Securities code: 000756 securities abbreviation: Shandong Xinhua Pharmaceutical Company Limited(000756) Announcement No.: 2021-84 Shandong Xinhua Pharmaceutical Company Limited(000756)
Self inspection report on the trading of the company’s shares by insiders and incentive objects of the company’s A-share stock option incentive plan in 2021
The company and all members of the board of directors guarantee that the information disclosed is true, accurate and complete without false records, misleading statements or major omissions.
In accordance with the requirements of laws, regulations and normative documents such as the measures for the administration of equity incentive of listed companies, the guidelines for business handling of listed companies of Shenzhen Stock Exchange No. 9 – equity incentive, etc, Shandong Xinhua Pharmaceutical Company Limited(000756) (hereinafter referred to as “the company” and “the company”) has taken sufficient and necessary confidentiality measures for the company’s 2021 A-share stock option incentive plan (Draft) (hereinafter referred to as “the incentive plan (Draft)”) in accordance with the provisions of the company’s information disclosure management system, internal reporting system on major matters and registration management system for insiders, At the same time, the insiders of the incentive plan are registered as necessary.
The company held the fourth extraordinary meeting of the 10th board of directors in 2021 and the third extraordinary meeting of the 10th board of supervisors in 2021 on October 28, 2021, deliberated and adopted the proposal on Shandong Xinhua Pharmaceutical Company Limited(000756) 2021 A-share stock option incentive plan (Draft) and its summary and relevant proposals, For details, please refer to the relevant announcements and documents disclosed by the company in the designated information disclosure media on October 29, 2021. According to the relevant provisions of the measures for the administration of equity incentive of listed companies and the guidelines for the business handling of listed companies of Shenzhen Stock Exchange No. 9 – equity incentive, the company has conducted a self-examination on the trading of the company’s shares by insiders and incentive objects within six months before the initial public disclosure of the incentive plan (Draft). The details are as follows:
1、 Scope and procedure of verification
1. The verification object is the insider of the incentive plan and the incentive object.
2. The insiders of the incentive plan have filled in the registration form of insiders.
3. The company inquired and confirmed the purchase and sale of the company’s shares by the verification object six months before the initial public disclosure of the incentive plan (Draft) (i.e. from April 28, 2021 to October 28, 2021) from Shenzhen Branch of China Securities Depository and Clearing Co., Ltd., and the detailed list of liability changes of China Securities Depository and Clearing Co., Ltd.
2、 Description of the purchase and sale of the company’s shares by the verification object
According to the inquiry certificate on Shareholding and share change of information disclosure obligor and the detailed list of shareholder share change issued by China Securities Depository and Clearing Co., Ltd. Shenzhen Branch on December 20, 2021, six months before the first public disclosure of the incentive plan (i.e. April 28, 2021 to October 28, 2021), Except for the verification objects listed in Annex I: table of verification objects buying and selling company shares, other verification objects did not buy and sell company shares during the above-mentioned period.
After verification, the above verification objects bought and sold the shares of the listed company during the self inspection period, which was based on the information publicly disclosed by the listed company and their independent judgment on the trading situation of the secondary market; During the above-mentioned period, in addition to the information publicly disclosed by the listed company, he did not know the inside information of the listed company’s planning of the incentive plan, nor did any insider disclose the inside information of the incentive plan to him, and there was no trading with the inside information.
3、 Conclusion
To sum up, the company has established relevant systems for information disclosure and insider information management in accordance with relevant laws, regulations and normative documents; During the planning and discussion of this incentive plan, the company has taken corresponding confidentiality measures in accordance with the above provisions, limited the scope of personnel who have access to inside information, and registered relevant company personnel and intermediaries who have access to inside information in a timely manner; Before the announcement of this incentive plan, the company did not disclose information.
Within 6 months before the first public disclosure of the incentive plan, no insider of the incentive plan and incentive objects have used the insider information of the incentive plan to buy and sell the company’s shares, and there is no disclosure of the insider information of the incentive plan, All comply with the relevant provisions of the administrative measures and the guidelines for business handling of listed companies of Shenzhen Stock Exchange No. 9 – equity incentive, and there is no insider trading.
4、 Documents for future reference
1. Inquiry certificate on Shareholding and share change of information disclosure obligor issued by Shenzhen Branch of China Securities Depository and Clearing Co., Ltd. (business No.: 114000034564);
2. Detailed list of changes in shareholders’ shares issued by Shenzhen Branch of China Securities Depository and Clearing Corporation Limited (business No.: 114000034564).
It is hereby announced
Shandong Xinhua Pharmaceutical Company Limited(000756) Appendix I of the board of directors on December 31, 2021: list of shares purchased and sold by the verification object
Serial number name position self inspection period purchase company shares self inspection period sell company shares Total (shares) Total (shares)
1. Wang Peng’s core backbone personnel 60000
2 Wang Wei 6339 middle managers 1700021000
3 Hu LiNbO middle managers 10000
4 Huo Jinhui middle managers 2100045900
5 Wang Kaiguang middle management 4930079300
6. Wang Yanwei’s core backbone personnel 62006600
7 Wang Yi middle management 1700034000
8 Zheng aigang middle management 42004200
9 Zhai Yulei middle management 01500
10 pan Jiankun middle managers 40039500
11 Luo Jun middle managers 2600034743
12 Zhu Jun middle managers 99000
13 Jia Faqiang middle managers 10000000
14 LV Xiuting middle management 030000
15 Han Jimao middle management 010000
16 Gong huaizheng middle management 246140263771
17 Hu Xiaoguang middle management 2370021300
18 shenzongjiang core backbone staff 14000
19 Zhao Wenpai middle management 038100
20 Wang Tao middle management 1690016900
More than 21 Yonghua middle managers 20000
22 Pang Zhiwei middle management 013800
23 Li Yinbao middle management 410024500
24 Wang Shiying middle managers 36000
25 yuan Hongwei middle management 120000
26 Gao Mingcai middle management 870011030
27 Jin Yanhui middle management 024500
28 yuan Xinghui middle managers 12000
29 Zhang Libao middle managers 182000
30 Wang Yunfei middle management 26000
31 Wang Furong’s core backbone staff 2740023400
32 Zhang Bo middle managers 51003100
33 Cao Zhongzhong middle managers 07200
34 fengyusheng core staff 02000
35 Li Guang middle management 53000
36 sun Guochun middle managers 1000500
37 middle managers of Yuanfeng 60000236000
38 Zhang Hongzhen middle managers 10000
39 Wu Xiaohao middle managers 86800109000
40 Fu Lin middle management 03000
41 Yu Qinggang middle management 011900
42 Wang Shuguo middle managers 010000
43 Chen Qixin core backbone staff 316000
44 Feng Yukun’s core staff 3000
45 Cao Wenbing’s core key personnel 9000
46 Wang Zaiying middle management 27000
47 Xing Hailong’s core personnel 2000
48 Qu Rongchang middle management 108008800
49 Wang longchuang middle management 2680018100
40050 middle managers
51 Wang Bing’s core backbone personnel 10000
52 Sunke middle managers 3000
53 Li Mingyu middle management 500000 19000
54 Qi Yong middle management 017000
55 Middle Managers of lufangzhen 2600018000
56 Liu Xuesong middle management 07500
57 Zhu Yuzhu middle managers 20000
58 Xing Zhongnan middle management 70000
59 Wang Jiong middle managers 48001800
