China:
产学研合作与IPO的邂逅(二)——高校及其教职工持股问题
18 June 2019
DeHeng Law Offices
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前言
产学研合作中,发行人通过技术出资、技术转让、技术许可等方式接受高校或高校教职工的技术供给,通过委托开发、共同开发、技术咨询、高校教职工兼职等方式接受高校或高校教职工的技术服务供给,并通过股权、现金等方式回报高校及高校教职工。其中,高校教职工兼职可能涉及兼职本身的合法性问题以及发行人人员独立性问题,高校或高校教职工持股可能涉及股东资格及股权变动合法性问题,技术流转及研发合作可能涉及技术权属瑕疵、技术及研发独立性问题。
本文分三期分别讨论高校教职工兼职、高校及其教职工持股、技术与研发等有关问题,试图就IPO中的产学研问题提出分析框架及核查、整改方案,并提供对应的法条及案例索引,谨供各位律师同仁参考。但由于笔者学识所限,文中若有纰漏,恳请各位大家批评指正。本文讨论仅限于拟在境内申请上市的发行人接受境内公办高校及其教职工技术供给或技术服务供给的情形。
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