【摘要】：股權(quán)是股東在公司中享有的各項權(quán)利的總稱,具有財產(chǎn)的性質(zhì),作為適格的擔(dān)保標(biāo)的,已被各國法律所普遍認(rèn)可,并應(yīng)用于質(zhì)押制度之中。隨著市場經(jīng)濟(jì)的發(fā)展,當(dāng)代股權(quán)質(zhì)押制度應(yīng)運而生。股權(quán)質(zhì)押為債務(wù)人或第三人以其享有處分權(quán)的股權(quán)為擔(dān)保,將股權(quán)證明轉(zhuǎn)移為債權(quán)人占有,或以法律規(guī)定的方式予以公示,將股權(quán)質(zhì)押于債權(quán)人以保證其自己或他人債務(wù)得以履行,當(dāng)債權(quán)的全部或部分無法實現(xiàn)時,債權(quán)人得將債務(wù)人用以擔(dān)保的股權(quán)折價或拍賣,并就所得價款優(yōu)先受償?shù)闹贫�。我國《公司法》將公司的類別規(guī)定為股份有限公司和有限責(zé)任公司兩大類,本文重點介紹有限責(zé)任公司的股權(quán)質(zhì)押制度。 全文約三萬字,共分為四個部分： 第一部分：股權(quán)質(zhì)押及其特殊性。這一部分從股權(quán)質(zhì)押的概念著手,并將股權(quán)質(zhì)押與動產(chǎn)質(zhì)押、權(quán)利抵押、讓與擔(dān)保三個容易與股權(quán)質(zhì)押混淆的概念進(jìn)行辨析,將股份有限公司和有限責(zé)任公司的股權(quán)質(zhì)押制度作為一個整體進(jìn)行介紹,引出股權(quán)質(zhì)押的風(fēng)險性、權(quán)利性、效益性三個特征,并強(qiáng)調(diào)股權(quán)質(zhì)押之所以特殊,是因為其特殊的標(biāo)的——股權(quán)。然后論述股權(quán)的法律價值追求,包括安全價值、效率價值和公平價值。在本部分的最后一節(jié),將有限責(zé)任公司的股權(quán)質(zhì)押制度與股份有限公司的股權(quán)質(zhì)押制度在總體上的不同進(jìn)行對比,抽離有限責(zé)任公司股權(quán)質(zhì)押的特征,并明確有限責(zé)任公司的股權(quán)質(zhì)押按時間的順序分為設(shè)立、存續(xù)、實現(xiàn)三個階段。 第二部分：有限責(zé)任公司股權(quán)質(zhì)押的設(shè)立。從這一部分開始,正式論述有限責(zé)任公司股權(quán)質(zhì)押中的問題,介紹的同時將其與股份有限公司的股權(quán)質(zhì)押制度進(jìn)行對比。有限責(zé)任公司股權(quán)質(zhì)押的設(shè)立包括合同的簽訂與股權(quán)質(zhì)押的公示兩方面內(nèi)容。由于《擔(dān)保法》混淆了股權(quán)質(zhì)押的生效與股權(quán)質(zhì)押合同的生效,因此在本部分將對這一問題作以分析。有限責(zé)任公司在股權(quán)質(zhì)押設(shè)立時對出質(zhì)股東做了特別的限制,限制的力度等同于股權(quán)轉(zhuǎn)讓,筆者認(rèn)為這是不盡合理的,因此在本部分將會提出自己對這一問題的看法。有限責(zé)任公司股權(quán)質(zhì)押的公示方式是登記,但登記的同時意味著股權(quán)的占有由出質(zhì)股東轉(zhuǎn)移給了質(zhì)權(quán)人,這是由股權(quán)的特殊性決定的。 第三部分：有限責(zé)任公司股權(quán)質(zhì)押的存續(xù)。股權(quán)質(zhì)押的存續(xù)期間指股權(quán)質(zhì)押設(shè)立之后,實現(xiàn)之前的這一段期間。在此期間內(nèi),當(dāng)事人各方行使權(quán)利履行義務(wù)的主要依據(jù)是股權(quán)質(zhì)押合同。依據(jù)合同的約定及法律的規(guī)定,質(zhì)權(quán)人享有股權(quán)質(zhì)權(quán)的保全權(quán)、物上代位權(quán)、轉(zhuǎn)質(zhì)權(quán)、知情權(quán)、查閱權(quán)、獲得通知權(quán)等權(quán)利,并承擔(dān)對出質(zhì)人行使相應(yīng)股權(quán)的容忍、股權(quán)保管等相應(yīng)義務(wù)。出質(zhì)人享有出質(zhì)股權(quán)的表決權(quán)、新股優(yōu)先認(rèn)購權(quán),同時也承擔(dān)了不得處分股權(quán)、保值增值、股權(quán)價值下跌通知等義務(wù)。從整體上來講,出質(zhì)人與質(zhì)權(quán)人的權(quán)利義務(wù)是相互補(bǔ)充的,這是因為在這一階段,保障股權(quán)質(zhì)押關(guān)系的穩(wěn)定與安全是最為重要的,所以當(dāng)事人之間的權(quán)利義務(wù)需要相互制衡。 第四部分：有限責(zé)任公司股權(quán)質(zhì)押的實現(xiàn)。股權(quán)質(zhì)押之所以能夠起到擔(dān)保主債權(quán)的功能,其根本原因在于若主債權(quán)到期得不到履行,質(zhì)權(quán)人可將所質(zhì)押股權(quán)實現(xiàn),并就其價款優(yōu)先受償。雖然不能說股權(quán)質(zhì)押制度的目的就是股權(quán)質(zhì)押的實現(xiàn),但股權(quán)質(zhì)押的實現(xiàn)無疑是股權(quán)質(zhì)押制度的靈魂,這也是法律在股權(quán)質(zhì)押的設(shè)立及存續(xù)期間對當(dāng)事人各方作出諸多約束的原因所在。股權(quán)質(zhì)押的實現(xiàn)需要具備一定的條件,首先,股權(quán)質(zhì)押必須合法有效存在。其次,主債權(quán)清償期屆滿而未獲得清償或未獲得完全清償。再次,到期債權(quán)未受清償不可歸因于質(zhì)權(quán)人。以上三個條件必須同時滿足。在股權(quán)質(zhì)押實現(xiàn)的三種方式中,變賣更適用于有限責(zé)任公司。股權(quán)質(zhì)押實現(xiàn)的同時,也是債權(quán)人優(yōu)先受償權(quán)的實現(xiàn),而針對有限責(zé)任公司,股權(quán)轉(zhuǎn)讓時股東的優(yōu)先購買權(quán)是其區(qū)別于股份有限公司的重要特征,也是其人合性的體現(xiàn),筆者將在這一部分將股權(quán)質(zhì)押實現(xiàn)中的“兩個優(yōu)先權(quán)”單獨作以介紹。最后,將論述股權(quán)質(zhì)押實現(xiàn)中的一個特殊問題,公司破產(chǎn)對股權(quán)質(zhì)押實現(xiàn)的影響。
[Abstract]:With the development of the market economy , the creditor has to transfer the stock right into the creditor ' s possession , or in the manner prescribed by law , to convert the stock right into the creditor ' s possession , or to make public announcement in the manner prescribed by law . When the whole or part of the creditor ' s rights cannot be realized , the creditor shall convert the stock right into the creditor ' s possession , or make the auction of the stock right which is guaranteed by the debtor , and give priority to the resulting price .


The full text of about 30,000 words is divided into four parts :


In the last section of this part , we discuss the equity pledge system of the limited liability company and the equity pledge system of the limited liability company as a whole , draw out the characteristics of the equity pledge of the limited liability company and make clear that the stock pledge of the limited liability company is divided into three stages according to the order of time .


Part Two : The establishment of the equity pledge of the limited liability company . From this part , it formally discusses the problems in the stock pledge of the limited liability company , and compares it with the equity pledge system of the stock limited company . The establishment of the limited liability company ' s equity pledge includes the signing of the contract and the effect of the equity pledge contract .


The third part : The stock rights pledge of the limited liability company is continued . During this period , the principal basis for the realization of the rights of the parties is the equity pledge contract . According to the agreement and the law of the contract , the pledgee has the right to the right to pledge , the right to change , the right to change , the right to know , the value of the stock right and the notice of decline of equity value .


Fourth part : The realization of the equity pledge of limited liability company . The reason lies in that if the principal creditor ' s creditor ' s rights are not fulfilled , the quality right person can realize the pledged stock right , and it is the soul of the creditor ' s priority .
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D922.291.91

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前2條

1 彭莉;有限責(zé)任公司股權(quán)轉(zhuǎn)讓法律問題研究[D];南昌大學(xué);2012年

2 李珍珠;有限責(zé)任公司股權(quán)質(zhì)押制度研究[D];鄭州大學(xué);2013年

，

本文編號：2135053