国泰海通证券股份有限公司关于A股限制性股票激励计划预留授予部分第三个限售期解除限售条件成就的公告

Core Viewpoint - The company announced the achievement of conditions for the third lock-up period of its A-share restricted stock incentive plan, allowing 49 eligible participants to unlock a total of 2,916,898 shares, representing approximately 0.02% of the company's total share capital [2][20][24]. Group 1: Incentive Plan Details - The third lock-up period for the reserved grant of the A-share restricted stock incentive plan has been fulfilled, with 49 eligible participants [2][20]. - The total number of restricted shares that can be unlocked is 2,916,898, which is about 0.02% of the current total share capital of the company [2][20]. - The company will issue a related announcement after the unlocking procedures are completed and before the shares are listed for trading [2][16]. Group 2: Decision-Making Process - The company held its seventh board meeting on January 20, 2026, where the proposal regarding the unlocking of the third lock-up period was approved [2][45]. - The decision-making process included multiple meetings and approvals from the board and supervisory committee, ensuring compliance with relevant regulations [3][25][26]. Group 3: Performance Conditions - Of the 49 participants, 47 met performance assessment standards, unlocking a total of 2,826,586 shares, while 2 participants partially met the standards, unlocking 90,312 shares, with 10,036 shares to be repurchased and canceled [14][20]. - The performance conditions for unlocking the shares were based on both company-level performance and individual performance assessments [14][20]. Group 4: Share Repurchase - The company plans to repurchase and cancel a total of 81,712 shares due to three participants failing to meet performance standards or being involved in legal issues [24][35]. - The repurchase price for the shares is set at 5.76 yuan per share, which is the adjusted price after accounting for dividends [38][39]. - The total amount for the repurchase will be approximately 470,661.12 yuan, sourced from the company's own funds [41].