股份变动管理
Search documents
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
Zheng Quan Zhi Xing· 2025-07-21 10:30
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]
ST证通: 董事、高级管理人员所持本公司股份及其变动管理办法(2025年7月)
Zheng Quan Zhi Xing· 2025-07-18 16:29
General Principles - The management measures for the shares held by the board of directors and senior management of Shenzhen Zhitong Electronics Co., Ltd. are established to strengthen the management of shareholding and changes in accordance with relevant laws and regulations [1][2] - Board members and senior management must be aware of laws prohibiting insider trading and market manipulation before trading the company's stocks [1][2] Share Transfer Management - The maximum number of shares that board members and senior management can transfer during their term is limited to 25% of their total shareholding, with exceptions for judicial enforcement and inheritance [2] - If the shares held by board members and senior management increase during the year, 25% of the newly acquired unrestricted shares can be transferred that year, while restricted shares will be included in the next year's transferable shares calculation [2] - Shares cannot be transferred under certain conditions, including within one year of the company's stock listing and within six months after leaving the company [2][3] Trading Restrictions - Board members and senior management are prohibited from trading the company's stocks during specific periods, such as 15 days before the annual and semi-annual reports and 5 days before quarterly reports [3] - They must not sell shares within six months of purchase or buy shares within six months of sale [3] Disclosure Requirements - Board members and senior management must report their shareholding changes within two trading days and disclose details such as the number of shares, dates, and prices [10][11] - A reduction plan must include the number of shares to be reduced, the time frame, and the reasons for the reduction [4] Penalties and Responsibilities - Any violations of the securities laws or internal regulations regarding share trading will result in the company reclaiming any profits made and may lead to internal disciplinary actions [12][29] - The company is responsible for ensuring that related parties do not engage in insider trading based on confidential information [5][12] Implementation - The management measures will be effective upon approval by the company's board of directors [13]
星环科技: 董事、高级管理人员所持本公司股份及其变动管理制度(H股适用)
Zheng Quan Zhi Xing· 2025-07-17 16:14
General Principles - The management system for the shares held by directors and senior management of StarRing Information Technology (Shanghai) Co., Ltd. aims to clarify the procedures for handling share ownership and changes in accordance with relevant laws and regulations [1][2] - The system is applicable after the issuance of H shares and is designed to ensure compliance with the Company Law, Securities Law, and other regulatory guidelines [1][2] Shareholding and Trading Restrictions - Directors and senior management are prohibited from engaging in margin trading or derivative transactions involving the company's shares [2] - Share transfers by directors and senior management must comply with legal and regulatory requirements, including commitments regarding shareholding ratios and transfer methods [2][3] - Specific conditions under which shares cannot be transferred include the first year after the company's stock is listed, within six months after leaving the company, and during ongoing investigations or legal proceedings [3][4] Trading Blackout Periods - Directors and senior management are restricted from trading company shares during specific periods, such as 15 days before annual and semi-annual reports, and 5 days before quarterly reports [4] - Additional restrictions apply when significant events that could impact share prices occur, until the information is disclosed [4] Reporting and Disclosure Requirements - Directors and senior management must report their shareholding changes within two trading days and disclose details such as the number of shares before and after the change, the date, and the reason for the change [9][12] - Any planned share reductions must be reported to the Shanghai Stock Exchange 15 trading days in advance, including details about the number of shares, source, and reasons for the reduction [8][9] Compliance and Penalties - The company is responsible for ensuring that directors and senior management do not engage in insider trading or other illegal activities related to share transactions [12] - Violations of the management system may result in disciplinary actions by the company and potential legal consequences [12][14] Implementation and Effectiveness - The management system will take effect upon the company's first public issuance of H shares and listing on the Hong Kong Stock Exchange, replacing any previous regulations [14]
东微半导: 苏州东微半导体股份有限公司董事、高级管理人员股份变动及其管理制度
Zheng Quan Zhi Xing· 2025-07-16 14:13
Core Points - The document outlines the management system for the shares held by directors and senior management of Suzhou Dongwei Semiconductor Co., Ltd, aiming to regulate the trading and changes of these shares in accordance with relevant laws and regulations [1][2][3] Summary by Sections General Principles - The management system is established to standardize the procedures for the shares held by directors and senior management, based on the Company Law and Securities Law of the People's Republic of China [1][2] - The system applies to all shares registered under the names of directors and senior management, including those held in others' accounts and credit accounts for margin trading [2] Management of Share Changes - Directors and senior management must be aware of laws prohibiting insider trading, market manipulation, and short-term trading before buying or selling company shares [3] - They are required to notify the company board secretary in writing about their trading plans, who will then verify the status of information disclosure and significant events [3] Restrictions on Share Transfer - There are specific conditions under which shares cannot be transferred, including within one year of the company's stock listing and within six months after leaving the company [3][4] - The maximum amount of shares that can be transferred annually is limited to 25% of the total shares held, with exceptions for certain circumstances [4] Reporting and Disclosure Requirements - Directors and senior management must report their share transfer plans to the Shanghai Stock Exchange 15 trading days before selling, including details such as the number of shares and the reason for the sale [5] - Any changes in shareholding must be reported within two trading days, including the number of shares before and after the change [7][12] Trading Blackout Periods - There are specific blackout periods during which directors and senior management are prohibited from trading company shares, such as before the announcement of annual and semi-annual reports [8] Legal Compliance and Responsibilities - Any violations of the Securities Law regarding share trading will result in the company reclaiming any profits made from such trades [14] - The company board secretary is responsible for managing the data and information related to the shares held by directors and senior management [18]
高测股份: 董事、高级管理人员和核心技术人员持有公司股份及其变动管理制度
Zheng Quan Zhi Xing· 2025-07-11 16:26
General Principles - The company establishes a management system for the shares held by its directors, senior management, and core technical personnel to comply with relevant laws and regulations [1][2] - The shares held by directors and senior management include those registered in their names and those held through others' accounts [1] Share Transfer Rules - 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 the company [2] - Specific circumstances that restrict share transfers include investigations by regulatory authorities or administrative penalties [2] Trading Restrictions - Directors and senior management cannot trade company shares during specific periods, such as 15 days before the annual or semi-annual report announcements [3] - Violations of the Securities Law regarding trading within six months of buying or selling shares will result in the company reclaiming the profits [3] Core Technical Personnel Regulations - Core technical personnel are subject to restrictions on transferring shares acquired before the company's initial public offering, including a 12-month lock-up period post-listing [4] - They can only transfer a maximum of 25% of their pre-IPO shares each year for four years after the lock-up period [4] Information Reporting and Disclosure - The company secretary is responsible for managing the shareholding data of directors and senior management, ensuring timely reporting of any changes [5][6] - Directors and senior management must report any shareholding changes within two trading days and disclose relevant details on the stock exchange [7][8] Penalties and Responsibilities - Violations of the established rules may lead to disciplinary actions by the company and reporting to regulatory authorities [10] - The company reserves the right to amend the management system in accordance with new laws and regulations [10]
通宝能源: 山西通宝能源股份有限公司董事、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· 2025-07-11 16:13
General Principles - The management system for the shares held by the board of directors and senior management of Shanxi Tongbao Energy Co., Ltd. aims to regulate share management and maintain market order, in accordance with relevant laws and regulations [1][2] - This system applies to all shares held by the company's directors and senior management, including those in margin trading accounts [1] Share Transfer Management - Directors and senior management are prohibited from transferring shares under specific circumstances, such as within one year of the company's stock listing or within six months after leaving the company [2] - The maximum allowable transfer of shares during their term and within six months after is capped at 25% of their total holdings, with exceptions for certain legal situations [2][3] Information Reporting and Disclosure - Directors and senior management must report their share transfer plans to the Shanghai Stock Exchange 15 trading days before selling shares, including details such as the number of shares and the reason for the transfer [5] - Any changes in shareholdings must be reported within two trading days, ensuring timely and accurate disclosure of information [7][8] Compliance and Legal Responsibilities - The company reserves the right to pursue legal action against directors and senior management who fail to comply with relevant laws and regulations regarding share trading [8] - The board secretary is responsible for managing the data related to the shareholdings of directors and senior management, ensuring compliance with disclosure requirements [7]
国货航: 《中国国际货运航空股份有限公司董事、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· 2025-06-18 11:19
Core Points - The document outlines the management system for the shareholding and trading activities of directors and senior management of China International Cargo Airlines Co., Ltd. [1][2] - It emphasizes compliance with relevant laws and regulations, including the Company Law and Securities Law, to prevent insider trading and market manipulation [2][3] - The document specifies restrictions on share transfers by directors and senior management under certain conditions, such as within one year of the company's stock listing or during investigations [3][4] Summary by Sections General Provisions - The management system aims to strengthen the declaration, disclosure, and supervision of shareholding and trading activities by directors and senior management [1] - It defines the shares held by directors and senior management, including those held in others' accounts and through margin trading [1] Prohibitions and Restrictions on Share Transfers - Directors and senior management are prohibited from transferring shares under specific circumstances, including within one year of the company's stock listing and during investigations related to securities violations [3][4] - They must also refrain from trading during sensitive periods, such as before the announcement of annual or quarterly reports [3][4] Information Declaration and Disclosure Management - Directors and senior management must report their shareholding information and any changes within specified timeframes [7][10] - The company secretary is responsible for managing and verifying the shareholding data of directors and senior management [7][8] Additional Regulations - The document includes provisions for the transfer of shares, including limits on the percentage of shares that can be transferred during a specified period [5][6] - It mandates that any changes in shareholding must be reported within two trading days [12][24]
联瑞新材: 联瑞新材股东及董事、高级管理人员、核心技术人员持有公司股份及其变动管理制度
Zheng Quan Zhi Xing· 2025-06-13 12:23
Core Points - The document outlines the management system for the shares held by the shareholders, directors, senior management, and core technical personnel of Jiangsu Lianrui New Materials Co., Ltd. [2][3] - The system aims to strengthen the management of shareholding changes and maintain market order in accordance with relevant laws and regulations [2][3][4] Shareholding Management - The system applies to actual controllers, major shareholders, directors, senior management, and core technical personnel [2] - Shareholders must be aware of laws prohibiting insider trading and market manipulation before trading [3][4] - Major shareholders and directors are restricted from selling shares under specific conditions, including within one year of the company's stock listing and during investigations [5][6] Restrictions on Share Transfers - Directors and senior management cannot transfer shares within three complete accounting years if the company has not yet achieved profitability [4][5] - Major shareholders are also restricted from reducing their holdings under certain conditions, such as ongoing investigations or administrative penalties [6][7] Reporting and Disclosure - Directors and senior management must report their shareholding changes to the company and relevant authorities within specified timeframes [10][12] - The company is responsible for ensuring the accuracy and timeliness of the reported information [10][11] Penalties and Responsibilities - Violations of the shareholding management rules may result in disciplinary actions, including warnings, demotions, or legal consequences [37][38] - The company must document any violations and report them to regulatory authorities as required [28][39]
三旺通信: 深圳市三旺通信股份有限公司董事、高级管理人员及核心技术人员所持本公司股份及其变动管理制度(2025年5月修订)
Zheng Quan Zhi Xing· 2025-05-30 10:48
深圳市三旺通信股份有限公司 董事、高级管理人员及核心技术人员 所持本公司股份及其变动管理制度 (2025 年 5 月修订) 深圳市三旺通信股份有限公司 董事、高级管理人员及核心技术人员所持本公司股份及其变动管 理制度 第一章 总则 第一条 为加强对深圳市三旺通信股份有限公司(以下简称"公司"或"上市公 司")董事、高级管理人员及核心技术人员所持本公司股份及其变动的管理,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》")《上市公司股东减持股份管理暂行办法》《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》《上海证券交易所上市公司自 律监管指引第 15 号——股东及董事、高级管理人员减持股份》等法律、法规以及 《深圳市三旺通信股份有限公司章程》(以下简称"《公司章程》")的相关规定, 结合公司实际情况,制定本制度。 第二条 本制度适用于公司董事、高级管理人员及核心技术人员所持本公司股份 及其变动的管理。 第三条 公司董事、高级管理人员及核心技术人员所持公司股份,是指登记在其 名下和利用他人账户持有的所有本公司股份。公司董事、高级管理人员从事融资 ...
顶固集创: 董事和高级管理人员股份及变动管理规定(2025年5月)
Zheng Quan Zhi Xing· 2025-05-23 12:20
Core Viewpoint - The management system for the shareholding and trading of shares by directors and senior management of Guangdong Topstrong Home Co., Ltd. aims to strengthen the management of stock holdings and trading activities, ensuring compliance with relevant laws and regulations [2][3]. Group 1: General Provisions - The system is established to manage the shareholding and trading of the company's stock by directors and senior management, in accordance with various laws and regulations [2]. - The system applies to directors and senior management, who must comply with reporting obligations regarding their shareholdings [2][3]. - The term "senior management" includes the general manager, deputy general managers, board secretary, financial director, and other personnel as defined in the company’s articles [2]. Group 2: Information Reporting and Disclosure - Directors and senior management must report their personal and immediate family members' information to the Shenzhen Stock Exchange at specified times, including during new appointments and changes in personal information [4]. - Prior to trading company shares, directors and senior management must notify the board secretary of their trading plans two trading days in advance [5]. - Any changes in shareholdings must be reported to the company and disclosed on the stock exchange within two trading days [6]. Group 3: Shareholding Changes Management - After one year of listing, newly acquired unrestricted shares by directors and senior management are subject to a 75% automatic lock-up, while newly acquired restricted shares are included in the calculation for the next year's transferable shares [14]. - Directors and senior management are prohibited from transferring shares within one year of the company's stock listing and for six months after leaving their positions [10][19]. - The company must report any longer transfer prohibition periods or lower transferable share ratios as stipulated in other documents [15]. Group 4: Other Regulations - During the lock-up period, directors and senior management retain their rights to dividends, voting, and preferential subscription [13]. - The company is responsible for ensuring that directors and senior management do not engage in insider trading or allow others to do so based on insider information [22]. - Violations of the system may result in disciplinary actions, including warnings, demotions, or legal consequences [27].