股权激励是企业为了吸引、激励和留住核心人才而推行的一种长期激励机制。以下是关于股权激励的相关知识：

Equity incentive is a long-term incentive mechanism implemented by enterprises to attract, motivate, and retain core talents. The following is relevant knowledge about equity incentives:

定义与原理

Definition and Principle

企业有条件地给予激励对象部分或者全部的股东权益，使其与企业结成利益共同体，通过让员工获得公司股权，使其享有一定的经济权利，能够以股东身份参与企业决策、分享利润、承担风险，从而尽心尽力地为公司的长期发展服务。

Enterprises conditionally provide incentive targets with partial or full shareholder rights, forming a community of shared interests with the enterprise. By allowing employees to obtain company equity, they can enjoy certain economic rights, participate in corporate decision-making, share profits, and bear risks as shareholders, and thus wholeheartedly serve the long-term development of the company.

作用

role

建立利益共同体：使企业的管理者和关键技术人员成为企业的股东，个人利益与公司利益趋于一致，弱化二者之间的矛盾，形成企业利益的共同体。

Establishing a community of shared interests: making the managers and key technical personnel of the enterprise shareholders, aligning their personal interests with the interests of the company, weakening the contradictions between the two, and forming a community of shared interests for the enterprise.

业绩激励：管理人员和技术人员成为股东后，具有分享企业利润的权力，工作好坏会获得奖励或惩罚，这会提高他们的积极性、主动性和创造性。

Performance incentives: After becoming shareholders, management and technical personnel have the right to share the profits of the enterprise, and their work quality will be rewarded or punished, which will enhance their enthusiasm, initiative, and creativity.

约束经营者短视行为：对公司业绩的考核不仅关注本年度的财务数据，更关注公司将来的价值创造能力，从而约束经营者的短视行为。

Restricting short-sighted behavior of managers: The assessment of company performance not only focuses on the financial data of the current year, but also on the company's future value creation ability, thereby constraining short-sighted behavior of managers.

留住人才，吸引人才：让员工分享企业成长收益，增强归属感和认同感，提高员工离开公司或 “犯错误” 的成本，有利于企业留住人才；同时，为将来吸引新员工预留激励条件，对优秀人才具有很强的吸引力。

Retaining and attracting talent: allowing employees to share the benefits of company growth, enhancing their sense of belonging and identity, and increasing the cost of leaving the company or making mistakes can help companies retain talent; At the same time, reserving incentive conditions for attracting new employees in the future has a strong attraction to outstanding talents.

模式

mode

股票期权模式：公司经股东大会同意，将预留的已发行未公开上市的普通股股票认股权作为 “一揽子” 报酬中的一部分，以事先确定的某一期权价格有条件地无偿授予或奖励给公司高层管理人员和技术骨干，股票期权的享有者可在规定的时期内做出行权、兑现等选择。

Stock option model: With the approval of the shareholders' meeting, the company reserves the option rights of common stocks that have been issued but not yet publicly listed as part of a "package" of compensation, which is conditionally granted or rewarded to the company's senior management and technical backbone at a predetermined option price. The holder of the stock option can make choices such as exercise and redemption within a specified period of time.

股份期权模式：经公司出资人或董事会同意，公司高级管理人员可以群体形式获得公司 5%-20% 股权，其中董事长和经理的持股比例应占群体持股数的 10% 以上。经营者欲持股就必须先出资，一般不得少于 10 万元，而经营者所持股份额是以其出资金额的 1-4 倍确定。

Stock option model: With the consent of the company's investors or board of directors, senior management personnel can collectively acquire 5% -20% of the company's equity, with the chairman and manager holding more than 10% of the group's shares. If the operator wants to hold shares, they must first contribute capital, generally not less than 100000 yuan, and the amount of shares held by the operator is determined by 1-4 times the amount of their capital contribution.

虚拟股票期权模式：将奖金延期支付并转换成普通股票，这部分股票享有分红、转增股等权利，但在一定时期内不得流通，只能按规定分期兑现。资金来源于企业积存的奖励基金。

Virtual stock option model: The bonus is deferred and converted into ordinary stocks, which enjoy the rights of dividends, conversion into shares, etc., but cannot be traded for a certain period of time and can only be redeemed in installments according to regulations. The funds come from the incentive fund accumulated by the enterprise.

股票增值权模式：通过模拟认股权方式，获得由公司支付的公司股票在年度末比年度初的净资产的增值价差。激励对象没有所有权、表决权、配股权，操作方便、快捷。

Stock appreciation rights model: By simulating stock options, the price difference of the net asset appreciation of the company's stock paid by the company at the end of the year compared to the beginning of the year is obtained. The incentive objects do not have ownership, voting rights, or distribution rights, and the operation is convenient and fast.

设计原则

Design principles

共享共赢：作为股权激励的核心理念，既是目标也是原则，只有符合这一理念的方案才具有生命力。

Sharing and Win win: As the core concept of equity incentives, it is both a goal and a principle, and only solutions that conform to this concept have vitality.

个性化：制订方案时要充分考虑企业性质、行业特征、发展阶段、股权结构和激励对象等客观因素，量身定制符合企业实际状况的方案。

Personalization: When formulating a plan, it is necessary to fully consider objective factors such as the nature of the enterprise, industry characteristics, development stage, equity structure, and incentive targets, and tailor a plan that is in line with the actual situation of the enterprise.

制度化：股权激励作为公司顶层设计，必须可执行、可预期、可持续，以保护公司、股东以及经理人的权益。

Institutionalization: As a top-level design of a company, equity incentives must be executable, predictable, and sustainable to protect the rights and interests of the company, shareholders, and managers.

实施要点

Implementation points

包括定股（确定股份面值、总数、采用的激励模式等）、定人（明确激励对象范围，如具有潜在人力资源未开发、工作过程隐藏信息程度高、有专用性人力资本积累的人员，通常高级管理人员是重点对象）、定价（参照公平市场价原则，确定股权的授予价格）、定量（确定股权激励总量和个人授予量）、定时（设置行权限制期、行权有效期、禁售期等时间节点）等。

This includes fixed shares (determining the face value and total number of shares, incentive models adopted, etc.), fixed persons (clarifying the scope of incentive targets, such as personnel with undeveloped potential human resources, high degree of hidden information in the work process, and specialized human capital accumulation, usually senior management personnel are the key targets), pricing (determining the grant price of equity based on the principle of fair market price), quantitative (determining the total amount of equity incentives and individual grants), timed (setting time nodes such as exercise restriction period, exercise validity period, lock up period, etc.), etc.

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