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上市公司高管“因孩子上学急用钱”违规套现近14万 证监会:将依法处罚

2017-09-04 09:06:05   中国青年网

法制晚报·看法新闻 近年来,上市公司高管减持理由也越来越“五花八门”。正值开学季,“因孩子上学急用钱”甚至成为高管减持的理由。

9月4日早间,中国证监会方面明确表示,上市公司股东应严格遵守相关规则,对做出的承诺应该严格遵守,证监会将会对违反规定和承诺减持上市公司的违法情况依法予以查处。

近日,ST柳化发布公告称公司副总经理陆胜云近日“未提前预披露”减持了部分持股,原因是为给小孩交学费。

法制晚报·看法新闻记者看到公告中显示,公司于8月31日收到副总经理陆胜云函告,其证券账户于当日通过集中竞价方式减持公司股票2.4万股。成交均价5.80元/股,成交金额13.92万元。上述减持后,陆胜云持有公司股票剩余30万股。

按照有关规定,上市公司大股东、董监高计划通过证券交易所集中竞价交易减持股份,应当在首次卖出的15个交易日前向证券交易所报告并预先披露减持计划。而作为*ST柳化的高管,减持行为未能尽到交易报备及预披露的责任,涉嫌违规。

对此,副总经理陆胜云解释称:因平时工作繁忙,证券账户由家属代为管理,目前因小孩上学急需用钱,其家属在其本人不知情的情况下进行了以上交易操作。

对此,法制晚报·看法新闻记者采访了证监会。其明确表示,上市公司股东应严格遵守相关规则,对做出的承诺应该严格遵守,证监会也会对违反规定和承诺减持上市公司的违法情况依法予以查处。“根据有关规定,证监会集中对近期上市公司股东及董监高违反规定和承诺减持该公司股票的行为进行处罚,涉及未披露减持信息、短线交易、窗口期减持等众多情况。”该负责人表示。

近些年来,这样的减持理由已经屡见不鲜。2014年8月27日,九州通发布高管违规交易公告。其中披露当时的公司技术总裁谷春光涉嫌在“窗口期”违规减持,并违反短线交易规定。对此,谷春光解释为:“临近开学,其妻子是为了给孩子准备学费,平时自己的账户交给妻子打理,且妻子并不知道相关准则。”

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