股东身份认定问题探析——兼论工商登记的性质

On the Cognizance of Shareholders Status

公司应以股东名册为准来确定股东和对抗善意的受让人,出资转让合同可在善意受让人与让与人之间产生对抗力。受让人之外的善意第三人应以工商登记为准来确定其股东身份。鉴于工商登记是属于私法领域的程序性的商事法律行为,恶意第三人或者受让人的股东身份确认则不应严格拘于工商登记和股东名册。分红记录、公司内部章程和出资协议对于股东身份的认定也具有一定的效力。实质意义上的股东、公司及恶意受让人都不能以没有工商登记为由否认其实际的股东身份。

According to the lack of research in the cognizance of shareholders status and different adjudgement of similar cases, this paper aims to define related issue about the cognizance of shareholders status. To company, shareholders definition and against bona fide third party should be in accordance with the roster of shareholders. Contract of assigning capital contributions can generate countermine between goodwill alienee and transferor. To bona fide third party apart from alienee, the status of shareholders should be defined according to business registration. Because business registration is a business law procedure under private law, mala fide third party and alienee should not be limited strictly to business registration and the roster of shareholders. Bonus record, company regulation and capital contributions agreement also have effectiveness on the cognizance of shareholders status. The actual shareholders, company and the mala fide third party should not deny the status of shareholders because of the lack of business registration.