2013年1月16日，全国中小企业股份转让系统于北京建立,又被成为“新三板”。新三板主要服务于中小企业，是针对非上市公众公司提供股权转让的全国交易系统。为了建立一套符合《全国中小企业股份转让系统业务规则（试行）》要求的现代企业制度，中小企业往往需要一年左右的时间进行挂牌准备。而股权结构和董监高制度作为公司改革的两大项目，伴随着整个挂牌准备阶段。因此，如何明确股权、任免董监高，成为拟挂牌企业亟需研究的问题。 本文采用规范研究和案例研究的方法，应用作者在申万宏源承销保荐有限公司取得的内部核查资料，具体研究河南恒瑞淀粉科技股份有限公司挂牌准备阶段股权结构变动、董监高人员变动、股权激励平台，为新三板拟挂牌企业提供参考。

On Jan.16, 2013, the National Equities Exchange and Quotations， also known as “ new third board”, was established in Beijing. NEEQ mainly serves the medium-sized and small enterprises as a national trading system aimed at providing stock right transfer for unlisted public companies. To set up a modern enterprise system complying the National Equities Exchange and Quotations Regulations, the medium-sized and small enterprises spend about one year to prepare for being listed. Actually, as two main project for the reform of the company, the structure for shareholding and the system for directors, supervisors, and senior management personnel always last for the entire preparation period. Consequently, how to deal with the shareholding right and how to dismiss and appoint directors, supervisors, and senior management personnel are demanding projects for the companies preparing for being listed. In this paper, the standard research and case analysis are combined. With the internal examination documents the author got from Shenwan -Hongyuan Securities, this paper analyzes how the Henan Hengrui Starch Technology Company Limited undertook shareholding structure, dismiss and appoint directors, supervisors, and senior management personnel and stockholder's rights drive when the company was preparing for being listed. And at the same time, this paper aims at setting Henan Hengrui Starch Technology Company Limited as an example to provide reference for other companies.