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The China Securities Regulatory Commission issued fines to six shareholders for illegally reducing their holdings of listed companies
Release Time：2019-04-25
Xinzhu Co., Ltd. (002480.SZ) announced on the evening of November 5 that the CSRC imposed a fine of 400,000 yuan on the company’s controlling shareholder, Xinzhu Investment’s failure to disclose its excessive shareholding, and imposed a fine of 400,000 yuan on Xinzhu Investment’s reduction in the restricted transfer. The act was fined 1.7 million yuan, a total fine of 2.1 million yuan. Huang Xiaobo, the person in charge who was directly responsible, was fined 400,000 yuan.
On the same day, Jinyun Laser (300220.SZ) also issued an announcement that the China Securities Regulatory Commission imposed a fine of 400,000 yuan on the undisclosed behavior of Liang Weichao, the controlling shareholder and actual controller of Jinyun Laser, for his undisclosed shareholding, and Liang Wei's reduction of shares within the restricted transfer period The behavior was fined 12.8 million yuan, totaling 13.2 million yuan.
From December 3, 2014 to March 31, 2015, Xinzhu Investment reduced its holdings of “Xinzhu Shares” by 35 million shares in block transactions, with a total transaction amount of 399.5 million yuan, accounting for 5.42% of Xinzhu Shares’ total share capital .
Liang Wei, Liang Wei’s mother Yi XX, Liang Wei’s sister Liang, and Xinyu Quanshengtong Investment Management Co., Ltd., a company actually controlled by Liang Wei’s sister Liang, are acting in concert. After Liang Wei completed the shareholding reduction transaction on March 17, he merged with those acting in concert to reduce his 8.83% of the issued shares of "Golden Laser". Liang Weichao proportionally reduced his holdings of "Golden Laser" shares to 4.822 million shares, with a turnover of approximately 183.2 million yuan.
In addition to the major shareholders, on November 5, the second largest shareholders of two companies also got fined. The second largest shareholder of Hubei Jinhuan (000615.SZ) illegally reduced its holdings by 680,459 shares, with a turnover of approximately 13.64 million yuan and a fine of 1.1 million yuan. The second largest shareholder of Meijing Energy (000723.SZ) illegally reduced its shareholding by 335,038 shares. The illegally reduced holdings amounted to approximately 7.485 million yuan and a fine of 800,000 yuan.
The shareholders of the above-mentioned company all did not stop selling the company's stock before fulfilling their reporting and disclosure obligations when they reduced their shareholding by 5%. In fact, the China Securities Regulatory Commission issued an announcement as early as July 8 this year, clarifying that within 6 months from that day, the controlling shareholders of listed companies, shareholders holding more than 5% of shares, and directors, supervisors and senior executives shall not reduce their shares in the company through the secondary market . However, there are still some company shareholders who "buck the trend."
On October 30, the China Securities Regulatory Commission decided to impose administrative penalties on 10 illegal shareholding reduction cases and conduct a supplementary investigation in one case, which involved 6 natural person shareholders, 5 legal person shareholders and 7 responsible persons. The fines and confiscated totaled 108 million yuan.
In addition to the illegal shareholding reduction of Yimikang (300249.SZ) and Cooltech Power (300153.SZ) on November 3, only 5 days since November, 6 listed companies in the two cities have received illegal shareholding reductions. The penalty decision of the China Securities Regulatory Commission.
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