科技企业破产阶段专利拍卖模型及启示  

Patent auction model in the bankruptcy period of technology companies and enlightenment

作　　者：徐明 姜南 Xu Ming;Jiang Nan(Shanghai International College of Intellectual Property,Tongji University,Shanghai 200092,China)

机构地区：[1]同济大学上海国际知识产权学院,上海200092

出　　处：《科研管理》2021年第9期94-102,共9页Science Research Management

基　　金：中央高校基本科研业务费专项资金:“国际知识产权商事调解协议执行机制研究”(22120200373,2020.07—2022.12);国家自然科学基金项目:“制度演化影响下专利密集型产业知识溢出和区域创新联动机制研究”(71874122,2019.01—2022.12)。

摘　　要：专利权的有效性以按时缴纳年费为前提,一旦企业破产清算完毕主体资格将被注销,虽然专利仍有价值,但却将因无人缴纳年费而终止。在破产阶段,专利拍卖能够实现技术转移。通过对专利特征、拍卖动机、拍卖模型、多竞拍者拍卖等因素的研究,得出结论:如果破产后企业所有者希望继续使用专利技术,则其不会启动专利拍卖程序;如果专利拍卖的成本低于专利拍卖的成交额,债权人委员会将启动专利拍卖程序;专利的前期研发成本越高,则拍卖成交的概率越大;参与竞拍的企业数量越多,则拍卖获得较高成交额的概率越大;以竞拍联盟形式参与专利拍卖,能够降低每家竞拍企业的成本和风险。由此提出明确专利强制拍卖情形、降低专利拍卖成本、鼓励专利组合拍卖、采用集中竞拍、多形态专利拍卖等建议。The validity of patent right is based on timely payment of annual fee.Once the patentee goes bankruptcy,the qualification of enterprise entity will be cancelled.Although the patent itself still has value,patent right will be terminated because no one pays annual fee after bankruptcy.During bankruptcy period,patents can be used to realize the technology transfer through auction procedure,which can not only repay the debts of enterprises to maximum extent,but also extend the validity and value of these patents.This article focuses on the question:how to achieve the continuation of patent value through patent auctions during the bankruptcy period of technology companies.Patent is different from general property,auction is different from bilateral negotiation,bankruptcy is different from enterprise existence,so it is necessary to fully consider the cross areas formed by these three differences.Recent academic research has clearly demonstrated three levels:first,patent is a property right that can be transferred through auction;second,the disposal of patent rights should be carefully considered during bankruptcy period;third,the auction method can maximize the benefits during bankruptcy period,and different auction method greatly affects the probability of final transaction.On the basis of existing research,this article focuses on next level:establishing a patent auction mechanism during the bankruptcy period.Through the study of patent characteristics,auction motivation in bankruptcy period,basic patent auction model and multi bidders auction model,five basic propositions are obtained.First,if the business owner wishes to continue using the patented technology after bankruptcy,he will not initiate patent auction procedure by his own.Second,if the cost of the patent auction is lower than the revenue of patent auction,patent auction procedure should be activated by creditor committee.Third,the higher R&D cost of a patent,the greater probability of patent will be sold by auction.Fourth,the more companies that participat

关 键 词：科技企业 破产 专利资产 拍卖 技术转移 

分 类 号：F276.3[经济管理—企业管理]