亚世光电: 董事、高级管理人员持有和买卖本公司股票管理制度

Core Viewpoint - The document outlines the regulations and procedures for the management of stock trading by directors and senior management of Asia Optical (Group) Co., Ltd, emphasizing compliance with relevant laws and the importance of transparency in stock transactions [1][2][3]. Group 1: General Provisions - The regulations apply to the stock trading activities of the company's directors and senior management, ensuring adherence to the Company Law and Securities Law [1][2]. - The document specifies that all shares held by directors and senior management, including those in others' accounts, must be reported and managed according to these regulations [2]. Group 2: Reporting and Disclosure Requirements - Directors and senior management must ensure that their disclosures to the Shenzhen Stock Exchange are truthful, accurate, timely, and complete, and they bear legal responsibility for any discrepancies [2][7]. - Personal and family information of directors and senior management must be reported to the Shenzhen Stock Exchange within specified timeframes, including changes in their status or holdings [3][4]. Group 3: Trading Principles and Restrictions - Directors and senior management must notify the board secretary of their trading plans two trading days in advance, allowing for compliance checks against legal and regulatory requirements [4][11]. - There are limits on the amount of shares that can be sold during a specified period, with a maximum of 25% of their holdings allowed to be sold each year [12][16]. Group 4: Prohibited Trading Situations - Certain conditions prohibit directors and senior management from transferring shares, such as within one year of the company's stock listing or within six months after leaving their position [22]. - The document also outlines restrictions related to insider trading and short-term trading violations, emphasizing the need for compliance with the Securities Law [9][22]. Group 5: Penalties and Enforcement - Violations of these regulations may result in the company reclaiming any profits made from improper trading, and severe cases may lead to disciplinary actions against the responsible individuals [12][28]. - The company is responsible for managing and reporting any changes in shareholdings by directors and senior management, ensuring compliance with the established rules [11][12].