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<div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">关于上市公司实施员工持股计划试点的指导意è§?/h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整ç?/span> <span>发布时间ï¼?015å¹?4æœ?0æ—?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=4841"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=4841">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=4841">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=4841" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>进入后台编辑</a>ã€?; 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case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; } } ); } GetContentSigninStatus('4841'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">关于上市公司实施员工持股计划</span></span></span></p> </div> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"> </p> </div> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"> </p> </div> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size: 18pt;"><span lang="EN-US"><o:p></o:p></span></span></span></span></p> </div> <div style="mso-element:para-border-div;border:none black 1.0pt;mso-border-alt: none black 0cm;padding:0cm 0cm 0cm 0cm"> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">试点的指导意è§?/span></span></span><span style="font-size:18.0pt;mso-bidi-font-size:21.0pt;font-family:黑体;mso-hansi-font-family: 黑体;color:black;mso-bidi-font-weight:bold"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:27.0pt;mso-line-height-rule:exactly; text-autospace:ideograph-other;border:none;mso-border-alt:none black 0cm; padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">为了贯彻《中共中央关于全面深化改革若干重大问题的决定》中关于“允许混合所有制经济实行企业员工持股,形成资本所有者和劳动者利益共同体”的精神,落实《国务院关于进一步促进资本市场健康发展的若干意见》(国发ã€?span lang="EN-US">2014</span>ã€?span lang="EN-US">17</span>号)中关äº?ldquo;允许上市公司按规定通过多种形式开展员工持股计åˆ?rdquo;的要求,经国务院同意,中国证监会依照《公司法》、《证券法》相关规定,在上市公司中开展员工持股计划实施试点。上市公司实施员工持股计划试点,有利于建立和完善劳动者与所有者的利益共享机制,改善公司治理水平,提高职工的凝聚力和公司竞争力,使社会资金通过资本市场实现优化配置。为稳妥有序开展员工持股计划试点,现提出以下指导意见ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">一、员工持股计划基本原åˆ?/span></span></span><span style="font-size:15.0pt;font-family:黑体;mso-hansi-font-family:黑体;color:black; mso-bidi-font-weight:bold"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(一)依法合规原åˆ?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">上市公司实施员工持股计划,应当严格按照法律、行政法规的规定履行程序,真实、准确、完整、及时地实施信息披露。任何人不得利用员工持股计划进行内幕交易、操纵证券市场等证券欺诈行为ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(二)自愿参与原åˆ?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">上市公司实施员工持股计划应当遵循公司自主决定,员工自愿参加,上市公司不得以摊派、强行分配等方式强制员工参加本公司的员工持股计划ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(三)风险自担原åˆ?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">员工持股计划参与人盈亏自负,风险自担,与其他投资者权益平等ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">二、员工持股计划的主要内容</span></span></span><span style="font-size:15.0pt;font-family:黑体;mso-hansi-font-family:黑体;color:black; mso-bidi-font-weight:bold"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(四)员工持股计划是指上市公司根据员工意愿,通过合法方式使员工获得本公司股票并长期持有,股份权益按约定分配给员工的制度安排。员工持股计划的参加对象为公司员工,包括管理层人员ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(五)员工持股计划的资金和股票来æº?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">1. </span>员工持股计划可以通过以下方式解决所需资金ï¼?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">ï¼?span lang="EN-US">1</span>)员工的合法薪酬;(<span lang="EN-US">2</span>)法律、行政法规允许的其他方式ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">2. </span>员工持股计划可以通过以下方式解决股票来源ï¼?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">ï¼?span lang="EN-US">1</span>)上市公司回购本公司股票;(<span lang="EN-US">2</span>)二级市场购买;ï¼?span lang="EN-US">3</span>)认购非公开发行股票;(<span lang="EN-US">4</span>)股东自愿赠与;ï¼?span lang="EN-US">5</span>)法律、行政法规允许的其他方式ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(六)员工持股计划的持股期限和持股计划的规模</span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">1. </span>每期员工持股计划的持股期限不得低äº?span lang="EN-US">12</span>个月,以非公开发行方式实施员工持股计划的,持股期限不得低于<span lang="EN-US">36</span>个月,自上市公司公告标的股票过户至本期持股计划名下时起算;上市公司应当在员工持股计划届满å‰?span lang="EN-US">6</span>个月公告到期计划持有的股票数量ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">2. </span>上市公司全部有效的员工持股计划所持有的股票总数累计不得超过公司股本总额çš?span lang="EN-US">10%</span>,单个员工所获股份权益对应的股票总数累计不得超过公司股本总额çš?span lang="EN-US">1%</span>。员工持股计划持有的股票总数不包括员工在公司首次公开发行股票上市前获得的股份、通过二级市场自行购买的股份及通过股权激励获得的股份ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(七)员工持股计划的管理</span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">1. </span>参加员工持股计划的员工应当通过员工持股计划持有人会议选出代表或设立相应机构,监督员工持股计划的日常管理,代表员工持股计划持有人行使股东权利或者授权资产管理机构行使股东权利ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">2. </span>上市公司可以自行管理本公司的员工持股计划,也可以将本公司员工持股计划委托给下列具有资产管理资质的机构管理:(<span lang="EN-US">1</span>)信托公司;ï¼?span lang="EN-US">2</span>)保险资产管理公司;ï¼?span lang="EN-US">3</span>)证券公司;ï¼?span lang="EN-US">4</span>)基金管理公司;ï¼?span lang="EN-US">5</span>)其它符合条件的资产管理机构ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">3. </span>上市公司自行管理本公司员工持股计划的,应当明确持股计划的管理方,制定相应的管理规则,切实维护员工持股计划持有人的合法权益,避免产生上市公司其他股东与员工持股计划持有人之间潜在的利益冲突ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">4. </span>员工享有标的股票的权益;在符合员工持股计划约定的情况下,该权益可由员工自身享有,也可以转让、继承。员工通过持股计划获得的股份权益的占有、使用、收益和处分的权åˆ?span lang="EN-US">,</span>可以依据员工持股计划的约定行使;参加员工持股计划的员工离职、退休、死亡以及发生不再适合参加持股计划事由等情况时,其所持股份权益依照员工持股计划约定方式处置ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">5. </span>上市公司委托资产管理机构管理本公司员工持股计划的,应当与资产管理机构签订资产管理协议。资产管理协议应当明确当事人的权利义务,切实维护员工持股计划持有人的合法权益,确保员工持股计划的财产安全。资产管理机构应当根据协议约定管理员工持股计划,同时应当遵守资产管理业务相关规则ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">6. </span>员工持股计划管理机构应当为员工持股计划持有人的最大利益行事,不得与员工持股计划持有人存在利益冲突,不得泄露员工持股计划持有人的个人信息ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">7. </span>员工持股计划管理机构应当以员工持股计划的名义开立证券交易账户。员工持股计划持有的股票、资金为委托财产,员工持股计划管理机构不得将委托财产归入其固有财产。员工持股计划管理机构因依法解散、被依法撤销或者被依法宣告破产等原因进行清算的,委托财产不属于其清算财产ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">三、员工持股计划的实施程序及信息披éœ?/span></span></span><span style="font-size:15.0pt;font-family:黑体;mso-hansi-font-family:黑体;color:black; mso-bidi-font-weight:bold"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(八)上市公司实施员工持股计划前,应当通过职工代表大会等组织充分征求员工意见ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(九)上市公司董事会提出员工持股计划草案并提交股东大会表决,员工持股计划草案至少应包含如下内容:</span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">1. </span>员工持股计划的参加对象及确定标准、资金、股票来源;<span lang="EN-US">2. </span>员工持股计划的存续期限、管理模式、持有人会议的召集及表决程序ï¼?span lang="EN-US">3. </span>公司融资时员工持股计划的参与方式ï¼?span lang="EN-US">4. </span>员工持股计划的变更、终æ­?span lang="EN-US">,</span>员工发生不适合参加持股计划情况时所持股份权益的处置办法ï¼?span lang="EN-US">5. </span>员工持股计划持有人代表或机构的选任程序ï¼?span lang="EN-US">6. </span>员工持股计划管理机构的选任、管理协议的主要条款、管理费用的计提及支付方式;<span lang="EN-US">7. </span>员工持股计划期满后员工所持有股份的处置办法;<span lang="EN-US">8. </span>其他重要事项ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">非金融类国有控股上市公司实施员工持股计划应当符合相关国有资产监督管理机构关于混合所有制企业员工持股的有关要求ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">金融类国有控股上市公司实施员工持股计划应当符合财政部关于金融类国有控股上市公司员工持股的规定ã€?/span></span></span><span lang="EN-US" style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;mso-bidi-font-weight:bold"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十)独立董事和监事会应当就员工持股计划是否有利于上市公司的持续发展,是否损害上市公司及全体股东利益,公司是否以摊派、强行分配等方式强制员工参加本公司持股计划发表意见。上市公司应当在董事会审议通过员工持股计划草案后的<span lang="EN-US">2</span>个交易日内,公告董事会决议、员工持股计划草案摘要、独立董事及监事会意见及与资产管理机构签订的资产管理协议ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十一)上市公司应当聘请律师事务所对员工持股计划出具法律意见书,并在召开关于审议员工持股计划的股东大会前公告法律意见书。员工持股计划拟选任的资产管理机构为公司股东或股东关联方的,相关主体应当在股东大会表决时回避;员工持股计划涉及相关董事、股东的,相关董事、股东应当回避表决;公司股东大会对员工持股计划作出决议的,应当经出席会议的股东所持表决权的半数以上通过ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312"><span style="color:black"><span lang="EN-US"><o:p></o:p></span></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十二)股东大会审议通过员工持股计划å?span lang="EN-US">2</span>个交易日内,上市公司应当披露员工持股计划的主要条款ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十三)采取二级市场购买方式实施员工持股计划的,员工持股计划管理机构应当在股东大会审议通过员工持股计划å?span lang="EN-US">6</span>个月内,根据员工持股计划的安排,完成标的股票的购买。上市公司应当每月公告一次购买股票的时间、数量、价格、方式等具体情况ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">上市公司实施员工持股计划的,在完成标的股票的购买或将标的股票过户至员工持股计划名下的<span lang="EN-US">2</span>个交易日内,以临时公告形式披露获得标的股票的时间、数量等情况ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十四)员工因参加员工持股计划,其股份权益发生变动,依据法律应当履行相应义务的,应当依据法律履行;员工持股计划持有公司股票达到公司已发行股份总数çš?span lang="EN-US">5%</span>时,应当依据法律规定履行相应义务ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十五)上市公司至少应当在定期报告中披露报告期内下列员工持股计划实施情况ï¼?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">1. </span>报告期内持股员工的范围、人数;<span lang="EN-US">2. </span>实施员工持股计划的资金来源;<span lang="EN-US">3. </span>报告期内员工持股计划持有的股票总额及占上市公司股本总额的比例;<span lang="EN-US">4. </span>因员工持股计划持有人处分权利引起的计划股份权益变动情况;<span lang="EN-US">5. </span>资产管理机构的变更情况;<span lang="EN-US">6. </span>其他应当予以披露的事项ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt; font-family:仿宋_GB2312;mso-hansi-font-family:仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:31.2pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">四、员工持股计划的监管</span></span></span><span style="font-size:15.0pt;font-family:黑体;mso-hansi-font-family:黑体;color:black; mso-bidi-font-weight:bold"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十六)除非公开发行方式外,中国证监会对员工持股计划的实施不设行政许可,由上市公司根据自身实际情况决定实施ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十七)上市公司公布、实施员工持股计划时,必须严格遵守市场交易规则,遵守中国证监会关于信息敏感期不得买卖股票的规定,严厉禁止利用任何内幕信息进行交易ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十八)中国证监会对上市公司实施员工持股计划进行监管,对利用员工持股计划进行虚假陈述、操纵证券市场、内幕交易等违法行为的,中国证监会将依法予以处罚ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;border:none;mso-border-alt: none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(十九)法律禁止特定行业公司员工持有、买卖股票的,不得以员工持股计划的名义持有、买卖股票ã€?/span></span></span><span style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312;color:black"><span lang="EN-US"><o:p></o:p></span></span></p> </div> <p class="MsoNormal" style="text-indent:33.2pt;mso-char-indent-count:2.0; line-height:27.0pt;mso-line-height-rule:exactly;tab-stops:392.4pt"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;">(二十)证券交易所在其业务规则中明确员工持股计划的信息披露要求;证券登记结算机构在其业务规则中明确员工持股计划登记结算业务的办理要求ã€?/span></span></span><span lang="EN-US" style="mso-bidi-font-size:15.0pt;font-family:仿宋_GB2312;mso-hansi-font-family: 仿宋_GB2312"><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:392.4pt"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></span></p> <p class="MsoNormal" style="line-height:6.0pt;mso-line-height-rule:exactly"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></span></p> <p class="MsoNormal" style="line-height:6.0pt;mso-line-height-rule:exactly"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:27.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other;border:none; mso-border-alt:none black 0cm;padding:0cm;mso-padding-alt:0cm 0cm 0cm 0cm"> </p> <p class="MsoNormal" style="text-indent:14.25pt;mso-char-indent-count:.86; line-height:17.0pt;mso-line-height-rule:exactly;tab-stops:47.55pt 63.4pt; layout-grid-mode:char;mso-layout-grid-align:none"> </p> <p class="MsoNormal" style="text-indent:14.25pt;mso-char-indent-count:.86; line-height:17.0pt;mso-line-height-rule:exactly;tab-stops:47.55pt 63.4pt; layout-grid-mode:char;mso-layout-grid-align:none"><span style="font-family:宋体,sans-serif;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></span></p> </div> </div> </div> <div class="contArticle_bot_Artpage"> <span 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