光华科技: 董事、高级管理人员所持公司股票及其变动管理制度

Core Viewpoint - The document outlines the management procedures for the shares held by the board members and senior management of Guangdong Guanghua Technology Co., Ltd., emphasizing compliance with relevant laws and regulations regarding insider trading and share transactions. Group 1: General Provisions - The company establishes a system to manage the shares held by its directors and senior management, clarifying the management procedures based on various laws and regulations [1] - The system applies to the shares held by directors and senior management, prohibiting them from engaging in margin trading with the company's stock [1] - Senior management includes the general manager, deputy general managers, financial officer, and board secretary [1] Group 2: Share Change Reporting and Information Disclosure Management - The board secretary is responsible for managing the identity and shareholding data of directors and senior management, ensuring timely reporting of personal information [2] - Directors and senior management must report their personal information within two trading days after changes occur [2][3] - The company must confirm and timely feedback on the share management information of directors and senior management as required by the registration and settlement company [3] Group 3: Regulations on Buying and Selling Company Stock - Directors and senior management must notify the board secretary in writing of their buying and selling plans before executing any transactions [3] - Any changes in shareholding must be reported within two trading days, including details such as the number of shares before and after the change [4] - The company will disclose the buying and selling activities of directors and senior management in its periodic reports [4] Group 4: Restrictions on Share Transfer - Directors and senior management are prohibited from transferring shares under certain conditions, such as within one year of the company's stock listing or within six months after leaving their positions [5] - There are specific periods during which directors and senior management cannot buy or sell company stock, particularly around financial report announcements [5] - Violations of trading regulations may result in the company reclaiming profits earned from illegal transactions [6] Group 5: Other Provisions - The company must ensure that certain individuals do not engage in trading based on insider information [6] - Directors and senior management can only transfer a maximum of 25% of their shares in a year, with exceptions for specific circumstances [7] - Any share transfer plans must be reported to the stock exchange 15 trading days prior to execution [8] Group 6: Legal Responsibilities - Violations of securities laws by directors and senior management can lead to penalties, including the company reclaiming profits from illegal trades [10] - The company can impose disciplinary actions on individuals who violate trading restrictions, including warnings or termination [10] - The document stipulates that any unresolved matters will be governed by relevant national laws and regulations [11]