【中英文对照版】上市公司董事、监事和高级管理人员所持本公司股份及其变动管理规则(2024修订).docx

上市公司董事、监事和高级管理人员所持本公司股份及其变动管理规则RulesfortheManagementofSharesHeldbytheDirectors,Supervisors,andSeniorExecutivesof1.istedCompaniesandtheChangesThereof(2024Revision)制定机关：中国证券发甘京理蚕文会发文字号：中国证券收督管理案受会公告2024)9号公布H期:2024.05.24施行8期:2024.05.24效力位阶：部门规范性文件法规类别：证券炷合规定IssuingAuthorityChinaSecuritiesRegulator)'CommissionD(umcntNumber：AnnouncementNo.92024)oftheChinaSecuritiesRegulator),CommissionDaleIssued：05-24-2024EfTcctivcDate：()5-24-20241.evelofAuthority：DepartmentalRegulatoryDoCUmCnISAreaof1.awGeneralProvisionsonSecuritiesChinaSecurities中国证券监督管理委员会公告AnnouncementoftheRegulatoryCommission(No.92024)(2024)9号)TheRulesfortheManagementoftheSharesofa1.istedCompanyHeldbytheDirectors,Supervisors,andSeniorExecutivesofthe1.istedCompanyandtheChangesThereofareherebyissuedandshallcomeintoforceonthedateofissuance.现公布上市公司董事、监事和高级管理人员所持本公司股份及其变动管理规则，自公布之日起施行。ChinaSecuritiesRegulatoryCommission中国证监会May24,20242024年5月24日Annex 1: RulesfortheManagementoftheSharesofa1.istedCompanyHeldbytheDirectors,Supervisors,andSeniorExecutivesofthe1.istedCompanyandtheChangesThereofAnnex 2: ExplanationofRevisingtheRulesfortheManagementoftheSharesofa1.istedCompanyHeldbytheDirectors,Supervisors,andSeniorExecutivesofthe1.istedCompanyandtheChangesThereofRulesfortheManagementoftheSharesofa1.istedCompanyHeldbytheDirectors,Supervisors,andSeniorExecutivesofthe1.istedCompanyandtheChangesThereofArticle1TheseRulesaredevelopedinaccordancewiththeCompany1.awofthePeople'sRepublicofChina(uCompany1.aw"),theSecurities1.awofthePeople'sRepublicofChina("Securities1.aw"),theInterimMeasuresfortheAdministrationofShareholdingReductionbyShareholdersof1.istedCompanies,andotherapplicablelaws,administrativeregulations,andrulesoftheChinaSecuritiesRegulatoryCommission("CSRC")forthepurposesofstrengtheningthemanagementofsharesheldbydirectors,supervisors,andseniorexecutivesoflistedcompaniesandthechangesthereofandmaintainingtheorderofthesecuritiesmarket.Article2Thedirectors,supervisors,andseniorexecutivesofalistedcompanyshallcomplywiththerestrictionsonchangesinshareholdingsspecifiedintheCompany1.aw,附件1：上市公司董事、监事和高级管理人员所持本公司股份及其变动管理规则附件2：上市公司莹事、监事和高级管理人员所持本公司股份及其变动管理规则修订说明上市公司董事、监事和高级管理人员所持本公司股份及其变动管理规则笫一条为加强对上市公司董事、监事和高级管理人员所持本公司股份及其变动的管理，维护证券市场秩序，根据中华人民共和国公司法（以下简称公司法）、中华人民共和国证券法（以下简称证券法）、上市公司股东减持股份管理暂行办法等法律、行政法规和中国证券监督管理委员会（以下简称中国证监会）规章的规定，制定本规则。笫二条上市公司董事、监事和高级管理人员应当遵守公司法证券法和有关法律、行政法规，中国证监会规章、规theSecurities1.aw,andotherrelevantlawsandadministrativeregulations,rulesandregulatorydocumentsoftheCSRC,andrulesofthestockexchange.Thedirectors,supervisors,andseniorexecutivesofalistedcompanyshallstrictlycomplywiththeirundertakingsonmattersrelatedtochangesintheirshareholdings.Article3Thesharesofalistedcompanyheldbyanyofitsdirectors,supervisors,orseniorexecutivesmeansallsharesofthelistedcompanyregisteredinthenameofsuchadirector,supervisor,orseniorexecutiveandheldthroughothers'accounts.Ifanydirector,supervisor,orseniorexecutiveofalistedcompanyengagesinmargintrading,sharesheldbyhimorherinthecompanyshallalsoincludethesharesrecordedinhisorhermarginaccount.Article4Thesharesofalistedcompanyheldbyanyofitsdirectors,supervisors,orseniorexecutivesshallnotbetransferredunderanyofthefollowingcircumstances:范性文件以及证券交易所规则中关于股份变动的限制性规定。上市公司港事、监事和高级管理人员就其所持股份变动相关事项作出承诺的，应当严格遵守。笫三条上市公司垂事、监事和高级管理人员所持本公司股份，是指登记在其名下和利用他人账户持有的所有本公司股份。上市公司董事、监事和高级管理人员从事融资融券交易的，其所持本公司股份还包括记载在其信用账户内的本公司股份。第四条存在下列情形之一的，上市公司道事、监事和高级管理人员所持本公司股份不得转让：(1) Withinoneyearfromthedateoflistingofthecompany'sstockfortrading.(2) Withinhalfayearafterleavingoffice.(3) ThelistedcompanyisunderofficialinvestigationbytheCSRCorcriminalinvestigationbyajudicialauthorityonsuspicionofanysecuritiesandfutures-related（一）本公司股票上市交易之日起一年内；（二）本人离职后半年内;（三）上市公司因涉嫌证券期货违法犯罪，被中国证监会立案调查或者被司法机关立案侦查，或者被行政处罚、判处刑罚未满六illegalactorcrime,orithasbeenlessthansix个月的;monthsaftertheimpositionofanadministrativepenaltyoracriminalpunishment.（四）本人因涉嫌与本上市公司有关的证券期货违法犯罪，被中国证监会立案调查或者被司法机关立案侦查，或者被行政处罚、判处刑罚未满六个月的；(4) TheshareholderisunderofficialinvestigationbytheCSRCorcriminalinvestigationbyajudicialauthorityonsuspicionofanysecuritiesandfutures-relatedillegalactorcrimeassociatedwiththelistedcompany,orithasbeenlessthansixmonthsaftertheimpositionofanadministrativepenaltyoracriminalpunishment.（五）本人因涉及证券期货违法，被中国证监会行政处罚，尚未足额缴纳罚没款的，但法律、行政法规另有规定或者减持资金用于微纳罚没款的除外；(5) TheshareholderhasreceivedanadministrativepenaltyfromtheCSRCduetoanysecuritiesandfutures-relatedviolationoflawandhasnotpaidthefineorconfiscatedamountinfull,exceptasotherwiseprescribedbyanylaworadministrativeregulation,orthefundsfromshareholdingreductionareusedtopaythefineorconfiscatedamount.（六）本人因涉及与本上市公司有关的违法违规，被证券交易所公开谴责未满三个月的；(6) Ithasbeenlessthanthreemonthsafterastockexchangeissuedapubliccensureoftheshareholde