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Bibliographic Details
Main Author:	Palmiter, Alan R. (Author)
Format:	Book
Language:	English
Published:	New York Wolters Kluwer [2015]
Edition:	Eighth edition
Series:	Examples & Explanations
Subjects:	Corporation law / United States USA
Online Access:	Inhaltsverzeichnis
Physical Description:	xxxiv, 841 Seiten Illustrationen

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100	1		\|a Palmiter, Alan R. \|e Verfasser \|4 aut
245	1	0	\|a Corporations \|c Alan R. Palmiter, Howard L. Oleck Professor of Business Law, Wake Forest University
250			\|a Eighth edition
264		1	\|a New York \|b Wolters Kluwer \|c [2015]
264		4	\|c © 2015
300			\|a xxxiv, 841 Seiten \|b Illustrationen
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338			\|b nc \|2 rdacarrier
490	0		\|a Examples & Explanations
650		4	\|a Corporation law / United States
651		4	\|a USA
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999			\|a oai:aleph.bib-bvb.de:BVB01-027796692

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_version_	1804152991399280640
adam_text	CONTENTS PREFACE XXIX ACKNOWLEDGMENTS XXXI SPECIAL NOTICE XXXIII PART I. INTRODUCTION TO CORPORATE LAW CHAPTER 1 THE CORPORATION * AN OVERVIEW 3 §1.1 CORPORATION BASICS 4 §1.1.1 FIVE BASIC ATTRIBUTES 4 §1.1.2 THEORY OF THE FIRM 6 §1.2 SOURCES OF CORPORATE LAW 8 §1.2.1 HISTORICAL SKETCH OF THE CORPORATION 8 §1.2.2 MODERN STATE BUSINESS CORPORATION STATUTES 9 §1.2.3 ROLE OF JUDGE-MADE LAW 10 §1.2.4 ALL PRINCIPLES OF CORPORATE GOVERNANCE 11 §1.2.5 FEDERAL LAW 11 §1.3 CORPORATION AS A CONSTITUTIONAL PERSON 12 §1.3.1 BROAD COMMERCIAL RIGHTS 13 §1.3.2 LIMITED NONCOMMERCIAL RIGHTS 13 CHAPTER 2 CHOICE OF ORGANIZATIONAL FORM 23 §2.1 BUSINESS ORGANIZATION CHOICES 24 §2.2 CHOOSING BETWEEN AN UNINCORPORATED AND INCORPORATED FIRM 26 §2.2.1 LIFE SPANFORMATION AND DURATION 2 7 §2.2.2 FINANCIAL RIGHTSCLAIMS ON INCOME STREAM AND FIRM ASSETS 28 §2.2.3 FIRM GOVERNANCEAUTHORITY TO BIND AND CONTROL THE FIRM 29 §2.2.4 LIQUIDITYOWNERSHIP TRANSFERABILITY AND WITHDRAWAL 31 §2.2.5 LIABILITY TO OUTSIDERS 33 §2.3 TAXATIONCRITICAL ELEMENT IN THE CHOICE 3 4 §2.3.1 TAX IMPLICATIONS OF ORGANIZATIONAL CHOICE 3 5 XIII CONTENTS §2.3.2 CHARACTERIZING THE FIRM: CORPORATION OR PARTNERSHIP? 37 §2.3.3 AVOIDING DOUBLE TAXATION 3 8 PART II. FORMATION OF THE CORPORATION CHAPTER 3 INCORPORATION HOW, WHERE, AND WHAT 49 §3.1 PROCESS OF INCORPORATION 49 §3.1.1 ARTICLES OF INCORPORATION 5 0 §3.1.2 INCORPORATORS 5 3 §3.1.3 FILING PROCESS 53 §3.1.4 ORGANIZATIONAL MEETING 5 4 §3.2 CHOOSING WHERE TO INCORPORATE 55 §3.2.1 INTERNAL AFFAIRS DOCTRINE 5 6 §3.2.2 QUALIFICATION OF FOREIGN CORPORATIONS 56 §3.2.3 WHY DELAWARE FOR NATIONAL BUSINESSES ? 5 7 §3.3 CORPORATE POWERS AND THE ULTRA VIRES DOCTRINE 62 §3.3.1 EARLY COMMON LAW 62 §3.3.2 EROSION OF DOCTRINE 63 §3.3.3 MODERN ULTRA VIRES DOCTRINELIMITED PLANNING DEVICE 63 §3.3.4 DISTINGUISHING ULTRA VIRES FROM CORPORATE DUTIES 64 §3.3.5 ULTRA VIRES DOCTRINE AND CORPORATE LARGESSE 64 CHAPTER 4 FINANCIAL RIGHTS IN CORPORATION 69 §4.1 FINANCIAL RIGHTS OF EQUITY SHARES 70 §4.1.1 CREATION OF EQUITY SECURITIES 7 0 §4.1.2 BASIC EQUITY INGREDIENTS 71 §4.1.3 COMMON SHARES AND PREFERRED SHARES 73 §4.2 EQUITY FINANCING 80 §4.2.1 AMOUNT OF CONSIDERATION 81 §4.2.2 QUALITY OF CONSIDERATION 8 2 §4.3 DEBT FINANCING 86 §4.3.1 DEBT SECURITIES 86 §4.3.2 LEVERAGE 87 §4.3.3 TAX ADVANTAGES OF DEBT 89 §4.3.4 DEBT S PRIORITY OVER EQUITY 89 §4.4 DEBT-EQUITY MIX 90 XIV CONTENTS CHAPTER 5 FEDERAL REGULATION OF SECURITIES OFFERINGS 93 §5.1 SECURITIES ACT DISCLOSURE MANDATES 94 §5.1.1 PUBLIC OFFERINGSISSUERS, UNDERWRITERS, DEALERS, AND INVESTORS 94 §5.1.2 REGISTRATION AND MANDATED DISCLOSURE* SECTION 5 OF THE SECURITIES ACT 95 §5.1.3 STATE BLUE SKY LAWS 96 §5.2 EXEMPTIONS TEMPERING SECTION 5 OF THE SECURITIES ACT 9 6 §5.2.1 INTRASTATE OFFERINGS 9 7 §5.2.2 NONPUBLIC (PRIVATE) OFFERINGS 98 §5.2.3 SMALL OFFERINGS 101 §5.2.4 CROWDFUNDING OFFERINGS 10 2 §5.2.5 EXEMPTIONS FOR POSTDISTRIBUTION MARKET TRADING 10 2 §5.3 CIVIL LIABILITY UNDER SECURITIES ACT 110 §5.3.1 SECTION 12 (A) (1) RESCISSION FOR VIOLATIONS OF §5 110 §5.3.2 SECTION 11 DAMAGES FOR DECEPTIVE REGISTRATION STATEMENTS 111 §5.3.3 SECTION 12(A)(2) RESCISSION FOR MISREPRESENTATIONS 113 §5.4 DEFINITION OF SECURITY 116 §5.4.1 STATUTORY DEFINITION 116 §5.4.2 DEFINITION OF INVESTMENT CONTRACT 117 PART III. SHAREHOLDER VOTING RIGHTS CHAPTER 6 SHAREHOLDERS ROLE IN CORPORATE GOVERNANCE 123 § 6.1 PURPOSES OF SHAREHOLDER VOTING 124 §6.2 SHAREHOLDER VOTING IN PUBLIC CORPORATIONS 12 5 §6.2.1 PROXY PROCESS 125 §6.2.2 HISTORY OF PUBLIC SHAREHOLDER VOTING 12 7 §6.2.3 VOTING INCENTIVES FOR PUBLIC SHAREHOLDERS 13 0 §6.3 SHAREHOLDER VOTING IN CLOSE CORPORATIONS 13 2 CHAPTER 7 VOTING STRUCTURE 133 §7.1 SHAREHOLDERS GOVERNANCE ROLE 134 §7.1.1 ELECTION AND REMOVAL OF DIRECTORS 13 4 §7.1.2 APPROVAL OF BOARD-INITIATED TRANSACTIONS 134 §7.1.3 SHAREHOLDER-INITIATED CHANGES 13 5 §7.1.4 INFORMATIONAL RIGHTS 137 §7.1.5 ENFORCEMENT OF SHAREHOLDER RIGHTS 140 §7.2 MECHANICS OF SHAREHOLDERS MEETINGS 140 §7.2.1 ANNUAL AND SPECIAL MEETINGS 140 XV CONTENTS §7.2 §7.2 §7.2 §7.2 §7.2 .2 .3 .4 .5 .6 7.3 ELECTION §7.3 §7.3 §7.3 .1 .2 .3 NOTICE QUORUM APPEARANCE IN PERSON OR BY PROXY VOTING AT SHAREHOLDERS MEETINGS ACTION BY CONSENT OF DIRECTORS QUALIFICATIONS AND NUMBER OF DIRECTORS VOTING METHODS REMOVAL OF DIRECTORS 141 142 143 143 145 146 146 146 150 CHAPTER 8 JUDICIAL PROTECTION OF VOTING RIGHTS 159 §8.1 LIMITS ON INSURGENT OPPORTUNISM 159 §8.1.1 VOTE BUYING 160 §8.1.2 PAYMENT AND REIMBURSEMENT OF ELECTION EXPENSES 161 §8.2 REVIEW OF MANAGEMENT ACTIONS AFFECTING VOTING RIGHTS 162 §8.2.1 BOARD S ROLE IN SHAREHOLDER VOTING 16 2 §8.2.2 MANIPULATION OF VOTING PROCESS 16 3 §8.2.3 INTERFERENCE WITH VOTING OPPORTUNITIES 164 §8.2.4 DEVIATIONS FROM ONE-SHARE/ONE-VOTE 166 CHAPTER 9 FEDERAL REGULATION OF PROXY VOTING 175 §9.1 FEDERAL PROXY REGULATION AN OVERVIEW 17 6 §9.2 REACH OF THE SEC PROXY RULES 17 7 §9.2.1 PUBLIC CORPORATIONSREGISTRATION UNDER THE EXCHANGE ACT 177 §9.2.2 DEFINITION OF PROXY SOLICITATION 17 8 §9.2.3 MANDATORY DISCLOSURE WHEN PROXIES NOT SOLICITED 180 §9.3 FORMAL REQUIREMENTS OF SEC PROXY RULES 180 §9.3.1 MANDATORY DISCLOSURE IN PROXY STATEMENT 18 0 §9.3.2 FORM OF PROXY CARD 181 §9.3.3 FILING AND DISTRIBUTION OF PROXY STATEMENT 182 §9.3.4 PROHIBITION AGAINST PROXY FRAUD 182 §9.3.5 EXEMPTIONS FROM PROXY RULES 18 3 §9.4 SHAREHOLDER INITIATIVES 188 §9.4.1 COMMON CARRIER OBLIGATION UNDER RULE 14A-7 188 §9.4.2 SHAREHOLDER PROPOSALS UNDER RULE 14A-8 189 §9.4.3 PROXY ACCESS 194 CHAPTER 10 PROXY FRAUD 205 §10.1 PRIVATE ACTIONS 206 §10.1.1 TRADITIONAL STATE REMEDIES 206 §10.1.2 IMPLIED FEDERAL ACTION 206 XVI CONTENTS §10.2 FEDERAL ACTION FOR PROXY FRAUD 207 §10.2.1 NATURE OF ACTION 208 §10.2.2 ELEMENTS OF ACTION 208 §10.3 STATE ACTION FOR PROXY FRAUD 212 PART IV. CORPORATE FIDUCIARY DUTIES CHAPTER 11 CORPORATE FIDUCIARY DUTIES * AN INTRODUCTION 221 §11.1 THE CORPORATE FIDUCIARYA UNIQUE RELATIONSHIP 222 §11.1.1 ANALOGIES TO TRUSTS AND PARTNERSHIPS 222 §11.1.2 THEORY OF CORPORATE FIDUCIARY DUTIES 223 §11.1.3 TO WHOM ARE FIDUCIARY DUTIES OWED? 224 §11.2 FIDUCIARY DUTIES OF CARE AND LOYALTY 228 §11.2.1 DUTY OF CARE 229 §11.2.2 DUTY OF LOYALTY 229 §11.2.3 JUDICIAL ENFORCEMENT OF FIDUCIARY DUTIES 2 31 §11.3 FIDUCIARY DUTIESCORPORATE AND MARKET REALITIES 232 §11.3.1 FIDUCIARY DUTIES IN CLOSELY HELD CORPORATIONS 232 §11.3.2 FIDUCIARY DUTIES IN MODERN PUBLIC CORPORATIONS 232 §11.4 INDEPENDENT DIRECTORS 234 §11.5 FEDERALIZATION OF CORPORATE GOVERNANCE 238 §11.5.1 SARBANES-OXLEYACTOF2002 238 §11.5.2 DODD-FRANKACTOF2010 245 CHAPTER 12 DUTY OF CARE AND THE BUSINESS JUDGMENT RULE 251 §12.1 STANDARDS OF CARE ASPIRATIONAL GUIDANCE 251 §12.1.1 STANDARDS OF CARE 252 §12.1.2 FACETS OF DUTY OF CARE 252 §12.1.3 CARELESS DIRECTORS RARELY HELD LIABLE 253 §12.2 BUSINESS JUDGMENT RULE 254 §12.2.1 OPERATION OF BUSINESS JUDGMENT RULE 254 §12.2.2 JUSTIFICATIONS FOR THE BUSINESS JUDGMENT PRESUMPTION 255 §12.2.3 RELIANCE COROLLARY 255 §12.3 OVERCOMING BUSINESS JUDGMENT PRESUMPTION 256 §12.3.1 LACK OF GOOD FAITH 257 §12.3.2 WASTE 259 §12.3.3 GROSS NEGLIGENCE 2 61 §12.3.4 INATTENTION 264 XVII CONTENTS §12.3.5 OVERSIGHT UNDER SARBANES-OXLEY AND DODD-FRANK 267 §12.4 REMEDIES FOR BREACHING THE DUTY OF CARE 270 § 12.4.1 PERSONAL LIABILITY OF DIRECTORS 270 §12.4.2 ENJOINING FLAWED DECISION 271 §12.5 EXCULPATION OF DIRECTORS CARE FAILURES 2 71 §12.5.1 EXCULPATION STATUTES 2 71 §12.5.2 EFFECT OF EXCULPATION 272 §12.5.3 EVALUATION OF EXCULPATION 273 CHAPTER 13 DUTY OF LOYALTYSELF-DEALING TRANSACTIONS 285 §13.1 NATURE OF SELF-DEALING 286 §13.1.1 UNFAIR DIVERSION OF CORPORATE ASSETS 286 §13.1.2 DIRECT AND INDIRECT SELF-INTEREST 286 §13.2 JUDICIAL SUSPICION OF SELF-DEALING TRANSACTIONS 287 §13.2.1 EARLY RULE OF VOIDABILITY 287 §13.2.2 SUBSTANTIVE AND PROCEDURAL TESTS 287 §13.2.3 BURDEN OF PROOF 288 §13.2.4 NO BUSINESS JUDGMENT PRESUMPTION 289 §13.2.5 SELF-DEALING BY OFFICERS AND SENIOR EXECUTIVES 289 §13.2.6 AIDING AND ABETTING LIABILITY 290 §13.3 JUDICIAL FAIRNESS TESTS 290 §13.3.1 SUBSTANTIVE FAIRNESS 290 §13.3.2 PROCEDURAL FAIRNESS PROCESS OF BOARD APPROVAL 291 §13.3.3 SHAREHOLDER RATIFICATION 293 §13.4 STATUTORY SAFE HARBORS 295 §13.4.1 INTERESTED DIRECTOR STATUTES 295 § 13.4.2 MBCA SUBCHAPTER F 296 §13.4.3 ALL PRINCIPLES OF CORPORATE GOVERNANCE 297 §13.4.4 SUMMARY CHART 298 §13.5 REMEDIES FOR SELF-DEALING 300 §13.5.1 GENERAL REMEDYRESCISSION 300 §13.5.2 EXCEPTIONS TO RESCISSION 300 CHAPTER 14 EXECUTIVE COMPENSATION 309 §14.1 FORMS OF EXECUTIVE COMPENSATION 309 §14.2 JUDICIAL REVIEW 312 §14.2.1 DILEMMA OF EXECUTIVE COMPENSATION 312 §14.2.2 COMPENSATION AUTHORIZED 312 §14.2.3 DISINTERESTED APPROVAL 313 §14.2.4 WASTE STANDARD 314 §14.2.5 BAD FAITH STANDARD 315 §14.2.6 FAIR AND REASONABLE STANDARD 316 §14.3 DIRECTORS COMPENSATION 317 XVIII CONTENTS §14.3.1 DIRECTORS FEES 317 §14.3.2 COMPENSATION FOR OUTSIDE SERVICES 318 §14.4 REGULATORY AND MARKET PRESSURE 318 §14.4.1 SECURITIES AND TAX LAWS 318 §14.4.2 SARBANES-OXLEYACT 319 §14.4.3 DODD-FRANKACT 321 § 14.4.4 SHAREHOLDER ACTIVISM 323 CHAPTER 15 INDEMNIFICATION AND INSURANCE 327 §15.1 INDEMNIFICATIONCORPORATE REIMBURSEMENT 327 §15.1.1 MANDATORY INDEMNIFICATION FOR SUCCESSFUL DEFENSE 328 §15.1.2 PERMISSIVE (DISCRETIONARY) INDEMNIFICATION FOR UNSUCCESSFUL DEFENSE 330 §15.1.3 ADVANCEMENT OF LITIGATION EXPENSES 332 §15.1.4 EXCLUSIVITY OF STATUTORY INDEMNIFICATION 333 §15.2 INSURANCE 333 §15.2.1 INSURANCE COVERING CORPORATION S OBLIGATIONS 333 §15.2.2 INSURANCE COVERING LIABILITY OF DIRECTORS AND OFFICERS 334 CHAPTER 16 CORPORATE OPPORTUNITIES AND UNFAIR COMPETITION 343 §16.1 CORPORATE OPPORTUNITY DOCTRINE 3 44 § 16.1.1 PROHIBITION AGAINST USURPING CORPORATE OPPORTUNITIES 344 §16.1.2 REMEDIES FOR USURPING A CORPORATE OPPORTUNITY 344 § 16.2 DEFINITION OF CORPORATE OPPORTUNITY 344 §16.2.1 USE OF DIVERTED CORPORATE ASSETS 345 §16.2.2 EXISTING CORPORATE INTERESTEXPECTANCY TEST 345 § 16.2.3 CORPORATION S EXISTING BUSINESSIINE- OF-BUSINESSTEST 346 § 16.2.4 ECLECTIC APPROACHES 347 § 16.3 CORPORATE REJECTION AND INCAPACITY 348 § 16.3.1 CORPORATE REJECTION 349 §16.3.2 CORPORATE INCAPACITY 350 § 16.3.3 ALI PRINCIPLES: MANDATORY DISCLOSURE AND REJECTION 350 §16.4 COMPETITION WITH THE CORPORATION 351 CHAPTER 17 DUTIES OF CONTROLLING SHAREHOLDERS (CORPORATE GROUPS) 359 §17.1 WHO ARE CONTROLLING SHAREHOLDERS? 359 §17.2 PARENT-SUBSIDIARY DEALINGS 360 XIX CONTENTS §17.2.1 DEALINGS WITH WHOLLY OWNED SUBSIDIARIES 360 §17.2.2 DEALINGS WITH PARTIALLY OWNED SUBSIDIARIES 360 §17.2.3 JUDICIAL REVIEW OF PARENT-SUBSIDIARY DEALINGS 3 61 §17.3 SQUEEZE-OUT TRANSACTIONSELIMINATING MINORITY INTERESTS 3 64 §17.3.1 SQUEEZE-OUT MECHANICS 365 §17.3.2 BUSINESS PURPOSE TEST 366 §17.3.3 ENTIRE FAIRNESS STANDARD 366 §17.3.4. REMEDY IN SQUEEZE-OUTS 370 §17.3.5 FAIRNESS IN PARENT TENDER OFFER 372 CHAPTER 18 SHAREHOLDER LITIGATION 381 §18.1 NATURE OF DERIVATIVE LITIGATION 3 81 §18.1.1 TWO SUITS IN ONE 382 §18.1.2 ALL RECOVERY TO CORPORATION 383 § 18.1.3 REIMBURSEMENT OF SUCCESSFUL PLAINTIFFS EXPENSES 384 §18.1.4 DERIVATIVE SUIT PLAINTIFF SELF-APPOINTED REPRESENTATIVE 385 §18.1.5 RES JUDICATAPRECLUSION OF CORPORATE RELITIGATION 386 §18.1.6 TIME LIMITATION 386 § 18.2 DISTINGUISHING BETWEEN DERIVATIVE, DIRECT, AND CLASS ACTION SUITS 387 §18.2.1 EXAMPLES OF DIRECT SUITS 387 §18.2.2 CLAIMS WITH DIRECT AND DERIVATIVE ATTRIBUTES 388 §18.2.3 CLOSE CORPORATION EXCEPTION 389 § 18.2.4 CLASS ACTIONSDIRECT SUITS BROUGHT BY REPRESENTATIVE 390 §18.3 PROCEDURAL RESTRICTIONS ON DERIVATIVE LITIGATION 3 94 §18.3.1 DISTORTED INCENTIVES IN DERIVATIVE LITIGATION 3 94 §18.3.2 LITIGATION PROCEDURAL REQUIREMENTS 395 §18.3.3 DEMAND REQUIREMENTEXHAUSTION OF INTERNAL REMEDIES 398 §18.3.4 COURT APPROVAL OF SETTLEMENTA CLEAN SOLUTION 399 § 18.4 DERIVATIVE LITIGATION IN FEDERAL COURTS 401 §18.4.1 DIVERSITY JURISDICTION 401 §18.4.2 FEDERAL ACTIONS 401 §18.5 DISMISSAL OF DERIVATIVE LITIGATIONFINDING A CORPORATE VOICE 406 §18.5.1 SELF-APPOINTED DERIVATIVE SUIT PLAINTIFF 40 7 § 18.5.2 UNWIELDY BODY OF SHAREHOLDERS 407 §18.5.3 BOARD OF DIRECTORS VOICE OF CENTRALIZED CORPORATE GOVERNANCE 408 §18.5.4 SPECIAL LITIGATION COMMITTEE 411 XX CONTENTS PART V. SHAREHOLDER LIQUIDITY RIGHTS CHAPTER 19 SHARE TRANSFERABILITYAN INTRODUCTION 421 §19.1 SHARE TRANSFER RIGHTS 421 §19.2 PUBLIC TRADING OF CORPORATE SECURITIES 423 §19.2.1 FUNCTIONING OF PUBLIC STOCK TRADING MARKETS 423 §19.2.2 EFFICIENCY OF PUBLIC STOCK MARKETS 425 CHAPTER 20 LIMITATIONS ON CONTROL SALES 429 §20.1 SALE OF OFFICE 429 §20.2 LIMITATIONS ON SALE OF CONTROLLING SHARES 429 §20.2.1 CONTROL PREMIUM 429 §20.2.2 NO-SHARING RULE 430 §20.2.3 EXCEPTIONS TO NO-SHARING RULE 432 §20.2.4 MEANING OF PERIMAN V. FELDMANN 434 §20.2.5 DISCLOSURE DUTIES 435 CHAPTER 21 DISCLOSURE IN SECURITIES TRADING MARKETS 441 §21.1 STATE DISCLOSURE DUTIES 441 §21.2 FEDERAL DISCLOSURE REQUIREMENTS 443 §21.2.1 SEC REGISTRATION 444 §21.2.2 PERIODIC DISCLOSURE 444 §21.2.3 RECORDKEEPING AND FOREIGN BRIBES 447 CHAPTER 22 SECURITIES FRAUD RULE I OB-5 449 §22.1 OVERVIEW OF RULE 1 OB-5 449 §22.1.1 HISTORY OF RULE 10B- 5 449 §22.1.2 PRIVATE 1 OB-5 ACTIONS AND SEC ENFORCEMENT 451 §22.1.3 SOME 1 OB-5 POINTERS 452 §22.2 SCOPE OF PRIVATE 10B- 5 ACTION 454 §22.2.1 PURCHASERS AND SELLERS: 10B-5 STANDING 455 §22.2.2 PRIMARY VIOLATORS: 10B-5 DEFENDANTS 457 §22.2.3 FRAUD IN CONNECTION WITH SECURITIES TRANSACTION 460 §22.3 FRAUD ELEMENTS OF PRIVATE 10B-5 ACTION 462 §22.3.1 MATERIAL DECEPTION 463 §22.3.2 SCIENTER* MANIPULATIVE OR DECEPTIVE DEVICE OR CONTRIVANCE 466 §22.3.3 RELIANCE AND CAUSATION 468 §22.3.4 DAMAGES 471 §22.3.5 NATURE OF 1 OB-5 LIABILITY 473 XXI CONTENTS §22.4 DEFENSES IN PRIVATE 10B-S ACTION 474 §22.4.1 LIMITATIONS AND REPOSE PERIODS 474 §22.4.2 CONTRIBUTION AND INDEMNIFICATION 475 §22.5 COMPARISON TO STATE LAW REMEDIES 476 CHAPTER 23 INSIDER TRADING 485 §23.1 INSIDER TRADING A PRIMER 485 §23.1.1 CLASSIC INSIDER TRADING 485 §23.1.2 MISAPPROPRIATION OF INFORMATIONOUTSIDER TRADING 486 §23.1.3 THEORIES FOR REGULATING INSIDER TRADING 48 6 §23.1.4 POLICING INSIDER TRADING 488 §23.2 STATE LAW ON INSIDER TRADING 488 §23.2.1 FRAUD OR DECEITLIMITED TORT LIABILITY 488 §23.2.2 STATE FIDUCIARY RULES 489 §23.2.3 LIABILITY TO CORPORATION 491 §23.3 APPLICATION OF RULE 10B-5 TO INSIDER TRADING 496 §23.3.1 FEDERAL DUTY TO ABSTAIN OR DISCLOSE 496 §23.3.2 INSIDER TRADING 10B-5 PRIMER 501 §23.3.3 OUTSIDER TRADINGMISAPPROPRIATION THEORY 502 §23.3.4 REMEDIES FOR INSIDER TRADING 509 §23.3.5 REGULATION FD AND SELECTIVE DISCLOSURE 511 §23.4 REGULATION OF INSIDER TRADING UNDER SARBANES-OXLEY (AND DODD-FRANK) 513 §2 3.4.1 INSIDER TRADING DURING PENSION PLAN TRADING BLACKOUT 513 §23.4.2 REIMBURSEMENT ( CLAWBACK ) OF INCENTIVE PAY WHEN FINANCIALS MISSTATED 514 CHAPTER 24 SECTION I6(B) * DISGORGEMENT OF SHORT-SWING PROFITS 529 §24.1 COVERAGE OF §16 529 §24.2 REPORTS 531 §24.3 DISGORGING SHORT-SWING PROFITSMECHANICAL TEST 531 §24.3.1 SPECIAL INTERPRETIVE ISSUES 532 §24.3.2 SECTION 16(B) LITIGATION 535 PART VI. CLOSELY HELD CORPORATION CHAPTER 25 CONTROL DILEMMA IN CLOSE CORPORATION 547 §25.1 SPECIAL PROBLEMS IN CLOSE CORPORATION 548 §25.2 PLANNING IN CLOSE CORPORATION 549 XXII CONTENTS CHAPTER 26 PLANNING IN CLOSE CORPORATION 553 §26.1 MINORITY CONTROL RIGHTS 5S4 §26.1.1 SUPERMAJORITY PROVISIONS 554 §26.1.2 VOTE-POOLING AGREEMENTS 555 §26.2 SELF-ENFORCING CONTROL STRUCTURES 561 §26.2.1 VOTING TRUSTS 561 §26.2.2 CLASSES OF STOCK (CLASSIFIED BOARD) 563 §26.2.3 IRREVOCABLE PROXIES 565 §26.3 TRANSFER RESTRICTIONS AND CONTRACTUAL LIQUIDITY RIGHTS 569 §26.3.1 CREATING TRANSFER RESTRICTIONS AND LIQUIDITY RIGHTS 570 §26.3.2 VALIDITY OF TRANSFER RESTRICTIONS 571 §26.4 RESTRAINTS ON DIRECTORS DISCRETION 576 §26.4.1 VALIDITY OF MANAGEMENT AGREEMENTS 577 §26.4.2 EFFECT OF INVALIDITY AND ENFORCEMENT 578 §26.5 CLOSE CORPORATION STATUTES 579 CHAPTER 27 DISPUTE RESOLUTION IN CLOSE CORPORATIONS 587 §27.1 CLOSE CORPORATION DISPUTES 587 §27.1.1 FREEZEOUTS AND FORCEOUTS 587 §27.1.2 SQUEEZE-OUT DILEMMA 588 §27.1.3 MINORITY SHAREHOLDER S OPTIONS 588 §27.2 JUDICIAL PROTECTION OF MINORITY SHAREHOLDERS 590 §27.2.1 INVOLUNTARY DISSOLUTION 5 91 §27.2.2 FIDUCIARY PROTECTION 593 §27.3 DEADLOCKS 599 §27.3.1 ENVIRONMENT FOR DEADLOCKS 599 §27.3.2 JUDICIAL DEADLOCK REMEDIES 599 §27.3.3 PLANNING FOR DEADLOCKS 600 PART VII. CORPORATE CREDITORS CHAPTER 28 RULE OF LIMITED LIABILITY 607 §28.1 CORPORATE LIMITED LIABILITY 608 §28.2 HISTORY OF LIMITED LIABILITY 610 CHAPTER 29 LIABILITY DURING INCORPORATION PROCESS 615 §29.1 PREINCORPORATION CONTRACTS 615 §29.1.1 PROMOTER S CONTRACTUAL LIABILITY 617 §29.1.2 CORPORATION S CONTRACTUAL LIABILITY 618 §29.1.3 THIRD PARTY S LIABILITY ON CONTRACT 619 XX11I CONTENTS §29.2 LIABILITY FOR DEFECTIVE INCORPORATION 619 §29.2.1 DE FACTO CORPORATION AND CORPORATION BY ESTOPPEL 619 §29.2.2 MODERN ABOLITION OF THE DE FACTO CORPORATION AND ESTOPPEL DOCTRINES? 620 §29.2.3 LIABILITY FOR NONSIGNATORY PARTICIPANTS 622 §29.2.4 ADMINISTRATIVE DISSOLUTION 623 CHAPTER 30 AUTHORITY TO BIND THE CORPORATION 631 §30.1 BOARD DECISION-MAKING 631 §30.1.1 BOARD MEETINGSNOTICE AND QUORUM 632 §30.1.2 BOARD ACTIONMAJORITY VOTE AT A MEETING 633 §30.1.3 DELEGATING BOARD FUNCTIONS TO COMMITTEES 634 §30.2 CORPORATE AUTHORITY 63S §30.2.1 ACTUAL AUTHORITYINTERNAL ACTION 635 §30.2.2 APPARENT AUTHORITYEXTERNAL APPEARANCES 637 §30.2.3 INHERENT AUTHORITY 638 §30.3 RESPONDEAT SUPERIORCORPORATE LIABILITY FOR EMPLOYEE TORTS 639 CHAPTER 31 LIMITATIONS ON CORPORATE DISTRIBUTIONS 647 §31.1 DISTRIBUTIONSTRANSFERRING ASSETS TO SHAREHOLDERS 647 §31.1.1 DIVIDENDS AND DISTRIBUTIONS 648 §31.1.2 REDEMPTION AND REPURCHASE 649 §31.2 LIMITATIONS ON DISTRIBUTIONS 649 §31.2.1 EQUITY INSOLVENCY TEST 649 §31.2.2 BALANCE SHEET TESTS 650 §31.2.3 MANIPULATING BALANCE SHEET TO INCREASE SHAREHOLDERS EQUITY 656 §31.2.4 TIMING OF DISTRIBUTIONS 657 §31.3 CONTRACTUAL LIMITATIONS ON DISTRIBUTIONS 657 §31.4 LIABILITY OF DIRECTORS (AND SHAREHOLDERS) FOR ILLEGAL DISTRIBUTIONS 658 CHAPTER 32 PIERCING THE CORPORATE VEIL 669 §32.1 TRADITIONAL PIERCING FACTORS 670 §32.1.1 CLOSELY HELD CORPORATIONS 671 §32.1.2 INVOLUNTARY CREDITORS 671 §32.1.3 ENTERPRISE LIABILITY DOCTRINE 672 §32.1.4 FAILURE TO OBSERVE CORPORATE FORMALITIES 674 §32.1.5 COMMINGLING ASSETS AND AFFAIRS 674 §32.1.6 UNDERCAPITALIZATION AND PURPOSEFUL INSOLVENCY 675 XXIV CONTENTS §32.1.7 ACTIVE CORPORATE PARTICIPATION 676 §32.1.8 DECEPTION 676 §32.1.9 DISTINGUISHING DIRECT PERSONAL LIABILITY 677 §32.1.10 REVERSE PIERCING 677 §32.2 DISTILLING A PRINCIPLESOLVING THE PIERCING CONUNDRUM 684 §32.2.1 UNIFORM FRAUDULENT TRANSFER ACT 684 §32.2.2 APPLYING UFTA TO PIERCING CONUNDRUM 685 §32.2.3 LIMITS OF UFTA 686 CHAPTER 33 STATUTORY RECOGNITION OF CORPORATION 691 §33.1 STATUTORY RECOGNITION OF CORPORATION 692 §33.1.1 CORPORATION AS SEPARATE ENTITY 692 §33.1.2 CORPORATE LIMITED LIABILITY 692 §33.2 EQUITABLE SUBORDINATION DOCTRINE 694 PART VIII. FUNDAMENTAL CORPORATE CHANGES CHAPTER 34 TAKEOVERS * AN INTRODUCTION 701 §34.1 HOSTILE CHOICESPROXY CONTEST OR TENDER OFFER 702 §34.2 GARDEN-VARIETY TAKEOVER DRAMA 703 §34.3 EPILOGUEARE TAKEOVERS HEALTHY? 712 CHAPTER 35 INTERNAL FUNDAMENTAL CHANGES 717 §35.1 CHARTER AMENDMENTS 718 §35.1.1 POWER TO AMEND CHARTER 718 §35.1.2 MECHANICS FOR APPROVING CHARTER AMENDMENTS 719 §35.1.3 RECAPITALIZATIONS 7 21 §35.2 DISSOLUTION 721 §35.2.1 DISSOLUTION TERMINOLOGY 722 §35.2.2 PROCESS OF APPROVAL 722 §35.2.3 PROCESS OF WINDING UP 722 CHAPTER 36 CORPORATE COMBINATIONS 727 §36.1 COMBINATION CHOICESSOME BASICS 728 §36.2 MERGERS 729 §36.2.1 EFFECT OF MERGER 729 §36.2.2 STATUTORY PROTECTIONS IN MERGER 730 §36.2.3 MERGER TECHNIQUES 732 §36.2.4 MERGER OF CORPORATIONS INCORPORATED IN DIFFERENT STATES 735 XXV CONTENTS §36.3 SALES OF ASSETS 735 §36.3.1 EFFECT OF A SALE OF ASSETS 736 §36.3.2 STATUTORY PROTECTIONS IN SALE OF ASSETS 737 §36.3.3 CONDITIONS FOR TRIGGERING PROTECTIONS 737 §36.3.4 COMPARISON OF MERGER, TRIANGULAR MERGER, AND SALE OF ASSETS 738 §36.4 DE FACTO MERGER AND SUCCESSOR LIABILITY DOCTRINES 739 §36.4.1 DE FACTO MERGER DOCTRINE 739 §36.4.2 SUCCESSOR LIABILITY DOCTRINE 740 CHAPTER 37 APPRAISAL REMEDY 749 §37.1 APPRAISAL RIGHTS 750 §37.1.1 TRANSACTIONS THAT TRIGGER APPRAISAL RIGHTS 750 §37.1.2 SHARES SUBJECT TO APPRAISAL 752 §37.1.3 MARKET EXCEPTION IN PUBLIC CORPORATIONS 752 §37.1.4 COMPARISON OF MERGER AND SALE OF ASSETS 754 §37.2 APPRAISAL PROCEEDING 754 §37.2.1 PROCEDURES 754 §37.2.2 FAIRVALUE 756 §37.3 EXCLUSIVITY OF APPRAISAL 758 §37.3.1 PRICE OR PROCESS FAIRNESS 759 §37.3.2 NONAPPRAISAL REMEDIES 759 §37.3.3 EFFECT OF CHOICE 759 CHAPTER 38 FEDERAL REGULATION OF TENDER OFFERS 765 §38.1 DISCLOSURE OF FOOTHOLD POSITION 766 §38.1.1 SCHEDULE 13D DISCLOSURE 766 §38.1.2 BENEFICIAL OWNERSHIP AND SHAREHOLDER GROUPS 766 §38.2 FEDERAL TENDER OFFER RULES 767 §38.2.1 TENDER OFFER DISCLOSURE 767 §38.2.2 SUBSTANTIVE TERMS OF OFFER 768 §38.2.3 REGULATION OF ISSUER SELF-TENDERS 769 §38.2.4 REGULATION OF DECEPTION (BUT NOT UNFAIRNESS) 769 §38.2.5 UNORTHODOX TENDER OFFERS 770 §38.3 WILLIAMS ACT ENFORCEMENT 771 §38.3.1 STANDING TO REPRESENT TARGET SHAREHOLDERS 772 §38.3.2 REMEDIES 772 XXVI CONTENTS CHAPTER 39 TAKEOVER DEFENSES 779 §39.1 DILEMMA OF TAKEOVER DEFENSES 779 §39.1.1 PASSIVE VS. ACTIVE DEBATE 780 §39.1.2 INDEPENDENCE OF OUTSIDE DIRECTORS 780 §39.1.3 BOARD S DUTIES TO OTHER CONSTITUENTS 7 81 §39.2 STATE FIDUCIARY REVIEW 781 §39.2.1 DOMINANT-MOTIVE REVIEW 782 §39.2.2 INTERMEDIATE DUE CARE REVIEW 783 §39.2.3 INTERMEDIATE PROPORTIONALITY REVIEW 783 §39.3 BOARD S POWER TO ADOPT TAKEOVER DEFENSES 795 §39.4 STATE ANTITAKEOVER STATUTES 8 01 §39.4.1 HISTORY*THREE GENERATIONS 801 §39.4.2 CURRENT ANTITAKEOVER STATUTES 803 §39.4.3 CONSTITUTIONALITY OF THIRD-GENERATION ANTITAKEOVER LEGISLATION 805 TABLE OF CASES 811 INDEX 819 XXVII
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spelling	Palmiter, Alan R. Verfasser aut Corporations Alan R. Palmiter, Howard L. Oleck Professor of Business Law, Wake Forest University Eighth edition New York Wolters Kluwer [2015] © 2015 xxxiv, 841 Seiten Illustrationen txt rdacontent n rdamedia nc rdacarrier Examples & Explanations Corporation law / United States USA SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=027796692&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis
spellingShingle	Palmiter, Alan R. Corporations Corporation law / United States
title	Corporations
title_auth	Corporations
title_exact_search	Corporations
title_full	Corporations Alan R. Palmiter, Howard L. Oleck Professor of Business Law, Wake Forest University
title_fullStr	Corporations Alan R. Palmiter, Howard L. Oleck Professor of Business Law, Wake Forest University
title_full_unstemmed	Corporations Alan R. Palmiter, Howard L. Oleck Professor of Business Law, Wake Forest University
title_short	Corporations
title_sort	corporations
topic	Corporation law / United States
topic_facet	Corporation law / United States USA
url	http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=027796692&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA
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