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徐翔审判日:23位上市公司高管出庭作证

2016-12-05 10:17:23   中金在线

[摘要]徐翔案是国内首起因利用信息优势操纵证券市场的涉刑案件,控辩双方可能会争议“操纵行为的程度”。

在青岛市中级人民法院(下称青岛中院)的门口,贴着一张开庭通知,等待已久的“中国私募一哥”徐翔终于迎来审判日。

通知显示,“12月5日上午9时,在青岛中院四楼审判庭依法公开审理由青岛市人民检察院指控的上海泽熙投资管理有限公司(以下简称“泽熙”)法定代表人、总经理徐翔以及另外两位被告王巍和竺勇的犯操纵证券市场罪一案。”

接近案情人士预计,徐翔案庭审时间将持续两到三天。

一、神秘被告王巍系徐翔同事

第一被告,徐翔,系浙江宁波人士。青年时徐翔自宁波众多游资中脱颖而出,加冕“敢死队总舵主”,后在上海成立泽熙,深度介入多家上市公司的定增重组题材,骤然成为中国“私募一哥”。

2015年11月1日上午,股灾之前旗下基金成功逃顶的徐翔遭遇人生滑铁卢。公安机关在当天的杭州湾大桥之上,将从上海赶回宁波、欲参加祖母百岁寿宴的徐翔抓获。

2016年11月10日,山东省青岛市检察院以涉嫌操纵证券市场罪对徐翔等被告提起公诉。与此同时,该案涉及13家上市公司共计23位高管。这23位高管同样因涉嫌操纵证券市场列席被告。

据知情人士透露,徐翔在庭审前曾表示,他愿意相信法律,将服从法律的公平审判。

第二被告,王巍,新西兰籍,英文名(Michael.wong)。接近案情人士向腾讯财经透露,在徐翔于杭州湾大桥被抓后,王巍也随即被抓。

王巍与徐翔系同事关系,他的身份之一即泽熙的业务经理。王巍经常以泽熙业务经理的身份与涉案上市公司来往。

王巍的另一个身份系极限资产管理股份有限公司(下称极限资产)幕后控制人。极限资产注册地在新疆喀什,也是一家较为神秘的私募公司。

极限资产与徐翔以及泽熙之间“存在密切联系”,但尚不能确定极限资产属于徐翔亦或泽熙的暗仓。

极限资产法定代表人、董事长凌祖群曾出现在美邦服饰、鑫科材料、乐通股份的前十大股东名单中,这三家上市公司都涉本案。在鑫科材料2013年9月的定增中,凌祖群和上海泽熙增煦投资中心都参与认购。

此外,极限资产监事会主席翁翼飞,还曾在2012三四季度进入涉案公司上海新梅的前十大股东。极限资产还以公司的名义,于2014年二季度进入涉案公司东方金钰前十大股东。

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