Mengshi new energy technology (Henan) Co., Ltd
The company's shares held by directors, supervisors, senior managers and relevant personnel and their change management system
Chapter I General Provisions
Article 1 in order to regulate the behavior of directors, supervisors, senior managers and relevant personnel of Lion New Energy Technology (Henan) Co., Ltd. (hereinafter referred to as "the company" or "the company") in buying and selling shares and shareholding changes of the company, in accordance with the company law of the people's Republic of China (hereinafter referred to as "the company law") and the securities law of the people's Republic of China (hereinafter referred to as "the securities law") This system is hereby formulated in accordance with the stock listing rules of Shenzhen Stock Exchange (hereinafter referred to as the "Stock Listing Rules"), the self regulatory guidelines for listed companies of Shenzhen Stock Exchange No. 1 - standardized operation of listed companies on the main board (hereinafter referred to as the "standardized operation"), the rules for the management of shares and changes of the company held by directors, supervisors and senior managers of listed companies, and the articles of association of the company.
Article 2 the directors, supervisors and senior managers of the company shall abide by this system. The shares of the company held by them refer to all the shares of the company registered in their names; Those engaged in margin trading also include the shares of the company recorded in their credit accounts.
Article 3 before buying and selling the company's shares and their derivatives, the directors, supervisors and senior managers of the company shall be aware of the provisions of the company law, the securities law and other laws and regulations on insider trading, market manipulation, short-term trading and other prohibited acts, and shall not conduct illegal transactions.
Chapter II information declaration and disclosure
Article 4 the directors, supervisors and senior managers of the company shall entrust the company to report the identity information of their individuals and their relatives (including spouses, parents, children, brothers and sisters, etc.) to Shenzhen Stock Exchange (hereinafter referred to as "Shenzhen Stock Exchange") within the following time (including name, position, ID card number, securities account, time of leaving office, etc.):
（1） When the directors, supervisors and senior managers of the newly listed company apply for stock listing;
（2） Within 2 trading days after the new directors and supervisors are approved by the general meeting of shareholders (or employee congress);
（3） Within 2 trading days after the new senior management is approved by the board of directors;
（4） The current directors, supervisors and senior managers shall change their declared personal information within 2 trading days;
（5） The current directors, supervisors and senior managers shall be within 2 trading days after leaving office;
（6） Other time required by Shenzhen Stock Exchange.
The above declaration is regarded as the application submitted by the directors, supervisors and senior managers of the company to Shenzhen Stock Exchange to manage their shares of the company in accordance with regulations.
Article 5 the company and its directors, supervisors and senior managers shall ensure the authenticity, accuracy, timeliness and completeness of the information they report to the company, agree that the Shenzhen Stock Exchange shall timely announce the changes in the shares held by relevant personnel, and bear the legal liabilities arising therefrom.
Article 6 the company shall confirm the share related information of directors, supervisors, senior managers and their relatives in accordance with the requirements of China Securities Depository and Clearing Co., Ltd. Shenzhen Branch (hereinafter referred to as "depository and Clearing Company"), and feed back the confirmation results in time. In case of any legal dispute caused by error confirmation or untimely feedback and correction information, the company shall solve it by itself and bear relevant legal liabilities.
Article 7 after the directors, supervisors and senior managers of the company entrust the company to declare their personal information, the Shenzhen Stock Exchange shall send their declaration data to the registration and Clearing Company to lock the shares of the company registered in the securities account opened under their ID card number.
75% of the company's shares with unlimited conditions of sale newly added in the securities account of the directors, supervisors and senior managers of the company within one year through secondary market purchase, convertible bonds into shares, exercise, agreement transfer and other means; The newly added shares with limited sale conditions shall be included in the calculation base of transferable shares in the next year.
The newly added shares of the company in the securities accounts of the directors, supervisors and senior managers of the company less than one year after listing shall be automatically locked at 100%.
Article 8 Where a company's directors, supervisors and senior managers have multiple securities accounts, they shall be consolidated into one account in accordance with the provisions of the registration and settlement company.
Article 9 Where the company makes additional transfer price, additional performance assessment conditions, set restricted sales period and other restrictive conditions for the transfer of shares held by directors, supervisors and senior managers due to the public or non-public issuance of shares and the implementation of equity incentive plan, the company shall apply to Shenzhen Stock Exchange when going through the procedures of share change registration, and the registration and settlement company shall transfer the directors The shares of the company held by supervisors and senior managers are registered as shares with limited sales conditions.
Article 10 the directors, supervisors and senior managers of the company shall make disclosure on the website of Shenzhen stock exchange through the board of directors within two trading days of buying and selling the company's shares and their derivatives. The disclosure contents include: (I) the number of shares held before this change;
(II) date, quantity and price of this share change;
(III) number of shares held after this change;
(IV) other matters required to be disclosed by the Shenzhen Stock Exchange.
Article 11 Where the directors, supervisors and senior managers of the company hold the shares of the company and their change proportion reaches the provisions of the measures for the administration of the acquisition of listed companies, they shall also perform the obligations of reporting and disclosure in accordance with the measures for the administration of the acquisition of listed companies and other relevant laws, administrative regulations, departmental rules and business rules.
Article 12 If the directors, supervisors, senior managers and shareholders holding more than 5% of the shares of the company violate the provisions of the securities law and sell their shares or other equity securities of the company within 6 months after purchase, or buy them again within 6 months after sale, the board of directors of the company will recover their income and disclose the following contents in time:
（1） Illegal trading of stocks by relevant personnel;
（2） Remedial measures taken by the company;
（3） The calculation method of income and the specific situation of income recovery by the board of directors;
（4） Other matters required by SZSE.
The above "sell within six months after purchase" refers to the sale within six months from the time point of the last purchase; "Buying again within six months after selling" refers to buying again within six months from the time point of the last sale.
The term "shares or other securities with equity nature held by directors, supervisors, senior managers and natural person shareholders" as mentioned in the preceding paragraph includes shares or other securities with equity nature held by their spouses, parents and children and by using other people's accounts.
Article 13 the directors, supervisors and senior managers of the company shall not engage in margin trading with the company's shares as the underlying securities.
Chapter III share change management
Article 14 before buying and selling the shares of the company, the directors, supervisors and senior managers of the company shall notify the Secretary of the board of directors in writing of their own trading plan. The Secretary of the board of directors shall check the progress of the company's information disclosure and major events. If the trading behavior may violate the company law, the securities law, the measures for the administration of the acquisition of listed companies, the stock listing rules, the standardized operation In case of other relevant regulations of Shenzhen Stock Exchange and the articles of association, the Secretary of the board of directors shall timely notify the directors, supervisors and senior managers in writing.
