董事和高级管理人员持股变动管理
Search documents
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
新疆东方环宇燃气股份有限公司(股票代码:603706) 董事、高级管理人员持股及变动管理制度 新疆东方环宇燃气股份有限公司 管理制度 新疆东方环宇燃气股份有限公司(股票代码:603706) 董事、高级管理人员持股及变动管理制 度 新疆东方环宇燃气股份有限公司 董事、高级管理人员持股及变动 《上市公司收购管理办法》《上市公司股东减持股份管理暂行办法》 (以下简称 《暂行办法》) 《上海证券交易所股票上市规则》 (以下简称《上市规则》) 董事、高级管理人员持股及变动管理制度 第一章 总 则 第一条 为加强对新疆东方环宇燃气股份有限公司(以下简称"公司")董事和高 级管理人员所持公司股份及其变动的管理,进一步明确相关办理程序,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》(以下简称《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》等相关法律法规、规范性文件规定,以及《新疆东方环宇燃气股份有限公司 章程》(以下简称"公司章程"),制订本制度。 第 ...
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
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 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 第一章 总 则 第一条 为规范上海昊海生物科技股份有限公司(以下简称"公司"或"本 公司")董事和高级管理人员所持本公司股份的管理,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》")、 中国证券监督管理委员会(以下简称"中国证监会") 《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》, 香港联合交易所有限公司(以下简称"联交所") 《香港联合交易所有限公司证券 上市规则》(以下简称"《香港上市规则》")、《上市公司董事进行证券交易的 标准守则》及香港《证券及期货条例》,上海证券交易所(以下简称"上交所") 《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》《上海证券交易所科创板股票上市规则》(以下简称"《科创板上市 规则》")、《上海证券交易所科创板上市公司自律监管指引第 1 号——规范运作》 等有关规定及《上海昊海生物科技 ...
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
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 第一章 总则 第一条 为加强湖北东贝机电集团股份有限公司(以下简称"公司"或"本公司") 董事和高级管理人员所持本公司股份及其变动的管理,维护证券市场的秩 序, 进一步明确相关人员的权利和义务,根据《中华人民共和国公司法》《中华人民 共和国证券法》《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》《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》《上海证券交易所上市公司自律监管指引第 8 号——股份变动 管理》等法律法规规定以及《湖北东贝机电集团股份有限公司章程》("公司章程") 的有关规定,结合公司的实际情况,特制定本制度。 第二条 公司董事和高级管理人员在买卖公司股票及其衍生品种前,应知悉 《公司法》《证券法》等法律、法规关于内幕交易、操纵市场、短线交易等禁止 行为的规定,不得进行违法违规的交易。 第三条 公司董事和高级管理人员所持有的本公司股份,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。公司董事和高级管理人员从事融资融券 交易的,还包括记载在其信用账户内的本公司股份。 第二章 ...
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].