PART 2. GENERAL DEFINITIONS AND PRINCIPLES OF INTERPRETATION

第二章：一般定义和解释原则

§ 1-201. General Definitions.

第1-201：一般定义

（a） Unless the context otherwise requires, words or phrases defined in this section, or in the additional definitions contained in other articles of [the Uniform Commercial Code] that apply to particular articles or parts thereof, have the meanings stated.

（a）除上下文另有要求外，本条定义的或本法其他各篇所载适用于本法特定篇章的其他定义所定义的词语或短语的含义为所述的含义。

（b） Subject to definitions contained in other articles of [the Uniform Commercial Code] that apply to particular articles or parts thereof:

（b）在不违反本法其他各篇所载适用于其特定篇章的定义的情况下：

（1） "Action", in the sense of a judicial proceeding, includes recoupment, counterclaim, set-off, suit in equity, and any other proceeding in which rights are determined.

（1）“诉讼”就司法程序而言，包括追偿、反诉、债务抵销、衡平诉讼以及其他任何裁定权利的诉讼程序。

（2） "Aggrieved party" means a party entitled to pursue a remedy.

（2）“受损方”指有权获得救济的当事方。

（3） "Agreement", as distinguished from "contract", means the bargain of the parties in fact, as found in their language or inferred from other circumstances, including course of performance, course of dealing, or usage of trade as provided in Section 1-303.

（3）“协议”不同于“合同”，指当事方事实上达成的合意。此种合意可以存在于当事方使用的语言中，也可以根据其他情况推定，包括第1-303条规定的履约过程、交易过程或行业惯例。

（4） "Bank" means a person engaged in the business of banking and includes a savings bank, savings and loan association, credit union, and trust company.

（4）“银行”指任何从事银行业务的人，包括储蓄银行、储蓄和贷款协会、信贷联盟和信托公司。

（5） "Bearer" means a person in possession of a negotiable instrument, document of title, or certificated security that is payable to bearer or indorsed in blank.

（5）“持票人”指占有凭票付款或空白背书的流通票据、所有权凭证或实物证券的人。

（6） "Bill of lading" means a document evidencing the receipt of goods for shipment issued by a person engaged in the business of transporting or forwarding goods.

（6）“提单”指由从事货物运输或运送业务的人开出的、证明收到待运货物的单据。

（7） "Branch" includes a separately incorporated foreign branch of a bank.

（7）“分行”包括银行在外国独立注册成立的分行。

（8） "Burden of establishing" a fact means the burden of persuading the trier of fact that the existence of the fact is more probable than its nonexistence.

（8）对某项事实承担“举证责任”，指承担说服该事实之审判人，使其相信该事实存在之可能性大于其不存在之可能性的责任。

（9） "Buyer in ordinary course of business" means a person that buys goods in good faith, without knowledge that the sale violates the rights of another person in the goods, and in the ordinary course from a person, other than a pawnbroker, in the business of selling goods of that kind. A person buys goods in the ordinary course if the sale to the person comports with the usual or customary practices in the kind of business in which the seller is engaged or with the seller's own usual or customary practices. A person that sells oil, gas, or other minerals at the wellhead or minehead is a person in the business of selling goods of that kind. A buyer in ordinary course of business may buy for cash, by exchange of other property, or on secured or unsecured credit, and may acquire goods or documents of title under a preexisting contract for sale. Only a buyer that takes possession of the goods or has a right to recover the goods from the seller under Article 2 may be a buyer in ordinary course of business. "Buyer in ordinary course of business" does not include a person that acquires goods in a transfer in bulk or as security for or in total or partial satisfaction of a money debt.

（9）“正常业务过程中的买方”指在不了解所进行的销售侵犯另一方对货物享有的权利情况下，善意地通过正常过程向从事该种货物销售的卖方购买货物的人。此处的卖方不包括典当商。如果向某人销售符合卖方所从事的该类业务的惯例或者符合卖方自己的惯例，则该人属于通过正常过程购买货物。在井源或矿源销售包括石油、燃气和其他矿物的人应视为从事该种货物销售的人。正常业务过程中的买方可以利用现金购买，也可以通过其他财产交换或者利用有担保或无担保的信用进行赊买，也可以根据先前的销售合同取得货物或所有权凭证。只有占有货物或者有权根据第二篇向卖方追讨货物的买方才是正常业务过程中的买方。“正常业务过程中的买方”不包括通过大宗转让、或者为金钱债务提供担保或者为全部或部分清偿金钱债务而取得货物的人。

　　（10） "Conspicuous", with reference to a term, means so written, displayed, or presented that a reasonable person against which it is to operate ought to have noticed it. Whether a term is "conspicuous" or not is a decision for the court. Conspicuous terms include the following: （A） a heading in capitals equal to or greater in size than the surrounding text, or in contrasting type, font, or color to the surrounding text of the same or lesser size; and （B） language in the body of a record or display in larger type than the surrounding text, or in contrasting type, font, or color to the surrounding text of the same size, or set off from surrounding text of the same size by symbols or other marks that call attention to the language.

（10）“醒目”对于某些条款而言，指其书写、展示或呈现方式能够使作为该条款实施对象的正常人应该能够注意到该条款。某项条款是否醒目由法院裁决。醒目条款具备以下条件：（1）大写标题的尺寸等于或大于周围文本，或者字型、字体或颜色与同样大或较小的周围文本截然不同；以及（2）记录或展示内容正文文字的尺寸大于周围文本，或者其字型、字体或颜色与相同大小的周围文本截然不同，或者利用能够使人注意到该等文字的符号或其他标志予以衬托，使其区别于相同尺寸的周围文本。

（11） "Consumer" means an individual who enters into a transaction primarily for personal, family, or household purposes.

（11）“消费者”指主要为了个人、家人或家庭目的而进行交易的个人。

（12） "Contract", as distinguished from "agreement", means the total legal obligation that results from the parties' agreement as determined by [the Uniform Commercial Code] as supplemented by any other applicable laws.

（12）“合同”不同于“协议”，“合同”指当事人根据本法以及其他任何适用法律的补充而达成的协议所产生的全部法律义务。

（13） "Creditor" includes a general creditor, a secured creditor, a lien creditor, and any representative of creditors, including an assignee for the benefit of creditors, a trustee in bankruptcy, a receiver in equity, and an executor or administrator of an insolvent debtor's or assignor's estate.

（13）“债权人”包括普通债权人、有担保债权人、留置债权人以及债权人的任何代表。此种代表包括代表债权人利益的受让人、破产受托人、衡平法中的清算人（receiver in equity），以及破产债务人或出让人财产的执行人或管理人。

 

（14） "Defendant" includes a person in the position of defendant in a counterclaim, cross-claim, or third-party claim.

（14）“被告”包括反诉、反请求或第三方请求中处于被告地位的人。

（15） "Delivery", with respect to an instrument, document of title, or chattel paper, means voluntary transfer of possession.

（15）涉及票据、所有权凭证或动产契据时，“交付”指自愿转移占有。

 

（16） "Document of title" includes bill of lading, dock warrant, dock receipt, warehouse receipt or order for the delivery of goods, and also any other document which in the regular course of business or financing is treated as adequately evidencing that the person in possession of it is entitled to receive, hold, and dispose of the document and the goods it covers. To be a document of title, a document must purport to be issued by or addressed to a bailee and purport to cover goods in the bailee's possession which are either identified or are fungible portions of an identified mass.

（16）“所有权凭证”包括提单、码头栈单、码头收据、仓单或书面交货指示，也包括任何在正常商业或融资过程中足以证明凭证占有人有权接收、持有或处置凭证或其所代表之货物的其他任何凭证。一项凭证要成为所有权凭证，必须表明凭证系由货物保管人开出或系开给货物保管人，并表明凭证代表由货物保管人占有的货物。此种货物是特定的，或者是特定的一批货物中的可替代部分。

（17） "Fault" means a default, breach, or wrongful act or omission.

（17）“过错”指不履行义务的行为、违约行为或者错误的作为或不作为。

（18） "Fungible goods" means: （A） goods of which any unit, by nature or usage of trade, is the equivalent of any other like unit; or （B） goods that by agreement are treated as equivalent.

（18）“可替代货物”指：（1）根据行业性质或惯例，其任何组成部分等效于其他任何类似组成部分的货物；或者（2）根据协议视作等效的其他货物。

（19） "Genuine" means free of forgery or counterfeiting.

（19）“真实”指不存在假冒或伪造。

（20） "Good faith," except as otherwise provided in Article 5, means honesty in fact and the observance of reasonable commercial standards of fair dealing.

（20）除第五篇另有规定外，“善意”指在事实方面以及遵守公平交易合理商业准则方面的诚信。

（21） "Holder" means: （A） the person in possession of a negotiable instrument that is payable either to bearer or to an identified person that is the person in possession; or （B） the person in possession of a document of title if the goods are deliverable either to bearer or to the order of the person in possession.

（21）“持有人”指：（1）占有流通票据的人，该等流通票据应向持票人支付或者向作为占有人的特定人支付；或者（2）占有所有权凭证的人，货物应交付给持票人或者按占有人的指示交付。

（22） "Insolvency proceeding" includes an assignment for the benefit of creditors or other proceeding intended to liquidate or rehabilitate the estate of the person involved.

（22）“破产程序”包括为了债权人的利益进行出让，或者为了清算或恢复相关人士财产的其他程序。

（23） "Insolvent" means: （A） having generally ceased to pay debts in the ordinary course of business other than as a result of bona fide dispute; （B） being unable to pay debts as they become due; or （C） being insolvent within the meaning of federal bankruptcy law.

（23）“破产”指（1）在正常业务过程中全面停止偿还债务，并且不是因为真实的纠纷；（2）无力偿还到期债务；（3）符合联邦破产法中的破产含义。

（24） "Money" means a medium of exchange currently authorized or adopted by a domestic or foreign government. The term includes a monetary unit of account established by an intergovernmental organization or by agreement between two or more countries.

（24）“货币”指本国或外国政府当前批准或采用的交换媒介。本术语包括政府间组织或者两个或两个以上国家之间协定确定的货币记账单位。

（25） "Organization" means a person other than an individual.

（25）“组织”指除个人之外的人。

（26） "Party", as distinguished from "third party", means a person that has engaged in a transaction or made an agreement subject to [the Uniform Commercial Code].

（26）“当事人”不同于“第三方”，指已经根据本法从事交易或者订立协议的人。

（27） "Person" means an individual, corporation, business trust, estate, trust, partnership, limited liability company, association, joint venture, government, governmental subdivision, agency, or instrumentality, public corporation, or any other legal or commercial entity.

（27）“人”指个人、公司、商业信托机构、遗产管理委员会（estate）、信托组织、合伙企业、有限责任公司、协会、合营企业、政府、政府分部、机构或执行部门、上市公司、或其他任何法人或商业实体。

（28） "Present value" means the amount as of a date certain of one or more sums payable in the future, discounted to the date certain by use of either an interest rate specified by the parties if that rate is not manifestly unreasonable at the time the transaction is entered into or, if an interest rate is not so specified, a commercially reasonable rate that takes into account the facts and circumstances at the time the transaction is entered into.

（28）“现值”指截至特定日期将来应付的一笔或多笔款项的金额，如果各方规定的利率在达成交易时并非明显不合理，则按照该利率贴现至该特定日期，或者如果没有规定利率，则按照考虑到达成交易时的事实和情形的、商业上合理的利率。

（29） "Purchase" means taking by sale, lease, discount, negotiation, mortgage, pledge, lien, security interest, issue or reissue, gift, or any other voluntary transaction creating an interest in property.

（29）“购买”指通过下列方式取得（财产）：销售、租赁、贴现、议付、抵押、质押、留置、担保权益、发行或再发行、馈赠或者设立财产权益的其他任何自愿交易。

（30） "Purchaser" means a person that takes by purchase.

（30）“买方”指通过购买取得（财产）的人。

（31） "Record" means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.

（31）“记录”指书写在有形介质上的信息，或者存储在电子介质或其他介质上并且能够以可识别的形式重新获取的信息。

（32） "Remedy" means any remedial right to which an aggrieved party is entitled with or without resort to a tribunal.

（32）“救济”指受损害方通过或不通过法院而有权享有的任何救济权利。

（33） "Representative" means a person empowered to act for another, including an agent, an officer of a corporation or association, and a trustee, executor, or administrator of an estate.

（35）“代表”指获得授权，代表另一方行事的人，包括代理人、公司或协会的高管人员以及遗产的受信托人、执行人或者管理人。

（34） "Right" includes remedy.

（34）“权利”包括救济。

（35） "Security interest" means an interest in personal property or fixtures which secures payment or performance of an obligation. "Security interest" includes any interest of a consignor and a buyer of accounts, chattel paper, a payment intangible, or a promissory note in a transaction that is subject to Article 9. "Security interest" does not include the special property interest of a buyer of goods on identification of those goods to a contract for sale under Section 2-505, the right of a seller or lessor of goods under Article 2 or 2A to retain or acquire possession of the goods is not a "security interest", but a seller or lessor may also acquire a "security interest" by complying with Article 9. The retention or reservation of title by a seller of goods notwithstanding shipment or delivery to the buyer under Section 2-401 is limited in effect to a reservation of a "security interest." Whether a transaction in the form of a lease creates a "security interest" is determined pursuant to Section 1-203.

（35）“担保权益”指对动产或不动产附着物所享有的、作为付款或履行义务之担保的权益。“担保权益”包括在依据第9篇的交易中，寄售人和买方对账款、动产契据或者本票享有的任何权益。担保权益不包括确定货物隶属于第2-205条项下销售合同时买方对货物享有的特别财产权益，第2或2A篇中货物卖方或出租方保留或获取货物的权利不属于“担保权益”，但是卖方或出租方也可以根据第9篇取得“担保权益”。根据第2-401条向买方发运或交付货物后卖方保留或保有货物的所有权仅限于保有“担保权益”。租赁形式的交易是否设立“担保权益”根据第1-203条确定。

 

（36） "Send" in connection with a writing, record, or notice means: （A） to deposit in the mail or deliver for transmission by any other usual means of communication with postage or cost of transmission provided for and properly addressed and, in the case of an instrument, to an address specified thereon or otherwise agreed, or if there be none to any address reasonable under the circumstances; or （B） in any other way to cause to be received any record or notice within the time it would have arrived if properly sent.

（36）涉及书面材料、记录或通知时，“发出”指（A）在支付邮费或传送费并正确标明地址后将书面材料、记录或通知交付邮寄或通过任何其他常用通讯手段交付传送；涉及票据时，应按照票据上注明的地址或另外商定的地址发出；若为无该等地址，则应发往当时条件下的任何合理地址；或者（B）采取其他任何方式，促使收到任何记录或通知的时间不迟于妥当发出时到达的时间。

（37） "Signed" includes using any symbol executed or adopted with present intention to adopt or accept a writing.

（37）“签名”包括利用所作成或采用的任何符号表示当事方当前愿意采纳或接受一份书面材料。

（38） "State" means a State of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States.

（38）“州”指美国的某个州、哥伦比亚特区、波多黎各、美属维京群岛或者受美国管辖的任何领地或属岛。

（39） "Surety" includes a guarantor or other secondary obligor.

（39）“保证人”包括担保人或者其他次级债务人。

（40） "Term" means a portion of an agreement that relates to a particular matter.

（40）“条款”指协议中涉及特定事务的某个部分。

（41） "Unauthorized signature" means a signature made without actual, implied, or apparent authority. The term includes a forgery.

（41）“未经授权的签字”指未经实际授权、默示授权或明示授权而作出的签字。该术语包括伪造。

（42） "Warehouse receipt" means a receipt issued by a person engaged in the business of storing goods for hire.

（42）“仓单”指从事货物储存业务的人开出的收据。

 

（43） "Writing" includes printing, typewriting, or any other intentional reduction to tangible form. "Written" has a corresponding meaning.

（43）“书面”或“书写”包括印刷、打字或任何其他有意作出的可见形式。“书面的”具有相应的含义。