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1、.U.D.C:NO:28 / 28.A Dissertation for the Degree of J. MStudy on the legal problems of Sharesconversion systemCandidate: Wang FengSupervisor: Prof. Wang HaiboAcademic Degree Applied for: J. MSpecialty: J. MUniversity: Hebei UniversityDate of Oral Examination: May, 2013.摘摘要要.2001 年 11 月 10 日,世界贸易组织第四届
2、部长级会议审议通过了中国加入世界贸易组织的申请,我国正式成为了世界贸易组织中的一员。如何更好的与世界接轨,如何更好的促进自身发展,创立百年企业,世界知名企业,需要我们探索发展更好的公司制度和公司管理制度。2008 年吉利汽车并购沃尔沃,2010 年XX腾冲重工并购悍马,2012 年 5 月中国工商银行等公司联合并购美国东亚银行,各种公司并购呈现在我国经济的快速发展之中。好的企业并购方式可以促进企业的快速发展,现金收购和通过股份转换实现对目标公司的控股是世界上比较成熟的公司并购方式,但是,因为各种原因,股份转换在我国发展的很晚,并且不成熟,本文从一些实际问题出发,对我国股份转换的相关问题进行探讨
3、,力争为我国股份转换制度的建立做出一些贡献。第一部分,从股份转换的产生入手,探索股份转换制度的起源,从股份交换和股份转移看股份转换的表现形式,对已经比较成熟的美国、日本、XX等地区的股份转换制度进行比较分析,找出适合我国借鉴使用的成熟经验,从而分析我国引进股份转换制度的可行性。第二部分,以原水股份并购凌桥股份、清华同方并购XX鲁颖、TCL 集团吸收合并TCL 通讯等几个典型案例分析我国民间已经产生的股份转换的表现形式。我国的股份转换基本上是企业自身的探索,在这些案例中有成功的,更有失败的,无论成功还是失败,这些企业在我国引进股份转换的过程中都给予了我们很大的帮助。第三部分,一项新的制度的引进,
4、是一个制度本土化过程,这个过程是一个融入于改变的过程,本节从并购过程、股东利益以及第三方服务机构为切入点,全面分析我国在股份转换方面存在的问题。第四部分,探讨我国建立股份转换制度的可行性和必要性,从转换程序、信息公开、转换合同、折股比例确定、股东权益、规范中介机构等方面入手,对我国引入股份转换制度进行全面分析。.关键词股份转换股份交换股份转移.I.AbstractAbstractNovember 10th, 2001, the 4th Ministerial Conference of the World Trade Organization reviewed and passed the a
5、pplication of Chinas accession to the WTO, China formallybecame a WTO member. How to connect with the world internationally, promote theirdevelopment, create a century enterprise, well-known enterprises in the world, that need us toexplore a better company system and companys management system. Geel
6、y Automobileacquisition Volvo in 2008, Sichuan Tengzhong Heavy acquisition of Hummer in 2010, theIndustrial and Commercial Bank of China takeover U.S. Bank of East Asia in May 2012,various mergers and acquisitions happened in Chinas rapid economic development. Goodcorporate merger methods can accele
7、rate enterprise development, the cash acquisition andcontrol the target company by share conversion are two mature company merger methods inthe world. but due to various reasons, share conversion developed late in our country andimmature. This article starts from practical problems to explore issues
8、 about Shareconversions, and strive to make some contribution to the establishment of Chinas shareconversion system.Section one. Starting from the generation of share conversion to explore the origin of theshare conversion system, to see different forms of shares conversion through share swap and.th
9、e shares transfer.Analyze mature shares conversion system in United States, Japan &.Taiwan to identify and analyze the feasibility of the introduction of the share conversionsystem.Section two.To analyze different forms of share conversion through typical cases of.Raw Waters acquisitions of LingQiao
10、 shares, Tsinghua Tongfang acquisition of Shandong LuYing, TCL Group merger TCL Communication. Some of them are successfully, some are not,not matter how, these companies have given us a great help in the process of introducing shareconversion to our country.Section three. The introduction of a new
11、system is a system localization process; therewill be lots of changes during the process. This section starts from the merger and acquisitionprocess, shareholders interests, as well as third-party service organizations to analysis theproblems of share conversion.Section four. To discuss the feasibil
12、ity and necessity of establishing share conversionsystem, from the conversion process, information disclosure, conversion contract, shareII.Abstractconversion ratio, shareholders interests, standardize third-party service organizations, to fullyanalyze Chinas introduction of a share conversion system.Keywords Shares conversion systemStock exchange systemIIIShares transfer system.目目录录.引言.1.第 1 章1.11.21.3股份转换的概念及相关基础问题.2股份转换的产生和发展.2股份转换的定义和股份转换的表现形式.3股份交换和股份转移.3.股份交换.3股份转移.5.1.4国际股份转换的立法现状对我国的借鉴意义.6.美国：股份转换的诞生之地.6日本：对西方的借鉴和发展.7我国XX地区：可以借鉴的典范.
