The actual controller of Zhejiang Hangke Technology Incorporated Company(688006) suspected short-term transaction was filed by the CSRC

On February 16, Zhejiang Hangke Technology Incorporated Company(688006) (688006. SH) announced that Cao Ji, the actual controller and chairman of the board of directors, had received the notice of filing a case issued by the CSRC. The CSRC decided to file a case against him because his spouse was suspected of short-term trading due to illegal trading of the company's shares in 2021.

It is understood that this is also the first chairman of a listed company to be filed by the CSRC on suspicion of short-term trading in 2022. Last year, the number of short-term transactions disclosed by listed companies soared to the highest in history.

"The new securities law requires the disclosure of short-term transactions of spouses and other relatives, which moderately improves the short-term trading system of insiders of the directors, supervisors and senior management, which also leads to the situation that relevant personnel have to report according to legal rules, leading to the surge of this number.". In this regard, Tian Lihui, President of the Institute of financial development of Nankai University, said.

frequent family transactions

Zhejiang Hangke Technology Incorporated Company(688006) the announcement shows that according to the transaction details of the securities account provided by Kong Haiping, Cao Ji's spouse, he successively bought 11500 shares of the company's shares from January 12 to September 16, 2021, with a transaction amount of 1.0300 yuan; During the following period from January 13 to September 15, 9700 shares of the company's shares were sold successively, with a transaction amount of 880500 yuan. The above-mentioned selling within six months after buying the company's shares is suspected to constitute a short-term transaction.

Last September, Zhejiang Hangke Technology Incorporated Company(688006) apologized for this. According to the disclosure at that time, Kong Haiping's securities account bought the company's shares nearly 30 times and sold more than 20 times from January 12 to September 16, 2021. For Kong Haiping's frequent transactions, Cao Ji said he did not know the relevant situation. Kong Haiping's behavior of buying and selling the company's shares is based on her personal investment judgment on the trading situation of the secondary market, and there is no situation of trading with insider information to seek benefits.

In addition, according to Article 44 of the securities law, the proceeds of the company's shares sold by Kong Haiping within six months after her purchase or bought again within six months after her sale have been handed over to the company. At the same time, Kong Haiping promises that the proceeds of the remaining 1800 shares sold in the future will also be owned by the company.

At present, Zhejiang Hangke Technology Incorporated Company(688006) is preparing to raise a fixed increase of no more than 2.312 billion yuan for the construction project of intelligent manufacturing of lithium-ion battery charging and discharging equipment, the technical transformation project of production intellectualization and information upgrading, the overseas business network layout and basic R & D, the construction project of assembly and manufacturing center and replenishing working capital. At the end of January, Zhejiang Hangke Technology Incorporated Company(688006) just received the fixed-point notice sent by Eve Energy Co.Ltd(300014) (300014. SZ) via email, and won the bid for lithium battery equipment totaling 497 million yuan (including tax).

Zhejiang Hangke Technology Incorporated Company(688006) said in the announcement that the above matters were filed against Cao Ji and the company's operation, production and management activities would not be affected.

the number of short-term transactions soared

It is worth noting that the number of short-term transactions disclosed by listed companies soared last year, reaching the highest in history.

On February 11, Guangdong securities regulatory bureau announced three tickets at one go, all related to short-term trading.

On December 6, 2021, Luo Jinhong, the actual controller of Eve Energy Co.Ltd(300014) , sold 5.11 million Eve Energy Co.Ltd(300014) shares through centralized bidding and then bought 20000 shares. The Transaction constituted a short-term transaction. Guangdong securities regulatory bureau decided to take administrative supervision measures to issue a warning letter to Luo Jinhong.

In addition, during the period from November 19 to December 16 of the same year, Zhao Qianjin, the spouse of Li mufen, deputy general manager of Eve Energy Co.Ltd(300014) , also bought and sold Eve Energy Co.Ltd(300014) shares through centralized bidding, including 2700 shares on November 19, with a transaction amount of 345100 yuan; On December 16, he sold 2 dug shares, with a transaction amount of 2.6834 million yuan. Li mufen was also issued a warning letter.

At a similar time, the spouse of Zheng Xiaomei, deputy general manager of Zhuhai Enpower Electric Co.Ltd(300681) (300681. SZ), bought 9600 Zhuhai Enpower Electric Co.Ltd(300681) shares at a transaction price of 32.78 yuan / share on December 15, 2021, with a purchase amount of 314700 yuan. Subsequently, on December 17 of the same year and January 4 of this year, Zheng Xiaomei bought 16500 shares and 11800 shares of Zhuhai Enpower Electric Co.Ltd(300681) shares in the same way and price, with the purchase amount of 540900 yuan and 386800 yuan respectively.

On January 10 this year, his spouse sold 3000 Zhuhai Enpower Electric Co.Ltd(300681) shares at a transaction price of 106.1 yuan / share, with a sale amount of 318300 yuan and a benefit of 177700 yuan. Guangdong securities regulatory bureau decided to take administrative regulatory measures to issue a warning letter to Zheng Xiaomei.

In other words, Dong Jiangao should not only prevent buying / selling within 6 months, but also prevent relatives from buying / selling within 6 months. At the same time, Dong Jiangao should not buy / sell within 6 months, and relatives should reverse operation before or within 6 months thereafter.

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