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三五互聯(300051.SZ):實控人龔少暉信披違規被警示
格隆匯 03-17 17:02

格隆匯3月17日丨三五互聯(300051.SZ)公佈,2020年3月17日,公司收到廈門證監局出具的《關於對龔少暉採取出具警示函措施的決定》之《行政監管措施決定書》[〔2020〕3號]。

廈門證監局核查,龔少暉在2020年2月4日向公司提供的《股票交易及減持計劃確認函》中稱,計劃於股票解除高管離職鎖定之後(2月20日之後)與證券行業支持民企發展系列之財達證券5號集合資產管理計劃簽訂關於1900萬股股份的正式股權轉讓協議,除此之外無其他減持計劃。但2月20日龔少暉通過公司披露《關於大股東減持股份預披露公告》,稱因收到質權人華融證券和財達證券發來的《股票質押式回購交易業務違約通知書》和《股票質押違約通知書》,計劃自公告之日起15個交易日後的未來6個月內,以大宗交易和集中競價方式合計減持不超過2194.19萬股公司股份。龔少暉在華融證券、財達證券的股票質押已逾期多日,龔少暉未向質權人核實併合理預判所持股份可能在2020年2月20日股份鎖定期滿後被強制平倉的風險,導致上市公司短期內披露的兩次減持計劃不一致。

廈門證監局決定對龔少暉採取出具警示函的行政監管措施,並記入誠信檔案。

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