【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) Ithasbeenlessthanthreemonthsafterastockexchangeissuedapubliccensureoftheshareholderfortheinvolvementinanyviolationoflaworregulationrelatedtothelistedcompany.（七）上市公司可能触及重大违法强制退市情形，在证券交易所规定的限制转让期限内的；(7) Thelistedcompanymaytriggercompulsorydelistingduetoanyseriousviolationoflawwithinthetransferrestrictionperiodprescribedbythestockexchange.（八）法律、行政法规、中国证监会和证券交易所规则以及公司常程规定的其他情形。(8) Othercircumstancesprescribedbyanylaw,administrativeregulation,rulesoftheCSRCandthestockexchange,orthecompany,sbylaws.第五条上市公司宣事、监事和高级管理人员在就任时确定的任职期间，每年通过集中竞价、大宗交易、协议转让等方式转让的股份，不得超过其所持本公司股份总数的百分之二十五，因司法强制执行、继承、遗赠、依法分割财产等导致股份变动的除外。Article5Duringthetermofofficeofadirector,supervisor,orseniorexecutiveofalistedcompany,thesharestransferredeachyearbysuchadirector,supervisor,orseniorexecutiveinsuchmannerascallauction,blocktrading,oragreement-basedtransfershallnotexceed25%ofallsharesofthelistedcompanyheldbysuchadirector,supervisor,orseniorexecutive,exceptforchangesinshareholdingforsuchareasonasjudicialenforcement,succession,bequest,andlegalpartitionofproperty.上市公司量事、监事和高级管理人员所持股份不超过一千股的，可一次全部转让，不受前款转让比例的限制。Whereadirector,supervisor,orseniorexecutiveofalistedcompanyholdslessthan1,000sharesofthelistedcompany,allthesharesmaybetransferredonaone-timebasiswithoutbeingsubjecttothetransferratiolimitspecifiedintheprecedingparagraph.第六条上市公司董事、监事和高级管理人员以上年末其所持有的本公司股份总数为基数，计算其可转让股份的数量。Article6Thenumberoftransferablesharesofalistedcompanyheldbyadirector,supervisor,orseniorexecutiveshallbecalculatedbasedonthetotalnumberofsharesofthelistedcompanyheldbysuchadirector,supervisor,orseniorexecutiveattheendofthepreviousyear.董事、监事和高级管理人员所持本公司股份年内增加的，新增无限售条件的股份当年可转让百分之二十五，新增有限售条件的股份计入次年可转让股份的计算基数。Ifthesharesofthecompanyheldbyanydirector,supervisor,orseniorexecutiveareincreasedinayear,25%ofthenewlyacquiredshareswithouttradingrestrictionsmaybetransferredinthecurrentyear,andthenewlyacquiredsharessubjecttotradingrestrictionsshallbeincludedinthebaseforthecalculationoftransferablesharesinthenextyear.因上市公司年内进行权益分派导致董事、监事和高级管理人员所Ifthesharesofthelistedcompanyheldbyitsdirectors,supervisors,andseniorexecutivesincreaseduetotheequitydistributionofthe持本公司股份增加的，可同比例增加当年可转让数量。listedcompanyinayear,thenumberoftransferablesharesinthecurrentyearmaybeincreasedinproportiontotheincrease.笫七条上市公司董事、监事和高级管理人员当年可转让但未转让的本公司股份，计入当年末其所持有本公司股份的总数，该总数作为次年可转让股份的计算基数。第八条上市公司章程可以对董事、监事和高级管理人员转让其所持本公司股份规定比本规则更长的限制转让期间、更低的可转让股份比例或者附加其他限制转让条件。Article7Thesharesofalistedcompanyheldbyitsdirector,supervisor,orseniorexecutive,whicharetransferablebutnottransferredinayear,shallbeincludedinthetotalnumberofsharesofthecompanyheldbysuchadirector,supervisor,orseniorexecutiveattheendoftheyear,andthetotalnumbershallbetakenasthebaseforcalculatingtransferablesharesinthenextyear.Article8Thebylawsofalistedcompanymayprescribealongerperiodoftransferrestrictionoralowerrat100ftransferablesharesthanthatspecifiedintheseRules,oranyotherlimitations,onthetransferofsharesofthecompanyheldbyanyofitsdirectors,supervisors,andseniorexecutives.笫九条上市公司董事、监事和商级管理人员计划通过证券交易所集中竞价交易或者大宗交易方式转让股份的，应当在首次卖出前十五个交易日向证券交易所报告并披露减持计划。Article9Whereadirector,supervisor,orseniorexecutiveofalistedcompanyplanstoreduceshareholdingthroughcallauctionorblocktradingonastockexchange,itshallreportanddisclosethereductionplantothestockexchange15tradingdaysbeforesaleforthefirsttime.Thereductionplanshallcover:减持计划应当包括下列内容:（一）拟减持股份的数量、来（二）减持时间区间、价格区间、方式和原因。减持时间区间应当符合证券交易所的规定；(1) Thenumberandsourceofthesharestobereduced.(2) Theperiodofreduction,pricerange,method,andreasonforreduction.Theperiodofreductionshallcomplywiththerulesofthestockexchange.(3) Astatementonthenon-existenceofthecircumstancespecifiedinArticle4oftheseRules.(4) Othercontentsprescribedbythestockexchange.Aftertheimplementationofthereductionplan,thedirector,supervisor,orseniorexecutiveshallreporttothestockexchangewithintwotradingdaysandmakeanannouncementthereon.Ifthereisnoshareholdingreductionorthereductionplanisnotfullyimplementedwithinthepre-disclosedperiodofreduction,thedirector,supervisor,orseniorexecutiveshallreporttothestockexchangewithintwotradingdaysupontheexpirationoftheperiodofreductionandmakeanannouncementthereon.Ifthesharesofacompanyheldbyadirector,supervisor,orseniorexecutiveareenforcedbyapeople'scourtthroughcallauctionorblocktradingonastockexchange,thedirector,supervisor,orseniorexecutiveshalldiscloserelevantinformationwithintwotradingdaysofreceivingtherelevantenforcementnotice.Theinformationtobedisclosedshallincludethenumberofthesharestobedisposedof,thesourceofsuchshares,themannerandperiodofreduction,andotherinformation.Article10Wherethesharesheldbyadirector,supervisor,orseniorexecutiveofalistedcompanydecreaseduetodivorce,thesharetransferorandtransfereeshallcontinue（三）不存在本规则第四条规定情形的说明。（四）证券交易所规定的其他内容。减持计划实施完毕后，董事、监事和高级管理人员应当在二个交易日内向证券交易所报告，并予公告；在预先披露的臧持时间区间内，未实施减持或者减持计划未实施完毕的，应当在臧持时间区间届满后的二个交易日内向证券交易所报告，井予公告。上市公司重事、监事和高级管理人员所持本公司股份被人民法院通过证券交易所集中竞价交易或者大宗交易方式强制执行的，董事、监事和高级管理人员应当在收到相关执行通知后二个交易日内披露。披露内容应当包括拟处置股份数量、来源、方式、时间区间等。第十条上市公司董事、监事和高级管理人员因离婚导致其所持本公司股份减少的，股份的tojointlycomplywiththerelevantprovisionsoftheseRules,exceptasOtherWiSeprescribedbyanylaw,administrativeregulation,ortheCSRC.过出方和过入方应当持续共同遵守本规则的有关规定。法律、行政法规、中国证监会另有规定的除外。Article11Adirector,supervisor,orseniorexecutiveofalistedcompanyshallauthorizethelistedcompanytodeclarehisorherpersonalinformation,suchasname,position,IDnumber,securitiesaccount,andtimeofresignationorremovalonthewebsiteofthestockexchangeatthetimeorwithintheperiodasfollows:笫十一条上市公司董事、监事和高级管理人员应当在下列时点或者期间内委托上市公司通过证券交易所网站申报其姓名、职务、身份证号、证券账户、离任职时间等个人信息：(1)Adirector,supervisor,orseniorexecutiveofthenewlistedcompanyappliesfortheinitialregistrationofshares.（一）新上市公司的堇事、监事和高级管理人员在公司申请股票初始登记时；(2) Withintwotradingdaysaftertheproposalonthetermofofficeofanewdirectororsupervisorisadoptedattheshareholders'meeting(oremployees'congress)oraftertheproposalonthetermofofficeofanewseniorexecutiveisadoptedatthemeetingoftheboardofdirectors.(3) Withintwotradingdaysafteranychangeofthepersonalinformationdeclaredbyanincumbentdirector,supervisor,orseniorexecutive.(4) Withintwotradingdaysafteranincumbentdirector,supervisor,orseniorexecutiveleavesoffice.（二）新任董事、监事在股东大会（或者职工代表大会）通过其任职事项、新任高级管理人员在董事会通过其任职事项后二个交易日内；（三）现任董事、监事和高级管理人员在其巳申报的个人信息发生变化后的二个交易日内；（四）现任董事、监事和高级管理人员在离任后二个交易日内；(5)Othertimerequiredbythestockexchange.（五）证券交易所要求的其他时间。第十二条上市公司董事、监事和高级管理人员所持本公司股份发生变动的，应当自该事实发生之日起二个交易日内，向上市公司报告并通过上市公司在证券交易所网站进行公告。公告内容应当包括：Article12Wherethereisanychangeinthesharesheldbyadirector,supervisor,orseniorexecutiveofalistedcompany,heorsheshall,withintwotradingdaysaftertheoccurrenceofthechange,reporttothelistedcompanyandmakeanannouncementonthewebsiteofthestockexchangethroughthelistedcompany.Theannouncementshallinclude:（一）本次变动前持股数量;(1) thenumberofsharesheldbeforethechange;（二）本次股份变动的日期、数量、价格；(2) thedate,number,andpriceofsharesinthechange;（三）本次变动后的持股数量;(3) thenumberofsharesheldafterthechange;and（四）证券交易所要求披露的其他事项。(4) othermattersrequiredtobedisclosedbythestockexchange.第十三条上市公司董事、监事和高级管理人员在下列期间不得买卖本公司股票：Article13Adirector,supervisor,orseniorexecutiveofalistedcompanyshallnottradeinthecompany'sstockduringthefollowingperiods:<-）上市公司年度报告、半年度报告公告前十五日内；（二）上市公司季度报告、业绩预告、业绩快报公告前五日内；（三）自可能对本公司证券及其(1) Within15daysbeforetheannouncementoftheannualreportandsemi-annualreportofthelistedcompany.(2) Withinfivedaysbeforetheannouncementofthequarterlyreport,performanceforecast,orperformancebriefingofthelistedcompany.(3) Duringtheperiodfromthedateofoccurrenceofanymajoreventthatmayhave衍生品种交易价格产生较大影响的重大事件发生之日起或者在决策过程中，至依法披露之日止；asignificantimpactonthetradingpricesofthecompany'ssecuritiesandtheirderivativesorinthedecision-makingprocesstothedateofdisclosureinaccordancewiththelaw.（四）证券交易所规定的其他期间。(4) Otherperiodsprescribedbythestockexchange.第十四条上市公司应当制定专项制度，加强对董事、监事和高级管理人员持有本公司股份及买卖本公司股份行为的监督。Article 14 Alistedcompanyshalldevelopspecialrulestostrengthenthesupervisionoftheholdingandtradingofthecompany'ssharesbyitsdirectors,supervisors,andseniorexecutives.上市公司董事会秘书负责管理公司董事、监事和高级管理人员的身份及所持本公司股份的数据，统一为重事、监事和高级管理人员办理个人信息的网上申报，每季度检查莹事、监事和高级管理人员买卖本公司股票的披露情况。发现违法违规的，应当及时向中国证监会、证券交易所报告。Thesecretaryoftheboardofdirectorsofalistedcompanyshallberesponsibleformanagingthedataontheidentityofthecompany'sdirectors,supervisors,andseniorexecutivesandonthecompany'ssharesheldbythem,conductingthecentralizedonlinedeclarationofthepersonalinformationofthedirectors,supervisors,andseniorexecutives,andcheckingonaquarterlybasisthedisclosureoftradinginthestockofthelistedcompanybydirectors,supervisors,andseniorexecutives.AnyviolationoflaworregulationdiscoveredshallbepromptlyreportedtotheCSRCandthestockexchange.笫十五条上市公司董事、监事和高级管理人员应当保证本人申报数据的及时、真实、准确、完整。Article 15 Thedirectors,supervisors,andseniorexecutivesofalistedcompanyshallensurethatthedatatheydeclarearetimely,true,accurate,andcomplete.第十六条上市公司遣事、监事和高级管理人员转让本公司股份违反本规则的，中国证监会依照上市公司股东减持股份管Article 16 Whereadirector,supervisor,orseniorexecutiveofalistedcompanytransfersthecompany'ssharesinviolationoftheseRules,theCSRCmay,inaccordancewiththe理暂行办法采取责令购回违规减持股份并向上市公司上缴差价、监管谈话、出具警示函等监管措施。笫十七条上市公司董事、监事、高级管理人员存在下列情形之一的，中国证监会依照证券法第一百.：处罚；情节严重的，中国证监会可以对有关责任人员采取证券市场禁入的措施：InterimMeasuresfortheAdministrationofShareholdingReductionbyShareholdersof1.istedCompanies,takeregulatorymeasuressuchasorderingtheshareholdertorepurchasethesharesreducedinviolationofprovisionsandsurrenderingthepricedifferencetothelistedcompany,holdingaregulatoryinterview,andissuingaletterofcaution.Article 17 Adirector,supervisor,orseniorexecutiveofalistedcompanyfallingunderanyofthefollowingcircumstancesshallbepunishedbytheCSRCinaccordancewithArticle186oftheSecurities1.aw;andifthecircumstancesareserious,theCSRCmayprohibittherelevantliablepersonfromenteringthesecuritiesmarket:（一）违反本规则第四条、第十三条的规定，在限制期限内转让股份的；(1) ReducingshareholdingduringtheperiodwhenshareholdingreductionisrestrictedinviolationofArticle4or13oftheseRule