人力资源论文之股权激励英文版.docx

人力资源论文之股权激励英文版.docx

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人力资源论文之股权激励英文版

XXXXX大学毕业论文

附录

学生姓名XXX

指导教师XXX

专业人力资源管理

学院管理学院

2009年6月8日

XXXUniversity

Appendix

Student

xxxxxxx

Supervisor

xxx

Specialty

HumanResourcesManagement

School

ManagementSchool

2009-06-08

原文

Managementoflistedcompaniesinequity-basedincentives

CHAPTERI

General

Article1.

Tofurtherpromotetheestablishmentofalistedcompany,asoundincentiveandrestraintmechanisms,accordingto"People'sRepublicofChinaCompanyLaw","theSecuritiesActofPeople'sRepublicofChina"andotherrelevantlawsandadministrativeregulations,thedevelopmentofthisapproach.

Article2.

Thetermreferstosharesoflistedcompaniesincentivestothecompany'ssharesbeingthesubjectofitsdirectors,supervisors,seniormanagementandotherstafftocarryoutlong-termincentives.Listedcompaniestoberestrictedstock,stockoptionsandthelawsandadministrativeregulationstoallowtheimplementationofothermeansofequityincentiveplans,theapplicationoftheprovisionsofthisapproach.

Article3.

Listedcompany'sequityincentiveplanimplementation,itshouldbeinlinewiththelawsandadministrativeregulations,themethodsandtheprovisionsoftheArticlesofAssociationandisconducivetothesustainabledevelopmentoflistedcompanies,andmustnotharmtheinterestsoflistedcompanies.Directorsoflistedcompanies,supervisorsandseniormanagersintheimplementationofequityincentiveplansshouldbehonestyandtrustworthiness,diligence,andsafeguardtheinterestsofallshareholders.

Article4.

Listedcompaniestoimplementequityincentiveplanshouldbeinstrictaccordancewiththerelevantprovisionsandrequirementsofthisapproachtoinformationdisclosureobligationstofulfill.

Article5.

Forlistedcompaniesissuedequityincentiveplanviewsofprofessionalbodies,shouldbehonesty,trustworthiness,diligence,toensurethatthedocumentissuedbytrue,accurateandcomplete.

Article6.

Nopersonshallmakeuseofequityincentiveplansinsidertrading,pricemanipulationofsecuritiestransactionsandsecuritiesfraud.

ChapterII

Generalprovisions

Article7.

Listedcompanies,oneofthefollowingcircumstancesshallbetheimplementationofequityincentiveplans:

（a）Inthelastfiscalyearafinancialaccountingreportnegativeopinionissuedbyacertifiedpublicaccountanttoexpressanopinionorareunabletoauditreports;（b）therecentmajorviolationsduringtheyearduetoirregularitiesbytheChinaSecuritiesRegulatoryCommissiontobeanadministrativepenalty;（c）oftheChinaSecuritiesRegulatoryCommissionfindsthattheothercases.

Article8.

Equityincentiveplantargetofincentivesmayincludethedirectorsoflistedcompanies,supervisors,seniormanagement,thecoretechnology（business）,aswellascompaniesthatshouldinspireotheremployees,butindependentdirectorsshouldnotbeincluded.Thefollowingincentivesmaynotbetheobject:

（a）Inthelast3yearsbystockorannouncepubliclycondemnedasinappropriatecandidates;（b）thelast3yearsduetomajorviolationsoflawviolationsbytheChinaSecuritiesRegulatoryCommissiontobeofanadministrativepenalty;（iii）"People'sRepublicofChinaCompanyLaw"shallbeprovidedasthecompany'sdirectors,supervisors,seniormanagementsituations.Equityincentiveplanforconsiderationbytheboardofdirectors,boardofsupervisorsoflistedcompaniesshouldbetoverifythelistofincentives,andtoverifythesituationtobeinthatgeneralmeetingofshareholders.

Article9.

Incentivefordirectors,supervisors,seniormanagersoflistedcompaniesshouldestablishaperformanceappraisalsystemandassessmentmethods,indicatorsforperformanceappraisalplanfortheimplementationoftheconditionsofequity-basedincentives.

Article10.

Listedcompanieswillnotbeallowedtostimulatethetargetequityincentiveplaninaccordancewiththerightsofaccesstoloans,aswellasanyotherformoffinancialassistance,includingprovidingsecurityfortheirloans.

Article11.

Totheimplementationofequityincentiveplansoflistedcompanies,basedontheactualsituationoftheCompany,throughthefollowingsourcestoresolvethesubjectofshares:

（i）objecttotheincentivetoissueshares;（b）repurchasethesharesoftheCompany;（c）thelawsandadministrativeregulationstoallowtheotherway.

Article12.

Alllistedcompanieseffectiveequityincentiveplaninvolvedbringingthetotalnumberofsharesthesubjectcompanyshallnotexceed10%ofthetotalsharecapital.Non-shareholders'generalmeetingapprovedaspecialresolutionofanyobjectthroughafullandeffectiveincentiveequityincentiveplanoftheCompanygrantedatotalstockequityofthecompanyshallnotexceed1%ofthetotal.Firstparagraphofthisarticle,secondparagraphreferredtothetotalsharecapitalreferstothemostrecentgeneralmeetingofshareholdersapprovedequityincentiveplansofthecompany'sissuedsharecapitalofthetotal.

Article13.

Listedcompaniesshouldbeintheequityincentiveplanonthefollowingmattersorstatementsmadeclearthat:

（i）thepurposeofequityincentiveplans;（b）basedonincentivetoidentifytheobjectandscope;（c）theequityincentiveplantogranttherightsandinterestsofthenumberofinvolvedinthesubjectofstocksources,types,quantityandequityoflistedcompaniesaccountedforapercentageofthetotal;ifattimestheimplementationofeachoftherightsandintereststobegrantedthenumberofsharesinvolvedinthetypeofsubject,source,volumeandaccountedforthetotalequityoflistedcompaniespercentage;（d）incentivesfordirectors,supervisors,seniormanagementandtheirrespectiverightsandintereststobegiventhenumberof,orequityincentiveplantogranttherightsandinterestsofthepercentageofthetotal;otherincentivesobjects（ortheirappropriateclassification）maybedelegaterepresentingtheinterestsofthequantityandequityincentiveplantogranttherightsandinterestsofthepercentageofthetotal;（e）thevalidityofequityincentiveplansauthorizethedays,rightfeasible,thesubjectofstocklock-upperiod;（f）thegrantofrestrictedstockpriceorDeterminationofgrantprice,thestockoptionexercisepriceorexercisepricedetermination;（g）authorizedthetargetincentivebenefits,therightconditions,suchasperformanceappraisalsystemandassessmentmethods,andtoperformanceappraisalindicatorsfortheimplementationofequity-basedincentivesscheme;（h）equityincentiveplanrightsandinterestsinvolvedinthenumberofthetargetamountofshares,exercisepriceorgrantpriceadjustmentmethodsandprocedures;（i）therightsandincentivesgrantedtherightofthetargetlineprocedures;（10）Companyandencouragementoftheirrespectiverightsandobligationsoftheobject;（xi）changesincontrolofthecompany,merger,separation,jobchangeoccurredincentivetarget,separation,deathmatterhowtheimplementationofequityincentiveplans;（xii）changesinequityincentiveplan,terminated;（xiii）otherimportantmatters.

Article14.

OccurrenceofalistedcompanyinArticleVIIofthisapproachtooneofthecases,shouldputanendtotheimplementationofequityincentiveplans,maynotobjecttotheincentivetocontinuetograntnewrightsandinterestsofthetargetincentiveundertheequityincentiveplanhavebeengrantedbutnotyetexercisedbytheexerciseoftherightsandinterestsshouldbediscontinued.EquityincentiveplansintheimplementationprocessofthisapproachmotivatethetargetappearsinArticleVIIIshallnotbethecasetheobjectofincentives,thelistedcompaniesshallcontinuetogranttherightsandinterests,anditshasbeengrantedbutnotyetexercisedbytheexerciseoftherightsandinterestsshouldbediscontinued.

Article15.

Targetincentivetotransfertheirincomethroughtheequityincentiveplanshares,itshouldbeinlinewithrelevantlawsandadministrativeregulationsandtheprovisionsofthisapproach.

ChapterIII

Restrictedstock

Article16.

ThetermincentiverestrictedstockistheobjectinaccordancewiththeequityincentiveplanprovidesfortheconditionsobtainedfromthelistedcompaniesacertainnumberofsharesoftheCompany.

Article17.

Listedcompaniestargetincentiveawardrestrictedstock,equityincentiveplansshouldbeprovidedfortheobjectgrantedincentivestockperformanceconditions,thebanperiod.

Article18.

Listedcompaniestothestockmarketasabenchmarktodeterminethepriceofrestrictedstockawardedinthefollowingperiodshallnotobjecttothegrantofstockincentives:

（i）priortothepublicationofperiodicreportsonthe30th;（b）amatterofsignificanttransactionsormajordecision-makingprocesstothematterNoticetwodaysafter;（c）Theothermajoreventthatmayaffectthesharepriceonthedateofannouncementuntiltwotradingdays.

ChapterIV

Stockoptions

Article19.

Thetermreferstothelistingofstockoptionsgrantedincentivetargetswithinacertainperiodoftimeinthefutureinordertopre-determinedpurchasepriceandconditionsofacertainnumberofsharesoftheCompany'srights.Objectscanbetheincentivestockoptionsgrantedduringtheperiodspecifiedinapre-determinedpurchasepriceandconditionsofacertainnumberofsharesoflistedcompaniescanalsogiveuptherights.

Targetincentivestockoptionsgrantedshallnotbetransferableorusedtoguaranteerepaymentofdebt.

Article20.

TheboardofdirectorsoflistedcompaniescanbeconsideredinaccordancewiththeapprovalofshareholdersoftheGeneralAssemblyofthestockoptions,anddecidedtogra