YZCHF Yanzhou Coal Mining Ltd (QX)

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Certain statements contained in this announcement may be regarded as forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, and as defined in the U.S. Private Securities Litigation Reform Act of 1995. These forward-looking statements involve inherent risks and uncertainties that may cause the actual performance, financial condition or results of operations of the Company to be materially different from any future performance, financial condition or results of operations implied by such forward-looking statements. Further information regarding these risks and uncertainties is included in the Company’s filings with the U.S. Securities and Exchange Commission. The forward-looking statements included in this announcement represent the Company’s views as of the date of this announcement. Except as required by law, the Company undertakes no obligation to update or revise publicly any forward-looking statements, whether as a result of new information, future events or otherwise, after the date on which the statements are made or to reflect the occurrence of unanticipated events. These forward-looking statements should not be relied upon as representing the Company’s views as of any date subsequent to the date of this announcement.

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.

YANZHOU COAL MINING COMPANY LIMITED

(A joint stock limited company incorporated in the People’s Republic of China (“PRC”) with limited liability)

(Stock Code: 01171)

RESULTS REPORT FOR THE THIRD QUARTER OF 2016

IMPORTANT NOTICE

This announcement is made pursuant to Part XIVA of the Securities and Futures Ordinance and the disclosure requirement under Rule 13.09(2)(a) and 13.10B of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the “ Hong Kong Stock Exchange ”). The board of directors (the “ Board ”), the supervisory committee, the directors, the supervisors, and the senior management of Yanzhou Coal Mining Company Limited (“ Yanzhou Coal ” or the “ Company ”) confirm that this report does not contain any misrepresentations, misleading statements or material omissions and jointly and severally accept all responsibilities for the authenticity, accuracy and completeness of the information contained in this report.

The report for the results of the third quarter of 2016 of the Company (the “ Report ”) was considered and approved by the twenty-sixth meeting of the sixth session of the Board and all the 11 directors of the Board who were supposed to attend the meeting were present.

The financial statements in this Report have not been audited.

“Reporting Period” means the period from 1 July 2016 to 30 September 2016.

“The Group” means the Company and its subsidiaries.

The Chairman of the Board, Mr. Li Xiyong, the Chief Financial Officer, Mr. Zhao Qingchun, and the head of the Accounting Management Department, Mr. Xu Jian, hereby declare the authenticity, accuracy and completeness of the financial statements in this Report.

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Notes:

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(II) Total number of Shareholders at the end of the Reporting Period, the top 10 Shareholders and the top 10 Shareholders holding tradable shares of the Company which are not subject to trading moratorium

Unit: share

Shareholdings of the top 10 Shareholders

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Notes:

1. All the information above is prepared in accordance with the registers of the Shareholders provided by China Securities Depository and Clearing Co., Ltd. Shanghai Branch and Hong Kong Securities Registration Co., Ltd.

2. As the clearing and settlement agent for the Company’s H shares, HKSCC Nominees Limited holds the Company’s H shares in the capacity of a nominee.

3. On 26 November 2015, Yankuang Group pledged its 520,000,000 A shares not subject to trading moratorium to the Export-Import Bank of China as a guarantee by way of share pledge for a bank loan of 500 million US dollars, with pledge period of twenty-four months.

4. On 7 July 2016 and 15 July 2016, Yankuang Group pledged its 402,000,000 A shares and 378,000,000 A shares to Qilu Securities (Shanghai) Asset Management Company Limited, separately, in purpose of financing for stock collateral repo business, with pledge period of thirty-six months.

5. The repurchase of 6,384,000 H shares by the Company in 2015 resulted in the reduction of registered capital of the Company by RMB6,384,000 accordingly and the corresponding business registration alternation has been completed on September 28, 2016. The number of H shares of Yanzhou Coal reduced to 1,952,016,000 shares, resulting in corresponding reduction in the total share capital to 4,912,016,000 shares and registered capital to RMB4,912,016,000.

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Notes:

1. Production and sales volume from electrical power business, heating business and electromechanical manufacturing equipment business in the above table have significant differences, which was mainly due to the fact that: related products were self used before sold externally.

2. For the first three quarters of this year, the Group significantly expanded its market in hydraulic support, which increased its sales volume in a large amount as compared with that of last year.

(II) Operating performance of businesses segments

1. Coal business

(1) Coal production

For the first 3 quarters of 2016, the raw coal production of the Group was 47.54 million tonnes, representing a decrease of 4.11 million tonnes or 8.0% as compared with the corresponding period of last year. The saleable coal production was 44.09 million tonnes, representing a decrease of 3.2 million tonnes or 6.8% as compared with the corresponding period of last year.

The following table sets out the coal production of the Group for the first 3 quarters of 2016:

Unit: kilotonne

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Notes:

(2) Coal prices and sales

In the first 3 quarters of 2016, the average coal price of the Group was decreased as compared with that of last year. But the average price of the Group’s self produced coal in the third quarter of 2016 was increased on QoQ basis due to the national policies of production capacity reduction and supply side reform.

The sales volume of saleable coal for the first 3 quarters of 2016 was 50.70 million tonnes, representing a decrease of 12.64 million tonnes or 20.0% as compared with the corresponding period of last year, which was mainly due to: (1) the decrease of sales volume of traded coal by 8.87 million tonnes as compared with that of last year. (2) the decrease of salable coal sales volume from Ordos Neng Hua and Yancoal Australia by 1.01 million tonnes and 2.73 million tonnes, respectively, as compared with that of last year.

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The following table sets out the Group’s production and sales of saleable coal by coal types for the first 3 quarters of 2016:

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(3) Cost of coal sales

For the first 3 quarters of 2016, the cost of coal sales business of the Group was RMB10.8502 billion, representing a decrease of RMB5.3732 billion or 33.1% as compared with the corresponding period of 2015, which was mainly due to the decrease of total sales cost of the traded coal by RMB5.2956 billion as compared with that of last year.

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For the first 3 quarters of 2016, the total cost of coal sales of the Company was RMB4.6128 billion, representing an increase of RMB1.2452 billion or 37.0% as compared with that of the first three quarters of 2015. The cost of coal sales per tonne was RMB181.47, representing an increase of RMB52.31 or 40.5% as compared with that of the first three quarters of 2015. This was mainly due to the fact that: (1) the decrease of special reserve employment by RMB840.2 million, resulting in an increase of coal sales cost per tonne by RMB33.05 as compared with that of the first three quarters of 2015. (2) the calculation of depreciation and repair expense on fully-mechanized machinery has changed due to internal business adjustment of the Group, which resulted in an increase of coal sales cost per tonne of the Company by RMB12.32. It is important to note that this adjustment does not increase the expense of depreciation and repair on fully-mechanized machinery in the consolidated financial sheet of the Group.

2. Railway transportation

For the first 3 quarters of 2016, the transportation volume of the Company’s Railway Assets for coal transportation was 9.07 million tonnes, representing a decrease of 2.98 million tonnes or 24.7% as compared with the corresponding period of 2015. Income from railway transportation services (income from transportation volume settled on the basis of ex-mine prices and special purpose railway transportation fees borne by customers) was RMB200.2 million, representing a decrease of RMB46.891 million or 19.0% as compared with the corresponding period of 2015. The cost of railway transportation business was RMB124.6 million, representing a decrease of RMB34.111 million or 21.5%.

3. Coal chemicals business

The following table sets out the operation of methanol business of the Group for the first 3 quarters of 2016:

Note: “Yulin Neng Hua” refers to Yanzhou Coal Yunlin Neng Hua Co., Ltd.

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4. Power business

The following table sets out the operation of power business of the Group for the first 3 quarters of 2016:

Notes: “Hua Ju Energy” refers to Shandong Hua Ju Energy Company Limited.

5. Heat business

For the first 3 quarters of 2016, Hua Ju Energy generated heat energy of 930,000 steam tonnes and sold 40,000 steam tonnes, realizing sales income of RMB10.084 million, with the cost of sales at RMB4.533 million.

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6. Electrical and mechanical equipment manufacturing

The following table sets out the operation of the electrical and mechanical equipment manufacturing of the Group for the first 3 quarters of 2016:

Note: please see the manufacturing output and sales volume of electrical and mechanical equipment in “(I) General Operating Performance of the Group” for details.

(III) Significant movements of the accounting items and financial indicators of the Company and the reasons thereof

1. Significant movements of items in balance sheet and the reasons thereof

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Change reasons for notes receivable: (1) The note receivable of the Company increased by RMB711.1 million due to coal sales; (2) The note receivable of Qingdao Zhongyin Ruifeng International Trade Co., Ltd. (“Qingdao Zhongyin Ruifeng”) increased by RMB373.1 million due to trade business.

Change reason for accounts receivable: The account receivable through roll over settlement of the Group increased.

Change reason for prepayments: The prepayment through roll over settlement of the Group increased.

Change reasons for other receivables: (1) The custody overdue note receivable from China Construction Bank of RMB418.3 million was transferred into “other receivables” due to litigation involved; (2) Other receivable of Yancoal Australia increased by RMB374.2 million.

Change reasons for inventories: (1) The development cost of the Mansion of Shandong Coal Trading Centre increased by RMB281.2 million; (2) The trade inventory of Qingdao Zhongyin Ruifeng increased by RMB450.8 million; (3) The product inventory of Yancoal Australia increased by RMB141.7 million.

Change reason for assets classified as held for sale: Yancoal Australia sold the “assets classified as held for sale” to Watagan Mining Company Pty Ltd (“Watagan Company”) through asset securitization.

Change reasons for available-for-sale financial assets: (1) The Group subscribed for shares of China Zheshang Bank Co., Ltd. for the consideration of HKD1.9316 billion; (2) The Group subscribed for Duanxin No. 1 of New China Fushi Fund for the consideration of RMB663.2 million; (3) Accounting calculation of the equity investment in Qilu Bank Co., Ltd. (“Qilu Bank”) by the Company was transferred from “available-for-sale financial assets” into “long-term equity investment”, resulting in a decrease of available-for-sale financial assets by RMB797.7 million.

Change reason for long-term receivables: The long-term receivable from Watagan Company to the Group increased by RMB4.0553 billion.

Change reasons for long-term equity investment: (1) The Company contributed RMB550 million for the equity investment in Dongguan Haichang Industry Co., Ltd.; (2) Accounting calculation of the equity investment in Qilu Bank by the Company was transferred from “available-for-sale financial assets” into “long-term equity investment”, resulting in an increase of long-term equity investment” by RMB797.7 million; (3) The Group obtained income of RMB453.4 million from associates investment in first three quarters.

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Change reasons for notes payable: (1) roll over settlement for trade business of Qingdao Zhongyin Ruifeng resulted in an increase of note payable by RMB810.2 million; (2) The note payable of Zhongyin Financial Leasing Co., Ltd. (“Zhongyin Financial Leasing”) decreased by RMB361.4 million.

Change reasons for accounts payable: (1) The project payable of Ordos Neng Hua increased by RMB562.3 million; (2) The trade payable of Qingdao Zhongyin Ruifeng increased by RMB313.2 million; (3) The account payable of Yancoal Australia increased by RMB457.4 million.

Change reason for advances from customers: The payment for coal and trade received in advance from customers to the Group increased.

Change reason for liabilities classified as held for sale: Yancoal Australia sold the “liabilities classified as held for sale” to Watagan Company through asset securitization.

Change reasons for minority interests: (1) The Group redeemed perpetual bond of USD300 million; (2) Duanxin Investment Holding (Beijing) Co., Ltd. and Shenzhen New China Fushi Assets Management Co., Ltd. invested to establish partnership, resulting in an increase of minority interest by RMB4 billion; (3) Duanxin Investment Holding (Beijing) Co., Ltd. and Great Wall Securities Co., Ltd. established partnership, resulting in an increase of minority interest by RMB3 billion.

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2. Significant movements of items in income statement and the reasons thereof

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3. Significant movements of items in cash flow statement and the reasons thereof

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(IV) Progress and impact of significant events and analysis of resolution

1. Litigations that extended to the disclosure date of this quarterly report

(1) The Litigation on Coal Sales Contract Dispute between Zhongxin Daxie Fuel Co., Ltd. (“Zhongxin Daxie”) and Yanzhou Coal

Zhongxin Daxie, as the plaintiff, brought a civil litigation against the Company, as the defendant, at the Shandong Provincial Higher People’s Court in September 2013, alleging a failure by the Company to perform its delivery obligations under a coal sales contract between the parties. Zhongxin Daxie sued for the termination of the coal sales contract, return of payments for goods and compensation for damage in an amount of RMB163.6 million. It was the judgment of the Shandong Provincial Higher People’s Court at first instance that: Zhongxin Daxie’s appeal was rejected. It was the judgment of the Supreme Court at second instance that: Zhongxin Daxie’s appeal was rejected and the first instance judgment was upheld. In August 2016, the Company received the Acceptance Notice from the Supreme Court, which has accepted Zhongxin Daxie’s retrial application for this case and the filing review procedure is undertaken.

As this case is performing retrial procedure, the Company is currently unable to estimate the impact of the litigation on the profit of the reporting period and afterwards of the Company.

For details, please refer to the announcements in relation to the litigation update and litigation result dated 29 April 2014, 30 June 2014 and 22 January 2016. The above announcements were also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

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(2) The Litigation on Bills Dispute between Jinan Branch of China Minsheng Banking Corp. Ltd. (“Jinan Branch of Minsheng Bank”) and Yanzhou Coal

From May to August 2015, the Company has received four pleadings from Jinan Branch of Minsheng Bank, who brought civil litigations against the Company at the Jinan Municipal Intermediate People’s Court and Jinan Shizhong District People’s Court, alleging the breach of Bills Discounted Agreement by the Company. Jinan Branch of Minsheng Bank sued Yanzhou Coal to require Yanzhou Coal to undertake settlement liability amounting to approximately RMB149 million principal and related interests in accordance with the Bills Discounted Agreement.

1. Hearing by Jinan Municipal Intermediate People’s Court and Shandong Provincial Higher People’s Court

(1) case involving amount of RMB29.439 million principal

On 11 January 2016, the Jinan Municipal Intermediate People’s Court made the judgment of the first instance for this case and ruled that the Company shall pay RMB29.439 million principal and the relevant interest in accordance with the Bills Discounted Agreement to Jinan Branch of Minsheng Bank; In February 2016, the Company brought an appeal at Shandong Provincial Higher People’s Court for the above case; On 12 June 2016, Shandong Provincial Higher People’s Court made the final judgment of the second instance regarding this case. The appeal was rejected and the original judgment was upheld. On 25 July 2016, the Company paid a total amount of RMB31.6919 million for the involving principal, interests and fees for conservatory measures and enforcement fees in relation to this case to the designated bank account according to the enforcement notification issued by the Jinan Municipal Intermediate People’s Court.

(2) cases involving amount of RMB49.9998 million and RMB50 million principals

On 12 January 2016, the Jinan Municipal Intermediate People’s Court made the judgments of the first instance for the two cases and ruled that the Company shall pay RMB49.9998 million and RMB50 million principals and the relevant interests in accordance with the Bills Discounted Agreement to Jinan Branch of Minsheng Bank; In February 2016, the Company brought two appeals at Shandong Provincial Higher People’s Court for the above two cases; On 27 June 2016, Shandong Provincial Higher People’s Court made the final judgment of the second instance regarding these cases. The appeal was rejected and the original judgment was upheld. In September 2016, the Company paid a total amount of RMB111.4978 million for the involving principals, interests and fees for conservatory measures in relation to these two cases according to the enforcement notification issued by the Jinan Municipal Intermediate People’s Court.

Although the three litigations received the final judgment and performed execution procedures, the Company has applied for retrial for these three litigations to protect the legitimate interests of the Company and the Shareholders. In September 2016, the Company received the Acceptance Notice from the Supreme Court, which has accepted the Company’s retrial application for the above three litigations and the filing review procedure is undertaken.

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As the above cases are performing retrial procedure, the Company is currently unable to accurately estimate the impact of the above litigations regarding the contract dispute on the profit of the period and afterwards of the Company.

2. Hearing by Jinan Shizhong District People’s Court and Jinan Municipal Intermediate People’s Court

On 29 June 2016, Jinan Shizhong District People’s Court made the judgment of the first instance for this case and ruled that the Company shall pay RMB20 million principal and related interest to Jinan Branch of Minsheng Bank and rejected other claims of Jinan Branch of Minsheng Bank and the litigation fee of RMB145,000 and the property preservation fee of RMB5,000 shall be borne by Yanzhou Coal. On 14 July 2016, the Company brought an appeal at Jinan Municipal Intermediate People’s Court for the above case.

As this case is performing the trial procedure of the second instance, the Company is currently unable to accurately estimate the impact of the litigation regarding the contract dispute on the profit of the period and afterwards of the Company.

For details, please refer to the announcements in relation to the litigation involving Yanzhou Coal dated 23 March 2016 and update on the litigation dated 27 June, 8 July and 26 July 2016, respectively. The above announcements were also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

(3) The Litigation on Contract Disputes involving Shandong Hengfeng Power Fuel Co., Ltd. (“Hengfeng Company”)

1. Financial Loan Contract Dispute with Jining High-Tech Zone Branch of Agricultural Bank of China Limited (“Jining High-Tech Branch of Agricultural Bank”)

On 14 July 2015, based the financial loan contract dispute Jining High-Tech Branch of Agricultural Bank sued the Company’s wholly-owned subsidiary-Shandong Zhongyin Logistics and Trade Co., Ltd. (“Zhongyin Logistics”) to Jining Intermediate People’s Court. As Hengfeng Company made a pledge to the plaintiff through its accounts receivables of RMB61.1696 million to Zhongyin Logistics, the plaintiff asked Zhongyin Logistics to perform payment obligations amounting to RMB31.4398 million of principal and related interest within scope of accounts payable.

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2. Financial Loan Contract Dispute with Weihai Commercial Bank Co., Ltd. (“Weihai Commercial Bank”)

On 9 October 2015, based on the financial loan contract dispute, Weihai Commercial Bank sued the Company to Jining Intermediate People’s Court. As Hengfeng Company made a pledge to the plaintiff through its accounts receivables of RMB103.42 million of Yanzhou Coal, the plaintiff asked the Company to perform payment obligations amounting to RMB99.119 million of principal and related interest within scope of accounts payable.

3. Financial Loan Contract Dispute with Jining Dongcheng Branch of China Construction Bank Corporation. (“CCB Jining Dongcheng Branch”)

On 3 November 2015, based on the financial loan contract dispute, CCB Jining Dongcheng Branch sued the Company to Jining Intermediate People’s Court. As Hengfeng Company made a pledge to the plaintiff through its accounts receivables of RMB79.1312 million of Yanzhou Coal, the plaintiff asked the Company to perform payment obligations amounting to RMB59.669 million of principal and related interest within scope of accounts payable.

4. Factoring Contract Dispute with the Zhonghuixintong Business Factoring Company Limited (“Zhonghuixintong”)

On 26 November 2015, based on the factoring contract dispute, Zhonghuixintong sued the Company to Beijing Third Intermediate People’s Court. As Hengfeng company transferred its accounts receivables of RMB145 million of Yanzhou Coal to Zhonghuixintong, Zhonghuixintong asked the Company to perform the relevant payment obligations of accounts receivables and related interests within scope of accounts payable and interests.

In accordance with the investigation and verification of the Company, Yanzhou Coal and Zhongyin Logistics have never made any accounts receivable pledges to the above four financial institutions. It was the opinion of the Company that: Hengfeng company was suspected to forage the seals of Yanzhou Coal and made pledges of accounts receivable financing business in financial institutions. Yanzhou Coal has submitted identification application for seals authenticity to the trial court and relative identification is ongoing. Given the criminal offences suspicious existed in Hengfeng Company, Yanzhou Coal has reported to public security organs while responding actively to the court.

As the above case is performing the trial procedure of the first instance, the Company is currently unable to accurately estimate the impact of the litigations on the current profit and afterwards of the Company.

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For details, please refer to the announcement in relation to the litigation regarding Yanzhou Coal dated 23 March 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

(4) The Litigation on Sales Contract Dispute between Jinan Railway Coal Trade Group Co., LTD. (“Jinan Railway Trade”) and Yanzhou Coal

1. Sales Contract Dispute sued by Jinan Railway Trade to Yanzhou Coal

On 29 October 2015, based on the sales contract dispute, Jinan Railway Trade sued Yanzhou Coal to Jinan Railway Transportation Court, requiring Yanzhou Coal to repay RMB19.9498 million loan.

According to the investigation and verification of the Company, the Company never signed sales contract involving in the case with Jinan Railway Trade and the Company has dissent on reasons of being sued by Jinan Railway Trade.

As this case is performing the trial procedure of the first instance, the Company is currently unable to accurately estimate the impact of the litigation on the current profit and future profit.

For details, please refer to the announcement in relation to the litigation regarding Yanzhou Coal dated 23 March 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

2. Sales Contract Dispute sued by Yanzhou Coal to Jinan Railway Trade

On 16 April 2016, the Company, as the plaintiff, brought a civil litigation against Jinan Railway Trade, as the defendant, at Jining Intermediate People’s Court, alleging a breach of coal sales contract signed with the Company, suing Jinan Railway Trade to return loan of RMB80 million and related fund occupancy fees to the Company.

On 1 January 2014, the Company entered into coal sales contract with Jinan Railway Trade, according to which, Jinan Railway Trade shall provide coal to the Company. Once execution of the contract, both parties shall immediately perform their obligations. As at 31 October 2014, coals of a value amounting to RMB80 million had not yet been delivered by Jinan Railway Trade, even after several expediting notices from the Company, Jinan Railway Trade had neither delivered the coals nor returned the loan.

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As this case is performing the trial procedure of the first instance, the Company is currently unable to accurately estimate the impact of the litigation on the current profit and future profit.

(5) Contract Dispute sued by China Construction Sixth Engineering Bureau Civil Engineering Co., Ltd. (“China Construction Sixth Engineering”) to Shandong Coal Trading Center Co., Ltd. (“Coal Trading Center”)

On 14 January 2016 China Construction Sixth Engineering, as the plaintiff, brought a civil litigation against Coal Trading Center, a controlled subsidiary of the Company, as the defendant, at Jining Intermediate Court, alleging a failure by the Company to completely perform its obligation in contract transfer agreement and engineering construction contract, suing Coal Trading Center to pay arrears of project fund of RMB57.457 million and related interest.

On 28 July 2016 Jining Intermediate People’s Court made the judgment of the first instance for this case and ruled that Coal Trading Center shall pay RMB52.8769 million of project construction fund and the relevant interest to China Construction Sixth Engineering and litigation fee, fees for conservatory measures amounting to RMB344,300 and RMB5,000, respectively, shall be borne by Coal Trading Center. On 25 August 2016 the Company brought an appeal at Shandong Provincial Higher Court for this case.

It is opinion of the Company that: according to the Contract Transfer Agreement signed by Coal Trading Center, Jining Hi-tech Urban Construction Investment Co., LTD. and China Construction Sixth Engineering, the transfer price of the project will be calculated according to the actual work done upon completion and settlement. As the above project involved in lawsuit has not been completed yet and cannot be settled, the project price has not been determined. Meanwhile, it is agreed that Coal Trading Center shall pay the balance within ten days upon the whole project completion and acceptance of inspection. While the project here involved in lawsuit has not been checked and accepted yet, China Construction Sixth Engineering has no right to claim Coal Trading Center to pay the balance.

As this case is performing the trial procedure of the second instance, the Company is currently unable to estimate the impact of the litigation on the profit of the reporting period and afterwards of the Company.

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(6) The litigation on contract dispute between Bank of Rizhao Co., Ltd. (“Rizhao Bank”) and Shandong Yanmei Rizhao Port Coal Storage and Blending Co., Ltd. (“Rizhao Port Coal Storage and Blending”)

On 24 July 2015, based on import and export bills documentary dispute, Rizhao Bank brought a civil litigation at Rizhao Municipal Intermediate People’s Court and sued Rizhao Tengtu Investment Company Limited (“Tengtu Company”) in court to repay bills documentary fund of RMB37.4251 million and relevant interests; Shandong Yabin Energy Co., Ltd., Shandong Lingtong International Trade Co., Ltd., natural persons, namely: Peng Haiying, Liu Ya and Sun Chunguang shall bear the joint and several guarantee liabilities, and Rizhao Port Coal Storage and Blending, a controlled subsidiary of the Company shall bear joint and settlement liability for Tengtu Company.

On 29 December 2015, Rizhao Municipal Intermediate People’s Court made the judgment of the first instance and ruled that Tengtu Company shall pay bills documentary fund of RMB37.4251 million and relevant interest; Shandong Yabin Energy Co., Ltd., Shandong Lingtong International Trade Co., Ltd., natural persons, namely: Peng Haiying, Liu Ya and Sun Chunguang shall bear the joint and several guarantee liabilities; on condition that Tengtu Company does not perform its repayment obligation according to the judgment, Rizhao Bank has the right to ask Rizhao Port Coal Storage and Blending to pay the fund under commercial acceptance bill. Rizhao Port Coal Storage and Blending made an appeal as it did not accept the judgment.

On 28 June 2016, Shandong Provincial Higher People’s Court made the judgment of the second instance that Rizhao Port Coal Storage and Blending’s appeal was rejected and the original judgment was upheld. Litigation fee of the second instance of RMB235,800 shall be borne by Rizhao Port Coal Storage and Blending.

Although this litigation has received the final judgment, the Company will continue to protect the legitimate interests of the Company through means including urging Tengtu Company and relevant persons with joint and several guarantee liabilities to perform their obligations, applying for appeal against Tengtu Company for a recourse action. The Company is currently unable to accurately estimate the impact of the litigation dispute on the profit of the period and afterwards of the Company.

(7) The litigation on contract dispute between Yanzhou Coal and Zoucheng Branch of China Construction Bank Corporation (“CCB Zoucheng Branch”)

In September 2016, the Company brought a civil litigation against CCB Zoucheng Branch on contract dispute at the Higher People’s Court of Shandong Province and sued CCB Zoucheng Branch in court to require the payment for the bills at the amount of RMB418.522 million and relevant interests.

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As this case is currently performing the trial procedure of the first instance, the Company is unable to accurately estimate the impact of the litigation on the current profit and future profit.

For details, please refer to the announcement in relation to the litigation regarding Yanzhou Coal dated 30 September 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

2. Major connected/related transaction

(1) As considered and approved at the twenty-fifth meeting of the sixth session of the Board held on 11 October 2016, Yanzhou Coal, Yankuang Technology Co., Ltd.(the wholly-owned subsidiary of Yankuang Group), Shandong Rongyu Jingu Enterprise and Investment Co., Ltd.(the controlled subsidiary of Yankuang Group), and Bai Dingrong (the natural person) jointly established Yancoal Blue Sky Clean Energy Co., Ltd. Yanzhou Coal contributed RMB25.50 million from internal resources, representing an equity interest of 51%. Meanwhile, Yancoal Blue Sky Clean Energy Co., Ltd. entered into Know-how Licensing Agreement with Yankuang Technology Co., Ltd. after its establishment.

For details, please refer to the announcement in relation to the connected transaction of Yanzhou Coal dated 11 October 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

(2) As considered and approved by the twenty-sixth meeting of the sixth session of the Board held on 28 October 2016, the Company entered into Entrusted Management Agreement on Chemical Projects with Yankuang Chemicals Co., Ltd., the wholly-owned subsidiary of Yankuang Group. Yankuang Chemicals Co., Ltd. was entrusted to implement the professional management on chemical projects under Inner Mongolia Rongxin Chemicals Co., Ltd. and the methanol plant of Yanzhou Coal Yulin Neng Hua Co., Ltd.

For details, please refer to the announcement in relation to the daily connected transaction of Yanzhou Coal dated 28 October 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

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3. Non-public Issuance of A Shares

As considered and approved at the 2016 first extraordinary general meeting, the 2016 second class meeting of holders of A shares and the 2016 second class meeting of holders of H shares held on 19 August 2016, the Company will issue A shares not exceeding 538,000,000 (inclusive) to specific target subscribers by way of non-public issuance. The A Shares are ordinary RMB share with a nominal value of RMB1.00 per share. The issue price shall be not less than RMB8.32 per A Share. The issuance will raise a fund not exceeding RMB6 billion, which will be used for acquiring 52% equity interest of Jiutai Energy Inner Mongolia Co., Ltd., increase contribution of registered capital in Zhongyin Financial Leasing and repayment of bank loan. The non-public issuance of A shares will be issued after obtaining the approval from CSRC.

For details, please refer to the announcement and information in relation to non-public issuance of A shares dated 16 June 2016, the documents in relation to the 2016 first extraordinary general meeting, the 2016 second class meeting of holders of A shares and the 2016 second class meeting of holders of H shares held on 12 August 2016, and the announcements of resolutions passed at the 2016 first extraordinary general meeting, the 2016 second class meeting of holders of A shares and the 2016 second class meeting of holders of H shares held on 19 August 2016. The above announcements and documents were also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange, the Company and/or China Securities Journal and Shanghai Securities News.

4. Changes in positions of Directors, Supervisors and senior management of the Company

Mr. Wang Lijie, the independent director of the Company, submitted his resignation on 13 August 2016 and proposed to resign from the independent director and other relevant positions in the special committee of the Board for some health reasons. And he will continue to perform his duties in pursuant to laws, regulations, and the Articles of Association before a new independent director elected and appointed in shareholders’ meeting.

As considered and approved at the twenty-fifth meeting of the six session of the Board held on 11 October 2016, Mr. Kong Xiangguo was nominated as the independent director candidate of the sixth session of the Board, which was submitted to be elected at the shareholders’ meeting of the Company.

Save as disclosed above, there was no other election or resignation of Directors and Supervisors, and no other appointment or dismissal of senior management during the reporting period.

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5. Shutting down Beisu coal mine owned by the Company

As considered and approved at the general manager working meeting, adhering to the spirit of relevant documents issued by the State Council of PRC and the government of Shandong Province, the Company initiatively applied for shutting down Beisu coal mine and received the approval from relevant government authorities. Shutting down Beisu coal mine will resolve excess capacity of coal for one million tonnes. The Company will promote the implementation of shutting down according to the relevant regulations and arrangements.

For details, please refer to the announcement on resolving excess capacity of coal dated 10 October 2016. The above announcement was also posted on the websites of the Shanghai Stock Exchange, the Hong Kong Stock Exchange and the Company and/or China Securities Journal and Shanghai Securities News.

6. Other significant events

(1) Adjustment to the headquarter organization and relevant functions of the Company

As reviewed and approved at the twenty-third meeting of the sixth session of the Board held on 8 August 2016, the Company made certain adjustments to the headquarter organization and relevant functions: reorganizing the Production Technology Department and the Ventilation & Gas Monitoring Department as Production Technology Department (Ventilation and Gas Monitoring Department); reorganizing the Safety Inspection Department and the Central Dispatching Office as Safety Inspection Department (Central Dispatching Office); reorganizing Shandong Coal Technology Research Institute and the Measurement and Detection Center as Shandong Coal Technology Research Institute (the Measurement and Detection Center); establishing accounting service center and removing the Futures and Finance Department.

(2) Establishment of Qingdao Duanxin Asset Management Company Limited

As considered and approved at the general manager working meeting of the Company, the Company established a wholly-owned subsidiary, Qingdao Duanxin Asset Management Company Limited on 3 August 2016, with registered capital of RMB500 million. Its main business scope covers entrusted management of equity investment fund, entrusted management of enterprise asset, foreign investment by use of its own fund, importation and exportation of goods and technology on its self or as an agent, international trade and transit trade.

(3) Increase in registered capital of Donghua Heavy Industry Co., Ltd.

As considered and approved at the general manager working meeting held on 4 July 2016, the Company increased its capital contribution of RMB907.32 million in Donghua Heavy Industry.

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Upon completion, the registered capital of Donghua Heavy Industry will increase from RMB370.568 million to RMB1,277.888 million. As present, the company is undergoing necessary business registration.

(V) Undertakings of the Company and Shareholders with Shareholding of 5% or More

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Notes:

(VI) Statements on the Warnings and Reasons for the Expected Accumulated Net Income May Be Negative from the Beginning of 2016 till the End of the Next Reporting Period or There Might be Significant Changes to Accumulated Net Profit as Compared with the Same Period of Last Year.

Not applicable.

As at the date of this announcement, the directors of the Company are Mr. Li Xiyong, Mr. Li Wei, Mr. Wu Xiangqian, Mr. Wu Yuxiang, Mr. Zhao Qingchun, Mr. Guo Dechun and Mr. Guo Jun and the independent non-executive directors of the Company are Mr. Wang Lijie, Mr. Jia Shaohua, Mr.Wang Xiaojun and Mr. Qi Anbang.

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Appendices:

Consolidated Balance Sheet

30 September 2016

The financial statements from Page 33 to Page 45 are signed by the following responsible officers:

Legal Representative of the Company: Li Xiyong

Chief Financial Officer: Zhao Qingchun

Head of Accounting Department: Xu Jian

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Consolidated Balance Sheet (Continued)

30 September 2016

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Balance Sheet of the Parent Company

30 September 2016

32

Balance Sheet of the Parent Company (Continued)

30 September 2016

33