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深交所:对施建刚给予公开谴责处分
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Topic: 深交所:对施建刚给予公开谴责处分 (Read 144 times)
Deniselly
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深交所:对施建刚给予公开谴责处分
February 28, 2017, 01:32:24 PM
#1
据深交所2月28日消息,深交所发布关于对施建刚给予公开谴责处分的公告。对于施建刚的上述违规行为和深交所给予的上述处分,深交所将记入上市公司诚信档案,并向社会公布。
经查明,施建刚存在以下违规行为:
2012年12月3日,施建刚认购东华能源股份有限公司(以下简称“公司”或“东华能源”)非公开发行股票1506.02万股,占公司发行后总股本的5.14%,2013年4月18日,东华能源以资本公积金向全体股东每10股转增10股,施建刚持有的“东华能源”股票增至3,012.05万股。2014年6月9日,施建刚与施某签订《民事信托协议(资金信托)》,约定施建刚将2.1亿元委托给施某,用于股票投资。2014年6月16日至18日,施建刚通过施某证券账户在二级市场买入“东华能源”股票153.64万股。2014年6月23日,施建刚通过施某名义参与东华能源的非公开发行,认购“东华能源”股票2346.52万股,施建刚本人账户持股比例被摊薄至4.35%,施建刚本人及通过施某名义持有“东华能源”股票5512.21万股,占公司总股本的7.96%,达到上市公司已发行股份的5%以上。施建刚未及时、真实披露其与施某证券账户的关系以及其仍为东华能源持股5%以上股东的事实,直至2016年9月3日才披露上述信息。
2014年7月至2015年9月期间,施建刚本人及通过其控制的施某证券账户合计持有“东华能源”股票达5%以上。2014年7月8日至7月11日,施建刚名下证券账户共买入“东华能源”股票66.50万股,交易金额727.45万元;2014年7月28日至8月4日,施建刚名下证券账户合计卖出“东华能源”股票66.50万股,交易金额767.27万元。2015年8月27日至28日,施建刚名下证券账户共买入“东华能源”股票13.57万股,交易金额302.22万元;2015年9月1日至2日,施建刚名下证券账户共卖出“东华能源”股票13.57万股,交易金额280.64万元。施建刚多次在六个月内买入、卖出“东华能源”股票的行为构成《证券法》第四十七条规定的短线交易。施建刚于2015年9月1日至2日的卖出行为还违反了《中国证券监督管理委员会公告》【2015】18号中有关“从即日起6个月内,上市公司控股股东和持股5%以上股东及董事、监事、高级管理人员不得通过二级市场减持本公司股份”的规定。
施建刚的上述行为违反了深交所《股票上市规则(2012年修订)》第1.4条、第2.1条、第2.4条、第2.7条、第3.1.8条和《股票上市规则(2014年修订)》第1.4条、第2.1条、第2.4条、第2.7条、第3.1.8条的规定。
鉴于施建刚的上述违规事实和情节,根据深交所《股票上市规则(2014年修订)》第17.2条、第19.3条的规定,经深交所纪律处分委员会审议通过,深交所做出如下处分决定:
对施建刚给予公开谴责的处分。
对于施建刚的上述违规行为和深交所给予的上述处分,深交所将记入上市公司诚信档案,并向社会公布。
深交所重申:上市公司及其股东等信息披露义务人应严格遵守《证券法》、《公司法》等法律法规及深交所《股票上市规则》的规定,真实、准确、完整、及时、公平地履行信息披露义务。
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