论文总字数：15452字

摘 要

在经济全球化和中国实施“一带一路”的战略下，政府越来越鼓励民营企业“走出去”，许多企业抛弃主流的“市场换技术”的模式，开启了“通过跨国并购引进先进国家优势技术资源”的新型投资形式。全球经济危机后，许多发达国家的知名企业为了缓解自身的财务危机，也选择拆分出自己的部分资产，在这之中也不乏具有先进技术的中、小型企业，这无疑对我国想进行跨国并购的企业来说是一场巨大的机遇。近年来，随着我国跨国并购案例的规模和金额的增加，企业通过跨国并购取得了缩短研发周期以快速投入生产及成本节约等显著效果。优质的技术对市场发展呈现正向作用的同时也得到了国内许多学者的重视，他们认为我国企业不应满足于能够拥有海外的先进技术，应在引进并吸收先进技术之后，能够模拟研发甚至自主创新研发新技术从而真正做到通过跨国并购促进中国企业技术进步的效果。

但是纵观国内外关于跨国并购对中国企业技术进步的影响研究文献甚少，主要的原因在于跨国并购的主流依旧是海外发达国家，而中国在这方面发展的年限很短，可供参考的大型案例较少。所以在研究的过程中，许多问题就要采用定性与定量相结合的方法；在参考国外相关跨国并购理论文献的同时就要结合中国的并购现状，因地制宜。本文根据现有的文献结果和通过分析国内近年来已完成的跨国并购案例，初步探讨跨国并购和中国企业技术进步两者之间存在的关系，作出微弱的结论，并对其中产生的问题提出相应的建议，希望对以后跨国并购的发展提供一些的参考。

关键词：跨国并购；技术进步；定性与定量；案例研究

Research on the Influencing Mechanism of Transnational Mergers and Acquisitions on Technological Progress of Chinese Enterprises

Abstract

Under the Strategy of Economic Globalization and the implementation of "The Belt and Road" by the State,the government is increasingly encouraging private enterprises to "go out". Many enterprises abandoned the mainstream mode of "market for technology" with opening the new investment form of "introducing advantage technology resources of advanced countries through cross-border merger and acquisition". After the global economic crisis, in order to alleviate their own financial crisis, many well-known enterprises in developed countries also chose to split up some of their assets. Among them, there are also some small and medium-sized enterprises with advanced technology. This is undoubtedly a huge opportunity for Chinese enterprises that want to conduct cross-border mergers and acquisitions. In recent years, with the increase of the scale and amount of cross-border M amp; A cases in China, enterprises have achieved remarkable results such as shortening the R amp; D cycle and rapidly putting into production and cost saving through cross-border M amp; A. At the same time, many domestic academicians pay attention to the positive effect of high-quality technology on market development. They believe that Chinese enterprises should not be satisfied with having advanced technology overseas, but should introduce and absorb advanced technology. It can simulate R amp; D and even independent innovation to promote the technological progress of Chinese enterprises through cross-border mergers and acquisitions.

However, there is very little literature at home and abroad on the impact of cross-border mergers and acquisitions on the technological progress of Chinese enterprises. The main reason is that developed countries abroad are still the mainstream of cross-border M amp; A , and China has a short history of development in this area. There are fewer large cases for reference. Therefore, in the process of research, many problems should be combined with qualitative and quantitative methods; while referring to the relevant foreign literature on cross-border M amp; A, we should combine the current situation of M amp; A in China and take measures according to local conditions. Based on the existing literature results and the analysis of domestic cases of cross-border M amp; A completed in recent years, this paper preliminarily discusses the relationship between cross-border M amp; A and the technological progress of Chinese enterprises, and draws a weak conclusion. And put forward the corresponding suggestions to the problems, and hope to provide some reference for the development of cross-border M amp; A in the future.

Keywords: Cross-border mergers and acquisitions; Technological progress; Qualitative and quantitative; Case study

目 录

摘 要 I

Abstract II

第一章 绪 论 1

1.1 研究背景和意义 1

1.2 研究目的和内容 1

1.3 研究方法和思路 1

第二章 跨国并购与技术进步的国内外研究综述 2

2.1跨国并购的相关研究 2

2.2跨国并购与企业技术进步的相关研究 3

2.2.1跨国并购与企业技术进步的理论研究 3

2.2.2跨国并购与企业技术进步的案例研究 3

2.2.3跨国并购与企业技术进步的实证研究 3

第三章 中国企业跨国并购现状 5

3.1中国企业跨国并购的发展历史 5

3.2中国企业跨国并购的主要动因 5

3.3中国企业跨国并购的发展现状 6

第四章 跨国并购促进企业技术进步的机制分析 8

4.1本土化研发反馈 8

4.2需求信息反馈 8

4.3规模经济反馈 9

4.4资源重新配置 9

第五章 跨国并购与技术进步的典型案例 10

5.1青岛海尔集团并购美国GE家电业务 10

5.1.1并购双方的相关背景及动因 10

5.1.2“三位一体”的全球本地化经营 10

5.1.3“人单合一”的管理模式和“小微机制”的团队合作 10

5.1.4挽留人才与重用研究机构 11

5.2小结 11

第六章 结论及建议 12

致 谢 13

参考文献（References） 14

第一章 绪 论

1.1 研究背景和意义

在经济全球化和技术市场竞争日趋激烈的环境下，发展中国家的企业一直试图能够拥有发达国家企业的优质技术，来为自己在市场竞争中取得更大的优势。在21世纪初，各国企业热衷于“绿地投资”的国际直接投资形式，即跨国公司等投资主体在东道国境内依照东道国的法律设置的部分或全部资产所有权归外国投资者所有的企业。这对于发展中国家无疑是极大的机遇，包括中国在内的发展中国家纷纷吸引外商来母国进行投资，希望能同时引进投资国的技术，但是对于发达国家来说，由于处于全球战略和利润共享的考虑，机器设备及原材料的采购、技术指导人员等绝大多数是在跨国公司内部进行的，因此该种投资对发展中国家的相关产业的拉动作用是有限的。而发展中国家的出境投资更是由于管理水平的不足，能成功的案例少之又少，所以外商绿地投资的间接促进技术进步效应并没有想象的那么大。

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