中石科技: 创业板上市公司股权激励计划自查表

Core Viewpoint - The company is undergoing a review of its stock incentive plan to ensure compliance with regulatory requirements and to assess the potential impact on shareholder interests [3][4][6]. Compliance Requirements - The financial reports for the most recent accounting year did not receive a negative opinion or inability to express an opinion from the registered accountant [3]. - There have been no instances in the last 36 months where profit distribution did not comply with laws, regulations, or company commitments [3]. - The stock incentive plan must not exceed 20% of the company's total share capital in terms of the total number of shares involved [3][4]. Incentive Object Compliance - The necessity and reasonableness of including shareholders or actual controllers holding more than 5% of shares as incentive objects must be justified [3]. - There have been no significant legal violations leading to administrative penalties from the China Securities Regulatory Commission in the last 12 months [3]. Disclosure Completeness - The stock incentive plan must detail the purpose, criteria for selecting incentive objects, and the number of rights to be granted, ensuring transparency [4][6]. - The plan must include the effective period, authorization date, and conditions for exercising rights [4][6]. Performance Assessment - Performance indicators for the incentive plan must be objective, clear, and conducive to enhancing the company's competitiveness [6]. - The selection of comparable companies for performance assessment should include at least three peers [6]. Legal and Procedural Compliance - The company must ensure that the stock incentive plan aligns with the regulations set forth in the management guidelines [7]. - The company is required to provide legal opinions from law firms regarding the compliance of the incentive plan [8].