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江蘇索普(600746.SH):控股股東減持違規 收到江蘇證監局警示函
格隆匯 02-08 16:48

格隆匯 2 月 8日丨江蘇索普(600746.SH)公佈,公司控股股東江蘇索普(集團)有限公司(“索普集團”)202128日收到中國證券監督管理委員會江蘇證監局出具的江蘇證監局關於對江蘇索普(集團)有限公司採取出具警示函措施的決定》(行政監管措施決定書[2021]16號)決定書內容如下:

江蘇索普(集團)有限公司:

經查,你公司2020123日通過上海證券交易所集中競價系統減持江蘇索普化工股份有限公司(以下簡稱江蘇索普)股票的行為,違反了你公司在江蘇索普重大資產重組時作出的承諾本次交易完成後,索普集團在本次交易前持有的上市公司股票,在本次重組完成後12個月內不得轉讓基於前述股份而享有的江蘇索普送股、配股、轉增股本等股份,亦遵守上述鎖定期的要求。同時,上述減持行為未在賣出的15個交易日前預先披露減持計劃。

上述減持行為違反了《上市公司信息披露管理辦法》第二條、《上市公司股董監高減持股份的若干規定》第八條的有關規定。

根據《上市公司信息披露管理辦法》第五十九條《上市公司監管指引第4--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》第六條等有關規定,我局決定對你公司採取出具警示函的行政監管措施,並計入證券期貨市場誠信檔案。

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日內向中國證券監督管理委員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,上述監管措施不停止執行。

截至公吿披露之日,索普集團已根據承諾將此次誤操作減持產生的收益歸屬江蘇索普對相關人員進行了問責處理完善了相關制度。索普集團將進一步對有關人員進行相關法律、法規和規範性文件的培訓,並嚴格履行各項已作出諾。

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