方案制定與內部溝通?

Plan formulation and internal communication

企業首先要組建專業團隊，包括人力資源、財務、法務等相關人員，結合企業實際情況與發展戰略，精心設計股權激勵方案。在方案制定過程中，要充分進行內部溝通。管理層應與員工代表進行深入交流，了解員工對股權激勵的期望與訴求，同時向員工詳細介紹股權激勵方案的目的、內容與實施計劃，解答員工疑問，確保員工理解并認同方案。例如山東一家化工企業，在制定股權激勵方案時，組織多場員工座談會，管理層與員工面對面交流，收集到員工對激勵對象范圍、激勵方式等方面的建議，并對方案進行優化調整，使方案更貼合員工需求，為后續順利實施奠定基礎。?

The first step for enterprises is to establish a professional team, including human resources, finance, legal and other related personnel, and carefully design equity incentive plans based on the actual situation and development strategy of the enterprise. In the process of formulating the plan, sufficient internal communication should be carried out. The management should have in-depth communication with employee representatives to understand their expectations and demands for equity incentives. At the same time, they should provide detailed information on the purpose, content, and implementation plan of the equity incentive plan to employees, answer their questions, and ensure that employees understand and agree with the plan. For example, a chemical company in Shandong organized multiple employee symposiums and face-to-face communication between management and employees when formulating equity incentive plans. They collected suggestions from employees on the scope and methods of incentives, and optimized and adjusted the plans to better meet their needs, laying the foundation for smooth implementation in the future. ?

方案審批與備案?

Scheme approval and filing

對于上市公司以及部分國有企業，股權激勵方案需按照相關規定進行審批與備案。上市公司要遵循證券監管部門的要求，提交股東大會審議，并及時披露相關信息。國有企業則要依據國資監管部門的規定，履行內部決策程序后，報上級主管部門審批備案。以山東一家省屬國有上市公司為例，其股權激勵方案經公司董事會、監事會審議通過后，提交股東大會表決，同時將相關材料報送省國資委備案，確保方案合規實施。在這一過程中，企業要嚴格按照規定準備申報材料，確保材料的真實性、完整性與準確性，避免因材料問題導致審批延誤或方案不通過。?

For listed companies and some state-owned enterprises, equity incentive plans need to be approved and filed in accordance with relevant regulations. Listed companies must comply with the requirements of securities regulatory authorities, submit to the shareholders' meeting for review, and disclose relevant information in a timely manner. State owned enterprises must follow the regulations of the state-owned asset supervision department, perform internal decision-making procedures, and report to the higher-level competent department for approval and filing. Taking a provincial state-owned listed company in Shandong as an example, its equity incentive plan was reviewed and approved by the company's board of directors and supervisory board, and then submitted to the shareholders' meeting for voting. At the same time, relevant materials were submitted to the provincial state-owned assets supervision and administration commission for filing to ensure the compliance and implementation of the plan. During this process, enterprises must strictly prepare application materials in accordance with regulations, ensuring the authenticity, completeness, and accuracy of the materials, and avoiding delays in approval or rejection of plans due to material issues. ?

股權授予與管理?

Equity Grant and Management

在方案獲批后，企業按照既定計劃向激勵對象授予股權。要準確辦理股權變更登記等手續，確保激勵對象合法擁有相應股權權益。同時，建立健全股權管理機制，對激勵對象的股權持有、轉讓、退出等情況進行規范管理。比如明確規定激勵對象在服務期內不得隨意轉讓股權，若因個人原因離職，需按照約定價格將股權回售給企業或其他指定對象。山東一家軟件企業在股權管理中，設立專門的股權管理臺賬，詳細記錄每位激勵對象的股權授予時間、數量、解鎖條件等信息，定期對股權管理情況進行審計，確保股權管理規范有序，保障企業與激勵對象雙方的合法權益。?

After the plan is approved, the enterprise grants equity to the incentive recipients according to the established plan. Accurately handle procedures such as equity change registration to ensure that incentive recipients legally own the corresponding equity rights and interests. At the same time, establish a sound equity management mechanism to regulate the ownership, transfer, and withdrawal of equity by incentive targets. For example, it is explicitly stipulated that incentive recipients are not allowed to transfer equity at will during the service period. If they resign due to personal reasons, they must sell the equity back to the enterprise or other designated objects at the agreed price. A software company in Shandong has set up a dedicated equity management ledger for equity management, which records in detail the grant time, quantity, unlocking conditions, and other information of each incentive object's equity. Regular audits of equity management are conducted to ensure that equity management is standardized and orderly, and to protect the legitimate rights and interests of both the company and the incentive object. ?

持續跟蹤與調整?

Continuous tracking and adjustment

股權激勵方案實施后，并非一勞永逸，企業要持續跟蹤方案的實施效果。通過對業績考核指標完成情況、員工工作積極性變化、企業經營業績提升等多方面進行評估分析，及時發現方案存在的問題。若企業內外部環境發生重大變化，如行業競爭加劇、企業戰略調整等，要適時對股權激勵方案進行調整優化。例如山東一家醫藥企業，在實施股權激勵后，因行業政策調整，原有的業績考核指標不再適用，企業及時對考核指標進行調整，將新藥研發進度、醫保目錄準入情況等納入考核范圍，確保股權激勵方案始終能有效激勵員工，助力企業適應新的市場環境，實現持續發展。

After the implementation of the equity incentive plan, it is not a one-time solution, and companies need to continuously track the effectiveness of the plan. By evaluating and analyzing various aspects such as the completion of performance evaluation indicators, changes in employee work enthusiasm, and the improvement of enterprise business performance, problems in the plan can be identified in a timely manner. If there are significant changes in the internal and external environment of the enterprise, such as intensified industry competition or strategic adjustments, the equity incentive plan should be adjusted and optimized in a timely manner. For example, a pharmaceutical company in Shandong implemented equity incentives. Due to industry policy adjustments, the original performance evaluation indicators were no longer applicable. The company promptly adjusted the evaluation indicators, including new drug research and development progress, medical insurance catalog access, etc., to ensure that the equity incentive plan can always effectively motivate employees, help the company adapt to the new market environment, and achieve sustainable development.

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