信披違規 ST德威(300325.SZ)及德威投資、周建明被警示
格隆匯3月5日丨ST德威(300325.SZ)公佈,公司於近日收到中國證券監督管理委員會江蘇監管局行政監管措施決定書《關於對周建明、德威投資集團有限公司、江蘇德威新材料股份有限公司採取出具警示函措施的決定》([2021]23號)。
經查,截至2019年4月17日,德威投資集團有限公司(德威投資)持有江蘇德威新材料股份有限公司(德威新材)約3.72億股股份,佔德威新材總股本的比例為37.2%,是德威新材的控股股東。德威投資持有的股份分別於2019年4月18日、4月19日和4月26日被司法凍結9750股、1.75億股、約1.97億股。上述股份被司法凍結的信息屬於《上市公司信息披露管理辦法》第三十條第十四項的規定需要及時進行臨時公吿的重大事件。德威投資未及時、主動吿知德威新材該事項,德威新材未及時查詢控股股東股份凍結事項,遲至2019年6月6日才披露該重大事件。
周建明作為德威新材法定代表人、董事長、總經理,知悉上述事項但未忠實、勤勉地履行職責,對上述違規行為負有主要責任,違反了《上市公司信息披露管理辦法》第三條的規定。根據《上市公司信息披露管理辦法》第五十八條、第五十九條的規定,江蘇證監局決定對周建明採取出具警示函的行政監管措施,並記入證券期貨市場誠信檔案。
德威投資未及時、主動吿知德威新材其所持股份被司法凍結的行為違反了《上市公司信息披露管理辦法》第四十六條的規定。德威新材未及時查詢並披露控股股東股份凍結事項的行為違反了《上市公司信息披露管理辦法》第二條、第三十條的規定。根據《上市公司信息披露管理辦法》第五十九條的規定,江蘇證監局決定對德威投資、德威新材採取出具警示函的行政監管措施,並記入證券期貨市場誠信檔案。
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