有限责任公司对外股权转让法律问题研究

发布时间：2018-04-13 14:16

本文选题：有限责任公司 + 对外股权转让　；参考：《兰州大学》2017年硕士论文

【摘要】：自德国法学家首创有限责任公司以来,这种既具有资合性又具有人合性的新型经济组织形式迅速得到中小投资者的青睐,并成为最活跃的市场经济参与主体。投资者向有限责任公司投入资金,作为对价,投资者获得该公司相应的股权。股权作为一种新型独立民事权利,既包括自益权又包括共益权,既包括财产权又包括参与管理权。作为一种投资方式,股权的财产收益与风险并存,而在公司法严格禁止股东抽逃出资的情况下,股权转让成为股东避免收益减损的重要途径。但是,我国《公司法》1对违反“需经过其他股东过半数同意”等法定程序进而损害其他股东优先购买权的对外股权转让的合同效力未作出明确规定,亦未对对外股权转让生效时间作出规定,导致实务中对该类案件的司法裁判观点不一致,对出让股东、公司外受让人、其他股东和公司的利益横平没有较统一的标准。因此,研究该问题并提出有效建议具有重要性和紧迫性。本文包括三章:第一章主要阐述有限责任公司股东资格、股东权利和股权转让的含义以及三者之间的关系,对外股权转让时其他股东优先购买权的性质,及其与股东同意权和新股优先认购权的关系,研究重点是基于有限责任公司资合性和人合性,股权自由转让原则和限制转让原则如何协调,因不履行法定程序损害股东优先购买权国内外相关法律的考察;第二章的研究内容是损害其他股东优先购买权的对外股权转让合同效力认定,作者通过引入近年来实务中有关该类纠纷的案例,分析认定合同无效、可撤销和相对有效各观点的理论优势和不足,进而指出该类问题产生的背景和原因,研究重点是针对目前法律规定不明确、司法裁判不一致提出作者的完善建议,即应当认定未履行法定程序进而损害其他股东优先购买权的股权转让合同是有效合同,其他股东可以通过行使优先购买权而不是撤销权,直接代替公司外第三人概括承受合同的权利义务;第三章研究内容为有限责任公司对外股权转让生效时间,主要述及国内外对有限责任公司股权转让生效时间的立法规定,通过分析相关案例,阐述“变更工商登记时”、“变更股东名册时”以及“转让合同生效时”各观点的理论优势和不足,进而指出该现象产生的背景和原因,研究重点是针对目前法律规定不明确、司法裁判不一致提出作者的完善建议,即出让股东与公司外受让人签订的股权转让合同生效之后,出让股东向受让人交付背书的出资证明书之时,股权转让生效,由此可以实现新旧股东权利的“无缝衔接”,还可以减少出让股东“一股多卖”引起的法律纠纷。
[Abstract]:Since the German jurist pioneered the limited liability company, this new type of economic organization, which has both capital and human nature, has been favored by small and medium-sized investors quickly, and has become the most active main body of market economy participation.The investor invests funds to the limited liability company, as the consideration, the investor obtains the corresponding equity in the company.As a new kind of independent civil right, equity includes both self-interest right and co-beneficial right, including property right and participation in management.As an investment mode, the property income and risk of equity exist side by side. However, under the circumstance that shareholders are strictly prohibited from withdrawing capital contribution, equity transfer has become an important way for shareholders to avoid the loss of income.However, there is no clear stipulation on the validity of the contract of foreign equity transfer, which violates the statutory procedures such as "the consent of more than half of the other shareholders" and damages the preemption right of other shareholders.There is also no provision on the effective time of foreign equity transfer, which leads to inconsistent views on the judicial judgment of such cases in practice, and there is no uniform standard for the transfer shareholders, the transferee outside the company, other shareholders and the company.Therefore, it is important and urgent to study this problem and put forward effective suggestions.This paper includes three chapters: the first chapter mainly expounds the qualification of shareholders of limited liability companies, the meaning of shareholders' rights and equity transfer, and the relationship between them, the nature of other shareholders' preemptive rights when they are transferred to foreign countries.The research focuses on how to coordinate the principle of free transfer of equity and the principle of restriction of transfer, based on the combination of limited liability company's capital and people, the principle of free transfer of shares and the principle of restricting transfer.An investigation of the relevant laws at home and abroad concerning the prior purchase right of shareholders due to the failure to perform the statutory procedures; the second chapter focuses on the determination of the validity of the foreign equity transfer contract which damages the preemption rights of other shareholders.By introducing the cases of this kind of disputes in practice in recent years, the author analyzes the theoretical advantages and disadvantages of finding that the contract is invalid, revocable and relatively effective, and points out the background and causes of this kind of problems.The focus of the study is to put forward the author's suggestion that the transfer contract of shares which fails to fulfill the legal procedure and damages the prior purchase right of other shareholders should be regarded as a valid contract in view of the unclear legal provisions and inconsistent judicial decisions.Other shareholders may directly replace the rights and obligations of the third party outside the company by exercising the preemption right rather than the revocation right. Chapter III deals with the effective time of the transfer of foreign equity of a limited liability company.It mainly deals with the domestic and foreign legislation on the effective time of the transfer of limited liability company's shares, and through the analysis of relevant cases, it expounds "when changing the registration of industry and commerce",The theoretical advantages and disadvantages of the views of "changing the register of shareholders" and "when the transfer contract takes effect", and then pointing out the background and reasons for this phenomenon, the focus of the research is on the lack of clarity of the current legal provisions.The judicial decision is inconsistent with the author's suggestion, that is, after the transfer contract signed between the transferor and the transferee outside the company becomes effective, the transfer will take effect when the transferring shareholder delivers the investment certificate endorsed by the transferee to the transferee.This can realize the "seamless connection" of the rights of new and old shareholders, and reduce the legal disputes caused by "one share overselling".
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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