振芯科技(300101.SZ):監事胡彪收到四川證監局警示函
格隆匯 6 月 15日丨振芯科技(300101.SZ)公佈,公司監事胡彪於2020年6月12日收到中國證券監督管理委員會四川監管局(“四川證監局”)出具的《關於對胡彪採取出具警示函措施的決定》(行政監管措施決定書[2020]14號)(“警示函”),現將《警示函》內容公告如下:
胡彪作為成都振芯科技股份有限公司(“振芯科技”)監事,截至2019年12月15日持有振芯科技股票69.1875萬股,佔振芯科技總股本的0.12%。2019年12月16日,胡彪通過集中競價方式減持振芯科技股份17.2969萬股,佔振芯科技總股本的0.03%,減持金額約為157萬元。胡彪於2019年12月16日通過振芯科技對外披露了《關於公司監事減持公司股份的公告》,但未在減持公司股票的15個交易日前預先披露減持計劃。
上述行為違反了《上市公司股東、董監高減持股份的若干規定》第八條、《上市公司信息披露管理辦法》第四十六條第一款第四項的規定。
根據《上市公司股東、董監高減持股份的若干規定》第十四條,《上市公司信息披露管理辦法》第五十九條的規定,四川證監局決定對胡彪採取出具警示函措施,並記入證券期貨市場誠信檔案。胡彪應當在收到該監督管理措施後10個工作日內向四川證監局提交書面報告。胡彪應吸取經驗教訓,杜絕再次發生類似事件,維護投資者合法權益。
胡彪接受四川證監局的上述決定,對此次減持違規行為給公司及全體股東造成的負面影響深表歉意,並承諾自減持完成之日起6個月內不減持公司股份。公司高度重視四川證監局指出的問題,公司及相關人員將認真吸取此次教訓,加強對相關法律、法規和規範性文件的學習,加強證券賬户日常管理,嚴格規範買賣公司股票行為,杜絕此類行為再次發生。
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