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西部資源(600139.SH)原控股股東收到中國證監會四川監管局警示函
格隆匯 07-08 17:59

格隆匯7月8日丨西部資源(600139.SH)公佈,近日,公司原控股股東四川恆康發展有限責任公司(已於2020年4月23日將其持有的公司全部股份對應的表決權分別委託給貴州匯佰眾管理諮詢有限公司、五礦金通股權投資基金管理有限公司行使,以下簡稱“四川恆康”)收到中國證券監督管理委員會四川監管局下達的《關於對四川恆康發展有限責任公司採取出具警示函措施的決定》。

經查,2019年9月18日四川恆康持有的西部資源3400萬股被司法劃轉給四川富潤企業重組投資有限責任公司,佔西部資源總股本的5.14%。2019年10月11日四川恆康持有的西部資源4500萬股被司法劃轉給中國民生信託有限公司,佔西部資源總股本的6.799%。上述兩次司法劃轉均導致四川恆康持有的西部資源股份變動比例超過5%,四川恆康均未及時披露權益變動報告書,直至2019年10月18日才就上述兩次司法劃轉事項披露《簡式權益變動報告書》。

上述行為違反了《上市公司收購管理辦法》(2014年修訂)第十四條、第十五條的相關規定,根據《上市公司收購管理辦法》第七十五條的規定,監管局決定對四川恆康採取出具警示函措施,並記入證券期貨市場誠信檔案。

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