¼àÊÂʱ£¬Ã¿Î»¹É¶«ÓÐȨȡµÃµÄѡƱÊýµÈÓÚÆäËù³ÖÓÐµÄ¹ÉÆ±Êý³ËÒÔÆäÓÐȨѡ³öµÄ·Ç
¶ÀÁ¢¶Ê¡¢¼àÊÂÈËÊýµÄ³Ë»ýÊý£¬¸ÃƱÊýÖ»ÄÜͶÏò¸Ã¹«Ë¾µÄ·Ç¶ÀÁ¢¶Ê¡¢¼àʺòÑ¡ÈË£¬µÃƱ¶àÕßµ±Ñ¡¡£
During the election of non-independent Directors and supervisors, the number of votes for each
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.
(ËÄ) ÔÚºòÑ¡ÈËÊý¶àÓÚ±¾Õ³̹涨µÄÈËÊýʱ£¬Ã¿Î»¹É¶«Í¶Æ±ËùÑ¡µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý²»
µÃ³¬¹ý±¾Õ³̹涨µÄ¶ÀÁ¢¶Ê¡¢·Ç¶ÀÁ¢¶ÊºͼàʵÄÈËÊý£¬ËùͶѡƱÊýµÄ×ܺͲ»µÃ³¬¹ý¹É¶«ÓÐȨȡ
µÃµÄѡƱÊý£¬·ñÔò¸ÃѡƱ×÷·Ï¡£
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.
(Îå) ¹É¶«´ó»áµÄ¼àƱÈËºÍµãÆ±È˱ØÐëÈÏÕæºË¶ÔÉÏÊöÇé¿ö£¬ÒÔ±£Ö¤ÀÛ»ýͶƱµÄ¹«Õý¡¢ÓÐЧ¡£
counting officers and scrutinizers of the shareholders¡¯ general meeting shall carefully check the
aforesaid circumstances to guarantee fair and effective accumulative voting
µÚÒ»°Ùһʮ°ËÌõ ³ýÀÛ»ýÍ¶Æ±ÖÆÍ⣬¹É¶«´ó»á½«¶ÔËùÓÐÌá°¸½øÐÐÖðÏî±í¾ö£¬¶ÔͬһÊÂÏîÓв»Í¬Ìá°¸µÄ£¬½«
°´Ìá°¸Ìá³öµÄʱ¼ä˳Ðò½øÐбí¾ö¡£³ýÒò²»¿É¿¹Á¦µÈÌØÊâÔÒòµ¼Ö¹ɶ«´ó»áÖÐÖ¹»ò²»ÄÜ×÷³ö¾öÒéÍ⣬¹É¶«´ó
»á½«²»»á¶ÔÌá°¸½øÐиéÖûò²»Óè±í¾ö¡£
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.
µÚÒ»°Ùһʮ¾ÅÌõ ¹É¶«´ó»áÉóÒéÌ᰸ʱ£¬²»»á¶ÔÌá°¸½øÐÐÐ޸쬷ñÔò£¬Óйرä¸üÓ¦µ±±»ÊÓΪһ¸öеÄÌá°¸£¬
²»ÄÜÔÚ±¾´Î¹É¶«´ó»áÉϽøÐбí¾ö¡£
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.
µÚÒ»°Ù¶þÊ®Ìõ ͬһ±í¾öȨֻÄÜÑ¡ÔñÏÖ³¡¡¢ÍøÂç»òÆäËû±í¾ö·½Ê½ÖеÄÒ»ÖÖ¡£Í¬Ò»±í¾öȨ³öÏÖÖØ¸´±í¾öµÄÒÔ
µÚÒ»´ÎͶƱ½á¹ûΪ׼¡£
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.
µÚÒ»°Ù¶þʮһÌõ ¹É¶«´ó»áÒÔÏÖ³¡±í¾öµÄ·½Ê½½øÐÐʱ£¬³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄ
Ïà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓй涨£¬»ò³ý·ÇÏÂÁÐÈËÔ±ÔÚ¾ÙÊÖ±í¾öÒÔǰ»òÕßÒÔºó£¬Òª
ÇóÒÔͶƱ·½Ê½±í¾ö£¬¹É¶«´ó»áÒÔ¾ÙÊÖ·½Ê½½øÐбí¾ö£º
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:
(Ò») »áÒéÖ÷ϯ;
by the chairman of the meeting;
45
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(¶þ) ÖÁÉÙÁ½ÃûÓбí¾öȨµÄ¹É¶«»òÕßÓбí¾öȨµÄ¹É¶«µÄ´úÀíÈË;
by at least two (2) shareholders present in person or by proxy entitled to vote thereat;
(Èý) µ¥¶À»òÕߺϲ¢¼ÆËã³ÖÓÐÔڸûáÒéÉÏÓбí¾öȨµÄ¹É·Ý°Ù·Ö֮ʮÒÔÉÏ (º¬°Ù·Ö֮ʮ) µÄÒ»¸ö»òÕßÈô¸É¹É
¶« (°üÀ¨¹É¶«´úÀíÈË) ¡£
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.
³ý·ÇÌØ±ðÒÀÕÕ¹«Ë¾¹ÉƱÉÏÊеØÖ¤È¯¼à¶½¹ÜÀí»ú¹¹µÄÏà¹Ø¹æ¶¨ÒÔͶƱ·½Ê½½â¾ö£¬»òÆäËû֤ȯ·¨ÂÉ·¨¹æÁíÓйæ
¶¨£¬»òÓÐÈ˰´ÕÕǰÊö¹æ¶¨Ìá³öÒÔͶƱ·½Ê½±í¾ö£¬»áÒéÖ÷ϯ¸ù¾Ý¾ÙÊÖ±í¾öµÄ½á¹û£¬Ðû²¼ÌáÒéͨ¹ýÇé¿ö£¬²¢½«
´Ë¼ÇÔØÔÚ»áÒé¼Ç¼ÖУ¬×÷Ϊ×îÖÕµÄÒÀ¾Ý£¬ÎÞÐëÖ¤Ã÷¸Ã»áÒéͨ¹ýµÄ¾öÒéÖÐÖ§³Ö»òÕß·´¶ÔµÄƱÊý»òÕ߯ä±ÈÀý¡£
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.
ÒÔͶƱ·½Ê½±í¾öµÄÒªÇó¿ÉÒÔÓÉÌá³öÕß³·»Ø¡£
The demand for a poll may be withdrawn by the person who demanded the same.
µÚÒ»°Ù¶þÊ®¶þÌõ Èç¹ûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏîÊÇÑ¡¾ÙÖ÷ϯ»òÕßÖÐÖ¹»áÒ飬ÔòÓ¦µ±Á¢¼´½øÐÐͶƱ±í¾ö; Æä
ËûÒªÇóÒÔͶƱ·½Ê½±í¾öµÄÊÂÏÓÉÖ÷ϯ¾ö¶¨ºÎʱ¾ÙÐÐͶƱ£¬»áÒé¿ÉÒÔ¼ÌÐø½øÐУ¬ÌÖÂÛÆäËûÊÂÏͶƱ½á¹û
ÈÔ±»ÊÓΪÔڸûáÒéÉÏËùͨ¹ýµÄ¾öÒé¡£
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.
µÚÒ»°Ù¶þÊ®ÈýÌõ ÔÚ¹ÉÆ±±í¾öʱ£¬ÓÐÁ½Æ±»òÕßÁ½Æ±ÒÔÉϵıí¾öȨµÄ¹É¶« (°üÀ¨¹É¶«´úÀíÈË) £¬²»±Ø°ÑËùÓбí
¾öȨȫ²¿Í¶ÔÞ³ÉÆ±»òÕß·´¶ÔƱ¡£
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.
µÚÒ»°Ù¶þÊ®ËÄÌõ µ±·´¶ÔºÍÔÞ³ÉÆ±ÏàµÈʱ£¬ÎÞÂÛÊǾÙÊÖ¡¢Í¶Æ±»¹ÊÇÆäËû·½Ê½±í¾ö£¬»áÒéÖ÷ϯÓÐȨ¶àͶһƱ¡£
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.
µÚÒ»°Ù¶þÊ®ÎåÌõ ¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öǰ£¬Ó¦µ±ÍƾÙÁ½Ãû¹É¶«´ú±í²Î¼Ó¼ÆÆ±ºÍ¼àƱ¡£ÉóÒéÊÂÏîÓë¹É¶«
ÓÐÀûº¦¹ØÏµµÄ£¬Ïà¹Ø¹É¶«¼°´úÀíÈ˲»µÃ²Î¼Ó¼ÆÆ±¡¢¼àƱ¡£
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.
¹É¶«´ó»á¶ÔÌá°¸½øÐбí¾öʱ£¬Ó¦µ±ÓÉÂÉʦ¡¢¹É¶«´ú±íÓë¼àÊ´ú±í¹²Í¬¸ºÔð¼ÆÆ±¡¢¼àƱ£¬²¢µ±³¡¹«²¼±í¾ö½á
¹û£¬¾öÒéµÄ±í¾ö½á¹ûÔØÈë»áÒé¼Ç¼¡£
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.
46
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
ͨ¹ýÍøÂç»òÆäËû·½Ê½Í¶Æ±µÄÉÏÊй«Ë¾¹É¶«»òÆä´úÀíÈË£¬ÓÐȨͨ¹ýÏàÓ¦µÄͶƱϵͳ²éÑé×Ô¼ºµÄͶƱ½á¹û¡£
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.
µÚÒ»°Ù¶þÊ®ÁùÌõ ¹É¶«´ó»áÏÖ³¡½áÊøÊ±¼ä²»µÃÔçÓÚÍøÂç»òÆäËû·½Ê½£¬»áÒéÖ÷ϯӦµ±Ðû²¼Ã¿Ò»Ìá°¸µÄ±í¾öÇé
¿öºÍ½á¹û£¬²¢¸ù¾Ý±í¾ö½á¹ûÐû²¼Ìá°¸ÊÇ·ñͨ¹ý¡£
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.
ÔÚÕýʽ¹«²¼±í¾ö½á¹ûǰ£¬¹É¶«´ó»áÏÖ³¡¡¢ÍøÂç¼°ÆäËû±í¾ö·½Ê½ÖÐËùÉæ¼°µÄÉÏÊй«Ë¾¡¢¼ÆÆ±ÈË¡¢¼àƱÈË¡¢Ö÷
Òª¹É¶«¡¢ÍøÂç·þÎñ·½µÈÏà¹Ø¸÷·½¶Ô±í¾öÇé¿ö¾ù¸ºÓб£ÃÜÒåÎñ¡£
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.
µÚÒ»°Ù¶þÊ®ÆßÌõ ³öϯ¹É¶«´ó»áµÄ¹É¶«£¬Ó¦µ±¶ÔÌá½»±í¾öµÄÌá°¸·¢±íÒÔÏÂÒâ¼ûÖ®Ò»£ºÍ¬Òâ¡¢·´¶Ô»òÆúȨ¡£
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.
δÌî¡¢´íÌî¡¢×Ö¼£ÎÞ·¨±æÈϵıí¾öƱ¡¢Î´Í¶µÄ±í¾öƱ¾ùÊÓΪͶƱÈË·ÅÆú±í¾öȨÀû£¬ÆäËù³Ö¹É·ÝÊýµÄ±í¾ö½á
¹ûÓ¦¼ÆÎª¡°ÆúȨ¡±¡£
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¡±.
Èç¸ù¾ÝÊÊÓõķ¨ÂÉ·¨¹æ¼°¹«Ë¾¹ÉƱÉÏÊеĽ»Ò×ËùµÄÉÏÊйæÔò¹æ¶¨£¬Èκιɶ«Ðë¾ÍijÒé°¸·ÅÆú±í¾öȨ£¬»òÏÞ
ÖÆÈκιɶ«Ö»Äܹ»Í¶Æ±ÔÞ³É (»ò·´¶Ô) ijÒé°¸£¬ÈçÓÐÈκÎÎ¥·´Ïà¹Ø¹æ¶¨»òÏÞÖÆµÄÇé¿ö£¬Óɸõȹɶ«»òÆä´ú
±íͶÏÂµÄÆ±Êý²»µÃ¼ÆËãÔÚÄÚ¡£
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.
µÚÒ»°Ù¶þÊ®°ËÌõ »áÒéÖ÷ϯÈç¹û¶ÔÌá½»±í¾öµÄ¾öÒé½á¹ûÓÐÈκλ³ÒÉ£¬¿ÉÒÔ¶ÔËùͶƱÊý×éÖ¯µãƱ; Èç¹û»áÒéÖ÷
ϯδ½øÐÐµãÆ±£¬³öϯ»áÒéµÄ¹É¶«»òÕ߹ɶ«´úÀíÈ˶ԻáÒéÖ÷ϯÐû²¼½á¹ûÓÐÒìÒéµÄ£¬ÓÐȨÔÚÐû²¼±í¾ö½á¹ûºóÁ¢
¼´ÒªÇóµãƱ£¬»áÒéÖ÷ϯӦµ±Á¢¼´×éÖ¯µãƱ¡£¹É¶«´ó»áÈç¹û½øÐÐµãÆ±£¬µãƱ½á¹ûÓ¦µ±¼ÇÈë»áÒé¼Ç¼¡£
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.
µÚÒ»°Ù¶þÊ®¾ÅÌõ »áÒé¼Ç¼Á¬Í¬³öϯ¹É¶«µÄÇ©Ãû²¾¼°´úÀí³öϯµÄίÍÐÊ飬Ӧµ±ÔÚ¹«Ë¾×¡Ëù±£´æ¡£
Article 129 The minutes, shareholders¡¯ attendance lists and proxy forms shall be kept at the Company's
place of residence.
µÚÒ»°ÙÈýÊ®Ìõ ¹É¶«¿ÉÒÔÔÚ¹«Ë¾°ì¹«Ê±¼äÃâ·Ñ²éÔÄ»áÒé¼Ç¼¸´Ó¡¼þ¡£Èκιɶ«Ïò¹«Ë¾Ë÷È¡ÓйػáÒé¼Ç¼µÄ
¸´Ó¡¼þ£¬¹«Ë¾Ó¦µ±ÔÚÊÕµ½ºÏÀí·ÑÓúóÆßÈÕÄڰѸ´Ó¡¼þËͳö¡£
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
47
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÈýʮһÌõ ¹É¶«´ó»á¾öÒéÓ¦µ±¼°Ê±¹«¸æ£¬¹«¸æÖÐÓ¦ÁÐÃ÷³öϯ»áÒéµÄ¹É¶« (°üÀ¨Æä´úÀíÈË) ÈËÊý¡¢Ëù³Ö
Óбí¾öȨµÄ¹É·Ý×ÜÊý¼°Õ¼¹«Ë¾Óбí¾öȨ¹É·Ý×ÜÊýµÄ±ÈÀý¡¢±í¾ö·½Ê½¡¢Ã¿ÏîÌá°¸µÄ±í¾ö½á¹ûºÍͨ¹ýµÄ¸÷Ïî¾ö
ÒéµÄÏêϸÄÚÈÝ¡£
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.
¹«¸æ»¹Ó¦µ±°üÀ¨(i)ʹÆä³ÖÓÐÈËÓÐȨ³öϯ´ó»á²¢ÓÚ»áÉϱí¾öÔ޳ɻò·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (ii)ʹÆä³ÖÓÐÈËÓÐ
Ȩ³öϯ´ó»áµ«Ö»¿ÉÓÚ»áÉϱí¾ö·´¶Ô¾öÒé°¸µÄ¹É·Ý×ÜÊý; (iii) ÓйؾöÒ鰸ʵ¼ÊËùµÃÔ޳ɼ°·´¶ÔƱÊýËù·Ö±ð´ú
±íµÄ¹ÉÊý¡£¶øÇÒ£¬¹«Ë¾²¢ÐëÔÚ¹«¸æÖÐÈ·ÈÏÄÇÐ©Ôø±íʾ´òËã±í¾ö·´¶ÔÓйؾöÒé°¸»ò·ÅÆú±í¾öȨµÄÈËÊ¿Ôڹɶ«
´ó»áÉÏÊÇ·ñȷʵ°´¶øÐÐÊ¡£
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).
µÚÒ»°ÙÈýÊ®¶þÌõ Ì᰸δ»ñͨ¹ý£¬»òÕß±¾´Î¹É¶«´ó»á±ä¸üǰ´Î¹É¶«´ó»á¾öÒéµÄ£¬Ó¦µ±Ôڹɶ«´ó»á¾öÒ鹫¸æ
ÖÐ×÷ÌØ±ðÌáʾ¡£
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.
µÚÒ»°ÙÈýÊ®ÈýÌõ ¹É¶«´ó»áͨ¹ýÓйضÊ¡¢¼àÊÂÑ¡¾ÙÌá°¸µÄ£¬ÐÂÈζÊ¡¢¼àÊÂÔÚ»áÒé½áÊøÖ®ºóÁ¢¼´¾ÍÈΡ£
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.
µÚÒ»°ÙÈýÊ®ËÄÌõ ¹É¶«´ó»áͨ¹ýÓйØÅÉÏÖ¡¢Ë͹ɻò×ʱ¾¹«»ýתÔö¹É±¾Ìá°¸µÄ£¬¹«Ë¾½«Ôڹɶ«´ó»á½áÊøºó 2 ¸ö
ÔÂÄÚʵʩ¾ßÌå·½°¸¡£
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.
µÚÆß½Ú Àà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò
Section 7 Special Procedures for Voting by Class Shareholders
µÚÒ»°ÙÈýÊ®ÎåÌõ ³ÖÓв»Í¬ÖÖÀà¹É·ÝµÄ¹É¶«£¬ÎªÀà±ð¹É¶«¡£
Article 135 Those shareholders who hold different classes of shares are class shareholders.
Àà±ð¹É¶«ÒÀ¾Ý·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ¹«Ë¾Õ³̵Ĺ涨£¬ÏíÓÐȨÀûºÍ³Ðµ£ÒåÎñ¡£
Class shareholders shall enjoy rights and assume obligations in accordance with law, administrative
regulation and the Company¡¯s Articles of Association.
µÚÒ»°ÙÈýÊ®ÁùÌõ ¹«Ë¾Äâ±ä¸ü»òÕ߷ϳýÀà±ð¹É¶«µÄȨÀû£¬Ó¦µ±¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéͨ¹ýºÍ¾ÊÜÓ°ÏìµÄÀà
±ð¹É¶«ÔÚ°´µÚÒ»°ÙÈýÊ®°ËÌõÖÁµÚÒ»°ÙËÄÊ®¶þÌõ·Ö±ðÕÙ¼¯µÄ¹É¶«»áÒéÉÏͨ¹ý£¬·½¿É½øÐС£
Article 136 Rights conferred on any class of shareholders may not be varied or abrogated save with the
48
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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.
µÚÒ»°ÙÈýÊ®ÆßÌõ ÏÂÁÐÇéÐÎÓ¦µ±ÊÓΪ±ä¸ü»òÕ߷ϳýijÀà±ð¹É¶«µÄȨÀû£º
Article 137 The following circumstances shall be deemed to be variation or abrogation of the rights
attaching to a particular class of shares:
(Ò») Ôö¼Ó»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝµÄÊýÄ¿£¬»òÕßÔö¼Ó»ò¼õÉÙÓë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶àµÄ±í¾öȨ¡¢·ÖÅä
Ȩ¡¢ÆäËûÌØÈ¨µÄÀà±ð¹É·ÝµÄÊýÄ¿£»
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;
(¶þ) ½«¸ÃÀà±ð¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷ÆäËûÀà±ð£¬»òÕß½«ÁíÒ»Àà±ðµÄ¹É·ÝµÄÈ«²¿»òÕß²¿·Ö»»×÷¸ÃÀà±ð¹É
·Ý»òÕßÊÚÓè¸ÃµÈת»»È¨£»
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;
(Èý) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеġ¢È¡µÃÒѲúÉúµÄ¹ÉÀû»òÕßÀÛ»ý¹ÉÀûµÄȨÀû£»
to remove or reduce rights to accrued dividends or rights to cumulative dividends attached to
shares of that class;
(ËÄ) ¼õÉÙ»òÕßÈ¡Ïû¸ÃÀà±ð¹É·ÝËù¾ßÓеÄÓÅÏÈÈ¡µÃ¹ÉÀû»òÕßÔÚ¹«Ë¾ÇåËãÖÐÓÅÏÈÈ¡µÃ²Æ²ú·ÖÅäµÄȨÀû£»
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;
(Îå) Ôö¼Ó¡¢È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеÄת»»¹É·ÝȨ¡¢Ñ¡ÔñȨ¡¢±í¾öȨ¡¢×ªÈÃȨ¡¢ÓÅÏÈÅäÊÛȨ¡¢È¡
µÃ¹«Ë¾Ö¤È¯µÄȨÀû£»
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;
(Áù) È¡Ïû»òÕß¼õÉÙ¸ÃÀà±ð¹É·ÝËù¾ßÓеģ¬ÒÔÌØ¶¨»õ±ÒÊÕÈ¡¹«Ë¾Ó¦¸¶¿îÏîµÄȨÀû£»
to remove or reduce rights to receive payment payable by the Company in particular currencies
attached to shares of that class;
(Æß) ÉèÁ¢Óë¸ÃÀà±ð¹É·ÝÏíÓÐͬµÈ»òÕ߸ü¶à±í¾öȨ¡¢·ÖÅäȨ»òÕ߯äËûÌØÈ¨µÄÐÂÀà±ð£»
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;
(°Ë) ¶Ô¸ÃÀà±ð¹É·ÝµÄתÈûòËùÓÐȨ¼ÓÒÔÏÞÖÆ»òÕßÔö¼Ó¸ÃµÈÏÞÖÆ£»
to restrict the transfer or ownership of shares of that class or to increase the types of restrictions
attaching thereto;
(¾Å) ·¢ÐиÃÀà±ð»òÕßÁíÒ»Àà±ðµÄ¹É·ÝÈϹºÈ¨»òÕßת»»¹É·ÝµÄȨÀû£»
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;
(Ê®) Ôö¼ÓÆäËûÀà±ð¹É·ÝµÄȨÀûºÍÌØÈ¨£»
to increase the rights or privileges of shares of another class;
(ʮһ) ¹«Ë¾¸Ä×é·½°¸»á¹¹³É²»Í¬Àà±ð¹É¶«ÔÚ¸Ä×éÖв»°´±ÈÀýµØ³Ðµ£ÔðÈΣ»
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
(Ê®¶þ) Ð޸ĻòÕ߷ϳý±¾ÕÂËù¹æ¶¨µÄÌõ¿î¡£
to vary or abrogate the provisions of this Chapter.
49
Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾ ¹«Ë¾Õ³Ì
Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙÈýÊ®°ËÌõ ÊÜÓ°ÏìµÄÀà±ð¹É¶«£¬ÎÞÂÛÔÀ´Ôڹɶ«´ó»áÉÏÊÇ·ñÓбí¾öȨ£¬ÔÚÉæ¼°µÚÒ»°ÙÈýÊ®ÆßÌõ£¨¶þ£©
ÖÁ£¨°Ë£©¡¢£¨Ê®Ò»£©ÖÁ£¨Ê®¶þ£©ÏîµÄÊÂÏîʱ£¬ÔÚÀà±ð¹É¶«»áÉϾßÓбí¾öȨ£¬µ«ÓÐÀûº¦¹ØÏµµÄ¹É¶«ÔÚÀà±ð¹É¶«
»áÉÏûÓбí¾öȨ¡£
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.
ǰ¿îËùÊöÓÐÀûº¦¹ØÏµ¹É¶«µÄº¬ÒåÈçÏ£º
¡°(An) interested shareholder(s)¡±, as such term is used in the preceding paragraph, means:
(Ò») ÔÚ¹«Ë¾°´±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÏòÈ«Ìå¹É¶«°´ÕÕÏàͬ±ÈÀý·¢³ö¹º»ØÒªÔ¼»òÕßÔÚ֤ȯ½»Ò×Ëùͨ¹ý¹«
¿ª½»Ò×·½Ê½¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹ØÏµµÄ¹É¶«¡±ÊÇÖ¸±¾Õ³ÌËù¶¨ÒåµÄ¿Ø¹É¹É¶«£»
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;
(¶þ) ÔÚ¹«Ë¾°´ÕÕ±¾Õ³̵ÚÈýʮһÌõµÄ¹æ¶¨ÔÚ֤ȯ½»Ò×ËùÍâÒÔÐÒ鷽ʽ¹º»Ø×Ô¼º¹É·ÝµÄÇé¿öÏ£¬¡°ÓÐÀûº¦¹Ø
ϵµÄ¹É¶«¡±ÊÇÖ¸Óë¸ÃÐÒéÓйصĹɶ«£»
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;
(Èý) ÔÚ¹«Ë¾¸Ä×é·½°¸ÖУ¬¡°ÓÐÀûº¦¹ØÏµ¹É¶«¡±ÊÇÖ¸ÒÔµÍÓÚ±¾Àà±ðÆäËû¹É¶«µÄ±ÈÀý³Ðµ£ÔðÈεĹɶ«»òÕßÓë¸ÃÀà
±ðÖÐµÄÆäËû¹É¶«ÓµÓв»Í¬ÀûÒæµÄ¹É¶«¡£
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.
µÚÒ»°ÙÈýÊ®¾ÅÌõ Àà±ð¹É¶«»áµÄ¾öÒ飬Ӧµ±¾¸ù¾ÝµÚÒ»°ÙÈýÊ®°ËÌõÓɳöϯÀà±ð¹É¶«»áÒéµÄÓбí¾öȨµÄÈý·Ö
Ö®¶þÒÔÉϵĹÉȨ±í¾öͨ¹ý£¬·½¿É×÷³ö¡£
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.
µÚÒ»°ÙËÄÊ®Ìõ ¹«Ë¾ÕÙ¿ªÀà±ð¹É¶«»áÒ飬Ӧµ±ÓÚ»áÒéÕÙ¿ªËÄÊ®ÎåÈÕǰ·¢³öÊéÃæÍ¨Öª£¬½«»áÒéÄâÉóÒéµÄÊÂÏî
ÒÔ¼°¿ª»áÈÕÆÚºÍµØµã¸æÖªËùÓиÃÀà±ð¹É·ÝµÄÔÚ²á¹É¶«¡£Äâ³öϯ»áÒéµÄ¹É¶«£¬Ó¦µ±ÓÚ»áÒéÕÙ¿ª¶þÊ®ÈÕǰ£¬½«
³öϯ»áÒéµÄÊéÃæ»Ø¸´Ëʹ﹫˾¡£
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.
Äâ³öϯ»áÒéµÄ¹É¶«Ëù´ú±íµÄÔڸûáÒéÉÏÓбí¾öȨµÄ¹É·ÝÊý£¬´ïµ½ÔڸûáÒéÉÏÓбí¾öȨµÄ¸ÃÀà±ð¹É·Ý×ÜÊý¶þ
·ÖÖ®Ò»ÒÔÉϵ쬹«Ë¾¿ÉÒÔÕÙ¿ªÀà±ð¹É¶«»áÒ飻´ï²»µ½µÄ£¬¹«Ë¾Ó¦µ±ÔÚÎåÈÕÄÚ½«»áÒéÄâÉóÒéµÄÊÂÏî¡¢¿ª»áÈÕ
ÆÚºÍµØµãÒÔ¹«¸æ»ò±¾Õ³̹涨µÄÆäËûÐÎʽ£¨ÈçÐèÒª£©ÔÙ´Î֪ͨ¹É¶«£¬¾¹«¸æ»ò±¾Õ³̹涨µÄÆäËûÐÎʽ£¨Èç
ÐèÒª£©Í¨Öª£¬¹«Ë¾¿ÉÒÔÕÙ¿ªÀà±ð¹É¶«»áÒ飬ΩÈκÎΪ¿¼ÂǸü¸ÄÈκÎÀà±ð¹É·ÝµÄȨÀû¶ø¾ÙÐеÄij¸öÀà±ð¹É¶«
»áÒ飨µ«²»°üÀ¨Ðø»á£©ËùÐèµÄ·¨¶¨ÈËÊý±ØÐëÊǸÃÀà±ðµÄÒÑ·¢ÐйɷÝÖÁÉÙÈý·ÖÖ®Ò»µÄ³ÖÓÐÈË¡£
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
50
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
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
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.
µÚÒ»°ÙËÄʮһÌõ Àà±ð¹É¶«»áÒéµÄֻ֪ͨÐëË͸øÓÐȨÔڸûáÒéÉϱí¾öµÄ¹É¶«¡£
Article 141 Notice of class meetings need only be served on shareholders entitled to vote thereat.
Àà±ð¹É¶«»áÒéÓ¦µ±ÒÔÓë¹É¶«´ó»á¾¡¿ÉÄÜÏàͬµÄ³ÌÐò¾ÙÐУ¬¹«Ë¾Õ³ÌÖÐÓйعɶ«´ó»á¾ÙÐгÌÐòµÄÌõ¿îÊÊÓÃÓÚ
Àà±ð¹É¶«»áÒé¡£
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.
µÚÒ»°ÙËÄÊ®¶þÌõ ³ýÆäËûÀà±ð¹É·Ý¹É¶«Í⣬ÄÚ×ʹɹɶ«ºÍ¾³ÍâÉÏÊÐÍâ×ʹɹɶ«ÊÓΪ²»Í¬Àà±ð¹É¶«¡£
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.
ÏÂÁÐÇéÐβ»ÊÊÓÃÀà±ð¹É¶«±í¾öµÄÌØ±ð³ÌÐò£º£¨Ò»£©¾¹É¶«´ó»áÒÔÌØ±ð¾öÒéÅú×¼£¬¹«Ë¾Ã¿¼ä¸ôÊ®¶þ¸öÔµ¥¶À
»òÕßͬʱ·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɣ¬²¢ÇÒÄâ·¢ÐеÄÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵÄÊýÁ¿¸÷×Ô²»³¬¹ý¸ÃÀàÒÑ
·¢ÐÐÔÚÍâ¹É·ÝµÄ°Ù·ÖÖ®¶þÊ®µÄ£»£¨¶þ£©¹«Ë¾ÉèÁ¢Ê±·¢ÐÐÄÚ×ʹɡ¢¾³ÍâÉÏÊÐÍâ×ʹɵļƻ®£¬×ÔÖйú֤ȯ¼à¶½
¹ÜÀí»ú¹¹Åú×¼Ö®ÈÕÆðÊ®Îå¸öÔÂÄÚÍê³ÉµÄ£»»ò£¨Èý£©±¾Õ³̵ÚÊ®°ËÌõËùÊöµÄ¾Öйú֤ȯ¼à¶½¹ÜÀí»ú¹¹ºË×¼£¬
¹«Ë¾ÄÚ×ʹɹɶ«½«Ëù³Ö¹É·ÝתÈøø¾³ÍâͶ×ÊÈË£¬²¢ÔÚ¾³Íâ֤ȯ½»Ò×ËùÉÏÊн»Òס£
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
.
51
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÆßÕ µ³½¨¹¤×÷
Chapter 7 The Party Committee
µÚÒ»°ÙËÄÊ®ÈýÌõ¸ù¾Ý¡¶µ³Õ¡·¹æ¶¨£¬ÉèÁ¢Öйú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾Î¯Ô±»á£¨¼ò³Æ¡¸¹«Ë¾
µ³Î¯¡¹£©£¬¿ªÕ¹µ³µÄ»î¶¯¡£µ³Î¯·¢»ÓÁìµ¼ºËÐĺÍÕþÖκËÐÄ×÷Ó㬰ѷ½Ïò¡¢¹Ü´ó¾Ö¡¢±£Âäʵ¡£
Article 143 In accordance with the Party Constitution, the Company set up a committee of Zhengzhou
Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the ¡°Party Committee¡±) to
engage in activities of the Party. The Party Committee shall play a core role in leadership and politics,
and shall carry out the works by providing direction, managing the overall situation and ensuring
implementation.
µÚÒ»°ÙËÄÊ®ËÄÌõ¹«Ë¾Ö°¹¤ÒÀÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·×éÖ¯¹¤»á£¬¿ªÕ¹¹¤»á»î¶¯£¬Î¬»¤Ö°¹¤ºÏ·¨È¨Òæ¡£
¹¤»á×éÖ¯¸ºÔðÈËÓÉÉϼ¶µ³×éÖ¯ÍÆ¼ö£¬²¢°´ÕÕ¡¶ÖлªÈËÃñ¹²ºÍ¹ú¹¤»á·¨¡·µÈÓйع涨ѡ¾Ù»òÈÎÃü²úÉú¡£¹«Ë¾
Ϊ¹¤»áÌṩ±ØÒªµÄ»î¶¯Ìõ¼þ¡£
Article 144 In accordance with the Trade Union Law of the People¡¯s Republic of China, the employees
of the Company form a trade union for organization of union activities and protection of the legitimate
rights of the employees. The person(s) in charge of the trade union organization shall be recommended
by a superior Party organization and be elected and appointed in accordance with relevant requirements
including the Trade Union Law of the People¡¯s Republic of China. The Company shall provide necessary
convenience for the trade union to organize activities.
µÚÒ»°ÙËÄÊ®ÎåÌõ¹«Ë¾µ³Î¯ÉèÊé¼Ç 1 Ãû£¬°´ÕÕÉϼ¶µ³×éÖ¯Åú¸²ÉèÖÃÆäËûµ³Î¯³ÉÔ±¡£Í¬Ê±£¬¹«Ë¾°´¹æ¶¨ÉèÁ¢ÖÐ
¹ú¹²²úµ³Ö£ÖÝú¿ó»úе¼¯ÍŹɷÝÓÐÏÞ¹«Ë¾¼ÍÂɼì²éίԱ»á(¼ò³Æ¡¸¹«Ë¾¼Íί¡¹)¡£µ³Î¯Êé¼Ç¡¢¼ÍίÊé¼Ç°´ÕÕ
¡¶µ³Õ¡·µÈ¹æ¶¨Ñ¡¾Ù»òÈÎÃü²úÉú¡£
Article 145 The Party Committee of the Company shall have one secretary. Other members of the Party
Committee shall be appointed upon approval by a superior Party organization. Meanwhile, in
accordance with relevant requirements, the Company shall establish a disciplinary inspection committee
of Zhengzhou Coal Mining Machinery (Group) Co., Ltd. under the Communist Party of China (the
¡°Disciplinary Committee¡±). The respective secretaries to the Party Committee and the Disciplinary
Committee shall be elected or appointed in accordance with relevant requirements including the Party
Constitution.
µÚÒ»°ÙËÄÊ®ÁùÌõµ³×éÖ¯»ú¹¹ÉèÖü°ÆäÈËÔ±±àÖÆÄÉÈ빫˾¹ÜÀí»ú¹¹ºÍ±àÖÆ£¬µ³×éÖ¯¹¤×÷¾·ÑÄÉÈ빫˾ԤË㣬
´Ó¹«Ë¾¹ÜÀí·ÑÖÐÁÐÖ§¡£
Article 146 The establishment of Party organization and its staff arrangements shall become part of the
management structure and staff arrangements of the Company. The funding for such Party organization
shall be included in the Company¡¯s budget and disbursed from the Company¡¯s management costs.
µÚÒ»°ÙËÄÊ®ÆßÌõ¹«Ë¾µ³×éÖ¯°´ÕÕ¡¶Öйú¹²²úµ³»ù²ã×é֯ѡ¾Ù¹¤×÷ÔÝÐÐÌõÀý¡·ÒªÇó¶¨ÆÚ½øÐл»½ìÑ¡¾Ù¡£
Article 147 The Party organization of the Company shall conduct regular re-election pursuant to the
requirements under the Interim Provisions for the Election of Primary-Level Organizations of the
Communist Party of China.
52
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚÒ»°ÙËÄÊ®°ËÌõ¹«Ë¾¼á³ÖºÍÍêÉÆ¡¸Ë«Ïò½øÈë¡¢½»²æÈÎÖ°¡¹µÄÁìµ¼ÌåÖÆ£¬·ûºÏÌõ¼þµÄµ³×éÖ¯Áìµ¼°à×Ó³ÉÔ±¿É
ÒÔͨ¹ý·¨¶¨³ÌÐò½øÈë¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã£¬¶Ê»ᡢ¼àÊ»ᡢ¾Àí²ã³ÉÔ±ÖзûºÏÌõ¼þµÄµ³Ô±¿ÉÒÔÒÀÕÕ
Óйع涨ºÍ³ÌÐò½øÈëµ³×éÖ¯Áìµ¼°à×Ó¡£
Article 148 The Company adheres to and keeps enhancing the leadership system of ¡°Dual Entry and
Cross Appointment¡±. Eligible members of the Party organization leadership may be appointed to the
Board of Directors, the Board of Supervisors and the management through legal procedures; eligible
Party members of the Board of Directors, the Board of Supervisors and the management may be
appointed to the leadership of the Party organization based on relevant regulations and procedures.
µÚÒ»°ÙËÄÊ®¾ÅÌõ¹«Ë¾µ³Î¯¶Ô¶Ê»ᡢ¾Àí²ãÄâ¾ö²ßµÄ¡¸ÈýÖØÒ»´ó¡¹µÈÖØ´óÎÊÌⰴǰÖóÌÐòÏÈÐÐÉóÒ飬ÌÖÂÛ
ͨ¹ýºó£¬ÔÙÓɶÊ»á»ò¾Àí²ãÉóÒé×÷³ö¾ö¶¨¡£
Article 149 The Party Committee of the Company shall, in advance, consider major matters such as
those classified as ¡°Three Importance and One Greatness¡± to be decided upon by the Board of Directors
and the management. After discussion and approval by the Party Committee, such matters can be
considered and decided upon by the Board of Directors or the management.
µÚÒ»°ÙÎåÊ®Ìõµ³×éÖ¯ÔÚ¹«Ë¾Áìµ¼ÈËԱѡ°ÎÈÎÓá¢ÅàÑø½ÌÓý¡¢¹ÜÀí¼à¶½ÖиºÓп¼ºË¡¢¼à¶½µÈÔðÈΣ¬Ö§³Ö¶ÊÂ
»áÒÀ·¨Ñ¡Ôñ¾Óª¹ÜÀíÕß¡¢¾Óª¹ÜÀíÕßÒÀ·¨ÐÐʹÓÃÈËȨ£¬¼á¾ö·ÀÖ¹ºÍÕûÖÎÑ¡ÈËÓÃÈËÖеIJ»ÕýÖ®·ç¡£
Article 150 The Party organization shall be responsible for evaluating and overseeing the selection and
appointment, training and development, as well as management and supervision of the members of the
leadership of the Company. It shall support the Board of Directors in selecting operating managers
according to the law, support the operating managers in exercising their right of staff deployment
according to the law, and adhere to preventing and rectifying wrongful behaviours in the selection and
deployment of staff.
µÚÒ»°ÙÎåʮһÌõÇÐʵÂäʵ¹«Ë¾·´¸¯³«Á®¡¸Á½¸öÔðÈΡ¹¡£µ³Î¯ÒªÇÐʵÂÄÐкÃÖ÷ÌåÔðÈΣ¬¼ÍίҪÂÄÐкüලÔð
ÈΡ£¼ÓÇ¿µ³ÐÔ½ÌÓý¡¢·¨ÖνÌÓý¡¢¾¯Ê¾½ÌÓý£¬Òýµ¼¹«Ë¾¸÷¼¶Áìµ¼ÈËÔ±¼á¶¨ÀíÏëÐÅÄ×Ô¾õ¼ùÐС¸ÈýÑÏÈýʵ¡¹
ÒªÇó£¬ÕýÈ·ÂÄÖ°ÐÐȨ¡£
Article 151 The ¡°Dual Duties¡± of anti-corruption and clean-handedness shall be strictly performed. The
Party Committee shall perform its principle responsibilities while the Disciplinary Committee shall
perform its duties of supervision. Education on Party regulations, education on rule of law and cautionary
education shall be strengthened to guide leaders of the Company at all levels in their adherence and
faithfulness to the ideals, in their implementation of the ¡°Three Strictness plus Honesty, Practicality and
Pragmatism¡±, and in their rightful discharge of duties and exercise of power.
53
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
µÚ°ËÕ ¶Ê»á
Chapter 8 Board of Directors
µÚÒ»½Ú ¶ ÊÂ
Section 1 Directors
µÚÒ»°ÙÎåÊ®¶þÌõ ¹«Ë¾¶ÊÂΪ×ÔÈ»ÈË¡£¶ÊÂÎÞÐè³ÖÓй«Ë¾¹É·Ý¡£
Article 152 Directors of the Company are natural persons. It is unnecessary for Directors to hold shares
of the Company.
Î¥·´±¾Õ¹涨ѡ¾Ù¡¢Î¯ÅɶÊµģ¬¸ÃÑ¡¾Ù¡¢Î¯ÅÉ»òÕ߯¸ÈÎÎÞЧ¡£¶ÊÂÔÚÈÎÖ°ÆÚ¼ä³öÏÖµÚ¶þ°Ù¶þÊ®ÎåÌõÇéÐÎ
µÄ£¬¹«Ë¾½â³ýÆäÖ°Îñ¡£
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 225 occurs during the term of office of a Director, the Company shall remove him.
µÚÒ»°ÙÎåÊ®ÈýÌõ ¶ÊÂÓɹɶ«´ó»áÑ¡¾Ù»ò¸ü»»£¬ÈÎÆÚ 3 Äê¡£ÓйØÌáÃû¶ÊºòÑ¡È˵ÄÒâͼÒÔ¼°ºòÑ¡È˱íÃ÷Ô¸
Òâ½ÓÊÜÌáÃûµÄÊéÃæÍ¨Öª£¬Ó¦µ±ÔÚÓйعɶ«´ó»á֪ͨ·¢³öºóÖÁ¹É¶«´ó»áÕÙ¿ªÆßÌìǰµÄÆÚ¼äÄÚ·¢¸ø¹«Ë¾£¬¶ø¸Ã
ÆÚ¼ä²»ÉÙÓÚÆßÌì¡£¶ÊÂÈÎÆÚ½ìÂú£¬¿ÉÁ¬Ñ¡Á¬ÈΡ£¶ÊÂÔÚÈÎÆÚ½ìÂúÒÔǰ£¬¹É¶«´ó»á²»ÄÜÎ޹ʽâ³ýÆäÖ°Îñ¡£¹É
¶«´ó»áÔÚ×ñÊØÓйط¨ÂÉ¡¢ÐÐÕþ·¨¹æ¹æ¶¨µÄǰÌáÏ£¬¿ÉÒÔÒÔÆÕͨ¾öÒéµÄ·½Ê½½«ÈκÎÈÎÆÚδ½ìÂúµÄ¶Ê°ÕÃ⣨µ«
ÒÀ¾ÝÈκκÏͬ¿ÉÌá³öµÄË÷³¥ÒªÇó²»ÊÜ´ËÓ°Ï죩¡£
Article 153 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).
¶ÊÂÈÎÆÚ´Ó¾ÍÈÎÖ®ÈÕÆð¼ÆË㣬ÖÁ±¾½ì¶Ê»áÈÎÆÚ½ìÂúʱΪֹ¡£¶ÊÂÈÎÆÚ½ìÂúδ¼°Ê±¸ÄÑ¡£¬ÔÚ¸ÄÑ¡³öµÄ¶ÊÂ
¾ÍÈÎǰ£¬Ô¶ÊÂÈÔÓ¦µ±ÒÀÕÕ·¨ÂÉ¡¢ÐÐÕþ·¨¹æ¡¢²¿ÃŹæÕºͱ¾Õ³̵Ĺ涨£¬ÂÄÐжÊÂÖ°Îñ¡£
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.
¶Ê¿ÉÒÔÓÉ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±¼æÈΣ¬µ«¼æÈÎ×ܾÀí»òÕ߯äËû¸ß¼¶¹ÜÀíÈËÔ±Ö°ÎñµÄ¶ÊÂÒÔ¼°ÓÉÖ°
¹¤´ú±íµ£ÈεĶÊ£¬×ܼƲ»Äܳ¬¹ý¹«Ë¾¶ÊÂ×ÜÊýµÄ 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.
±¾¹«Ë¾¶Ê»᲻ÉèÓÉÖ°¹¤´ú±íµ£ÈεĶÊ¡£¶ÊµÄѡƸ³ÌÐòÈçÏ£º
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:
(Ò») °´±¾Õ³̵ÚÒ»°ÙһʮÁùÌõµÄ¹æ¶¨ÌáÃû¶ÊºòÑ¡ÈË£»
to nominate a candidate for Directorship subject to article 116 of the Company¡¯s Articles of
54
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
Association;
(¶þ) ¹«Ë¾Ôڹɶ«´ó»áÕÙ¿ªÇ°ÒÔ¹«¸æµÄÐÎʽÅû¶¶ÊºòÑ¡È˵ÄÏêϸ×ÊÁÏ£¬±£Ö¤¹É¶«ÔÚͶƱʱ¶ÔºòÑ¡ÈËÓÐ×ã
¹»µÄÁ˽⣻
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;
(Èý) ¶ÊºòÑ¡ÈËÔڹɶ«´ó»áÕÙ¿ªÖ®Ç°×÷³öÊéÃæ³Ðŵ£¬Í¬Òâ½ÓÊÜÌáÃû£¬³Ðŵ¹«¿ªÅû¶µÄ¶ÊºòÑ¡È˵Ä×ÊÁÏ
ÕæÊµ¡¢ÍêÕû²¢±£Ö¤µ±Ñ¡ºóÇÐʵÂÄÐжÊÂÖ°Ôð£»
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;
(ËÄ) °´±¾Õ³̵ÚÒ»°ÙһʮÆßÌõµÄ¹æ¶¨¶Ô¶ÊºòÑ¡ÈËÃûµ¥½øÐбí¾ö£»
to vote with respect of the list of Director candidates according to article 117 of the Company¡¯s
Articles of Association; and
(Îå) ¶Êµ±Ñ¡ºó£¬¹«Ë¾ÓëÆäÇ©¶©Æ¸ÈκÏͬ¡£
to enter into a contract of employment with the Director after his election.
µÚÒ»°ÙÎåÊ®ËÄÌõ ¶ÊÂÓ¦µ±×ñÊØ·¨ÂÉ¡¢ÐÐÕþ·¨¹æºÍ±¾Õ³̣¬¶Ô¹«Ë¾¸ºÓÐÏÂÁÐÖÒʵÒåÎñ£º
Article 154 Directors shall observe laws, administrative regulations and the Company¡¯s Articles of
Association and shall assume the following duties of loyalty to the Company:
(Ò») ²»µÃÀûÓÃְȨÊÕÊܻ߸»òÕ߯äËû·Ç·¨ÊÕÈ룬²»µÃÇÖÕ¼¹«Ë¾µÄ²Æ²ú£»
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;
(¶þ) ²»µÃŲÓù«Ë¾×ʽð£»
not to misappropriate the funds of the Company;
(Èý) ²»µÃ½«¹«Ë¾×ʲú»òÕß×ʽðÒÔÆä¸öÈËÃûÒå»òÕ߯äËû¸öÈËÃûÒ忪Á¢ÕË»§´æ´¢£»
not to open accounts in his own or another individual's name for deposit of the Company¡¯s assets
or funds;
(ËÄ) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨£¬Î´¾¹É¶«´ó»á»ò¶Ê»áͬÒ⣬½«¹«Ë¾×ʽð½è´û¸øËûÈË»òÕßÒÔ¹«Ë¾²Æ²úΪËû
ÈËÌṩµ£±££»
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;
(Îå) ²»µÃÎ¥·´±¾Õ³̵Ĺ涨»òδ¾¹É¶«´ó»áͬÒ⣬Óë±¾¹«Ë¾¶©Á¢ºÏͬ»òÕß½øÐн»Ò×£»
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;
(Áù) δ¾¹É¶«´ó»áͬÒ⣬²»µÃÀûÓÃÖ°Îñ±ãÀû£¬Îª×Ô¼º»òËûÈËıȡ±¾Ó¦ÊôÓÚ¹«Ë¾µÄÉÌÒµ»ú»á£¬×ÔÓª»òÕßΪ
ËûÈ˾ӪÓë±¾¹«Ë¾Í¬ÀàµÄÒµÎñ£»
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;
(Æß) ²»µÃ½ÓÊÜÓ빫˾½»Ò×µÄÓ¶½ð¹éΪ¼ºÓУ»
not to accept commissions relating to the transactions of the Company and appropriate to himself;
55
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Zhengzhou Coal Mining Machinery (Group) Co., Ltd. Articles of Association
(°Ë) ²»µÃÉÃ×ÔÅû¶¹«Ë¾ÃØÃÜ£»
not to disclose secrets of the Company without permission;
(¾Å) ²»µÃÀûÓÃÆä¹ØÁª¹ØÏµË𺦹«Ë¾ÀûÒæ£»
not to take advantage of his connection with the Company to harm interests of the Company; and
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