Self inspection form of equity incentive plan of listed companies
Company abbreviation: Shenzhen Sinexcel Electric Co.Ltd(300693) Stock Code: Shenzhen Sinexcel Electric Co.Ltd(300693) independent financial consultant: Shanghai Rongzheng Investment Consulting Co., Ltd
Does this exist
Serial number (yes / no / remarks not applicable)
Compliance requirements of listed companies
1. Whether the financial and accounting report of the latest fiscal year has been issued by the certified public accountant; no
Audit report with or unable to express opinions
2. Whether the internal control of the financial report of the latest fiscal year was negatively issued by the certified public accountant
Audit report with or unable to express opinions
3. Failure to comply with laws and regulations, articles of association and public commitments in the last 36 months after listing
Distribution of profits
4 is there any other situation that is not suitable for the implementation of equity incentive? No
5. Whether the performance appraisal system and methods have been established
6. Whether to provide loans and any other forms of financial assistance to the incentive object? No
Compliance requirements of incentive objects
Does it include shareholders or real shareholders who individually or jointly hold more than 5% of the shares of the listed company
7. The international controller and his / her spouse, parents, children and foreign employees, if yes, whether to state No
The necessity and rationality of the above-mentioned personnel as incentive objects
8. Whether independent directors and supervisors are included no
9. Whether they have been identified as inappropriate candidates by the stock exchange in the last 12 months? No
10. It has been identified as an inappropriate candidate by the CSRC and its dispatched offices in the last 12 months. No
11. Whether they have been punished by the CSRC and its dispatched offices for major violations of laws and regulations in the last 12 months
Administrative punishment or market entry prohibition measures
12. Whether there are circumstances stipulated in the company law that the company is not allowed to serve as a director or level manager of the company? No
13 is there any other situation that is not suitable to be the incentive object? No
14. Whether the incentive list has been verified by the board of supervisors yes
Incentive plan compliance requirements
15. Whether the underlying stocks involved in the equity incentive plan of all listed companies within the validity period are always
Whether the cumulative amount exceeds 20% of the total share capital of the company
16. Whether the cumulative granted shares of a single incentive object exceed 1% of the total share capital of the company no
17. Whether the proportion of reserved rights and interests of incentive objects does not exceed the rights to be granted in the equity incentive plan no
20% of benefits
The incentive objects are directors, senior managers and shareholders holding more than 5% of the shares individually or jointly
18. For the actual controller and his / her spouse, parents, children and foreign employees, the equity incentive is
Has the draft plan listed his name, position and number of awards
19. Is the validity period of the equity incentive plan less than 10 years from the date of authorization
Whether the draft equity incentive plan is prepared by the salary and assessment committee is
Integrity requirements for disclosure of equity incentive plan
21. Whether the matters specified in the equity incentive plan are complete
(1) In accordance with the provisions of the administrative measures, explain whether there are listed companies that are not listed one by one
Equity incentive may be implemented and the incentive object may not participate in equity incentive; Description unit is
Will the implementation of the incentive plan lead to the equity distribution of listed companies not meeting the listing conditions
(2) The purpose of the equity incentive plan, the basis and scope for determining the incentive object are
(3) The number of rights and interests to be granted under the equity incentive plan and its proportion in the total share capital of the listed company
percentage; If implemented in stages, the number of rights and interests to be granted each time and the proportion of shares in the listed company
Percentage of the total amount of the project; Where reserved rights and interests are set, the number of rights and interests to be reserved and the proportion of equity are
Percentage of the total equity of the incentive plan; All equity incentive plans within the validity period
Whether the total number of underlying shares involved exceeds 20% of the total share capital of the company and its calculation
Description of calculation method
(4) In addition to the reserved part, if the incentive objects are directors and senior managers of the company,
Their names, positions, the number of rights and interests they can be granted and the proportion of equity incentive shall be disclosed
Percentage of total equity to be granted; Other incentive objects (respectively or according to appropriate points)
(category) the number of rights and interests that can be granted and its percentage in the total amount of rights and interests to be granted under the equity incentive plan
Ratio; And a single incentive object is granted through the equity incentive plan within the validity period
Description of whether the accumulated shares of the company exceed 1% of the total share capital of the company
(5) What is the validity period, authorization date or the determination method of authorization date of the equity incentive plan
Option date, lock-in period arrangement, etc
(6) The granting price of restricted shares, the exercise price of stock options and the determining party
Law. The party that fails to adopt the provisions of articles 23 and 29 of the administrative measures shall be determined
In case of grant price or exercise price, the pricing basis and method shall be explained
Independent directors and independent financial advisers check whether the pricing damages listed companies and small and medium-sized shares
East interests, express opinions and disclose
(7) Conditions for incentive objects to be granted rights and interests and exercise rights and interests.
Where the rights and interests are to be granted in installments,
The conditions under which the incentive object is granted rights and interests each time shall be disclosed; If the rights and interests are to be exercised by installments, they shall
When disclosing the conditions for incentive objects to exercise their rights and interests each time; Agree to grant and exercise rights and interests
When the conditions are not fulfilled, the relevant equity shall not be deferred to the next period; For example, the incentive objects include directors
And senior managers shall disclose the performance evaluation indicators of the incentive objects in exercising their rights and interests; yes
If the performance appraisal indicators for the exercise of rights and interests of the incentive object are disclosed, the set performance appraisal indicators shall be fully disclosed
The scientificity and rationality of the index; If the company implements multi-stage equity incentive plan at the same time, it will
If the performance index of the company in the current incentive plan is lower than that in the previous incentive plan, the original performance index shall be fully explained
Cause and rationality
(8) Procedures for granting rights and interests by the company and exercising rights and interests by incentive objects; Among them, it should be clear that
It is confirmed that the listed company shall not grant restricted shares and the incentive objects shall not exercise their rights and interests
period
(9) The number of rights and interests involved in the equity incentive plan and the adjustment method and method of exercise price are
Procedures (e.g. adjustment methods during the implementation of profit distribution, share allotment and other schemes)
(10) Accounting treatment method of equity incentive, fair value of restricted stock or stock option
The value determination method, the value of important parameters of the valuation model and its rationality, and the implementation of equity incentive are
Accrued expenses and their impact on the operating performance of listed companies
(11) Change and termination of equity incentive plan
(12) Change of control, merger, division of the company and change of position of incentive object
How to implement the equity incentive plan in case of change, resignation, death and other matters
(13) The respective rights and obligations of the company and the incentive object, and the relevant disputes or dispute settlement are
mechanism
(14) The information disclosure documents related to the equity incentive plan of listed companies are not false
Commitments of recording, misleading statements or major omissions; Relevant disclosure documents of incentive objects
There are false records, misleading statements or major omissions, resulting in non-compliance with the granted rights and interests or
Commitment to return all interests to the company when the owner exercises his rights and interests. Equity repurchase of listed companies
Trigger standard and time point of cancellation and income recovery procedure, calculation of repurchase price and income
Principles, operating procedures, completion deadline, etc.
Whether the performance appraisal indicators meet the relevant requirements
22. Whether the performance indicators of the company and the individual performance indicators of the incentive object are included
23. Whether the indicators are objective, open, clear and transparent, in line with the actual situation of the company, and whether they are beneficial
To promote the competitiveness of the company
24 If the relevant indicators of comparable companies in the same industry are used as the comparison basis, the selected comparison company is not applicable
No, no less than 3
25 whether it indicates that the set indicators are scientific and reasonable
Compliance requirements for sales restriction period, vesting period and exercise period
26 the interval between the authorized registration date of restricted shares (class I) and the date of the first lifting of restrictions is not applicable
No less than 1 year
27. Whether the time limit for lifting the restrictions on sales in each issue is not less than 12 months is not applicable
28. Whether the proportion of sales restrictions lifted in each period does not exceed the total amount of restricted shares granted to the incentive object is not applicable
50% of
29 is the interval between the grant date and the first vesting date of restricted shares (class II) less than 1? No
year
30 whether the time limit of each vesting period is not less than 12 months yes
Whether the ownership proportion of each period does not exceed 50% of the total amount of restricted shares granted to the incentive object is
29. Whether the interval between the stock option authorization date and the first exercisable date is less than 1 year is not applicable
It does not apply whether the starting date of the exercise period after the stock option is not earlier than the expiration date of the previous exercise period
31. Whether the exercise time limit of stock options in each period is not less than 12 months? Not applicable
32. Whether the stock option proportion of the exercisable right of stock option in each period does not exceed that of the incentive object, which is not applicable
50% of total stock options
Compliance requirements for professional opinions of independent directors, board of supervisors and intermediaries
33. Whether the independent directors and the board of supervisors are on whether the equity incentive plan is conducive to the holding of listed companies
Continue to develop, whether there is any obvious damage to the interests of the listed company and all shareholders
Whether the listed company has hired a law firm to issue a legal opinion in accordance with the administrative measures is
Express professional opinions in accordance with the provisions of
(1) Whether the listed company complies with the provisions of the administrative measures for the implementation of equity incentive is
piece
(2) Whether the contents of the equity incentive plan comply with the provisions of the administrative measures is
(3) Whether the formulation, deliberation, publicity and other procedures of the equity incentive plan comply with the management
Provisions of the measures
(4) Whether the determination of equity incentive objects complies with the administrative measures and relevant laws is
Provisions of regulations
(5) Whether the listed company has performed information disclosure in accordance with the relevant requirements of the CSRC is
obligation
(6) Does the listed company provide financial assistance to the incentive object? No
(7) Whether the equity incentive plan has obvious damage to the interests of the listed company and all shareholders
And violations of relevant laws and administrative regulations
(8) Are the directors who intend to be the incentive object or have an associated relationship with them
According to the
