Compliance Requirements - The financial accounting report for the most recent accounting year has not received a negative opinion or inability to express an opinion from the registered accountant [3] - Internal controls for the most recent accounting year have not received a negative opinion or inability to express an opinion from the registered accountant [3] - There have been no instances of profit distribution not complying with laws, regulations, company articles, or public commitments in the last 36 months since listing [3] Incentive Object Compliance - The incentive plan does not include shareholders or actual controllers holding more than 5% of the company's shares or their immediate family members [4] - No significant violations leading to administrative penalties or market bans by the China Securities Regulatory Commission (CSRC) in the last 12 months [4] Incentive Plan Compliance - The total number of shares involved in all effective stock incentive plans does not exceed 10% of the company's total share capital [5] - The cumulative shares granted to a single incentive object through all effective stock incentive plans do not exceed 1% of the company's total share capital [5] - The plan includes performance assessment indicators as conditions for the incentive objects to exercise their rights [5] Disclosure Completeness - The plan's purpose, basis for determining incentive objects, and the range of those objects are clearly stated [6] - The number of rights to be granted, types of stocks involved, and their proportion to the company's total share capital are disclosed [6] - The plan's effective period, grant date, and exercise arrangements are specified [6] Independent Financial Advisor - An independent financial advisor has been engaged to verify the feasibility of the incentive plan and its benefits for the company's sustainable development [5] - The advisor's report includes opinions on pricing basis and methods, ensuring no harm to the company's interests or shareholder benefits [5] Performance Assessment Indicators - The performance assessment indicators are objective, public, clear, and beneficial for enhancing the company's competitiveness [6] - At least three comparable companies are selected for benchmarking the indicators [6] Legal Compliance - The company has complied with the conditions for implementing stock incentives as per the relevant regulations [8] - The content of the incentive plan adheres to the provisions of the stock incentive management measures [8] - The procedures for drafting, reviewing, and publicizing the incentive plan comply with the management measures [8]
和泰机电: 上市公司股权激励计划自查表