Self inspection form of restricted stock incentive plan in 2022
Company abbreviation: Beijing Beetech Inc(300667) Stock Code: Beijing Beetech Inc(300667)
Does this exist
Item No. (yes / remark no / not applicable)
Compliance requirements of listed companies
1. Whether the financial accounting report of the latest fiscal year has been issued by the certified public accountant? No
Opinions or audit reports that cannot express opinions
2. Whether the internal control of the financial report of the latest fiscal year was denied by the certified public accountant
Opinions or audit reports that cannot express opinions
3. Failure to comply with laws and regulations, the articles of association and whether it has been made public within the last 36 months after listing
Commitment to profit distribution
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
Whether it includes shareholders who individually or jointly hold more than 5% of the shares of the listed company or
7. The actual controller and his / her spouse, parents, children and foreign employees, if so, is it
Explain 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 agencies for major violations of laws and regulations in the last 12 months
Constitute administrative punishment or take market entry prohibition measures
12. Whether it has the conditions stipulated in the company law that it is not allowed to serve as a director or level manager of the company? No
shape
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. Are all the underlying stocks involved in the equity incentive plan of the listed company within the validity period
Does the total amount exceed 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
Whether the proportion of reserved rights and interests of the equity 17 incentive object does not exceed 20% of the number of rights and interests to be granted under the inapplicable incentive plan does not involve the reserved part
The incentive objects are directors, senior managers and shareholders holding more than 5% of the shares individually or jointly
18 or actual controller and their spouses, parents, children and foreign employees, the equity incentive is
Has the draft incentive plan listed its 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) According to the provisions of the measures for the administration of equity incentive, explain whether there is any one by one
Listed companies shall not implement equity incentive and incentive objects shall not participate in equity incentive
The situation of the; Explain whether the implementation of the equity incentive plan will lead to the equity distribution of listed companies
Does not meet 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
Proportion of; If implemented by stages, the number of rights and interests to be granted each time and its proportion in the listed company
Proportion of total share capital; Where reserved rights and interests are set, the number of rights and interests to be reserved and the proportion of shares are
The proportion 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
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 their proportion in the total amount of rights and interests to be granted under the equity incentive plan shall be disclosed; The number of rights and interests that can be granted to other incentive objects (respectively or classified according to the appropriate inapplicable incentive plan) and the proportion in the total amount of rights and interests to be granted under the equity incentive plan; And a statement on whether the accumulated shares of the company granted by a single incentive object through all the equity incentive plans within the validity period 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 their determination
method.
Articles 23 and 29 of the measures for the administration of equity incentives were not adopted
Where the prescribed party determines the grant price and exercise price, it shall be responsible for the basis and accuracy of the pricing
The independent directors and independent financial advisers shall check whether the pricing is damaged
To express opinions and disclose the interests of listed companies and minority shareholders
(7) Conditions for incentive objects to be granted rights and interests and exercise rights and interests. Rights and interests to be granted in installments
The conditions for each grant of rights and interests to the incentive object shall be disclosed; Rights and interests to be exercised by installments
The conditions for the incentive objects to exercise their rights and interests each time shall be disclosed; Agreed rights and interests granted, yes
When the conditions for exercising rights and interests are not fulfilled, the relevant rights and interests shall not be deferred to the next period; Such as incentive pair
For example, including directors and senior managers, the performance of incentive objects in exercising their rights and interests shall be disclosed
Performance assessment indicators; Where the performance appraisal indicators for the exercise of the rights and interests of the incentive object are disclosed, it shall
Fully disclose the scientificity and rationality of the set indicators; The company implements multi issue shares at the same time
If the company's performance indicators in the later incentive plan are lower than those in the earlier incentive plan
The reasons and rationality shall be fully explained
(8) Procedures for granting rights and interests by the company and exercising rights and interests by incentive objects; Among them, should
It is clear that listed companies shall not grant restricted shares and incentive objects shall not exercise their rights
Period of interest
(9) What are the adjustment methods for the number of rights and interests and exercise price involved in the equity incentive plan
And procedures (e.g. adjustment methods when implementing plans such as profit distribution and share allotment)
(10) Accounting treatment method of equity incentive, fair value of restricted stock or stock option
The determination method of value, the value of important parameters of the valuation model and their rationality, and the implementation stock is
The accrued expenses of incentive right and its impact on the operating performance of listed companies
(11) Change and termination of equity incentive plan
(12) In case of change of control, merger, division of the company and the position of the incentive object
How to implement the equity incentive plan in case of change, resignation, death and other matters
(13) What are the respective rights and obligations of the company and the incentive object, and the relevant disputes or dispute resolution
Decision mechanism
(14) There is no falsehood in the information disclosure documents related to the equity incentive plan of listed companies
False records, misleading statements or commitments of major omissions; Disclosure of incentive objects
The document contains false records, misleading statements or major omissions, resulting in non-compliance with the award
Rights and interests or the commitment to return all interests to the company when exercising rights and interests. listed company
Trigger standard and time point of equity repurchase cancellation and income recovery procedures, repurchase price and
Calculation principle, operation procedure and completion period of income.
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 there are yes
It is conducive to promoting the competitiveness of the company
It does not involve taking the relevant indicators of comparable companies in the same industry as the comparison basis, The selected comparison company is not applicable. Whether there are no less than 3 relevant indicators compared with the company is used as the comparison basis
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 does not apply to whether the incentive plan is less than 1 year
27. Whether the time limit for lifting the restrictions on sales in each period is not less than 12 months. The incentive tool is not applicable. Whether the proportion of lifting the restrictions in each period does not exceed the total number of restricted shares granted to the incentive object (50% of the second 28 amount is not applicable to restricted stocks)
29 is the interval between the grant date and the first vesting date of restricted shares (class II) less than no
1 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
32 whether the interval between the stock option authorization date and the first exercisable date is less than 1 year is not applicable to this incentive plan
If the option is exercised one day before the expiration of the exercise period, it does not apply
