Zhitong Financial App News, 300331.SZ issued a notice that the company received the notice of filing a case (serial number: CSRC filing word 0102023018) and the investigation notice (CSRC investigation word 0102023382) issued by the China Securities Regulatory Commission on October 8, 2023, because the company was suspected of violating the law and regulations in information disclosure. In accordance with laws and regulations such as the Securities Law of the people's Republic of China and the Administrative punishment Law of the people's Republic of China, the CSRC decided to file a case against the company for investigation.
On October 13, 2023, the company received the "advance notice of Administrative punishment" issued by Jiangsu Regulatory Bureau of China Securities Regulatory Commission (Su Zheng Supervisory penalty word (2023) No. 9).
It is reported that at 12:25 on September 14, 2023, Sudawig asked investors on the interactive platform of the Shenzhen Stock Exchange about "what well-known enterprises are using your lithography machines and related technologies" and replied that "the company's lithography machines have achieved sales to the leading domestic chip enterprises, and have achieved exports to Japan, South Korea, Israel and other countries. At the same time, the company provides positioning grating ruler components to the relevant domestic chip lithography machine manufacturers. After the company's above-mentioned reply was released, the company's share price quickly changed from a decline to a rise after the opening of trading in the afternoon, and finally closed up 20%.
The "lithography machine" mentioned in the company's aforementioned reply that has been sold and exported is actually a direct writing lithography equipment used for the manufacture of micro / nano optical materials, masks, etc., rather than a lithography machine for chip manufacturing. There is a significant difference between the "lithography machine" and the "chip lithography machine" referred to in the reply. The company failed to accurately and completely disclose the types and specific applications of the lithography equipment sold by the company, and used both "lithography machine" and "chip lithography machine" in the reply, which is misleading.
The Jiangsu Securities Regulatory Bureau believes that the disclosure of the above information of Sudawig is inaccurate and incomplete, which constitutes a misleading statement and is suspected of violating the provisions of paragraph 2 of Article 78 and paragraph 1 of Article 84 of the Securities Law of the people's Republic of China (hereinafter referred to as the Securities Law). It belongs to the illegal act mentioned in paragraph 2 of Article 197 of the Securities Law.
Jiang Lin, secretary of the board of directors of Sodawig, is responsible for the company's response to the questions raised by investors on the interactive easy platform of the Shenzhen Stock Exchange. knowing that the concept of chip lithography machine was a hot spot in the market at that time, the company's securities department revised the expression of "direct writing lithography equipment" to "lithography machine" in the first draft of the reply to investors' questions, deliberately confusing the difference between direct writing lithography equipment and chip lithography machine, and decided to release it. According to Article 82, paragraph 3, of the Securities Law, paragraph 1 of Article 51 of the measures for the Administration of Information Disclosure of listed companies (CSRC decree No. 182), and Article 15 of the rules on the determination of Administrative responsibility for illegal acts of Information Disclosure (CSRC Bulletin (2011) No. 11), Jiang Lin is directly responsible for the above-mentioned illegal acts.
The Jiangsu Securities Regulatory Bureau intends to decide: first, to give a warning to Suzhou Sodavig Science and Technology Group Co., Ltd., and impose a fine of 1.5 million yuan; second, to give a warning to Jiang Lin and impose a fine of 1 million yuan.