水晶光电: 浙江水晶光电科技股份有限公司股权激励计划自查表

Core Viewpoint - The company, Zhejiang Crystal Optoelectronics Technology Co., Ltd., is undergoing a self-examination of its equity incentive plan to ensure compliance with relevant regulations and guidelines [1]. Compliance Requirements - The financial accounting report for the most recent fiscal year has not received a negative opinion or inability to express an opinion from the registered accountant [2]. - There have been no instances in the last 36 months where profit distribution was not conducted according to laws, regulations, or company articles [2]. - The company has not provided loans or any financial assistance to incentive recipients [2]. - The incentive recipients do not include shareholders or actual controllers holding more than 5% of the company's shares [2]. - No inappropriate candidates have been recognized by the securities exchange or the China Securities Regulatory Commission (CSRC) in the last 12 months [2]. Equity Incentive Plan Requirements - The total number of shares involved in all effective equity incentive plans does not exceed 10% of the company's total share capital [2]. - No single incentive recipient has been granted shares exceeding 1% of the company's total share capital through all effective equity incentive plans [2]. - The reserved rights ratio for incentive recipients does not exceed 20% of the total rights to be granted in this equity incentive plan [2]. - The plan must specify the names, positions, and granted quantities for directors and senior management as incentive recipients [2]. - Performance assessment indicators must be established as conditions for the exercise of rights by incentive recipients [2]. Plan Disclosure and Integrity - The plan must detail the purpose, basis for determining incentive recipients, and the number of rights to be granted [3]. - The plan must include the types of shares, sources, and the proportion of shares involved in the incentive plan [4]. - The effective period of the equity incentive plan must not exceed 10 years from the date of the first grant [4]. - The plan must disclose the conditions for granting and exercising rights, including performance assessment indicators [5]. Performance Assessment and Compliance - Performance assessment indicators must be objective, clear, and conducive to enhancing the company's competitiveness [6]. - The interval between the grant date of restricted shares and the first lifting date must not be less than 12 months [6]. - The company must ensure that the plan does not harm the interests of the company and all shareholders [7].