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The People's Procuratorate of Pudong New District of Shanghai v. Shanghai Anji Biotechnology Co., Ltd. and Zheng Ge (A case about unauthorized stock issue)
上海市浦东新区人民检察院诉上海安基生物科技股份有限公司、郑戈擅自发行股票案
【法宝引证码】

The People’s Procuratorate of Pudong New District of Shanghai v. Shanghai Anji Biotechnology Co., Ltd. and Zheng Ge (A case about unauthorized stock issue)
(A case about unauthorized stock issue)
上海市浦东新区人民检察院诉上海安基生物科技股份有限公司、郑戈擅自发行股票案

The People's Procuratorate of Pudong New District of Shanghai v. Shanghai Anji Biotechnology Co., Ltd. and Zheng Ge

 

上海市浦东新区人民检察院诉上海安基生物科技股份有限公司、郑戈擅自发行股票案

(A case about unauthorized stock issue) [裁判摘要]

 非上市股份有限公司为筹集经营资金,在未经证券监管部门批准的情况下,委托中介机构向不特定社会公众转让公司股东的股权,其行为属于未经批准擅自发行股票的行为,数额巨大、后果严重或者有其他严重情节的,应当以擅自发行股票罪定罪处罚。

 
BASIC FACTS 公诉机关:上海市浦东新区人民检察院。

Public Prosecution Organ: The People's Procuratorate of Pudong New District of Shanghai

 被告单位:上海安基生物科技股份有限公司。
Defendant: Shanghai Anji Biotechnology Co., Ltd., domiciled at Guoshoujing Road, Zhangjiang High-tech Park, Shanghai. 诉讼代表人:郑金妹。
Authorized Representative: Zheng Jinmei, female, chief supervisor of the company. 被告人:郑戈。2006年12月因犯非法经营罪被判处有期徒刑二年,缓刑三年,2008年4月因犯挪用公款罪被判处有期徒刑三年,撤销前罪缓刑宣告,决定执行有期徒刑四年,现在服刑中。
Defendant: Zheng Ge, male, 64, former chairman of the board of directors and legal representative of Shanghai Anji Biotechnology Co., Ltd., sentenced to two years imprisonment with a three-year probation for the crime of illegal business operation in Dec. 2006; sentenced to three years imprisonment for the crime of misappropriation of public funds in April 2008, and after revocation of probation, subject to four years imprisonment; and currently serving his sentence in prison. 上海市浦东新区人民检察院以被告单位上海安基生物科技股份有限公司(以下简称安基公司)及被告人郑戈犯擅自发行股票罪,向上海市浦东新区人民法院提起公诉。
The People's Procuratorate of Pudong New District of Shanghai instituted a public prosecution in the People's Court of Pudong New District of Shanghai against Shanghai Anji Biotechnology Co., Ltd. (hereinafter referred to as “Anji Company”) and Zheng Ge for the crime of unauthorized stock issue. 起诉书指控:2001年12月至2007年 8月期间,被告人郑戈担任被告单位安基公司的董事长、法定代表人,为了给单位募集资金,经股东会集体决定,在未经证券监管部门批准的情况下,擅自委托中介公司与个人代理,向社会不特定公众转让安基公司自然人股东的股权,共计向260余人发行股票322万股,募集资金人民币1109万余元,用于单位的经营活动及支付代理费用。安基公司未经证券监管部门批准擅自发行股票,其行为已构成擅自发行股票罪,且系单位犯罪;郑戈作为安基公司直接负责的主管人员,其行为亦构成擅自发行股票罪,提请法院依法惩处。
As alleged in the indictment, the defendant, Zheng Ge, was the chairman of the board of directors and legal representative of Anji Company from Dec. 2001 to Aug. 2007. To raise funds for the company, with a resolution of the shareholders' meeting but without the approval of the securities regulatory authority, the company employed intermediary companies and individual agents to transfer the stocks of Anji Company held by its individual shareholders to the general public. The company issued 3,220,000 shares in total to more than 260 investors, and raised over 11,090,000 yuan, which was used for the company's business operations and payment of the agency expenses. Anji Company issued stocks without the approval of the securities regulatory authority, which constituted the crime of unauthorized stock issue committed by an entity. As the directly liable person in charge of Anji Company, Zheng Ge also committed the crime of unauthorized stock issue. The public prosecution organ requested the court to punish the defendants according to law. 被告单位安基公司、被告人郑戈及其辩护人均辩称:1.国家法律对于非上市股份公司能否转让股权没有明确规定,依据“法无明文规定不为罪”的原则,被告单位及被告人的行为不构成刑事犯罪;2.被告单位及被告人从事的是正常的股权转让业务,本案应属安基公司与受让人之间的民事债权债务纠纷。
...... 上海市浦东新区人民法院一审查明:
 被告单位安基公司成立于1997年4月,注册资金为人民币3400万元,股东包括2家单位和16名自然人。被告人郑戈担任安基公司的董事长、法定代表人,持股比例为44%。安基公司经工商管理部门核准的经营范围为:生物制品加工,化工原料、建筑材料、金属材料销售,本企业自产生物制品和技术出口,本企业进料加工及三来一补业务。
 2001年12月,被告单位安基公司为筹集研发资金,由被告人郑戈提议经股东会集体同意后,委托中介公司及个人向社会不特定公众转让自然人股东的股权。此后直到2007年8月期间,由郑戈负责联系并先后委托上海新世纪投资有限公司、上海天成投资实业公司、王存国、周震平、黄浩等个人,以随机拨打电话的方式,对外谎称安基公司的股票短期内将在美国纳斯达克上市并能获取高额回报,向不特定社会公众推销郑戈及其他自然人股东的股权。郑戈和中介人员具体商定每股转让价格为人民币2-4元间不等。安基公司与受让人分别签订《股权转让协议书》和《回购承诺书》(承诺如果三年内公司不能上市就回购股权),并发放自然人股东缴款凭证卡和收款收据。
 经审计,被告单位安基公司向社会公众260余人发行股票计322万股,筹集资金人民币1109万余元,其中有157人在股权托管中心托管,被列入公司股东名册,并在工商行政管理部门备案。上述募集资金全部用于安基公司的经营活动和支付中介代理费。
 被告单位安基公司成立后主要从事艾滋病药物的研发,一直处于研发阶段,没有任何生产和销售行为。案发后不能回购股票,不能退还钱款,仅有土地及房产被查封。
 以上事实,有石运明等260余名购股投资人、被告单位安基公司员工潘丽娜、中介人员陈国明等人的证言,被告单位的工商资料、财务账册、购股人员名单,涉案 260余份《股权转让协议书》与《回购承诺书》,托管中心及工商部门提供的股东名册及被告人郑戈的供述等证据予以证明,足以认定。
 
 本案的争议焦点是:被告单位安基公司与被告人郑戈的行为是否构成擅自发行股票罪。
 上海市浦东新区人民法院一审认为:
 中华人民共和国刑法》(以下简称刑法)第一百七十九条规定:“未经国家有关主管部门批准,擅自发行股票或者公司、企业债券,数额巨大、后果严重或者有其他严重情节的,构成擅自发行股票、公司、企业债券罪。”依据《中华人民共和国公司法》和《中华人民共和国证券法》的规定,股份公司的股权表现形式就是股票,也包括未上市股份公司的股权。因此,这里的“发行股票”包括未上市公司转让股权。据此,判断行为人的行为是否构成擅自发行股票罪,应从以下几个方面分析:
 ......

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