Securities code: Guangdong Dongpeng Holdings Co.Ltd(003012) securities abbreviation: Guangdong Dongpeng Holdings Co.Ltd(003012) Announcement No.: 2022021 Guangdong Dongpeng Holdings Co.Ltd(003012)
Self inspection report on the trading of the company’s shares by insiders of the company’s stock option incentive plan in 2022
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 relevant provisions of the measures for the administration of equity incentives of listed companies (hereinafter referred to as the “measures”), the guidelines for self-discipline supervision of listed companies of Shenzhen Stock Exchange No. 1 – business handling and other normative documents, as well as Guangdong Dongpeng Holdings Co.Ltd(003012) (hereinafter referred to as the “company”), the information disclosure management system, the insider registration management system and other provisions, Sufficient and necessary confidentiality measures have been taken for the 2022 stock option incentive plan (hereinafter referred to as the “incentive plan”), and the insiders of the incentive plan have been registered as necessary.
On April 6, 2022, Guangdong Dongpeng Holdings Co.Ltd(003012) (hereinafter referred to as “the company”) held the 13th meeting of the 4th board of directors and the 12th meeting of the 4th board of supervisors, deliberated and approved the proposal on the company’s stock option incentive plan (Draft) in 2022 and its summary, and posted it on cninfo.com.cn on April 6 Disclosure of relevant announcements. According to the management measures and other relevant provisions, the company conducts self inspection on the trading of the company’s shares by insiders within 6 months before the announcement of this incentive plan (September 30, 2021 – April 6, 2022). The specific conditions are as follows:
1、 Scope and procedure of verification
1. The verification objects are insiders of the incentive plan and all incentive objects.
2. The insiders of the incentive plan have filled in the registration form of insiders.
3. The company inquired and confirmed with China Securities Depository and Clearing Co., Ltd. Shenzhen Branch (hereinafter referred to as “CSDCC Shenzhen Branch”) about the purchase and sale of the company’s shares by the verification object within 6 months before the initial public disclosure of the incentive plan (September 30, 2021 – April 6, 2022), and CSDCC Shenzhen Branch issued the inquiry certificate.
2、 Description of the purchase and sale of the company’s shares by the verification object during the query period
According to the inquiry certificate on Shareholding and share change of information disclosure obligors and the detailed list of shareholder share change issued by CSDCC Shenzhen Branch, the trading of shares of the company by insiders and incentive objects during the self-examination period is as follows:
1. Insider trading of company shares
After verification, the insider of the company did not buy or sell the company’s shares during the self-examination, did not disclose the insider information of the equity incentive plan to anyone, and did not use the insider information for trading. 2. Purchase and sale of company shares by incentive objects
After verification, a total of 68 proposed incentive objects (all non insiders) had stock trading behavior of the company during the self inspection period. The above proposed incentive objects submitted statements and commitments for the trading of the company’s shares during the self inspection period. The above stock trading was purely an operation conducted by individuals based on their own judgment on the trading situation of the secondary market, and they did not know any relevant information about the incentive plan when buying and selling shares, There is no trading with inside information.
3、 Concluding observations
The company has established relevant systems of information disclosure and insider information management in strict accordance with relevant laws, regulations and normative documents. During the planning and discussion of the incentive plan, corresponding confidentiality measures have been taken in accordance with the above provisions, the scope of personnel who have access to insider information has been limited, and the relevant personnel of the company and intermediary institutions who know the insider information have been registered in time; Prior to the disclosure of this incentive plan, the company did not disclose inside information, nor did insiders use inside information for trading.
4、 Documents for future reference
1. Inquiry certificate of shareholding and share change of information disclosure obligor;
2. Detailed list of changes in shareholders’ shares.
It is hereby announced.
Guangdong Dongpeng Holdings Co.Ltd(003012) board of directors April 28, 2002
