Securities code: 000876 securities abbreviation: New Hope Liuhe Co.Ltd(000876) Announcement No.: 2022-10 bond Code: 127015127049 bond abbreviation: hope to convert bonds, hope to convert 2
Penalties imposed by regulatory authorities and exchanges in the last five years
Announcement of or regulatory measures
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.
Whereas New Hope Liuhe Co.Ltd(000876) (hereinafter referred to as “the company”) intends to issue shares in a non-public manner, according to relevant requirements, the company hereby announces the punishment or regulatory measures and rectification taken by the securities regulatory authorities and the exchange in the past five years as follows:
1、 Punishment by securities regulatory authorities and exchanges in the last five years
The company has not been punished by the securities regulatory authorities and the exchange in the past five years.
2、 Regulatory measures taken by securities regulatory authorities and exchanges in the last five years and corresponding rectification measures
1. On August 11, 2017, the company management department of Shenzhen Stock Exchange issued the supervision letter on Party Yuewen, the then senior manager of New Hope Liuhe Co.Ltd(000876) (company department supervision letter [2017] No. 69) to the company. The specific contents are as follows:
” New Hope Liuhe Co.Ltd(000876) ” (hereinafter referred to as ” New Hope Liuhe Co.Ltd(000876) “) the scheduled disclosure time of 2017 semi annual report is August 30, 2017. As a senior manager of New Hope Liuhe Co.Ltd(000876) , you bought 20000 New Hope Liuhe Co.Ltd(000876) shares on August 8, 2017, with a purchase amount of RMB 159200. Your above behavior violates Article 1.4 of the stock listing rules (revised in 2014) and article 3.8.15 of the guidelines for the standardized operation of companies listed on the main board (revised in 2015). We hope that you will learn a lesson, strictly abide by the securities law, the company law and other regulations and the provisions of the stock listing rules, and put an end to such incidents. ”
In view of the above situation, the company has carried out rectification, and the specific measures are as follows:
(1) Party Yuewen’s resignation report has come into effect after being submitted to the board of directors of the company. He resigned before the expiration of his term of office. According to relevant regulations, he must continue to abide by relevant restrictions on reduction of holdings during his remaining term of office after his resignation and within six months after the expiration of his term of office. The company requires party Yuewen to return all the proceeds obtained from this transaction to the company in accordance with the relevant restrictions on shareholding reduction after his resignation. Mr. Dang Yuewen apologizes for the transaction and is willing to accept the above decision made by the company.
(2) The board of directors of the company has informed the directors, supervisors and senior managers of the company of this matter, and through the office of the board of directors and invited intermediaries to publicize, train and answer questions and doubts about laws and regulations for the insiders of the company. At the same time, the above-mentioned personnel of the company and their close relatives are required to take this as a warning, strengthen the study of laws and regulations such as the securities law and the company law, strictly fulfill relevant commitments, fulfill their duties, prevent the recurrence of such matters, and effectively safeguard the interests of the company and the majority of investors. 2. On September 23, 2020, the company management department of Shenzhen Stock Exchange issued the supervision letter on New Hope Liuhe Co.Ltd(000876) (cbjh [2020] No. 52) to the company, the specific contents are as follows:
“The announcement on the completion of the company’s share increase plan by the company’s shareholders disclosed by your company on August 27, 2020 shows that your company’s shareholder New Hope Liuhe Co.Ltd(000876) Group Co., Ltd. (hereinafter referred to as” New Hope Liuhe Co.Ltd(000876) group “) increases the company’s shares by no less than 200 million yuan and no more than 400 million yuan within 6 months from February 5, 2020, The increase price shall not exceed RMB 20.00/share (inclusive). On August 5, 2020, your company received a notice from the shareholder New Hope Liuhe Co.Ltd(000876) group that its plan to increase its shares in your company has expired, but your company did not disclose the relevant announcement until August 27, 2020.
The above acts of your company violate the provisions of articles 1.4 and 2.1 of the stock listing rules (revised in November 2018) of the exchange. We hope that your company and all directors, supervisors and senior managers will learn lessons, strictly abide by the provisions of the securities law, the company law and other regulations and the stock listing rules, timely, truly, accurately, completely and fairly perform the obligation of information disclosure, and prevent such events. ”
In view of the above situation, the company has carried out rectification, and the specific measures are as follows:
(1) Learning and summary
The company organized the office of the board of directors and other relevant departments and personnel to deeply study the normative documents and relevant rules of securities laws, regulations and rules, such as the company law, the securities law, the guidelines for the governance of listed companies, the measures for the administration of information disclosure of listed companies, the guidelines for the standardized operation of listed companies of Shenzhen Stock Exchange, the stock listing rules of Shenzhen Stock Exchange, etc, Implement and implement the provisions of the company’s information disclosure system item by item, require relevant personnel to establish a standardized operation awareness with full information disclosure as the core principle, ensure that relevant personnel of all departments of the company implement internal working procedures in strict accordance with the requirements of relevant laws, regulations and the company’s rules and regulations, carefully and timely submit information, and prevent such matters from happening again.
(2) Internal accountability
After receiving the supervision letter, the company ordered the office of the board of directors and relevant personnel to make a profound review and make a comprehensive verification and Reflection on the existing problems.
In the future work, the company will continuously improve the information disclosure mechanism in strict accordance with relevant requirements, improve the awareness of standardized operation, strengthen the standardized operation of the company by actively performing the obligation of information disclosure, improve the transparency of listed companies, and ensure and promote the sustainable, stable and healthy development of the company.
According to the self inspection, in addition to the above circumstances, the company has not been subject to other regulatory measures or penalties taken by the securities regulatory authorities and the stock exchange in the past five years.
It is hereby announced.
New Hope Liuhe Co.Ltd(000876)
Board of directors
January 6, 2002
