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董事和高级管理人员股份管理
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恒基达鑫: 董事和高级管理人员所持公司股份及其变动管理制度(2025年9月)
Zheng Quan Zhi Xing· 2025-09-05 16:33
General Principles - The company establishes a management system for the shares held by its directors and senior management to maintain market order and comply with relevant laws and regulations [1][2] - This system applies to all shares held by directors and senior management, including those held in others' accounts and through margin trading [1] Prohibited Trading Activities - 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][3] - Additional restrictions apply if the company is under investigation for securities violations or if the individual is involved in related legal issues [2] Share Transfer Limits - Directors and senior management can only transfer up to 25% of their total shares each year, with exceptions for certain circumstances like judicial enforcement or inheritance [2] - Those holding fewer than 1,000 shares may transfer all their shares at once without restriction [2] Insider Trading Regulations - Directors and senior management must not engage in trading during specific blackout periods, such as 15 days before annual or semi-annual reports [2][3] - Violations of insider trading laws result in the company retaining any profits made from such trades [3] Information Disclosure and Reporting - The company secretary is responsible for managing and reporting the shareholdings of directors and senior management, ensuring compliance with disclosure requirements [4][5] - Any changes in shareholdings must be reported within two trading days, and significant changes must comply with acquisition regulations [7][8] Share Lock-up and Release Conditions - Shares acquired by directors and senior management are subject to lock-up periods, with specific percentages of shares automatically locked based on the duration of their holdings [8][9] - Upon meeting the conditions for lifting restrictions, directors and senior management can apply for the release of their shares [9][10] Compliance and Amendments - The management system must align with existing laws and regulations, and the board is responsible for its formulation and amendments [10]
ST华通: 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· 2025-08-29 18:21
Core Points - The document outlines the management system for the shareholding and trading activities of directors and senior management of Zhejiang Century Huatong Group Co., Ltd. [1] - It emphasizes compliance with relevant laws and regulations regarding insider trading and market manipulation [2][4] - The document specifies the reporting requirements for share transactions by directors and senior management [3][8] Group 1: General Principles - The management system applies to all shares held by directors and senior management, including those held in margin accounts [1][2] - Directors and senior management must notify the board secretary of their trading plans in writing before executing any trades [2][3] - There are restrictions on the transfer of shares, including a limit of 25% of total shares held during their term and six months after leaving their position [4][5] Group 2: Trading Restrictions - Directors and senior management are prohibited from trading shares during specific periods, such as 15 days before the announcement of annual or semi-annual reports [6][7] - They must ensure that close relatives and controlled entities do not engage in insider trading [7] - There are specific conditions under which shares cannot be transferred, including during the first year of trading and within six months after leaving the company [5][6] Group 3: Disclosure Requirements - The company must disclose the trading activities of directors and senior management in regular reports, including the number of shares held at the beginning and end of the reporting period [20][21] - Any changes in shareholding must be reported within two trading days [8][13] - The document mandates compliance with the regulations regarding significant shareholding changes as per the relevant laws [9]
安达智能: 董事和高级管理人员持股及变动管理制度(2025年8月)
Zheng Quan Zhi Xing· 2025-08-29 17:24
General Principles - The management system for the shareholding and changes of directors and senior management of Guangdong Anda Intelligent Equipment Co., Ltd. aims to standardize the management of shares held by directors and senior management, thereby improving the company's operational management level [1][2] - This system is based on relevant laws and regulations, including the Company Law of the People's Republic of China and the Shanghai Stock Exchange's self-regulatory guidelines [1] Scope of Application - The system applies to all shares held by directors and senior management, including those held in their own name and through others' accounts, as well as derivatives like convertible bonds and stock options [2] - Senior management includes the general manager, deputy general managers, financial directors, and other personnel recognized by the board of directors [1][2] Shareholding Management - Directors and senior management must manage their stock accounts responsibly and are prohibited from engaging in margin trading with the company's shares [2][3] - They are required to maintain confidentiality regarding undisclosed information that could significantly impact the company's stock price and must not engage in insider trading [2][3] Share Transfer Regulations - When transferring shares, directors and senior management must adhere to legal and regulatory restrictions, ensuring that all information disclosed is truthful and complete [3][4] - The maximum number of shares that can be transferred annually is limited to 25% of the total shares held, based on the last trading day of the previous year [4][5] Prohibited Trading Periods - Directors and senior management are prohibited from trading the company's shares during specific periods, such as 15 days before the annual or semi-annual report announcements [5][6] - They are also restricted from trading shares within six months of buying or selling them [5][6] Reporting Obligations - Directors and senior management must report any changes in their shareholdings within two trading days and disclose relevant information through the Shanghai Stock Exchange [8][9] - Any planned share reductions must be reported to the exchange 15 trading days prior to the first sale [9][10] Accountability and Penalties - The board of directors is responsible for enforcing compliance with the share trading regulations, and any profits from violations will be returned to the company [11][12] - Serious violations may result in dismissal and legal action [12][13] Miscellaneous - The management system will be executed in accordance with relevant laws and regulations, and any inconsistencies will defer to those legal standards [13]
辽宁成大: 辽宁成大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· 2025-08-29 15:11
General Principles - The management system for the shares held by directors and senior management of Liaoning Chengda Co., Ltd. is established to regulate the management of shareholdings and changes in accordance with relevant laws and regulations [2][3] - This system applies to the shares held by the company's directors and senior management, including shares registered in their names and those held through others' accounts [2][3] Share Trading Restrictions - Directors and senior management are prohibited from engaging in margin trading or derivative trading involving the company's shares [2][3] - They must comply with laws regarding insider trading and market manipulation, and are responsible for managing their stock accounts [3] Reporting Requirements - Directors and senior management must report their personal and family shareholding information to the Shanghai Stock Exchange within specified timeframes, including changes in their personal information [4][5] - Any changes in shareholdings, except for stock dividends and capital increases, must be reported within two trading days [4][5] Share Trading Procedures - Prior to trading, directors and senior management must notify the board secretary of their trading plans, who will verify the company's disclosure and significant events [5][6] - They are prohibited from trading shares during specific blackout periods, such as 15 days before annual or semi-annual reports [6][7] 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 positions [7][8] - They are also restricted from reducing their holdings under certain conditions, such as ongoing investigations or administrative penalties [8] Disclosure Obligations - Any share reduction plans must be reported to the Shanghai Stock Exchange 15 trading days in advance, detailing the number of shares, reasons, and compliance with regulations [10][11] - If significant corporate events occur during the reduction period, updates must be disclosed [11] Responsibilities and Compliance - The board secretary is responsible for managing the data and information of directors and senior management regarding their shareholdings [12] - Directors and senior management must ensure the accuracy and timeliness of their reported data, facing potential penalties for violations [12][13] Miscellaneous Provisions - The system will be executed in accordance with national laws and regulations, and any conflicts with future regulations will be resolved based on the latest legal standards [13][14] - The board of directors is responsible for interpreting and amending this system, which takes effect upon approval [14]
国泰海通: 国泰海通证券股份有限公司董事和高级管理人员持有本公司股份及变动管理办法
Zheng Quan Zhi Xing· 2025-08-29 12:16
董事和高级管理人员持有本公司股份及变动管理办法 第一章 总则 国泰海通证券股份有限公司 第一条 为有效管理国泰海通证券股份有限公司(以下简称公司)董事和 高级管理人员及有关雇员所持公司股份及其买卖公司股份的行为,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》、 《上市公司股东减持股份管理暂行办法》、 《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》、《上海证券交易所股票上市规则》、 香港《证券及期货条例》 (以下简称《证券及期货条例》)、 《香港联合交易所有限 公司证券上市规则》 (以下简称《联交所上市规则》,其中香港联合交易所有限公 司以下简称联交所)及其附录 C3《上市发行人董事进行证券交易的标准守则》 (以下简称《标准守则》)和附录 C1《企业管治守则》等法律、法规、规章、规 范性文件、公司股票上市地上市规则(以下合称相关规则)和《国泰海通证券股 份有限公司章程》 (以下简称《公 ...
上海雅仕: 董事、高级管理人员持有公司股份及其变动管理制度(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-27 16:18
Core Points - The document outlines the management system for shares held by directors and senior management of Shanghai Yashi Investment Development Co., Ltd, ensuring compliance with relevant laws and regulations [1][2][3] Summary by Sections General Principles - The system is established to regulate the management of shares held by directors and senior management in accordance with the Company Law and Securities Law of the People's Republic of China [1] - It applies to all shares held by directors and senior management, including those held in multiple accounts [1] Share Declaration - Directors and senior management must declare their shareholdings and any changes within specified timeframes, including upon new appointments and changes in personal information [5][6] - The company is responsible for ensuring the accuracy and timeliness of these declarations [6][7] Share Lock-up - Shares held by directors and senior management will be locked upon declaration, with specific conditions for transfer during events like public offerings or equity incentive plans [8][9] - Upon resignation, shares will be locked for six months, after which they will be automatically unlocked [12][13] Share Trading - Directors and senior management must notify the board secretary before trading shares and are prohibited from trading under certain conditions, such as during specific reporting periods [14][15] - There are restrictions on the percentage of shares that can be transferred annually, with specific rules for shares acquired through inheritance or legal division [17][19] Information Disclosure - Plans for share reduction must be reported to the stock exchange 15 trading days in advance, detailing the number of shares, method, and reasons for reduction [21][22] - Any changes in shareholdings must be reported within two trading days [24] Responsibilities - The chairman is the primary responsible person for managing shareholdings, while the board secretary oversees compliance and reporting [28][29] - Violations of the regulations may result in legal consequences and internal disciplinary actions [30] Supplementary Provisions - The system will be executed in accordance with national laws and regulations, and any conflicts with future regulations will be resolved in favor of the latter [31][32] - The system becomes effective upon approval by the board of directors, replacing the previous management system [33]
盘龙药业: 董事和高级管理人员所持公司股份及其变动管理规则
Zheng Quan Zhi Xing· 2025-08-27 14:16
General Principles - The rules are established to strengthen the management of shares held by directors and senior management of Shaanxi Panlong Pharmaceutical Group Co., Ltd. and to maintain market order [1] - The rules are based on relevant laws and regulations including the Company Law and Securities Law of the People's Republic of China [1] Share Management - Directors and senior management are prohibited from transferring shares under certain conditions, such as within one year of the company's stock listing or during investigations related to securities violations [3] - The maximum amount of shares that can be transferred by directors and senior management in a year is limited to 25% of their total holdings, with exceptions for certain circumstances [4] - Newly acquired shares can only be transferred at a rate of 25% in the year they are acquired, and any increase in shares due to company actions will proportionally increase the transferable amount [4] Disclosure Requirements - Directors and senior management must report their share transactions to the company and disclose relevant information to the stock exchange within two trading days of any change [12] - A detailed plan must be disclosed prior to any share reduction, including the number of shares, time frame, and reasons for the reduction [5][7] - Any shareholding changes due to court-ordered transactions must be disclosed within two trading days of receiving the execution notice [6] Additional Regulations - Directors and senior management must ensure that their immediate family members and related parties do not engage in insider trading [24] - The rules apply to various scenarios including share increases due to capital increases or stock options [18] - The company is responsible for ensuring the accuracy and timeliness of the reported data [25]
四创电子: 四创电子董事、高级管理人员所持公司股份及其变动管理规则(2025年8月修订)
Zheng Quan Zhi Xing· 2025-08-27 13:17
General Provisions - The rules are established to regulate the management of shares held by the board of directors and senior management of the company, in accordance with relevant laws and regulations [1][2] - The rules apply to the buying, selling, or holding of the company's shares and derivatives by directors and senior management [1][2] Trading Restrictions - Directors and senior management are prohibited from trading company shares during specific periods, including 15 days before the annual and semi-annual report announcements, 5 days before quarterly reports, and during significant events that may impact share prices [2][3] - Shares held by directors and senior management cannot be transferred under certain conditions, such as within six months after leaving the company or during investigations related to securities violations [3][4] Transfer Limitations - Directors and senior management can only transfer up to 25% of their total shares each year, with additional restrictions applying after leaving the company [5][6] - Any shares acquired through company actions, such as public offerings or stock incentives, are subject to specific transfer rules [6][7] Trading Operations - The company is responsible for monitoring and reporting the shareholding and trading activities of directors and senior management, ensuring compliance with disclosure requirements [15][16] - Directors and senior management must report any changes in their shareholdings within two trading days, including details of the changes [23][24] Violations and Penalties - Any violations of these trading rules may result in internal penalties from the company, as well as potential regulatory actions from authorities like the China Securities Regulatory Commission [25][26] Miscellaneous - The rules will be executed in accordance with national laws and regulations, and the board of directors is responsible for their interpretation [26][27]
心脉医疗: 心脉医疗: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月修订)
Zheng Quan Zhi Xing· 2025-08-26 14:12
Core Points - The document outlines the management system for the shares held by directors and senior management of Shanghai MicroPort MedBot (Group) Co., Ltd, aiming to enhance market order and protect investors' rights [1][2] - The system is based on relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China, as well as the rules of the Shanghai Stock Exchange [1][2] Summary by Sections General Principles - The system applies to all shares held by directors and senior management, including those in multiple accounts, and mandates compliance with insider trading regulations [2] - Prior to trading, directors and senior management must notify the board secretary in writing, who will verify the company's disclosure status [2][3] Prohibited Trading Activities - Directors and senior management are prohibited from transferring shares under specific conditions, such as within one year of the company's stock listing or within six months after leaving the company [3][4] - Trading is also restricted during certain periods, such as before the announcement of annual or quarterly reports [3][4] Information Reporting and Disclosure - Directors and senior management must report their shareholdings and any changes within two trading days through the Shanghai Stock Exchange [5][6] - The company is responsible for ensuring the accuracy and timeliness of these disclosures [5][6] Share and Account Management - Directors and senior management can only transfer up to 25% of their shares annually, with exceptions for certain legal circumstances [7][8] - New shares acquired through various means are subject to specific transfer conditions [7][8] Responsibilities and Penalties - Violations of the trading rules may result in penalties from regulatory bodies, and the company can impose internal disciplinary actions [9][10] - The company must report any illegal trading activities to the relevant authorities [10] Miscellaneous - The system will be executed in accordance with current laws and regulations, and the board of directors holds the interpretation rights [11]
麦澜德: 《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· 2025-08-26 13:13
General Provisions - The purpose of the system is to strengthen the management of shares held by the board of directors and senior management of Nanjing Mylande Medical Technology Co., Ltd. and to clarify relevant procedures based on laws and regulations [1][2] - This system applies to the management of shares held and traded by the company's directors and senior management [2] Prohibited Trading Activities - 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][3] - Specific periods during which directors and senior management cannot trade shares include 15 days before the annual and semi-annual report announcements and 5 days before quarterly reports [3] Trading Operations and Restrictions - Directors and senior management must notify the board secretary in writing of their trading plans in advance, and cannot proceed without feedback from the board secretary [4][5] - The maximum number of shares that can be transferred annually by directors and senior management is limited to 25% of their total holdings, with exceptions for certain circumstances [5][6] Reporting and Disclosure Management - Changes in shareholdings must be reported to the board secretary within two trading days and announced on the Shanghai Stock Exchange [10][11] - A reduction plan must be disclosed 15 days prior to the first sale, including details such as the number of shares and the reason for the reduction [9][10] Responsibilities and Penalties - Violations of trading regulations may result in the company recovering profits from illegal trades and reporting the situation to regulatory authorities [11][12] - Serious violations can lead to penalties from the China Securities Regulatory Commission, including market bans for responsible individuals [12][13] Additional Provisions - The system will be implemented upon approval by the company's board of directors and will be interpreted by the board [14][15]