She fell! Finned over 60 million citizens | Technology | Insider

Release time:Apr 14, 2024 08:11 AM

Due to insider trading, Chongqing Securities Regulatory Bureau fined Yu Li, the then director of National Technology, a total of over 60 million yuan. This is the second insider trading case involving national technology within the month.

Obtain two insider information before buying stocks

From April 29, 2015 to April 13, 2023, Yu Li served as a director of National Technology.

Around December 2019, Pohang Chemical expressed its idea of exchanging business technology, especially artificial graphite technology, to Shenzhen Snow Industrial Development Co., Ltd. and planned to visit Inner Mongolia Snow New Materials Technology Co., Ltd. for on-site communication after the Spring Festival. After the outbreak of the epidemic, cooperation and communication gradually ceased.

In February 2021, Pohang Chemical and National Technology resumed cooperation and exchange matters.

On April 2nd, Pohang Chemical and National Technology held a working meeting at the National Technology Headquarters. Pohang Chemical expressed its desire to cooperate with National Technology and discussed and determined the follow-up due diligence schedule and arrangements for Pohang Chemical. Sun Moutong, Chairman and General Manager of National Technology, attended the meeting.

On April 23rd, National Technology held the 26th meeting of the 4th Board of Directors. At the meeting, Sun Moutong mentioned to Yu Li and other attending directors that National Technology is discussing cooperation with Pohang Chemical and is studying equity incentive plans to enhance talent competitiveness.

She fell! Finned over 60 million citizens | Technology | Insider

On May 20th, National Technology held an on-site meeting for the new directors and supervisors of the company. Sun Moutong mentioned at the meeting that Pohang Chemical is interested in Shenzhen Snow. Shenzhen Snow will cooperate with Pohang Chemical and once again mentioned that in order to enhance talent competitiveness, the company will implement equity incentives.

On May 31st, National Technology released a notice on abnormal fluctuations in company stock trading, announcing the signing of a letter of intent between the company and Pohang Chemical, as well as the planning of equity incentives.

The Chongqing Securities Regulatory Bureau stated that both of the above matters are significant and were classified as insider information before being made public. Yu Li, as the current director of National Technology, was informed of the two insider information mentioned above during the 26th meeting of the 4th Board of Directors. She was an insider and was informed no later than April 23, 2021.

Punish one without three, totaling over 60 million yuan

During the sensitive period of insider information from April 27 to May 25, 2021, Yu Li used He Mouying's account to buy 588800 shares of National Technology stocks and Fang Mouhua's account to buy 516700 shares of National Technology stocks. The total transaction amount for the two accounts was 7.745597 million yuan.

The direct source of funds for trading National Technology stocks in the accounts of He Mouying and Fang Mouhua is mainly from the sale of stocks of CNNC Huayuan Titanium White Co., Ltd. During the sensitive period of insider information in the accounts of He Mouying and Fang Mouhua, all purchases of National Technology stocks were made through mobile phone orders, with a mobile phone number of 1391128X989 and an IMEI number of 86745805328X485. After the disclosure of insider information, He Mouying and Fang Mouhua sold all the aforementioned 1105500 shares of National Technology stocks in their accounts, with a total transaction amount of 23.145264 million yuan. The two accounts mentioned above have accumulated a profit of 15.369441 million yuan.

In terms of time, Yu Li's location for building a position in National Technology was quite precise. Two days after completing the position on May 25th, the stock price of National Technology began to take off and sell during the accelerated main upward phase, with a profit margin of twice.

The Chongqing Securities Regulatory Bureau believes that as the current director of National Technology, Yu Li was informed of the company's plans for cooperation with Pohang Chemical and equity incentives due to her on-site participation in the 26th meeting of the 4th Board of Directors of National Technology. She is an insider. During the sensitive period of insider information, Yu Li controlled He and Fang to trade national technology stocks in two accounts, violating the provisions of Article 50 and Article 53 (1) of the Securities Law.

Based on the facts, nature, circumstances, and degree of social harm of the illegal behavior of the parties involved, and in accordance with Article 191 of the Securities Law, the Chongqing Securities Regulatory Bureau has decided to confiscate the illegal gains of Yu Li by 15.36941 million yuan and impose a fine of 46.108323 million yuan.

According to public information, Yu Peng, female, holds a Master's degree in Business Administration and is a senior accountant. Previously worked in financial management at Beijing Nonferrous Metals Research Institute and China Nonferrous Metals Industry Corporation. Served as Assistant General Manager of Zhongxin Group, Director of Finance Department of China Association of Financial Companies, Deputy General Manager and CFO of Beijing Lixinkun Mining Investment Co., Ltd. Appointed as independent directors of multiple listed companies.

Previously, another insider trading was fined

On July 4th, also due to insider trading, the Chongqing Securities Regulatory Bureau issued the first administrative penalty decision of 2023, imposing penalties on Yu Peng, Wang Jia, and Tang Peifen for insider trading in National Technology stocks.

On July 5, 2021, Sun Moutong, Chairman and General Manager of National Technology, and Shen Mou, Chairman's Assistant, flew to Hangzhou to visit Huayou Cobalt Industry.

Sun Moutong invited Yu Peng, Deputy General Manager of Huayou Cobalt Industry Strategic Investment Center and Director of Shenzhen Snow Industrial Development Co., Ltd., to introduce the securities firms involved in the "private placement" business.

On July 10, 2021, Yu Peng informed his spouse Wang Jia about the matter. On July 11, 2021, Wang Jia and Yu Peng visited Tang Peifen's house and informed him of the matter.

During the sensitive period of insider information, Tang Peifen's account purchased a total of 20900 shares of National Technology stocks, with a transaction amount of 4.068 million yuan. Among them, Yu Peng and Wang Jia contributed 900000 yuan, and Tang Peifen contributed 3168000 yuan. On July 20, 2021, the day National Technology resumed trading, Tang Peifen's account sold his holdings of National Technology stocks for a transaction amount of 5.027 million yuan, with a cumulative profit of over 950000 yuan.

Finally, the Chongqing Securities Regulatory Bureau decided to confiscate the illegal gains of 950000 yuan from Yu Peng, Wang Jia, and Tang Peifen, and imposed a fine of 95 yuan on them. Among them, Yu Peng and Wang Jia were fined 475000 yuan, and Tang Peifen was fined 475000 yuan.

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