股权激励计划方案生效之后，无论是上市公司还是非上市公司，均已进入了股权激励计划的授予及行权程序。对上市公司而言，在股权激励计划生效之后，公司还应持相关文件到证券交易所办理信息披露事宜，到证券登记结算机构办理有关登记结算事宜。除了信息披露之外，无论是上市公司还是非上市公司，均需按照以下程序完成股权激励计划的授予及行权程序。

After the equity incentive plan came into effect, both listed companies and non listed companies have entered the grant and exercise procedures of the equity incentive plan. For listed companies, after the equity incentive plan takes effect, the company shall also hold relevant documents to handle information disclosure at the stock exchange and registration and settlement at the securities registration and settlement institution. In addition to information disclosure, both listed companies and non listed companies need to complete the grant and exercise procedures of equity incentive plan in accordance with the following procedures.

公司向激励对象授予股权激励标的并签署《股权激励授予协议书》。公司将一定数量的股票期权、限制性股票、认股权等股权激励标的授子激励对象时，公司应与激励对象签署《股票期权授予协议书》、《限制性股票授予协议书》以及《认股权授予协议书》等等，以此约定双方的权利义务关系。《股票期权授予协议书》、《限制性股票授予协议书》以及《认股权授予协议书》也可以作为授出股权激励的证明文件，一般应载明姓名、身份证号码、住所、通信方式、编号、调整情况记录、行权情况记录、各种签章、协议日期、有关注意事项等。

The company grants the object of equity incentive to the incentive object and signs the equity incentive grant agreement. When the company grants a certain number of stock options, restricted stocks, stock options and other equity incentive targets to the incentive objects, the company shall sign the stock option grant agreement, restricted stock grant agreement and stock option grant agreement with the incentive objects to agree on the rights and obligations of both parties. The stock option grant agreement, the restricted stock grant agreement and the stock option grant agreement can also be used as the supporting documents for the grant of equity incentive. Generally, the name, ID card number, address, means of communication, number, adjustment records, exercise records, various signatures and seals, agreement date and relevant precautions shall be specified.

2.激励对象签署《激励对象承诺书》，确认《激励对象的具体考核责任》，明确欲实现股权激励计划需要公司达到的业绩条件，了解股权激励计划的相关制度。

2. The incentive objects sign the letter of commitment of incentive objects, confirm the specific assessment responsibilities of incentive objects, clarify the performance conditions that the company needs to meet to realize the equity incentive plan, and understand the relevant systems of the equity incentive plan.

3.激励对象在股权激励计划方案规定的等待期内为公司努力工作，实现公司的业绩目标，以达到行权条件;激励对象遵守公司股权激励相关制度，以便符合激励对象行权资格，等待行权。

3. The incentive object works hard for the company within the waiting period specified in the equity incentive plan to achieve the company's performance objectives and meet the exercise conditions; The incentive object shall abide by the relevant system of equity incentive of the company, so as to meet the exercise qualification of the incentive object and wait for the exercise.

4.股权激励计划等待期满，如果公司达到了股权激励计划方案约定的行权条件，并且激励对象通过了股权激励计则的绩效考核，则微励对象可以申请行权。激励对象在可行权日或者行权窗口期内以《行权申请书》向公司确认行权的数量和价格，并交付相应的行权(购股)款项。《行权申请书》一般应救明行权的数量，行权价以及股权激励标的持有者的交易信息等。

4. When the waiting period of the equity incentive plan expires, if the company meets the exercise conditions agreed in the equity incentive plan and the incentive object passes the performance appraisal of the equity incentive plan, the micro incentive object can apply for exercise. The incentive object shall confirm the exercise quantity and price to the company with the exercise application on the exercise date or within the exercise window, and deliver the corresponding exercise (share purchase) payment. Generally, the exercise application shall specify the exercise quantity, exercise price and transaction information of the holders of equity incentive targets.

5.董事会经过审核确认，按激励对象申请行权数量向激励对象授予股权激励标的利益。根据股权激励计划的不同，股权激励标的利益各不相同，其可能是股票，也可能是现金。对于上市公司而言，董事会审核确认后，还需要证券交易所确认，激励对象还要去证券登记结算机构办理登记结算事宜。

5. After examination and confirmation, the board of directors grants equity incentive target interests to incentive objects according to the number of exercise applied by incentive objects. According to different equity incentive plans, the subject interests of equity incentive are different, which may be stocks or cash. For listed companies, after the review and confirmation of the board of directors, they also need to be confirmed by the stock exchange, and the incentive objects also need to go to the securities registration and settlement institution to handle the registration and settlement matters.

6.股权激励计划等待期满，如果公司达不到股权激励计划方案约定的行权条件，行权条件不成就，则该期股权激励计划取消，全部激励对象均被取消行权资格;如果公司达到了股权激励计划方案约定的行权条件，但是个别激励对象考核不合格，则对该个别激励对象取消本期股权激励，其他激励对象可以行权。

6. When the waiting period of the equity incentive plan expires, if the company fails to meet the exercise conditions agreed in the equity incentive plan and the exercise conditions are not met, the equity incentive plan will be cancelled and all incentive objects will be disqualified; If the company meets the exercise conditions agreed in the equity incentive plan, but the individual incentive object fails to pass the examination, the current equity incentive will be cancelled for the individual incentive object, and other incentive objects can exercise their rights.

股权激励计划的授予及行权程序相关内容就讲解到这里了，如果您还有想了解的知识点不妨直接关注我们的网站www.guquanzhanlue.com进行咨询吧。

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