董事和高级管理人员股份管理
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亨通股份: 浙江亨通控股股份有限公司关于董事和高级管理人员所持本公司股份及其变动的管理办法
Zheng Quan Zhi Xing· 2025-08-25 16:30
Core Points - The document outlines the management measures for the shares held by the directors and senior management of Zhejiang Hengtong Holdings Co., Ltd. [1] - It emphasizes compliance with relevant laws and regulations regarding insider trading and market manipulation [2] - The document specifies restrictions on share trading by directors and senior management under certain conditions [4][5] Group 1: General Provisions - The management measures are established to strengthen the oversight of shares held by directors and senior management [1] - The measures apply to all shares held in their name and those held through others, including securities accounts [1][2] Group 2: Trading Restrictions - Directors and senior management are prohibited from reducing their holdings under specific circumstances, such as within six months of leaving the company [2] - They cannot trade shares during designated blackout periods, including 15 days before the annual and semi-annual reports [3] - The maximum amount of shares that can be sold annually is limited to 25% of their total holdings [4] Group 3: Reporting and Disclosure - The company secretary is responsible for managing the data and information regarding the shares held by directors and senior management [7] - Directors and senior management must report their trading plans and obtain approval before executing trades [9][10] - Any changes in their shareholdings must be reported to the Shanghai Stock Exchange within specified timeframes [10][11] Group 4: Compliance and Penalties - Any profits from violations of trading regulations must be returned to the company, and severe violations may lead to legal consequences [17] - The document emphasizes the importance of accurate and timely reporting to ensure compliance with regulations [16]
深天马A: 董事和高级管理人员所持本公司股份及其变动管理制度(2025年8月)
Zheng Quan Zhi Xing· 2025-08-22 12:20
Core Viewpoint - The document outlines the management system for the shares held by the directors and senior management of Tianma Microelectronics Co., Ltd., emphasizing compliance with relevant laws and regulations, and detailing the procedures for share transactions and disclosures [1][2]. Summary by Sections General Principles - The management system is established to enhance the oversight of shares held by directors and senior management, ensuring adherence to laws such as the Company Law and Securities Law, as well as the company's articles of association [1][2]. Management of Shareholding Changes - Directors and senior management must notify the board secretary in writing before buying or selling shares, who will then verify compliance with disclosure and regulatory requirements [3]. - The company must apply to the Shenzhen Stock Exchange for any shares held by directors and senior management to be registered as restricted shares under certain conditions [3][4]. Reporting and Disclosure - Directors and senior management are required to report any changes in their shareholdings within two trading days and ensure that the information disclosed is accurate and complete [4][5]. - The board secretary is responsible for managing the data related to shareholdings and must report any violations to the regulatory authorities [5]. Restrictions on Share Transactions - Directors and senior management are prohibited from transferring shares during specific periods, such as within one year of the company's stock listing or within six months after leaving their position [6][8]. - There are also restrictions on trading shares based on the timing of financial report announcements and other significant events [8][9]. Regulations on Share Increase and Decrease - Any plans for increasing or decreasing shareholdings must be disclosed in advance, with specific timelines for reporting to the Shenzhen Stock Exchange [10][11]. - The document specifies that any shares acquired through inheritance or legal proceedings are subject to the same transfer restrictions as other shares [11][12]. Final Provisions - The management system will be interpreted and revised by the company's board of directors, and it will take effect upon approval [12].
标准股份: 标准股份董事和高级管理人员持有及买卖本公司股份的管理制度(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-22 09:21
General Principles - The management system for the shareholding and trading of shares by directors and senior management of Xi'an Standard Industrial Co., Ltd. is established to strengthen the management of shareholding and trading activities in accordance with relevant laws and regulations [1][2] - Directors include all members of the board, including independent directors, while senior management refers to positions defined in the company's articles of association [1] Pre-Disclosure Requirements - Directors and senior management must proactively and truthfully declare their stock accounts and shareholdings to the company [2] - A written notice of trading plans must be submitted to the board secretary at least two days prior to any share trading [2][3] - Personal information must be reported to the Shanghai Stock Exchange at specified times, including when new directors are appointed or when there are changes in personal information [2] Transfer Limitations - Directors and senior management can only transfer up to 25% of their total shareholdings each year, with exceptions for certain circumstances such as judicial enforcement [3][4] - The calculation of transferable shares is based on the previous year's end holdings, with adjustments for any new shares acquired [4] Prohibited Actions - Share transfers are prohibited under specific conditions, such as within 12 months of the stock's listing or within six months of leaving the position [5] - Trading is also restricted during certain periods, including before the announcement of annual or quarterly reports [5] Information Disclosure and Penalties - The board secretary is responsible for managing the shareholding and trading activities of directors and senior management, ensuring compliance with disclosure requirements [6][7] - Any violations of trading regulations may result in penalties, including the forfeiture of illegal gains and potential dismissal recommendations [7][8] Applicability and Amendments - The restrictions on shareholding and trading also apply to the spouses, parents, and children of directors and senior management [8] - The system will be executed in accordance with national laws and regulations, and any amendments will be made by the board of directors [8]
汇金通: 青岛汇金通电力设备股份有限公司董事和高级管理人员所持本公司股份及其变动管理办法(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-22 08:12
Core Viewpoint - The document outlines the management measures for the shares held by directors and senior management of Qingdao Huijin Tong Electric Equipment Co., Ltd, emphasizing compliance with relevant laws and regulations regarding share trading and disclosure [1][3][10]. Summary by Sections General Provisions - The term "senior management" is defined according to the company's articles of association [1]. - The management measures apply to the shares held and traded by the company's directors and senior management [3]. Information Reporting and Disclosure - Directors and senior management must notify the board secretary in writing before buying or selling company shares, and the board secretary is responsible for verifying compliance with relevant regulations [2][3]. - The company must report any changes in shareholding by directors and senior management within two trading days [4][5]. Shareholding Management - Directors and senior management are prohibited from transferring shares under certain conditions, including during specific periods before financial reports are announced [11][12]. - The document specifies that the maximum number of shares that can be transferred annually is limited to 25% of the total shares held [12][13]. Restrictions on Trading - Directors and senior management are not allowed to engage in short selling or derivative trading of the company's shares [12][13]. - There are specific periods during which trading is prohibited, such as before the announcement of financial results [11]. Compliance and Reporting - The board secretary is responsible for managing and reporting the shareholding data of directors and senior management [4]. - Any violations of the trading regulations must be reported to the China Securities Regulatory Commission and the stock exchange [4][10].
福瑞达: 鲁商福瑞达医药股份有限公司董事和高级管理人员所持本公司股份及其变动管理制度
Zheng Quan Zhi Xing· 2025-08-21 13:13
Core Viewpoint - The document outlines the management system for the shares held by directors and senior management of Lushang Furuida Pharmaceutical Co., Ltd, emphasizing compliance with relevant laws and regulations regarding shareholding and trading activities [1][12]. Group 1: General Provisions - The system is established to strengthen the management of shares held by directors and senior management in accordance with various laws and regulations [1]. - The system applies to directors, senior management, and other specified individuals or organizations regarding their shareholding and trading activities [1]. Group 2: Information Reporting - The company secretary is responsible for managing the data of directors and senior management regarding their shareholdings and must report any violations to regulatory authorities [2]. - Directors and senior management must report their personal information and any changes within two trading days [5]. Group 3: Share Locking and Unlocking - Shares held by directors and senior management will be locked upon reporting their personal information, and specific conditions apply for transferring shares [10][11]. - Upon leaving the company, directors and senior management's shares will be locked for six months, after which they will be automatically unlocked [15]. Group 4: Share Trading and Disclosure - Directors and senior management must notify the company secretary of their trading plans and adhere to regulations regarding insider trading [16][17]. - There are specific periods during which directors and senior management are prohibited from trading shares, including before financial report announcements [23]. Group 5: Share Transfer Limitations - There are restrictions on the transfer of shares by directors and senior management, including limits on the percentage of shares that can be transferred annually [19][20]. - The document specifies conditions under which shares cannot be transferred, such as during investigations or legal proceedings [18]. Group 6: Compliance and Enforcement - Violations of the regulations may result in penalties from regulatory authorities, and the company may impose its own sanctions based on the severity of the violation [29]. - The document grants the board of directors the authority to interpret the provisions and mandates compliance with relevant laws and regulations [30][31].
潮宏基: 董事和高级管理人员所持本公司股份及其变动管理制度(草案)(H股发行并上市后适用)
Zheng Quan Zhi Xing· 2025-08-14 12:13
公司董事、高级管理人员及有关雇员拟进行公司证券交易的,必须遵守《上市发 行人董事进行证券交易的标准守则》和《证券及期货条例》及其他公司股票上市 地证券监管机构和证券交易所规则。有关雇员包括除高级管理人员外其他任何因 其职务或雇员关系而可能会掌握关于公司或公司证券的内幕信息的雇员,或公司 附属公司或控股公司的该等董事、高级管理人员、监事(如适用)或雇员。 第三条 本制度所指高级管理人员指公司总经理、副总经理、董事会秘书、财 务负责人。 广东潮宏基实业股份有限公司 董事和高级管理人员所持本公司股份及其 变动管理制度(草案) (H 股发行并上市后适用) 第一章 总则 第一条 为加强广东潮宏基实业股份有限公司(以下简称"公司"或"本公司") 对董事和高级管理人员持有本公司股份及其变动的管理工作,根据《中华人民共 和国公司法》(以下简称《公司法》)、《中华人民共和国证券法》(以下简称 "《证券法》")、《上市公司董事和高级管理人员所持本公司股份及其变动管理 规则》《深圳证券交易所上市公司自律监管指引第 10 号——股份变动管理》《深 圳证券交易所股票上市规则》《深圳证券交易所上市公司自律监管指引第 1 号— —主板上市 ...
芯碁微装: 董事和高级管理人员所持公司股份及其变动管理办法(2025年8月)
Zheng Quan Zhi Xing· 2025-08-13 11:11
General Provisions - The management measures for the shares held by the company's directors and senior management are established to strengthen the management of shareholding and changes in accordance with relevant laws and regulations [1][2] - This management method applies to the shares held by directors, senior management, and other specified individuals or organizations [1] Trading Restrictions - Directors and senior management must consult the company secretary before buying or selling shares to ensure compliance with regulations [2][3] - There are specific circumstances under which shares held by directors and senior management cannot be transferred, including within six months after leaving the company or during investigations by regulatory authorities [2][3] Transfer Limitations - During their term and within six months after leaving, directors and senior management can only transfer up to 25% of their total shares held each year, with certain exceptions [3][4] - Newly acquired shares can only be transferred at a rate of 25% in the year they are acquired, with the remaining shares counted towards the next year's transferable shares [4] Reporting and Disclosure - Directors and senior management must report any changes in their shareholding within two trading days and disclose relevant details through the company [8][9] - A reduction plan must be reported to the company and the stock exchange 15 trading days before the first sale, including details such as the number of shares and the reason for the reduction [7][8] Violations and Responsibilities - Violations of these management measures can lead to disciplinary actions, including warnings or dismissal, and may also result in civil liability or criminal prosecution if laws are breached [9][10] - The company is responsible for maintaining complete records of any violations and must report to regulatory authorities as required [10]
博通集成: 博通集成董事和高级管理人员持有公司股份及其变动管理制度
Zheng Quan Zhi Xing· 2025-08-08 16:23
Core Viewpoint - The document outlines the management system for the shareholding and trading behavior of directors and senior management at Broadcom Integrated Circuit (Shanghai) Co., Ltd, emphasizing compliance with relevant laws and regulations regarding insider trading and share transfer restrictions [1][2][3]. Summary by Sections General Principles - The system is established to enhance the declaration, disclosure, supervision, and management of shareholding and trading activities by directors and senior management, in accordance with Chinese laws and regulations [1]. Prohibited Trading Activities - Directors and senior management are prohibited from transferring shares under certain conditions, including within one year of the company's stock listing, within six months after leaving the company, or during investigations related to securities violations [2]. Trading Restrictions - Specific periods during which directors and senior management cannot trade company shares include 15 days prior to the announcement of annual and semi-annual reports, and 5 days prior to quarterly reports [3]. Information Declaration and Disclosure - Directors and senior management must ensure the timely, truthful, accurate, and complete declaration of their shareholding data. The company secretary is responsible for managing this data and reporting any violations to regulatory authorities [4]. Share Transfer Management - Directors and senior management can only transfer up to 25% of their total shareholding each year, with certain exceptions. They must report their share transfer plans 15 trading days in advance [5][6]. Reporting Changes in Shareholding - Any changes in shareholding must be reported within two trading days, including details such as the number of shares held before and after the change, the date, and the price [7][8].
海新能科: 董事和高级管理人员所持本公司股份及其变动管理制度(2025年08月)
Zheng Quan Zhi Xing· 2025-08-08 11:14
Core Viewpoint - The document outlines the management system for the shareholding and trading activities of directors and senior management at Beijing Hai New Energy Technology Co., Ltd, emphasizing compliance with relevant laws and regulations to prevent insider trading and ensure transparency in share transactions [3][4][5]. Group 1: General Principles - The system aims to strengthen the declaration, disclosure, supervision, and management of shareholding and trading activities by directors and senior management [3]. - It is based on various legal frameworks including the Company Law and Securities Law of the People's Republic of China [3][4]. Group 2: Trading Regulations - Directors and senior management must notify the company secretary in writing of their trading plans before executing any trades [4][5]. - They are prohibited from engaging in illegal trading activities such as insider trading and market manipulation [4][5]. Group 3: Reporting and Disclosure - Directors and senior management are required to report their shareholding changes within two trading days of any change [12][13]. - The company secretary is responsible for managing the identity and shareholding data of directors and senior management, ensuring accurate and timely disclosures [5][6]. Group 4: Restrictions on Share Transfers - There are specific periods during which directors and senior management are not allowed to sell shares, including 15 days before the announcement of annual or semi-annual reports [13][14]. - Certain conditions restrict the transfer of shares, such as being within one year of the company's stock listing or within six months after leaving the company [7][12]. Group 5: Penalties for Violations - Violations of the established rules may result in disciplinary actions, including warnings, demotions, or legal consequences [21][40]. - The company is obligated to document and report any violations to the relevant regulatory authorities [41].
ST长方: 董事和高级管理人员所持公司股份及其变动管理规则(2025年8月)
Zheng Quan Zhi Xing· 2025-08-04 16:35
深圳市长方集团股份有限公司 董事和高级管理人员所持 公司股份及其变动管理规则 目 录 第一章 总则 第二章 股份管理 第一章 总则 第三章 信息申报与披露 第一条为加强对深圳市长方集团股份有限公司(以下简称"公司"或"本公司") 董事、高级管理人员所持本公司股份及其变动的管理,做好相应的信息披露,根 据《中华人民共和国公司法》(以下简称"《公司法》")、《中华人民共和国证 券法》(以下简称"《证券法》")、《深圳证券交易所创业板股票上市规则》、 《深圳证券交易所上市公司自律监管指引第 2 号——创业板上市公司规范运 作》、《深圳证券交易所上市公司自律监管指引第 18 号——股东及董事、高级 管理人员减持股份》、《深圳证券交易所上市公司自律监管指引第 10 号——股 份变动管理》、《上市公司董事和高级管理人员所持本公司股份及其变动管理规 则》等法律法规以及《深圳市长方集团股份有限公司章程》(以下简称"《公司 章程》")的相关规定,制定本制度。 第四章 责任追究 第二条 本制度适用于公司的董事和高级管理人员所持公司股份及其变动的 管理。 第五章 附则 第三条公司董事和高级管理人员所持本公司股份,是指登记在其名下和 ...