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MBA毕业论文_丰控股核心员工股权激励方案的优化策略研究PDF

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随着资本市场发展及相关法律法规的完善,为了激发员工的积极性,越来越 多的企业实行了股权激励计划。股权激励作为长期的激励措施以及薪酬结构的重 要组成部分,通过授予核心员工一定比例的本公司股权,从而有效地实现公司与 核心员工利益共享和风险共担。论文的研究对象顺丰控股股份有限公司是一家国 内领先的综合物流企业,2017年和2018年,公司以股票增发的方式,对核心员工 分别授予了两期限制性股票。但推出该股权激励方案后,公司却出现了经营业绩 下滑、员工满意度降低等问题。因此,解析顺丰控股核心员工股权激励方案存在 的问题或不足并有的放矢地加以优化,是企业人力资源激励需要迫切解决的管理 难题。 论文基于上述背景开展研究,首先在文献研读的基础上,以委托代理理论、 人力资本理论和股权激励理论为指导,在描述顺丰控股核心员工股权激励现状的 背景下,通过问卷调查和访谈的方式诊断和发现现阶段核心员工股权激励存在的 问题及其原因,从而通过系统化的归纳推演,科学设计出顺丰控股核心员工股权 激励方案的优化策略和保障措施。 论文研究结论认为,上市公司对核心员工实施股权激励是非常必要的,能激 发核心员工的主动性和创造力,并实现公司战略目标和个人价值的双赢局面。但 是,一个科学有效的股权激励计划,必须和公司发展战略、发展阶段相适应,并 需要从多个维度评估人力资本的价值,包括价值贡献和未来潜力,以此来设定激 励份额。此外,还需要科学地设定可行权条件,以体现激励和约束的统一。 因此,论文的研究成果不仅可以为顺丰控股激励和保留核心员工的管理难题 提供破解的路径,而且可以为同业和上市民营企业股权激励方案的科学性、实用 性提供有益的理论指导和实践借鉴。 关键词:顺丰控股,核心员工,股权激励,优化策略 MBA学位论文 顺丰控股核心员工股权激励方案的优化策略研究 II RESEARCH ON OPTIMIZATION STRATEGY OF EQUITY INCENTIVE PROGRAM FOR CORE STAFF OF S.F. HOLDING CO., LTD. Abstract With the development of the capital market and the improvement of relevant laws and regulations, in order to stimulate the enthusiasm of employees, more and more companies have implemented equity incentive plans. Equity incentives are an important part of long-term incentive measures and compensation structures. By granting core employees a certain percentage of the company's equity, the company can effectively share the benefits and risks of the company with core employees. The research object of the thesis is S.F. Holdings Co., Ltd., a leading comprehensive logistics company in China. In 2017 and 2018, the company granted two restricted shares of restricted stock to core employees in the form of additional stock issuance. However, after the launch of the equity incentive plan, the company experienced problems such as declining operating performance and decreasing employee satisfaction. Therefore, analyzing the existing problems or deficiencies of S.F. Holdings 'core employees' equity incentive plan and optimizing them in a targeted manner is a management problem that needs to be urgently solved for corporate human resource incentives. Based on the above background, the thesis conducts research. Firstly, based on literature research, it is guided by principal-agent theory, human capital theory, and equity incentive theory. Under the background of describing the current situation of equity incentives of S.F. Holdings' core employees, the diagnosis and Discovering the problems and reasons of core employee equity incentives at the current stage, through systematic induction and deduction, scientifically designed the optimization strategy and guarantee measures of S.F. Holdings' core employee equity incentive plans. The research conclusion of this paper is that it is very necessary for listed companies to implement equity incentives for core employees, which can stimulate core employees' initiative and creativity, and achieve a win-win situation for the company's strategic goals and personal value. However, a scientific and effective MBA学位论文 顺丰控股核心员工股权激励方案的优化策略研究 III equity incentive plan must be compatible with the company's development strategy and development stage, and it needs to evaluate the value of human capital from multiple dimensions, including value contribution and future potential, in order to set the incentive share. In addition, it is necessary to scientifically set the conditions of the feasible rights to reflect the unity of incentives and constraints. Therefore, the research results of the thesis can not only provide a solution to the management difficulties of S.F. Holdings in motivating and retaining core employees, but also provide useful theoretical guidance and practical reference for the scientific and practical equity incentive schemes of peers and private enterprises. Keywords: S.F. Holding, core employees, equity incentive, optimization strategy MBA学位论文 顺丰控股核心员工股权激励方案的优化策略研究 IV 目 录 中文摘要 ................................................. I Abstract ................................................. II 第一章 前言 .............................................. 1 1.1 研究背景与核心问题 .......................................... 1 1.1.1 研究背景............................................... 1 1.1.2 核心问题............................................... 2 1.2 研究内容与研究方法 .......................................... 2 1.2.1 研究内容............................................... 2 1.2.2 研究方法............................................... 3 1.3 研究框架与技术路线 .......................................... 3 1.3.1 研究框架............................................... 3 1.3.2 技术路线............................................... 4 1.4 研究意义与创新 .............................................. 6 1.4.1 研究意义............................................... 6 1.4.2 创新之处............................................... 6 第二章 相关理论与研究综述 ................................ 8 2.1 基本概念和基本要素 .......................................... 8 2.1.1 基本概念............................................... 8 2.1.2 股权激励的基本要素..................................... 8 2.1.3 运作流程.............................................. 11 2.2 股权激励相关理论 ........................................... 11 2.2.1 委托代理理论.......................................... 11 2.2.2 人力资本理论.......................................... 12 2.2.3 股权激励理论.......................................... 12 2.3 股权激励效果评价和设计的研究综述 ........................... 12 2.3.1 股权激励效果评价...................................... 12 2.3.2 股权激励设计.......................................... 14 MBA学位论文 顺丰控股核心员工股权激励方案的优化策略研究 V 2.4 研究现状评述 ............................................... 15 第三章 顺丰控股核心员工股权激励方案的现状 ............... 16 3.1公司概述.................................................... 16 3.1.1 基本概况.............................................. 16 3.1.2 业务板块.............................................. 17 3.1.3 组织架构.............................................. 19 3.1.4 员工情况.............................................. 21 3.2 核心员工股权激励方案概述 ................................... 22 3.2.1 第一期股权激励方案.................................... 22 3.2.2 第二期股权激励方案.................................... 23 3.2.3 第二期股权激励方案预留部分介绍........................ 24 3.2.4 两期股权激励方案比较.................................. 25 第四章 顺丰控股核心员工股权激励方案的评价和诊断 ......... 27 4.1诊断的设计与实施............................................ 27 4.1.1 诊断目标.............................................. 27 4.1.2 问卷调查的组织和实施.................................. 27 4.2 股权激励方案现存问题 ....................................... 28 4.2.1 问卷数据的统计分析.................................... 28 4.2.2 股权激励方案现存问题.................................. 30 4.3 股权激励方案现存问题的归因 ................................. 31 4.3.1 访谈结果分析.......................................... 31 4.3.2 股权激励方案现存问题的归因............................ 32 第五章 顺丰控股核心员工股权激励方案的优化策略 ........... 34 5.1 优化目标与思路 ................................