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1、 大學畢業(yè)論文 學 生 姓 名 XXX 指 導 教 師 XXX 專 業(yè) 人力資源管理 學 院 管理學院 XXX University Appendix Student xxxxxxx Supervisor x

2、xx Specialty Human Resources Management School Management School 原文 Management of listed companies in equity-based incentives CHAPTER I General Article1. To further promote the establishment of a listed c

3、ompany, a sound incentive and restraint mechanisms, according to "Peoples Republic of China Company Law", "the Securities Act of Peoples Republic of China" and other relevant laws and administrative regulations, the development of this approach. Article2. The term refers to shares of listed comp

4、anies incentives to the companys shares being the subject of its directors, supervisors, senior management and other staff to carry out long-term incentives. Listed companies to be restricted stock, stock options and the laws and administrative regulations to allow the implementation of other means

5、of equity incentive plans, the application of the provisions of this approach. Article3. Listed companys equity incentive plan implementation, it should be in line with the laws and administrative regulations, the methods and the provisions of the Articles of Association and is conducive to the

6、sustainable development of listed companies, and must not harm the interests of listed companies. Directors of listed companies, supervisors and senior managers in the implementation of equity incentive plans should be honesty and trustworthiness, diligence, and safeguard the interests of all shareh

7、olders. Article4. Listed companies to implement equity incentive plan should be in strict accordance with the relevant provisions and requirements of this approach to information disclosure obligations to fulfill. Article5. For listed companies issued equity incentive plan views of professio

8、nal bodies, should be honesty, trustworthiness, diligence, to ensure that the document issued by true, accurate and complete. Article6. No person shall make use of equity incentive plans insider trading, price manipulation of securities transactions and securities fraud. Chapter II General pr

9、ovisions Article7. Listed companies, one of the following circumstances shall be the implementation of equity incentive plans: (a) In the last fiscal year a financial accounting report negative opinion issued by a certified public accountant to express an opinion or are unable to audit reports;

10、(b) the recent major violations during the year due to irregularities by the China Securities Regulatory Commission to be an administrative penalty; (c) of the China Securities Regulatory Commission finds that the other cases. Article8. Equity incentive plan target of incentives may include the

11、directors of listed companies, supervisors, senior management, the core technology (business), as well as companies that should inspire other employees, but independent directors should not be included. The following incentives may not be the object: (a) In the last 3 years by stock or announce publ

12、icly condemned as inappropriate candidates; (b) the last 3 years due to major violations of law violations by the China Securities Regulatory Commission to be of an administrative penalty; (iii) "Peoples Republic of China Company Law" shall be provided as the companys directors, supervisors, senior

13、management situations. Equity incentive plan for consideration by the board of directors, board of supervisors of listed companies should be to verify the list of incentives, and to verify the situation to be in that general meeting of shareholders. Article9. Incentive for directors, supervisors

14、, senior managers of listed companies should establish a performance appraisal system and assessment methods, indicators for performance appraisal plan for the implementation of the conditions of equity-based incentives. Article10. Listed companies will not be allowed to stimulate the target equ

15、ity incentive plan in accordance with the rights of access to loans, as well as any other form of financial assistance, including providing security for their loans. Article11. To the implementation of equity incentive plans of listed companies, based on the actual situation of the Company, thro

16、ugh the following sources to resolve the subject of shares: (i) object to the incentive to issue shares; (b) repurchase the shares of the Company; (c) the laws and administrative regulations to allow the other way. Article12. All listed companies effective equity incentive plan involved bringing

17、 the total number of shares the subject company shall not exceed 10% of the total share capital. Non-shareholders general meeting approved a special resolution of any object through a full and effective incentive equity incentive plan of the Company granted a total stock equity of the company shall

18、not exceed 1% of the total. First paragraph of this article, second paragraph referred to the total share capital refers to the most recent general meeting of shareholders approved equity incentive plans of the companys issued share capital of the total. Article13. Listed companies should be in

19、the equity incentive plan on the following matters or statements made clear that: (i) the purpose of equity incentive plans; (b) based on incentive to identify the object and scope; (c) the equity incentive plan to grant the rights and interests of the number of involved in the subject of stock sour

20、ces, types, quantity and equity of listed companies accounted for a percentage of the total; if at times the implementation of each of the rights and interests to be granted the number of shares involved in the type of subject, source, volume and accounted for the total equity of listed companies pe

21、rcentage; (d) incentives for directors, supervisors, senior management and their respective rights and interests to be given the number of, or equity incentive plan to grant the rights and interests of the percentage of the total; other incentives objects (or their appropriate classification) may be

22、 delegate representing the interests of the quantity and equity incentive plan to grant the rights and interests of the percentage of the total; (e) the validity of equity incentive plans authorize the days, right feasible, the subject of stock lock-up period; (f) the grant of restricted stock price

23、 or Determination of grant price, the stock option exercise price or exercise price determination; (g) authorized the target incentive benefits, the right conditions, such as performance appraisal system and assessment methods, and to performance appraisal indicators for the implementation of equity

24、-based incentives scheme; (h) equity incentive plan rights and interests involved in the number of the target amount of shares, exercise price or grant price adjustment methods and procedures; (i) the rights and incentives granted the right of the target line procedures; (10) Company and encourageme

25、nt of their respective rights and obligations of the object; (xi) changes in control of the company, merger, separation, job change occurred incentive target, separation, death matter how the implementation of equity incentive plans; (xii) changes in equity incentive plan, terminated; (xiii) other i

26、mportant matters. Article14. Occurrence of a listed company in Article VII of this approach to one of the cases, should put an end to the implementation of equity incentive plans, may not object to the incentive to continue to grant new rights and interests of the target incentive under the equi

27、ty incentive plan have been granted but not yet exercised by the exercise of the rights and interests should be discontinued. Equity incentive plans in the implementation process of this approach motivate the target appears in Article VIII shall not be the case the object of incentives, the listed c

28、ompanies shall continue to grant the rights and interests, and its has been granted but not yet exercised by the exercise of the rights and interests should be discontinued. Article15. Target incentive to transfer their income through the equity incentive plan shares, it should be in line with r

29、elevant laws and administrative regulations and the provisions of this approach. Chapter III Restricted stock Article16. The term incentive restricted stock is the object in accordance with the equity incentive plan provides for the conditions obtained from the listed companies a certain numb

30、er of shares of the Company. Article17. Listed companies target incentive award restricted stock, equity incentive plans should be provided for the object granted incentive stock performance conditions, the ban period. Article18. Listed companies to the stock market as a benchmark to determi

31、ne the price of restricted stock awarded in the following period shall not object to the grant of stock incentives: (i) prior to the publication of periodic reports on the 30th; (b) a matter of significant transactions or major decision-making process to the matter Notice two days after; (c) The oth

32、er major event that may affect the share price on the date of announcement until two trading days. Chapter IV Stock options Article19. The term refers to the listing of stock options granted incentive targets within a certain period of time in the future in order to pre-determined purchase pr

33、ice and conditions of a certain number of shares of the Companys rights. Objects can be the incentive stock options granted during the period specified in a pre-determined purchase price and conditions of a certain number of shares of listed companies can also give up the rights. Target incentive

34、stock options granted shall not be transferable or used to guarantee repayment of debt. Article20. The board of directors of listed companies can be considered in accordance with the approval of shareholders of the General Assembly of the stock options, and decided to grant a one-time or in the

35、awarding of stock options, but out of a total grant of stock options related to the subject of shares shall not exceed the total amount of stock option plans of the subject involved in the total stock. article21. Authorized on stock options and stock options are granted the right line on the fir

36、st time, the interval between not less than 1 year. Stock options on the validity of the calculation from the authorization may not exceed 10 years. article22. In the life of stock options, listed companies should provide incentives target the right line in phases. Stock options After the v

37、alidity period has been granted the right line but not the stock options may not be the right line. Article23. Listed companies in the award of incentive stock options when the target should be to determine exercise price or exercise price determination. Exercise price should not be less than th

38、e higher of the following prices: (i) equity incentive plan prior to the publication of the draft summary of the company trading day closing price of the subject shares; (b) the equity incentive plan prior to the publication of the draft summary of 30 trading days of the company average closing pric

39、e of the subject. Article24. Shares of listed companies due to the subject of ex-dividend, dividend or other reasons need to adjust the exercise price or the number of stock options, stock option plans in accordance with the provisions of the principles and ways to adjust. The basis of the above

40、 listed companies the right to adjust the trip price or the number of stock options should be made by the board of directors and the shareholders general meeting to consider approval of the resolution, or by the shareholders of the General Assembly decided to authorize the Board of Directors. Lawyer

41、s should be on the above adjustment is consistent with this approach, the company charter and the provisions of stock option plans issued by professional advice to the Board of Directors. Article25. Listed companies in the following period shall not object to incentive stock options granted to:

42、(i) prior to the publication of periodic reports on the 30th; (b) a matter of significant transactions or major decision-making process in a matter of notice to the two trading days; (c) other possible significant incidents of price from the date of notice of two trading days. Article26. Incenti

43、ve target should be periodic reports of listed companies after the announcement of the first two trading days to the next periodic report 10 trading days prior to exercise, but not the right experts in the following period: (a) a matter of significant transactions or major decision-making process to

44、 Notice of the matter after the two trading days; (b) of the other major event that may affect the share price on the date of announcement until two trading days. Chapter V Supervision and punishment Article27. Listed companies file false financial and accounting records, to whom the object o

45、f incentives from the financial accounting documents from the date of notice within 12 months from the equity incentive plan received the full benefits of shall be returned to the company. Article28. Listed companies do not meet the requirements of this approach to the implementation of equity i

46、ncentive plans, the China Securities Regulatory Commission ordered its correction, the company and related persons responsible will be punished according to law; in the correct order, the China Securities Regulatory Commission will not be the companys application documents. Article29. Listed com

47、panies are not in accordance with this approach and other relevant provisions of the disclosure of information equity incentive plan and the disclosure of information or false records, misleading statements or material omissions, the China Securities Regulatory Commission ordered its correction, the

48、 company and related persons responsible will be punished according to law. The use of fictitious equity incentive plan performance, market manipulation or insider dealing, improper access to benefits, according to China Securities Regulatory Commission, confiscate the illegal income, the responsi

49、bility of the relevant measures taken; constitute a crime, investigate and deal with the transfer of the judiciary in accordance with the law. article30. For listed companies issued equity incentive plan views of the relevant professional bodies are not fulfilling the obligations diligence, prof

50、essional advice issued by the existence of false records, misleading statements or material omissions, the China Securities Regulatory Commission on the relevant professional bodies and supervisory personnels signature, issued by warning letter, and ordered measures to reform and the transfer of the

51、 relevant professional bodies to deal with the competent authorities; the circumstances are serious, punishable by a warning, fines and other penalties; constitute securities violations, they shall be held liable. Chapter VI Supplementary Provisions article33. This approach the following term

52、s have the following meanings: the senior management: refers to a listed company manager, deputy manager, finance charge, the Board Secretary and the provisions of the Articles of Association of the others. The subject of stock: means the equity incentive plan, incentive granted the right to object

53、or to purchase shares of listed companies. Interests: the object refers to stimulate equity incentive plan in accordance with the listed company stocks, stock options. Authorized to date: a listed company refers to object to the incentive stock options granted to date. Must be authorized on trading

54、days. Exercise: Object refers to incentive stock options under the incentive plan, within a specified period, to a pre-determined purchase price and conditions for the conduct of the shareholdings of listed companies. The right to a viable date: means the incentive target the right line to start dat

55、e. The right to be feasible for the trading day on. Exercise Price: listed companies object to the incentive stock options granted by the identified target incentives to buy shares in the prices of listed companies. Award Price: listed companies object to the award of incentive restricted stock to d

56、etermine when, and inspire the target to obtain the price of the shares of listed companies. The term of "over", "less than" does not contain the number. Article34. This approach applies to shares in the Shanghai and Shenzhen Stock Exchange listed company. Article35. This approach since Janu

57、ary 1, 2006 will come into effect. From: Management of listed companies in equity-based incentives 翻譯 上市公司股權激勵管理辦法 第一章 總則 第一條 為進一步促進上市公司建立、健全激勵與約束機制，依據《中華人民共和國公司法》、《中華人民共和國證券法》及其他有關法律、行政法規(guī)的規(guī)定，制定本辦法。 第二條 本辦法所稱股權激勵是指上市公司以本公司股票為標的，對其董事、監(jiān)事、高級管理人員及其他員工進

58、行的長期性激勵。上市公司以限制性股票、股票期權及法律、行政法規(guī)允許的其他方式實行股權激勵計劃的，適用本辦法的規(guī)定。 第三條 上市公司實行的股權激勵計劃，應當符合法律、行政法規(guī)、本辦法和公司章程的規(guī)定，有利于上市公司的持續(xù)發(fā)展，不得損害上市公司利益。上市公司的董事、監(jiān)事和高級管理人員在實行股權激勵計劃中應當誠實守信，勤勉盡責，維護公司和全體股東的利益。 第四條 上市公司實行股權激勵計劃，應當嚴格按照有關規(guī)定和本辦法的要求履行信息披露義務。 第五條 為上市公司股權激勵計劃出具意見的專業(yè)機構，應當誠實守信、勤勉盡責，保證所出具的文件真實、準確、完整。 第六條 任何人不得利用股權激勵計

59、劃進行內幕交易、操縱證券交易價格和進行證券欺詐活動。 第二章 一般規(guī)定 第七條 上市公司具有下列情形之一的，不得實行股權激勵計劃：（一）最近一個會計年度財務會計報告被注冊會計師出具否定意見或者無法表示意見的審計報告；（二）最近一年內因重大違法違規(guī)行為被中國證監(jiān)會予以行政處罰；（三）中國證監(jiān)會認定的其他情形。 第八條 股權激勵計劃的激勵對象可以包括上市公司的董事、監(jiān)事、高級管理人員、核心技術（業(yè)務）人員，以及公司認為應當激勵的其他員工，但不應當包括獨立董事。下列人員不得成為激勵對象：（一）最近3年內被證券交易所公開譴責或宣布為不適當人選的；（二）最近3年內因重大違法違規(guī)行為被中國證監(jiān)

60、會予以行政處罰的；（三）具有《中華人民共和國公司法》規(guī)定的不得擔任公司董事、監(jiān)事、高級管理人員情形的。股權激勵計劃經董事會審議通過后，上市公司監(jiān)事會應當對激勵對象名單予以核實，并將核實情況在股東大會上予以說明。 第九條 激勵對象為董事、監(jiān)事、高級管理人員的，上市公司應當建立績效考核體系和考核辦法，以績效考核指標為實施股權激勵計劃的條件。 第十條 上市公司不得為激勵對象依股權激勵計劃獲取有關權益提供貸款以及其他任何形式的財務資助，包括為其貸款提供擔保。 第十一條 擬實行股權激勵計劃的上市公司，可以根據本公司實際情況，通過以下方式解決標的股票來源：（一）向激勵對象發(fā)行股份；（二）回購本

61、公司股份；（三）法律、行政法規(guī)允許的其他方式。 第十二條 上市公司全部有效的股權激勵計劃所涉及的標的股票總數累計不得超過公司股本總額的10%。非經股東大會特別決議批準，任何一名激勵對象通過全部有效的股權激勵計劃獲授的本公司股票累計不得超過公司股本總額的1%。本條第一款、第二款所稱股本總額是指股東大會批準最近一次股權激勵計劃時公司已發(fā)行的股本總額。 第十三條 上市公司應當在股權激勵計劃中對下列事項做出明確規(guī)定或說明：（一）股權激勵計劃的目的；（二）激勵對象的確定依據和范圍；（三）股權激勵計劃擬授予的權益數量、所涉及的標的股票種類、來源、數量及占上市公司股本總額的百分比；若分次實施的，每次

62、擬授予的權益數量、所涉及的標的股票種類、來源、數量及占上市公司股本總額的百分比；（四）激勵對象為董事、監(jiān)事、高級管理人員的，其各自可獲授的權益數量、占股權激勵計劃擬授予權益總量的百分比；其他激勵對象（各自或按適當分類）可獲授的權益數量及占股權激勵計劃擬授予權益總量的百分比；（五）股權激勵計劃的有效期、授權日、可行權日、標的股票的禁售期；（六）限制性股票的授予價格或授予價格的確定方法，股票期權的行權價格或行權價格的確定方法；（七）激勵對象獲授權益、行權的條件，如績效考核體系和考核辦法，以績效考核指標為實施股權激勵計劃的條件；（八）股權激勵計劃所涉及的權益數量、標的股票數量、授予價格或行權價格的調

63、整方法和程序；（九）公司授予權益及激勵對象行權的程序；（十）公司與激勵對象各自的權利義務；（十一）公司發(fā)生控制權變更、合并、分立、激勵對象發(fā)生職務變更、離職、死亡等事項時如何實施股權激勵計劃；（十二）股權激勵計劃的變更、終止；（十三）其他重要事項。 第十四條 上市公司發(fā)生本辦法第七條規(guī)定的情形之一時，應當終止實施股權激勵計劃，不得向激勵對象繼續(xù)授予新的權益，激勵對象根據股權激勵計劃已獲授但尚未行使的權益應當終止行使。在股權激勵計劃實施過程中，激勵對象出現(xiàn)本辦法第八條規(guī)定的不得成為激勵對象的情形的，上市公司不得繼續(xù)授予其權益，其已獲授但尚未行使的權益應當終止行使。 第十五條 激勵對象轉讓

64、其通過股權激勵計劃所得股票的，應當符合有關法律、行政法規(guī)及本辦法的規(guī)定。 第三章 限制性股票 第十六條 本辦法所稱限制性股票是指激勵對象按照股權激勵計劃規(guī)定的條件，從上市公司獲得的一定數量的本公司股票。 第十七條 上市公司授予激勵對象限制性股票，應當在股權激勵計劃中規(guī)定激勵對象獲授股票的業(yè)績條件、禁售期限。 第十八條 上市公司以股票市價為基準確定限制性股票授予價格的，在下列期間內不得向激勵對象授予股票：（一）定期報告公布前30日；（二）重大交易或重大事項決定過程中至該事項公告后2個交易日；（三）其他可能影響股價的重大事件發(fā)生之日起至公告后2個交易日。 第四章 股票期權 第

65、十九條 本辦法所稱股票期權是指上市公司授予激勵對象在未來一定期限內以預先確定的價格和條件購買本公司一定數量股份的權利。激勵對象可以其獲授的股票期權在規(guī)定的期間內以預先確定的價格和條件購買上市公司一定數量的股份，也可以放棄該種權利。 第二十條 激勵對象獲授的股票期權不得轉讓、用于擔保或償還債務。 第二十一條 上市公司董事會可以根據股東大會審議批準的股票期權計劃，決定一次性授出或分次授出股票期權，但累計授出的股票期權涉及的標的股票總額不得超過股票期權計劃所涉及的標的股票總額。 第二十二條 股票期權授權日與獲授股票期權首次可以行權日之間的間隔不得少于1年。 股票期權的有效期從授權日計

66、算不得超過10年。 第二十三條 在股票期權有效期內，上市公司應當規(guī)定激勵對象分期行權。 股票期權 有效期過后，已授出但尚未行權的股票期權不得行權。 第二十四條 上市公司在授予激勵對象股票期權時，應當確定行權價格或行權價格的確定方法。行權價格不應低于下列價格較高者：（一）股權激勵計劃草案摘要公布前一個交易日的公司標的股票收盤價；（二）股權激勵計劃草案摘要公布前30個交易日內的公司標的股票平均收盤價。 第二十五條 上市公司因標的股票除權、除息或其他原因需要調整行權價格或股票期權數量的，可以按照股票期權計劃規(guī)定的原則和方式進行調整。上市公司依據前款調整行權價格或股票期權數量的，應當由董事會做出決議并經股東大會審議批準，或者由股東大會授權董事會決定。律師應當就上述調整是否符合本辦法、公司章程和股票期權計劃的規(guī)定向董事會出具專業(yè)意見。 第二十六條 上市公司在下列期間內不得向激勵對象授予股票期權：（一）定期報告公布前30日；（二）重大交易或重大事項決定過程中至該事項公告后2個交易日；（三）其他可能影響股價的重大事件發(fā)生之日起至公告后2個交易日。 第二十