北特科技(603009.SH)：股東謝雲臣違規減持公司股份並致歉
格隆匯11月8日丨北特科技(603009.SH)公佈，公司於2021年11月8日獲知公司股東謝雲臣因在未充分理解《<上海證券交易所上市公司股東及董事、監事、高級管理人員減持股份實施細則>問題解答(一)》之第5項相關規定（即在持有公司股份比例低於5%之後90日內，通過集中競價交易、大宗交易繼續減持股份的，仍應遵守《細則》有關大股東減持的規定），而謝雲臣在持有公司股份比例低於5%之後的90日內，發生了減持公司股票的情形，但未按規定披露減持計劃。
公司於2021年10月22日披露《上海北特科技股份有限公司股東集中競價減持股份結果公吿》，股東謝雲臣競價減持股份計劃實施完成，減持3300股後，謝雲臣持有公司股份1793.65萬股，持股比例4.99999%，同日披露了《上海北特科技股份有限公司簡式權益變動報吿書》，此次權益變動完成後，信息披露義務人不再為北特科技 5%以上股東，沒有和公司其他股東形成一致行動關係，依據相關法律法規將不再履行信息披露義務。
因對規則的理解不充分，謝雲臣於2021年11月4日通過集中競價交易方式減持所持有的公司股票5000股，成交均價為5.96元/股，佔公司目前總股本的比例為0.001%。
上述行為不符合《<上海證券交易所上市公司股東及董事、監事、高級管理人員減持股份實施細則>問題解答(一)》第5項規定：“大股東依據《細則》通過集中競價交易、大宗交易、協議轉讓等方式減持股份至低於5%，自持股比例減持至低於5%之日起90日內，通過集中競價交易、大宗交易繼續減持的，仍應遵守《細則》有關大股東減持的規定”。謝雲臣於2021年11月4日通過集中競價交易方式減持股票，該減持日期仍在自持股比例減持至低於5%之日起90日內，且未在15個交易日前向上海證券交易所備案及公吿減持計劃，未遵守上述相關減持規定。
股東謝雲臣向公司説明，此次減持發生未遵守《<上海證券交易所上市公司股東及董事、監事、高級管理人員減持股份實施細則>問題解答（一）》之第 5 項相關規定的情形，並非主觀故意行為，主要系本人對減持相關規定解讀理解不充分。謝雲臣已進行了深刻自查和反省，並就因此造成的影響表示誠摯歉意。
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