华阳股份: 山西华阳集团新能股份有限公司关于公司控股股东收到中国证券监督管理委员会行政处罚事先告知书的公告

Core Viewpoint - The announcement details that the controlling shareholder of Shanxi Huayang Group New Energy Co., Ltd. has received a notice of administrative penalty from the China Securities Regulatory Commission (CSRC) for suspected violations of information disclosure laws [1][2]. Group 1: Administrative Penalty Details - The controlling shareholder, Huayang New Material Technology Group Co., Ltd., is accused of illegally transferring funds amounting to 1,126,449,959.33 yuan (approximately 1.13 billion yuan) from Yangmei Chemical Co., Ltd. to its own account without consent, which constitutes non-operating fund occupation [2][3]. - The amount transferred represents 17.74% of Yangmei Chemical's latest audited net assets [2]. - The funds were fully returned by September 30, 2021, but the non-operating fund occupation was not disclosed in Yangmei Chemical's 2021 semi-annual and annual reports, leading to significant omissions [2][3]. Group 2: Individuals Involved - Gao Yanqing, responsible for financial management and coordination, failed to ensure compliance with regulatory requirements, leading to the unauthorized fund transfers [3][4]. - Fan Zongli, responsible for account management and fund transfers, executed the transfers without consent, contributing to the violations [4]. Group 3: Proposed Penalties - The CSRC plans to impose a fine of 4 million yuan on Huayang Group, 2 million yuan on Gao Yanqing, and 900,000 yuan on Fan Zongli for their respective roles in the violations [4]. - The parties involved have the right to respond and request a hearing regarding the proposed penalties within five working days of receiving the notice [4]. Group 4: Impact on the Company - The administrative penalty does not involve the company directly and is not expected to affect its daily operations or business activities [5].