🎯 Strategic Overview

Assignment clauses often receive less attention than confidentiality or liability provisions, but they can have significant consequences when corporate changes occur. The key negotiation tension is between:

  • Business Flexibility: Companies need the ability to restructure, merge, be acquired, or divest business lines without every NDA becoming an obstacle.
  • Information Security: The disclosing party wants to control who has access to its confidential information and may not want it transferred to unknown third parties.

Your negotiation strategy should focus on three core objectives:

  1. Ensure Mutuality: Assignment rights (or restrictions) should apply equally to both parties
  2. Secure M&A Carve-Outs: Normal business transactions shouldn't require consent
  3. Protect Against Competitor Transfer: Your information shouldn't end up with your competitors through assignment

💡 Core Negotiation Strategies

1

Ensure Mutual Treatment

Assignment restrictions must apply equally to both parties. Resist one-sided clauses that let the other party freely assign while restricting you. If the counterparty needs flexibility for M&A, so do you - and vice versa.

2

Secure M&A Carve-Outs

Ensure assignment is automatically permitted in connection with mergers, acquisitions, and asset sales without requiring consent. This is critical business flexibility - you shouldn't need the other party's permission to sell your company.

3

Add "Not Unreasonably Withheld" Language

If consent is required for any assignments, insist that consent "shall not be unreasonably withheld, conditioned, or delayed." Without this, the other party has absolute veto power over your business decisions.

4

Address Competitor Transfers

Even if M&A is generally permitted, you may want consent required if the acquirer is your direct competitor. This protects against your confidential information ending up with someone who could use it against you.

5

Clarify Affiliate Rights

Determine whether assignment to affiliates (subsidiaries, parent companies) should be automatic or require notice/consent. Usually automatic is fine if the assigning party remains liable for the affiliate's performance.

6

Establish Notice Requirements

Even for permitted assignments, require reasonable notice (30-60 days) so you know who has your confidential information. This maintains visibility without blocking legitimate transactions.

💼 M&A Scenarios

Understanding how assignment clauses play out in real M&A scenarios helps you negotiate the right protections:

Stock Acquisition

BigCorp acquires 100% of StartupCo's stock. StartupCo continues to exist as a subsidiary but is now controlled by BigCorp.

Issue: Is this a "change of control" requiring consent? Some clauses say yes, others are silent. Clarify in negotiation.

Merger (Target Survives)

StartupCo merges with AcquireCo, with StartupCo as the surviving entity. Same legal entity, different ownership.

Issue: Technical continuation, but beneficial ownership changed. Should trigger "change of control" provisions.

Merger (Target Disappears)

StartupCo merges into AcquireCo and ceases to exist. All assets, liabilities, and contracts transfer to AcquireCo by operation of law.

Issue: Clear assignment by operation of law. Without M&A carve-out, may require consent or trigger breach.

Asset Sale

StartupCo sells its SaaS division (and all related contracts) to BuyerCo. StartupCo continues operating other businesses.

Issue: Partial asset sale - should NDA transfer with the business unit? Often requires explicit assignment language.

Acqui-hire / Team Acquisition

AcquireCo hires most of StartupCo's team and buys IP assets, but doesn't formally acquire the company.

Issue: May not trigger assignment at all - StartupCo still holds NDA, but key people moved. Consider whether this is acceptable.

Competitor Acquisition

You share tech specs with PartnerCo. Two years later, your main competitor acquires PartnerCo.

Risk: Without competitor carve-out, your confidential information now belongs to your competitor with full rights under the NDA.

📋 Essential Carve-Outs

When negotiating assignment restrictions, ensure these situations are carved out from consent requirements:

Tier 1: Business-Critical Carve-Outs

  • Mergers and Acquisitions: Assignment in connection with any merger, acquisition, or consolidation
  • Asset Sales: Transfer in connection with sale of all or substantially all assets
  • Change of Control: Transition to new controlling ownership (stock sale over 50%)
  • Corporate Reorganization: Internal restructuring, spin-offs, or divisional changes

Tier 2: Operational Carve-Outs

  • Affiliate Transfers: Assignment to parent companies, subsidiaries, or sister companies
  • Financing Transactions: Security interests or collateral assignments to lenders
  • Operation of Law: Transfers required by bankruptcy, court order, or regulatory requirement

Common Conditions on Carve-Outs

  • Written Assumption: Assignee agrees in writing to be bound by the NDA terms
  • Notice: Assigning party provides notice within specified timeframe (30-60 days)
  • Continuing Liability: For affiliate transfers, original party remains responsible
  • Non-Competitor: Assignee is not a direct competitor (for sensitive disclosures)
Sample M&A Carve-Out Language

"Notwithstanding the foregoing, either party may assign this Agreement without the other party's consent in connection with: (a) a merger, acquisition, or consolidation involving such party; (b) a sale of all or substantially all of the assets to which this Agreement relates; or (c) a change of control of such party (whether by stock sale, merger, or otherwise); provided that (i) the assignee agrees in writing to be bound by the terms of this Agreement, and (ii) the assigning party provides written notice to the other party within thirty (30) days following such assignment."

💬 Negotiation Scripts

When They Propose One-Sided Assignment Rights

"We notice the current draft allows your company to freely assign while requiring our consent for any assignment. In a mutual NDA where both parties are sharing information, the assignment provisions should be mutual. We're both subject to the same business realities - either of us might be acquired, merge, or restructure. We need the same flexibility you've given yourself."

When They Resist M&A Carve-Outs

"We understand the concern about information ending up with unknown parties. However, requiring consent for M&A transactions creates significant issues. First, it gives you effective veto power over our corporate transactions. Second, in a competitive M&A process, we can't disclose this restriction to bidders without also disclosing we're in an NDA with you. We propose permitting M&A assignments automatically, with a requirement that the assignee assume all obligations in writing and that we provide prompt notice."

When They Want Sole Discretion to Deny Consent

"'Sole discretion' consent gives you an absolute veto over any assignment for any reason - or no reason at all. This is too one-sided. We're willing to require consent for voluntary assignments to third parties, but that consent needs to be 'not unreasonably withheld.' If we're proposing to assign to a reputable, financially sound party who agrees to assume all obligations, there's no reasonable basis to refuse."

When You Want Competitor Protection

"We're comfortable with the M&A carve-outs for most situations. However, we are concerned about our confidential information ending up with our direct competitors. We propose adding a provision that if the assignee is a Competitor (which we can define specifically), the assignment requires our consent, not to be unreasonably withheld. This protects both of us while allowing normal business transactions."

When They Require Extensive Conditions on Assignment

"We see that any assignment requires modification of terms, payment of fees, and execution of a new agreement by the assignee. These conditions effectively make assignment impractical and could delay or derail legitimate transactions. We're willing to require the assignee to assume obligations in writing and to provide reasonable notice. However, fees and term modifications for ordinary course business changes are not acceptable."

Red Flags to Watch For

Red Flag Risk Level What It Means
One-sided: They can assign freely, you cannot High Unfair asymmetry; your information goes anywhere, theirs is protected
"Sole discretion" consent standard High Absolute veto power over your business decisions
Change of control triggers consent requirement Medium Potential obstacle to M&A; negotiate for automatic transfer
Fee or consideration required for consent Medium Creates cost/leverage issue in M&A negotiations
Can condition consent on term modifications High Allows reopening of agreed terms; leverage against you
No affiliate carve-out Medium Even internal restructuring requires consent
Violation is "material breach" with termination High Severe consequences for inadvertent violation
No "operation of law" carve-out Medium Bankruptcy or court-ordered transfers may breach NDA
Critical Issue: Anti-Assignment Provisions in M&A

If you're considering selling your company or a business line, review all NDAs for anti-assignment provisions. Restrictive assignment clauses can create significant complications in M&A transactions, potentially requiring consent from dozens of counterparties, any of whom could use the situation for leverage. Flag these issues early with M&A counsel.

📚 Common Compromise Positions

When negotiations stall, consider these middle-ground approaches:

  • Tiered Consent: No consent for M&A and affiliates; reasonable consent for other assignments
  • Notice-Only for M&A: Automatic permission for M&A transactions with 30-day notice requirement
  • Competitor Carve-Out: Allow all assignments except to named or defined competitors
  • Reasonableness Standard with Examples: Consent not unreasonably withheld, with examples of what would be reasonable grounds (e.g., financial instability, inadequate security practices)
  • Cure Period: If assignment is challenged, allow 30-day cure period rather than immediate breach
  • Termination Right Instead of Consent: Either party may terminate upon change of control, rather than consent requirement
Sample Balanced Assignment Clause

"Neither party may assign this Agreement without the other party's written consent, which consent shall not be unreasonably withheld. Notwithstanding the foregoing, either party may assign this Agreement without consent: (a) to an Affiliate, provided the assigning party remains liable; (b) in connection with any merger, acquisition, or sale of substantially all assets; or (c) to any successor by operation of law. Assignment to a direct competitor of the non-assigning party shall require consent. Upon any assignment, the assignee shall assume all obligations in writing and the assigning party shall provide notice within thirty (30) days."

Pro Tip: Define "Competitor"

If you add a competitor carve-out, define the term specifically. Options include: (a) named companies listed in an exhibit; (b) companies in the same NAICS code; (c) companies whose primary business competes with yours. Vague definitions create disputes later.

Due Diligence Checklist

Before finalizing an assignment clause, verify:

  • Are assignment rights mutual (same treatment for both parties)?
  • Is M&A (merger, acquisition, asset sale) carved out from consent requirements?
  • Is change of control (stock sale) addressed and carved out?
  • Are affiliate transfers permitted (with appropriate safeguards)?
  • Is the consent standard "not unreasonably withheld" (not sole discretion)?
  • Is there a competitor restriction (if needed for your situation)?
  • Are there reasonable notice requirements (not consent) for permitted assignments?
  • Does the assignee have to assume obligations in writing?
  • Is there a reasonable cure period for alleged violations?
  • Are the consequences of violation proportionate (not automatic termination)?