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董事和高级管理人员持股变动管理
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华鲁恒升: 华鲁恒升董事和高级管理人员持股变动管理办法(全文)
Zheng Quan Zhi Xing· 2025-09-05 16:22
Core Viewpoint - The document outlines the management measures for the shareholding changes of directors and senior management of Shandong Hualu Hengsheng Chemical Co., Ltd, aiming to regulate their shareholding activities and maintain market order [1]. Group 1: General Provisions - The management measures are established based on relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China [1]. - The company and its directors and senior management must comply with these management measures [1]. Group 2: Restrictions on Shareholding Changes - Directors and senior management are prohibited from transferring their shares under specific circumstances, such as within one year of the company's stock listing and within six months after leaving their positions [2]. - Additional restrictions apply if the company is under investigation for securities violations or if the directors and senior management are subject to administrative penalties [2]. Group 3: Transfer Limitations - Directors and senior management can only transfer up to 25% of their total shareholding during their term and within six months after their term ends, with exceptions for certain circumstances [2]. - New shares acquired through various means, such as stock issuance or equity incentive plans, have specific transfer limits in the year of acquisition [3]. Group 4: Reporting and Disclosure - Directors and senior management must report their shareholding changes to the stock exchange within two trading days of the change occurring [17]. - The company is responsible for ensuring the accuracy and timeliness of the reported data regarding shareholding changes [16]. Group 5: Compliance and Accountability - The company’s board secretary is tasked with managing the shareholding data and ensuring compliance with reporting requirements [8]. - Violations of these management measures may result in penalties from regulatory authorities and potential civil liabilities for losses incurred by investors [19].
东方环宇: 东方环宇董事、高级管理人员持股及变动管理制度
Zheng Quan Zhi Xing· 2025-08-26 09:17
Core Viewpoint - The document outlines the management system for the shareholding and trading activities of directors and senior management at Xinjiang Dongfang Huanyu Gas Co., Ltd. (stock code: 603706), emphasizing compliance with relevant laws and regulations to prevent insider trading and ensure transparency in share transactions. Group 1: General Principles - The system aims to strengthen the management of shares held by directors and senior management, clarifying procedures based on various laws and regulations, including the Company Law and Securities Law [1] - This system applies to shares held by directors, senior management, and other specified individuals or organizations [2] Group 2: Trading Declaration - Directors and senior management must submit their trading plans in writing to the board secretary at least three trading days before executing any trades [4] - The board secretary is responsible for verifying compliance with disclosure and significant matters before notifying relevant parties of any potential violations [4] Group 3: Transferable Shares Calculation - Directors and senior management are restricted to transferring no more than 25% of their total shares during their term and within six months after their term ends, with exceptions for certain circumstances [10] - The calculation of transferable shares is based on the total number of shares held at the end of the previous fiscal year [11] Group 4: Prohibited Trading Situations - Directors and senior management are prohibited from trading shares during specific periods, such as 15 days before the annual or semi-annual report announcements [11] - The document specifies conditions under which shares cannot be transferred, including during the first year post-IPO and within six months after leaving the company [16] Group 5: Disclosure of Trading Activities - Directors and senior management must report any changes in shareholding within two trading days, including details of the transaction [14] - The board secretary is responsible for managing and reporting the identity and shareholding data of relevant individuals [15] Group 6: Responsibilities and Penalties - Violations of the system may result in penalties, including warnings, recovery of profits from illegal trades, and potential civil or criminal liability [17][18] - The company must maintain complete records of any violations and report them to regulatory authorities as required [27]
千里科技: 重庆千里科技股份有限公司董事、高级管理人员持股变动管理制度(2025年8月制定)
Zheng Quan Zhi Xing· 2025-08-22 16:49
Core Viewpoint - The document outlines the management system for the shareholding changes of directors and senior management at Chongqing Qianli Technology Co., Ltd, emphasizing compliance with relevant laws and regulations to protect the interests of the company and minority shareholders [1][2]. Summary by Sections General Principles - The system is established to strengthen the management of shares held by directors and senior management, clarifying procedures based on various laws and regulations [1]. - It applies to all shares held by directors and senior management, including those held in others' accounts and through margin trading [2]. Shareholding Change Rules and Information Disclosure - Directors and senior management must conduct share reductions in a standardized, rational, and orderly manner, considering the interests of the company and minority shareholders [2]. - Prior to trading, they must notify the board secretary in writing, who will verify compliance with disclosure and significant matters [2]. - Specific timelines for reporting personal information to the Shanghai Stock Exchange are established for new and existing directors and senior management [3]. Restrictions on Share Transfers - Certain conditions restrict the transfer of shares held by directors and senior management, including a one-year lock-up period post-listing and a six-month restriction after leaving the position [4]. - Transfers during their term and within six months after must not exceed 25% of their total holdings, with exceptions for specific circumstances [5]. Reporting and Disclosure Requirements - Directors and senior management must report any changes in shareholding within two trading days, including details of the change [7]. - They are prohibited from trading during specific periods, such as before the announcement of financial reports [7]. Responsibilities and Compliance - The board secretary is responsible for managing the data related to directors and senior management's shareholdings and ensuring compliance with reporting requirements [7]. - The board of directors is tasked with interpreting and modifying the management system as necessary [8].
昊海生科: 上海昊海生物科技股份有限公司董事和高级管理人员持股变动管理办法(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-22 10:18
Core Viewpoint - The document outlines the management measures for the shareholding changes of directors and senior management at Shanghai Haohai Biological Technology Co., Ltd, emphasizing compliance with various laws and regulations regarding insider trading and share transactions. Group 1: General Provisions - The management measures are established to regulate the shareholding of directors and senior management in accordance with the Company Law, Securities Law, and other relevant regulations [1][2]. - Directors and senior management are prohibited from engaging in margin trading or derivative transactions involving the company's shares [2]. Group 2: Information Reporting - Directors and senior management must report their shareholding information to the company secretary within specified timeframes, including changes in personal information and share transactions [5][6]. - The company secretary is responsible for managing and reporting the shareholding data of directors and senior management [4]. Group 3: Notification Requirements - Directors and senior management must notify the chairman or a designated director in writing before buying or selling company shares, and must receive confirmation before proceeding with the transaction [6][7]. - Any changes in shareholding must be reported to the board secretary within two trading days [7]. Group 4: Restrictions on Share Transfers - 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 [9][10]. - Specific periods are defined during which directors and senior management cannot trade company shares, particularly around the announcement of financial reports [9]. Group 5: Transfer Regulations - Directors and senior management can only transfer up to 25% of their total shareholding within a specified timeframe after their appointment [14]. - If the number of shares held is less than 1,000, they may transfer all shares without restriction [15]. Group 6: Special Provisions for Share Reduction - A reduction plan must be reported to the stock exchange 15 trading days prior to the first sale, detailing the number of shares, reasons for reduction, and compliance with regulations [21][22]. - Any significant corporate events must be disclosed alongside the progress of share reductions [22]. Group 7: Legal Responsibilities - Directors and senior management are liable for any violations of these management measures, and any illegal gains from such violations must be returned to the company [24][25].
东贝集团: 湖北东贝机电集团股份有限公司董事和高级管理人员持股变动管理制度(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-21 16:58
General Principles - The company establishes a management system for the shareholding changes of its directors and senior management to maintain market order and clarify rights and obligations [2] - Directors and senior management must be aware of laws prohibiting insider trading and market manipulation before trading company shares [2] Information Reporting and Shareholding Management - Directors and senior management must report personal information to the company secretary at specific times, including when they are newly appointed or when their information changes [3][4] - The company will confirm shareholding information as required by the China Securities Depository and Clearing Corporation [5] Lock-up Periods and Transfer Restrictions - Newly acquired shares by directors and senior management are subject to a lock-up period, with 100% of shares locked for one year post-listing and 75% for subsequent purchases [4][6] - After the lock-up period, a certain percentage of shares will be available for transfer each year, with specific calculations for unlockable shares [6][7] Conditions for Share Transfer - Directors and senior management cannot transfer shares under certain conditions, such as within one year of listing or within six months after leaving the company [21][22] - They must also ensure that related parties do not trade based on insider information [10] Information Disclosure Management - Directors and senior management must disclose share trading activities within two trading days, including details of shareholdings before and after the transaction [28][29] - A reduction plan must be reported before any share reduction, detailing the number of shares and the reasons for the reduction [30][31] Penalties for Violations - The company may impose internal penalties on directors and senior management for violations of laws and regulations, in addition to any external penalties imposed by regulatory authorities [34] Miscellaneous Provisions - The company reserves the right to interpret and amend this management system as necessary, ensuring compliance with national laws and regulations [36][38]
大龙地产: 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月修订)
Zheng Quan Zhi Xing· 2025-07-25 16:14
General Principles - The management measures for the shares held by the company's directors and senior management aim to strengthen the oversight of their shareholdings and changes in accordance with relevant laws and regulations [1][2] - The company is governed by the Company Law, Securities Law, and specific management rules regarding shareholding changes [1] Shareholding Change Management - Directors and senior management are prohibited from reducing their shareholdings under certain circumstances, such as being under investigation for securities violations or facing administrative penalties [2] - There are specific blackout periods during which directors and senior management cannot trade the company's shares, including 15 days before annual and semi-annual reports and 5 days before quarterly reports [2][3] - The maximum amount of shares that directors and senior management can transfer in a year is limited to 25% of their total holdings, with exceptions for certain legal circumstances [2] Additional Provisions - New shares acquired through various means, such as public offerings or stock options, have specific transferability rules, allowing 25% of newly unrestricted shares to be transferred in the year of acquisition [4] - Any untransferred shares at the end of the year will be included in the total for the following year's transfer calculations [4] - Violations of the securities laws regarding the timing of buying and selling shares will result in the company reclaiming any profits made from such transactions [4] Reporting and Compliance - Directors and senior management must report any changes in their shareholdings within two trading days and disclose specific details about the changes [4] - The company secretary is responsible for managing the data and information related to the shareholdings of directors and senior management [4] - Any violations of the management measures will result in the profits being returned to the company and may lead to further disciplinary actions [4]
水羊股份: 董事和高级管理人员持股变动管理办法(2025年7月)
Zheng Quan Zhi Xing· 2025-07-22 13:12
Core Viewpoint - The document outlines the management measures for changes in shareholding by directors and senior management of Shuiyang Group Co., Ltd, emphasizing compliance with relevant laws and regulations regarding insider trading, shareholding disclosures, and trading restrictions [1][2][3]. Group 1: Management Procedures - The measures apply to all shares held by directors and senior management, including those held in multiple accounts and through margin trading [1][2]. - Directors and senior management must report their shareholding and any changes within specified timeframes, including new appointments and changes in personal information [2][3]. - The company secretary is responsible for managing and verifying the shareholding data of directors and senior management, ensuring compliance with disclosure requirements [2][3]. Group 2: Trading Restrictions - Directors and senior management are prohibited from engaging in insider trading, market manipulation, and short-term trading [2][3]. - They must report their trading intentions to the company secretary and cannot trade shares without prior confirmation [4][5]. - Specific restrictions apply during sensitive periods, such as before financial reports and significant corporate events [6][7]. Group 3: Share Reduction and Increase - Any reduction in shareholding must be planned and reported 15 trading days in advance, with detailed information on the number of shares, timing, and reasons for the reduction [5][6]. - Directors and senior management are limited in the amount they can sell during their tenure and for six months after leaving the company [5][6]. - Increases in shareholding must also be disclosed, with specific limits based on the percentage of shares held [23][24]. Group 4: Compliance and Accountability - Violations of these measures can result in the company recovering any profits made from illegal trading activities [32][33]. - The company is required to maintain records of any violations and report them to regulatory authorities [35][36]. - The measures are subject to revision and must comply with national laws and regulations [37].
富祥药业: 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· 2025-06-27 16:48
Core Points - The document outlines the regulations governing the trading of company shares by directors, senior management, and securities representatives of Jiangxi Fuxiang Pharmaceutical Co., Ltd. [1][2] - It emphasizes compliance with relevant laws and regulations to prevent insider trading and market manipulation [2][4] - The document specifies the restrictions on share transfers and trading periods for directors and senior management [4][5] Group 1: Regulations and Compliance - The company establishes a system to regulate stock trading by its directors and senior management, ensuring adherence to the Company Law and Securities Law [1][2] - Directors and senior management must notify the board secretary of their trading plans three trading days in advance [2][3] - Specific prohibitions on share transfers are outlined, including restrictions during certain periods and under specific conditions [4][5] Group 2: Trading Restrictions - Directors and senior management cannot transfer shares within one year of the company's stock listing or within six months after leaving the company [4][5] - Trading is also restricted during the fifteen days prior to the announcement of annual and semi-annual reports [5][6] - Violations of trading regulations may result in the company recovering profits from illegal trades and disclosing the circumstances [6][7] Group 3: Reporting and Disclosure - Directors and senior management must report any changes in their shareholdings within two trading days [9][10] - The company is responsible for ensuring accurate and timely reporting of share transactions to the Shenzhen Stock Exchange [7][9] - Additional reporting requirements are imposed for significant shareholding changes that meet specific thresholds [9][10] Group 4: Accountability and Penalties - The company can impose penalties on directors and senior management for violations of the trading regulations, including warnings and potential dismissal [27][28] - Serious violations may lead to civil liability or criminal prosecution [27][28] - The company must maintain records of any violations and report them to regulatory authorities as required [28][29]
翱捷科技: 董事、高级管理人员持股变动管理制度
Zheng Quan Zhi Xing· 2025-06-27 16:37
Core Viewpoint - The document outlines the management system for shareholding changes of directors and senior management at Aojie Technology Co., Ltd, ensuring compliance with relevant laws and regulations while maintaining transparency and fairness in information disclosure [1][2][3]. Group 1: General Provisions - The management system is established to regulate the shareholding of directors and senior management, ensuring adherence to the Company Law and Securities Law [1]. - The system applies to all shares held by directors and senior management, including those held through others' accounts and margin trading [1]. Group 2: Shareholding Change Rules and Information Reporting - Directors and senior management must report their shareholding changes within two trading days of the occurrence and disclose relevant details such as the number of shares before and after the change [3][4]. - The company is responsible for confirming shareholding information and ensuring accurate reporting to the Shanghai Stock Exchange [4]. Group 3: Transfer Restrictions - Shares held by directors and senior management cannot be transferred within one year of the company's stock listing or within six months after leaving their position [4][5]. - The maximum transferable shares per year during their tenure and within six months after are limited to 25% of their total holdings, with exceptions for certain circumstances [5]. Group 4: Prohibited Trading Situations - Directors and senior management are prohibited from trading shares during specific periods, such as 15 days before annual or semi-annual reports and five days before quarterly reports [6][7]. - Violations of trading regulations may result in the company recovering profits from illegal trades and disclosing the situation publicly [6].