T/SSFSIDC 021-2024 Guidelines for comprehensive employee stock option services

Scope

Scope: This document establishes the general principles and requirements for the non-public offering, registration and custody, transfer, and exercise of stock warrants through a comprehensive service platform for stock warrants. This document applies to stock warrant-related business activities and provides a reference basis for all market participants, including but not limited to the target enterprises, stock warrant holders, qualified investors, and service institutions. Main Technical Content: 1. Scope 2. Normative Reference Documents 3. Terms and Definitions 4. Non-Public Offering of Stock Warrants 4.1 Requirements for Subjects of Non-Public Offering of Stock Warrants 4.2 Requirements for Qualified Investors 4.3 Process of Non-Public Offering 5. Registration and Custody of Stock Warrants 5.1 General Provisions 5.2 Initial Registration 5.3 Registration of Changes for Non-Final Exercise 5.4 Cancellation Registration 6. Transfer of Stock Warrants 6.1 General Provisions 6.2 One-way Auction Transfer 6.3 Agreement Transfer (Information Disclosure) 6.4 Non-Public Agreement Transfer (No Information Disclosure) 6.5 Information Disclosure 7. Exercise of Stock Warrants 7.1 Exercise Subjects 7.2 Exercise Methods 7.3 Registration of Changes 8. Dispute Resolution Appendix A (Informational) - Application for Non-Public Offering of Stock Warrants (by the Target Enterprise) Appendix B (Informational) - Application for Non-Public Offering of Stock Warrants (by the Target Enterprise's Shareholders) Appendix C (Informational) - Non-Public Offering of Stock Warrants Plan Appendix D (Informational) - Application for Registration and Custody of Stock Warrants Appendix E (Informational) - Register of Stock Warrant Holders Appendix F (Informational) - Certificate of Stock Warrant Holders' Rights Appendix G (Informational) - Application for Transfer of Stock Warrants (One-way Auction and Online Agreement Transfer) Appendix H (Informational) - Application for Transfer of Stock Warrant

Development Information

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