1. 사실관계 및 분쟁경위

주식회사 벤처기업은 CTO 포함 연구원들에게 스톡옵션을 부여하기로 하고, 2002. 4. 12. 주주총회 특별결의까지 거쳤습니다. 그런데 주주총회 특별결의는 법적 요건을 충족하지 못하는 서면결의 방식이었습니다.

 

그 후 CTO 포함 기술진과 대주주 사이 경영권 분쟁으로 CTO 등이 2006. 3.경 퇴직하였고, 퇴직 CTO 등이 경쟁회사를 창업하였습니다. 이에 전직 벤처기업에서는 2006. 9. 27. 이사회를 열어 경쟁회사를 설립하는 등 회사에 손해를 가하는 경우 스톡옵션을 취소할 수 있다는 정관 규정에 따라 이미 부여한 스톡옵션(주식매수선택권)를 취소하였습니다.

 

한편으로, 벤처기업 주주는 위 스톡옵션을 무효화할 목적으로 주식회사 벤처기업을 상대로 2006. 6. 5. 퇴직한CTO 등에게 스톡옵션을 부여하였던 주주총회 특별결의(2003. 10. 26. 주주총회 특별결의)가 법적요건을 충족하지 못하는 하자가 있다는 이유로 주주총회결의 부존재확인의 소를 제기하였습니다.

 

위 소송의 피고 벤처회사는 형식으로 응소하여 2007. 5. 4. ‘주주총회 특별 결의가 존재하지 아니함을 확인한다는 패소판결을 받았고, 항소하지 않음으로써 그 판결이 확정되었습니다.

 

2. 대법원 판결요지: 주총결의 무효판결의 대세적 효력 + 스톡옵션 부여 무효

주주총회결의 부존재확인의 판결은 회사나 소송당사자뿐만 아니라 제3자에 대하여서도 그 효력이 미친다.

 

이 사건 결의가 존재하지 아니함을 확인한다는 위 확정판결은 제3자에 대하여도 그 효력이 있다고 할 것이므로, 결국 이 사건 주식매수선택권 부여계약은 주주총회 특별결의 없이 이루어진 것으로서 무효라고 보아야 한다.

 

설령 이 사건 결의가 존재한다고 가정하더라도, 이 사건 주총결의는 벤처기업법이 정하는 주식매수선택권의 부여 방법, 행사 가격, 행사 기간 및 주식매수선택권의 행사로 내줄 주식의 종류 등에 대하여 정하고 있지 아니하므로, 주식매수선택권 부여의 전제가 되는 적법한 주주총회의 특별결의라고 할 수 없다.

 

3. 실무적 함의

사안은 벤처기업 임직원에게 스톡옵션을 부여하면서 적법한 절차에 따라 현실적으로 개최된 주주총회에서 결의한 것이 아닙니다. , 형식적으로 주주총회 의사록을 작성하여 주주총회의 결의가 있었던 것처럼 처리하는 문서만 갖춘 서면 방식이었습니다.

 

그런데 벤처기업에서 경영분쟁이 발생하였고, CTO 등이 이탈하자 주주 1인이 회사를 상대로 퇴직자에게 부여한 스톡옵션을 무효화하려는 목적으로 스톡옵션을 부여한 주주총회 특별결의 부존재확인소송을 제기한 것입니다. 잔류한 주주와 같은 편이었던 벤처회사에서 그 소송을 비밀리에 진행하면서 형식적으로 대응하여 패소하였고, 그 판결은 확정되었습니다.

 

이와 같은 주주총회결의 부존재확인의 판결은 회사와 소송당사자 주주뿐만 아니라 다른 주주 및 퇴직자 등 제3자에게도 그 효력이 미칩니다. 나아가 그 판결 확정 이전에 생긴 회사와 사원 및 제3자간의 권리의무에도 영향을 미치게 됩니다.

 

주주총회결의 부존재확인 판결이 이미 스톡옵션을 부여 받고 퇴직한 직원들에게도 효력이 있고, 주식매수선택권을 부여하였던 주주총회결의가 부존재하므로, 결국 그 스톡옵션도 무효가 됩니다.

규모가 작은 벤처기업이라고 해도 주식매수선택권(스톡옵션) 부여와 같은 중대한 회사법상 법률행위는 반드시 법에 따른 정식 소집절차와 요건을 충족하여 개최되는 주주총회에서 특별결의 요건을 충족한 결의를 확보해야만 안전합니다. 나중에 분쟁이 발생하면 "주주총회결의 부존재확인" 등을 통해 스톡옵션이 무효화되는 상황도 있다는 점을 잘 보여주는 판결 사례입니다.

 

KASAN_벤처기업의 스톡옵션(주식매수선택권) 부여 주총결의 부존재확인 스톡옵션 무효 결론 대법원 2011. 1

 

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작성일시 : 2019.06.21 15:12
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사안의 개요

당사자 모두 중국인 채권자 중국인 (원고) vs 채무자 중국인 (피고)

채권자 중국인 원고가 중국에서 채무자 중국인 피고들에게 금전을 대여하였는데 피고들이 이를 변제하지 아니하고 중국에서 제기된 소송에도 응하지 아니한 채 대한민국에 입국하여 부동산과 차량을 구입하는 등으로 생활의 근거를 마련하고 영주권 취득의 전제가 되는 비자를 취득한 후, 원고도 영업을 하기 위하여 대한민국에 입국하여 피고들을 상대로 대한민국 법원에 소를 제기한 사안

 

쟁점

당사자 모두 중국인 사안에서 대한민국 법원의 재판관할권 인정 여부

대한민국 법원에 제기된 대여금 청구 소송의 당사자들이 모두 중국인들이고 계약체결지가 중국이나, 피고들이 중국에서의 재판에 불응하고 대한민국에 생활기반을 마련하였고 원고도 영업을 위해 대한민국에 입국한 경우 대한민국 법원의 국제재판관할권 인정 여부

 

판결요지

국제재판관할 판단기준에 비추어 우리나라 법원의 재판관할권 인정은 타당함

 

대법원 판결이유

 

국제사법 제2조 제1항은법원은 당사자 또는 분쟁이 된 사안이 대한민국과 실질적 관련이 있는 경우에 국제재판관할권을 가진다. 이 경우 법원은 실질적 관련의 유무를 판단함에 있어 국제재판관할 배분의 이념에 부합하는 합리적인 원칙에 따라야 한다.”라고 정하고 있다. 여기에서실질적 관련은 대한민국 법원이 재판관할권을 행사하는 것을 정당화할 정도로 당사자 또는 분쟁이 된 사안과 관련성이 있는 것을 뜻한다. 이를 판단할 때에는 당사자의 공평, 재판의 적정, 신속과 경제 등 국제재판관할 배분의 이념에 부합하는 합리적인 원칙에 따라야 한다. 구체적으로는 당사자의 공평, 편의, 예측가능성과 같은 개인적인 이익뿐만 아니라, 재판의 적정, 신속, 효율, 판결의 실효성과 같은 법원이나 국가의 이익도 함께 고려하여야 한다. 이처럼 다양한 국재재판관할의 이익 중 어떠한 이익을 보호할 필요가 있을지는 개별 사건에서 실질적 관련성 유무를 합리적으로 판단하여 결정하여야 한다(대법원 2005. 1. 27. 선고 200259788 판결, 대법원 2008. 5. 29. 선고 200671908, 71915 판결 등 참조).

 

국제사법 제2조 제2항은법원은 국내법의 관할 규정을 참작하여 국제재판관할권의 유무를 판단하되, 1항의 규정의 취지에 비추어 국제재판관할의 특수성을 충분히 고려하여야 한다.”라고 정하여 제1항에서 정한 실질적 관련성을 판단하는 구체적 기준 또는 방법으로 국내법의 관할 규정을 제시한다. 따라서 민사소송법 관할 규정은 국제재판관할권을 판단하는 데 가장 중요한 판단기준으로 작용한다. 다만 이러한 관할 규정은 국내적 관점에서 마련된 재판적에 관한 규정이므로 국제재판관할권을 판단할 때에는 국제재판관할의 특수성을 고려하여 국제재판관할 배분의 이념에 부합하도록 수정하여 적용해야 하는 경우도 있다. 

 

민사소송법 제3조 본문은사람의 보통재판적은 그의 주소에 따라 정한다.”라고 정한다. 따라서 당사자의 생활 근거가 되는 곳, 즉 생활관계의 중심적 장소가 토지관할권의 가장 일반적보편적 발생근거라고 할 수 있다. 민사소송법 제2조는소는 피고의 보통재판적이 있는 곳의 법원이 관할한다.”라고 정하고 있는데, 원고에게 피고의 주소지 법원에 소를 제기하도록 하는 것이 관할 배분에서 당사자의 공평에 부합하기 때문이다. 국제재판관할에서도 피고의 주소지는 생활관계의 중심적 장소로서 중요한 고려요소이다.

 

국제재판관할에서 특별관할을 고려하는 것은 분쟁이 된 사안과 실질적 관련이 있는 국가의 관할권을 인정하기 위한 것이다. 민사소송법 제11조는대한민국에 주소가 없는 사람 또는 주소를 알 수 없는 사람에 대하여 재산권에 관한 소를 제기하는 경우에는 청구의 목적 또는 담보의 목적이나 압류할 수 있는 피고의 재산이 있는 곳의 법원에 제기할 수 있다.”라고 정한다. 원고가 소를 제기할 당시 피고의 재산이 대한민국에 있는 경우 대한민국 법원에 피고를 상대로 소를 제기하여 승소판결을 얻으면 바로 집행하여 재판의 실효를 거둘 수 있다.

 

이와 같이 피고의 재산이 대한민국에 있다면 당사자의 권리구제나 판결의 실효성 측면에서 대한민국 법원의 국제재판관할권을 인정할 수 있다. 그러나 그 재산이 우연히 대한민국에 있는 경우까지 무조건 국제재판관할권을 인정하는 것은 피고에게 현저한 불이익이 발생할 수 있다. 따라서 원고의 청구가 피고의 재산과 직접적인 관련이 없는 경우에는 그 재산이 대한민국에 있게 된 경위, 재산의 가액, 원고의 권리구제 필요성과 판결의 실효성 등을 고려하여 국제재판관할권을 판단해야 한다.

 

나아가 예측가능성은 피고와 법정지 사이에 상당한 관련이 있어서 법정지 법원에 소가 제기되는 것에 대하여 합리적으로 예견할 수 있었는지를 기준으로 판단해야 한다. 피고가 대한민국에서 생활 기반을 가지고 있거나 재산을 취득하여 경제활동을 할 때에는 대한민국 법원에 피고를 상대로 재산에 관한 소가 제기되리라는 점을 쉽게 예측할 수 있다.

 

국제재판관할권은 배타적인 것이 아니라 병존할 수도 있다. 지리, 언어, 통신의 편의 측면에서 다른 나라 법원이 대한민국 법원보다 더 편리하다는 것만으로 대한민국 법원의 재판관할권을 쉽게 부정할 수는 없다.

 

첨부: 대법원 2019. 6. 13. 선고 201633752 판결

대법원 2019. 6. 13. 선고 2016다33752 판결.pdf

KASAN_중국인 관련 민사소송에 대한 우리나라 법원의 국제재판관할권 인정 대법원 2019. 6. 13. 선고 20

 

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작성일시 : 2019.06.18 08:00
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법리 - 특허발명의 진보성 판단 시 사후적 고착 금지 원칙

 

발명의 진보성 유무를 판단할 때에는 적어도 선행기술의 범위와 내용, 진보성 판단의 대상이 된 발명과 선행기술의 차이와 그 발명이 속하는 기술분야에서 통상의 지식을 가진 사람(이하통상의 기술자라 한다)의 기술수준을 증거 등 기록에 나타난 자료에 기초하여 파악할 필요가 있다.

 

그리고 특허출원 당시의 기술수준에 비추어 진보성 판단의 대상이 된 발명이 선행기술과 차이가 있더라도, 통상의 기술자가 그러한 차이를 극복하고 선행기술로부터 쉽게 발명할 수 있는지를 살펴보아야 한다.

 

이 경우 진보성 판단의 대상이 된 발명의 명세서에 개시되어 있는 기술을 알고 있음을 전제로 사후적으로 통상의 기술자가 쉽게 발명할 수 있는지를 판단해서는 안 된다(대법원 2016. 11. 25. 선고 20142184 판결, 대법원 2018. 12. 13. 선고 20161840 판결 등 참조).

 

구체적 사안의 판단

특허법원 판결요지 진보성 부정

선행발명 3과 선행발명 4의 결합에 의해 이 사건 제1항 발명의 위 구성을 쉽게 도출할 수 있음 - 진보성 부정

 

대법원 판결요지

사후적 고찰을 배제하면 선행발명 3과 선행발명 4의 결합에 의해 이 사건 제1항 발명의 위 구성을 쉽게 도출할 수 없음 진보성 부정 어려움 특허법원 판결 파기 환송

 

이 사건 제1항 발명은 슬라이드편의 일부분을 상부로 절곡시킨 걸림편과 상부 덮개의 내면에 형성된 스토퍼 및 레버 중앙의 버튼으로 구성되어 슬라이드편과 일체로 형성된 걸림편 자체의 탄성에 의해 슬라이드편이 걸리거나 해제되는 데 비하여, 이 사건 제1항 발명과 가장 가까운 선행발명 3의 대응구성은 스톱퍼 자체의 탄성이 아니라 별도의 코일 스프링의 탄성을 통해 슬라이드편이 걸리거나 해제될 뿐만 아니라 걸림홈이 덮개에 형성되어 있지 않고 슬라이드편에 형성되어 있다는 점에서 차이가 있음

 

이러한 차이점이 선행발명 4에 있다고 보기 어렵고, 선행발명 3, 4를 결합하기 위해서는 선행발명 3의 버튼, 스톱퍼, 슬라이드편을 모두 선행발명 4의 탄동걸림편이 록킹판과 일체화되고 자체 탄성력에 의해 걸림과 해제 동작을 수행하는 부분으로 교체해야 하는데, 선행발명 3의 버튼과 슬라이드편의 상대적인 이동관계 뿐만 아니라 연결 구성들의 배열 관계를 대폭적으로 변경해야 함

 

이 사건 제1항 발명의 내용을 이미 알고 있음을 전제로 하여 사후적으로 판단하지 않는 한, 통상의 기술자라 하더라도 선행발명 3과 선행발명 4의 결합에 의해 이 사건 제1항 발명의 위 구성을 쉽게 도출하기 어려워 진보성을 부정하기 어렵다.

 

첨부: 대법원 2019. 6. 13. 선고 201811681 판결 201811681

대법원 2019. 6. 13. 선고 2018후11681 판결.pdf

KASAN_특허무효심판 – 진보성 판단 시 사후적 고찰의 오류 지적 대법원 2019. 6. 13. 선고 2018후1

 

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작성일시 : 2019.06.17 09:07
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0. TRADEMARKS.

10.1 Licensed Product Marks.

(a) LICENSEE and LICENSOR agree that (i) LICENSEE shall be responsible for the selection, registration and maintenance of all Trademarks which it employs in connection with the Commercialization of any Licensed Product in the Territory under this Agreement and (ii) LICENSOR shall be responsible for the selection, registration and maintenance of all Trademarks which it employs in connection with the Commercialization of any Licensed Product outside of the Territory under this Agreement;

 

provided that each Party shall use Commercially Reasonable Efforts to differentiate Licensed Products from products marketed as of the Closing by, for example, not utilizing any Trademark in connection with the Commercialization of any Licensed Product that would be confusingly similar to any Trademark utilized in connection with the Commercialization of products marketed as of the Effective Date but, provided further that, neither Party shall be obligated to utilize, or not to utilize, any Trademark if, in such Party’s sole opinion, such utilization would (i) have a material adverse impact on Commercialization of such Licensed Product or (ii) result in material delay in achieving Regulatory Approval for Commercialization of such Licensed Product.

 

(b) Subject to Section 10.1(a), LICENSEE shall own and control all Trademarks which it employs in connection with the Commercialization of any Licensed Product in the Territory under this Agreement (“LICENSEE Licensed Product Marks”) and shall pay all costs relating thereto.

 

LICENSEE shall have the right to brand the Licensed Products in the Territory using LICENSEE Licensed Product Marks it determines appropriate for the Licensed Products, which may vary by country or within a country, and shall have the right, but no obligation, to use the LICENSOR Trademarks, subject to the license granted by LICENSOR to LICENSEE with respect to the LICENSOR TRADEMARKS pursuant to Section 10.1(c), on the labeling and packaging for Licensed Products in the Territory, and on all marketing, advertising and promotional materials associated with such Licensed Products (collectively the “LICENSEE Licensed Product Materials”);

 

provided that LICENSEE shall not, and shall ensure that its Affiliates and Sublicensees will not, make any use of (i) the Trademarks or house marks of LICENSOR (including LICENSOR’s corporate name) other than the LICENSOR Trademarks or (ii) any trademark confusingly similar to the Trademarks or house marks of LICENSOR (including LICENSOR’s corporate name), in the case of both (i) and (ii), on any LICENSEE Licensed Product Materials. Subject to the license granted by LICENSOR to LICENSEE with respect to the LICENSOR TRADEMARKS pursuant to Section 10.1(c), LICENSEE shall own all rights in the LICENSEE Licensed Product Materials.

 

(c) Subject to the terms and conditions of this Agreement, during the Term of this Agreement, LICENSOR hereby grants to LICENSEE a non-exclusive, royalty-free, sublicenseable license (i) to use LICENSOR Trademarks on all LICENSEE Licensed Product Materials in the Territory and (ii) to reproduce, prepare derivative works, distribute copies, perform, display and otherwise use LICENSOR Copyrights in connection with the exercise of the rights granted by LICENSOR to LICENSEE under the terms of this Agreement. All representations of the LICENSOR Trademarks that LICENSEE intends to use shall first be submitted to LICENSOR for approval (which shall not be unreasonably withheld or delayed) of design, color, and other details or shall be exact copies of those used by LICENSOR. All representations of the LICENSOR Trademarks that are used by LICENSEE shall comply with the reasonable usage guidelines provided by LICENSOR.

 

(d) During the Term, LICENSOR may make a written request to LICENSEE for permission to use the LICENSEE Licensed Product Marks in relation to Licensed Products in Korea. If LICENSEE consents to such use (such consent not to be unreasonably withheld), the Parties shall discuss in good faith the terms and conditions applicable to such use of the LICENSEE Licensed Product Marks, including any reasonable consideration payable with respect to such use. In the event that LICENSEE provides its consent and the Parties agree upon terms and conditions applicable to such use, all representations of the LICENSEE Licensed Product Marks that LICENSOR intends to use shall first be submitted to LICENSEE for approval (which shall not be unreasonably withheld or delayed) of design, color, and other details or shall be exact copies of those used by LICENSEE, and all representations of the LICENSEE Licensed Product Marks that are used by LICENSOR shall comply with the usage guidelines provided by LICENSEE.

 

(e) Subject to Section 10.1(a), LICENSOR shall own and control all Trademarks which it employs in connection with the Commercialization of any Licensed Product outside the Territory and in Japan under this Agreement (“LICENSOR Licensed Product Marks”) and shall pay all costs relating thereto.

 

LICENSOR shall have the right to brand the Licensed Products outside the Territory and in Japan using LICENSOR Licensed Product Marks it determines appropriate for the Licensed Products, which may vary by country or within a country, and on the labeling and packaging for Licensed Products outside the Territory and in Japan, and on all marketing, advertising and promotional materials associated with such Licensed Products (collectively the “LICENSOR Licensed Product Materials”);

 

provided that LICENSOR shall not, and shall ensure that its Affiliates and sublicensees will not, make any use of (i) the Trademarks or house marks of LICENSEE (including LICENSEE’s corporate name) or (ii) any trademark confusingly similar to the Trademarks or house marks of LICENSEE (including LICENSEE’s corporate name), in the case of both (i) and (ii), on any LICENSOR Licensed Product Materials. LICENSOR shall own all rights in the LICENSOR Licensed Product Materials.

 

10.2 No Challenge.

(a) LICENSOR recognizes the exclusive ownership by LICENSEE of all LICENSEE Licensed Product Marks. LICENSOR shall not, either while this Agreement is in effect, or at any time thereafter, register, use or challenge or assist others to challenge the LICENSEE Licensed Product Marks. LICENSOR shall not attempt to obtain any right in or to any name, logotype, trademark or trade dress confusingly similar for the marketing, sale or distribution of any goods or products, notwithstanding whether such goods or products have a different use or are dissimilar to the Licensed Products.

 

(b) LICENSEE recognizes the exclusive ownership by LICENSOR of all LICENSOR Licensed Product Marks. LICENSEE shall not, either while this Agreement is in effect, or at any time thereafter, register, use or challenge or assist others to challenge the LICENSOR Licensed Product Marks. LICENSEE shall not attempt to obtain any right in or to any name, logotype, trademark or trade dress confusingly similar for the marketing, sale or distribution of any goods or products, notwithstanding whether such goods or products have a different use or are dissimilar to the Licensed Products.

 

10.3 Proceedings.

(a) Only LICENSEE will be authorized to initiate at its own discretion legal proceedings against any infringement or threatened infringement of any LICENSEE Licensed Product Marks.

 

(b) Only LICENSOR will be authorized to initiate at its own discretion legal proceedings against any infringement or threatened infringement of any LICENSOR Licensed Product Marks.

 

10.4 Domain Names.

(a) LICENSEE shall be responsible for the registration, hosting, maintenance and defense of any domain name based on the LICENSEE Licensed Product Marks. LICENSEE may at its sole and absolute discretion register in its own name or in name of others, host on its own servers or on Third Party servers, maintain and defend such domain names and use them for websites.

 

(b) LICENSOR shall be responsible for the registration, hosting, maintenance and defense of any domain name based on the LICENSOR Licensed Product Marks. LICENSOR may at its sole and absolute discretion register in its own name or in name of others, host on its own servers or on Third Party servers, maintain and defend such domain names and use them for websites.

 

KASAN_국제계약, 영문계약 실무 - 기술이전, 특허실시, 신제품 개발판매 계약서에서 상표라이선스 관련 계약 조항

 

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작성일시 : 2019.06.14 09:12
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T R A D E M A R K   L I C E N S E    A G R E E M E N T

 

This License Agreement ("Agreement") is effective as of the date above the signatures of the parties below("EFFECTIVE DATE") by and between the MIT, a corporation duly organized and existing under the laws of the Commonwealth of Massachusetts, having its principal office at 77 Massachusetts Avenue, Cambridge, Massachusetts, 02139, U.S.A. ("MIT"), and ____, a corporation duly organized under the laws of __, having its principal office at ___("LICENSEE").

 

1. BACKGROUND

1.1 MIT owns rights in certain marks now and previously used by MIT and has acquired public recognition and goodwill through the use of such marks.

 

1.2 LICENSEE recognizes the goodwill appurtenant to use of said marks and desires to obtain a license to use certain of such marks. MIT is willing to grant such a license under the terms and conditions of this Agreement.

 

2. DEFINITIONS

2.1 LICENSED MARKS shall mean those marks listed in Appendix A.

2.2 LICENSED PRODUCTS shall mean the products in the categories specified in Appendix B that bear a LICENSED MARK.

2.3 TERRITORY shall mean U.S.A. and Canada only.

2.4 NET SALES PRICE shall mean LICENSEE's billing price to customers or distributors, less (1)discounts given that are customary in the trade, (2) returns, (3) transportation charges on returns if paid by LICENSEE, (4) taxes, and (5) prepaid transportation charges on LICENSED PRODUCTS SOLD by LICENSEE.

2.5 SOLD (or SALE) shall mean the first to occur of a LICENSED PRODUCT being shipped, distributed, paid for, billed or invoiced.

2.6 TERM shall mean the effective period of this Agreement, which shall commence on the EFFECTIVE DATE and which shall terminate on the fifth anniversary of the EFFECTIVE DATE.

 

3. LICENSE GRANT

3.1 Subject to the terms and conditions of this Agreement, MIT grants to LICENSEE the nonexclusive right to use, sell and have sold LICENSED PRODUCTS in the TERRITORY during the TERM hereof. In addition, MIT grants to LICENSEE, during the TERM, the nonexclusive right to manufacture and have manufactured the LICENSED PRODUCTS within and outside the United States, provided that LICENSEE and any manufacturers with whom LICENSEE subcontracts comply with MIT's Code of Conduct, further described in Paragraph 3.3.

 

3.2 LICENSEE shall not sublicense any of the rights granted hereunder.

 

3.3 LICENSEE acknowledges that MIT desires that LICENSEE not engage in practices that adversely affect the dignity and welfare of the workers who manufacture or produce the LICENSED PRODUCTS. MIT has adopted a Code of Conduct that regulates the conditions of manufacture of LICENSED PRODUCTS.  MIT has attached the current version of the Code of Conduct as Appendix C hereto, thereby becoming a part of LICENSEE's obligations under this Agreement. MIT reserves the right to amend its Code of Conduct from time to time and attach it to this Agreement. Any LICENSEE who is unable or unwilling to comply with the amended Code of Conduct, as it exists from time to time, shall be allowed to terminate this Agreement within ninety (90) days after receipt of the revised Code of Conduct from MIT.

 

4. PAYMENTS

4.1 Delivered with LICENSEE's signed Agreement, LICENSEE shall pay to MIT a non- refundable License Issue Fee of One Hundred Dollars ($100.00). This fee is not creditable to future royalties due hereunder.

 

4.2 LICENSEE shall pay to MIT an annual non-refundable, non-creditable License Maintenance Fee of One Hundred Dollars ($100.00), due on each anniversary of the EFFECTIVE DATE during the TERM.

 

4.3 In addition to the License Issue Fee and annual License Maintenance Fee, LICENSEE shall pay to MIT a continuing royalty of seven and one half percent (7.5%) of the NET SALES PRICE of all LICENSED PRODUCTS SOLD by LICENSEE. If LICENSEE has SOLD any LICENSED PRODUCTS to any party affiliated with LICENSEE, or in any way directly or indirectly related to or under common control with LICENSEE, at a price less than the regular price charged to other parties, the royalties payable hereunder shall be computed on the basis of the regular price charged to nonaffiliated parties. There shall be no deduction from the royalties owed for uncollectible accounts or for advertising or other expenses of any kind which may be incurred or paid by LICENSEE, except those specifically enumerated in Paragraph 2.4 above.

 

4.4 Royalty payments shall be due within thirty (30) days of the end of each calendar quarter and shall be accompanied by the royalty reports described in Paragraph 5.2 below. Royalty payments shall be payable in United States dollars to "Massachusetts Institute of Technology" at the location in Paragraph 12.1 below, or at such other place as MIT may reasonably designate consistent with the laws and regulations controlling in any foreign country. If any currency conversion shall be required in connection with the payment of royalties hereunder, such conversion shall be made by using the conversion rate existing in the United States, as reported in the Wall Street Journal, on the last working day of the calendar quarter of the reporting period to which such royalty payments relate.

 

4.5 The royalty payments set forth in this Agreement shall, if overdue, bear interest, to the extent permitted by law, at five (5) percentage points above the Prime Rate of interest as reported in the Wall Street Journal on the date payment is due. The payment of such interest shall not foreclose MIT from exercising any other rights it may have as a consequence of the lateness of any payment.

 

5. REPORTS AND RECORDS

5.1 LICENSEE shall keep full, true and accurate books of account containing all particulars that may be necessary for the purpose of showing the amounts payable to MIT hereunder. Such books of account shall be kept at LICENSEE's principal place of business or the principal place of business of the appropriate Division of LICENSEE to which this Agreement relates. 

 

Such books and the supporting data shall be open at all reasonable times for five (5) years following the end of the calendar year to which they pertain to the inspection of MIT or its agents for the purpose of verifying LICENSEE's royalty statement or compliance in other respects with this Agreement.

 

In the event that any audit performed under this paragraph reveals an underpayment in excess of five percent (5%), LICENSEE shall bear the full cost of such audit and shall remit any amounts due to MIT within thirty (30) days of receiving notice thereof from MIT.

 

5.2 Within thirty (30) days after each calendar quarter during the TERM, LICENSEE shall deliver to MIT true and accurate reports giving such particulars of the business conducted by LICENSEE during the preceding calendar quarter as shall be pertinent to a royalty accounting hereunder. These reports shall include at least the following: (a) A description, broken out under each individual trademark, of all LICENSED PRODUCTS manufactured and SOLD. (b) Total billings, broken out under each individual trademark, for LICENSED PRODUCTS SOLD. (c) Deductions applicable as provided in Paragraph 2.4. (d) Total royalties due. (e) Names and addresses of LICENSEE's retail sellers of LICENSED PRODUCTS.

 

5.3 With each such report submitted, LICENSEE shall pay to MIT the royalties due and payable under this Agreement. If no royalties shall be due, LICENSEE shall so report.

 

6. TERMINATION

6.1 MIT may terminate this Agreement immediately upon written notice to LICENSEE upon the following: (a) If LICENSEE shall cease to carry on its business; (b) In the event LICENSEE fails to submit timely reports or payments due hereunder, and fails to submit such reports or make such payments within thirty (30) days after receiving written notice of such failure; (c) If, after expiration of the ninety (90) day grace period set forth in Paragraph 3.3, LICENSEE fails to comply with MIT's adopted Code of Conduct or any changes thereto; or (d) In the event LICENSEE commits a material breach of its obligations under this Agreement, except for breach as described in (a) through (c) of this Paragraph, and fails to cure that breach within ninety (90) days after receiving written notice of such breach.

 

6.2 LICENSEE may terminate this Agreement for any reason, (i) upon at least six (6) months prior written notice to MIT, such notice to state the date at least six (6) months in the future upon which termination is to be effective, and (ii) upon payment of all amounts due to MIT through such termination effective date.

 

6.3 Upon termination of this Agreement for any reason, nothing herein shall be construed to release either party from any obligation that matured prior to the effective date of such termination. The following provisions shall survive the expiration or termination of this Agreement: Articles 2, 7, 10 and 13, and Paragraphs 5.1, 5.2 (obligation to provide final report and payment), 6.3, and 6.4.

 

6.4 Upon expiration or termination of this Agreement, all rights granted to LICENSEE hereunder shall cease, and LICENSEE shall refrain from further use of the LICENSED MARKS in any manner. LICENSEE acknowledges that failure to comply with this provision shall result in immediate and irreparable harm affording injunctive and any and all other appropriate relief to MIT.

 

6.5 Upon expiration or termination of this Agreement, LICENSEE shall not operate its business in any manner which would falsely suggest to the public that this Agreement is still in force or that any relationship exists between LICENSEE and M.I.T.

 

7. GOODWILL IN LICENSED MARKS

7.1 LICENSEE agrees that the essence of this Agreement is founded on the goodwill associated with the LICENSED MARKS and value of that goodwill in the minds of the consuming public. LICENSEE agrees that it is critical that such goodwill be protected and enhanced and, toward this end, LICENSEE shall not during the TERM or thereafter:

(a) attack the title or any rights of MIT in or to the LICENSED MARKS; (b) apply to register or maintain any application or registration of the LICENSED MARKS or any other mark confusingly similar thereto in any jurisdiction, domestic or foreign; (c) use any colorable imitation of any of the LICENSED MARKS, or any variant form (including variant design forms, logos, colors, or typestyles) of the LICENSED MARKS not specifically approved by MIT; (d) misuse the LICENSED MARKS; (e) take any action that would bring the LICENSED MARKS into public disrepute; (f) use the LICENSED MARKS, or any mark or name confusingly similar thereto, in its corporate or trade name; or (g) take any action that would tend to destroy or diminish the goodwill in the LICENSED MARKS.

 

7.2 All use by LICENSEE of the LICENSED MARKS shall inure to the benefit of MIT.

 

7.3 LICENSEE agrees to cooperate fully with MIT in securing and maintaining the goodwill of MIT in the LICENSED MARKS.

 

7.4 Upon becoming aware of any third party infringement of the LICENSED MARKS, LICENSEE shall promptly advise MIT of such infringement, including the name and location of such infringer.

 

8. QUALITY CONTROL; PACKAGING AND ADVERTISING APPROVAL

8.1 All LICENSED PRODUCTS shall be of a quality acceptable to MIT LICENSEE acknowledges that if LICENSED PRODUCTS manufactured and SOLD by it are of inferior quality in design, material or workmanship, the substantial goodwill that MIT possesses in the LICENSED MARKS would be impaired.

 

Accordingly, LICENSEE agrees that all LICENSED PRODUCTS shall be of high quality. To this end, LICENSEE shall furnish to MIT, free of cost, for its approval, a sample of each LICENSED PRODUCT, together with any carton or container, packing or wrapping material.  MIT shall have fourteen (14) days from receipt of each LICENSED PRODUCT in which to approve the sample.

 

In absence of approval, the sample shall be deemed as rejected as an example of the quality for the LICENSED PRODUCT. The LICENSED MARKS may be applied by LICENSEE only to such LICENSED PRODUCTS as are manufactured in accordance with the corresponding samples accepted hereunder and that have substantially the same relative quality position in the market place as do the samples thereof; provided, however, LICENSEE may furnish to MIT a further sample of any LICENSED PRODUCT of which it desires to change the quality, style and/or appearance and MIT shall have fourteen (14) days from receipt thereof in which to approve in writing said further sample. Failure to approve shall be deemed rejection thereof as an example of quality for that LICENSED PRODUCT.

 

MIT shall have the right through its employee(s) or designated representative(s) during normal business hours to inspect the facilities and product inventory of LICENSEE to assure itself that such acceptable level of quality is being maintained at all times. 8.2 Prior to any sale or commercial use, an example of each graphic design incorporating the LICENSED MARKS shall be provided to MIT for its approval and MIT shall have fourteen (14) days from receipt thereof in which to approve in writing said graphic design. Failure to approve shall be deemed as rejection thereof for that graphic design.

 

8.3 All packaging and advertising bearing the LICENSED MARKS shall be subject to the approval of MIT LICENSEE shall furnish to MIT one (1) copy of any packaging and advertisement of LICENSED PRODUCT used by LICENSEE. MIT shall have fourteen (14) days from receipt thereof in which to approve in writing the packaging or advertising materials. In the absence of approval, the packaging and advertising materials shall be deemed as rejected. LICENSEE shall furnish to MIT a further sample of packaging and advertising if it desires to change the packaging or advertising. MIT shall have fourteen (14) days to approve such changed packaging and advertising.

 

8.4 MIT's failure to approve under Paragraphs 8.1, 8.2 and 8.3 above shall be deemed rejection, unless MIT shall have requested within any such fourteen (14) day period an additional period of time (no greater than two (2) additional weeks) for further consideration of the material in question, in which case the initial period for MIT consideration and approval shall be extended by such additional period of time. MIT reserves the right to revise its quality and design criteria at any time and to rereview, pursuant to this Article 8, LICENSEE's merchandise and graphic designs for compliance with such criteria. 8.5 Graphic designs of LICENSED MARKS must conform to the MIT Merchandise Style Guide attached hereto as Appendix D, which can be changed at MIT’s reasonable discretion upon ninety (90) days notice.

 

9. MARKING

LICENSEE agrees that it shall mark the LICENSED PRODUCTS to indicate the rights of MIT in the LICENSED MARKS, including registration status of the LICENSED MARKS and that the products are manufactured pursuant to license. The LICENSED PRODUCTS or their packaging may also bear the statement "made by/for LICENSEE under license from the Massachusetts Institute of Technology, all rights reserved", and each LICENSED PRODUCT shall bear the notation " (R) " if registered for that class of goods or, if not registered for such class of goods, "TM" or other appropriate indication.  Registrations are indicated in Appendix A.

 

10. INDEMNIFICATION AND INSURANCE

10.1 LICENSEE agrees that it is wholly responsible for all products manufactured or SOLD by or for it, including all LICENSED PRODUCTS, and that MIT shall have no liability for any items, including any LICENSED PRODUCT, manufactured or SOLD by or for LICENSEE. LICENSEE shall comply with all government regulations in the manufacture, advertisement, sale, or disposal of the LICENSED PRODUCTS.

 

10.2 LICENSEE shall indemnify, defend, and hold harmless MIT and its trustees, officers, faculty, students, employees, and agents and their respective successors, heirs and assigns (the "Indemnitees"), against any liability, damage, loss, or expense (including reasonable attorneys fees and expenses) incurred by or imposed upon any of the Indemnitees in connection with any claims, suits, actions, demands or judgments arising out of any theory of liability (including without limitation actions in the form of tort, warranty, or strict liability and regardless of whether such action has any factual basis) concerning the use of any LICENSED MARK, or use, sale, manufacture, workmanship, material, design, or advertisement of any LICENSED PRODUCT, arising out of, directly or indirectly, the rights granted in this Agreement.

 

10.3 LICENSEE shall obtain and carry in full force and effect commercial general liability insurance, including product liability insurance, which shall protect LICENSEE and Indemnitees with respect to events covered by Paragraph 10.2 above. Such insurance (i) shall be issued by an insurer licensed to practice in the Commonwealth of Massachusetts or an insurer pre-approved by MIT, such approval not to be unreasonably withheld, (ii) shall list MIT as an additional insured thereunder, (iii) shall be endorsed to include product liability coverage, and (iv) shall require thirty (30) days written notice to be given to MIT prior to any cancellation or material change thereof.

 

The limits of such insurance shall not be less than One Million Dollars ($1,000,000) per occurrence with an aggregate of Two Million Dollars ($2,000,000) for bodily injury including death; and One Million Dollars ($1,000,000) per occurrence with an aggregate of Two Million Dollars ($2,000,000) for property damage. LICENSEE shall provide MIT with Certificates of Insurance evidencing compliance with this paragraph. 

 

LICENSEE shall continue to maintain such insurance after the expiration or termination of this Agreement during any period in which LICENSEE continues to make, have made, or SELL a LICENSED PRODUCT under this Agreement.

 

11. ASSIGNMENT

This Agreement is personal to LICENSEE and may not be assigned without the prior written consent of MIT, which shall not be unreasonably withheld, and the assignee or transferee must agree in writing to MIT to be bound by the terms and conditions of this Agreement prior to such assignment or transfer.

 

12. PAYMENTS, NOTICES AND OTHER COMMUNICATIONS

12.1 Any notices required or permitted under this Agreement shall be in writing, shall specifically refer to this Agreement, and shall be sent by hand, recognized national overnight courier, confirmed facsimile transmission, confirmed electronic mail, or registered or certified mail, postage prepaid, return receipt requested, to the following addresses or facsimile numbers of the parties:

 

All notices under this Agreement shall be deemed delivered when sent via confirmed electronic mail, or telecopier to the telefacsimile number identified above, or three (3) days after mailing via certified or registered mail, return receipt requested, postage prepaid, addressed to the party for whom intended, or when actually received by the party for whom intended, whichever is earlier. A party may change its contact information immediately upon written notice to the other party in the manner provided in this paragraph.

 

12.2 Any items (or packages thereof) to be shipped by LICENSEE to MIT shall be deemed sufficiently made or given on the date of receipt by MIT if such package or items are shipped prepaid via Federal Express, UPS, DHL or similar first class service to MIT at the address in Paragraph 12.1.

 

13. MISCELLANEOUS PROVISIONS

13.1 This Agreement shall be construed, governed, interpreted and applied in accordance with the internal laws of the Commonwealth of Massachusetts, U.S.A.

 

13.2 The parties hereto acknowledge that this Agreement sets forth the entire Agreement and understanding of the parties hereto as to the subject matter hereof, and shall not be subject to any change or modification except by the execution of a written instrument executed by the parties hereto.

 

13.3 The provisions of this Agreement are severable, and in the event that any provision of this Agreement shall be determined to be invalid or unenforceable under any controlling body of law, such invalidity or unenforceability shall not in any way affect the validity or enforceability of the remaining provisions hereof.

 

13.4 The failure of either party to assert a right hereunder or to insist upon compliance with any term or condition of this Agreement shall not constitute a waiver of that right or excuse a similar subsequent failure to perform any such term or condition by the other party.

 

IN WITNESS WHEREOF, the parties have caused this agreement to be executed by their duly authorized representatives.

 

KASAN_국제계약, 영문계약 상표사용허락 라이선스 계약서 샘플 – MIT 대학 로고 상표라이선스 계약서.pdf

 

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작성일시 : 2019.06.13 16:00
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