上市公司高管股东股权转让法律问题研究

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1、上海交通大学法律硕士学位论文上市公司高管股东股权转让法律问题研究THERESEARCHOFTHELEGALISSUESCONCERNINGTHEEQUITYTRANSFERBYTHESENIORMANAGEMENTSHAREHOLDERSOFLISTEDCOMPANYABSTRACT"CompanyLaw"Article142isthemostimportantlegalprovisionstomanagethetransferoftheseniormanagementshareholders,thelimitrules:"Thecompanydirectors,super

2、visorsandseniormanagementshalldeclaretothecompanytheirsharesownedinthelistedcompaniesanditsevolution.Sharestobetransferredeveryyearduringtheirtenureshallnotexceed25%oftheirtotalsharesownedinthelistedcompany.Sharesownedinthelistedcompanyarenotallowedtobetransferredwithin1yearpostthelistingd

3、ate.Abovepeoplearenotallowedtotransfertheirsharesinthelistedcompanywithin6monthsafterresignation".Thelegislativepurposeofthispaperwhichanalyzesthe"CompaniesAct"ofsection142istoprohibituseofseniormanagementshareholdersoflistedcompaniestradingoninsiderinformation.Withthenon-tradablesharesref

4、ormcontinuedtodeepen,throughtheequitytransferagreementrestructuringoflistedcompanies,moreandmoreholdingsofshareholdersoflistedcompanysharesinthebehaviorofexecutives.Inthispaper,afterthesharereformtotheagreementbytransferringownershiprestructuringoflistedcompanies,casestudies,analysisofthe"

5、CompanyLaw"at142pairsoftransferofownershiptoanagreementrestructuredcompaniesconstitutedthenormallegislativebarriers.Alsoanalyzedtheprocessofthenon-tradablesharesdesterilizationbyshareholdersoflistedcompanies"resignation"meanstocircumventthe"CompanyLaw"section142oftherestrictions-3-上海交通大学法律

6、硕士学位论文上市公司高管股东股权转让法律问题研究whichdefeatthepurposeoflegislation.Thesetwophenomenaledtotherestrictionrulesinpracticedeviatedfromtheoriginalpurposeofitslegislation,itslegislativemeaningnolongerexists.Tothisend,thepaper"CompanyLaw"inArticle142seniormanagementonthetransferofshareholderequityrulesof

7、countermeasures.Suggestionsincludetwosides,namelytheneedforseniormanagementshareholdersusingthe"resignation"tobypasstherestrictionsontheconductsubstantivereviewofrules;twoexecutivesarethewayofshareholdersequitytransferagreementrestructuredcompaniesinvolvedinth