鼎龍股份(300054.SZ)：未完成回購且未在回購到期前履行變更程序 收到警示函
格隆匯 11 月 11日丨鼎龍股份(300054.SZ)公佈，公司於2020年11月10日收到中國證券監督管理委員會湖北監管局行政監管措施決定書《湖北證監局關於對湖北鼎龍控股股份有限公司採取出具警示函措施的決定》([2020]43號)。
警示函內容如下：
湖北鼎龍控股股份有限公司：
你公司於2019年5月28日審議通過了《關於回購公司股份預案的議案》，擬在未來12個月內、使用不低於人民幣1億元，且不超過人民幣2億元的自有資金回購公司股份。但截至2020年5月28日，回購期限已滿，你公司累計回購股份94萬股，佔公司總股本的0.10%，交易總金額為976.93萬元，僅完成承諾的回購金額下限的9.77%。你公司未完成回購，且未在回購到期前履行變更程序，構成了《上市公司監管指引第4號——上市公司實際控制人、股東、關聯方、收購人以及上市公司承諾及履行》第五條第二款中未履行承諾的行為。
根據《上市公司監管指引第4號——上市公司實際控制人、股東、關聯方、收購人以及上市公司承諾及履行》第六條第一款的規定，我局決定對你公司採取出具警示函的行政監管措施，並將上述行為違規情況記入誠信檔案。你公司應認真吸取教訓，加強證券法律法規學習，杜絕此類行為再次發生。
如果對本監督管理措施不服，可以在收到本決定書之日起60日內向中國證監會提出行政複議申請，也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間，上述監督管理措施不停止執行。
公司收到警示函後，高度重視警示函中指出的相關問題，並將嚴格按照中國證券監督管理委員會湖北監管局的要求進行整改。同時，公司將吸取教訓，進一步提高公司信息披露和規範運作水平，確保信息披露真實、準確、完整，切實保障中小股東的利益。公司及相關人員將加強相關證券法律法規學習，嚴格遵守相關規定，強化規範運作意識，依法履行信息披露義務，從而有效提高公司治理水平。
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