Company Name: Shenzhen Lianyu Optoelectronics Co., Ltd.
Stock Abbreviation: Lianyu Shares
Stock Code: 001326
Independent Financial Advisor: None
| No. | Item | Exists (Yes/No/Not Applicable) | Remarks |
|---|
| 1 | Has the financial accounting report for the most recent accounting year not received a negative opinion or inability to express an opinion from the auditor? | Yes | |
| 2 | Has the internal control of the financial report for the most recent accounting year not received a negative opinion or inability to express an opinion from the auditor? | Yes | |
| 3 | Has there been no instance in the last 36 months post-listing of profit distribution not complying with laws, regulations, company articles, or public commitments? | Yes | |
| 4 | Are there no other circumstances unsuitable for implementing equity incentives? | Yes | |
| 5 | Has a performance assessment system and assessment methods been established? | Yes | |
| 6 | Have no loans or any form of financial assistance been provided to the incentive objects? | Yes | |
Compliance Requirements for Incentive Objects
| No. | Item | Exists (Yes/No/Not Applicable) | Remarks |
|---|
| 7 | Does not include shareholders or actual controllers holding 5% or more of the company's shares, and their spouses, parents, or children? | Yes | |
| 8 | Does not include independent directors? | Yes | |
| 9 | Has not been deemed an inappropriate candidate by the stock exchange in the last 12 months? | Yes | |
| 10 | Has not been deemed an inappropriate candidate by the China Securities Regulatory Commission (CSRC) or its agencies in the last 12 months? | Yes | |
| 11 | Has not been administratively punished or subjected to market entry restrictions by the CSRC or its agencies in the last 12 months due to major violations? | Yes | |
| 12 | Does not fall under the circumstances prohibiting individuals from serving as directors or senior management as per the Company Law? | Yes | |
| 13 | Are there no other circumstances unsuitable for becoming incentive objects? | Yes | |
| 14 | Has the incentive list been verified by the Compensation and Assessment Committee? | Yes | |
Compliance Requirements for the Incentive Plan
| No. | Item | Exists (Yes/No/Not Applicable) | Remarks |
|---|
| 15 | Has the total number of shares involved in all effective equity incentive plans not exceeded 10% of the company's total equity? | Yes | |
| 16 | Has the total number of shares granted to a single incentive object through all effective equity incentive plans not exceeded 1% of the company's total equity? | Yes | |
| 17 | Has the reserved rights ratio for incentive objects not exceeded 20% of the number of rights to be granted in this equity incentive plan? | Not Applicable | |
| 18 | If the incentive objects are directors or senior management, does the draft equity incentive plan specify their names, positions, and granted quantities? | Not Applicable | |
| 19 | If the incentive objects are directors or senior management, have performance assessment indicators been established as conditions for exercising rights? | Not Applicable | |
| 20 | Has the validity period of the equity incentive plan from the first grant of rights not exceeded 10 years? | Yes | |
| 21 | Has the draft equity incentive plan been prepared by the Compensation and Assessment Committee? | Yes | |