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新世界(600628.SH):公司股東及其一致行動人收到上海證監局警示函
格隆匯 05-18 16:24

格隆匯5月18日丨新世界(600628.SH)公佈,公司於近日收到中國證券監督管理委員會上監管局《關於對沈國軍、沈君升、沈瑩樂、浙江國俊有限公司採取出具警示函措施的決定》(滬證監決[2020]115),現將警示函原文內容公告如下:

“沈國軍、沈君升、沈瑩樂、浙江國俊有限公司:

經查,你們構成一致行動人關係。截至2020225日,你們及其他一致行動人合計持有上海新世界股份有限公司(“新世界)已發行股份的4.9597%2020226沈國軍、沈君升、沈瑩樂、浙江國俊有限公司通過證券交易所的證券交易增持新世界股份74.58萬股。截至2020228日,你們及其他一致行動人對新世界的持股比例達到5.0777%你們於2020228日披露了《簡式權益變動報告書》,並於229日對《簡式權益變動報告書》進行了修正。但你們在增持新世界股份累計比例達到其已發行股份的5%時,沒有在履行報告和公告義務前停止買入上市公司股份。

上述行為違反了《上市公司收購管理辦法》(證監會令第108號)第十三條第一款的規定,按照《上市公司收購管理辦法》第七十五條的規定,我局決定對你們採取出具警示函的行政監管措施。

如果對本監督管理措施不服的,可以在收到本決定書之日起60日內向中國證券監督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個月內向管轄權的人民法院提訴訟。複議與訴訟期間,上述監督管理措施不停止執行。”

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