Recurso nº 19957.000449/2019-15

RECURSO CONTRA DECISÃO DA SEP EM PROCESSO DE MULTA COMINATÓRIA – BARDELLA S.A. INDÚSTRIAS MECÂNICAS – PROC. SEI 19957.000449/2019-15

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mso-tstyle-rowband-size:0; mso-tstyle-colband-size:0; mso-style-noshow:yes; mso-style-priority:99; mso-style-parent:""; mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-para-margin-top:0cm; mso-para-margin-right:0cm; mso-para-margin-bottom:10.0pt; mso-para-margin-left:0cm; line-height:115%; mso-pagination:widow-orphan; font-size:11.0pt; font-family:"Calibri",sans-serif; mso-ascii-font-family:Calibri; mso-ascii-theme-font:minor-latin; mso-hansi-font-family:Calibri; mso-hansi-theme-font:minor-latin; mso-fareast-language:EN-US;} </style> <![endif] Trata-se de recurso interposto por Bardella S.A. Indústrias Mecânicas, contra decisão da Superintendência de Relações com Empresas – SEP de aplicação de multa cominatória, no valor de R$ 30.000,00 (trinta mil reais), em decorrência do não envio no prazo regulamentar, estabelecido no art. 29, inciso II, da Instrução CVM n° 480/09, do Formulário de Informações Trimestrais referente ao 1º trimestre de 2018. O Colegiado, com base na manifestação da área técnica, consubstanciada no Relatório nº 8/2019-CVM/SEP, deliberou, por unanimidade, pelo não provimento do recurso e a consequente manutenção da multa aplicada. Anexos MANIFESTAÇÃO DA ÁREA TÉCNICA

COMISSÃO DE VALORES MOBILIÁRIOS

Relatório nº 8/2019-CVM/SEP

Senhor Superintendente,

Trata-se de recurso interposto, em 11.01.19, pela BARDELLA S.A. INDS

MECÂNICAS, registrada na categoria A desde 01.01.10, contra a aplicação de multa

cominatória no valor de R$ 30.000,00 (trinta mil reais), pelo atraso de 67 (sessenta e sete)

dias, limitado a 60 (sessenta) dias nos termos do art. 14 da Instrução CVM nº 452/07, no

envio do documento 1º ITR/2018, comunicada por meio do

OFÍCIO/CVM/SEP/MC/Nº263/18, de 09.11.18 (0670193).

2. A Companhia apresentou recurso nos seguintes termos (0670192):

a) “a Companhia não entregou o ITR – Informações Trimestrais referente ao período findo

em 31/03/2018, cujo envio deveria ter sido realizado até 15/05/2018, por motivo de

ocorrências imprevistas no sistema de informática da empresa, o que causou a

indisponibilidade temporária para os usuários, causando dispêndio de maior tempo do

que o normal para o fechamento do período”; e

b) “a BARDELLA é uma empresa brasileira fundada em 1911 e listada na Bolsa de Valores

desde 1969 e sempre primou pelo cumprimento das normas da CVM, entretanto nos

deparamos com uma situação atípica e estamos empregando todos os esforços nesta

tarefa”.

Entendimento

3. O Formulário de Informações Trimestrais - ITR, nos termos do inciso II do

art. 29 da Instrução CVM nº 480/09, deve ser entregue pelo emissor no prazo de 45 (quarenta

e cinco) dias contados da data de encerramento de cada trimestre.

4. Cabe destacar que não há, na Instrução CVM nº 480/09, qualquer dispositivo

que permita, à Companhia, entregar em atraso o Formulário de Informações Trimestrais,

ainda que, segundo a Recorrente, tenha havido indisponibilidade temporária do seu

sistema de informática, o que demandou um tempo maior do que o normal para o

fechamento do período.

5. Assim sendo, a meu ver, restou comprovado que a multa foi aplicada

corretamente, nos termos da Instrução CVM n° 452/07, tendo em vista que: (i) o e-mail de

alerta foi enviado, em 15.05.18 (0670195), para o endereço eletrônico do DRI constante

do Formulário Cadastral ativo à época do envio (FC/2017 – versão 2 – encaminhado em

22.05.17 - 0672046); e (ii) a BARDELLA S.A. INDS MECÂNICAS encaminhou o Formulário ITR

referente ao 1º trimestre de 2018 apenas em 21.07.18 (0672045).

Isto posto, sou pelo indeferimento do recurso apresentado pela BARDELLA

S.A. INDS MECÂNICAS, pelo que sugiro encaminhar o presente processo à

Superintendência Geral, para posterior envio ao Colegiado para deliberação, nos termos do

art. 13 da Instrução CVM nº 452/07.

Atenciosamente,

Relatório 8 (0672190) SEI 19957.000449/2019-15 / pg. 1

KELLY LEITÃO SANGUINETTI

Chefe de Seção

Ao SGE, de acordo com a manifestação da chefe de seção,

Atenciosamente,

FERNANDO SOARES VIEIRA

Superintendente de Relações com Empresas

Ciente.

À EXE, para as providências exigíveis.

ALEXANDRE PINHEIRO DOS SANTOS

Superintendente Geral

Documento assinado eletronicamente por Kelly Leitão Sanguinetti, Chefe de Seção,

em 22/01/2019, às 10:53, com fundamento no art. 6º, § 1º, do Decreto nº 8.539, de 8 de

outubro de 2015.

Documento assinado eletronicamente por Fernando Soares Vieira,

Superintendente, em 22/01/2019, às 18:18, com fundamento no art. 6º, § 1º, do

Decreto nº 8.539, de 8 de outubro de 2015.

A autenticidade do documento pode ser conferida no site

https://sei.cvm.gov.br/conferir_autenticidade, informando o código verificador

0672190 e o código CRC FCD6D605.

This document's authenticity can be verified by accessing

https://sei.cvm.gov.br/conferir_autenticidade, and typing the "Código Verificador" 0672190 and the

"Código CRC" FCD6D605.

Relatório 8 (0672190) SEI 19957.000449/2019-15 / pg. 2