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  本文選題：公司僵局　切入點：公司章程　出處：《中央民族大學》2011年碩士論文

【摘要】：我國公司以有限責任公司和股份有限公司為組織形式。有限責任公司的股東人數少、具有人合性,當股東之間利益發(fā)生沖突且所持股份相同或相近時,所形成的對峙局面就會使公司股東會無法做出決策或使董事會無法進行正常的管理從而產生公司僵局。從公司合同理論出發(fā),公司僵局的性質可以理解為根據包括公司章程在內的一系列合同在履行過程中出現的超出合意當事人特別是股東合理預期的一種運營障礙,這種障礙的出現嚴重影響了公司的目標,使公司合同當事人特別是股東的合理期待落空。 公司基本制度與公司僵局的產生有一定的關聯,這些基本制度包括公司的資本制度和表決制度。公司資本制度賦予持股相等或相近的股東以對峙的能力和途徑,這種對峙使股東會不能形成任何決策致使公司產生僵局；“一股一表決權”的股權平等原則要求在公司治理決策中實行資本多數決原則。該原則經由協(xié)議、專門的章程或細則所確定后,公司將服從多數決原則即持有多數表決股份者控制公司的策。為保護處于弱勢地位的股東的利益,公司法先后發(fā)展了累計投票權、表決權代理、表決權排除、限制多數股東表決權等制度,這些制度在弱化資本多數決剛性的同時,也會帶來新的問題,導致公司僵局產生。另外封閉公司自身的特征也是形成公司僵局的一個重要原因。公司章程制定粗糙也為公司僵局的形成埋下了隱患。 大陸法系國家和英美法系國家對于破解公司僵局都有相應的法律規(guī)定,也探索很多解決公司僵局的好的方式,我國《公司法》第183條也被大多數學者認為是關于解決公司僵局的法律規(guī)定,但是這條規(guī)定實際操作性并不強,還需要進一步的進行完善。 本文主體內容分為四個部分。 第一部分對公司僵局的基本概念進行了探討。通過比較分析國外以及我國學者對公司僵局的理解,本文對公司僵局給出了界定。同時該部分還介紹了公司僵局的特征以及分類。 第二部分是介紹公司僵局產生的原因和危害。該部分首先從四個方面分析了公司僵局產生的原因,指出有限責任公司的人合性和封閉性、公司的表決制度、小股東權益保護機制的負面影響以及公司章程制定粗糙都為公司僵局的產生買下了隱患。接下來該部分又從公司利益、股東利益、社會利益三方面出發(fā),闡述了公司僵局的危害。 第三部分討論了公司僵局的非司法救濟,指出應當強化公司章程的事前預防功能,通過事先在公司章程中對表決制度、股權轉讓機制以及僵局處理條款進行明確規(guī)定來實現對公司僵局的自我救濟。同時,該部分還提出運用調解和仲裁破解公司僵局,實現對公司僵局的社會救濟。 第四部分論述了公司僵局的司法救濟途徑,指出了司法介入公司僵局的理論基礎以及前提條件。該部分認為司法解散作為破解公司僵局的一種司法救濟措施已經獲得了很多國家的認可,我國《公司法》第183條也明確規(guī)定了將司法解散作為破解我國公司僵局的一種方法,但是該條規(guī)定過于籠統(tǒng),對于公司僵局司法解散制度的具體適用還需結合相關司法解釋以及學者觀點加以充實和完善。除了司法解散本文還介紹了公司僵局的替代性司法救濟措施�？v觀各國的立法和司法實踐,公司僵局的替代性救濟措施主要包括強制股權收購、第三方介入以及直接司法管理措施。目前我國的立法以及司法實踐對于公司僵局司法救濟的替代性救濟措施還幾乎是空白,結合國外經驗以及我國的實際國情,我們應該將強制股權收購和強制公司分立作為主要的替代性救濟措施加以完善。
[Abstract]:In the case of a limited liability company and a joint stock limited company as the organizational form , the shareholders of the limited liability company have fewer shareholders . When the interests of the shareholders are in conflict with each other and the shares held are the same or close , the company ' s shareholders will not be able to make decisions or make the board of directors unable to carry out normal management so as to create a company deadlock . From the company contract theory , the nature of the company deadlock can be understood as a kind of operational obstacle which exceeds the reasonable expectations of the parties , especially shareholders , in the performance of the performance of a series of contracts , including the articles of association of the company .


There is a certain relationship between the basic system of the Company and the deadlock of the Company . These basic systems include the capital system and voting system of the Company . The Company ' s capital system gives shareholders equal or similar shareholders the ability and means to face the stand - off , which makes the shareholders ' meeting unable to form any decision which causes the company to deadlock ;
In order to protect the interests of the shareholders in the vulnerable position , the Company has developed the system of accumulative voting rights , voting agent , voting exclusion and limitation of the voting rights of most shareholders .


Article 183 of the Law of the Continental Law and the Anglo - American law system has the corresponding legal provisions for the deadlock of the Company , and also explores a lot of good ways to solve the deadlock of the Company . Article 183 of the Company Law of China is also considered by most scholars as the legal provisions on resolving the deadlock of the Company , but the actual operability of this provision is not strong , and further improvement is required .


The main contents of this paper are divided into four parts .


The first part discusses the basic concept of the company deadlock . By comparing and analyzing the foreign and Chinese scholar ' s understanding of the company deadlock , this article defines the deadlock of the company . At the same time , it also introduces the characteristics and classification of the company ' s deadlock .


The second part is to introduce the cause and the harm of the company deadlock . This part firstly analyzes the reasons of the company deadlock from four aspects , points out the people ' s conformity and closure of the limited liability company , the negative influence of the company ' s voting system , the protection mechanism of the minority shareholder ' s equity and the rough handling of the company ' s articles of association . This part also sets out the harm of the company ' s deadlock from three aspects of the company ' s interests , shareholder ' s interests and social benefit .


The third part discusses the non - judicial relief of the company ' s deadlock , points out that it should strengthen the pre - ante prevention function of the company ' s constitution , and realize the self - relief to the deadlock of the company by specifying the voting system , the equity transfer mechanism and the deadlock treatment clause in the articles of association of the company in advance . At the same time , the part also proposes the application of mediation and arbitration to crack down on the deadlock of the company and realize the social relief to the deadlock of the company .


The fourth part discusses the way of judicial remedy for the deadlock of the company , points out the theoretical foundation and precondition of the deadlock of the judicial intervention company . This part regards the judicial dissolution as a way to crack down the deadlock of our company . In addition to the judicial disbandment , the article also introduces the alternative judicial remedy measures to break down the deadlock of the company . In addition to the judicial dissolution , the alternative relief measures of the company deadlock include compulsory stock acquisition , third - party intervention and direct judicial management . In addition to the national experience and the actual situation of our country , we should perfect the compulsory equity acquisition and the division of the compulsory company as the main alternative relief measures .

【學位授予單位】：中央民族大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D922.291.91

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