【正文】 .................................................................................................................27十、人力資源風(fēng)險 ...........................................................................................................28十一、投資項目的風(fēng)險 ...................................................................................................29十二、外匯風(fēng)險 ...............................................................................................................29十三、加入 WTO 的風(fēng)險 ................................................................................................30十四、環(huán)保風(fēng)險 ...............................................................................................................30十五、股市風(fēng)險 ...............................................................................................................31第四章 發(fā)行人基本情況 ....................................................................................................32一、發(fā)行人基本情況 .......................................................................................................32二、發(fā)行人歷史沿革及改制重組情況 ...........................................................................32三、發(fā)行人資產(chǎn)權(quán)屬及使用情況 ...................................................................................37四、發(fā)行人員工情況 .......................................................................................................41五、公司獨立運營情況 ...................................................................................................42六、公司股本 ...................................................................................................................44七、發(fā)行人及其股東 控股、參股企業(yè)情況簡介 ...........................................................45八、公司股東的重要承諾 ...............................................................................................52九、公司內(nèi)部組織結(jié)構(gòu)及運行情況 ...............................................................................52第五章 業(yè)務(wù)和技術(shù) ............................................................................................................55一、工程機械行業(yè)基本情況 ...........................................................................................556 / 181二、影響工程機械行業(yè)發(fā)展的因素分析 .......................................................................59三、發(fā)行人面臨的主要競爭狀況 ...................................................................................61四、業(yè)務(wù)范圍及主營業(yè)務(wù) ...............................................................................................64五、主營業(yè)務(wù)情況 ...........................................................................................................65六、發(fā)行人主要固定資產(chǎn)及無形資產(chǎn) ...........................................................................69七、發(fā)行人質(zhì)量控制情況 ...............................................................................................70八、發(fā)行人主要客戶及供應(yīng)商資料 ...............................................................................71九、發(fā)行人主要核心技術(shù) ...............................................................................................72十、主導(dǎo)產(chǎn)品及擬投資項目的技術(shù)水平 .......................................................................74十一、應(yīng)用于產(chǎn)品的專利技術(shù) .......................................................................................75十二、主導(dǎo)產(chǎn)品生產(chǎn)技術(shù)所處的階段 ...........................................................................77十三、研究開發(fā)情況 .......................................................................................................77第六章 同業(yè)競爭與關(guān)聯(lián)交易 ............................................................................................81一、同業(yè)競爭 ...................................................................................................................81二、關(guān)聯(lián)方及關(guān)聯(lián)關(guān)系 ...................................................................................................82三、關(guān)聯(lián)交易 ...................................................................................................................83四、公司章程對關(guān)聯(lián)交易決策權(quán)力與程序的規(guī)定 .......................................................87五、公司對關(guān)聯(lián)交易的其他制度安排 ...........................................................................88六、律師、主承銷商對關(guān)聯(lián)交易的意見 .......................................................................89第七章 董事、監(jiān)事、高級管理人員與核心技術(shù)人員 ....................................................90一、董事、監(jiān)事、高級管理人員與核心技術(shù)人員簡介 ...............................................90二、董事、監(jiān)事、高級管理人員和核心技術(shù)人員持有公司股份及變動情況 ...........93三、董事、監(jiān)事、高級管理人員及核心技術(shù)人員薪酬 ...............................................93四、公司激勵措施 ...........................................................................................................94五、董事、監(jiān)事、高級管理人員及核心技術(shù)人員兼職情況 .......................................94第八章 公司治理結(jié)構(gòu) ........................................................................................................96一、公司章程中關(guān)于法人治理結(jié)構(gòu)的內(nèi)容 ...................................................................96二、重大生產(chǎn)經(jīng)營決策程序與規(guī)則 .............................................................................103三、管理層對內(nèi)部控制制度的自我評估意見 .............................................................105四、董事長、總經(jīng)理、財務(wù)負責(zé)人、技術(shù)負責(zé)人等在近三年內(nèi)變動情況 .............105五、對董事、監(jiān)事、高級管理人員和核心技術(shù)人員履行誠信義務(wù)的限制性規(guī)定 .106第九章 財務(wù)會計信息 ..................................................................................................108一、會計報表編制基準(zhǔn)及注冊會計師意見 .................................................................108二、簡要會計報表 .........................................................................................................108三、經(jīng)營業(yè)績 .................................................................................................................113四、資產(chǎn) .........................................................................................................................117五、負債 .........................................................................................................................126六、股東權(quán)益 .................................................................................................................128七、現(xiàn)金流量 ..............................