转让股权合同简版范本

第十一章　股权转让合同

副课文

1.原文：在公司向乙方或其指定代理人归还欠款××后，甲方同意按本合同所规定的条件，将其在公司拥有的全部股权以××的价格转让给丙方，丙方同意以此价格受让甲方在公司拥有的全部股权，同时乙方也同意将其在公司的剩余债权以××的价格转让给丙方，丙方同意以此价格受让乙方在公司剩余的全部债权。

译文：After the Company’s repay ×× of payable due to Party B or its designated agent,subject to the terms and conditions in the Agreement,Party A hereby agrees that it will transfer to Party C the whole shares of Party A at the price of×× and Party C agrees to purchase the whole shares held by Party A in the Company at this price. At the same time,Party B agrees to transfer to Party C the title of its remaining receivables from the company at the price of ×× and Party C agrees to purchase the title of Party B’s remaining receivable from the company at this price.

分析：“股权转让合同”，或称“股份转让合同”(Share Transfer Agreement)，也称“股权认购协议”(Share Purchase Agreement)。股权转让是公司股东依法将自己的股东权益有偿转让给他人，使他人取得股权的民事法律行为。股权转让是股东行使股权经常而普遍的方式。与其他商务合同一样转让合同可先由外国合作者或其律师起草英文版合同，随后译成中文，也可由中方或其律师先起草中文版合同，再译成英语。

这是股权转让合同中有关“股权转让价款”(Price of the Shares)的条款。原文为一个汉语长句，由四个并列的单句组成（甲方同意，丙方同意，乙方也同意，丙方同意……），有两层含义1）甲方转让股权，乙方受让，2）乙方转让债权，丙方受让。英译文正是按这两个含义将原文分拆为两个独立的句子，第一句译文的主干为Party A agrees that… and Party C agrees to…；第二句译文的主干为Party B agrees to … and Party C agrees to…。

“欠款”在会计术语中可用payable来译。payable一词字面上是形容词，在会计报表等文件中可作名词。

“甲方同意”译为Party A hereby agrees，其中hereby虽然在原文中没有对应的词，但在英译商务合同时应加译这样的公文惯用语，以符合目标语的语体特色。

“债权”是财产上的请求权，对应的英语为creditor’s rights，本段英译时采用receivable，因原句中的债权有量化的价格。receivable在普通英语中是形容词，表示“可收到的”，而在会计术语中作名词，表示“应收账款，应收项目”，与payable可构成一对反义词。

2.原文：甲方保证本合同第一条转让给丙方的股权为其合法拥有，并有完全、有效的处分权。甲方保证其将在转让前取得股份转让所需的认可且转让的股权在转让之时没有设置任何抵押权或其他担保权，并免遭任何第三人的追索。译文：Party A represents and warrants to Party C that it legally owns the Shares subject to Article 1,as well as the right to deal with the shares entirely and effectively,and that prior to any transfer it will obtain all necessary consents such that the Shares can be transferred to Party C at the effective time of the transfer,free and clear of any pledge or other encumbrances and any third party recourse.

分析：这是股权转让合同中有关“陈述和保证”(Representations and Warranties)的条款。原文有两个句子，英译文合并为一个句子，以Party A represents and warrants to Party C that为主干结构。

原文第一句中的“保证”实则还包含“陈述”，英译时按英文合同的严谨表达方式，补充为represents and warrants。

“处分权”(the right of disposition)是所有权(ownership)的四大权能（占有、使用、收益、处分）之一，即指财产所有人对其财产在法律规定的范围内最终处理的权利，即决定财产在事实上或法律上命运的权利，包括资产的转让、消费、出售、封存处理等方面的权利。由于在本段中所指的处分权是指股份的处分权，英译时使用了动宾结构to deal with the shares。

在原文第二句中“甲方保证”为主谓结构，后接两个宾语从句，1）其将取得认可，2）股权没有设置……权，（股权）免遭追索，在译文中该句转换成宾语从句之一(and that …)。动词短语“没有设置”与“免遭”，英译时可同时转换成形容词短语free and clear of。

“抵押权”(pledge)是债务人或第三人向债权人提供不动产作为清偿债务的担保而不转移占有所产生的担保物权。当债务人到期不履行债务时，抵押权人有权就抵押财产的价金优先受偿。他可以申请法院变卖抵押财产抵偿其债权；如有剩余应退还抵押人，如有不足仍可向债务人继续追索。但对不能强制执行的财产不能设定抵押权。债务人或者第三人为抵押人，债权人为抵押权人，提供担保的财产为抵押财产（在本段中指“转让的股权”）。

3.原文：丙方保证依本合同第一条规定，在××年××月××日之前，安排公司向乙方或其指定的代理人归还人民币××万元。剩余的人民币××万元还款，公司应分三次分别在××年××月××日前、××年××月××日前、××年××月××日之前向乙方或其指定的代理人每次支付人民币××万元。丙方保证在××年××月××日前向甲方和乙方各支付转让价款××美元。

译文：Party C consents to and agrees that he shall arrange the Company to pay RMB×× Million in accordance with Article 1to Party B or the designated agent before the date of ××,and the remaining RMB ×× Million of the repayment of payable dues referred in Article 1shall be paid to Party B or the designated agent in three equal instalments of RMB ×× before ××,××and ×× respectively. Party C consents to pay Party A and Party B the purchase price of ×× US Dollars respectively before ×× to purchase the said shares at this price.

分析：这是股权转让合同中有关“收购价格”(Purchase Price)的条款。原文共有三个句子，第一句和第二句约定了公司归还原股东欠款的金额和时间，最后一句规定了受让方支付股权转让款的时间和金额。英译文则将原文前两句合并为一个长句，用and连接。

汉语的叙事顺序为“时间在前”，而英译文则是“时间在后”，本译文符合这一叙事顺序。

原文中“分三次……每次支付……”即为“等额分期付款”的安排，英译为in three equal instalments。

4.原文：在合同生效后，丙方将享有××公司及其属下公司的利润并承担相应风险及亏损（包含转让前、转让时乃至转让后应享有和承担的作为股东在公司的权利及义务）。同时甲方将不对××公司及其下属公司承担任何责任或负担任何费用，也不享有××公司及其下属公司的任何收益，包括转让前、转让时乃至转让后的收益。

译文：Upon the Agreement becoming effective,Party C will succeed to any benefits of×× and its subsidiary as well as to any risks and losses(including the shareholder rights and obligations in the Company before,during and after the transfer of the shares). At the same time Party A will no longer take any responsibilities or share the profits or expenses of ×× and its subsidiary,including those which occurred before,during or after the share transfer.

分析：这是股权转让合同中有关“债权债务的分担”(Allocation of Shareholder Rights and Indebtedness)条款。

原文第一句中的两个动宾搭配“享有利润”和“承担风险及亏损”译为succeed to any benefits as well as any risks and losses。

原文第二句中也有几个动宾搭配，“不承担责任”、“不负担费用”、“不享有收益”，而英译文则在结构上进行了一些调整，译为no longer take any responsibilities or share the profits or expenses，动词减为take和share两个。share在英语中属中性词，其后既可接profits，也可接expenses,risks等。

5.原文：因××公司股权转让事宜所涉及的公司董事、董事长、法定代表人、公司名称等的变更事宜由丙方负责办理有关手续，有关费用由丙方自行承担，丙方保证以上变更事宜应在不迟于××年××月××日前全部办理完毕。在以上变更完成后，甲方开始办理××公司的股东变更事宜，并保证在丙方应负责办理的公司变更事宜获政府有关部门批准后××日内完成。

译文：All the necessary formalities needed due to the share transfer of ××regarding the changes of directors,chairman of the BD,legal representative,name,etc. of the Company shall be carried out by Party C and all the relevant cost shall be borne by Party C. In addition,Party C warrants that all the changes mentioned above shall be completed no later than ××. Party A shall not handle the change of the shareholder registration of ×× until Party C completes the changes it is obligated to fulfill and Party A consents that the change of shareholder registration of ×× shall be finalized no later than ××days after Party C gets the approval from the government authorities on the changes it is expected to be carried out.

分析：这是股权转让合同中有关“股权转让手续的办理和费用的负担”(Share Transfer Arrangement and Cost)条款。我国《公司法》规定股东有权通过法定方式转让其全部出资或者部分出资。股权转让后须到有关部门如工商局办理有关的变更手续。

原文的突出特点是多次使用“事宜”一词，“转让事宜”、“变更事宜”，而英译时则省译“事宜”，而只需译出“转让”(the transfer)和“变更”(changes)。汉语“由谁做某事”结构通常都译为英语被动句，如本段第一句译为 … formalities shall be carried out by Party C …。

6.原文：本合同签订后，丙方及公司其他管理层有义务保证企业的正常运转并维护企业利益，如发生任何与本合同项下股权转让相冲突的行为或任何损害公司或甲乙双方利益的行为，甲乙双方任何一方有权利终止本合同，因此造成的一切后果，由丙方承担。

译文：Party C as well as other members of the management team of the Company are both liable for the normal operation of the Company’s business and the maintaining of the Company’s interest and benefit after the signature of the Agreement. In case any action occurs which is conflicting to the terms and conditions of the Agreement,or harmful to the Company or to the benefits of Party A,or Party B,either Party A or Party B has the right to terminate the Agreement,and any results caused therefrom shall be borne by Party C.

分析：这是股权转让合同有关“公司的经营和保密义务”(the Company’s Management and Confidentiality Obligation)的条款。原文的时间状语“本合同签订后”放在句子开头，而英文时间状语则放在句子最后，符合两种语言不同的叙事顺序。

原文的动宾结构“有义务”译成英语时转换成了系表结构are liable for，原文中“义务”的宾补是动宾结构“保证……运转并维护……利益”，译成英语时只保留了名词短语operation和maintaining，作介词for的宾语，而省译了“保证”一词。商务合同翻译虽然讲究严谨，但并不意味着逐字逐句译或死译，转换词性或增减词也是时常用到的翻译手法，目的是确保译文更符合目标语的语言规范和叙事顺序，同时并未造成原文信息量的增减。

在原文“如发生……行为”这一条件句中，“发生某种行为”字面上是动宾结构，实则是“某种行为发生”结构的动词前置，动词“发生”是不及物动词，因此英译时选择any action occurs，occur是不及物动词。

练习、参考译文与分析

1.原文：The Parties hereto agree that their respective rights and obligations in respect of the purchase of the Transferring Shares,certain issues in relation to the relationship between the Parties and the management of the Company after the said purchase shall be regulated and governed by this Agreement and the agreements set out in the Schedules.

译文：本协议双方同意关于收购转让的股份时各自的权利、义务，关于甲方和乙方之间的关系的特定问题，以及所述收购之后公司的管理等事宜应当根据本协议以及附件中规定的协议进行调整和管理。

分析：这是股权转让合同的“鉴于”(WHEREAS)条款。本段符合英语商务合同简单长句的特征，主干结构为The Parties agree that（主+谓+宾），that引导一个宾语从句，三个名词短语构成了一个很长的从句主语，简化之后为rights and obligations,issues,management；从句的谓语为shall be regulated and governed。

hereto 表示to this Agreement。in respect of sth. 为正式用语，英文定义为in connection with something，表示“关于”，也可用with respect to sth.。Transferring Shares两个词首字母大写，在本合同中的定义为the shares of the Company transferred（所转让的公司股份）。据此，该词组并不是动宾搭配，而是偏正结构，transferring 具形容词词性，修饰shares。in relation to sth. 或with relation to sth.，与in respect of sth. 同义。the said purchase指本句前文提到的the purchase of the Transferring Shares。the said在商务英语中使用频率较高，其作用是替代上下文中相同所指，使语言简洁，汉译为“所述，该”。类似的表达法还有the above-mentioned,the under-mentioned,hereunder，hereafter等。Schedules在本段中并不是普通英语中的“时刻表，计划”等，而是合同的“附件”，在本合同中有专门的定义。

2.原文：Any rights of Party C however arising under this Agreement or under applicable law in connection with or by virtue of any breach of the Representations and Warranties of the Current Shareholders shall not be limited,reduced or otherwise adversely affected by any investigation of the Company or its business,or of the assets and properties,contracts and rights,liabilities and obligations comprised therein,conducted by Party C or by its accountants,counsel or other representatives prior to the Closing Date nor by any actual,imputed or alleged prior knowledge by Party C,as of any of such dates,of any breach or violation of such Representations and Warranties of the Current Shareholders.

译文：本协议规定或关于或由于现有股东违反其陈述和保证适用的法律规定的权利不得因为由丙方或其会计、顾问或其他代表在交易完成之日前对公司或其业务、资产、财产、合同、权利、债务和义务进行调查而受到限制、减少或其他不利影响，也不得因为丙方自该日期起实际、猜测或声称事先了解对现有股东的陈述和保证的违反情况而受到影响。

分析：这是股权转让合同中有关“赔偿”(Indemnification)的条款，涉及“尽职调查”(Due Diligence)的规定。

本段共110多个词，但只有一个句子，具英文商务合同超长句的特征。正确翻译的关键是找出主干句子并理清各个句子成分的修饰关系。本句主干结构为Any rights of Party C shall not be limited,reduced or affected，是被动句。

本句的完整主语是

Any rights of Party C however arising under this Agreement or under applicable law in connection with or by virtue of any breach of the Representations and Warranties of the Current Shareholders

可简化为

a)rights arising under this Agreement

b)rights arising under applicable law

其中，Representations and Warranties of the Current Shareholders 是合同中专门的条款“现有股东的陈述和保证”，由现有股东向甲方作出的陈述和保证。本段所指的breach即假设现有股东违反了该条的规定。翻译时补充“违反”一词的施动者“现有股东”，以使中文意义更明了。by virtue of 意即because of,as a result of。

本句的谓语是shall not be limited,reduced or otherwise adversely affected，并由两个状语修饰：

1)by any investigation of the Company or its business,or of the assets and properties,contracts and rights,liabilities and obligations comprised therein,conducted by Party C or by its accountants,counsel or other representatives prior to the Closing Date

其中investigation of 后接两个宾语

a)the Company or its business

b)the assets …

comprised herein指the rights,liabilities and obligations comprised in contracts。Closing Date指“戴止日期，交易完成日期”，具体所指在合同中有专门的定义。本句第二个状语为：

2)(nor be …affected)by any actual,imputed or alleged prior knowledge by Party C,as of any of such dates,of any breach or violation of such Representations and Warranties of the Current Shareholders

其中of 一词就出现了五次之多。as of表示starting from a particular time or date（自……起），any of such dates应指前述丙方等开始尽职调查的日期。knowledge 在本段中表示“了解，知晓”，而不是“知识”，该词后接of any breach or violation短语作为定语。

3.原文：All Material Contracts of the Company are in full force and effect in all respects and are enforceable against each party thereto;there does not exist any default or event or condition that,after notice or lapse of time or both,would constitute a default thereunder by the Company or by any party thereto;and none of the rights of the Company under any such contract will be subject to termination or modification as a result of the transactions contemplated by this Agreement.

译文：公司所有重大合约于所有方面均具十足效力及效用，并对有关各方均具约束力；并不存在任何在通告之后及/或时效已过后导致该公司或有关各方因此而违约的过失、事件或状况；该公司在任何该等合约项下的权利不会因本协议订定的交易而终止或修订。

分析：这是股权转让合同中“现有股东的陈述和保证”(Representations and Warranties of the Current Shareholders)条款，涉及现有股东就合同问题所作的陈述和保证。本段原文是由三个并列的单句组成的长句，各单句用分号连接。本段在用词上也体现了英文商务合同的特点，如force and effect近义词成对出现，多次使用公文惯用语thereto和thereunder，还有or的多次重复使用以避免合同规定有任何疏漏。

此外，Material Contracts在本段中采用首字母大写，是因为合同中对该词组有专门的定义。material在此作形容词，表示“重要的，重大的”，而不是“物质的”。所谓“重大合约”，在本合同中是指公司和其业务对象进行交易过程中签订的任何口头或书面的合同，履行该合同会使公司未来某个时间支付或收取超过××金额的对价。subject to在本句中表示“易……受影响的”。在短语the transactions contemplated by this Agreement 中，contemplated引导的短语作transactions的后置定语。动词contemplate在普通英语中表示“沉思，打算”，施动者为人，而在本句中施动者是this Agreement。整个短语译为“本协议订定的交易”。

4.原文：The Company has not violated or breached nor is in violation or breach under (i)any provision of its articles of association or other organizational documents,(ii)any provision of any law or regulation applicable to it or to which any of its assets is subject(including,without limitation,laws and regulations relating to safety and health matters,environmental protection and pollution control),or(iii)any order,judgement or award of any governmental,judicial,administrative or regulatory authority applicable to it or to which any of its assets are subject.

译文：公司未违反或违背（1）公司章程或其他组织文件的任何规定，（2）任何适用公司或制约公司任何资产的法律法规的任何规定（包括但不限于涉及安全和健康问题、环境保护和污染控制），或（3）任何适用公司或制约公司资产的政府、司法、行政或监管部门的任何法令、判决或裁决。

分析：这是股权转让合同中“现有股东的陈述和保证”(Representations and Warranties of the Current Shareholders)条款，涉及现有股东就公司遵守法律(Compliance with Laws and Other Instruments)所作的陈述和保证。全段只有一个长句，主干结构为The Company has not violated or breached nor is in violation or breach under(i)(ii)(iii)。可将主干结构拆开为1)The Company has not violated(i)(ii)(iii)，谓语为完成时，2)Nor is the Company in violation or breach under(i)(ii)(iii)，谓语动词为系表结构。(i)(ii)(iii)作为1）中的谓语动词和2）中的介词under的共同宾语。

本句的典型特点是重复使用不定限定词any达七次之多，特别强调了any所修饰的provision,order,judgement,award这些名词所涵盖的范围，唯恐有所遗漏，反映了商务合同的严谨性特征。在不减少原文信息量的基础上，中译文除了“政府、司法、行政或监管部门”前未加“任何”一词以外，“任何”使用了六次。including,without limitation也是商务合同常用表达方式，或用including but not limited to，对等汉译“包括但不限于”，这也体现了合同语言的严谨性特征。

5.原文：None of the Parties may assign or otherwise transfer or permit to be transferred(in any manner whatsoever)any of its rights,interests or obligations hereunder without the prior written consent of the other Party,which consent shall not be unreasonably withheld.

译文：如无对方事先书面同意，各方不得（以任何方式）转让或允许转让其在本协议项下的权利或义务，对方无正当理由不得拒绝同意。

分析：这是股权转让合同中的“其他”(Miscellaneous)条款中关于“转让”(Assignment)的规定。全句为全部否定句，主语None of the Parties，谓语may assign or otherwise transfer or permit to be transferred，宾语any of its rights,interests or obligations。

assign在普通英语中表示“指定，分配”，但在金融和法律英语中的定义是to give your rights to a property,etc. to someone else,either by selling them or preparing a legal document as an agreement，正是本段中的含义，汉译为“转让”。without介词在汉译时转换为动词“无”，其引导的介词短语without the prior written consent在汉译时转换成了条件状语从句“如无对方事先书面同意”。词性及句子级别的转换是商务合同翻译中经常使用的方法。which consent指前文刚提到的the prior written consent of the other Party。

6.原文：All Schedules attached to this Agreement are incorporated herein and made a part hereof as fully as if written in this Agreement. Any item disclosed in connection with any specific provisions of this Agreement shall be deemed to have been disclosed only in response to such provision and not in connection with any other provision in respect of which such disclosure may otherwise be relevant or appropriate.

译文：本协议所附的所有附件均并入本协议成为本协议的一部分，如同直接在本协议中规定。关于本协议任何指定条款披露的任何项目应视为仅适用于该条款，而不涉及可能同样和该披露有关或适当的其他任何条款。

分析：这是股权转让合同“其他”(Miscellaneous)条款中关于“附件清单”(Schedules)的规定，共有两个独立的句子。

第一句中使用了两个公文惯用语herein,hereof，分别表示in this Agreement,of the Agreement。

第二句的主干结构为Any item shall be deemed。本句结构较为复杂，修饰成分环环相扣。尤其典型的是，以in开头的介词短语(in connection with,in response to,in connection with,in respect of)总共使用了四次，而句子成分不尽相同。1）in connection with在本句中第一次出现时是作disclosed的状语；2）in response to 和第二次出现的(not)in connection with作为状语修饰不定式短语to have been disclosed；3）名词短语any other provision in respect of which such disclosure may otherwise be relevant or appropriate在本句中作in connection with的宾语。其中in respect of 作any other provision的定语，同时which就指代any other provision；which引导的从句又作in respect of的宾语。