【作者】 王芳；

【导师】 赖虹宇；

【作者基本信息】 西南财经大学 ， 法律硕士（专业学位）， 2023， 硕士

【摘要】 股权作为一种兼具人身权与财产权的综合性权利,在共有情形下的认定及行使规则,关系到有限责任公司内部正常运转与外部交易的稳定,已逐渐成为经济社会中维护股东权利,确保市场健康发展的重要命题。然而,在我国“民商合一”的立法体例下,现行公司法未对股权共有问题进行符合现实需求的制度设计,同时由于股权共有制度本身存在的股东资格认定困难、股东人身资格难以共有、股权共有缺乏规范基础等理论障碍,导致法院在审判相关案件时既缺乏确定性指引,又缺乏统一的裁判逻辑与系统范式,以致于不得不通过直接援引民法中共有的一般规则,以及婚姻法、继承法等相关法律中的类似规定进行自由裁判,最终造成了同案异判、判决失当的不利后果。现为充分发挥股权共有制度在商事活动中的功能与价值,契合新时代健全商事交易制度的总体要求,本文通过实证归纳与域外借鉴等手段,全面梳理分析股权共有制度理论内核与实践困境,提出了通过构建股权共有的一般性规则,厘清股权共有情形下的处分、对外债务承担、费用负担的问题;同时构建股权共有的特殊性规则,针对股权共有人的显名情形,股权共有的行使方式、无代理人时股权共有人行使权利的特殊情况提出解决路径,以期有裨于我国股权共有制度的构建与完善。本文除引言和结语外,共分为四个部分。第一部分内容为股权共有的理论基础。该部分对股权共有的性质、股权共有内部的法律关系进行细致讨论,展示了股权共有在现实生活中的具体类型,揭示了股权共有在维护股东权益、保障公司正常运营与市场交易稳定的现实意义。第二部分内容为股权共有问题实证分析。该部分通过定性与定量分析的方式,总结了股权共有典型案例的裁判结果和裁判思路,并着力分析了我国目前股权共有的行使规则中存在缺乏专门性规定、司法实践的裁判逻辑存在混乱,以及未与现行股权登记制度相衔接的实际问题,明确了股权共有制度构建的实践要求。第三部分内容为股权共有问题的理论困境。该部分通过理论归纳,提出了股权共有情形下,股东资格认定在公司内外部的标准差异、股权人身属性冲突,缺乏适用基础的理论障碍,提出我国股权共有规则的理论完善方向。第四部分内容为股权共有规则构建。该部分基于上文提出的股权共有制度存在的理论及实践困境,同时结合域外股权共有规则构建的充分经验,对共有股权的理论基础进行建构,在此之后提出共有人内部关于股权共有处分、对外债务承担、费用及其他负担适用的一般性规则;股权共有人推派代表人或者代理人行使股东权利、无代理人时共有人行使权利容许的特殊性规则,通过一般性规则与特殊性规则相互结合、互为表里的方式,构建起符合我国国情的股权共有规则体系。更多还原

【Abstract】 As a comprehensive right with both personal rights and property rights,the recognition and exercise rules of equity in the case of joint ownership are related to the normal operation of the limited liability company and the stability of external transactions.It has gradually become an important proposition in the economic society to safeguard shareholders’ rights and ensure the healthy development of the market.However,under the legislative style of "civil and commercial integration" in China,the current company law has not designed a system that meets the practical needs for the issue of joint ownership of shares.At the same time,due to the theoretical obstacles of the joint ownership system itself,such as the difficulty in determining the qualification of shareholders,the difficulty in sharing the personal qualification of shareholders,and the lack of normative basis for joint ownership of shares,the court has not only lacked the guidance of certainty,but also lacked the unified judgment logic and system paradigm when trying relevant cases,As a result,we have to directly invoke the common general rules of civil law,as well as similar provisions in marriage law,inheritance law and other relevant laws to make free judgments,which ultimately led to the adverse consequences of different judgments in the same case and improper judgments.Now,in order to give full play to the function and value of the share-holding system in commercial activities and meet the overall requirements of improving the commercial transaction system in the new era,this paper comprehensively combs and analyzes the theoretical core and practical difficulties of the share-holding system by means of empirical induction and foreign reference,and puts forward the issue of clarifying the disposition,external debt burden and cost burden in the case of share-holding by constructing the general rules of share-holding;At the same time,we should construct the special rules of the common ownership of shares,and propose solutions to the specific situations of the common ownership of shares,the way of the common ownership of shares,and the special situation of the common ownership of shares when there is no agent,in order to contribute to the construction and improvement of the common ownership system of shares in China.In addition to the introduction and conclusion,this paper is divided into four parts.The first part is the theoretical basis of the common equity.This part discusses the nature of equity co-ownership and the legal relationship within equity co-ownership in detail,shows the specific types of equity co-ownership in real life,and reveals the practical significance of equity co-ownership in safeguarding shareholders’ rights and interests,ensuring the normal operation of the company and the stability of market transactions.The second part is the empirical analysis of the problem of common ownership.Through qualitative and quantitative analysis,this part summarizes the judgment results and judgment ideas of typical cases of equity co-ownership,and focuses on the analysis of the lack of specific provisions in the exercise rules of equity co-ownership in China,the confusion of the judicial logic in judicial practice,and the actual problems that are not connected with the current equity registration system,and clarifies the practical requirements for the construction of the equity co-ownership system.The third part is about the theoretical dilemma of the problem of share ownership.This part,through theoretical induction,puts forward the standard difference of shareholder qualification in the internal and external of the company,the conflict of personal attributes of shareholders,and the theoretical obstacles that lack the applicable basis in the case of equity co-ownership,and puts forward the theoretical improvement direction of China’s equity co-ownership rules.The fourth part is about the construction of common ownership rules.This part is based on the theoretical and practical dilemmas of the equity co-ownership system proposed above,and combined with the full experience of the construction of the foreign equity co-ownership rules,constructs the theoretical basis of the co-ownership,and then puts forward the general rules applicable to the co-owner’s internal disposal of equity co-ownership,the burden of foreign debt,costs and other burdens;The equity co-owners promote the special rules of the representative or agent to exercise the shareholder’s rights,and allow the co-owners to exercise the rights when there is no agent.Through the combination of the general rules and the special rules,the system of equity co-ownership rules in line with China’s national conditions is constructed.更多还原