Gesellschafterabsprachen bei GmbH und Close Corporation: Eine vergleichende Untersuchung zum Recht der satzungsergänzenden Nebenverträge in den USA und Deutschland [1 ed.] 9783428506750, 9783428106752

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KAI ROSSIG

Gesellschafterabsprachen bei GmbH und Close Corporation

Schriften zum Wirtschaftsrecht Band 161

Gesellschafterabsprachen bei GmbH und Close Corporation Eine vergleichende Untersuchung zum Recht der satzungsergänzenden Nebenverträge in den USA und Deutschland

Von Kai Rossig

Duncker & Humblot . Berlin

Gedruckt mit Unterstützung der Deutschen Forschungsgemeinschaft.

Die Rechtswissenschaftliche Fakultät der Albert-Ludwigs-Universität Freiburg im Breisgau hat diese Arbeit im Jahre 2001 als Dissertation angenommen.

Bibliografische Information Der Deutschen Bibliothek Die Deutsche Bibliothek verzeichnet diese Publikation in der Deutschen Nationalbibliografie; detaillierte bibliografische Daten sind im Internet über abrufbar.

D25 Alle Rechte vorbehalten

© 2003 Duncker & Humblot GmbH, Berlin

Fremddatenübernahme: Selignow Verlagsservice, Berlin Druck: Berliner Buchdruckerei Union GmbH, Berlin Printed in Germany ISSN 0582-026X ISBN 3-428-10675-X Gedruckt auf alterungsbeständigem (säurefreiem) Papier entsprechend ISO 9706 §

Vorwort Die vorliegende Arbeit wurde im Sommersemester 2001 von der Juristischen Fakultät der Albert-Ludwigs-Universität zu Freiburg im Breisgau als Dissertation angenommen. Für die Veröffentlichung wurde bis Ende 2001 erschienene Literatur berücksichtigt. Zum Gelingen der Arbeit haben viele Personen beigetragen - ihnen allen gilt mein Dank. An vorderster Stelle ist mein Doktorvater, Herr Prof. Dr. Uwe Blaurock, zu nennen, der die Arbeit betreut und mich im Laufe der Promotionszeit in vielf :3 ::r

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(1) to maintain the corporation 's stats when it is dependend on the number or identity of its shareholders; (2) to preserve exemptions under federal or state securities law; (3) for any other reasonable purpose. (d) A restriction on the transfer or registration of transfer of shares may: (I) obligate the shareholder first to offer the corporation or other persons (separately, consecutively, or simultaneously) an opportunity to acquire the restricted shares; (2) obligate the corporation or other persons (separateIy, consecutiveIy, or simultaneously) to acquire the restricted shares; (3) require the corporation, the holders of any elass of its shares, or another person to approve the transfer of the restricted shares, if the requirement is not manifestly unreasonable; (4)prohibit the transfer of the restricted shares to designated persons or elasses of persons, if the prohibition is not manifestly unreasonable. (e) For purposes of this section, "shares" ineludes a security convertible into or carrying a right to subscribe for or acquire shares. § 13 [Attempted Share Transfer in Breach of Prohibition) (a) An attempt to transfer shares in a statutory elose corporation in violatition of a prohibition against transfer binding on the transferee is inaeefetive. (b) An attempt to transfer shares in a statutory elose corporation in violation of a prohibition against transfer that is not binding on the transferee, either because the notice required by section 10 was not given or because the prohibition is held unenfordeable by a court, gives the corporation an option to purchase the shares from the transferee for the same price and on the same terms that he purchased them ....

(d)The corporation must deliver to the offering shareholder written notice of acceptance within 75 days after receiving the offer or the offer is rejected ....

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§ 186 [Shareholders' Agreement] "Shareholders' agreement" means a written agreement among all of the shareholders of a dose corporation, or if a dose corporation has only one shareholder between such shareholder and the corporation, as authorized by subdivision (b) of Section 300.

§ 346 [Voluntary termination of dose corporation status by amendment of certificate of incorporation; ... ] (a) A corporation may voluntarily terminate its status as a dose corporation and cease to be subject to this subchapter by amending its certificate of incorporation to delete therefrom the additional provisions required or permitted by § 342 of this tide to be stated in the certificate of incorporation of a dose corporation. [... ]

§ 345 [Limitations on continuation of dose corporation status] A dose corporation continues to be such and to be subject to this subchapter until: (I) It files with the Secretary of State a certificate of amendment deleting from its certificate of incorporation the provisions required or permitted by § 342 of this tide to be stated in the certificate of incorporation to qualify it as a dose corporation; or (2) Any 1 of the provisions or conditions required or permitted by § 342 of this tide to be stated in a certificate of incorporation to qualify a corporation as a dose corporation has in fact been breached and neither the corporation nor any of its stockholders takes the steps required by § 348 of this title to prevent such loss of status or to remedy such breach.

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