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Chapter One．The Corporation in Perspective1

1.1 What Is a Corporation?The Concept of an Artificial Entity1

1.2 What Is a Corporation?Other Theories4

1.3 The"Nexus of Contracts"Theory6

1.4 The Development of Corporation Law in the United States12

1.5 Economic Analysis of the"Race for the Bottom"14

1.6 What Explains Delaware's Success in Attracting Corporations?16

1.7 The Model Business Corporation Act18

1.8 The Federal Securities Laws19

1.9 The Debate Over Social Responsibility and the Publicly Held Corporation20

1.10 "Closely Held"and"Publicly Held"Corporations22

Chapter Two．Unincorporated Business Forms25

2.1 Unincorporated Business Forms In General25

2.2 A Dictionary of Unincorporated Business Forms25

2.3 Personal Liability and Taxes:The Most Important Factors in Selecting a Business Form30

2.4 An Introduction to Federal Taxation of Business Forms32

2.5 Taxation of"C"and"S"Corporations35

2.6 Combining Partnership Tax Treatment and Limited Liability37

2.7 Economic Effects of the Double Tax Regime39

Chapter Three．Formation of Corporations42

3.1 In General42

3.2 Selection of the State of Incorporation42

3.3 Mechanics of Creating a Corporation43

3.4 Incorporators45

3.5 Articles of Incorporation:In General47

3.6 Articles of Incorporation:The Corporate Name49

3.7 Articles of Incorporation:Period of Duration53

3.8 Articles of Incorporation:Purposes and Powers53

3.9 Articles of Incorporation:Capitalization56

3.10 Articles of Incorporation:Registered Office and Registered Agent58

3.11 Articles of Incorporation:Imtial Board of Directors59

3.12 Articles of Incorporation:Limitation of Directoral Liability60

3.13 Completion of the Organization of the Corporation:In General61

3.14 Nature and Purpose of Bylaws62

3.15 The Corporate Seal63

3.16 Organizational Meetings63

Chapter Four．The Limited Role of Ultra Vires66

4.1 The Common Law Doctrine of Ultra Vires66

4.2 The Modern Role of Ultra Vires68

4.3 Ultra Vires Problems in Connection With Corporate Powers69

Chapter Five．Preincorporation Transactions76

5.1 Introduction76

5.2 Subscriptions for Shares76

5.3 Agreements to Form Corporation79

5.4 Promoters in General81

5.5 Promoters'Contracts83

5.6 Liability of Corporations for Promoters'Contracts87

5.7 Promoter's Fiduciary Duties89

5.8 Organizational Expenses Incurred by Promoters90

5.9 Premature Commencement of Business and the De Facto Doctrine92

5.10 Corporations by Estoppel95

Chapter Six．"Piercing the Corporate Veil"and Related Problems98

6.1 "Piercing the Corporate Veil"In Context98

6.2 Shareholder Responsibility for Corporate Indebtedness:Introduction99

6.3 The Standard Rhetoric of Piercing the Corporate Veil100

6.4 Piercing the Corporate Veil in Contract and Tort Cases101

6.5 Inadequate Capitalization104

6.6 Failure to Follow Corporate Formalities107

6.7 Parent-Subsidiary Cases109

6.8 The Concept of"Enterprise Entity"113

6.9 Choice of Law Issues in"Piercing the Corporate Veil"Cases113

6.10 The Federal Law of"Piercing the Corporate Veil"115

6.11 Reverse Piercing116

6.12 "Piercing the Corporate Veil"to Further Public Policy117

6.13 "Piercing the Corporate Veil"in Taxation and Bankruptcy119

6.14 Other Generalizations About"Piercing the Corporate Veil"122

Chapter Seven．Financing the Corporation123

7.1 Introduction123

7.2 Basic Definitions:Common Stock;Authorized and Issued Shares124

7.3 The Price of Common Shares126

7.4 Par Value,Stated Capital and Related Concepts127

7.5 No Par Shares135

7.6 Shares Issued for Property or Services136

7.7 Liability of Shareholders for Watered Stock140

7.8 Treasury Shares as a Device to Avoid Restrictions on the Issuance of Shares146

7.9 Current Trends Regarding Par Value147

7.10 Other Types of Securities:"Equity"and"Debt"Securities148

7.11 Characteristics of Debt Securities149

7.12 Classes of Equity Securities;Preferred Shares152

7.13 The Advantages of Debt Financing160

7.14 Tax Consequences of Excessive Debt Capitalization in C Corporations164

7.15 Debt as a Second Class of Stock in S Corporations165

7.16 The Deep Rock Doctrine Revisited166

7.17 Equalizing Capital and Services When Forming a Corporation167

7.18 Issuance of Shares by a Going Concern:Preemptive Rights170

7.19 Oppressive Issuance of Shares175

7.20 Circular Ownership of Shares177

7.21 A Cautionary Postscript:The Risk of Violating Securities Acts While Raising Capital177

Chapter Eight．The Distribution of Powers within a Corporation:Special Problems179

8.1 The"Statutory Scheme"In General179

8.2 The Statutory Scheme:Shareholders182

8.3 The Statutory Scheme:Power of Shareholders to Remove Directors183

8.4 The Statutory Scheme:Directors185

8.5 Elimination of the Board of Directors188

8.6 The Statutory Scheme:Officers189

8.7 Shared Responsibility With Respect to Corporate Operations190

8.8 Shared Responsibility:Approval of Fundamental Corporate Changes192

8.9 Shared Responsibility:Bylaw Amendments193

8.10 Restrictions on Directors in Close Corporations194

8.11 Delegation of Management Powers and the Statutory Scheme202

Chapter Nine．Shares and Shareholders203

9.1 Annual and Special Meetings of Shareholders203

9.2 Shareholder Action by Consent206

9.3 Record and Beneficial Ownership of Shares207

9.4 Record Dates208

9.5 Preparation of Voting List210

9.6 Election of Directors:Cumulative or Straight Voting211

9.7 "Classified"Boards of Directors219

9.8 Other Devices to Minimize Cumulative Voting220

9.9 Voting by Proxy221

9.10 Irrevocable Proxy Appomtments223

9.11 Vote Buying225

9.12 Shareholder Voting Agreements226

9.13 Voring Trusts:Purpose,Operation,and Legislative Policy229

9.14 Voting Trusts:Use in Public Corporations232

9.15 Voting Trusts:Powers and Duties of Trustee233

9.16 Creation of Floating Voting Power Through Different Classes of Shares234

9.17 Share Transfer Restrictions:Purposes,Operation,and Effect236

9.18 Share Transfer Restrictions:Scope and Validity239

9.19 Share Transfer Restrictions:Duration of Restraints241

9.20 Share Transfer Restrictions:Procedural Requirements241

9.21 Option or Buy/Sell Agreements:Who Should Have the Right or Privilege to Buy?242

9.22 Option or Buy/Sell Agreements:Establishment of Purchase or Option Price244

9.23 Option or Buy/Sell Agreements:Life Insurance248

9.24 Selection of the Purchaser in Deadlock Buyouts249

9.25 Deferred Payment of the Purchase Price250

Chapter Ten．Directors252

10.1 Number and Qualifications of Directors252

10.2 Directors'Meetings:Notice,Quorum,and Similar Matters254

10.3 Compensation of Directors257

10.4 Filling of Vacancies on the Board258

10.5 Hold-Over Directors259

10.6 Necessity for Meeting and Personal Attendance260

10.7 Telephonic Meetings261

10.8 Action Without a Meeting262

10.9 Directors'Objections to Actions263

10.10 Committees of the Board of Directors264

Chapter Eleven．Officers268

11.1 Statutory Designations of Officers268

11.2 Express Authority and Power to Act In General270

11.3 Roles of Corporate Officers271

11.4 Express Authority Delegated by Board of Directors272

11.5 Inherent Power of the Corporate President274

11.6 Implied Authority,Apparent Authority,Ratification,Estoppel,and Unjust Enrichment275

11.7 Fiduciary Duties of Officers and Agents277

11.8 Liability of Officers and Agents to Third Parties278

11.9 Imputation of Knowledge to Corporation281

11.10 Tenure of Officers and Agents282

11.11 Long-Term Employment Contracts283

Chapter Twelve．The Closely Held Corporation286

12.1 The Meaning of"Closely Held"and"Publicly Held"286

12.2 Management and Control of the Closely Held Corporation287

12.3 "Oppression"and"Freeze-Outs"289

12.4 Advance Planning in Closely Held Corporations293

12.5 Traditional Protection Devices in Closely Held Corporations294

12.6 Classes of Shares as Control Devices295

12.7 Increased Quorum and Voting Requirements298

12.8 Deadlocks299

12.9 Involuntary Dissolution301

12.10 Section 14.34 of MBCA(1984)304

12.11 Fiduciary Duties of Shareholders of Closely Held Corporations305

12.12 Resolution of Intracorporate Disputes by Arbitration307

12.13 Special Close Corporation Statutes308

12.14 Section 7.32 of MBCA(1984)310

Chapter Thirteen．The Publicly Held Corporation313

13.1 The Publicly Held Corporation in Perspective313

13.2 The Internal Structure of Large Corporations315

13.3 Profit Centers317

13.4 The Corporate Headquarters320

13.5 The Chief Executive Officer323

13.6 Compensation of Senior Executives324

13.7 Shareholders as"Investors"or"Owners"326

13.8 Institutional Investors328

13.9 Registration of Securities in Street Name or in the Name of Nominees;Book Entry332

13.10 The Board of Directors:Theory and Reality335

13.11 The Election of Directors in Publicly Held Corporations337

13.12 "Inside"and"Independent"Directors339

13.13 Relationships Between the CEO and the Board340

13.14 The Modern Board of Directors342

13.15 The"Chicago School"of Law and Economics347

13.16 Share Prices and The Changing Body of Shareholders352

13.17 The Takeover Movement of the 1980s353

13.18 Proxy Regulation in Publicly Held Corporations354

13.19 Disclosure Requirements in Connection With Proxy Solicitations356

13.20 Shareholder Proposals359

13.21 Private Actions for Violations of Federal Proxy Rules362

13.22 Proxy Contests364

13.23 Federal Regulations Relating to Proxy Contests368

13.24 The Modern Takeover Movement368

13.25 Defensive Tactics373

13.26 State Legislative Responses to the Takeover Movement375

Chapter Fourteen．Duties of Directors,Shareholders and Officers378

14.1 The Director as a"Fiduciary"378

14.2 Duties of Shareholders and Officers379

14.3 Sources of Law Relating to Duties——Common Law,State and Federal Statutes,"Federal Common Law"380

14.4 Duty of Care381

14.5 The"Business Judgment Rule"385

14.6 Section 102(b)(7)of the Delaware GCL391

14.7 The Business Judgment Rule in Takeover Contests392

14.8 The Business Judgment Rule in Derivative Litigation395

14.9 The Duty of Loyalty398

14.10 Self Dealing399

14.11 Interlocking Directors404

14.12 Executive Compensation405

14.13 Corporate Opportunities409

14.14 Fairness to Minority Shareholders413

14.15 "Fairness"and the"Business Judgment Rule"415

14.16 Shareholder Ratification418

14.17 Exoneratory Provisions419

14.18 Statutory Duties and Statutory Defenses420

14.19 Purchase or Sale of Shares or Claims Under State Law423

14.20 Duties of Directors of Financially Distressed Corporations427

14.21 Rule 10b-5428

14.22 Rule 10b-5 as an Anti-Fraud Provision431

14.23 Rule 10b-5 as a Prohibition Against Insider Trading431

14.24 Rule 10b-5 as a Protector of the Issuer437

14.25 Rule 10b-5 as a General Prohibition Against Wrongful Conduct438

14.26 Section 16(b)of the Securities Exchange Act of 1934439

14.27 Transfers of Control442

Chapter Fifteen．Indemnification and Insurance448

15.1 Definitions of Terms448

15.2 The Need for Protection of Directors and Officers449

15.3 Public Policy Limitations on Indemnification450

15.4 Statutory Treatment of Indemnification451

15.5 Advances for Expenses454

15.6 D＆O Insurance456

Chapter Sixteen．Shareholder's Suits459

16.1 Direct and Derivative Suits In General459

16.2 Derivative and Direct Claims Distinguished460

16.3 Alignment of Parties in a Derivative Suit462

16.4 Role of the Plaintiff's Attorney463

16.5 Derivative Litigation as Strike Suits466

16.6 Contemporary Ownership467

16.7 Demand on Shareholders468

16.8 Security-For-Expenses Statutes469

16.9 Verification of the Complaint471

16.10 Demand on Directors and Litigation Committees472

16.11 Defenses in a Derivative Suit477

16.12 Private Settlement of Derivative Suits478

16.13 Res Judicata Effect of Derivative Suits479

Chapter Seventeen．Class Action Suits481

17.1 Securities Class Action Suits In General481

17.2 SEC Disclosure Requirements482

17.3 The Growth of Class Action Securities Litigation483

17.4 Judicial Response to the Increased Litigation485

17.5 The Private Securities Litigation Reform Act of 1995486

17.6 Class Action Provisions486

17.7 Safe Harbor Provisions487

17.8 Discovery Provisions489

17.9 Proportionate Liability Provisions489

17.10 Settlement Provisions491

17.11 Fee Shifting Provisions491

17.13 Pleading Provisions492

17.14 Damage Provisions493

17.15 Aiding and Abetting Provisions494

17.16 Auditor Disclosure of Corporate Fraud Provisions494

17.17 What the Future Holds as a Result of PSLRA496

Chapter Eighteen．Dividends,Distributions,and Redemptions498

18.1 Cash or Property Dividends and Distributions498

18.2 Share Dividends500

18.3 Distributions of Rights or Warrants504

18.4 Share Reacquisitions as Distributions504

18.5 Shareholders'Rights to a Dividend506

18.6 Statutory Restrictions on the Declaration of Dividends508

18.7 Contractual Provisions Relating to Declarations of Dividends514

18.8 Liability of Directors and Shareholders for Illegal Dividends515

18.9 Shareholders'Right to Compel a Dividend515

18.10 Tax Consequences of Failure to Pay Dividends in Closely Held Corporations517

18.11 Corporate Repurchase of Its Own Shares518

18.12 Redeemable Securities521

Chapter Nineteen．Inspection of Books and Records523

19.1 Inspection by Directors and Shareholders Compared523

19.2 Common Law and Statutory Rights of Inspection by Shareholders524

19.3 Corporate Records:What May Be Examined?526

19.4 What Is a"Proper Purpose"?528

19.5 Who Is Entitled to Inspect?529

19.6 Inspection of Shareholders Lists530

19.7 Financial Reports for Shareholders532

Chapter Twenty．Organic Changes:Amendments,Mergers,and Dissolution533

20.1 Amendments to Articles of Incorporation In General533

20.2 Vested Rights534

20.3 Voting by Classes536

20.4 Mergers and Consolidations538

20.5 Triangular Mergers,Cash Mergers,Short Form Mergers,and Related Developments542

20.6 Cash-Out Mergers544

20.7 "Upstream"and"Downstream"Mergers545

20.8 Short Form Mergers545

20.9 Fiduciary Duties in Mergers547

20.10 Sales of All or Substantially All the Assets of a Corporation548

20.11 The Right of Dissent and Appraisal550

20.12 Voluntary Dissolution554

Glossary557

INDEX593