聚光科技(300203.SZ):控股股東之一睿洋科技收到浙江證監局警示函
格隆匯11月29日丨聚光科技(300203.SZ)公佈,公司控股股東之一浙江睿洋科技有限公司(“睿洋科技”)於近日收到中國證券監督管理委員會浙江監管局下發的《關於對浙江睿洋科技有限公司採取出具警示函措施的決定》(〔2021〕109號),具體內容如下:
浙江睿洋科技有限公司:
2014年7月2日至2021年10月26日,你公司和一致行動人浙江普渡科技有限公司合計持有聚光科技(杭州)股份有限公司(以下簡稱聚光科技)股份的比例由38.94%減少至33.60%,累計變動5.34%。你公司在和一致行動人持股比例累計變動達到5%時,未及時履行信息披露義務和停止賣出聚光科技股份,直至2021年11月1日才補充披露權益變動報吿書。
上述行為違反《上市公司信息披露管理辦法》(證監會令第182號)第三十九條的規定。根據《上市公司信息披露管理辦法》(證監會令第182號)第五十二條的規定,我局決定對你公司採取出具警示函的監督管理措施,並記入證券期貨市場誠信檔案。你公司應認真吸取教訓,加強證券法律法規學習,嚴格規範買賣上市公司股票行為,切實履行信息披露義務,杜絕此類違規行為再次發生,並於收到本決定書之日起10個工作日內向我局提交書面報吿。
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,上述監督管理措施不停止執行。
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