Zhitong Financial APP, 603665.SH announcement, on September 12, 2023, Liu Guohai, a former director and senior manager of the company, received Administrative penalty decision No. 26 of Zhejiang Administration of China Securities Regulatory Commission, which reads as follows: "in accordance with the relevant provisions of the Securities Law of the people's Republic of China (" Securities Law "). Our bureau investigated and tried the stock behavior of Liu Guohai insider trading and short-term trading Zhejiang Kanglongda Special Protective Technology Co., Ltd. (Kanglongda or the company).
It has been found that Liu Guohai has the following illegal facts: Liu Guohai Ren Kang Longda director from October 2014 to November 18, 2022; Liu Guohai Ren Kang Longda deputy general manager from May 2020 to November 18, 2022. Liu Guohai controls the use of the "Jia Moufeng" account to trade "Kanglongda", and there is a behavior of selling within six months after buying or buying within six months after selling: from September 18, 2020 to December 14, 2020, he bought a total of 85900 shares of Kanglongda. A total of 81692 shares of Kanglongda were sold, with a transaction value of 2.205 million yuan. From October 15, 2021 to March 7, 2022, Liu Guohai used the "Jia Moufeng" account to buy a total of 45700 shares of Kanglongda shares and sold 45700 shares of Kanglongda shares, with a transaction value of 1.4076 million yuan.
As an insider, Liu Guohai traded "Kanglonda" in the sensitive period of insider information, and he could not make a reasonable explanation or provide evidence to exclude the use of insider information trading. The above-mentioned acts of Liu Guohai violate the provisions of Article 50 and paragraph 1 of Article 53 of the Securities Law and constitute insider trading as mentioned in paragraph 1 of Article 191 of the Securities Law.
As the director and deputy general manager of Kanglongda at that time, Liu Guohai actually controlled the use of the "Jia Moufeng" account to trade "Kanglongda". He sold within six months after buying or bought within six months after selling. it violates the provisions of Article 44 of the Securities Law and constitutes the short-term trading mentioned in Article 189 of the Securities Law.
According to the facts, nature, circumstances and the degree of social harm of the illegal acts of the parties concerned, and in accordance with the provisions of paragraph 1 of Article 191 and Article 189 of the Securities Law, our bureau decided: first, to impose a fine of 500000 yuan on Liu Guohai's insider trading; second, to warn Liu Guohai's short-term trading behavior and impose a fine of 300000 yuan.