有限责任公司股东优先购买权制度探究

发布时间：2018-04-20 06:44

本文选题：有限责任公司 + 股东优先购买权　；参考：《山东大学》2017年硕士论文

【摘要】：为了维护有限责任公司的人合性,法律为有限责任公司股东对外转让股权行为设置的一个配套的限制性制度,即有限责任公司股东优先购买权制度。这一制度脱胎于大陆法系的先买权制度,在有限责任公司股东进行外部股权转让时能有效的保护老股东的利益,有利于维护公司的稳定。在1993年《公司法》的基础上,现行《公司法》有关于有限责任公司股东优先购买权制度的规定有了进一步发展。本文即主要围绕现行《公司法》的相关规定进行了深入探究。虽然现行《公司法》比起1993年《公司法》第35条等相关规定有较大进步,但是其规定仍然较为笼统,有限责任公司的股东优先购买权制度在理论和实践界均存在许多争议。最高院最近原则通过适用的《公司法》司法解释(四)中有关股东优先购买权的规定,也明确了理论和实践中的几个热点问题的处理方案,笔者也将在各个部分予以讨论。本文除引言和结语部分,论文主体主要分为七章分别论述股东优先购买权产生的原因,有关于其性质的各种学说和争论,以及对第71、72条之内容的分析:第一章分别从股份有限公司和有限责任公司性质差别、股权的性质、以及维护有限责任公司组织形式的角度说明了股权有限购买权制度产生的原因和必要性。第二章简要介绍了关于股东优先购买权性质形成的几种主要学说,主要有"期待权说","请求权说","附条件形成权说"和"形成权说"等,笔者分别对各个学说的优缺点进行了简要分析。虽然司法解释四肯定了出让股东的反悔权,实际上否定了形成权说,但笔者通过分析,仍然认为"形成权说"更符合股权优先购买权的性质。第三章至第六章分析了《公司法》第71条、第72条规定的主要内容,主要包括以下几个方面:股东的同意制度,同等条件的确定标准,强制执行程序中股权被拍卖时优先购买权如何行使,以及公司章程自治的具体内涵等等。第七章简要提出了两条恶意行使优先购买权的救济措施。有限责任公司的股东优先购买权制度体现了法律在面临利益冲突时的平衡各方利益、维护社会公平和稳定的制度价值。在学界争议和司法实践中,有关我国股东优先购买权制度规定的缺陷被一一指出,需要在立法和司法过程中不断进行完善,而不断修改的《公司法》规定和司法解释四的出台,也见证了立法界立法技术的进步和立法理念的更新,在各方的努力下,我国公司法正越来越完美适应其在社会主义市场经济中应当扮演的角色。
[Abstract]:In order to maintain the personality of a limited liability company, the law sets up a supporting restrictive system for the shareholders to transfer their shares to foreign countries, that is, the system of shareholders' preemption right of limited liability company. This system is originated from the civil law system, which can effectively protect the interests of the old shareholders and help to maintain the stability of the company when the shareholders of limited liability companies transfer their external shares. On the basis of the Company Law in 1993, the current Company Law has further developed the system of shareholders' preemptive right of limited liability company. This article mainly focuses on the relevant provisions of the current Company Law. Although the present Company Law has made great progress compared with Article 35 of the 1993 Company Law, its provisions are still relatively general, and the system of shareholders' preemption right in limited liability companies is controversial both in theory and in practice. The most recent principles of the Supreme Court have been adopted in the applicable judicial interpretation of Company Law (4) concerning the shareholders' preemptive right, as well as the solutions to several hot issues in theory and practice, which the author will discuss in each part. In addition to the introduction and conclusion, the main body of this paper is divided into seven chapters to discuss the causes of shareholders' preemption right, and there are various theories and arguments about its nature. And an analysis of the contents of Article 71- 72: the first chapter deals with the nature of limited stock companies and limited liability companies, the nature of equity, And maintenance of limited liability company form of organization point of view to explain the ownership of limited purchase right system causes and necessity. The second chapter briefly introduces several main theories about the nature of shareholders' preemption right, such as "right of expectation", "theory of claim", "theory of conditional forming right" and "theory of forming right". The author makes a brief analysis of the advantages and disadvantages of each theory. Although the judicial explanation four affirms the reneging right of the transfering shareholders, in fact it negates the theory of formation right, the author still thinks that the "formative right theory" accords with the nature of the preemption right of stock right through the analysis. The third to sixth chapters analyze the main contents of Article 71 and Article 72 of the Company Law, including the following aspects: the system of shareholders' consent, the criteria for the determination of equal conditions, How to exercise the preemptive right when the shares are auctioned in the enforcement procedure, and the specific connotation of the autonomy of the articles of association and so on. Chapter 7 briefly puts forward two relief measures for maliciously exercising preemptive right. The system of shareholders' preemptive right of limited liability company embodies the system value of balancing the interests of all parties in the face of conflict of interest and safeguarding social fairness and stability. In academic disputes and judicial practice, the defects of the system of shareholders' preemption rights in China have been pointed out one by one, which need to be perfected in the process of legislation and judicature, while the provisions of the Company Law and the judicial interpretation four are constantly revised. It also witnessed the progress of legislative technology and the renewal of legislative ideas. With the efforts of all parties, the company law of our country is becoming more and more perfect for the role it should play in the socialist market economy.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.291.91

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