办理股权转让手续 公司岂可袖手旁观

办理股权转让手续 公司岂可袖手旁观 发布时间:2008-12-31 07:34:08 公司拒绝协办股权转让手续 善意受让人提起诉讼获得法院支持 本报讯 8年前，两名韩国男子各自出资一半在山东省威海市成立公司，7年后一人倦于经营要求转让股权时，另一人却不但拒绝收购，而且还把持公司，拒绝协助办理股权转让手续，最终导致上述股权的善意受让人陷入进退两难的境地。近日，山东省威海市中级人民法院对这桩涉外纠纷作出判决，涉案公司被判协助善意受让人向有关机关办理股权转让等审批手续。 2000年3月，韩国人朴某和金某分别投资7.5万美元在荣成市成立了一家主营业务为农牧开发的外商独资企业，二人各占50%股权，朴某担任董事长，金某担任总经理，董事会由朴某、金某及另一名韩国男子组成。公司成立后的运营过程中，因朴某的事业重心位于德国境内并长期居住在德国，农牧公司实际上一直由朴某负责打理，公司业绩相当不错。 2007年下半年，无暇顾及农牧公司事务的朴某决定处理掉自己的股权，并于当年9月底以书面形式向金某通知了股权转让事宜。通知书中，朴某要求自己的股权作价7.5万美元。10月中旬，朴某派代分别召集并召开农牧公司股东会和董事会会议，最终作出决议:“金某应于2007年10月28日前作出是否接happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 受股权的决定;如接受，在递交接受股权的请求时，还应交付股权转让金;股权转让时，两个股东应相互协助办理股权转让的法律手续。” 上述期限内，金某一直没有作出是否接受股权的回应。11月中旬，朴某派代表与韩国女子秋某签订了股权转让，将自己所持的农牧公司股权转让给了秋某，秋某随后全额向朴某支付了7.5万美元股权转让金。 事后，秋某向金某控制的农牧公司发出协助办理股权转让登记手续通知，农牧公司不予理睬。朴某就股权转让事宜报送荣成市对外贸易经济合作局审批后，荣成市对外贸易经济合作局于今年1月发函通知:由于申请中缺少农牧公司的批准证书、公章及营业执照复印件，本局因此暂不能办理相关手续。 陷入两难境地的秋某只能选择将农牧公司告到法院。 威海中院作出上述一审判决后，农牧公司没有上诉，判决生效。 (宋 光 马绪福) 图片说明 股东之间的股权纠纷甚至诉讼案件，因为常常涉及新的法律问题日益受到司法实务界、学术界的关注。同 时，随着传播方式的快捷方便和多样化，相关法律知识的普及和热点问题的探讨也在加强、拓展。图为以法律服务为宗旨的股权转让网首页。安 静 摄 当事人说 原告:优先购买权被放弃 被告:转让未经法定程序 宋 光 马绪福 原告秋某诉称，其与朴某签订股权转让协议之前，朴某已经按照有关程序通知了金某。事后，金某既没有在法定期限内作出是否购买股权的回应，也没有支付股权转让金。按照有关法律规定，金某的上述行为应视为放弃优先购买权。因此，其与朴某之间的股权转让协议符合有关法律规定，属于有效合同。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 同时，根据外资企业法的相关规定，涉外企业外方股权转让及章程变更等法律事务，必须经过有关机关批准。原告受让股权后，申请有关机关批准时，因金某把持公司，拒绝提供农牧公司的批准证书、公章及营业执照复印件，导致审批机关无法审查批准。因此，原告受让股权而未能获得有关机关批准的原因，完全系金某设置障碍所致。 另外，金某为了阻止原告的股权受让行为，还以虚构的事实起诉朴某，导致法院查封了朴某的股权，其行为完全违背了诚信原则。退一步讲，如果金某与朴某之间确实存在金钱纠纷，那金某理应在股东会及董事会上明确提出。鉴于金某事前不置一词，事后又凭空阻挠，其行为明显不妥。 因此，原告请求法院判令农牧公司协助办理股权转让等手续，并承担相应诉讼费用。 被告农牧公司则辩称原告所述与事实不符，原告股权转受让行为没有经过法定程序，转让无效。 首先，股东会和董事会决议中均特别声明，两名股东应共同指定会计师对公司资产进行审计，以确定最终的股权转让价格。但是，事后因朴某没有支付审计费，导致审计活动没有实质进行，进而也就无法确定股权转让价格。 其次，金某与朴某之间确实存在金钱纠纷，金某已向法院提起诉讼，并申请查封了朴某的股权。因此，朴某在未经法院许可的情况下处分被封股权，其行为当然无效。 第三，原告与朴某之间的股权转让协议未经有关审批机关的批准，根据公司章程及有关法律规定，该协议属于无效合同。 为此，农牧公司请求法院驳回原告的诉讼请求。 连线法官 股权转让合法 公司应予协办 宋 光 马绪福 本案宣判后，主审法官赵欣对判决理由予以了解答。赵欣认为，本案主要有两个争议焦点，一是朴某转让股权的行为是否侵犯了金某的优先购买权，二是农牧公司应否协助原告办理审批手续。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 就本案第一个焦点，赵欣说，由于转让人转让股权时严格按照公司法的相关规定办理，且在案件审理过程中，法院已经以查无实据为由驳回金某对朴某的起诉，因此合议庭认定农牧公司的抗辩理由显属无理。 本案的审理重点是上述第二个焦点，即农牧公司应否协助原告办理审批手续。为此，合议庭重点讨论了未经审批登记的外资企业股权转让合同是否有效、公司在转让合同中应承担何种形式的责任等两个问题。 赵欣说，合议庭审理后认为，工商登记材料显示，农牧公司的股东分别系朴某和金某二人。根据《中华人民共和国公司法》第七十二条之规定，有限责任公司的股东向股东以外的人转让股权，应就股权转让事项书面通知其他股东征求同意，其他股东自接到书面通知之日起满30日未答复的，视为同意转让;经股东同意转让的股权，在同等条件下，其他股东有优先购买权。 本案中，股权转让人朴某已经履行了对金某的书面通知义务，而且事发前董事会及股东会均就股权转让事宜及催促金某行使优先权事宜作出了明确决议。因此，农牧公司提出的股权转让价格未经审计的事实侵犯了金某优先购买权的抗辩理由，合议庭认定没有事实和法律依据，法院不应予以支持。 合议庭另认为，朴某与原告秋某之间的股权转让合同，虽然系双方真实意思表示，而且也没有违反国家法律法规的禁止性规定，但是，根据《中华人民共和国外资企业法》的相关规定，外资企业股东转让股权时，应取得有关审批机关批准方能生效。本案中，鉴于办理审批手续所需有关材料均由农牧公司掌握，有关审批机关的复函也表明，没有办理审批手续的原因系农牧公司没有提供相关材料所致，合议庭因此认定，涉案股权转让协议未能生效的原因，完全系农牧公司阻挠所致。 基于上述分析和判断，合议庭最终支持了原告秋某要求农牧公司协助办理股权转让相关审批手续的诉讼请求。 背景知识 股权转让 股权转让制度，是现代公司制度最为成功的表现之一。近年来，随着我国市场经济体制的建立，国有企业改革及公司法的实施，股权转让成为企业募集资本、产权流动重组、资源优化配置的重要形式，由此引发的纠纷也最为常见。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 股权转让协议，是当事人以转让股权为目的而达成的关于出让方交付股权并收取价金，受让方支付价金得到股权的意思表示。股权转让是一种物权变动行为，股权转让后，股东基于股东地位而对公司所发生的权利义务关系全部同时移转于受让人，受让人因此成为公司的股东，取得股东权。 根据我国合同法第四十四条第一款的规定，股权转让合同自成立时生效。但是，股权转让合同的生效并不当然等同于股权转让生效。股权转让合同的生效是指对合同当事人产生法律约束力的问题，股权转让的生效是指股权何时发生转移，即受让方何时取得股东身份的问题。因此，必须关注股权转让协议签订后的适当履行问题。 简单说来，有限责任公司的股权转让时，受让人即使签订了股权转让合同，且合同已经生效，在公司为其履行股东名册登记变更程序之前，尚不能认定其已取得了股东资格。只有在公司股东名册变更并进行工商变更登记之后，新老股东的交替才在法律上真正完成，并具有了社会公示性。 股份有限公司股权转让的情况有所不同，其股权转让合同生效，受让人即取得公司股权。合同当事人为记名股东的，应通知公司办理股东名册登记变更。 另外特别需要说明的是，上述登记变更手续具有宣示性或对抗性，是受让人保护自身权利，对抗公司或第三人最有效的手段，实践中一定要予以高度重视，千万不能因一时的手续繁琐而留下隐患。 (宋 光 马绪福) 法规链接 《中华人民共和国外资企业法》 第十条 外资企业分立、合并或者其他重要事项变更，应当报审查批准机关批准，并向工商行政管理机关办理变更登记手续。 《中华人民共和国公司法》 第七十二条 有限责任公司的股东之间可以相互转让其全部或者部分股权。 股东向股东以外的人转让股权，应当经其他股东过半数同意。股东应就其股权转让事项书面通知其他股东征求同意，其他股东自接到书面通知之日起满三十日未答复的，视为同意转让。其他股东半数以上不同意转让的，不同意的股东应当购买该转让的股权;不购买的，视为同意转让。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 经股东同意转让的股权，在同等条件下，其他股东有优先购买权。两个以上股东主张行使优先购买权的，协商确定各自的购买比例;协商不成的，按照转让时各自的出资比例行使优先购买权。 公司章程对股权转让另有规定的，从其规定。 《中华人民共和国合同法》 第四十四条 依法成立的合同，自成立时生效。 法律、行政法规规定应当办理批准、登记等手续生效的，依照其规定。 第一百二十六条 涉外合同的当事人可以选择处理合同争议所适用的法律，但法律另有规定的除外。涉外合同的当事人没有选择的，适用与合同有最密切联系的国家的法律。 在中华人民共和国境内履行的中外合资经营企业合同、中外合作经营企业合同、中外合作勘探开发自然资源合同，适用中华人民共和国法律。 新闻链接 股权转让应登记 拒不履行输官司 股东转让股权后却不进行股权变更登记，双方为此对簿公堂。近日，这起股权转让纠纷在江苏省连云港市尘埃落定。 2007年5月22日，根据东海东方热电有限公司第二届第二次股东会决议，甲方徐剑锋与乙方陕西安创化工材料有限公司签订一份股权转让协议:甲方将拥有的东海东方热电有限公司的54%股份折合人民币270万元，转让给乙方;甲乙双方签字生效后，甲方不再享有股东权利，不再履行股东义务，乙方开始享有股东权利，履行股东义务。协议签订后，徐剑锋没有履行股权变更登记手续。陕西安创化工材料有限公司为此将徐剑锋和东海东方热电有限公司告上法庭。 东海县法院为此作出一审判决，判令被告徐剑锋、东海东方热电有限公司履行原告陕西安创化工材料有限公司54%股权的工商变更登记手续，并同时向原告交付东海东方热电有限公司的经营证照及相关。 一审判决后，被告徐剑锋、东海东方热电有限公司提出上诉。二审法院驳回上诉，维持原判。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 公司章程要遵守 除名条款获支持 公司成立时，章程中特别设置了“除名条款”，即公司股东退休前因被免职不再担任领导干部时，必须将所持股权转让给其他股东。近日，江苏省镇江市京口区人民法院就审结一起因“除名条款”而引发的股权纠纷案件，法院一审判决被告刘文斌将持有的公司股权转让给赵玉强;赵玉强在受让上述股权的同时给付刘文斌股权转让款14万元及相应利息;公司在上述股权转让后三日内，对股东名册、出资证明作相应的变更。 2005年10月，江苏省镇江市某化工集团公司的经营层及中层干部共同投资设立了一家投资有限公司。投资公司成立时，公司章程中特别规定，股东退休前因被免职而不再担任化工集团中层干部时，必须将所持股权转让给化工集团的主要经营者，五年内转让价为出资额加银行同期同档存款利息。 投资公司成立时，时为化工集团所属分公司经理的刘文斌，出资14万元成为该公司股东。2006年8月，化工集团解除了刘文斌分公司经理的职务后，化工集团董事长赵玉强要求刘文斌将持有的股权转让给自己，遭到刘文斌拒绝。为此，赵玉强将刘文斌告上法院。 法院经审理后，作出上述判决。 隐名股东想转正 公司被判办手续 依法受让股权后，公司却以董事会尚未形成决议为名，拒绝办理股东变更登记手续。为此，股权受让者将公司起诉到法院，要求法院依法确认其股东身份，并判令公司依法办理股东变更登记手续。近日，上海市静安区人民法院对此案作出判决，股权受让者的诉讼请求全部获得支持。 1993年12月，上海华侨服务中心、中国银行上海信托咨询公司、上海华侨商务(国际)有限公司共同出资，设立了具有中外合资企业性质的华侨总汇公司，其中上海华侨服务中心持有25%的股权。2005年4月，上海华侨服务中心与上海咨达实业有限公司及另外两家公司签订股权转让协议，将其持有的华侨总汇公司的25%的股权转让给了咨达公司等3家公司，其中咨达公司享有其中5%的股权。事后，四方在上海联合产权交易所办理了产权转让交割手续。 happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party 2007年5月，咨达公司等3家公司要求华侨总汇公司办理相关股东登记手续。华侨总汇公司复函表 示，股东变更登记手续须经董事会讨论通过，因目前董事会形成决议存在一定困难，因此无法办理股东变 更登记手续。 今年4月中旬，咨达公司向法院提起诉讼，要求法院确认自己的股权，并要求法院判令华侨总汇公司 依法为其办理股东变更登记手续。 (宋 光 马绪福) happiness XX made active contribution. The afternoon of April 21, the city's "two" educational Working Conference. Thoroughly study and apply the XI series of important speech, General Secretary of the Conference, especially on "two to learn a" learn the spirit of the important instructions of the education, in accordance with the deployment requirements of Central and provincial Committee, the city "two" education work arrangements. Mu Weimin, Secretary of municipal party Committee, attended the meeting and spoke. Following party of mass line education practice activities, and "three strict three real" topic education zhihou, in all members in the carried out "two learn a do" learning education, reflected has central linked, and step step in-depth advance full strictly rule party of political set force, is continued strengthening party of thought political construction of major deployment, is advance full strictly rule party to grass-roots extends of important initiatives, is promoted party education normal of, and institutionalized of important practice, is advance reform development stable the work of important guarantee. "Two" study and education, is to make each Member party rules India in the party Constitution, series XI, General Secretary of spirit and transformed into a powerful ideological weapon, and comprehensively improve the ideological and political quality, further enhance political par core awareness, situation awareness, awareness, awareness, and further enhance the creativity, rallying power and combat capability of the party organizations at all levels. Is to promote the inner-party education to all party