合同英语研究(二): 合同主体与引言

---以跨境股权并购SPA协议为例

一、主体Parties

（一）文本举例

A项目：

Sellers

×××Limited，×××.(A)

×××，×××.(B)

×××Ltd, ×××. (C)

(together,the Sellers, and individually a Seller

 

Buyer

×××Ltd, ×××.

 

BuyerGuarantor

×××Corporation, ×××.

       

       B项目：

THIS AGREEMENT is made on______2018

BETWEEN:

(1) ××× Limited (registered number ×××)whoseregistered office isat ××× (the Seller); and

(2) ××× Company Limited (registerednumber ×××) whoseregistered office isat ×××(the Purchaser),

(together the Parties and each aParty).

（二）分析解读

1.英文合同中的人称代词：合同中代词一般用间接代词，如PartyA, Party B，a third Party，each Party,以表示对各方一视同仁。在商务合同中很少出现人称代词，而且即使出现了人称代词通常都是泛指。合同的起草人经常用the said或the same 加上一个名词来指代前文中提到的名词。

2.合同简称的表述：2种，简称包括合同主体代词要大写。

3.公司性质与名称（公司名称的翻译参《企业名称的翻译问题》）：

Limited partnership & limitedliability partnership（了解英美法习惯）

British China Telecom Co., Ltd(中英子分公司同名，区分其民事行为能力)

Atlantic Container Line, Hawaiian AirLines（专业公司名称有用lines， Agency, stores, associates, Systems, Services, office ）

Head office, home office, branch office,insurance office.（总部与分支机构）

4.公司名称后缀

CO，是company的缩写，意思是“公司”。
LTD，是limited的缩写，意思是“有限的”，常单独出现在公司名称，指有

限责任公司。
CO., Ltd.，有限责任公司，规模较小企业。
Inc，是incorporation的缩写，意思是“团体、法人组织、公司”。
Corp.，corporation缩写，大型股份公司。

LLC，是limitedliability company和简写，意思是“有限责任公司”。

JSC，是JointStock Company的缩写，指股份公司。

LLP，Limited Liability Partnership, 有限责任合伙。

根据英国公司法，公司注册形态主要分为有限及无限公司两种，而有限公司又分为公开有限公司(Public Limited Company)即股票上市公司及私人有限公司(PrivateLimited Company)（即非上市公司）。

BV，荷兰文Besloten Vennootshap met beperkteaansprak-elijkhed缩写，私人有限公司
    NV，荷兰文NaamlozeVennootschap的缩写，指公众有限公司
    SA系法语SocieteAnonym、意大利语Societa Anonima和西班牙语Sociedad Anonima的简称，均译为“股份公司”，

GmbH，是德文Gesellschaft Mit Beschrankter Haftung的缩写，等于英文中的Limitedliability company，即“有限责任公司”。
    除了德国之外，德语区包括奥地利、列支敦士登、瑞士、比利时和卢森堡等地的公司名称中也常出现GmbH。
     Pte.，是新加坡法律规定的私人企业名称中必须出现的字样。        

FZC、FZCO，是FreeZone Compagnie的简写，FZ是free zone(自由区)的意思，凡带有FZCO字样公司都是在自由贸易区注册成立的。

FZE，是Free Zone Establishment的简写，一般指免税区个人有限责任企业

k.k.，是日本语Kabushiki Kaisha（株式会社）的简写，等于英语中的Joint-stockcompany（股份有限公司）。
      Y.K是日语YugenKaisha (有限会社)的简写，等于英语中的Limited liability company（有限责任公司），实际上多半是一些中小企业，不少是家庭手工业者，例如豆腐房、菜店、肉铺等。

4.企业登记签约地、注册地表述与风险

风险：影响税收、适用法、管辖法院

principal place of business（principal office）(主营业地)、domicile（住所地）、business premise（营业场所）、registeredoffice（注册地）

（三）综合总结

合同主体模板写法

This Agreement is made and entered into this___th day of ___ in the year of ___ by and between ___, a company dulyorganized and existing under and by virtue of the laws of ____, with itsprincipal place of business at _____ (hereinafter referred to as “_____”), and____, a company duly organized and existing under and by virtue of the laws of______, with its principal place of business at _____ (hereinafter referred toas “_____”), whereby it is agreed as follows:                                                                                                     

二、前言recital/Preambles

（一）文本举例

A项目

BACKGROUND:

(A) The Seller is the legal and beneficialowner of ××× Shares in ××× (the Company), representing approximately ×% of theentire issued share capital of the Company, short particulars of which are setout in Schedule × to this Agreement.

(B) The Seller has agreed to sell, and thePurchaser has agreed to purchase, the Seller’s ××× Shares in the Company,representing approximately ×% of the entire issued share capital of theCompany, on the terms and subject to the conditions set out in this Agreement(the Transaction)

(C) As part of the Transaction thePurchaser has agreed to provide the First Bank Guarantee (as defined below) forthe benefit of the Seller, which shall be replaced by the Second Bank Guarantee(as defined below) following approval by the shareholders of the Purchaser ofthe Second Bank Guarantee.

B项目

1.The Sellers own the ××× Sale Shares.

2. The Sellers or a member of the Seller Group own the ××× Sale Shares.

3.The Sellers have agreed to sell, and the Buyer has agreed to buy, the ××× SaleShares on the terms and conditions of this agreement.

4. The Sellers have agreed to sell orcause the sale of, and the Buyer has agreed to buy, the ××× Sale Shares on theterms and conditions of this agreement.

5. In consideration of the Sellersentering into this agreement at the Buyer Guarantor's request, the BuyerGuarantor has agreed to guarantee the obligations of the Buyer under thisagreement.

（二）分析解读

1.“前言”对应的法律术语：

Recital多用于合同，preamble多用于法律（如CISG），introduction/foreword/preface非法律术语不用（background有时可用）。

Recital：thepart of a legal document, such as a deed, that explains its purpose and givesfactual information(《英美法律术语辞典》第355页)

2.套路模板

开启词：whereas，WITNESSED，WITHNESSTH，WITHNESSTH THAT，considering

结尾词：NOW THEREFORE, it is hereby agreed by both PARTIESas follows

NOW THEREFORE, both PARTIES agree as follows

Inconsideration ofthe mutual promises and undertakings contained

in this AGREEMENT, the PARTIES agree as follows:

    3.“前言”都包含什么内容？

A.合同的背景（backgroundof agreement）
B.双方缔约的目的（purposefor entering into the contract）
C.合同的主要目标或重要设想（keyassumptions for the contract）

4.“前言”部分法律风险

前言目的VS .合同正文的“协议目的条款”与“陈述与保证条款”（deed中正文条款效力优先）

前言部分与“禁止反言”规则（estoppel）