【作者】 朱锐；

【导师】 沈贵明；

【作者基本信息】 华东政法大学 ， 经济法学， 2008， 硕士

【摘要】 本文由导言、正文和结语三部分组成。导言部分阐述了股东资格认定理论和立法的现状及存在的不足,以股权转让为例强调股权变动中股东资格认定问题的复杂性和重要性,说明本文写作的初衷和主旨。正文有四个部分。第一部分介绍了股东资格的基本概念,区别了狭义上股东资格和股东地位的定义,指出使用股东资格概念时应作应然性股东资格和实然性股东资格的区分。解析股东资格的创设过程,阐明其在公司设立和运营中的地位和作用,明确了公司架构下取得股东资格的要件。鉴于股东资格是享有和行使股权的基础,对股东资格的定性分析也应该被列为股东资格认定的内容之一。最后,本部分还对境外股东资格立法进行了简要介绍和比较法分析。第二部分着重分析的内容是股权变动与股东资格的关系。介绍了股权在立法和实践中的具体含义和股权的性质之后,先后分析了股东资格与股东、股权逻辑联系和股权变动对于各利益关系人的影响,为下文在兼顾公司各方利益关系人的前提下确定股东资格认定基本原则打下理论铺垫。此外,对股权转让、公司增减资和股份回购与股东资格的关系进行了分别论述。第三部分的主要内容是讨论一般股权变动的股东资格认定问题,总结了认定股东资格时应当适用的原则和具体规则。从对股权变动程序的法理分析和股东资格的相关证据形式的分类讨论两方面入手,结合考虑股权变更对各方利益主体和市场安全的影响确定了股东资格的认定原则,明确了各类证据的证明效力层次,确定了在一般股权变动情况下认定股东资格所应当遵循的规则。第四部分是在前文总结的一般股权变动的股东资格认定规则的基础上,从特殊股权变动类型和特殊性质股权这两个方面进一步深入研究股权变动时的股东资格认定问题,着重分析了由于离婚和继承而引起的股权分割以及股权赠与的股东资格认定问题,同时根据股权性质的不同分别对涉及国有股和外资股的股东资格认定所需适用的特别规则进行了探讨。结语部分概括了正文的主要内容,总结了整篇文章的基本观点。更多还原

【Abstract】 The theory of the shareholders’qualification is not so advanced in the legislation system and academic researches. The benefits of multi-parties which are strongly affected by the operation of companies depend on the qualificatory identification of the shareholders. The author writes this thesis in order to conclude principles and rules which are applied to identify the shareholders’qualification in the process of equity alteration.In the first part, the conceptions of shareholders’qualification and changes in equity are introduced on a understanding level of the legal status of corporation. The author analyzes the creation and the acquirement of the shareholders’qualification in the structure of corporation systems. Furthermore, the foreign legislations and theories are introduced to give a comparable legal analysis.The second part is mainly about the relation between the equity changes and shareholders’qualification. A research on the essential characteristics is given to build up the theoretical basis for the following research. After that, the author elaborates the logical relations of shareholders’qualification, shareholders and equity. In the situations of equity transfers, capital changes and equity purchase by the corporation, the influences on the shareholders’qualification are discussed respectively.The equity transfer, the most common way in the equity alteration, is the main focus of the analysis. The principles of identification are summarized on the basis of the essence of business transaction and other commercial fundamentals. In the process of equity transfer, there are various evidences which can prove the shareholders’qualification. On the basis of researching the characters of the evidences, the author reached the rules to identify the shareholders’qualification.At last, the thesis expounds the identification of shareholders’qualification in four special types of equity changes. The identification in equity changes which happens in the situations of marriage, heritage and donation should be counted in both the company law and the peculiarities of these civil events. When dealing with the state-owned and foreign equity, the principles and rules of identification should be affected by the corresponding regulation systems of the special equity management besides the common shareholders’qualification rules.更多还原