中国上市公司专利生产机制研究

发布时间：2018-03-24 13:01

本文选题：上市公司　切入点：知识生产函数　出处：《福州大学》2013年硕士论文

【摘要】：随着知识经济的到来,不管是宏观层面的国家还是微观层面的企业,对知识产权问题都越来越关注,知识产权意识的提高,能促进其经济的发展和市场竞争力的提高。专利正是自主知识产权的体现和表达方式之一。企业要在愈来愈激烈的竞争环境中获得优势,就必须进行专利生产与技术革新,不断开发新产品、新工艺,不断增加产品功能和用途,不断改进产品外观、图案和色彩等。根据国家知识产权局的专利统计简报2011年第17期的统计数据发现,申请过专利的企业的平均经济效益明显好于所有企业的平均水平,更加好于并没有进行专利生产和申请的企业。在专利具有如此大的“魅力”的情况下,研究上市公司专利生产问题具有现实意义。本文首先采用文献整理的方法,对专利生产影响因素及知识生产函数的相关研究进行了总结和述评。其次,根据Griliches (1979)提出的知识生产函数一般形式,结合柯布道格拉斯生产函数,最终推导出我们所要研究的专利生产机制模型。并且,通过理论分析,确定专利申请量的影响因素,即研发资本和人员投入、市场势力、企业规模、管理者异质性、股权集中度、股权制衡度及国有股比例。再次,选取沪深股市上市公司作为样本,由于企业的异质性,按研发强度这个指标将选取的样本分为高、中、低技术三类,并运用计量方法和多元统计方法对不同技术类型上市公司的专利申请量及其影响因素差异进行描述性统计分析,探析不同类型上市公司的专利生产特征。然后,利用实际数据,采用面板数据模型方法对不同类型的公司专利生产机制模型进行实证检验。实证结果表明：研发资本投入、技术工人、企业规模、股权制衡度及总经理的受教育程度对各技术类型上市公司的专利申请量具有促进作用,但是促进作用的程度不一样；股权集中度及国有股的比例对各技术类型上市公司的专利生产活动具有抑制作用,但是抑制强度不一样。市场势力对高技术类型和低技术类型上市公司的专利申请量具有促进作用,而对中技术类型上市公司具有阻碍作用,这有可能是不同技术类型的上市公司在获得市场势力之后的注重点不一样。最后,在前面研究的基础上提出一些促进不同技术类型上市公司专利生产的对策建议。
[Abstract]:With the advent of the knowledge economy, whether at the macro level or at the micro level, enterprises are paying more and more attention to the issue of intellectual property rights, and the awareness of intellectual property rights has been raised. Patent is one of the ways to embody and express independent intellectual property rights. In order to gain advantages in the increasingly competitive environment, enterprises must carry out patent production and technological innovation. Constantly developing new products, new processes, increasing the functions and uses of products, improving product appearance, patterns and colors, etc. According to the statistical data of the patent statistics bulletin No. 17 of 2011 of the State intellectual property Office, The average economic benefit of a patented enterprise is significantly better than the average level of all enterprises, and even better than that of an enterprise that has not produced or applied for a patent. It is of practical significance to study the patent production of listed companies. Firstly, this paper summarizes and reviews the related research on the influencing factors of patent production and knowledge production function by the method of literature collation. According to the general form of knowledge production function put forward by Griliches / 1979 and combining with Cobb Douglas production function, the model of patent production mechanism that we want to study is deduced finally. Furthermore, through theoretical analysis, the influencing factors of patent application amount are determined. That is, R & D capital and personnel investment, market power, enterprise size, manager heterogeneity, equity concentration, equity balance degree and proportion of state-owned shares. Thirdly, the listed companies in Shanghai and Shenzhen stock markets are selected as samples, because of the heterogeneity of enterprises. According to the index of R & D intensity, the selected samples are divided into three categories: high, middle and low technology, and descriptive statistical analysis is made on the amount of patent application and the difference of influencing factors of different technology type listed companies by means of econometric method and multivariate statistical method. This paper analyzes the characteristics of patent production of different types of listed companies. Then, by using the actual data and panel data model, this paper empirically tests the patent production mechanism models of different types of companies. The empirical results show that: r & D capital investment, The technical workers, the scale of the enterprise, the degree of equity balance and the education level of the general manager can promote the amount of patent application of the listed companies of different technology types, but the degree of promoting effect is not the same; The degree of ownership concentration and the proportion of state-owned shares have an inhibitory effect on the patent production activities of listed companies of various technology types. However, the intensity of inhibition is different. Market forces can promote the amount of patent applications of high-tech and low-technology listed companies, while they can hinder them. This may be due to the different points of attention of the listed companies with different technology types after gaining market power. Finally, on the basis of the previous research, some countermeasures and suggestions to promote the patent production of the listed companies with different technology types are put forward.
【学位授予单位】：福州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F273.1;F276.6

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