美国优先股法律模板之Series A Preferred Stock Purchase Agreement 2013 clean

SERIES A PREFERRED STOCK PURCHASE AGREEMENT

Preliminary Note

The Stock Purchase Agreement sets forth the basic terms of the purchase and sale of the preferred stock to the investors (such as the purchase price, closing date, conditions to closing) and identifies the other financing documents. Generally this agreement does not set forth either (1) the characteristics of the stock being sold (which are defined in the Certificate of Incorporation) or (2) the relationship among the parties after the closing, such as registration rights, rights of first refusal and co-sale, voting arrangements (these matters often implicate other persons than just the Company and the investors in this round of financing, and are usually embodied in separate agreements to which those others persons are parties, or in some cases by the Certificate of Incorporation). The main items of negotiation in the Stock Purchase Agreement are therefore the price and number of shares being sold, and the representations and warranties that the Company, and sometimes the Founders as well, must make to the investors.

TABLE OF CONTENTS

Note to Drafter: Section headings have been formatted to automatically populate the Table of Contents. However, when editing this document for your own use, the page numbers may change. In order to reflect the correct page numbers in the Table of Contents, you must “update page numbers” to the Table of Contents by (1) right-clicking anywhere in the Table of Contents, and (2) choose “update field,” then “update page numbers only.” If you add or delete section headings, follow step (1) and (2) above and choose “update entire table.”

Page 1.Purchase and Sale of Preferred Stock (1)

1.1Sale and Issuance of Series A Preferred Stock (1)

1.2Closing; Delivery (1)

1.3Sale of Additional Shares of Preferred Stock (2)

1.4[Use of Proceeds] (3)

1.5Defined Terms Used in this Agreement (3)

2.Representations and Warranties of the Company (5)

2.1Organization, Good Standing, Corporate Power and Qualification (6)

2.2Capitalization (6)

2.3Subsidiaries (8)

2.4Authorization (8)

2.5Valid Issuance of Shares (9)

2.6Governmental Consents and Filings (9)

2.7Litigation (9)

2.8Intellectual Property (10)

2.9Compliance with Other Instruments (11)

2.10Agreements; Actions (12)

2.11Certain Transactions (13)

2.12Rights of Registration and Voting Rights (13)

2.13Property (14)

2.14Financial Statements (14)

2.15Changes (14)

2.16Employee Matters (16)

2.17Tax Returns and Payments (18)

2.18Insurance (18)

2.19Employee Agreements (18)

2.20Permits (18)

2.21Corporate Documents (18)

2.22[83(b) Elections] (19)

2.23[Real Property Holding Corporation] (19)

2.24Environmental and Safety Laws (19)

2.25[Qualified Small Business Stock] (20)

2.26Disclosure (20)

2.27[Small Business Concern] (21)

2.28[Foreign Corrupt Practices Act] (21)

2.29[Data Privacy] (21)

3.Representations and Warranties of the Purchasers (22)

3.1Authorization (22)

3.2Purchase Entirely for Own Account (22)

3.3Disclosure of Information (23)

3.4Restricted Securities (23)

3.5No Public Market (23)

3.6Legends (23)

3.7Accredited Investor (24)

3.8Foreign Investors (24)

3.9No General Solicitation (24)

3.10Exculpation Among Purchasers (24)

3.11Residence (25)

3.12[Consent to Promissory Note Conversion and Termination] (25)

4.Conditions to the Purchasers’ Obligations at Closing (25)

4.1Representations and Warranties (26)

4.2Performance (26)

4.3Compliance Certificate (26)

4.4Qualifications (26)

4.5Opinion of Company Counsel (26)

4.6Board of Directors (26)

4.7Indemnification Agreement (26)

4.8Investors’ Rights Agreement (26)

4.9Right of First Refusal and Co-Sale Agreement (26)

4.10Voting Agreement (26)

4.11Restated Certificate (27)

4.12Secretary’s Certificate (27)

4.13Proceedings and Documents (27)

4.14Minimum Number of Shares at Initial Closing (27)

4.15Management Rights (27)

4.16[SBA Matters] (27)

4.17[Preemptive Rights] (27)

5.Conditions of the Company’s Obligations at Closing (27)

5.1Representations and Warranties (28)

5.2Performance (28)

5.3Qualifications (28)

5.4Investors’ Rights Agreement (28)

5.5Right of First Refusal and Co-Sale Agreement (28)

5.6Voting Agreement (28)

5.7[Minimum Number of Shares at Initial Closing] (28)

6.Miscellaneous (28)

6.1Survival of Warranties (28)

6.2Successors and Assigns (28)

6.3Governing Law (29)

6.4Counterparts (29)

6.5Titles and Subtitles (29)

6.6Notices (29)

6.7No Finder’s Fees (29)

6.8Fees and Expenses (30)

6.9[Attorneys’ Fees] (30)

6.10Amendments and Waivers (30)

6.11Severability (30)

6.12Delays or Omissions (30)

6.13Entire Agreement (31)

6.14[Corporate Securities Law] (31)

6.15Dispute Resolution (31)

6.16[No Commitment for Additional Financing] (32)

6.17[Waiver of Conflicts] (33)

Exhibit A - SCHEDULE OF PURCHASERS

Exhibit B - FORM OF AMENDED AND RESTATED

CERTIFICATE OF INCORPORATION

Exhibit C - DISCLOSURE SCHEDULE

Exhibit D - FORM OF INDEMNIFICATION AGREEMENT

Exhibit E - FORM OF INVESTORS’ RIGHTS AGREEMENT

Exhibit F - FORM OF MANAGEMENT RIGHTS LETTER

Exhibit G - FORM OF RIGHT OF FIRST REFUSAL AND CO-SALE

AGREEMENT

Exhibit H - FORM OF VOTING AGREEMENT

Exhibit I - FORM OF LEGAL OPINION OF [COMPANY COUNSEL] [Exhibit J - MILESTONE EVENTS]

ADDENDUM TO STOCK PURCHASE AGREEMENT: SAMPLE FOUNDER REPRESENTATIONS AND WARRANTIES

SERIES A PREFERRED STOCK PURCHASE AGREEMENT THIS SERIES A PREFERRED STOCK PURCHASE AGREEMENT (this “Agreement”), is made as of the [__] day of [________, 20_] by and among [____________], a Delaware corporation (the “Company”), the investors listed on Exhibit A attached to this Agreement (each a “Purchaser”and together the “Purchasers”) [and the persons listed as “Founders”on the signature pages to this Agreement (each a “Founder”and together the “Founders”)].

The parties hereby agree as follows:

1.Purchase and Sale of Preferred Stock.

1.1Sale and Issuance of Series A Preferred Stock.

(a)The Company shall adopt and file with the Secretary of State of the State of Delaware on or before the Initial Closing1 (as defined below) the Amended and Restated Certificate of Incorporation in the form of Exhibit B attached to this Agreement (the “Restated Certificate”).2

(b)Subject to the terms and conditions of this Agreement, each Purchaser agrees to purchase at the Closing and the Company agrees to sell and issue to each Purchaser at the Closing that number of shares of Series A Preferred Stock, $ [__] par value per share (the “Series A Preferred Stock”), set forth opposite each Purchaser’s name on Exhibit A, at a purchase price of $[__] per share. The shares of Series A Preferred Stock issued to the Purchasers pursuant to this Agreement (including any shares issued at the Initial Closing and any [Milestone Shares or] Additional Shares, as defined below) shall be referred to in this Agreement as the “Shares.”

1.2Closing; Delivery.

(a)The initial purchase and sale of the Shares shall take place remotely via the exchange of documents and signatures, at [____] [_].m., on [________ __, 20_], or at such other time and place as the Company and the Purchasers mutually agree upon, orally or in writing (which time and place are designated as the “Initial Closing”).3 In the event there is more than one closing, the term “Closing” shall apply to each such closing unless otherwise specified.

1If only one closing is contemplated, references to “Initial Closing,” “each Closing,” “such Closing” etc. should be modified.

2Sometimes only a Certificate of Amendment is required.

3If the Agreement is signed prior to the Closing, this provision gives the parties flexibility to change the closing date as contingencies arise. As a practical matter, however, the Agreement is usually signed on the date of the Closing. This means that, until the Closing, everyone has an opportunity to back out of the deal.

(b)At each Closing, the Company shall deliver to each Purchaser a certificate representing the Shares being purchased by such Purchaser at such Closing against payment of the purchase price therefor by check payable to the Company, by wire transfer to a bank account designated by the Company, by cancellation or conversion of indebtedness of the Company to Purchaser[, including interest4], or by any combination of such methods.

1.3Sale of Additional Shares of Preferred Stock.

(a)After the Initial Closing, the Company may sell, on the same terms and conditions as those contained in this Agreement5, up to [_________] additional shares (subject to appropriate adjustment in the event of any stock dividend, stock split, combination or similar recapitalization affecting such shares) of Series A Preferred Stock (the “Additional Shares”), to one or more purchasers (the “Additional Purchasers”) [reasonably acceptable to Purchasers holding a [specify percentage] of the then outstanding Shares6], provided that (i) such subsequent sale is consummated prior to [90] days after the Initial Closing (ii) each Additional Purchaser shall become a party to the Transaction Agreements (as defined below) (other than the Management Rights Letter), by executing and delivering a counterpart signature page to each of the Transaction Agreements[; and (iii) [_________], counsel for the Company, provides an opinion dated as of the date of such Closing that the offer, issuance, sale and delivery of the Additional Shares to the Additional Purchasers do not require registration under the Securities Act of 1933, as amended, or applicable state securities laws].Exhibit A to this Agreement shall be updated to reflect the number of Additional Shares purchased at each such Closing and the parties purchasing such Additional Shares.

(b)[After the Initial Closing, the Company shall sell, and the Purchasers shall purchase, on the same terms and conditions as those contained in this Agreement, up to [_____________] additional shares of Series A Preferred Stock (the “Milestone Shares”),pro rata in accordance with the number of Shares being purchased by each such Purchaser at all prior Closings, on the certification by the [Board] [Purchasers] that the events specified in Exhibit J attached to this Agreement have occurred (the “Milestone Events”).

4If some or all of the Purchasers will be converting previously issued notes to Shares, consider paying the interest in cash, if the terms of the notes permit this, to avoid last-minute recomputations if the closing is delayed. Note that cancellation of interest in return for stock may be a taxable event in the amount of the interest cancelled. Accordingly, some of the Purchasers may require payment of interest in cash to avoid imputation of income without the corresponding payment of cash to pay the tax.

5The Company will often try to negotiate a “cushion” in the negotiated limit of the number of preferred shares in order to permit it to issue additional shares of preferred stock in transactions outside the financing, e.g., warrants for preferred stock issued in connection with an equipment financing. The language “on the same terms and conditions as those contained in this Agreement” is flexible enough to permit this. If the investors want to limit the number of preferred shares to be issued to those preferred shares issued in the financing, the language “pursuant to this Agreement” should be substituted.

6The Company may want to limit this approval right to the larger Purchasers. As an alternative, the Agreement may specify that Additional Purchasers must be approved by the Board of Directors, including the directors elected by the Series A Preferred Stockholders.

The date of the purchase and sale of the Milestone Shares are referred to in this Agreement as the “Milestone Closing.”7]

1.4[Use of Proceeds. In accordance with the directions of the Company’s Board of Directors, as it shall be constituted in accordance with the Voting Agreement, the Company will use the proceeds from the sale of the Shares for product development and other general corporate purposes.]

1.5Defined Terms Used in this Agreement. In addition to the terms defined above, the following terms used in this Agreement shall be construed to have the meanings set forth or referenced below.

(a)“Affiliate” means, with respect to any specified Person, any other Person who, directly or indirectly, controls, is controlled by, or is under common control with such Person, including, without limitation, any general partner, managing member, officer or director of such Person or any venture capital fund now or hereafter existing that is controlled by one or more general partners or managing members of, or shares the same management company with, such Person.

(b)“Code” means the Internal Revenue Code of 1986, as amended.

(c)“Company Intellectual Property”means all patents, patent applications, trademarks, trademark applications, service marks, service mark applications, tradenames, copyrights, trade secrets, domain names, mask works, information and proprietary rights and processes, similar or other intellectual property rights, subject matter of any of the foregoing, tangible embodiments of any of the foregoing, licenses in, to and under any of the foregoing, and any and all such cases [that are owned or used by] [as are necessary to] the Company in the conduct of the Company’s business as now conducted and as presently proposed to be conducted.

(d)“Indemnification Agreement” means the agreement between the Company and the director [and Purchaser Affiliates]8 designated by any Purchaser entitled to designate a member of the Board of Directors pursuant to the Voting Agreement, dated as of the date of the Initial Closing, in the form of Exhibit D attached to this Agreement.

7Consider whether the obligations of each Purchaser at a Milestone Closing are conditioned on (i) the representations and warranties remaining true (or materially so) as of such Milestone Closing, (ii) each other Purchaser purchasing shares at the Milestone Closing (i.e., if one Purchaser breaches then no others are obligated), and (iii) any other conditions. In a tranched milestone funding, investors should confirm with their accountants prior to the first closing that the initial and later tranches will not be treated as separate instruments for purposes of ASC 480 based on the specific structure of the transaction.

8See Model Indemnification Agreement for discussion of the issue of expanding coverage to include not just VC designee director, but also the fund(s) making the investment.

(e)“Investors’ Rights Agreement” means the agreement among the Company and the Purchasers9 [and certain other stockholders of the Company] dated as of the date of the Initial Closing, in the form of Exhibit E attached to this Agreement.

(f)“Key Employee” means any executive-level employee (including division director and vice president-level positions) as well as any employee or consultant who either alone or in concert with others develops, invents, programs or designs any Company Intellectual Property.10

(g)“Knowledge”including the phrase “to the Company’s knowledge” shall mean the actual knowledge [after reasonable investigation] of the following officers: [specify names].11

(h)“Management Rights Letter” means the agreement between the Company and [Purchaser], dated as of the date of the Initial Closing, in the form of Exhibit F attached to this Agreement.

(i)“Material Adverse Effect” means a material adverse effect on the business, assets (including intangible assets), liabilities, financial condition, property, prospects12 or results of operations of the Company.

(j)“Person”means any individual, corporation, partnership, trust, limited liability company, association or other entity.

(k)“Purchaser” means each of the Purchasers who is initially a party to this Agreement and any Additional Purchaser who becomes a party to this Agreement at a subsequent Closing under Subsection 1.3.

9In Series A Preferred Stock financings, the Investors’ Rights Agreement will normally be signed by all the Series A Purchasers. In subsequent financing rounds, the standard practice is to amend and restate the Investor Rights Agreement, which will then be signed by the Company as well as the subsequent and prior round purchasers.

10In a Series A round at a high-tech start-up, it is likely that the only key employees in addition to management, if any, are those who are responsible for developing the Company’s key intellectual property assets. It may be simpler for these early-stage companies to list the Key Employees by name. In later rounds, it may be appropriate to include others, e.g., important salespeople or consultants and define Key Employees by function (e.g., division director).

11An important point of negotiation is often whether the Company will represent that a given fact (a) is true or (b) is true to the Company’s knowledge. Alternative (a) requires the Company to bear the entire risk of the truth or falsity of the represented fact, regardless whether the Company knew (or could have known) at the time of the representation whether or not the fact was true. Alternative (b) is preferable from the Company’s standpoint, since it holds the Company responsible only for facts of which it is actually aware.

12Since the prospects of high-tech start-up companies are by definition highly uncertain, the Company may resist the inclusion of the word “prospects” on the grounds that investors in a Series A financing are in the business of shouldering that risk.

(l)“Right of First Refusal and Co-Sale Agreement”means the agreement among the Company, the Purchasers, and certain other stockholders of the Company, dated as of the date of the Initial Closing, in the form of Exhibit G attached to this Agreement.

(m)“Securities Act”means the Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder.

(n)“Shares” means the shares of Series A Preferred Stock issued at the Initial Closing and any [Milestone Shares or] Additional Shares issued at a subsequent Closing under Subsection 1.3.

(o)“Transaction Agreements” means this Agreement, the Investors’Rights Agreement, the Management Rights Letter, the Right of First Refusal and Co-Sale Agreement, the Voting Agreement and [list any other agreements, instruments or documents entered into in connection with this Agreement].

(p)“Voting Agreement” means the agreement among the Company, the Purchasers and certain other stockholders of the Company, dated as of the date of the Initial Closing, in the form of Exhibit H attached to this Agreement.

2.Representations and Warranties of the Company. The Company hereby represents and warrants to each Purchaser that, except as set forth on the Disclosure Schedule attached as Exhibit C to this Agreement, which exceptions shall be deemed to be part of the representations and warranties made hereunder, the following representations are true and complete as of the date of the Initial Closing, except as otherwise indicated. The Disclosure Schedule shall be arranged in sections corresponding to the numbered and lettered sections and subsections contained in this Section 2, and the disclosures in any section or subsection of the Disclosure Schedule shall qualify other sections and subsections in this Section 2 only to the extent it is readily apparent from a reading of the disclosure that such disclosure is applicable to such other sections and subsections.13

13The purpose of the Company’s representatio ns is primarily to create a mechanism to ensure full disclosure about the Company’s organization, financial condition and business to the investors. The Company is required to list any deviations from the representations on a Disclosure Schedule, the preparation and review of which drives the due diligence process on both sides of the deal. For subsequent closings, changes to the Disclosure Schedule are sometimes simply referenced on the Compliance Certificate. The introductory paragraph to this Section 2 may be modified to permit an update to the Disclosure Schedule that would be reasonably acceptable to each of the Purchasers. If this modification is made, a closing condition should be added to indicate that the updated Disclosure Schedule will be delivered and that each of the Purchasers may refuse to close if the updated Disclosure Schedule is reasonably unacceptable to that Purchaser. If there is to be a Milestone Closing, specific representations and warranties to be true as of the Milestone Closing date may need to be negotiated. Some practitioners prefer to deliver the Disclosure Schedule separately, instead of as an exhibit to the Stock Purchase Agreement, so that the Disclosure Schedule will not have to be publicly filed in the event the Stock Purchase Agreement is filed as an exhibit to a public offering registration statement.

For purposes of these representations and warranties (other than those in Subsections 2.2, 2.3, 2.4, 2.5 and 2.6), the term the “Company” shall include any subsidiaries of the Company, unless otherwise noted herein.

2.1Organization, Good Standing, Corporate Power and Qualification.14 The Company is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware and has all requisite corporate power and authority to carry on its business as presently conducted and as proposed to be conducted. The Company is duly qualified to transact business and is in good standing in each jurisdiction in which the failure to so qualify would have a Material Adverse Effect.

2.2Capitalization.15

(a)The authorized capital of the Company consists, immediately prior to the Initial Closing, of:

(i)[__________] shares of common stock, $[____] par value per share (the “Common Stock”), [_________] shares of which are issued and outstanding immediately prior to the Initial Closing. All of the outstanding shares of Common Stock have been duly authorized, are fully paid and nonassessable and were issued in compliance with all applicable federal and state securities laws. [The Company holds no Common Stock in its treasury.]

(ii)[__________] shares of Preferred Stock, of which [__________] shares have been designated Series A Preferred Stock, none of which are issued and outstanding immediately prior to the Initial Closing. The rights, privileges and preferences of the Preferred Stock are as stated in the Restated Certificate and as provided by the Delaware General Corporation Law. [The Company holds no Preferred Stock in its treasury.]

(b)The Company has reserved [__________] shares of Common Stock for issuance to officers, directors, employees and consultants of the Company pursuant to its [Plan Year] Stock [Option] Plan duly adopted by the Board of Directors and approved by the 14The purpose of this representation is to ensure that basic corporate maintenance has been properly carried out by the Company. Note that the Company is required to disclose failure to qualify in other jurisdictions where it does business only if failure to do so could have a “Material Adverse Effect”; the purpose of this language is to eliminate the time and expense of doing a state-by-state analysis to determine whether the Company should technically be qualified. If the Company has material connections to states in which it is not qualified, these states must be investigated by counsel to determine whether qualification is necessary and whether there are potential adverse effects of having failed to qualify.

15Subsection 2.2 describes the Company’s capital structure and can be stated either immediately prior to or upon the Initial Closing of the financing. This description details any outstanding rights or privileges with respect to the Company’s securities. In later round financings, th is description would also list any co-sale rights and rights of first refusal granted to investors in prior rounds. In later round financings, consider adding representations that there have been no conversions of previously-issued preferred stock to common stock, the number of shares that would be outstanding on an as-converted-to-common stock basis and the current conversion ratios of each series of preferred stock.

Company stockholders (the “Stock Plan”). Of such reserved shares of Common Stock, [__________] shares have been issued pursuant to restricted stock purchase agreements, options to purchase [__________] shares have been granted and are currently outstanding, and [__________] shares of Common Stock remain available for issuance to officers, directors, employees and consultants pursuant to the Stock Plan. The Company has furnished to the Purchasers complete and accurate copies of the Stock Plan and forms of agreements used thereunder.

(c)Subsection 2.2(c) of the Disclosure Schedule sets forth the capitalization of the Company immediately following the Initial Closing including the number of shares of the following: (i) issued and outstanding Common Stock, including, with respect to restricted Common Stock, vesting schedule and repurchase price; (ii) granted stock options, including vesting schedule and exercise price; (iii) shares of Common Stock reserved for future award grants under the Stock Plan; (iv) each series of Preferred Stock; and (v) warrants or stock purchase rights, if any.16Except for (A) the conversion privileges of the Shares to be issued under this Agreement, (B) the rights provided in Section 4 of the Investors’ Rights Agreement, and (C) the securities and rights described in Subsection 2.2(b) of this Agreement and Subsection 2.2(c) of the Disclosure Schedule, there are no outstanding options, warrants, rights (including conversion or preemptive rights and rights of first refusal or similar rights) or agreements, orally or in writing, to purchase or acquire from the Company any shares of Common Stock or Series A Preferred Stock, or any securities convertible into or exchangeable for shares of Common Stock or Series A Preferred Stock. All outstanding shares of the Company’s Common Stock and all shares of the Company’s Common Stock underlying outstanding options are subject to (i) a right of first refusal in favor of the Company upon any proposed transfer (other than transfers for estate planning purposes); and (ii) a lock-up or market standoff agreement of not less than one hundred eighty (180) days following the Company’s initial public offering pursuant to a registration statement filed with the Securities and Exchange Commission under the Securities Act.

(d)None of the Company’s stock purchase agreements or stock option documents contains a provision for acceleration of vesting (or lapse of a repurchase right) or other changes in the vesting provisions or other terms of such agreement or understanding upon the occurrence of any event or combination of events, including without limitation in the case where the Company’s Stock Plan is not assumed in an acquisition. The Company has never adjusted or amended the exercise price of any stock options previously awarded, whether through amendment, cancellation, replacement grant, repricing, or any other means. Except as set forth in the Restated Certificate, the Company has no obligation (contingent or otherwise) to purchase or redeem any of its capital stock.

(e)[409A. The Company believes in good faith that any “nonqualified deferred compensation plan” (as such term is defined under Section 409A(d)(1) of the Code and the guidance thereunder) under which the Company makes, is obligated to make or promises to 16Some practitioners prefer to delete this representation, provided the capitalization table is a separate document.

make, payments (each, a “409A Plan”) complies in all material respects, in both form and operation, with the requirements of Section 409A of the Code and the guidance thereunder. To the knowledge of the Company, no payment to be made under any 409A Plan is, or will be, subject to the penalties of Section 409A(a)(1) of the Code.]17

(f)The Company has obtained valid waivers of any rights by other parties to purchase any of the Shares covered by this Agreement.

2.3Subsidiaries.18 The Company does not currently own or control, directly or indirectly, any interest in any other corporation, partnership, trust, joint venture, limited liability company, association, or other business entity. The Company is not a participant in any joint venture, partnership or similar arrangement.

2.4Authorization.19All corporate action required to be taken by the Company’s Board of Directors and stockholders in order to authorize the Company to enter into the Transaction Agreements, and to issue the Shares at the Closing and the Common Stock issuable upon conversion of the Shares, has been taken or will be taken prior to the Closing. All action on the part of the officers of the Company necessary for the execution and delivery of the Transaction Agreements, the performance of all obligations of the Company under the Transaction Agreements to be performed as of the Closing, and the issuance and delivery of the Shares has been taken or will be taken prior to the Closing. The Transaction Agreements, when executed and delivered by the Company, shall constitute valid and legally binding obligations of the Company, enforceable against the Company in accordance with their respective terms except (i) as limited by applicable bankruptcy, insolvency, reorganization, moratorium, fraudulent conveyance, or other laws of general application relating to or affecting the enforcement of creditors’rights generally, (ii) as limited by laws relating to the availability of specific performance, injunctive relief, or other equitable remedies, or (iii) to the extent the indemnification provisions contained in the Investors’ Rights Agreement and the Indemnification Agreement may be limited by applicable federal or state securities laws.

17It should be noted that the consensus among the NVCA drafting group was that the 409A issues are better dealt with as a diligence item, rather than a company rep. Nevertheless, this rep is included here because it is in any case important that the issue be surfaced as part of the financing, to ensure that the company is mindful of the obligations and potential penalties imposed by 409A as it makes future equity grants. Inserting the rep in the first draft, as a discussion item, is one way to ensure that the issue is not neglected.

18The purpose of this representation is to require the Company to fully disclose its structure, including other corporations, if any, that it controls. If the Company does have subsidiaries, you should (i) add to Subsection 2.3 a representation with respect to the subsidiaries of the Company modeled after Subsection 2.1 regarding the organization, good standing and qualification of each such subsidiary, and (ii) add a reference to subsidiaries where appropriate in Section 2. Some formulations include subsidiaries in the definition of the Company, this approach works if careful attention is given to representations where the effect of such inclusion requires additional language (for example, the representation in Subsection 2.2 would require either the exclusion of subsidiaries or a separate paragraph regarding the capitalization of subsidiaries).

19In certain jurisdictions, ancillary agreements executed in connection with the financing, such as noncompetition provisions or voting agreements, may be subject to some question regarding their enforceability, and the representation should be modified accordingly.

2.5Valid Issuance of Shares.20 The Shares, when issued, sold and delivered in accordance with the terms and for the consideration set forth in this Agreement, will be validly issued, fully paid and nonassessable and free of restrictions on transfer other than restrictions on transfer under the Transaction Agreements, applicable state and federal securities laws and liens or encumbrances created by or imposed by a Purchaser. Assuming the accuracy of the representations of the Purchasers in Section 3 of this Agreement and subject to the filings described in Subsection 2.6(ii) below, the Shares will be issued in compliance with all applicable federal and state securities laws. The Common Stock issuable upon conversion of the Shares has been duly reserved for issuance, and upon issuance in accordance with the terms of the Restated Certificate, will be validly issued, fully paid and nonassessable and free of restrictions on transfer other than restrictions on transfer under the Transaction Agreements, applicable federal and state securities laws and liens or encumbrances created by or imposed by a Purchaser. Based in part upon the representations of the Purchasers in Section 3 of this Agreement, and subject to Subsection 2.6 below, the Common Stock issuable upon conversion of the Shares will be issued in compliance with all applicable federal and state securities laws.

2.6Governmental Consents and Filings. Assuming the accuracy of the representations made by the Purchasers in Section 3 of this Agreement, no consent, approval, order or authorization of, or registration, qualification, designation, declaration or filing with, any federal, state or local governmental authority is required on the part of the Company in connection with the consummation of the transactions contemplated by this Agreement, except for (i) the filing of the Restated Certificate, which will have been filed as of the Initial Closing, and (ii) filings pursuant to Regulation D of the Securities Act, and applicable state securities laws, which have been made or will be made in a timely manner.

2.7Litigation.21There is no claim, action, suit, proceeding, arbitration, complaint, charge or investigation22 pending or to the Company’s knowledge, currently threatened [in writing] (i) against the Company or any officer, director or Key Employee of the Company [arising out of their employment or board relationship with the Company][; or] (ii) [to the Company’s knowledge,] that questions the validity of the Transaction Agreements or the 20The representations in Subsections 2.4 and 2.5 are intended to ensure that the Company has taken all steps necessary to issue the preferred stock in accordance with applicable corporate law. This means that, before the closing, the Company must (A) obtain the requisite stockholder and board approvals to amend the Certificate of Incorporation and issue the stock; (B) file the Restated Certificate; and (C) obtain any other stockholder consents or waivers required pursuant to the Restated Certificate, Bylaws, and existing agreements with securityholders (most importantly, waivers to any existing rights of first offer or refusal). Subsection 2.5 also requires the Company to disclose any restrictions on transfer other than those contained in the Transaction Agreements (such as any contained in the Restated Certificate and Bylaws, or any preemptive rights contained in agreements with other securityholders).

21The litigation representation will often be unqualified in Series A financings. The bracketed materiality qualifiers are more common in later rounds of financings. In subsequent rounds it is no longer appropriate to have the Company make representations regarding directors (as opposed to employees), since directors will include investor representatives.

22It may be appropriate to include a knowledge qualifier as to investigations since it would be difficult for the Company to know of an investigation unless it had been notified. Some investors nevertheless feel the risk is appropriately borne by the Company.

right of the Company to enter into them, or to consummate the transactions contemplated by the Transaction Agreements[; or (iii) to the Company’s knowledge, that would reasonably be expected to have, either individually or in the aggregate, a Material Adverse Effect]. Neither the Company nor, to the Company’s knowledge, any of its officers, directors or Key Employees is a party or is named as subject to the provisions of any order, writ, injunction, judgment or decree of any court or government agency or instrumentality (in the case of officers, directors or Key Employees, such as would affect the Company). There is no action, suit, proceeding or investigation by the Company pending or which the Company intends to initiate. The foregoing includes, without limitation, actions, suits, proceedings or investigations pending or threatened in writing (or any basis therefor known to the Company) involving the prior employment of any of the Company’s employees, their services provided in connection with the Company’s business, any information or techniques allegedly proprietary to any of their former employers or their obligations under any agreements with prior employers.

2.8Intellectual Property.23 [The Company owns or possesses or [believes it] can acquire on commercially reasonable terms sufficient legal rights to all Company Intellectual Property without any known conflict with, or infringement of, the rights of others.] To the Company’s knowledge, no product or service marketed or sold (or proposed to be marketed or sold) by the Company violates or will violate any license or infringes or will infringe any intellectual property rights of any other party. Other than with respect to commercially available software products under standard end-user object code license agreements, there are no outstanding options, licenses, agreements, claims, encumbrances or shared ownership interests of any kind relating to the Company Intellectual Property, nor is the Company bound by or a party to any options, licenses or agreements of any kind with respect to the patents, trademarks, service marks, trade names, copyrights, trade secrets, licenses, information, proprietary rights and processes of any other Person. The Company has not received any communications alleging that the Company has violated, or by conducting its business, would violate any of the patents, trademarks, service marks, tradenames, copyrights, trade secrets, mask works or other proprietary rights or processes of any other Person. The Company has obtained and possesses valid licenses to use all of the software programs present on the computers and other software-enabled electronic devices that it owns or leases or that it has otherwise provided to its employees for their use in connection with the Company’s business. To the Company’s knowledge, it will not be necessary to use any inventions of any of its employees or consultants (or Persons it currently intends to hire) made prior to their employment by the Company. Each employee and consultant has assigned to the Company all intellectual property rights he or she owns that are related to the Company’s business as now conducted and as presently proposed to be conducted. Subsection 2.8 of the Disclosure Schedule lists all Company Intellectual 23Subsection 2.8 gives the Purchasers assurances that the Company has the intellectual property rights necessary to conduct its business, or has disclosed its need to acquire further rights. Although Purchasers prefer an unqualified representation, this provision is often heavily negotiated, and may be impossible for the Company to make with certainty for a product in a very early stage of development. Under a common compromise, the Company provides an unqualified representation with respect to everything but patents, on the theory that potential patent conflicts cannot always be uncovered even after reasonable investigation, and that patent conflicts therefore represent an unknown risk that is fairly borne by both parties.

Property.24The Company has not embedded any open source, copyleft or community source code in any of its products generally available or in development, including but not limited to any libraries or code licensed under any General Public License, Lesser General Public License or similar license arrangement.25For purposes of this Subsection 2.8, the Company shall be deemed to have knowledge of a patent right if the Company has actual knowledge of the patent right or would be found to be on notice of such patent right as determined by reference to United States patent laws.

2.9Compliance with Other Instruments. The Company is not in violation or default (i) of any provisions of its Restated Certificate or Bylaws, (ii) of any instrument, judgment, order, writ or decree, (iii) under any note, indenture or mortgage, or (iv) under any lease, agreement, contract or purchase order to which it is a party or by which it is bound that is required to be listed on the Disclosure Schedule,or (v) [to its knowledge,] of any provision of federal or state statute, rule or regulation applicable to the Company, the violation of which would have a Material Adverse Effect. The execution, delivery and performance of the Transaction Agreements and the consummation of the transactions contemplated by the 24If you represent the Company, you may seek to use a more specific list of items (a subset of the broader definition of Company Intellectual Property) to be set forth on the Disclosure Schedule: “patents, patent applications, trademarks, trademark applications, service marks, service mark applications, tradenames, copyrights, and li censes to and under any of the foregoing.”

25This representation regarding non-use of open source software is intended to elicit disclosure of publicly available, third-party source code that the Company has incorporated, or intends to incorporate, into its products. In most cases, the Purchasers should be concerned primarily about use of third-party source code distributed under a license that requires the Company to disclose and distribute its own source code, that grants licensees rights under the Company’s patents, or that contains other provisions that relinquish or may compromise the Company’s intellectual property rights or commercial prospects. Much publicly available source code is distributed under licenses that permit it to be freely used and redistributed without imposing onerous obligations upon those that use it to develop their own software. Note also that the General Public License (“GPL”) and other so-called “viral” open source licenses impose potentially onerous obligations upon licensees only if code distributed under them is incorporated into a product that is actually released to the general public. Some proprietary software companies experiment with code distributed under the GPL during the development process with no intention of retaining GPL code in the products ultimately released to their customers. (This experimentation typically is done in a separate “branch”of the source code of a product in development.) The Company may wish to consider narrowing this representation to include use of third-party source code distributed under any license that imposes specified obligations upon the Company, and perhaps then only if the third party source code has been included in a product that the Company has released. An example of a reduced-disclosure open source representation is as follows: “The Company has not embedded, used or distributed any open source, copyleft or community source code (including but not limited to any libraries or code, software, technologies or other materials that are licensed or distributed under any General Public License, Lesser General Public License or similar license arrangement or other distribution model described by the Open Source Initiative at https://www.sodocs.net/doc/496195078.html,, collectively “Open Source Software”) in connection with any of its products or services that are generally available or in development in any manner that would materially restrict the ability of the Company to protect its proprietary interests in any such product or service or in any manner that requires, or purports to require (i) any Company IP (other than the Open Source Software itself) be disclosed or distributed in source code form or be licensed for the purpose of making derivative works; (ii) any restriction on the consideration to be charged for the distribution of any Company IP; (iii) the creation of any obligation for the Company with respect to Company IP owned by the Company, or the grant to any third party of any rights or immunities under Company IP owned by the Company; or (iv) any other limitation, restriction or condition on the right of the Company with respect to its use or distribution of any Company IP.”

Transaction Agreements will not result in any such violation or be in conflict with or constitute, with or without the passage of time and giving of notice, either (i) a default under any such provision, instrument, judgment, order, writ, decree, contract or agreement; or (ii) an event which results in the creation of any lien, charge or encumbrance upon any assets of the Company or the suspension, revocation, forfeiture, or nonrenewal of any material permit or license applicable to the Company.

2.10Agreements; Actions.26

(a)Except for the Transaction Agreements, there are no agreements, understandings, instruments, contracts or proposed transactions to which the Company is a party or by which it is bound that involve (i) obligations (contingent or otherwise) of, or payments to, the Company in excess of [_________], (ii) the license of any patent, copyright, trademark, trade secret or other proprietary right to or from the Company, (iii) the grant of rights to manufacture, produce, assemble, license, market, or sell its products to any other Person that limit the Company’s exclusive right to develop, manufacture, assemble, distribute, market or sell its products, or (iv) indemnification by the Company with respect to infringements of proprietary rights.

(b)The Company has not (i) declared or paid any dividends, or authorized or made any distribution upon or with respect to any class or series of its capital stock, (ii) incurred any indebtedness for money borrowed or incurred any other liabilities individually in excess of [___________] or in excess of [__________] in the aggregate, (iii) made any loans or advances to any Person, other than ordinary advances for travel expenses, or (iv) sold, exchanged or otherwise disposed of any of its assets or rights, other than the sale of its inventory in the ordinary course of business. For the purposes of (b) and (c) of this Subsection 2.10, all indebtedness, liabilities, agreements, understandings, instruments, contracts and proposed transactions involving the same Person (including Persons the Company has reason to believe are affiliated with each other) shall be aggregated for the purpose of meeting the individual minimum dollar amounts of such subsection.

(c)The Company is not a guarantor or indemnitor of any indebtedness of any other Person.

(d)[The Company has not engaged in the past [three (3) months] in any discussion with any representative of any Person regarding (i) a sale or exclusive license of all or substantially all of the Company’s assets, or (ii) any merger, consolidation or other business combination transaction of the Company with or into another Person.]27

26Subsections 2.10(a) and 2.10(a) require the Company to disclose material contracts as well as other agreements or arrangements that might be important from a due diligence standpoint regardless of dollar amount (such as intellectual property licenses or a proposed acquisition of the Company). The disclosure thresholds are negotiable.

27This representation is not standard, but is sometimes requested by investors concerned that the Company might be considering a business combination transaction.

2.11Certain Transactions.28

(a)Other than (i) standard employee benefits generally made available to all employees, (ii) standard director and officer indemnification agreements approved by the Board of Directors, and (iii) the purchase of shares of the Company’s capital stock and the issuance of options to purchase shares of the Company’s Common Stock, in each instance, approved in the written minutes of the Board of Directors (previously provided to the Purchasers or their counsel), there are no agreements, understandings or proposed transactions between the Company and any of its officers, directors, consultants or Key Employees, or any Affiliate thereof.

(b)The Company is not indebted, directly or indirectly, to any of its directors, officers or employees or to their respective spouses or children or to any Affiliate of any of the foregoing, other than in connection with expenses or advances of expenses incurred in the ordinary course of business or employee relocation expenses and for other customary employee benefits made generally available to all employees. None of the Company’s directors, officers or employees, or any members of their immediate families, or any Affiliate of the foregoing are, directly or indirectly, indebted to the Company[ or, [to the Company’s knowledge], have any (i) material commercial, industrial, banking, consulting, legal, accounting, charitable or familial relationship with any of the Company’s customers, suppliers, service providers, joint venture partners, licensees and competitors, (ii) direct or indirect ownership interest in any firm or corporation with which the Company is affiliated or with which the Company has a business relationship, or any firm or corporation which competes with the Company except that directors, officers, employees or stockholders of the Company may own stock in (but not exceeding two percent (2%) of the outstanding capital stock of) publicly traded companies that may compete with the Company; or (iii) financial interest in any [material] contract with the Company].29

2.12Rights of Registration and Voting Rights.30Except as provided in the Investors’Rights Agreement, the Company is not under any obligation to register under the Securities Act any of its currently outstanding securities or any securities issuable upon exercise or conversion of its currently outstanding securities. To the Company’s knowledge, except as 28This representation requires disclosure of situations which could create a conflict of interest. This is an item of particular concern in the first round of venture capital financing, since loans among the Company and its founders and their families (which may not be well documented) are especially common prior to the first infusion of outside capital.

29The bracketed portion of this sentence may be a broader representation than the Company is comfortable giving. In addition, it is appropriate to include directors throughout this section only at the first financing round. In subsequent rounds the directors will include investor representatives, and it should not be incumbent on the Company to make disclosures as to them.

30Prior registration rights may conflict with those currently being negotiated among the investors and the Company. Therefore, any such rights must be carefully reviewed and any conflicts resolved. It is common to have any previous registration rights agreement amended to include the new investors, or replaced by a new agreement including the old and new investors and clarifying their rights relative to each other as well as the Company. It is preferable to have all registration rights relating to the Company’s securities set forth in one document. Having several different sets of rights outstanding can be a significant (and confusing) complication when the Company goes public.

contemplated in the Voting Agreement, no stockholder of the Company has entered into any agreements with respect to the voting of capital shares of the Company.

2.13Property. The property and assets that the Company owns are free and clear of all mortgages, deeds of trust, liens, loans and encumbrances, except for statutory liens for the payment of current taxes that are not yet delinquent and encumbrances and liens that arise in the ordinary course of business and do not materially impair the Company’s ownership or use of such property or assets. With respect to the property and assets it leases, the Company is in compliance with such leases and, to its knowledge, holds a valid leasehold interest free of any liens, claims or encumbrances other than those of the lessors of such property or assets. The Company does not own any real property.

2.14Financial Statements.31 The Company has delivered to each Purchaser its [unaudited] [audited] financial statements as of [_______ __, 20_] and for the fiscal year ended [_______ __, 20_] [and its unaudited financial statements (including balance sheet, income statement and statement of cash flows) as of [_______ __, 20_] and for the [_____]-month period ended [_______ __, 20_] (collectively, the “Financial Statements”). The Financial Statements have been prepared in accordance with generally accepted accounting principles (“GAAP”)applied on a consistent basis throughout the periods indicated[, except that the unaudited Financial Statements may not contain all footnotes required by GAAP]. The Financial Statements fairly present in all material respects the financial condition and operating results of the Company as of the dates, and for the periods, indicated therein, subject in the case of the unaudited Financial Statements to normal year-end audit adjustments. Except as set forth in the Financial Statements, the Company has no material liabilities or obligations, contingent or otherwise, other than (i) liabilities incurred in the ordinary course of business subsequent to [___________]; (ii) obligations under contracts and commitments incurred in the ordinary course of business; and (iii) liabilities and obligations of a type or nature not required under GAAP to be reflected in the Financial Statements, which, in all such cases, individually and in the aggregate would not have a Material Adverse Effect. The Company maintains and will continue to maintain a standard system of accounting established and administered in accordance with GAAP.

2.15Changes.32Since [date of most recent financial statements/date of incorporation if no financial statements]there has not been:

31For early stage companies without financial statements, it may be appropriate to have an alternative provision, such as the following:

Material Liabilities. The Company has no liability or obligation, absolute or contingent (individually or in the aggregate), except (i) obligations and liabilities incurred after the date of incorporation in the ordinary course of business that are not material, individually or in the aggregate, and (ii) obligations under contracts made in the ordinary course of business that would not be required to be reflected in financial statements prepared in accordance with GAAP.

32The purpose of this representation is to “bring down”the financial statements from the period covered thereby. Therefore, the blank in Subsection 2.15 should be filled with the last date covered by the financial statements provided to the investors, and any of the changes listed in this section must be disclosed on the

(a)any change in the assets, liabilities, financial condition or operating results of the Company from that reflected in the Financial Statements, except changes in the ordinary course of business that have not caused, in the aggregate, a Material Adverse Effect;

(b)any damage, destruction or loss, whether or not covered by insurance, that would have a Material Adverse Effect;

(c)any waiver or compromise by the Company of a valuable right or of a material debt owed to it;

(d)any satisfaction or discharge of any lien, claim, or encumbrance or payment of any obligation by the Company, except in the ordinary course of business and the satisfaction or discharge of which would not have a Material Adverse Effect;

(e)any material change to a material contract or agreement by which the Company or any of its assets is bound or subject;

(f)any material change in any compensation arrangement or agreement with any employee, officer, director or stockholder;

(g)any resignation or termination of employment of any officer or Key Employee of the Company;

(h)any mortgage, pledge, transfer of a security interest in, or lien, created by the Company, with respect to any of its material properties or assets, except liens for taxes not yet due or payable and liens that arise in the ordinary course of business and do not materially impair the Company’s ownership or use of such property or assets;

(i)any loans or guarantees made by the Company to or for the benefit of its employees, officers or directors, or any members of their immediate families, other than travel advances and other advances made in the ordinary course of its business;

(j)any declaration, setting aside or payment or other distribution in respect of any of the Company’s capital stock, or any direct or indirect redemption, purchase, or other acquisition of any of such stock by the Company;

(k)any sale, assignment or transfer of any Company Intellectual Property that could reasonably be expected to result in a Material Adverse Effect;

______________________________

(..continued)

Disclosure Schedule. While the itemization in this section serves as a useful due diligence checklist, this section can be replaced by a much shorter section reading simply, “[To the Company’s knowledge], since [______,] there have been no events or circumstances of any kind that have had or could reasonably be expected to result in a Material Adverse Effect.”

法律文书写作要求

法律文书写作要求 学习要求： 通过本章的学习，要求掌握法律文书的概念、特点、作用；掌握起诉状、上诉状、申诉状、答辩状、反诉状的概念、文种之间的区别、写作格式和写作要求。重点掌握：起诉状、上诉状、申诉状、答辩状、反诉状的写作。 一、重、难点内容提示 （一）法律文书概述 1.法律文书的概念、特点 法律文书是指公民、法人、国家机关及其它组织在处理各种法律事务中，为实现法律赋予的权利和履行法律规定的义务而依法制作的、具有法律效力和法律意义的一系列文书的总称。 法律文书有广义和狭义之分。广义上的法律文书，泛指一切法律上有效的文件、文书。狭义的法律文书，指公安部门、人民检察院、人民法院所使用的司法文书和当事人在诉讼活动中所使用的诉讼状。 法律文书的特点： （1）适用法律的严肃性

适用法律的严肃性主要表现在两个方面，一方面法律文书的制作，必须严格依法办事，事实必须真实、清楚，证据必须确凿、充分，论证必须严密、理由充足，结论必须正确、符合法律要求，语言必须严谨、明确，切忌模棱两可、含糊其辞。另一方面法律文书的制作，必须严格依照法定程序进行。程序法是确保各种实体法得以贯彻实施的保障，也是确保法律文书具有法律效力和法律意义的必要条件。 （2）事实认定的客观性 认定事实的客观性包括下面三个方面：第一、准确地揭示案件的本来面貌；第二、全面阐述案件的各个侧面；第三、准确表达案件关键部分的事实。 （3）生效执行的权威性 法律文书由法律保证其生效执行的权威性，这种权威性具体表现在法律文书制作的合法性、执行的强制性和解释的单一性三个方面：第一、制作法律文书的主体必须具有相应的合法资格；第二、法律是依靠国家的强制力保证实施的，法律文书的许多文种都具有法律强制执行的效力，以此来保证法律实施的权威性；第三、法律文书的解释必须是单一性的，不能有任何词语的歧义和模棱两可的提法。 （4）体裁格式的规范性

论美国宪法上的正当法律程序原则

论美国宪法上的正当法律程序原则 【摘要】正当法律程序（dueprocessoflaw），通常又被称为法律的正当程序（DueProcessofClause）或者正当程序条款。美国宪法上的正当法律程序可分为程序性的正当程序和实质性的正当程序。从戈德博格诉凯利案开始一直发展到马修斯诉埃尔德里奇案，美国联邦法院基本上确立了如何衡量正当程序标准的方法。这种功能主义的利益衡量，具有适用上和功能上的灵活性，已成为今天处理程序性正当程序的主导模式，并在美国宪法解释中发挥着重要作用。 【关键词】正当程序；美国宪法；利益衡量；程序标准 一、正当法律程序的概述 （一）正当法律程序之辩思 正当法律程序（dueprocessoflaw），通常又被称为法律的正当程序（DueProcessofClause）或者正当程序条款。从美国法律辞典对其界定来看，正当法律程序的概念至少包含以下的内容：一是正当程序

的目的是保障个人权利，这种权利在美国宪法中被概括抽象为“生命、自由和财产”。二是正当程序的限制是针对政府行为和政府权力。三是限制的方式是通过法律确立的原则和程序。[i] （二）正当法律程序类型之嬗变 正当法律程序最初的含义仅指程序性正当法律程序，其最初来源于英国的《大宪章》和普通法。程序性正当法律程序原来适用于司法领域，是指为了保持日常司法工作的纯洁性而采取的促使审判和调查公正进行的措施或手段。后来其扩展到行政领域，开始专注于政府政策执行的方法和程序，保证政府施加管制或惩罚的过程的公正性。行政法学上所讨论的正当法律程序，是就宪法上的程序性正当法律程序而言。[ii]后来在美国最高法院的司法实践中，正当程序又发展了另外一种含义即实质性正当程序。实质性正当程序着眼于法律本身是否公正、理性并具有充分的正当理由，而不考虑实施该法律的程序是否公正或充分。在程序性正当程序的语境下，法院只审查执行法律的过程和方法是否合宪。而实质性正当程序则检验据以执行的法律本身的合理性和正当性。

法律文书格式规范

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《法律文书写作》第七章节、第八章节 练习题【答案】

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9、[意]彼德罗·彭梵得著：《罗马法教科书》，黄风译，中国政法大学出版社1992年版。 10、[英]梅因：《古代法》沈景一译，商务印书馆1959年版； 13、[美]孟罗·斯密著：《欧陆法律发达史》姚梅镇译，中国政法大学出版社1999年版； 14、[美]哈罗德·J·伯尔曼著：《法律与革命》，贺卫方等译，中国大百科全书出版社1993年版； 15.[古希腊]亚里士多德：《政治学》，吴寿彭译，商务印书馆1996年版。 16.[古希腊]普鲁塔克著：《希腊罗马名人传》，黄宏煦主编，陆永庭、吴彭鹏等译，商务印书馆1999年版。 17.江平、米健：《罗马法基础》，中国政法大学出版社1987年版。 18．曲可伸著：《罗马法原理》，南开大学出版社1988年版。 19．[英]巴里·尼古拉斯著：《罗马法概论》，黄风译，法律出版社20XX年版。 46、优士丁尼：《法学阶梯》，徐国栋译，中国政法大学出版社1999年版。 47、梁慧星：《民法解释学》，中国政法大学出版社1995年版。

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美国合同法案例

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论行政法正当程序原则论文

中央广播电视大学开放教育 新疆广播电视大学本科毕业论文 论行政法正当程序原则 作者：郑成贤 学校：新疆广播电视大学 专业：法学 年级：13春法学本科 学号：1365001211902 指导教师：郑温 2016 年5月

目录 论文摘要 (1) 一、行政法正当程序的其本含义与渊源 (2) （一）行政正当程序的基本含义 (2) （二）英国正当程序的法律渊源 (2) （三）美国正当程序的确立与发展 (2) （四）大陆法系国家的正当程序演变与发展 (2) 二、行政法正当程序的理论基础 (3) （一）行政程序工具主义 (3) （二）行政程序本位主义 (3) （三）程序主义行政程序正当性的基本要求 (3) 三、正当程序原则在我国行政法上的构建 (4) （一）避免偏私原则 (4) （二）行政参与原则 (4) （三）行政公开原则 (4) （四）监督制约原则 (4) 四、行政正当程序在我国行政法中适用的发展 (4) （一）从开放式到发条式的发展 (4) （二）影响流转的两个重要因素 (5) 参考文献 (6)

论文摘要 论文从行政法正当程序历史发展渊源以及理论基础上结合行政正当程序我国行政法上的构建以及行政正当程序在我国行政法中适用的发展。对“行政法正当程序原则”进行深入的探讨研究。论述“行政法正当程序”这一原则。论文具体内容研究包括以下几个方面：1、行政法正当程序的基本含义于渊源。分析的行政正当程序原则的内涵以及历史渊源。2、行政法正当程序的理论基础。论文论述了行政程序的工具主义、本位主义、程序主义行政程序正当性的基本要求，为行政法正当程序提供了理论基础。3、正当程序原则在我国行政法上的构建。即避免偏私原则、行政参与原则、行政公开原则、监督制约原则四个要素。4、行政正当程序在我国行政法中适用的发展。论文以开放式到发条式的发展、影响流转的两个重要因素为线索。论述了行政正当程序我国行政法中的适用以及发展。总之，论文对上述问题的研究探讨，力求体现行政正当程序在我国行政程序发展过程中的突出作用，明确正当程序原则在我国行政法制中的核心地位。 关键词：行政程序、行政法、正当程序、原则、理论基础、构成要件、行政法适用的发展

2020年民事诉讼文书样式模板大全

异议书 异议人(被告)：×××，男/女，××××年××月××日出生，×族，……(写明工作单位和职务或者职业)，住……。联系方式：……。 法定代理人/指定代理人：×××，……。 委托诉讼代理人：×××，……。 (以上写明异议人和其他诉讼参加人的姓名或者名称等基本信息) 请求事项： 将××××人民法院(××××)……号……(写明案件当事人和案由)一案移送 ××××人民法院管辖。 事实和理由： ……(写明提出管辖权异议的事实和理由)。 此致 ××××人民法院 异议人(签名或者盖章) ××××年××月××日 【说明】 1．本样式根据《中华人民共和国民事诉讼法》第一百二十七条第一款制定，供当事人向第一审人民法院提出管辖权异议用。 2．当事人是法人或者其他组织的，写明名称住所。另起一行写明法定代表人、主要负责人及其姓名、职务、联系方式。 3．人民法院受理案件后，当事人对管辖权有异议的，应当在提交答辩状期间提出。

民事上诉状 上诉人(原审诉讼地位)：×××，男/女，××××年××月××日出生，×族，……(写明工作单位和职务或者职业)，住……。联系方式：……。 法定代理人/指定代理人：×××，……。 委托诉讼代理人：×××，……。 被上诉人(原审诉讼地位)：×××，……。 …… (以上写明当事人和其他诉讼参加人的姓名或者名称等基本信息) 上诉人×××因与被上诉人×××……(写明案由)一案，不服××××人民法院 ××××年××月××日作出的(××××)……民初……号驳回管辖权异议裁定，现提起上诉。 上诉请求： 1．撤销××××人民法院(××××)……民初……号驳回管辖权异议民事裁定书； 2．本案移送××××人民法院处理。 上诉理由： ……(写明不服驳回管辖权异议裁定的事实和理由)。 此致 ××××人民法院 附：本上诉状副本×份 上诉人(签名或者盖章) ××××年××月××日 【说明】 1．本样式根据《中华人民共和国民事诉讼法》第一百五十四条第一款第二项、第二款、第一百六十四条第二款、第一百六十五条、第一百六十六条、第二百六十九条制定，供被告对第一审人民法院驳回管辖权异议裁定不服提起上诉用。 2．当事人是法人或者其他组织的，写明名称住所。另起一行写明法定代表人、主要负责人及其姓名、职务、联系方式。 3．当事人对驳回管辖权异议上诉的，有权在裁定书送达之日起十日内向上一级人民法院提起上诉。在中华人民共和国领域内没有住所的当事人不服第一审人民法院裁定的，有权在裁定书送达之日起三十日内提起上诉。 4．上诉状应当通过原审人民法院提出，并按照对方当事人或者代表人的人数提出副本。

浅析行政法正当程序原则

龙源期刊网 https://www.sodocs.net/doc/496195078.html, 浅析行政法正当程序原则 作者：张峥 来源：《世界家苑·学术》2018年第12期 摘要：正当程序原则是行政法的重要原则之一，它在限制公权力、保障私权利等方面具 有非常重要的意义。正当程序原则起源于英国，美国行政法将其发扬光大，其内容包括行政公开、主持者中立、行政参与、说明理由和案卷排他等原则。正当程序原则已成为我国行政法的重要原则，程序正义和实体正义并重的法律体系日趋完善。 关键词：正当程序；程序正义；行政法 一、正当程序原则的涵义 正当程序是当今世界各国行政法中的一项基本法律原则。它起源于英国的自然正义原则，作为一项程序性原则，它是英国法治的核心，是英国法官控制行政行为及公共行为的根据。正当程序原则在英国包括两项内容：一是听取对方的意见，因为每个人都有为自己辩护和防卫的权利。二是任何人不能做自己案件的法官。这是避免偏私的必要程序原则。行政裁决回避制度和法官回避制度是这一程序规则的反应和体现。正当程序原则发轫于英国1215 年的《大宪章》，它原本只适用于司法判决，直到20世纪初，逐渐被适用于行政法之中，成为一项非常重要的基本法律原则。正当程序是指行政权力运行应当符合最低限度程序公正的标准。具体来讲，是指行政权力的运行应当符合高于法律规定的方式、形式、步骤和时限，符合正当合理的操作规则，从而为人们提供一种体现最低限度公正的权益保障。行政主体在作出行政行为时遵守“正当程序原则”，是依法行政的必然要求。 二、正当程序原则的理论基础 （一）程序工具主义 程序工具主義认为，程序不是作为自主和独立的实体而存在，它只是实现实体法的功利手段，评价一种法律程序的好坏就是看它实现良好结果的有效性。英国功利主义哲学的创始人边沁认为：程序只是工具，程序法只是附属的法，它本身不具有任何独立的内在价值。边沁的功利主义程序理论在一定程度上揭示了法律程序在保障实体法目标得以实现方面的工具性价值。但是这种理论片面地将程序作为手段的属性推到一个极端。 （二）程序本位主义 程序本位主义认为，程序并不只是实现某种实体目的的手段或者工具，结果有效性亦并非法律程序的惟一价值，评价法律程序的价值标准应当立足于程序本身是否具有某些独立于结果的“内在品质”，也就是过程价值有效性。易言之，法律程序的根本价值在于程序本身的正义，而不是结果的有效性。程序本位主义事实上就是一种程序正义或程序公正理论。

从“辛普森”案看“正当法律程序”原则

从“辛普森”案看“正当法律程序”原则 摘要：“辛普森”案作为“世纪审判”，以其被告人名望之高、耗资之大、历时之久、判决结果与公众预期之冲突成为当代“英美法系”法学研究的经典案例。此案涉及宪法学、刑法学、刑事诉讼法学、刑事侦查与证据学等诸多学科，为法学研究提供了全方位、多角度的研究材料，本文将以正当法律程序原则为视角，人权建构理论为基础，比较论证为方法，针对“程序正义”原则的七个核心规则展开论证，达到集思广益推动我国司法改革地目的。 关键词：辛普森案正当法律程序原则无罪推定陪审团制度 1994年美国著名影星奥伦萨尔．詹姆斯．辛普森（Orentnol ．G. ．Sympson ）因涉嫌谋杀其前妻妮可．辛普森被起诉，在检方握有优势证据，社会舆论倾向于被告有罪的前提下，陪审团一致裁定辛普森被告罪名不成立。该判决给全球法学界以强烈震撼，其“正当法律程序原则”的体现与运用引起诸多思考。反观我国佘祥林在狱中度过了11载铁窗生涯，我们不禁疑问，是什么导致了赵作海、佘祥林、杜培武、李久明等诸桩冤案？是执法人员的素质使然还是刑事诉讼制度自身存在重大缺陷？在强调公正优先，兼顾效率的先进理念统领之下，在同样拥有完整的刑事诉讼组织体系和审判监督机制的我国，冤假错案不断的症结究竟在哪里？同样是疑点重重的杀妻案，为什么佘祥林与辛普森的境遇如此不同？在辛案审结十五年以后，本文旧事重提，旨在以辛普森案为基础探索“正当法律程序原则”的法理蕴涵及对我国司法改革的借鉴意义。 一、正当法律程序原则（Due Process of Law）的内涵 正当法律程序原则的定义和法源 美国宪法并没有对正当法律程序涵义做明确界定，对正当程序的理解，主要依靠联邦最高法院对其适用的解释，从而赋予这种宪法的弹性条款以实际应用的意义。丹宁勋爵认为：“我所说的‘法律的正当程序’，即指法律为了保持日常司法工作的纯洁性而认可的各种方法：促使审判和调查公正的进行，逮捕和搜查适当的使用，法律援助顺利的取得，以及消除不必要的延误等等。”〔1〕在现代法治的话语体系中，正当法律程序体现了一种价值取向，并具有实质和形式的双重含义：即在实质意义上，是指除非依据适当的法律，权利和自由不可被剥夺；在形式意义上，意味着一旦要由法律来决定的行为，就必须遵循适当的程序。 收稿日期：2010- 10 - 01 作者简介：曹雪辉（1973—），男，河北容城人，硕士，河北大学讲师。

法律文书格式规范

法律文书格式规范 第一条适用范围 本法律文书格式规范适用于一切以事务所名义对外出具的以法律服务为内容的书面或电子文件，包括但不限于： （1）顾问合同或委托代理合同及其他协议； （2）法律意见书； （3）律师函； （4）律师见证书； （5）尽职调查报告书； （6）法律服务方案以及报价函； （7）法律论证报告； （8）代理词； （9）辩护词； （10）所函、授权委托书等。 其中顾问合同、委托代理协议、其它书面协议、所函、授权委托书等不适用本规范第四条、第五条的规定。 第二条标题 1、法律文书标题所用字体为黑体加黑，字号为二号，至于页面正中。 2、标题与页面顶端空两行，标题与正文抬头空两行。 第三条正文 1、法律文书称呼必须使用尊称：单位客户的，统一确定为“××××公司并尊敬的××先生/女士/董事长/总经理”；个人客户的，统一确定为“尊敬的××先生/女士/董事长/总经理”。 2、法律文书正文所用字体为仿宋，字号为小四，行间距为1.5倍行距，页边距使用word文档自动生成的页边距，字符间距为标准，缩放100%。 3、正文一级标题使用汉字“一、二、三”等作数字排序，二级标题使用“（一）、（二）、（三）”等作数字排序，有三级标题或论点的使用阿拉伯数字1、2、3

等排序，下设（1）、（2）、（3）等数字排序。不得使用英语字母或其他符号排序。 4、正文标点符号应当根据句式特点统一使用逗号、分号、冒号、句号、引号等，但原则上不得使用问号、感叹号（“顺颂商祺！”使用除外）、省略号。 5、正文称呼应当顶格，一级、二级标题必须空两格。 6、正文需要使用英文的，英文字体应当为Arial，字号同于汉字。 7、正文行文结束第二行空两格标注“（下无正文）”，如果署名盖章页中没有正文的，应当在该页的第一行空两格标注“（下无正文）”。 第四条祝愿语 正文结束后的祝愿语应当另起一行空两格后，使用“顺颂商祺！”，但所函、授权委托书等除外。代理词和辩护词的，推荐使用“此致”。 第五条署名 署名应当至于正文的右下方，与祝愿语所在行间隔两行以上。署名由“重庆立源律师事务所”和“律师：××”构成，各占一行。年月日应当至于“律师：××”的正下方。 第六条页眉页脚 第一条规定的法律文书必须严格使用页眉页脚，页眉为法律文书的名称，页脚统一使用“第页，共页”，至于页脚中间。 第七条函头 第一条规定的法律文书必须使用事务所统一函头，函头应当位于法律文书的首页，置于该页页眉之中。函头图示如下： 第八条盖章及其他 法律文书盖章必须位于事务所和律师署名之上。 本规范自公布之日起施行，具体法律文书的制作及使用参照事务所具体法律文书制作指引。

罪刑法定原则与正当程序原则的关系及其宏观比较(一)

罪刑法定原则与正当程序原则的关系及其宏观比较(一) 【摘要】罪刑法定原则和正当程序原则是两大法系中比较重要而且颇具特色的法律原则，各大法系对这两大原则的研究已经非常深入，但基本上是局限于各自的内部研究，而对二者的关系及宏观比较却颇为少见。本文首先试图对两大原则的思想渊源、立法沿革和发展阶段或体内差异进行知识性展开，进而衍生出二者之间的差异和暗含。接着从理论基础、价值蕴含和微观制度三方面进行宏观考察，从而得出各自的异同，本文力图通过这六大范畴的宏观比较来揭示两大原则之间的关系。 【关键词】罪刑法定原则；正当程序原则；六大范畴；历史考察；宏观比较 【正文】 一、思想渊源、立法沿革和发展阶段的宏观考察 （一）罪刑法定原则的思想渊源、立法沿革和发展阶段 罪刑法定原则又称罪刑法定主义（本文不严格区分主义和原则，下同），其经典解释是“法无明文规定不为罪，法无明文规定不处罚”。①]此语首创于1801年费尔巴哈的《刑法学教科书》，1810年《法国刑法典》第4条首次规定了罪刑法定原则，从而开创了罪刑法定原则的成文化和法典化纪元。②]但正如马克思所说的，思想家总是以前人留下来的思维资料为前提建立自己的新学说的，罪刑法定主义作为刑事古典学派的理论根基，其思想渊源其实颇深。罪刑法定主义，是相对于罪刑擅断主义而提出来的。根据德国学者修特兰达1911年发表的《罪刑法定主义原则的历史的展开》一文的研究，认为罪刑法定的渊源是1215年英国的《大宪章》。③]这一观点为后世学者奉为通说，但是也有学者如日本的泽登佳人、横山晃一郎等持反对意见。其反驳理由是：普通法的英国如果是罪刑法定主义的思想渊源的产生地，则英国应该是成文法国家，且应当排除判例法这一习惯法作为法律的直接渊源，但是这与英国的现实不符，因此通说是有问题的。④]然而更多的学者如日本学者如木村龟二等还是支持通说，认为费尔巴哈罪刑法定主义的概念不是罪刑的成文法规主义，也不必以成文化为必要，而是一种随着历史发展的思想理念，罪刑法定主义是人权思想支配下的法律理念，因此仅以上述观点是不能否定《大宪章》是罪刑法定原则的历史、思想渊源。⑤]在此，笔者认为有必要区分罪刑法定的思想和罪刑法定原则。这样才能既避免上述不必要的争论，也有助于深入研究。⑥] 即英国《大宪章》之后，罪刑法定的思想在人权思想的引领下，在英国1628年的《权利请愿书》和1689年的《权利法案》中都分别得到了确认。随后又被北美殖民地1774年的宣言和1776年《弗吉尼亚权利法案》所采纳，美国1791年宪法第5条修正案规定了“未经正当法律程序不得剥夺任何的生命、自由和财产”，并在1868年的修正案第1条中再次细化并最终在宪法中确立了正当法律程序原则。⑦]可见，英美法系没有明文规定罪刑法定原则，而是主要从程序方面加以规定，即现在常说的实质罪刑法定主义，通过程序来保障人权。⑧] 如果说罪刑法定的思想在以普通法为主体的英美法系国家主要是通过程序方面加以规定，那么大陆法系中以法国为首的国家则首先在实体上予以规定。⑨]法国在其1789年的《人权宣言》第8条规定：“法律只规定确实需要和显然不可少的刑罚，而且除非根据犯罪行为前已经制定、公布和合法实施的法律，不得处罚任何人。”这一规定为1791年法国宪法和1810年的《法国刑法典》再次采用，其刑法典第四条规定：“不论违警罪、轻罪或重罪，均不得以实施犯罪前未规定之刑罚处罚之。”之后1809年《瑞典宪法》、1871年《德国刑法典》第2条、1882年《日本刑法》第1条、1889年《意大利刑法典》第1条、1917年墨西哥宪法和芬兰宪法等都纷纷效仿该规定。⑩]可见在大陆法系国家从其立法模式看，罪刑法定原则的立法化主要有三种模式；一是仅规定在刑法典中，如中国；二是仅规定在宪法中，如美国；三是宪法和刑法典中都有规定，如德法。11]而且可以肯定的是，在罪刑法定原则确立后及