Recurso nº 19957.000316/2020-82

RECURSO CONTRA DECISÃO DA SEP EM PROCESSO DE MULTA COMINATÓRIA – RUMO MALHA PAULISTA S.A. – PROC. SEI 19957.000316/2020-82

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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:0cm; mso-para-margin-bottom:.0001pt; mso-pagination:widow-orphan; font-size:10.0pt; font-family:"Times New Roman",serif; border:none;} </style> <![endif] Trata-se de recurso interposto por Rumo Malha Paulista S.A. contra decisão da Superintendência de Relações com Empresas – SEP de aplicação de multa cominatória, no valor de R$ 600,00 (seiscentos reais) , em decorrência do não envio no prazo regulamentar, estabelecido no art. 23, parágrafo único, da Instrução CVM n° 480/09, do Formulário Cadastral relativo ao exercício de 2019. O Colegiado, com base na manifestação da área técnica, consubstanciada no Relatório nº 12/2020-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 12/2020-CVM/SEP

Senhor Superintendente,

Trata-se de recurso interposto, em 17.01.20, pela RUMO MALHA

PAULISTA S.A., registrada na categoria B desde 01.01.10, contra a aplicação de

multa cominatória no valor de R$ 600,00 (seiscentos reais), pelo atraso de 02

(dois) dias no envio do documento FORM.CADASTRAL/2019, comunicada por

meio do OFÍCIO/CVM/SEP/MC/Nº316/19, de 30.12.19 (0924630).

2. A Companhia apresentou recurso nos seguintes principais termos

(0919331):

a) “como informado na Notificação, a Companhia de fato deixou de apresentar

tempestivamente o Formulário Cadastral de 2019, conforme o item 5.2 c) do

Regulamento para Listagem de Emissores e Admissão à Negociação de Valores

Mobiliários (‘Regulamento’)”;

b) “a Companhia reconhece que, apesar de inadvertidamente não ter apresentado

o Formulário Cadastral de forma tempestiva, cumpriu ao Regulamento,

apresentando o referido Formulário Cadastral em 05 de junho de 2019, através do

Sistema IPE da Comissão de Valores Mobiliários - CVM, sob Protocolo nº

017930FCA000020190100084889-83”;

c) “ressalta-se, ainda, que a não observância pela Companhia tempestivamente ao

item 5.2, alínea ‘c’ do Regulamento não trouxe qualquer prejuízo à Rumo Malha

Paulista nem a seu único acionista, uma vez que: (i) o Formulário Cadastral,

apresentado em 05 de junho de 2019, não sofreu alterações relevantes para o ano

de 2019 em relação ao ano de 2018; (ii) as ações da Companhia não estão

registradas no ambiente de negociação da B3; e (iii) a Companhia possui um único

acionista. Assim, é ainda importante ressaltar que não há na prática qualquer

liquidez para as ações da Companhia. Ora, se o sistema informacional criado pela

CVM e B3 existe para proteger acionistas minoritários, garantindo acesso às

informações do emissor, com intuito de que possam negociar em situação de

equidade com o mercado. Nesse sentido, no presente caso, não há de se dizer que

houve qualquer prejuízo ao mercado”;

d) “a Companhia, controlada pela Rumo S.A., companhia aberta, listada no Novo

Mercado, reitera seu compromisso de cumprimento de todas as obrigações a ela

aplicáveis e previstas na legislação e na regulamentação em vigor, inclusive no

Regulamento”;

e) “pelos motivos acima citados, a Companhia requer a aceitação da presente

justificativa como forma de absolvição completa a respeito do descumprimento de

forma tempestiva do Regulamento, sem que sejam aplicadas penalidades, ou, se

assim não entender, subsidiariamente, que seja aplicada a penalidade de

advertência”.

Entendimento

3. Nos termos do § único do art. 23 da Instrução CVM nº480/09, o

Relatório 12 (0925012) SEI 19957.000316/2020-82 / pg. 1

emissor deve anualmente confirmar que as informações contidas no

FORMULÁRIO CADASTRAL continuam válidas, até 31 de maio de cada ano, sem

prejuízo da atualização em até 7 (sete) dias úteis contados do fato que deu causa

à alteração.

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

dispositivo que permita, à Companhia, entregar em atraso o Formulário Cadastral,

ainda que, segundo a Recorrente: (i) o atraso não tenha causado prejuízo a ela,

nem a seu único acionista; e (ii) o documento apresentado, em 05.06.19, não

tenha sofrido “alterações relevantes para o ano de 2019 em relação ao ano de

2018”.

5. Ademais:

a) é importante ressaltar que a Companhia foi multada por descumprir a Instrução

CVM nº 480/09 e não por descumprir o Regulamento para Listagem de Emissores

e Admissão à Negociação de Valores Mobiliários da B3; e

b) não se deve confundir multa cominatória (prevista no art. 9º, inciso II da Lei nº

6.385/76) com penalidade (prevista no art. 11 da Lei nº 6.385/76), pelo que não é

possível a substituição da multa por advertência.

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

aplicada corretamente, tendo em vista que: (i) o e-mail de alerta foi enviado, em

31.05.19 0924633(), para o endereço eletrônico do DRI constante do Formulário

Cadastral ativo à época do envio (FC/2018 – versão 2 – encaminhado em 11.05.18

- 0925003); e (ii) a RUMO MALHA PAULISTA S.A. encaminhou o Formulário

Cadastral de 2019 apenas em 05.06.19 (0925002).

Isto posto, sou pelo indeferimento do recurso apresentado pela RUMO

MALHA PAULISTA S.A., 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,

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.

Relatório 12 (0925012) SEI 19957.000316/2020-82 / pg. 2

ALEXANDRE PINHEIRO DOS SANTOS

Superintendente Geral

Documento assinado eletronicamente por Kelly Leitão Sanguinetti, Chefe

de Divisão em Exercício, em 28/01/2020, às 16:27, 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 28/01/2020, às 18:32, com fundamento no art. 6º, §

1º, do Decreto nº 8.539, de 8 de outubro de 2015.

Documento assinado eletronicamente por Alexandre Pinheiro dos

Santos, Superintendente Geral, em 29/01/2020, às 19:47, 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 0925012 e o código CRC 42CEFBE2.

This document's authenticity can be verified by accessing

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

0925012 and the "Código CRC" 42CEFBE2.

Relatório 12 (0925012) SEI 19957.000316/2020-82 / pg. 3