【摘要】：股東設(shè)立公司之后,不可以隨意抽回出資,所以股東如果要想退出公司,能選擇的方式只有解散公司或者轉(zhuǎn)讓股權(quán)了。而解散公司面臨的程序十分復雜,對社會經(jīng)濟的影響也比較大,所以轉(zhuǎn)讓股權(quán)成了股東退出公司最好的方式。股權(quán)的對外轉(zhuǎn)讓無疑會導致轉(zhuǎn)讓股東的退出和新股東的加入,從而影響股東之間的穩(wěn)定合作關(guān)系和公司經(jīng)營管理模式、運營狀況等,所以就必須對股東對外轉(zhuǎn)讓股權(quán)作出限制,股東優(yōu)先購買權(quán)制度就是其中的一種限制手段。本文共分為四個章節(jié)。 第一章是股東優(yōu)先購買權(quán)的討論范圍。股權(quán)的對外轉(zhuǎn)讓包括正常轉(zhuǎn)讓和非正常轉(zhuǎn)讓。正常轉(zhuǎn)讓是指轉(zhuǎn)讓股東向股東以外的第三人發(fā)出轉(zhuǎn)讓股權(quán)的要約,然后雙方協(xié)商股權(quán)轉(zhuǎn)讓的具體條件,履行各自的權(quán)利義務(wù)。非正常轉(zhuǎn)讓包括法院強制執(zhí)行、股權(quán)的繼承、夫妻共同財產(chǎn)的分割、新股的購買、股權(quán)的贈與等。本文只討論股權(quán)的外部轉(zhuǎn)讓中的正常轉(zhuǎn)讓。 第二章討論的是股東優(yōu)先購買權(quán)的法律性質(zhì)。某種權(quán)利的行使、效力、救濟等等都與該權(quán)利的法律性質(zhì)息息相關(guān),界定股東優(yōu)先購買權(quán)的法律性質(zhì)意義重大。股東優(yōu)先購買權(quán)是期待權(quán)、自益權(quán)、形成權(quán)。 第三章是股東優(yōu)先購買權(quán)的價值基礎(chǔ)和設(shè)立原則。股東優(yōu)先購買權(quán)的價值表現(xiàn)在維護有限責任公司的人合性、保護股東的既得利益和合理預期、節(jié)約交易成本和促進經(jīng)濟運行效率、平衡各方當事人利益。它的設(shè)立原則主要是股東自治原則和安全效率平衡原則。 第四章是本文的重點章節(jié),討論的是我國股東優(yōu)先購買權(quán)制度的進步和完善。2005年修訂后的《公司法》無論是在指導思想方面還是在具體規(guī)定方面,都有了一定的改變和進步,但是對于日新月異的公司實踐和司法審判來說,仍然存在很多缺陷。比如權(quán)利主體規(guī)定不明確、通知的事項表達不清、同等條件的模糊、缺乏部分行使問題的規(guī)定、行使期限的不明確、責任追究機制的缺失等,本文都對這些缺陷作了初步探討,擬根據(jù)我國公司實踐和司法審判,借鑒世界各國公司立法的相關(guān)規(guī)定,對我國股東優(yōu)先購買權(quán)制度的完善給出自己的拙見。
[Abstract]:After the shareholders set up the company, they can't withdraw their capital at will, so if the shareholders want to withdraw from the company, the only way they can choose is to dissolve the company or transfer the shares. The procedure of dissolving the company is very complicated and has a great impact on the society and economy, so the transfer of equity becomes the best way for shareholders to withdraw from the company. The transfer of shares to foreign countries will undoubtedly lead to the withdrawal of transferring shareholders and the addition of new shareholders, thus affecting the stable cooperative relationship between shareholders, the mode of operation and management of the company, the operating conditions, and so on. Therefore, it is necessary to restrict the transfer of shares by shareholders to other countries. The system of shareholders' preemption right is one of the restrictive measures. This paper is divided into four chapters. The first chapter is the scope of discussion of shareholders' preemption right. Foreign equity transfer includes normal transfer and abnormal transfer. Normal transfer means that the shareholders of the transfer offer to the third party other than the shareholders, and then the two sides negotiate the specific conditions of the transfer of equity and fulfill their respective rights and obligations. Abnormal transfer includes court enforcement, equity inheritance, division of matrimonial property, purchase of new shares, donation of shares, etc. This article only discusses the normal transfer in the external transfer of equity. The second chapter discusses the legal nature of shareholders' preemption right. The exercise, effect, relief and so on of certain rights are closely related to the legal nature of the right. It is of great significance to define the legal nature of the right of shareholders' preemption. Shareholders' preemption right is the right of expectation, right of self-interest and right of formation. The third chapter is the value basis and establishment principle of shareholder's preemption right. The value of shareholders' preemption rights lies in maintaining the human harmony of limited liability companies, protecting the vested interests and reasonable expectations of shareholders, saving transaction costs and promoting economic operation efficiency, and balancing the interests of all parties concerned. Its establishment principle is mainly the principle of shareholder autonomy and the principle of balance of safety and efficiency. The fourth chapter is the key chapter of this paper, which discusses the progress and perfection of the system of shareholders' preemption right in China. The revised Company Law in 2005 has made some changes and progress in both the guiding ideology and the specific provisions. However, there are still many defects in the company practice and judicial trial. For example, the provisions of the main body of rights are not clear, the matters of notification are not clearly expressed, the same conditions are vague, the provisions of partial exercise problems are lacking, the duration of exercise is not clear, the mechanism of accountability is not clear, and so on. This article has made a preliminary discussion on these defects. According to the company practice and judicial trial in our country and the relevant provisions of the company legislation in the world, the author gives his own views on the perfection of the system of the shareholders' preemption right in our country.
【學位授予單位】：華東政法大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D922.291.91

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