海量數據(603138.SH):控股股東及實際控制人收到北京證監局警示函
格隆匯1月9日丨海量數據(603138.SH)公佈,公司控股股東及實際控制人陳志敏、朱華威近日收到中國證券監督管理委員會北京監管局出具的《關於對陳志敏、朱華威採取出具警示函監管措施的決定》(〔2022〕3號)(以下簡稱"《警示函》")。
"陳志敏、朱華威:
經查,你們作為北京海量數據技術股份有限公司(以下簡稱公司)的控股股東、實際控制人,自2017年6月28日至2021年5月14日期間,因被動稀釋和主動買賣公司股票,持有公司股份的比例由63.44%下降至56.06%,累計減少比例為7.38%。你們在持股比例減少變動達到5%時未停止買賣公司股票並及時編制、披露權益變動報吿書,違反了《中華人民共和國證券法》第六十三條第二款、《上市公司收購管理辦法》第十三條第二款的規定。
根據《中華人民共和國證券法》第一百七十條第二款規定和《上市公司收購管理辦法》第七十五條的規定,我局對你們採取出具警示函的行政監管措施。你們務必嚴格遵守資本市場法律法規,切實履行信息披露義務,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。"
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