回天新材(300041.SZ)股东曹洪俊、董事刘鹏收到湖北证监局下发的警示函
格隆汇8月13日丨回天新材(300041.SZ)公布，2019年8月12日，公司的股东曹洪俊、董事刘鹏分别收到中国证券监督管理委员会湖北监管局(“湖北证监局”)下发的《湖北证监局关于对曹洪俊采取出具警示函措施的决定》([2019]27号)、《湖北证监局关于对刘鹏采取出具警示函措施的决定》([2019]28号)，现将相关内容公告如下：
一、关于对曹洪俊采取出具警示函措施的主要内容：
“曹洪俊：
你作为回天新材持股5%以上的股东，于2019年6月3日通过大宗交易方式减持回天新材股份850万股，减持导致你持有公司股票比例由6.86%降至4.83%。你在持股比例减少至5%时，未提交书面报告并公告，也未在此之前停止买卖回天新材股票。上述行为违反了《上市公司收购管理办法》第十三条第一款的有关规定。
根据《上市公司收购管理办法》第七十五条的规定，我局决定对你采取出具警示函的行政监管措施，并将上述违规行为情况记入诚信档案。你应认真吸取教训，加强证券法律法规学习，严格规范买卖上市公司股票行为，杜绝此类行为再次发生。”
二、关于对刘鹏采取出具警示函措施的主要内容：
“刘鹏：
你作为回天新材的实际控制人之一、董事，于2019年5月15日通过集中竞价方式减持回天新材股份1万股，成交金额约8.5万元，但未在首次卖出的15个交易日前预先披露减持计划，上述行为不符合《上市公司股东、董监高减持股份的若干规定》第八条关于信息披露的有关规定，违反了《上市公司信息披露管理办法》第四十六条第一款第四项的规定。
根据《上市公司信息披露管理办法》第五十九条的规定，我局决定对你采取出具警示函的行政监管措施，并将上述违规行为情况记入诚信档案。你应认真吸取教训，加强证券法律法规学习，严格规范买卖上市公司股票行为，杜绝此类行为再次发生。”
三、整改措施
公司董事会和管理层对上述问题高度重视，将督促董事刘鹏及持股5%以上股东进一步加强学习相关法律法规和规范性文件，切实提高规范运作意识，杜绝此类情况再次发生。
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