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(영문) 서울서부지방법원 2013.05.28 2013고단203

자본시장과금융투자업에관한법률위반

Text

1. Defendant A shall be punished by imprisonment for six months and by a fine of twenty thousand won.

The above fine shall not be paid by the defendant.

Reasons

Punishment of the crime

Defendant

A is a person who was the representative director of (ju) H located in G in Jung-gu, Seoul from June 22, 1994, and Defendant B is a person of the above A.

1. Defendant A

A. A person who holds not less than 5/100 of stocks, etc. of a stock-listed corporation which has failed to report the holding status to the Financial Supervisory Commission and the Korea Stock Exchange within five days from the date of the change, and where the holding ratio has changed above 1/100 of total number of stocks, etc. of the corporation in question, the defendant held not less than 14.28% of total number of stocks by holding not less than 8,341,04 shares on June 29, 2009 and reporting the change to the Financial Supervisory Commission and the Korea Stock Exchange within five days from the date of the change, although the change has been reported to the Financial Supervisory Commission and the Korea Stock Exchange, the defendant did not report the change in the holding ratio to 8,341,04 shares due to the increase in total number of stocks issued on September 10, 2010 after reporting to the Financial Supervisory Commission and the Korea Stock Exchange. < Amended by Presidential Decree No. 22420, Oct. 6, 2010>

B. An officer of a stock-listed corporation who fails to report a change in the number of stocks held by him/her within 10 days from the date of becoming an officer, regardless of whose name the shares held by him/her, and the content of the change in the number of stocks held by him/her to the Securities and Futures Commission and the Korea Stock Exchange by five days from the date of the change in the number of stocks held by him/her, notwithstanding that he/she shall report the change to the number of stocks held by him/her to the Securities and Futures Commission and the Korea Stock Exchange.