员工股票期权争议解决的困境与出路:基于222个判决的研究  

The Dilemma and Way Out of Employee Stock Option Dispute Resolution:AStudyBased on222Decisions

作　　者：王倩 於舒琳 范黎红[2] Qian WANG;Shulin YU;Lihong FAN(Shanghai University of Political Science and Law,Shanghai 201701;School of Law,Tongji University,Shanghai 200092)

机构地区：[1]上海政法学院,上海201701 [2]同济大学法学院,上海200092

出　　处：《中国人力资源开发》2023年第10期85-97,共13页Human Resources Development of China

基　　金：2022年教育部人文社科规划基金项目(22YJA820004);教育部人文社会科学青年基金(17YJC630053)。

摘　　要：通过对涉及员工股票期权的裁判文书进行检索分析发现,由员工股票期权引发的民事案件呈现样态如下:诉讼案由多样化且争议大、员工主动维权多但败诉率高、非上市公司较上市公司涉诉更多。之所以员工股票期权案件的定分止争面临诸多困境,主要是因为劳动法和民商法的交叉导致纠纷所属案由存疑,对股票期权协议中的违约金等约定是否有效也有争议,还有股票期权自身的不确定性等因素使得员工损失难以获赔。基于上述问题,应明确三点解决思路:首先,应该根据员工股票期权法律关系的定位分析来确定是否属于劳动争议,但是不强求选出“正确的案由”;其次,一定程度上限制合同自由,尤其是涉及劳动法领域的特殊条款时;最后,从股票期权作为金融衍生品的特性出发考虑赔偿损失问题。Through the analysis of the court decisions involving employee stock options,we found that civil cases arising from employee stock options have the following patterns:There are diverse and controversial causes of action;more employees take the initiative to defend their rights but with a high rate of defeat;more non-listed companies are involved in lawsuits than listed companies.The main reason why employees'stock option cases face many difficulties is that the intersection of labor law and civil law makes the cause of action doubtful.The validity of the liquidated damages in the stock option agreement is also controversial,and the uncertainty of the stock option itself makes it difficult to compensate for the employees'losses.Based on the above-mentioned problems,three solutions should be clarified:first,whether it is a labor dispute should be determined based on an analysis of the orientation of the legal relationship of employee stock options;second,to limit the freedom of contract to a certain extent,especially when it comes to special provisions in the field of labor law;finally,to consider the compensation loss from the characteristics of stock options as financial derivatives.

关 键 词：股权激励 员工股票期权 劳动报酬 争议解决 

分 类 号：D922.291.91[政治法律—经济法学] D922.287[政治法律—法学]