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Hekang Xinneng Beijing Zhong Lun Law Firm's legal opinion on the 2020 annual general meeting of Beijing Hekang Xinneng Technology Co., Ltd
Date:2023-04-30 08:32:00

Beijing Hekang Yisheng Frequency Conversion Technology Co., Ltd

Measures for the management of the shares of the Company held by directors, supervisors and senior management and their changes

 

Chapter   I General Provisions

Article 1 In order to regulate the trading of the company's stocks and the changes in shareholding by the directors, supervisors and senior management of Beijing Hekang Yisheng Frequency Conversion Technology Co., Ltd. (hereinafter referred to as the "Company" or "the Company"), in accordance with the Company Law of the People's Republic of China (hereinafter referred to as the "Company Law"), the Securities Law of the People's Republic of China (hereinafter referred to as the "Securities Law"), the Rules for the Listing of Stocks on the Growth Enterprise Market of the Shenzhen Stock Exchange (hereinafter referred to as the "GEM Listing Rules"),  This system is hereby formulated in accordance with the Guidelines for the Standardized Operation of Listed Companies on the Growth Enterprise Market of the Shenzhen Stock Exchange (hereinafter referred to as the Guidelines for the Standardized Operation of Listed Companies on the Growth Enterprise Market of the Shenzhen Stock Exchange) and the Articles of Association.

 

Article 2 The directors, supervisors and senior management of the Company shall abide by this system, and the shares of the Company held by them refer to all the shares of the Company registered in their names; Securities trading also includes the shares of the Company recorded in its credit account.

 

Article 3 Before trading the company's stocks and derivatives, the directors, supervisors and senior management of the company shall be aware of the provisions of the Company Law, the Securities Law and other laws and regulations on prohibited acts such as insider trading and market manipulation, and shall not conduct illegal transactions.

 

Chapter II:   Information Declaration and Disclosure

Article 4 The directors, supervisors and senior management of the company shall entrust the company to report their personal identity information (including name, position held, identity document number, etc.) to the Shenzhen Stock Exchange and the Shenzhen Branch of China Securities Depository and Clearing Corporation Limited (hereinafter referred to as the "registration and clearing company") within the following periods:

(1) Within 2 trading days after the new directors and supervisors adopt their appointments at the general meeting of shareholders (or the employee representative assembly);

(2) within 2 trading days after the new senior management approves the matters appointed by the Board of Directors;

(3) Within 2 trading days after the change in the personal information of the current directors, supervisors and senior management has changed;

(4) The current directors, supervisors and senior management within 2 trading days after leaving office;

(5) Other times required by the Shenzhen Stock Exchange.

 

The above declaration is regarded as an application submitted by the directors, supervisors and senior management of the Company to the Shenzhen Stock Exchange and the Registration and Clearing Company to manage their shares of the Company in accordance with regulations.

 

Article 5 After the directors, supervisors and senior management of the company entrust the company to declare their personal information, the registration and clearing company shall, according to the declaration data, lock the shares of the company registered in the securities account opened under their identity document number.

 

Article 6 Where directors, supervisors and senior management of a company have multiple securities accounts, they shall be merged into one account in accordance with the provisions of the registration and clearing company, and before merging the accounts, the registration and clearing company shall lock and unlock each account separately in accordance with the relevant regulations.

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