每經(jing)記者｜王琳    每經(jing)編(bian)輯｜陳俊杰    

12月23日晚間(jian)，天域生物（SH603717，股(gu)價7.92元，市值(zhi)22.98億元）發布公告(gao)稱，因(yin)合同糾紛，控股(gu)股(gu)東(dong)史東(dong)偉所持公司(si)總股(gu)本1.10%股(gu)份被(bei)司(si)法凍結，凍結起始(shi)時間(jian)為(wei)今年12月12日，凍結時間(jian)為(wei)3年。

《每日經濟新聞》記(ji)者注意到，天(tian)域生物近期股(gu)(gu)價上演(yan)了“過山車”行情，而其(qi)在今(jin)年12月18日發布(bu)的“控(kong)(kong)股(gu)(gu)股(gu)(gu)東(dong)(dong)、實控(kong)(kong)人關于《天(tian)域生物股(gu)(gu)票交易異常波動(dong)的問詢函》的回復”公告顯示(shi)，公司控(kong)(kong)股(gu)(gu)股(gu)(gu)東(dong)(dong)及(ji)實控(kong)(kong)人表示(shi)，除已披露的事項外，不存在應披露而未(wei)披露的影(ying)響上市公司股(gu)(gu)票交易異常波動(dong)的重大信息(xi)。

凍結系合同糾紛所致

天域生物(wu)公(gong)告(gao)(gao)顯示，截(jie)至公(gong)告(gao)(gao)披露日(ri)，史(shi)東偉及其一致行(xing)動人羅衛(wei)國(guo)共持(chi)有(you)天域生物(wu)約6950.06萬股股份(fen)，占公(gong)司(si)總(zong)股本的23.98%。

此次史(shi)(shi)東(dong)偉被(bei)凍結(jie)的(de)(de)所(suo)持(chi)(chi)(chi)天域(yu)生(sheng)物股(gu)(gu)份(fen)(fen)(fen)約為318.19萬(wan)股(gu)(gu)，占(zhan)其(qi)(qi)所(suo)持(chi)(chi)(chi)股(gu)(gu)份(fen)(fen)(fen)數(shu)量的(de)(de)9.84%，占(zhan)公司總股(gu)(gu)本的(de)(de)1.10%。而羅衛國此前已被(bei)司法(fa)凍結(jie)所(suo)持(chi)(chi)(chi)天域(yu)生(sheng)物1437.55萬(wan)股(gu)(gu)股(gu)(gu)份(fen)(fen)(fen)。因此，史(shi)(shi)東(dong)偉及羅衛國所(suo)持(chi)(chi)(chi)天域(yu)生(sheng)物股(gu)(gu)份(fen)(fen)(fen)已被(bei)累計凍結(jie)約1755.74萬(wan)股(gu)(gu)，占(zhan)其(qi)(qi)所(suo)持(chi)(chi)(chi)股(gu)(gu)份(fen)(fen)(fen)數(shu)量的(de)(de)25.23%，占(zhan)天域(yu)生(sheng)物總股(gu)(gu)本的(de)(de)6.05%。

根據(ju)公(gong)(gong)告，此次史(shi)東(dong)偉(wei)所持上市公(gong)(gong)司(si)股(gu)(gu)(gu)份(fen)被(bei)司(si)法凍(dong)結(jie)系合同糾(jiu)紛所致。天域生物還表示，公(gong)(gong)司(si)控(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東(dong)、實控(kong)人獲(huo)悉后正在積極進行溝通，本次股(gu)(gu)(gu)東(dong)股(gu)(gu)(gu)份(fen)被(bei)凍(dong)結(jie)不會導致公(gong)(gong)司(si)控(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東(dong)和實控(kong)人發生變化，不會對(dui)公(gong)(gong)司(si)的日常經營、公(gong)(gong)司(si)治(zhi)理產生影(ying)響(xiang)。

記者注意到(dao)(dao)，除(chu)了所(suo)持(chi)股(gu)(gu)(gu)(gu)份(fen)(fen)被(bei)司(si)法凍(dong)結外，天(tian)(tian)域生(sheng)物在今年10月22日公(gong)告披(pi)露，史東(dong)偉彼時還(huan)質押(ya)了所(suo)持(chi)天(tian)(tian)域生(sheng)物2600萬股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)份(fen)(fen)，占(zhan)到(dao)(dao)其(qi)所(suo)持(chi)股(gu)(gu)(gu)(gu)份(fen)(fen)數(shu)量的(de)(de)80.40%，占(zhan)到(dao)(dao)天(tian)(tian)域生(sheng)物總股(gu)(gu)(gu)(gu)本(ben)的(de)(de)8.96%。除(chu)了史東(dong)偉之外，羅衛國(guo)彼時也已累計質押(ya)所(suo)持(chi)天(tian)(tian)域生(sheng)物1700萬股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)份(fen)(fen)。因此，史東(dong)偉和羅衛國(guo)共同(tong)累計質押(ya)了天(tian)(tian)域生(sheng)物4300萬股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)份(fen)(fen)，占(zhan)到(dao)(dao)其(qi)所(suo)持(chi)股(gu)(gu)(gu)(gu)份(fen)(fen)數(shu)量的(de)(de)61.79%，占(zhan)天(tian)(tian)域生(sheng)物總股(gu)(gu)(gu)(gu)本(ben)的(de)(de)14.82%。

也就是(shi)說，史(shi)東偉及其一致行動人羅衛(wei)國(guo)持有的天域生(sheng)物股份(fen)，已有約(yue)87.02%被(bei)質押或司法凍結。

律師：涉嫌信披違規

值得一提的是，此次史東偉所持天(tian)域(yu)生(sheng)物(wu)1.10%股份被司法凍(dong)結，實際發(fa)生(sheng)在(zai)(zai)今年(nian)12月(yue)12日(ri)(ri)(ri)(ri)(ri)，距離天(tian)域(yu)生(sheng)物(wu)公告披露已過去11天(tian)。而(er)在(zai)(zai)這一過程中(zhong)，天(tian)域(yu)生(sheng)物(wu)的股價上演了(le)“過山(shan)車”行情，在(zai)(zai)12月(yue)6日(ri)(ri)(ri)(ri)(ri)至(zhi)12日(ri)(ri)(ri)(ri)(ri)連(lian)續(xu)5個交易日(ri)(ri)(ri)(ri)(ri)漲(zhang)停(ting)，隨后(hou)在(zai)(zai)12月(yue)13日(ri)(ri)(ri)(ri)(ri)觸及盤中(zhong)最(zui)高點12.29元后(hou)開(kai)始下(xia)跌，12月(yue)16日(ri)(ri)(ri)(ri)(ri)和(he)17日(ri)(ri)(ri)(ri)(ri)連(lian)續(xu)跌停(ting)，在(zai)(zai)12月(yue)23日(ri)(ri)(ri)(ri)(ri)收盤時股價已跌至(zhi)7.8元。

天(tian)(tian)域(yu)生物(wu)在(zai)(zai)這期(qi)間也多次發(fa)布“控(kong)(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東、實(shi)控(kong)(kong)人(ren)關(guan)于《天(tian)(tian)域(yu)生物(wu)股(gu)(gu)(gu)票(piao)交易異(yi)常波動的(de)(de)問詢(xun)函》的(de)(de)回復”公(gong)告，尤其是在(zai)(zai)史東偉(wei)所持(chi)天(tian)(tian)域(yu)生物(wu)1.10%股(gu)(gu)(gu)份被司法凍結后(hou)的(de)(de)12月18日，天(tian)(tian)域(yu)生物(wu)發(fa)布的(de)(de)公(gong)告顯示，作為天(tian)(tian)域(yu)生物(wu)控(kong)(kong)股(gu)(gu)(gu)股(gu)(gu)(gu)東和實(shi)控(kong)(kong)人(ren)，經自查后(hou)回復稱：截至目(mu)前，除天(tian)(tian)域(yu)生物(wu)已(yi)披(pi)露的(de)(de)事項(xiang)外(wai)，本人(ren)及一致行(xing)動人(ren)不存(cun)在(zai)(zai)應披(pi)露而未披(pi)露的(de)(de)影響上市(shi)公(gong)司股(gu)(gu)(gu)票(piao)交易異(yi)常波動的(de)(de)重(zhong)大(da)(da)信息，包括但不限于重(zhong)大(da)(da)資產重(zhong)組、股(gu)(gu)(gu)份發(fa)行(xing)等重(zhong)大(da)(da)事項(xiang)。上述(shu)回復還附有史東偉(wei)和羅衛(wei)國的(de)(de)簽名(ming)。

那么，“控股(gu)(gu)(gu)股(gu)(gu)(gu)東(dong)史東(dong)偉所持天域生物1.10%股(gu)(gu)(gu)份(fen)自12月(yue)12日被司法凍結(jie)”算(suan)是影響(xiang)上市公(gong)司股(gu)(gu)(gu)票交(jiao)易異常波動的(de)重大信(xin)息嗎(ma)？史東(dong)偉在12月(yue)18日的(de)回復中(zhong)為(wei)何(he)沒有披露上述股(gu)(gu)(gu)份(fen)凍結(jie)事項？

對此(ci)，上海明倫律(lv)師事(shi)務所律(lv)師王智斌(bin)向記者表(biao)示，控(kong)股股東(dong)股份被司法凍結屬于可(ke)能對上市公(gong)(gong)司股價產(chan)生(sheng)影(ying)響的重(zhong)大(da)事(shi)件，公(gong)(gong)司股價發生(sheng)異動時(shi)，控(kong)股股東(dong)所持股份是否處于正常(chang)狀態屬于自查的范圍(wei)。“該公(gong)(gong)司18日公(gong)(gong)告中未披露(lu)控(kong)股股東(dong)股份被凍結這一(yi)重(zhong)大(da)信(xin)息，涉嫌構成(cheng)信(xin)息披露(lu)違規。”

西華大(da)學法學與(yu)社會學學院副教(jiao)授、法學系主任余嘉(jia)勉亦向記(ji)者表示，控股(gu)(gu)(gu)股(gu)(gu)(gu)東所持(chi)上市公司(si)股(gu)(gu)(gu)份被凍結(jie)如果發生在股(gu)(gu)(gu)票交易異常期間，那就應該作(zuo)為自(zi)查內(nei)容對此(ci)進行公告披露。

12月(yue)24日(ri)，《每日(ri)經(jing)濟新(xin)聞(wen)》記(ji)者應要(yao)求向天(tian)域生物發(fa)去采訪函。上(shang)市(shi)公(gong)司方(fang)面(mian)回復稱，“本(ben)次凍(dong)結(jie)事項(xiang)是12月(yue)23日(ri)通(tong)過中國證(zheng)券登記(ji)結(jie)算有(you)限責任(ren)公(gong)司上(shang)海分公(gong)司系(xi)統查詢后(hou)才知悉，控股股東此前(qian)并未(wei)收到(dao)法院司法凍(dong)結(jie)相關通(tong)知，具(ju)體(ti)內(nei)容請以我司在上(shang)海證(zheng)券交易所官網網站(zhan)發(fa)布(bu)的公(gong)告為(wei)準”。