技术许可中的创始人股权

1. 目的

The purpose of this Equity Policy is to eliminate the unmanageable financial conflict of interest that arises when a licensee company (start-up) issues founders’ equity to an inventor who is also eligible to participate in revenue sharing under the Net Income Distribution pursuant to USA's 专利与发明政策. 相应的, 本政策在此取代和取代任何和所有其他先前有关股权的政策和谅解.

2. 适用性

本政策适用于学术事务、研究 & 经济发展和医疗事务司的雇员，特别是发明家.

3. 定义

不适用.

4. 政策指导方针

4.1介绍

4.1.在完成大学的研究和教育使命的过程中, a University Affiliated Individual (as defined in the USA 专利与发明 Policy) may become an inventor of valuable intangible property that may have the potential to benefit society and further the University’s educational goals. 这一属性可以包括可申请专利的发明, 版权的作品, 和未发表的专有技术(以下简称“学校拥有的知识产权资产”), 或“知识产权资产”). 由于这些知识产权资产来自大学的发明者, 许多知识产权资产都处于早期阶段. 相应的, financial resources and management expertise outside of the University may be required to move these assets to the marketplace in the form of licensed products and/or services. The University seeks to avail itself of these external resources and expertise by enabling the formation of new business entities, 通常被称为创业公司, 基于这些资产.

4.1.在管理过程中, 保护, 将大学拥有的知识产权资产商业化, the University’s Office of Commercialization and Industry Collaboration (OCIC) will occasionally find that an existing company does not have the interest, 能力, or financial resources to move these IP assets from their current technology readiness level to marketplace market-ready product or service. There are times when the market truly dictates that a start-up company should be formed around a collection of University-owned IP assets.

4.1.3 There are circumstances involving start-ups that can result in unmanageable financial conflicts of interest for both the inventor and the University. 对于每一方来说，这种冲突的可能性来自于初创公司(被许可方)发行的股权. 具体地说, the start-up issues founders’ equity to the inventor in exchange for him or her serving as a management partner in the venture. 创始人的股权通常以普通股的形式发行, 尽管不同的创始人可能会有不同的授予参数, 它们都拥有类似的股东权利. 发行的创始人股权数量通常在发明人与其他创始人之间的协议中列出. 这份创始协议还描述了每个创始成员的不同角色. Founders' equity is sometimes confused with another instance in which equity in a start-up company is issued to the University in consideration for rights to University-owned IP assets licensed to the start-up company. 这种类型的权益可以是股票、期权或权证的形式. 虽然股权许可通常不被考虑, frequently upfront fees are reduced when equity consideration is part of a license package (which may include minimum payments, 里程碑付款, 以及净销售额的版税). 这笔股权提供给大学, 代替许可费, is commonly viewed as a reasonable business solution to enhance the overall financial package acceptability to the University and other potential investors. (Note: An unmanageable conflict of interest may also arise when an inventor is appointed as an officer of an existing licensee company. 虽然本政策涉及股权发行，但它也与这种任命有关.)

4.1.在创始人权益的例子中, 发明者发现自己陷入了难以控制的利益冲突，因为, 在一端, he or she seeks to represent the start-up company and negotiate as low an equity distribution as possible with the University, while in the role of University Affiliated Individual the inventor seeks to negotiate as high an equity distribution as possible to the University in order to maximize the inventor's share of equity generated under the Distribution of Net Income section as provide for in USA's 专利与发明政策.

4.1.根据本政策, 任何从学校获得股权的发明人有权管理他或她认为合适的股权. 所有股权收益, 包括任何放弃的发明人股份, that are liquidated by the USA Foundation for Research and Commercialization (USA FRC) shall be distributed according to the tier structure defined in USA's 专利与发明政策.

4.2指导方针

4.2.1 An inventor may accept founders’ equity in a start-up company in exchange for providing professional services to said company, 例如, 担任首席技术官或首席研究官. The University may accept equity in a start-up company 代替许可费 for University-owned IP assets through an OCIC transaction. 只有在获得主管研究的副校长办公室事先书面批准的情况下，才能进行此项工作.

4.2.2 . In the event of.2.在上述第1条中，发明人必须以书面形式选择下列任何一项:

4.2.2.1 Accept founders’ equity and execute the attached EXHIBIT thereby waiving his or her right to participate in the Distribution of Net Income as provided for in USA's 专利与发明政策 and acknowledging that he or she is an agent of the start-up company and will not be privy to any internal deliberations regarding said transaction; or,

4.2.2.2 Forego his or her right to receive founders’ equity thereby affirming his or her decision to participate in the Distribution of Net Income provided for in USA's 专利与发明政策. 发明人的股权分配将与分配给学校的股权同时进行.

4.2.3 . In the event of.2.2.1以上, the inventor’s forfeited share in any University equity and the University’s shares received from the start-up shall automatically transfer to the USA Foundation for Research and Commercialization (USA FRC). 美国财务汇报局有权将这些权益作为美国财务汇报局的资产进行管理, to advance commercialization and partnership development without any other implied consideration for either the University or the inventor.

4.2.4 .大学在4 .以下收到的所有股权.2.2.2 will be transferred to the USA FRC to manage as an asset without any implied consideration for either the University or inventor.

4.2.5 Neither the University nor USA FRC shall either seek or accept voting representation with respect to equity received pursuant to technology-related licensing transactions involving University-owned IP assets. 大学和美国财务报告委员会都无权对初创公司董事会的行为行使任何投票权, 不管收到的权益水平如何. USA FRC shall make decisions regarding the management and disposition of any and all equity received by it under this Policy based upon sound business judgment with the objective of maximizing commercialization and partnership development regardless of the impact on all remaining shares.

5. 程序

不适用.

6. 执行

商业化和工业合作办公室负责这项政策, 并确保十大彩票网投平台社区的必要成员了解政策指导方针. 不遵守本政策将由商业化和工业合作办公室处理.

7. 相关文档

专利和发明(政策)