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案例分析:黄光裕等内幕交易、泄露内幕信息案
 
发布时间: 2014-06-24 [特大 ]
1、案例情况 Case introduction
2007年4月,中关村上市公司拟与鹏泰公司进行资产置换,黄光裕作为中关村上市公司的董事及鹏泰公司的法定代表人,参与了该项重大资产置换的运作和决策。在该信息公告前,黄光裕决定并指令他人借用龙某、王某等人的身份证,开立个人股票账户并由其直接控制。2007年4月27日至6月27日间,黄光裕使用以上龙某、王某等6人的股票账户,累计购入中关村股票(股票代码000931)976万余股,成交额共计人民币9310万余元。至6月28日该信息公告日时,以上6人股票账户的账面收益额为人民币348万余元。
In April 2007, Zhongguancun listed company intends to do asset replacement with Pengtai company. Huang Guangyu is he director of Zhongguancun listed company and the legal representative of the Pengtai company. Huang was involved in the operation and decision-making of the significant asset replacement. Before the information announcement, Huang made the decision and and instructed other people to use the ID cards of Long, Wang and others to open personal stock accounts which are under the directly control of Huang. Between April 27, 2007 and June 27 2007, Huang used the 6 stock accounts mentioned as above to buy more than 9,760,000 shares of the stock of Zhongguancun ( stock code 000931), the turnover was 93,100,000 yuan. The information was announced on June 28th, just then ,the book profit of the 6 stock accounts is 3,480,000 yuan.
2007年7、8月,中关村上市公司拟收购鹏润控股公司全部股权进行重组。在该信息公告前,黄光裕指使他人以曹楚娟、林家锋等79人的身份证开立相关个人股票账户,并由黄光裕控制,同时安排被告人杜鹃协助管理以上股票账户。杜鹃于同年8月13日至9月28日间,按照黄光裕的指令,指使杜薇、杜非、谢某(均另案处理)等人使用上述股票账户,累计购入中关村股票1.04亿余股,成交额共计人民币13.22亿余元,至2008年5月7日该信息公告日时,上述股票账户的账面收益额为人民币3.06亿余元。
In July and August of 2007, Zhongguancun listing Company intended to acquire all equity of Pengrun holding company for restruction. Befor the information announcement, Huang directs others to use the ID cards of Cao Chujuan, Lin Jiafeng and others to open 79 personal stock accounts which are under the control of Huang. Huang arranged the defendant Du Juan to assist to manage the stock accounts in the meantime. From August 13th to September 28day of 2007, Du Juan instigated Du Wei, Du Fei, Xie ( handled separately ) and others use the stock account to buy the stock of Zhongguancun as Huang' s instructions.They bought 104,000,000 shares of stock, and the turnover was 1,322,000,000 yuan. The information was announced on May 7, 2008, just then, the book profit of the stock accounts was 306,000,000 yuan.
期间,许钟民明知黄光裕利用上述内幕信息进行中关村股票交易,仍接受黄光裕的指令,指使许伟铭(另案处理)在广东借用他人身份证开立个人股票账户或直接借用他人股票账户共计30个。上述股票账户于2007年8月13日至9月28日间,累计购入中关村股票3166万余股,成交额共计人民币4.14亿余元,至2008年5月7日该信息公告日时,上述30个股票账户的账面收益额为人民币9021万余元。
During this time, Although Xu Zhongmin had known Huang made use of the inside information to do the Zhongguancun stock exchange, he still accepted Huang's instruction and instigated Xu Weiming (handled separately ) to open individual stock accounts using other people's ID cards or direct borrowed the stock accounts of others in Guangdong, the amount of the related stock accounts are 30. From August 13, 2007 to September 28 2007, the stock accounts mentioned above bought a total of more than 31,660,000 shares of stocks of Zhongguancun, the stock turnover was 414,000,000 yuan. The information was announced on May 7, 2008, just then, the book profit of the stock accounts was 90,210,000 yuan.
2007年7、8月,许钟民将中关村上市公司拟重组的内幕信息故意泄露给相怀珠及其妻子李善娟(均另案处理)等人。同年9月21日至25日,李善娟使用其个人股票账户分7笔买入中关村股票12万余股,成交额共计人民币181万余元。
In July and August in 2007, Xu Zhongmin intentionally leaked the information of Zhongguancun listed Company planning to restructure to Xiang Huaizhu, his wife Li Shanjuan (both are handled separately) and other people. In September 21st to 25th in the same year, Li Shanjuan bought 120,000 shares of Zhongguancun stock by 7 times in her individual account, the turnover is 1,810,000 yuan.
本案经北京市第二中级人民法院审结,判决如下:
The trial was judged and closed in Beijing second intermediate people's court, the judgment is as followed:
(1)黄光裕犯内幕交易罪,判处有期徒刑九年,并处罚金人民币六亿元;
Huang Guangyu committed the crime of insider trading, was sentenced to nine-year imprisonment, with 600,000,000 yuan fine;
(2)杜鹃犯内幕交易罪,判处有期徒刑三年六个月,并处罚金人民币二亿元;
Du Juan committed the crime of insider trading, and is sentenced to imprisonment of three years and six months, with 200,000,000 yuan fine
(3)许钟民犯内幕交易、泄露内幕信息罪,判处有期徒刑三年,并处罚金人民币一亿元;
Xu Zhongmin is guilty of insider trading, divulging inside information, and is sentenced to three-year imprisonment, with 100,000,000 yuan fine
2、分析 analysis
对黄光裕、杜鹃、许钟民的判决符合以下条件:
The judgement to Huang Guangyu, Du Juan and Xu Zhongmin is in accordance with the following conditions
(1) 中关村上市公司拟与鹏泰公司进行资产置换、拟收购鹏润控股公司全部股权进行重组属于重大事件,在信息未公告前属于内幕信息;
The information of Zhongguancun listed Company plans to do asset replacement with Pengtai company and intended to acquire all the equity of Pengtai holding company for restructing reorganization is significant event. The information is inside information prior the information announcement;
(2)黄光裕、杜鹃、许钟民属于内幕信息知情人;
Huang Guangyu, Du Juan, and Xu Zhongmin are insiders of the inside information;
(3)相关交易行为符合明显异常认定;
Related transaction behavior is consistent with obvious abnormal identification;
(4)犯罪金额属于特别严重情节。
Criminal amount is especially serious.
 
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