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(영문) 서울중앙지방법원 2015.03.26 2014고정2832
자본시장과금융투자업에관한법률위반
Text

Defendant shall be punished by a fine of KRW 5,000,000.

When the defendant does not pay the above fine, 100,000 won.

Reasons

Punishment of the crime

Defendant

A The defendant is a person who has served as a representative director of C from November 4, 2009.

Any person who violates the duty to report on possession of stocks, etc. of a stock-listed corporation shall report the changes in the status of holding, purpose of holding, major terms and conditions of holding stocks, etc., and if the holding ratio exceeds 1% of the total number of issued stocks, within five days from the date on which such changes are made, to the Financial Services Commission and the Exchange.

(1) On July 20, 2009, C offered 1,500,000 shares of LIM to the Bank of Korea (State) as security for the obligations of the Bank.

Under the circumstances in which C owns 25,500,000 shares of Korea-China Lease (40.3%), the Defendant did not report the change of the contract to the Financial Services Commission and the Exchange until December 10, 2009, even though the pledge contract was terminated on December 3, 2009 with respect to 1,50,000 shares offered as security (2.3%) and the contents of the principal contract on the stock holding have been changed.

(2) Under the circumstances in which C owns 2,50,000 shares of Korea-China Lease (34.8%) and C, the Defendant did not report the change of the contract to the Financial Services Commission and the Exchange until February 8, 2010, even though the content of the major contract related to the holding of shares was changed, by providing Korea-China Lease shares as security on February 1, 2010.

(3) In the situation where the Defendant holds 2,50,000 shares of Korea-China Lease (23.9%) from May 10, 201 to December 12, 2010, the content of the major contract on the holding of shares is changed by selling the entire amount of shares of 150,000 shares of Gab Lease (1.4%) held as security between May 10, 201 and May 19, 2010, the Defendant did not report to the Financial Services Commission and the Exchange by May 19, 2010.

(4) C owns 1,60,000 shares of Korea-China.

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