(e)         If the defective corporate act ratified pursuant to this section would have required under any other section of this title the filing of a certificate in accordance with § 103 of this title, then, whether or not a certificate was previously filed in respect of such defective corporate act and in lieu of filing the certificate otherwise required by this title, the corporation shall file a certificate of validation in accordance with § 103 of this title. The certificate of validation shall set forth:

如果在本篇任何其他章节项下，会要求就根据本节认可的有缺陷公司行为依照本篇第103节之规定提交一份证明备案，那么不管此前是否就该有缺陷公司行为提交备案了一份证明并用以代替本篇要求的其他提交备案的证明，公司都应当依照上述103节之规定提交备案一份确认有效证明。该证明中应当列明：

 

(1)   The resolution adopted in accordance with subsection (b) of this section, the date of adoption of such resolution by the board of directors and, if applicable, by the stockholders and a statement that such resolution was duly adopted in accordance with this section;

根据本节(b)小节通过的决议，董事会（或适当情况下，股东）通过该决议的日期，并说明该决议根据本节规定正式通过；

 

(2)   If a certificate was previously filed under § 103 of this title in respect of the defective corporate act, the title and date of filing of such prior certificate and any certificates of correction thereto; and

如果此前已经根据本篇第103节之规定就该有缺陷公司行为提交备案了一份证明，则列明该证明的标题以及提交备案的日期，以及就其进行修改的任何证明；以及

 

(3)   Such provisions as would be required under any other section of this title to be included in the certificate that otherwise would have been required to be filed pursuant to this title with respect to such defective corporate act.

在本篇任何其他章节项下，可能要求包含在本篇就该有缺陷公司行为另外要求提交备案的证明中的规定。

 

(f)          From and after the validation effective time, unless otherwise determined in an action brought pursuant to § 205 of this title:

除非在根据本篇第205节之规定提起的诉讼中另有裁定，否则自确认有效行为生效之时起：

 

(1)   Each defective corporate act set forth in the resolution adopted pursuant to subsection (b) of this section shall no longer be deemed void or voidable as a result of a failure of authorization identified in such resolution and such effect shall be retroactive to the time of the defective corporate act; and

依照本节(b)款通过的决议中所列的各项有缺陷公司行为不得因为该决议中所确认的未经授权而无效或可以撤销，同时此项结果应当追溯至有缺陷公司行为发生之时；并且

 

(2)   Each share or fraction of a share of putative stock issued or purportedly issued pursuant to such defective corporate act and identified in the resolution required by subsection (b) of this section shall no longer be deemed void or voidable as a result of a failure of authorization identified in such resolution and, in the absence of any failure of authorization not ratified, shall be deemed to be an identical share or fraction of a share of outstanding stock as of the time it was purportedly issued.

根据该有缺陷公司行为发行的或指称根据此等行为发行的各股或零星股，一经本节(b)款要求的决议确认后，不得再因为该决议中确认的未经授权而被视为无效或可以撤销。同时如果不存在未经确认的未经授权的情况，则此等股份应当被视为等同于指称发行此等股份之时已经发行在外的股份或零星股。

 

(g)         Prompt notice of the adoption of a resolution pursuant to this section shall be given to all holders of valid stock and putative stock, whether voting or nonvoting, as of the date of adoption of such resolution by the board of directors, or as of a date within 60 days after the date of adoption of such resolution, as established by the board of directors, at the address of such holder as it appears or most recently appeared, as appropriate, on the records of the corporation. The notice shall also be given to the holders of record of valid stock and putative stock, whether voting or nonvoting, as of the time of the defective corporate act, other than holders whose identities or addresses cannot be determined from the records of the corporation. The notice shall contain a copy of the resolution and a statement that any claim that the defective corporate act or putative stock ratified hereunder is void or voidable due to the identified failure of authorization, or that the Court of Chancery should declare in its discretion that a ratification in accordance with this section not be effective or be effective only on certain conditions must be brought within 120 days from the validation effective time. Notwithstanding the foregoing, no such notice shall be required if notice of the resolution is to be given in accordance with subsection (d) of this section. Solely for purposes of subsections (d) and (g) of this section, notice to holders of putative stock, and notice to holders of valid stock and putative stock as of the time of the defective corporate act, shall be treated as notice to holders of valid stock for purposes of § 222 and §§ 229, 230, 232 and 233 of this title.

根据本节规定通过决议的，应当立即向后述人员发送通知：（A）自董事会通过该决议之日起、或自通过该决议之日后60日内的特定日期（该特定日期由董事会确定）开始，公司所有的、带有或不带有表决权的有效股和推定股的持有人。此等通知应发送至公司记录中显示的、或最新显示的该等股东的地址；（B）自有缺陷公司行为发生时起，带有或不带有表决权的、公司有效股或推定股的登记股东。但对于不能从公司记录中确定其身份、地址的股东，不要求向其发送此项通知。该等通知中应当随附该决议副本，并且说明，凡是主张获本节项下认可的有缺陷公司行为或推定股应当因为已经确定的未经授权而无效或可以撤销，或者主张衡平法庭应当根据其裁量权宣布，根据本节进行的认可无效、或者仅可以在符合某些条件的基础上有效的，必须在确认有效的生效日起120天之内提出。尽管有上述规定，如果将要根据本节(d)款规定发送决议通知，那么本节项下通知不做要求。仅仅为了本节(d)和(g)款之目的，发送给自有缺陷公司行为发生之时起持有推定股的股东，以及同时持有有效股和推定股的股东的通知，应当按照本篇第222节、229、230、232小节之规定，被视为发送给有效股的持有人。

 

(h)         As used in this section and in § 205 of this title only, the term:

在用于本节以及本篇第205节时：

 

(1)   "Defective corporate act" means an over issue, an election or appointment of directors that is void or voidable due to a failure of authorization, or any act or transaction purportedly taken by or on behalf of the corporation that is, and at the time such act or transaction was purportedly taken would have been, within the power of a corporation under subchapter II of this chapter, but is void or voidable due to a failure of authorization;

“有缺陷公司行为”系指因为未经授权而无效或可撤销的超额发行股票、选举或任命董事；或者指称由公司、或他人代表公司实施的，处于、或在其指称实施时可能处于本章第II分章项下公司权力范围内，但却因为未经授权而无效或可以撤销的任何行为或交易；

 

(2)   "Failure of authorization" means the failure to authorize or effect an act or transaction in compliance with the provisions of this title, the certificate of incorporation or bylaws of the corporation, or any plan or agreement to which the corporation is a party, if and to the extent such failure would render such act or transaction void or voidable;

 “未经授权”系指未能就符合本篇规定、公司注册证明或内部章程规定、或公司作为当事方的任何计划或协议规定的行为或交易做出授权，或使之生效，并且此类情况将导致该行为或交易无效或可以撤销；

 

(3)   "Overissue" means the purported issuance of:

“超额发行”系指指称发行：

 

a.    Shares of capital stock of a class or series in excess of the number of shares of such class or series the corporation has the power to issue under § 161 of this title at the time of such issuance; or

某一类别或系列的股份，其发行数量超过了在发行之时公司根据本篇第161节之规定有权发行的某一类别或系列股份数量；

 

b.    Shares of any class or series of capital stock that is not then authorized for issuance by the certificate of incorporation of the corporation;

当时公司注册证明中未授权发行的任何类别或系列的股份；

 

(4)   "Putative stock" means the shares of any class or series of capital stock of the corporation (including shares issued upon exercise of options, rights, warrants or other securities convertible into shares of capital stock of the corporation, or interests with respect thereto that were created or issued pursuant to a defective corporate act) that:

“推定股”系指后述任何类别或系列的公司股份（包括因行使期权、权利、认股权证、或就其他可转换为公司任何股份的证券行使权力、或者行使有缺陷公司行为所创设或发行的利益而发行的股份）：

 

a.    But for any failure of authorization, would constitute valid stock; or

如果不是未经授权，则将会成为有效股的；或者

 

b.    Cannot be determined by the board of directors to be valid stock;

董事会不能确定为有效股的。

 

(5)   "Time of the defective corporate act" means the date and time the defective corporate act was purported to have been taken;

“有缺陷公司行为时间”系指指称有缺陷公司行为发生的日期和时间；

 

(6)   "Validation effective time" with respect to any defective corporate act ratified pursuant to this section means the later of:

根据本节规定认可的任何有缺陷公司行为的“确认有效生效时”系指下述两者中最后发生的时间：

 

a.    The time at which the resolution submitted to the stockholders for adoption pursuant to subsection (c) of this section is adopted by such stockholders, or if no such vote of stockholders is required to adopt the resolution, the time at which the notice required by subsection (g) of this section is given; and

根据本节(c)款之规定提交股东批准的决议得到股东通过的时间；或者如果通过该等决议无需股东投票表决，则指本节(g)款项下要求之通知发出的时间；以及

 

b.    The time at which any certificate of validation filed pursuant to subsection (e) of this section shall become effective in accordance with § 103 of this title.

根据本节(e)款之规定提交备案的确认有效证明根据本篇第103节之规定生效的时间。

 

(7)   "Valid stock" means the shares of any class or series of capital stock of the corporation that have been duly authorized and validly issued in accordance with this title;

“有效股”系指已经根据本篇规定正式授权并有效发行的公司任何类别或系列的股份；

 

In the absence of actual fraud in the transaction, the judgment of the board of directors that shares of stock are valid stock or putative stock shall be conclusive, unless otherwise determined by the Court of Chancery in a proceeding brought pursuant to § 205 of this title.

如果处理过程中不存在实际欺诈，那么除非衡平法庭在根据本篇第205节之规定提起的诉讼程序中做出相反判定，否则董事会就有关股份确系有效股或是推定股所做的判定应当是决定性的。

 

(i) Ratification under this section or validation under § 205 of this title shall not be deemed to be the exclusive means of ratifying or validating any act or transaction taken by or on behalf of the corporation, including any defective corporate act, or any issuance of stock, including any putative stock, and the absence or failure of ratification in accordance with either this section or validation under § 205 of this title shall not, of itself, affect the validity or effectiveness of any act or transaction or the issuance of any stock properly ratified under common law or otherwise, nor shall it create a presumption that any such act or transaction is or was a defective corporate act or that such stock is void or voidable.

公司或他人代表公司认可或确认任何行为或交易（包括有缺陷公司行为，或者发行任何股票（包括推定股））有效时，本节项下的认可或者本篇第205节项下的确认有效并不是唯一的方法。同时，如果未能根据本节规定进行认可或者未能获取本篇第205节项下的确认有效，此等情况本身也不得影响到根据普通法或以其他方式获得认可的任何行为或交易、或者任何股票之发行的有效性和效力；同时也不得因此推定任何该等行为或交易当前、或过去系有缺陷公司行为，或者该等股票无效或可以撤销。

 

79 Del. Laws, c. 72, § 4.;

特拉华州法律第79卷第72章第4节；

 

§ 205.       Proceedings regarding validity of defective corporate acts and stock [Effective Apr. 1, 2014]

第205节         有关有缺陷公司行为及股票的法律程序[2014年4月1日生效]

 

(a)         Subject to subsection (f) of this section, upon application by the corporation, any successor entity to the corporation, any member of the board of directors, any record or beneficial holder of valid stock or putative stock, any record or beneficial holder of valid or putative stock as of the time of a defective corporate act ratified pursuant to § 204 of this title, or any other person claiming to be substantially and adversely affected by a ratification pursuant to § 204 of this title, the Court of Chancery may:

根据本节(f)款之规定，经公司、公司的任何继承实体、董事会任何成员、有效股或推定股的任何在册股东或受益股东、自有缺陷公司行为根据本篇第204节之规定获得认可之后有效股或推定股的任何在册股东或受益股东、或者任何其他人提出申请，主张根据本篇第204节之规定做出的认可对其带来实质性不利影响的，衡平法庭可以：

 

(1)   Determine the validity and effectiveness of any defective corporate act ratified pursuant to § 204 of this title;

对根据本篇第204节之规定得到认可的任何有缺陷公司行为的有效性及其效力做出判定；

 

(2) Determine the validity and effectiveness of the ratification of any defective corporate act pursuant to § 204 of this title;

对根据本篇第204节之规定对任何有缺陷公司行为进行之认可的有效性及其效力做出判定；

 

(3) Determine the validity and effectiveness of any defective corporate act not ratified or not ratified effectively pursuant to § 204 of this title;

对于未能根据本篇第204节之规定获得认可或有效认可的任何有缺陷公司行为的有效性及其效力做出判定；

 

(4) Determine the validity of any corporate act or transaction and any stock, rights or options to acquire stock; and

对任何公司行为或交易，以及任何股票、购买股票的权利或期权的有效性做出判定；并

(5) Modify or waive any of the procedures set forth in § 204 of this title to ratify a defective corporate act.

修改或放弃本篇第204节为了认可有缺陷公司行为而确定的任何程序。

 

(b)         In connection with an action under this section, the Court of Chancery may:

对于根据本节规定采取的任何行为，衡平法庭可以：

 

(1)   Declare that a ratification in accordance with and pursuant to § 204 of this title is not effective or shall only be effective at a time or upon conditions established by the Court;

宣布根据本篇第204节之规定进行的认可无效，或者仅可以到法庭规定的某一具体时间、或满足法庭规定的相关条件后方可生效；

 

(2)   Validate and declare effective any defective corporate act or putative stock and impose conditions upon such validation by the Court;

确认任何有缺陷公司行为或推定股有效并宣布其生效，并就该等确认有效设定条件；

(3)   Require measures to remedy or avoid harm to any person substantially and adversely affected by a ratification pursuant to § 204 of this title or from any order of the Court pursuant to this section, excluding any harm that would have resulted if the defective corporate act had been valid when approved or effectuated;

如果根据本篇第204节进行的认可、或者法庭根据本节所做的任何命令给任何人带来实质性不利影响，则要求采取相关措施，避免对此等人员造成的损害，或者就此提供救济；但是，在有缺陷公司行为在获得批准或认可有效之时已经生效的情况下可能会带来的任何伤害不包括在内。

 

(4)   Order the Secretary of State to accept an instrument for filing with an effective time specified by the Court, which effective time may be prior or subsequent to the time of such order, provided that the filing date of such instrument shall be determined in accordance with § 103(c)(3) of this title;

命令州务卿接受提交备案的文书，并在法庭规定的时间生效。此等生效时间可以发生在该等法庭命令之前或之后，但是该等文书的提交备案日期应当根据本篇第103(c)(3)节确定；

 

(5)   Approve a stock ledger for the corporation that includes any stock ratified or validated in accordance with this section or with § 204 of this title;

批准为了公司进行股票质押，包括根据本节或者本篇第204节之规定得到认可或确认有效的股票；

 

(6)   Declare that shares of putative stock are shares of valid stock or require a corporation to issue and deliver shares of valid stock in place of any shares of putative stock;

宣布推定股有效，或者要求公司发行并交付有效股以取代该推定股；

 

(7)   Order that a meeting of holders of valid stock or putative stock be held and exercise the powers provided to the Court under § 227 of this title with respect to such a meeting;

命令有效股或推定股的股东召开会议，并行使本篇第227节就此类会议授予法庭的权力；

 

(8)   Declare that a defective corporate act validated by the Court shall be effective as of the time of the defective corporate act or at such other time as the Court shall determine;

宣布法庭认定有效的有缺陷公司行为应当于有缺陷公司行为实施时间开始生效，或者在法庭确定的其他时间生效；

 

(9) Declare that putative stock validated by the Court shall be deemed to be an identical share or fraction of a share of valid stock as of the time originally issued or purportedly issued or at such other time as the Court shall determine; and

宣布法庭认定有效的推定股自其原始发行或指称发行的时间开始，或者在法庭确定的其他时间开始被视为等同于有效股；并且

 

(10) Make such other orders regarding such matters as it deems proper under the circumstances.

就其根据相关条件认为适当的事项发布其他命令。

 

(c)         Service of the application under subsection (a) of this section upon the registered agent of the corporation shall be deemed to be service upon the corporation, and no other party need be joined in order for the Court of Chancery to adjudicate the matter. In an action filed by the corporation, the Court may require notice of the action be provided to other persons specified by the Court and permit such other persons to intervene in the action.

根据本节(b)款送交公司注册代理人的申请应被视为送交公司，并且任何其他当事方无需为了方便衡平法庭对事项进行裁定之目的加入诉讼。对于公司提起的诉讼，法庭可以要求将诉讼通知提供给法庭指定的其他人，并允许该等人员计入诉讼程序。

 

(d)         In connection with the resolution of matters pursuant to subsections (a) and (b) of this section, the Court of Chancery may consider the following:

关于根据本节(a)和(b)款之规定就相关事项做出的决议，衡平法庭可以考虑：

 

(1)   Whether the defective corporate act was originally approved or effectuated with the belief that the approval or effectuation was in compliance with the provisions of this title, the certificate of incorporation or bylaws of the corporation;

是否因为相信批准该有缺陷公司行为或者使该等行为生效符合本篇、公司注册证明或公司内部章程之规定，而就有缺陷公司行为做出了最初的批准，或使之生效；

 

(2) Whether the corporation and board of directors has treated the defective corporate act as a valid act or transaction and whether any person has acted in reliance on the public record that such defective corporate act was valid;

公司和董事会是否将有缺陷公司行为当作有效的行为或交易对待，是否有人在信赖有关就该等有缺陷公司行为有效而做出的公共记录采取了相关行动；

 

(3) Whether any person will be or was harmed by the ratification or validation of the defective corporate act, excluding any harm that would have resulted if the defective corporate act had been valid when approved or effectuated;

是否有人将会、或者已经因为对有缺陷公司行为的认可或确认有效而受到伤害，但不包括在有缺陷公司行为获得批准或认可生效时已经生效的情况下会产生的任何伤害；

 

(4) Whether any person will be harmed by the failure to ratify or validate the defective corporate act; and

未能就有缺陷公司行为进行认可或确认有效的情况是否会伤害到任何人；以及

 

(5) Any other factors or considerations the Court deems just and equitable.

法庭认为适当的、符合衡平法规定的任何其他事实情况或考虑因素。

 

(e)         The Court of Chancery is hereby vested with exclusive jurisdiction to hear and determine all actions brought under this section.

特此授权衡平法庭排他性司法管辖权，审理并裁定根据本节规定提起的所有诉讼。

 

(f) Notwithstanding any other provision of this section, no action asserting (1) that a defective corporate act or putative stock ratified in accordance with § 204 of this title is void or voidable due to a failure of authorization identified in the resolution adopted in accordance with 204(b) or (2) that the Court of Chancery should declare in its discretion that a ratification in accordance with § 204 not be effective or be effective only on certain conditions, may be brought after the expiration of 120 days from the validation effective time, except that this subsection shall not apply to an action asserting that a ratification was not accomplished in accordance with § 204 of this title or to any person to whom notice of the ratification was required to have been given pursuant to § 204(d) or (g) of this title, but to whom such notice was not given.

尽管本节中包含任何其他规定，声称（1）因为在根据第204(b)节通过的决议中确定未获得授权的原因，根据本篇第204节规定认可的有缺陷公司行为或推定股是无效的或可以撤销的；或者（2）衡平法庭应当根据其独自裁量权宣布，根据第204节进行的认可无效，或者仅在满足特定条件的情况下有效的，可以在确认有效生效日之后120天的期限到期后提出。但是，对于指称某项认可并未根据本篇第204节完成的诉讼，或者要求根据本篇第204(d)或(g)款之规定需要向其发送认可通知、但并未发送该等通知的人，本款规定不适用。

 

79 Del. Laws, c. 72, § 5.;

特拉华州法律第79卷第72章第5节

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