盘江股份: 盘江股份股东、董事和高级管理人员所持本公司股份及其变动管理办法

Core Points - The document outlines the management measures for the shareholding and changes of shareholders, directors, and senior management of Guizhou Panjiang Coal and Electricity Co., Ltd. [1] - It emphasizes the need for compliance with relevant laws, regulations, and company articles regarding shareholding changes [2] - The document specifies the procedures for reporting shareholding changes and the responsibilities of the board secretary [3][4] Summary by Sections General Principles - The purpose of the measures is to strengthen the declaration, disclosure, and supervision of shareholding changes by shareholders, directors, and senior management [1] - Shareholding includes all shares registered in their name and those held through others' accounts [1] Management of Shareholding Changes by Directors and Senior Management - Directors and senior management must notify the board secretary in writing before buying or selling shares [2] - They are required to submit personal information for disclosure within two trading days of any changes [2] Trading Prohibitions and Restrictions - There are specific circumstances under which directors and senior management cannot transfer their shares, such as within one year of the company's stock listing [4] - Shareholders holding more than 5% of the company's shares are also restricted from reducing their holdings under certain conditions [5] Additional Regulations - Directors and senior management can only reduce their holdings by a maximum of 25% of their total shares during their term and within six months after their term ends [6] - Any profits from buying and selling shares within six months must be returned to the company [7] Insider Trading and Confidentiality - Directors and senior management must ensure that their immediate family and related parties do not engage in insider trading [8] - The company must disclose any longer prohibitions or lower transfer ratios in its articles of association [8] Final Provisions - The measures will be executed according to national laws and regulations, and the board of directors is responsible for their interpretation [9]