Self-Inspection Checklist for Equity Incentive Plan
Company Name: Sihui Fushi
Stock Code: 300852
| No. | Item | Compliance Requirement for Listed Companies | Whether the Item Applies (Yes/No/Not Applicable) | Remarks |
|---|
| 1 | Whether the financial accounting report for the most recent fiscal year was audited by a certified public accountant with a qualified or unable-to-express opinion | No | | |
| 2 | Whether the financial reporting internal control for the most recent fiscal year was audited by a certified public accountant with a qualified or unable-to-express opinion | No | | |
| 3 | Whether the company has had instances of not distributing profits in accordance with laws, regulations, and articles of association, or public commitments within 36 months after listing | No | | |
| 4 | Whether there are other circumstances unsuitable for implementing equity incentives | No | | |
| 5 | Whether a performance appraisal system and appraisal methods have been established | Yes | | |
| 6 | Whether loans or other financial assistance have been provided to incentive plan participants | No | | |
Incentive Plan Compliance Requirements
| No. | Item | Compliance Requirement for Listed Companies | Whether the Item Applies (Yes/No/Not Applicable) | Remarks |
|---|
| 7 | Whether the plan includes shareholders, beneficial owners, or their spouses, parents, children, or foreign employees who individually or collectively hold more than 5% of the company's shares; if so, whether the necessity and reasonableness of these individuals becoming incentive plan participants are explained | Yes | | |
| 8 | Whether independent directors are included as incentive plan participants | No | | |
| 9 | Whether the incentive plan participant has been identified as unsuitable by the stock exchange within the last 12 months | No | | |
| 10 | Whether the incentive plan participant has been identified as unsuitable by the China Securities Regulatory Commission (CSRC) and its local branches within the last 12 months | No | | |
| 11 | Whether the incentive plan participant has been subject to administrative penalties or market entry bans by the CSRC and its local branches due to major violations of laws and regulations within the last 12 months | No | | |
| 12 | Whether the incentive plan participant has circumstances that prevent them from serving as a director or senior management member as stipulated by the "Company Law" | No | | |
| 13 | Whether there are other circumstances unsuitable for becoming an incentive plan participant | No | | |
| 14 | Whether the list of incentive plan participants has been verified by the Remuneration and Appraisal Committee | Yes | | |
Equity Incentive Plan Compliance Requirements
| No. | Item | Compliance Requirement for Listed Companies | Whether the Item Applies (Yes/No/Not Applicable) | Remarks |
|---|
| 15 | Whether the total number of underlying shares involved in all equity incentive plans of the company that are currently in effect exceeds 20% of the company's total share capital | No | | |
| 16 | Whether the total number of shares granted to a single incentive plan participant exceeds 1% of the company's total share capital | No | | |
| 17 | Whether the proportion of reserved options in the equity incentive plan does not exceed 20% of the total number of equity incentives to be granted in the current plan | Yes | | |
| 18 | Whether the names, positions, and number of granted shares are specified in the equity incentive plan draft for incentive plan participants who are directors, senior management, shareholders or beneficial owners who individually or collectively hold more than 5% of the company's shares, or their spouses, parents, children, or foreign employees | Yes | | |
| 19 | Whether performance appraisal indicators have been established as conditions for incentive plan participants to exercise their rights, for directors and senior management | Yes | | |
| 20 | Whether the term of the equity incentive plan, calculated from the grant date, does not exceed 10 years | Yes | | |
| 21 | Whether the equity incentive plan draft was prepared by the Remuneration and Appraisal Committee | Yes | | |