Der KI-Arbeitsbereich für Juristen
- Rechtsrecherche mit Zugriff auf über 1 Million Quellen
- Dokumentenautomatisierung
- Mandatsverwaltung
- Gehostet in der EU und der Schweiz
14 Tage kostenlos testen (10 Fragen/Tag während der Testphase)
Der KI-Arbeitsbereich für Juristen
14 Tage kostenlos testen (10 Fragen/Tag während der Testphase)
99-4203•01a0009p.06
5RVVY&DPSEHOO6RXS&R 1R
GLVDEOHGKHPXVWDOVRVKRZWKDWWKHHPSOR\HUWKRXJKWWKDWKLV
GLVDELOLW\ZRXOGSUHYHQWKLPIURPSHUIRUPLQJDEURDGFODVV
RIMREV$VLWLVVDIHWRDVVXPHHPSOR\HUVGRQRWUHJXODUO\
FRQVLGHU WKH SDQRSO\ RI RWKHU MREV WKHLU HPSOR\HHV FRXOG
SHUIRUPDQGFHUWDLQO\GRQRWRIWHQFUHDWHGLUHFWHYLGHQFHRI
VXFKFRQVLGHUDWLRQVWKHSODLQWLII¶VWDVNEHFRPHVHYHQPRUH
GLIILFXOW <HW WKH GUDIWHUV RI WKH $'$ DQG LWV VXEVHTXHQW
LQWHUSUHWLYHUHJXODWLRQVFOHDUO\LQWHQGHGWKDWSODLQWLIIVZKR
DUHPLVWDNHQO\UHJDUGHGDVEHLQJXQDEOHWRZRUNKDYHDFDXVH
RIDFWLRQXQGHUWKHVWDWXWH:KHWKHU5RVVLVVXFKDSODLQWLII
OLHVLQWKHTXHVWLRQRIZKHWKHU&DPSEHOO6RXS&RUHJDUGHG
KLPDVVXEVWDQWLDOO\OLPLWHGIURPSHUIRUPLQJDEURDGFODVVRI
MREV ,Q FDVHV VXFK DV WKLV RQH ZKHUH WKHUH LV VXEVWDQWLDO
HYLGHQFH WKDW DQ LQGLYLGXDO¶V PHGLFDO VWDWXV SOD\HG D
VLJQLILFDQW UROH LQ DQ HPSOR\HU¶V GHFLVLRQ WR ILUH WKDW
LQGLYLGXDO FRPELQHG ZLWK HYLGHQFH WKDW WKH HPSOR\HU
FRQFRFWHGDSUHWH[WXDOMXVWLILFDWLRQIRUWKDWILULQJWKHQHHGIRU
PRUH H[WHQVLYH IDFWXDO LQTXLU\ LQWR ZKHWKHU WKH HPSOR\HU
HQJDJHGLQXQODZIXOGLVFULPLQDWLRQLVHVSHFLDOO\DFXWH:H
WKHUHIRUHFRQFOXGHWKDW5RVVKDVSUHVHQWHGVXIILFLHQWHYLGHQFH
WRFUHDWHDJHQXLQHLVVXHRIPDWHULDOIDFWDVWRWKHFRPSDQ\¶V
VWDWHRIPLQGGXULQJWKHHYHQWVWKDWOHGWRKLVILULQJ7KH
UHVROXWLRQRIWKDWLVVXHLVSURSHUO\OHIWWRWKHMXU\
&21&/86,21
)RUWKHUHDVRQVVHWRXWDERYHZHFRQFOXGHWKDWWKHGLVWULFW
FRXUWHUUHGLQJUDQWLQJVXPPDU\MXGJPHQWWRWKHGHIHQGDQWRQ
WKH TXHVWLRQ RI ZKHWKHU WKH SODLQWLII ZDV ³UHJDUGHG DV´
GLVDEOHG XQGHU WKH $'$ DQG ZH WKHUHIRUH 5(9(56( WKH
MXGJPHQWHQWHUHGEHORZDQG5(0$1'WKHFDVHWRWKHGLVWULFW
FRXUWIRUIXUWKHUSURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ
7KH +RQRUDEOH $YHUQ &RKQ 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU WKH
(DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS 3 WK &LU
)LOH 1DPH DS
81,7('67$7(6&28572)$33($/6
)257+(6,;7+&,5&8,7
BBBBBBBBBBBBBBBBB
'$/( 5266
3ODLQWLII$SSHOODQW
Y
&$03%(// 6283 &203$1<
'HIHQGDQW$SSHOOHH
;!
1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW&OHYHODQG
1R².DWKOHHQ0F'RQDOG2¶0DOOH\
'LVWULFW-XGJH
$UJXHG2FWREHU
'HFLGHGDQG)LOHG-DQXDU\
%HIRUH'$8*+75(<DQG&/$<&LUFXLW-XGJHV
&2+1'LVWULFW-XGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' $QGUHZ / 0DUJROLXV &OHYHODQG 2KLR IRU
$SSHOODQW 6XVDQ 0 'L0LFNHOH 648,5( 6$1'(56
-- 1 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
'(036(< &ROXPEXV 2KLR IRU $SSHOOHH 21 %5,()
$QGUHZ/0DUJROLXV&OHYHODQG2KLRIRU$SSHOODQW6XVDQ
0 'L0LFNHOH 648,5( 6$1'(56 '(036(<
&ROXPEXV2KLR5RQDOG--DPHV648,5(6$1'(56
'(036(<&OHYHODQG2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
0$57+$&5$,*'$8*+75(<&LUFXLW-XGJH,QWKLV
$PHULFDQVZLWK'LVDELOLWLHV$FW $'$ FDVHWKHSODLQWLII
'DOH 5RVV DSSHDOV WKH GLVWULFW FRXUW¶V RUGHU JUDQWLQJ
VXPPDU\ MXGJPHQW WR WKH GHIHQGDQW &DPSEHOO 6RXS
&RPSDQ\EDVHGRQWKHFRXUW¶VGHWHUPLQDWLRQWKDW5RVVKDG
IDLOHGWRSUHVHQWHYLGHQFHRIGLVFULPLQDWLRQRQWKHEDVLVRI
GLVDELOLW\XQGHUWKH$'$86&
2QDSSHDO5RVVFODLPVWKDWWKHGLVWULFWFRXUWHUUHGLQILQGLQJ
QRLVVXHRIPDWHULDOIDFWRQWKUHHSRLQWV WKDW5RVVZDV
QRWGLVDEOHGZLWKLQWKHPHDQLQJRIWKH$FW WKDW&DPSEHOO
6RXSGLGQRWUHJDUG5RVVDVGLVDEOHGZLWKLQWKHPHDQLQJRI
WKH$FWDQG WKDW5RVVGLGQRWSUHVHQWGLUHFWHYLGHQFHRI
GLVFULPLQDWLRQ RQ WKH EDVLV RI GLVDELOLW\ $OWKRXJK ZH
FRQFOXGHWKDWWKHGLVWULFWFRXUWZDVFRUUHFWLQLWVUXOLQJZLWK
UHJDUGWRWKHTXHVWLRQRI5RVV¶VDFWXDOGLVDELOLW\ZHIXUWKHU
FRQFOXGH WKDW WKHUH H[LVWV D JHQXLQH LVVXH RI PDWHULDO IDFW
FRQFHUQLQJWKHFRPSDQ\¶VDOOHJHGSHUFHSWLRQWKDW5RVVZDV
GLVDEOHGZLWKLQWKHPHDQLQJRIWKH$'$
)$&78$/$1'352&('85$/%$&.*5281'
5RVV¶V SRVLWLRQ DW WKH FRPSDQ\ ZDV WKDW RI VDOHV
PHUFKDQGLVHUZRUNLQJH[FOXVLYHO\LQ&DPSEHOO¶VIUR]HQIRRGV
GLYLVLRQ+LVSULPDU\UHVSRQVLELOLW\ZDVWUDYHOLQJEHWZHHQ
FRUSRUDWHFXVWRPHUVLQKLVVDOHVDUHDDQGSUHVHQWLQJSURSRVDOV
IRUWKHVDOHDQGGLVSOD\RI&DPSEHOO¶VSURGXFW$VSDUWRIKLV
MRE 5RVV ZDV UHTXLUHG WR OLIW FDVHV RI &DPSEHOO¶V IUR]HQ
IRRGVZKLFKJHQHUDOO\ZHLJKDURXQGWHQSRXQGV$FFRUGLQJ
WR5RVV¶VGHSRVLWLRQWHVWLPRQ\KHZDVQHYHUUHTXLUHGWROLIW
PRUHWKDQRQHFDVHRIIUR]HQIRRGDWDWLPH
1R 5RVVY&DPSEHOO6RXS&R
,GDW,QWKLVFDVHWKHLPSOLFDWLRQVRI&DPSEHOO¶V
SUHWH[W DUH WZRIROG ILUVW LW SURYLGHV HYLGHQFH DV WR WKH
FRPSDQ\¶VGLVFULPLQDWRU\LQWHQWLQILULQJ5RVVDQGVHFRQG
EHFDXVHLWWHQGVWRSURYHGLVFULPLQDWRU\LQWHQWWKHHYLGHQFH
RI SUHWH[W PD\ DOVR WHQG WR VKRZ WKDW &DPSEHOO 6RXS &R
UHJDUGHG5RVVDVGLVDEOHG
+RZHYHUDVWKHFRPSDQ\FRUUHFWO\QRWHV³,WLVQRWHQRXJK
WKDWWKHHPSOR\HUUHJDUGHGWKDWLQGLYLGXDODVVRPHKRZ
GLVDEOHG UDWKHUWKHSODLQWLIIPXVWVKRZWKDWWKHHPSOR\HU
UHJDUGHGWKHLQGLYLGXDODVGLVDEOHGZLWKLQWKHPHDQLQJRIWKH
$'$´&ROZHOOY6XIIRON&RXQW\3ROLFH'HSW)G
QG&LU ,QWKLVFDVHWKHVWDQGDUGPDQGDWHVWKDW
&DPSEHOO6RXS&RPXVWKDYHUHJDUGHG5RVVDVVLJQLILFDQWO\
OLPLWHGLQKLVDELOLW\WROLIWRULQKLVDELOLW\WRZRUNLQDEURDG
FODVVRIMREVQRWVLPSO\KLVMREDW&DPSEHOO6RXS$JDLQ
WKLVLVDTXHVWLRQRI&DPSEHOO¶VVWDWHRIPLQGWKDWLVPRUH
DSSURSULDWHIRUWKHMXU\WKDQIRUWKHMXGJH7KHGLVWULFWFRXUW
IRXQG WKDW ³>W@KH DEVHQFH RI D SK\VLFLDQ¶V VWDWHPHQW RI
GLVDELOLW\DORQJZLWKWKHIUHTXHQF\DQGPRUHLPSRUWDQWO\
GXUDWLRQRI5RVV¶VDEVHQFHVSDUWLFXODUO\WKHILQDODEVHQFH
FDXVHG&DPSEHOO6RXSWREHFRPHVXVSLFLRXVRI5RVV¶VFODLPV
RIFRQWLQXHGLQMXU\DQGSDLQ´,QRWKHUZRUGVWKHGLVWULFW
FRXUW FRQFOXGHG WKDW WKH FRPSDQ\ GLG QRW UHJDUG 5RVV DV
GLVDEOHGEXWUDWKHUDVDPDOLQJHUHU:HEHOLHYHWKDWLQGRLQJ
VRKRZHYHUWKHGLVWULFWFRXUWGUHZ D FRQFOXVLRQIURPWKH
HYLGHQFHUHJDUGLQJWKHGHIHQGDQW¶VVWDWHRIPLQGWKDWVKRXOG
EH OHIW WR WKH MXU\ 0RUHRYHU LQ D PRWLRQ IRU VXPPDU\
MXGJPHQWDOOLQIHUHQFHVPXVWEHPDGHLQIDYRURIWKHQRQ
PRYLQJSDUW\6HH1DWLRQDO(QWHUSULVHVY6PLWK)G
WK&LU +HUHWRWKHFRQWUDU\WKHGLVWULFW
FRXUWGUHZHYLGHQWLDU\FRQFOXVLRQVLQIDYRURI&DPSEHOO6RXS
&R
3URYLQJ WKDW DQ HPSOR\HH LV UHJDUGHG DV GLVDEOHG LQ WKH
PDMRUOLIHDFWLYLW\RIZRUNLQJWDNHVDSODLQWLIIWRWKHIDUWKHVW
UHDFKHV RI WKH $'$ ,W LV D TXHVWLRQ HPEHGGHG DOPRVW
HQWLUHO\ LQ WKH HPSOR\HU¶V VXEMHFWLYH VWDWH RI PLQG 7KXV
SURYLQJWKHFDVHEHFRPHVH[WUDRUGLQDULO\GLIILFXOW1RWRQO\
PXVWDSODLQWLIIGHPRQVWUDWHWKDWDQHPSOR\HUWKRXJKWKHZDV
-- 2 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
7KHUHFRUGSURYLGHVVXIILFLHQWHYLGHQFHWRFUHDWHDIDFWXDO
GLVSXWHFRQFHUQLQJWKDW&DPSEHOORIILFLDOV¶SURIIHUHGUHDVRQV
IRUILULQJ5RVVDQGZKHWKHUWKH\ZHUHLQIDFWSUHWH[WXDO$V
WKH GLVWULFW FRXUW FRUUHFWO\ QRWHG LQ GLFWD EDVHG RQ WKH
IDYRUDEOH SHUIRUPDQFH UHSRUWV VXEPLWWHG E\ 5RVV WKH
FRPSDQ\¶VDVVHUWLRQVWKDW5RVVZDVQRWTXDOLILHGIRUKLVMRE
³VLPSO\DUHQRWSHUVXDVLYH´0RUHRYHUWKHFKDLQRIHYHQWV
OHDGLQJWR5RVV¶VWHUPLQDWLRQ±LQFOXGLQJWKHVXGGHQGURSLQ
KLVSHUIRUPDQFHHYDOXDWLRQWKHGUDPDWLFLQFUHDVHLQKLVVDOHV
TXRWDV WKH LQYLWDWLRQ WR UHWLUH WKH &2%5$ OHWWHU DQG WKH
EDFNFDVHPHPRUDQGXP±FUHDWHVDUHDVRQDEOHLQIHUHQFHWKDW
&DPSEHOO¶VDVVHUWLRQWKDW5RVVZDVILUHGIRUIDLOXUHWRPHHW
SHUIRUPDQFHJRDOVLVIDOVH
7KHGLVWULFWFRXUWVWDWHGWKDW³RQWKHUHFRUGSUHVHQWHGLW
DSSHDUVXQOLNHO\LIQRWLPSRVVLEOHWKDW5RVVZRXOGDOVREH
DEOHWRVKRZWKDWKLVSHUIRUPDQFHIDLOXUHVZHUHDSUHWH[WIRU
GLVFULPLQDWLRQ´ (PSKDVLVLQRULJLQDO 7KHGLVWULFWFRXUW
DSSHDUV WR KDYH EHHQ RSHUDWLQJ XQGHU WKH DVVXPSWLRQ WKDW
5RVVPXVWSURYHQRWRQO\WKDW&DPSEHOO¶VGHFLVLRQWRILUHKLP
ZDVSUHWH[WXDOEXWDOVRWKDWGLVFULPLQDWLRQRQWKHEDVLVRI
GLVDELOLW\ZDVLWVWUXHPRWLYH+RZHYHUXQGHUWKH6XSUHPH
&RXUW¶V UHFHQW GHFLVLRQ LQ 5HHYHV Y 6DQGHUVRQ 3OXPELQJ
3URGXFWV,QF6&W WKHSUREDWLYHYDOXHRI
SUHWH[WLQDGLVFULPLQDWLRQFDVHKDVEHHQUHDIILUPHGDQGZH
DUHUHPLQGHGWKDWZKHQWKHHOHPHQWVRIDSULPDIDFLHFDVH
KDYHEHHQPHWDSODLQWLIIQHHG QRW VKRZERWKSUHWH[WDQG
GLVFULPLQDWRU\LQWHQW ³SUHWH[WSOXV´ ,GDW,Q5HHYHV
WKH&RXUWKHOGWKDW
RQFH WKH HPSOR\HU¶V MXVWLILFDWLRQ KDV EHHQ HOLPLQDWHG
GLVFULPLQDWLRQPD\ZHOOEHWKHPRVWOLNHO\DOWHUQDWLYH
H[SODQDWLRQHVSHFLDOO\VLQFHWKHHPSOR\HULVLQWKHEHVW
SRVLWLRQWRSXWIRUWKWKHDFWXDOUHDVRQIRULWVGHFLVLRQ
7KXV D SODLQWLII¶V SULPD IDFLH FDVH FRPELQHG ZLWK
VXIILFLHQWHYLGHQFHWRILQGWKDWWKHHPSOR\HU¶VDVVHUWHG
MXVWLILFDWLRQ LV IDOVH PD\ SHUPLW WKH WULHU RI IDFW WR
FRQFOXGHWKDWWKHHPSOR\HUXQODZIXOO\GLVFULPLQDWHG
1R 5RVVY&DPSEHOO6RXS&R
'XULQJKLVHPSOR\PHQWDW&DPSEHOO5RVVVXIIHUHGDVHULHV
RIILYHEDFNLQMXULHV7KHILUVWDOXPEDUVWUDLQRFFXUUHGLQ
FDXVLQJ5RVVWRPLVVWKUHHZHHNVRIZRUN+HQH[W
VXIIHUHGDEDFNVSDVPLQZKLOHOLIWLQJEXWWKHUHFRUG
GRHVQRWLQGLFDWHKRZORQJ5RVVZDVDEVHQWIURPZRUNDVWKH
UHVXOWRIWKLVLQMXU\5RVVWKHQVXIIHUHGDOXPEDUVWUDLQLQ
ZKLFK FDXVHG KLP WR EH RXW RI ZRUN IRU WKUHH PRUH
PRQWKVDQGDOXPEDUWLJKWHQLQJLQ0D\ZKLFKOHGWRD
WZRPRQWK DEVHQFH 5RVV GLG QRW UHTXHVW DFFRPPRGDWLRQ
IURP&DPSEHOODIWHUDQ\RIWKHVHLQMXULHVQRUGLGKH HYHU
VSHFLILFDOO\ VWDWH WR &DPSEHOO WKDW KH VXIIHUHG IURP D
GLVDELOLW\,QGHHG5RVVWHVWLILHGWKDWLWZDVKLVXQGHUVWDQGLQJ
HDFK WLPH KH UHWXUQHG WR ZRUN WKDW KH ZDV QRW XQGHU DQ\
UHVWULFWLRQV³EHFDXVH>KH@ZDVQRWDOORZHGWRUHWXUQWRZRUN
XQWLO>KH@ZDVLQ&DPSEHOO¶VH\HVDKXQGUHGSHUFHQW´
)LQDOO\5RVVLQMXUHGKLVEDFNDILIWKWLPHRQ'HFHPEHU
ZKLOHUHDFKLQJLQWRDFRPSDQ\FDU7KHLQMXU\ZDV
GLDJQRVHGDVOXPEDUVDFUDOVWUDLQ2Q'HFHPEHU5RVV
REWDLQHGDGLVDELOLW\FHUWLILFDWHIRUPIURPKLVSK\VLFLDQ'U
*HRUJH5DQGW7KHIRUPLQGLFDWHGWKDW5RVVFRXOGUHWXUQWR
ZRUNRQ³DSSUR[LPDWHO\´-DQXDU\DQGDVEHWZHHQ
RSWLRQV WR LQGLFDWH WKDW WKH SDWLHQW FRXOG UHWXUQ WR HLWKHU
³OLJKW´RU³UHJXODU´ZRUN'U5DQGWVHOHFWHG³UHJXODU´ZRUN
5RVVSURYLGHGWKLVIRUPWR&DPSEHOOEXWWROGKLVVXSHUYLVRUV
WKDW KH ZDV VWLOO LQ SDLQ ZDV VHHNLQJ D VHFRQG PHGLFDO
RSLQLRQ DQG ZRXOG QRW UHWXUQ WR ZRUN RQ -DQXDU\ DV
SODQQHG 5RVV WKHQ VDZ D VHFRQG SK\VLFLDQ 'U -HIIUH\
:LOEHUZKRUHFRPPHQGHG5RVVKDYHDPDJQHWLFUHVRQDQFH
LPDJLQJWHVWSHUIRUPHGWRDVVHVVWKHFRQGLWLRQRIKLVVSLQH
$FFRUGLQJWR5RVVWKH05,LQGLFDWHGDSURWUXGLQJGLVFDQG
WZRGHJHQHUDWLYHGLVFVLQKLVORZHUEDFNDQGDVDUHVXOW'U
:LOEHUVXJJHVWHGWKDWKHDYRLGKHDYLHUOLIWLQJDQGEHQGLQJDW
ZRUN5RVVDOVRWHVWLILHGWKDWLQ'HFHPEHUDIWHUKH
KDGEHHQILUHGIURP&DPSEHOO6RXS'U:LOEHUVSHFLILFDOO\
LQVWUXFWHGKLPQRWWROLIWPRUHWKDQSRXQGV7KHUHLVLQWKH
UHFRUGDUHSRUWIURPDSK\VLFDOWKHUDS\FOLQLFLQGLFDWLQJWKDW
5RVVUHFHLYHGWUHDWPHQWIRUWKH'HFHPEHULQMXU\WKDWKH
ZDVFRQVLGHUHGDWWKDWWLPHWREHXQDEOHWR³UHVXPHQRUPDO
ZRUNDFWLYLWLHVVXFKDVOLIWLQJUHDFKLQJVWRRSLQJDQGWZLVWLQJ
-- 3 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
GXH WR LQFUHDVHG ORZ EDFN SDLQ GHFUHDVHG IOH[LELOLW\ DQG
VWUHQJWK´DQGWKDWKHKDG³>P@RGHUDWHOLPLWDWLRQLQIRUZDUG
EHQGLQJ EDFNZDUG EHQGLQJ DQG URWDWLRQ ZLWK LQFUHDVHG
SDLQ´
+RZHYHU5RVVGLGQRWFRPPXQLFDWHWKHVHGLDJQRVHVWRKLV
VXSHUYLVRUVDW&DPSEHOO6RXS&RIHDULQJKHODWHUWHVWLILHG
WKDW KH ZRXOG ORVH KLV MRE +H DGPLWWHG WKDW KH KDG QRW
VXIIHUHGDGYHUVHMREFRQVHTXHQFHVDIWHUDQ\RIKLVSULRUEDFN
LQMXULHVEXWSRLQWHGWRDFRPPHQWPDGHE\DVXSHUYLVRU%LOO
+ROGHUGXULQJKLVSHUIRUPDQFHHYDOXDWLRQWKDW³>Z@H
FDQ¶WKDYHDQ\PRUHRIWKLVEDFNWKLQJ´5RVVDOVRWHVWLILHG
WKDW GXULQJ WKH WLPH KH ZDV RII ZRUN IRU KLV ODVW LQMXU\
&DPSEHOOHPSOR\HHVIROORZHGKLPWRPHGLFDODSSRLQWPHQWV
REWDLQHGPHGLFDOUHFRUGVIURPKLVGRFWRUVDQGVSLHGRQKLP
DWKLVKRPH,QIDFW&KDUOHV&DUWHUD&DPSEHOOVXSHUYLVRU
WHVWLILHGWKDWKH³FKHFNHGXS´RQ5RVVZKLOH5RVVZDVDZD\
IURP ZRUN EHFDXVH RI KLV EDFN SUREOHPV DQG DQRWKHU
&DPSEHOOHPSOR\HHWHVWLILHGWKDWDVXSHUYLVRUKDGFRPPHQWHG
WKDWKHZDVVRUU\5RVVKDGSXWXSDIHQFHDURXQGKLVKRPH
ZKLFKNHSWWKHVXSHUYLVRUIURPEHLQJDEOHWRVHHZKDW5RVV
ZDVGRLQJZKLOHRXWRQGLVDELOLW\OHDYH
2Q)HEUXDU\-RH3DWLQGLUHFWRURIIUR]HQIRRGDW
&DPSEHOO 6RXS &R VHQW D PHPR WLWOHG ³'DOH 5RVV %DFN
,QMXU\+LVWRU\´WR%LOO+ROGHUDQRWKHURI5RVV¶VVXSHUYLVRUV
7KHPHPRLQGLFDWHGWKHGDWHRIHDFKRI5RVV¶VLQMXULHVWKH
LQMXU\¶V FDXVH DOO EHQGLQJ RU OLIWLQJ ZKLOH SHUIRUPLQJ WKH
GXWLHVRIKLVMRE WKHPHGLFDOGLDJQRVLVDQGWKHGDWH5RVV
UHWXUQHGWRZRUNDIWHUWKHLQMXU\7KHPHPRDOVRQRWHG³7KH
DERYH LQMXULHV DOO RFFXUUHG ZKLOH SHUIRUPLQJ QRUPDO MRE
GXWLHVIRU'DOH¶VSRVLWLRQ´
6RRQDIWHUWKHFLUFXODWLRQRIWKLVPHPR5RVVZDVFDOOHGLQ
WRDPHHWLQJZLWK3DWLQDQG+ROGHU$FFRUGLQJWR5RVVWKH
FRQYHUVDWLRQDWWKLVPHHWLQJVWDUWHGZLWK+ROGHUVD\LQJWKDW
WKHFRPSDQ\KDGH[SHUWVZKRFRXOGDVVLVW5RVVLQFUHDWLQJD
UpVXPpWRKHOSKLPILQGDQHZMRE5RVVVDLGWKDWKHDVNHGLI
KHZDVEHLQJWHUPLQDWHGDQGZDVWROGKHZDVQRWEXWWKDWLI
KH GLG QRW UHWXUQ WR ZRUN LW ZRXOG EH FRQVLGHUHG MRE
1R 5RVVY&DPSEHOO6RXS&R
E\WKH$'$WKDWHYLGHQFHPXVWEHZHLJKHGLQFRQVLGHUDWLRQ
ZLWKWKHGLUHFWHYLGHQFHRIGLVFULPLQDWLRQDQGLQDPRWLRQIRU
VXPPDU\ MXGJPHQW PXVW EH FRQVLGHUHG LQ WKH OLJKW PRVW
IDYRUDEOHWR5RVV
)LQDOO\WKHOLNHOLKRRGWKDWWKHFRPSDQ\UHJDUGHG5RVVDV
GLVDEOHGDQGDFWHGZLWKGLVFULPLQDWRU\LQWHQWLQILULQJ5RVVLV
KHLJKWHQHGE\WKHHYLGHQFHSUHVHQWHGWKDW5RVVZDVRWKHUZLVH
TXDOLILHGWRSHUIRUPKLVMREDW&DPSEHOO6RXS&RDQGWKDW
WKHMXVWLILFDWLRQVSUHVHQWHGIRUILULQJ5RVVZHUHSUHWH[WXDO
7KDW WKLV HYLGHQFH LV PDWHULDO WR WKLV SRLQW LV D SHFXOLDU
IXQFWLRQ RI WKH ³UHJDUGHG DV´ SURQJ RI WKH $'$ $V WKH
UHJXODWLRQVLQWHUSUHWLQJWKH$'$H[SODLQ>W@KHSXUSRVHRIWKH
³UHJDUGHG DV´ SURQJ LV WR SURYLGH D FDXVH RI DFWLRQ WR
LQGLYLGXDOV³UHMHFWHGIURPDMREEHFDXVHRIWKHμP\WKVIHDUV
DQGVWHUHRW\SHV¶DVVRFLDWHGZLWKGLVDELOLWLHV´6HH6XWWRQ
86DW TXRWLQJ&)5SW$SS O 7KH
UHJXODWLRQVFRQWLQXH
7KHUHIRUHLIDQLQGLYLGXDOFDQVKRZWKDWDQHPSOR\HU
PDGH DQ HPSOR\PHQW GHFLVLRQ EHFDXVH RI D
SHUFHSWLRQ RI GLVDELOLW\ EDVHG RQ ³P\WK IHDU RU
VWHUHRW\SH´WKHLQGLYLGXDOZLOOVDWLVI\WKH³UHJDUGHGDV´
SDUWRIWKHGHILQLWLRQRIGLVDELOLW\,IWKHHPSOR\HUFDQQRW
DUWLFXODWHDQRQGLVFULPLQDWRU\UHDVRQIRUWKHHPSOR\PHQW
DFWLRQDQLQIHUHQFHWKDWWKHHPSOR\HULVDFWLQJRQWKH
EDVLVRI³P\WKIHDURUVWHUHRW\SH´FDQEHGUDZQ
&)5SW$SS O
%HFDXVHXQGHUWKH³UHJDUGHGDV´SURQJ5RVV¶VSULPDIDFLH
VKRZLQJWKDWKHLVGLVDEOHGWXUQVXSRQWKHHPSOR\HU¶VVWDWHRI
PLQGDQGKRZLWWKRXJKW5RVV¶VEDFNFRQGLWLRQDIIHFWHGKLV
SHUIRUPDQFHDVDQHPSOR\HHHYLGHQFHRIWKHHPSOR\HU¶VVWDWH
RI PLQG WKDW ZRXOG RUGLQDULO\ EH XVHG WR SURYH PRWLYH RU
GLVFULPLQDWRU\LQWHQWPD\DOVREHSUREDWLYHRI5RVV¶VVWDWXV
DVDSHUVRQZLWKDGLVDELOLW\DVGHILQHGE\WKH$'$7KXV
HYLGHQFH WKDW WKH FRPSDQ\ FUHDWHG D SUHWH[WXDO UHDVRQ IRU
5RVV¶VILULQJPD\WHQGWRSURYHWKDWLWUHJDUGHG5RVVDV D
GLVDEOHGHPSOR\HH
-- 4 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
VXVWDLQHGRQWKLVUHFRUG$V5RVVDUJXHVRQDSSHDOWKHVH
FRPPHQWV FDPH LQ WKH PLGVW RI D VHULHV RI HYHQWV WKDW
UHIOHFWHGXSRQ5RVV¶VEDFNFRQGLWLRQDQGXSRQWKHHQGRIKLV
HPSOR\PHQW ZLWK &DPSEHOO 6RXS &R LQFOXGLQJ WKH
LQYLWDWLRQ IRU 5RVV WR UHWLUH DQG WKH SURIIHUHG UpVXPp
DVVLVWDQFH WKH FUHDWLRQ RI D PHPR WUDFNLQJ 5RVV¶V LQMXU\
UHODWHGDEVHQFHVIURPZRUN5RVV¶VUHFHLSWRIDOHWWHUGHWDLOLQJ
KLVDELOLW\WR&2%5$KLVKHDOWKEHQHILWVDQGWKHFRPPHQW
PDGH WR 5RVV WKDW ³ZH FDQ¶W KDYH DQ\ PRUH RI WKLV EDFN
WKLQJ´:KHQWDNHQLQWKHFRQWH[WRIWKHVHRWKHUHYHQWVWKH
EDFNFDVHFRPPHQWKDUGO\VHHPVLVRODWHG,QIDFWLWDSSHDUV
WR EH SHUKDSV WKH PRVW GDPQLQJ RI D VHULHV RI FRPPHQWV
GHPRQVWUDWLQJWKHSURPLQHQFHRI5RVV¶VEDFNFRQGLWLRQLQ
&DPSEHOO¶VGHFLVLRQVUHJDUGLQJKLVHPSOR\PHQW
)RU LQ DGGLWLRQ WR WKH ³EDFN FDVH´ PHPR WKH UHFRUG
FRQWDLQVDQXQGDWHG³-RE$FFRPPRGDWLRQ5HTXHVW$QDO\VLV´
PDGHRXWIRU5RVVDQGVLJQHGE\:LOOLDP+ROGHU7KRXJK
WKHIRUPLVDSSDUHQWO\LQFRPSOHWHLWWHQGVWRGHPRQVWUDWHWKDW
&DPSEHOO RIILFLDOV GLG DW VRPH SRLQW UHJDUG 5RVV DV
GLVDEOHG $IWHU QRWLQJ WKDW 5RVV KDG QRW UHTXHVWHG
DFFRPPRGDWLRQDQGOLVWLQJWKHHVVHQWLDOIXQFWLRQVRI5RVV¶V
MREWKHIRUPFRQWLQXHV³+DYH\RXUHYLHZHGWKHVHFRQGLWLRQV
ZLWK\RXUPHGLFDOGHSDUWPHQWUHSUHVHQWDWLYHVWRGHWHUPLQH
WKH FRQGLWLRQ V DUH GLVDELOLWLHV UDWKHU WKDQ WHPSRUDU\
LPSDLUPHQWV"´7RWKLVTXHVWLRQ+ROGHUUHVSRQGHG³<HV´
%RWK+ROGHU¶VXQHTXLYRFDODIILUPDWLYHDQVZHUDQGLWVFRQWH[W
±RQDIRUPRQHPD\UHDVRQDEO\DVVXPHLVLQWHQGHGWRDVVHVV
ZKDWDFWLRQV&DPSEHOOPXVWWDNHWRDYRLGOLDELOLW\XQGHUWKH
$'$±WHQGWRVKRZWKDWWKHFRPSDQ\WKRXJKWLWSRVVLEOH
5RVVZDVGLVDEOHGZLWKLQWKHPHDQLQJRIWKH$FW
7KDW OLNHOLKRRG LV HQKDQFHG E\ RWKHU HYLGHQFH 5RVV
SURYLGHG +ROGHU¶V GHSRVLWLRQ WHVWLPRQ\ VKRZV WKDW KH
VSHFLILFDOO\FRQVLGHUHGZKHWKHU5RVV¶VEDFNFRQGLWLRQZRXOG
EHDGLVDELOLW\XQGHUWKH$'$+ROGHUVWDWHGUHIHUULQJWR
5RVV¶VEDFNWURXEOH³7KHUHDUHFHUWDLQWKLQJVWKDWZLOOUDLVH
UHGIODJVWR\RXWKDWUHTXLUHWKDWDSHUVRQEHJLYHQPD\EHD
OLWWOHH[WUDEHQHILWRIWKHGRXEW´$OWKRXJK+ROGHUZHQWRQWR
VWDWHWKDWKHXOWLPDWHO\FRQFOXGHG5RVVZRXOGQRWEHFRYHUHG
1R 5RVVY&DPSEHOO6RXS&R
DEDQGRQPHQW2Q)HEUXDU\-RH3DWLQVHQW5RVVD
PHPRWKDWUHDG
7KLVZLOOFRQILUPP\FRQYHUVDWLRQZLWK\RXLQZKLFK,
WROG\RXWKDWZHKDYHUHYLHZHGRXUUHFHQWFRQYHUVDWLRQ
DQGKDYHGHWHUPLQHGLQOLJKWRI'U5DQGW¶VIXOOPHGLFDO
UHOHDVH WKDW \RX PXVW UHWXUQ WR IXOO ZRUN DFWLYLWLHV
LPPHGLDWHO\<RXUIDLOXUHWRGRVRFRXOGUHVXOWLQ\RXU
WHUPLQDWLRQ
5RVVWHVWLILHGWKDWKHSURWHVWHGWKLVRUGHUWRUHWXUQWRZRUN
EXW FRXOG QRW REWDLQ DXWKRUL]DWLRQ IURP KLV SK\VLFLDQ WR
UHPDLQ RQ GLVDELOLW\ OHDYH EHFDXVH KLV SK\VLFLDQ ZDV
UHFRYHULQJIURPVXUJHU\DQGZDVQRWLQWKHRIILFH,QDQ\
HYHQW5RVVGLGUHWXUQWRZRUNVKRUWO\DIWHUKLVUHFHLSWRIWKH
)HEUXDU\PHPRUDQGXP
2Q-XQH5RVVZDVJLYHQKLVDQQXDOSHUIRUPDQFH
UHYLHZZKLFKZDVODUJHO\QHJDWLYH8SWRWKLVSRLQW5RVV
KDG UHFHLYHG PDUNV RI HLWKHU ³PHHWV´ RU ³H[FHHGV
H[SHFWDWLRQV´ LQ KLV SHUIRUPDQFH UHYLHZV ,Q WKH
HYDOXDWLRQ5RVVUHFHLYHGIRUWKHILUVWWLPHDVHULHVRI³QHHGV
LPSURYHPHQW´DQG³XQVDWLVIDFWRU\´PDUNV&RPPHQWVZHUH
PDGH RQ WKH HYDOXDWLRQ WKDW 5RVV QHHGHG WR LQFUHDVH
FRPPXQLFDWLRQZLWKKLVVXSHUYLVRUVDQGDOVRWKDWKHQHHGHG
WRLPSURYHKLVVW\OHRIGUHVV$IWHUWKLVQHJDWLYHSHUIRUPDQFH
DVVHVVPHQW5RVVZDVSODFHGRQDGD\SUREDWLRQDU\SHULRG
'XULQJWKHSUREDWLRQDU\SHULRG5RVV¶VSHUIRUPDQFHJRDOV
ZHUHLQFUHDVHGVLJQLILFDQWO\)RUH[DPSOH5RVV¶VJRDOIRU
VDOHVRISURGXFWZDVLQFUHDVHGE\SHUFHQWDQGWKHQXPEHU
RIGLVSOD\V5RVVZDVWRPDUNHWZDVWULSOHG&DUWHUWHVWLILHG
WKDW5RVV¶VJRDOVZHUHKHLJKWHQHGIRUWKHSUREDWLRQDU\SHULRG
DVDQLQFHQWLYHPHDVXUHWRJHW5RVVWR³JRDIWHUKLVSRWHQWLDO
DQGEHDEOHWRGHOLYHUZKDWKHZDVFDSDEOHRIGRLQJ´-RH
3DWLQVDLGWKDWKHGLGQRWUHFDOOZK\5RVV¶VREMHFWLYHVZHUH
UDLVHG5RVVEHOLHYHGWKDWWKHLQFUHDVHLQKLVSHUIRUPDQFH
JRDOVZDVDGLVFULPLQDWRU\DWWHPSWWRFDXVHKLPWRIDLO+H
DOVRWHVWLILHGWKDWKLVVDOHVWHUULWRU\ZDVOHVVSURGXFWLYHWKDQ
WKDWRIKLVFRZRUNHUVDQGWKDWKHWKHUHIRUHVKRXOGQRWKDYH
EHHQKHOGWRWKHVDPHVWDQGDUGVDVZRUNHUVZLWKPRUHGHQVHO\
-- 5 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
SRSXODWHG VDOHV DUHDV RU KHDGTXDUWHUV LQ WKHLU WHUULWRULHV
,QGHHG3DWLQDGPLWWHGLQKLVGHSRVLWLRQWKDW5RVV¶VWHUULWRU\
KDG³OHVVSRWHQWLDO´DQGZDV³DORWOHVVSURGXFWLYH´WKDQRWKHU
HPSOR\HHV¶WHUULWRULHV%XW5RVVDOVRWRRNDSODQQHGYDFDWLRQ
GXULQJ KLV SUREDWLRQDU\ SHULRG DJDLQVW WKH DGYLFH RI KLV
VXSHUYLVRUV
2Q-XO\5RVVZURWHDOHWWHUWR3DWLQH[SUHVVLQJ
KLV FRQFHUQ DERXW WKH SHUIRUPDQFH REMHFWLYHV IRU KLV
SUREDWLRQDU\SHULRG5RVVQRWHGLQWKHOHWWHUWKDWKLVJRDOIRU
WRWDOFDVHVVROGKDGEHHQUDLVHGWRFDVHVSHUZHHNEXW
WKDW%LOO0DUWLQDQRWKHUHPSOR\HHKDGUHFHQWO\EHHQKRQRUHG
LQ³,Q7KH6SRWOLJKW´DQHZVOHWWHUSURGXFHGE\WKHFRPSDQ\
IRU VHOOLQJ FDVHV LQ RQH ZHHN 5RVV GLVSXWHG RWKHU
FRPPHQWVWKDWKHKDGUHFHLYHGLQKLVHYDOXDWLRQDVNHGIRU
VSHFLILFH[DPSOHVDQGFRPPHQWVRIVNLOOVKHFRXOGLPSURYH
DQGHQGHGWKHOHWWHUE\ZULWLQJ³,DPVXUHWKDW\RXDOVRDUH
DZDUHRIWKHVHULRXVEDFNLQMXU\WKDW,VXVWDLQHGDQGWKHHIIRUW
WKDWLWKDVWDNHQPHWRUHVXPHP\IRUPHURFFXSDWLRQ,DP
GRLQJ HYHU\WKLQJ , FDQ WR PHHW \RXU SHUIRUPDQFH JRDOV
&RQVLGHULQJWKHLPSDLUPHQWWKDW,DPFXUUHQWO\UHKDELOLWDWLQJ
,ORRNIRUZDUGWRKHDULQJIURP\RX´5RVVWHVWLILHGWKDWKH
GLGQRWUHFHLYHDUHVSRQVHWRWKLVOHWWHU
1HDU WKH EHJLQQLQJ RI WKH SUREDWLRQDU\ SHULRG DQRWKHU
PHPRZDVFLUFXODWHGWKURXJKFRPSDQ\PDQDJHPHQWWKLVRQH
UHFRPPHQGLQJWKDW5RVVQRWEHJLYHQDERQXVIRUWKH
VDOHVSHULRG$WWKHWRSRIWKLVPHPR5LFKDUG6PLWKDQRWKHU
RI5RVV¶VVXSHUYLVRUVZURWH³0DXUHHQ±:KHQFDQZHEULQJ
WKLV SUREOHP SHUVRQ WR D WHUPLQDWLRQ VWDWXV 36 ± %DFN
&DVH´$WWKHERWWRPRIWKHPHPRDQRWKHUQRWHVLJQHGE\
³.HQW´UHDGV³5LFKDUG,DJUHHZ-RH3DWLQ¶VDVVHVVPHQWRQ
DERQXVIRU'DOH5RVV1H[WVWHSV"´6PLWKODWHUWHVWLILHGWKDW
KHZDVQRWLQDSRVLWLRQWRILUH5RVVEXWREVHUYHGWKDWJLYHQ
WKHQRWH³REYLRXVO\WKHSURFHVVZDVZHOODORQJ´
,QWKHPLGGOHRIWKHSUREDWLRQDU\SHULRG5RVVUHFHLYHGD
OHWWHUGDWHG$XJXVW IURPKLVLQVXUDQFHFRPSDQ\
QRWLI\LQJKLPRIKLVHOLJLELOLW\WR&2%5$KLVKHDOWKEHQHILWV
7KH OHWWHU UHDG ³:H ZRXOG OLNH WR UHPLQG \RX WKDW HYHQ
1R 5RVVY&DPSEHOO6RXS&R
QRWHGWKDWWKHFRPPHQWZDV³DPELJXRXVDQGQRWIDFLDOO\
GHURJDWRU\´)LQDOO\WKHGLVWULFWFRXUWKHOGWKDWWKHPHPR
FRXOGQRWEHFRQVLGHUHGGLUHFWHYLGHQFHRIGLVFULPLQDWLRQLQ
5RVV¶VWHUPLQDWLRQEHFDXVHLWZDV³PDGHLQFRQQHFWLRQZLWK
DGHWHUPLQDWLRQRIZKHWKHU5RVVVKRXOGUHFHLYHDERQXVQRW
LQFRQQHFWLRQZLWKWKHWHUPLQDWLRQGHFLVLRQ´DQGZDVPDGH
DIWHU&DPSEHOOSODFHG5RVVRQSUREDWLRQ
:HDOVRFRQFOXGHWKDWWKHGLVWULFWFRXUWWRRHDVLO\GLVPLVVHG
WKH³EDFNFDVH´PHPRDVGLUHFWHYLGHQFHRIGLVFULPLQDWLRQE\
WKH HPSOR\HU 1RW RQO\ GRHV WKH QRWH LGHQWLI\ 5RVV DV D
³SUREOHP SHUVRQ´ D FRPPHQW ZKLFK FDQQRW EH WDNHQ LQ D
SRVLWLYHOLJKWEXWLWDOVRLGHQWLILHVKLPDVD³EDFNFDVH´7KH
$'$ ZDV HQDFWHG LQ SDUW WR HOLPLQDWH WKH VRUW RI
VWHUHRW\SLQJWKDWDOORZHGHPSOR\HUVWRVHHWKHLUHPSOR\HHV
SULPDULO\DVWKHLUGLVDELOLWLHVDQGQRWDVSHUVRQVGLIIHUHQWO\
DEOHGIURPWKHPVHOYHV7KDWWKHQRWH¶VDXWKRUZRXOGWKLQNWR
LGHQWLI\ 5RVV ZLWK WKH VFUDZOHG SRVWVFULSW ³EDFN FDVH´
GHPRQVWUDWHVWKDWWKHUHLVDWOHDVWDJHQXLQHLVVXHRIPDWHULDO
IDFWWKDW&DPSEHOO6RXS&RUHJDUGHG5RVVWKURXJKWKHOHQV
RIKLVPHGLFDOFRQGLWLRQ,WLVSUHFLVHO\WKLVVRUWRIOLPLWHG
YLVLRQWKDWWKH$'$VHHNVWRHOLPLQDWH
0RUHRYHULWZRXOGEHOHVVWKDQUHDVRQDEOHWRFRQFOXGHWKDW
EHFDXVH WKHVH FRPPHQWV ZHUH ZULWWHQ RQ D PHPR
UHFRPPHQGLQJ5RVVQRWUHFHLYHD\HDUO\ERQXVWKH\ZHUHQRW
PDGHLQFRQQHFWLRQZLWKWKHGHFLVLRQWRHQGKLVHPSOR\PHQW
ZLWK&DPSEHOO6RXS&R7KHFRPPHQWUHDGV³0DXUHHQ±
:KHQ FDQ ZH EULQJ WKLV SUREOHP SHUVRQ WR D WHUPLQDWLRQ
VWDWXV"´&OHDUO\WKHQRWHUHIHUVQRWWRWKHERQXVWKDWLVWKH
VXEMHFWRIWKHXQGHUO\LQJPHPREXWUDWKHUWRWKHFRPSDQ\¶V
LPPLQHQWGHFLVLRQWRHQG5RVV¶VHPSOR\PHQW7KHVHFRQG
FRPPHQWZKLFKHQGV³1H[WVWHSV"´LQGLFDWHVWKDWGLVFXVVLRQ
RI ZKDW DFWLRQ ZRXOG IROORZ GHQLDO RI WKH ERQXV ZDV
RFFXUULQJ7KHFRPPHQWVDUHUHODWHGRQO\WDQJHQWLDOO\WRWKH
SLHFH RI SDSHU XSRQ ZKLFK WKH\ DUH ZULWWHQ WKHLU RZQ
PHDQLQJFDQEHVHHQDVIRUHVKDGRZLQJ5RVV¶VWHUPLQDWLRQ
1RUGRZHWKLQNWKHGLVWULFWFRXUW¶VFKDUDFWHUL]DWLRQRIWKH
FRPPHQWV RQ WKH PHPR DV DQ LVRODWHG UHPDUN FDQ EH
-- 6 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
D FODLP 8QGHU WKH ³UHJDUGHG DV´ SURQJ RI WKH $'$
PHPEHUVKLS LQ WKH SURWHFWHG FODVV EHFRPHV D TXHVWLRQ RI
LQWHQW $QG DV WKH GLVWULFW FRXUW FRUUHFWO\ QRWHG ³WKDW
TXHVWLRQ ± LH WKH HPSOR\HU¶V PRWLYH ± LV RQH UDUHO\
VXVFHSWLEOHWRUHVROXWLRQDWWKHVXPPDU\MXGJPHQWVWDJH´
,Q DQDO\]LQJ WKH ³UHJDUGHG DV´ SURQJ RI WKH $'$ WKH
6XSUHPH&RXUWUHFHQWO\KHOG
7KHUHDUHWZRDSSDUHQWZD\VLQZKLFKLQGLYLGXDOVPD\
IDOOZLWKLQWKLVVWDWXWRU\GHILQLWLRQ DFRYHUHGHQWLW\
PLVWDNHQO\ EHOLHYHV WKDW D SHUVRQ KDV D SK\VLFDO
LPSDLUPHQWWKDWVXEVWDQWLDOO\OLPLWVRQHRUPRUHPDMRU
OLIHDFWLYLWLHVRU DFRYHUHGHQWLW\PLVWDNHQO\EHOLHYHV
WKDW DQ DFWXDO QRQOLPLWLQJ LPSDLUPHQW VXEVWDQWLDOO\
OLPLWVRQHRUPRUHPDMRUOLIHDFWLYLWLHV,QERWKFDVHVLW
LV QHFHVVDU\ WKDW D FRYHUHG HQWLW\ HQWHUWDLQ
PLVSHUFHSWLRQV DERXW WKH LQGLYLGXDO±LW PXVW EHOLHYH
HLWKHUWKDWRQHKDVDVXEVWDQWLDOO\OLPLWLQJLPSDLUPHQW
WKDW RQH GRHV QRW KDYH RU WKDW RQH KDV D VXEVWDQWLDOO\
OLPLWLQJLPSDLUPHQWZKHQLQIDFWWKHLPSDLUPHQWLVQRW
VROLPLWLQJ
6XWWRQY8QLWHG$LU/LQHV86 7KXV
DQLQGLYLGXDOPD\IDOOLQWRWKHGHILQLWLRQRIRQHUHJDUGHGDV
KDYLQJDGLVDELOLW\LIDQHPSOR\HUDVFULEHVWRWKDWLQGLYLGXDO
DQLQDELOLW\WRSHUIRUPWKHIXQFWLRQVRIDMREEHFDXVHRID
PHGLFDOFRQGLWLRQZKHQLQIDFWWKHLQGLYLGXDOLVSHUIHFWO\
DEOHWRPHHWWKHMRE¶VGXWLHV
:HFRQFOXGHWKDW5RVVKDVSUHVHQWHGVXIILFLHQWHYLGHQFHWR
FUHDWHDJHQXLQHLVVXHRIPDWHULDOIDFWFRQFHUQLQJKLVFODLP
WKDWWKHFRPSDQ\UHJDUGHGKLPKDVDSHUVRQZLWKDGLVDELOLW\
ZLWKLQWKHPHDQLQJRIWKH$FW3HUKDSVWKHSLHFHRIHYLGHQFH
PRVWLQGLFDWLYHRIWKLVIDFWLVWKH³EDFNFDVH´PHPRZKLFK
WKH GLVWULFW FRXUW FRQVLGHUHG WR EH WKH RQO\ SRVVLEOH GLUHFW
HYLGHQFH RI GLVFULPLQDWRU\ FRQGXFW E\ WKH FRPSDQ\ 7KH
GLVWULFWFRXUWXOWLPDWHO\KHOGWKDWWKHPHPRGLGQRWFRQVWLWXWH
GLUHFWHYLGHQFHRIGLVFULPLQDWLRQILQGLQJLQVWHDGWKDWLWZDV
DQ³LVRODWHGUHIHUHQFHLQVXIILFLHQWWRFRQVWLWXWHGGLUHFW
HYLGHQFHRIGLVFULPLQDWRU\DQLPXV´7KHGLVWULFWFRXUWIXUWKHU
1R 5RVVY&DPSEHOO6RXS&R
WKRXJK \RX DUH QR ORQJHU FRYHUHG DV DQ HPSOR\HH DV RI
\RXKDYHWKHRSWLRQWRFRQWLQXH\RXUEHQHILWVXQGHU
WKHSODQEH\RQGWKLVGDWH´3DWLQODWHUH[SODLQHGWKDWWKHOHWWHU
ZDVJHQHUDWHGE\FRPSXWHUHUURUDQGVDLGWKDWKHFRUUHFWHG
WKHVLWXDWLRQZLWKDSKRQHFDOO
5RVVIDLOHGWRPHHWKLVSUREDWLRQDU\JRDOE\DVLJQLILFDQW
GHJUHH VHOOLQJ RQO\ FDVHV RI IUR]HQ IRRG DQG WKXV
IDOOLQJIDUVKRUWRIERWKKLVSUREDWLRQDU\JRDORIFDVHV
DQGKLVSUHYLRXV\HDU¶VREMHFWLYHRIFDVHV$VDUHVXOW
KHUDQNHGILIWKRXWRIILYHHPSOR\HHVLQPRVWFDWHJRULHV7KH
UHFRUGDOVRFRQWDLQVVRPHHYLGHQFHWKDW5RVVIDOVHO\LQIODWHG
KLV DFWXDO SHUIRUPDQFH WRWDOV D IDFW WKDW ZDV OHDUQHG E\
&DPSEHOO HPSOR\HHV YLVLWLQJ VWRUHV LQ 5RVV¶V WHUULWRU\ WR
YHULI\KLVSHUIRUPDQFH
2Q2FWREHU5RVVZDVRIILFLDOO\WHUPLQDWHGIURP
HPSOR\PHQW DW &DPSEHOO 6RXS &R :KHQ DVNHG LI KH
FRQVLGHUHG KLPVHOI GLVDEOHG DW WKDW WLPH KH UHVSRQGHG ³,
FRQVLGHUHG P\VHOI KDYLQJ D SUREOHP´ )URP WKH UHFRUG
KRZHYHU LW DSSHDUV WKDW WKH RQO\ PHGLFDO GRFXPHQWDWLRQ
PDGHDYDLODEOHWRWKHFRPSDQ\GXULQJ5RVV¶VHPSOR\PHQW
ZDVWKHGLVDELOLW\IRUPIURP'U5DQGW
5RVV ILOHG VXLW LQ WKH GLVWULFW FRXUW FODLPLQJ GLVDELOLW\
GLVFULPLQDWLRQE\&DPSEHOO6RXS&RXQGHUWKH$PHULFDQV
ZLWK'LVDELOLWLHV$FW7KHGLVWULFWFRXUWJUDQWHGWKHGHIHQGDQW
VXPPDU\MXGJPHQWKROGLQJILUVWWKDW5RVVKDGQRWSURYHG
WKDW KH ³ZDV GLVDEOHG DW WKH WLPH RI KLV GLVFKDUJH´ 7KH
GLVWULFWFRXUWHPSKDVL]HGWKDW5RVVGLGQRWSURYLGHPHGLFDO
HYLGHQFH RI KLV FRQGLWLRQ XQWLO IRXU \HDUV DIWHU KLV
GLVFKDUJH7KHGLVWULFWFRXUWDOVRQRWHGWKDWHYHQWKHQWKH
GLDJQRVLQJSK\VLFLDQ'U1DVKGLGQRWVWDWHWKDW5RVVZDV
³VXEVWDQWLDOO\ OLPLWHG´ LQ PDMRU OLIH DFWLYLWLHV WKH OHJDO
VWDQGDUGDUWLFXODWHGE\WKH$'$7KHFRXUWFRQFOXGHGWKDW
5RVVZDVQRWVXEVWDQWLDOO\OLPLWHGLQHLWKHUZRUNLQJRUOLIWLQJ
WKH WZR PDMRU OLIH DFWLYLWLHV VWDWHG LQ 5RVV¶V FODLP DQG
HPSKDVL]HGWKHWHPSRUDU\QDWXUHRI5RVV¶VEDFNSDLQQRWLQJ
WKDWQXPHURXVFRXUWVKDYHIRXQGLQWHUPLWWHQWEDFNSDLQQRWWR
EHDGLVDELOLW\
-- 7 of 8 --
5RVVY&DPSEHOO6RXS&R 1R
7KHGLVWULFWFRXUWQH[WIRXQGWKDW5RVVQHLWKHUKDGDUHFRUG
RIDGLVDELOLW\QRUZDVUHJDUGHGDVGLVDEOHGE\KLVHPSOR\HU
5DWKHU WKH FRXUW IRXQG WKDW 5RVV ZDV ILUHG VSHFLILFDOO\
EHFDXVH &DPSEHOO 6RXS &R EHOLHYHG KH GLG QRW KDYH D
GLVDELOLW\ DQG ZDV PDOLQJHULQJ LQ KLV WLPH RII ZRUN 7KH
FRXUWIRXQGWKDW³WKHUHZDVQRWKLQJWRSXW5RVV¶VVXSHUYLVRUV
RQQRWLFHWKDWKHZDVGLVDEOHGPRUHRYHURUWRGLVDEXVHWKHP
RIWKHLUVXVSLFLRQWKDW5RVV¶VDEVHQFHVZHUHXQMXVWLILHGRUDW
OHDVWXQMXVWLILDEO\ORQJ´
)LQDOO\ WKH GLVWULFW FRXUW FRQFOXGHG WKDW 5RVV KDG QRW
SUHVHQWHGGLUHFWHYLGHQFHRIGLVDELOLW\GLVFULPLQDWLRQWKURXJK
LQWURGXFWLRQRIWKH³EDFNFDVH´PHPR5DWKHUWKHFRXUWKHOG
WKDWWKHPHPRZDVDQ³LVRODWHGUHIHUHQFHDPELJXRXV
DQGQRWIDFLDOO\GHURJDWRU\´7KHFRXUWDOVRQRWHGWKDWWKH
FRPPHQWZDVZULWWHQ³LQFRQQHFWLRQZLWKDGHWHUPLQDWLRQRI
ZKHWKHU5RVVVKRXOGUHFHLYHDERQXVQRWLQFRQQHFWLRQZLWK
WKH WHUPLQDWLRQ GHFLVLRQ´ DQG WKDW LW ZDV PDGH DIWHU WKH
GHFLVLRQWRSXW5RVVRQSUREDWLRQ³ZKLFKOHGWRKLVXOWLPDWH
WHUPLQDWLRQ´
,QGLFWDKRZHYHUWKHGLVWULFWFRXUWLQGLFDWHGWKDWDOWKRXJK
5RVVFRXOGQRWHVWDEOLVKDSULPDIDFLHFDVHRIGLVFULPLQDWLRQ
DQG WKH OLQH RI DUJXPHQW ZDV WKHUHIRUH LUUHOHYDQW ³>D@V WR
5RVV¶VDELOLW\WRVKRZKHZDVμRWKHUZLVHTXDOLILHG¶WRSHUIRUP
WKHMREDVVLJQHGWRKLPLWLVFOHDUWKDW&DPSEHOO6RXSZRXOG
QRW EH HQWLWOHG WR VXPPDU\ MXGJPHQW RQ WKDW LVVXH´ 7KH
FRXUWFRQWLQXHG
6LPLODUO\ WKHUH DUH TXHVWLRQV UHJDUGLQJ WKH WLPLQJ RI
5RVV¶VXQVDWLVIDFWRU\SHUIRUPDQFHUHYLHZVWKHQHHGIRU
SODFHPHQWRI5RVVRQSUREDWLRQDU\VWDWXVWKHLQFUHDVHLQ
KLVSHUIRUPDQFHVWDQGDUGVGXULQJWKDWWLPHSHULRGDQG
WKHQDWXUHRIWKHFULWLFLVPKHDSHGRQ5RVVZKLFKZKHQ
FRPELQHGZLWKWKHXQWLPHO\UHFHLSWRID&2%5$OHWWHU
DQGWKHFRQWHQWVRIWKHLQWHUQDOPHPRUDQGDGLVFXVVLQJ
5RVVZRXOGEHVXIILFLHQWWR FUHDWHDJHQXLQHLVVXHRI
PDWHULDOIDFWRQWKHTXHVWLRQRISUHWH[W
7KH GLVWULFW FRXUW FRQFOXGHG ³:KLOH RQ WKH UHFRUG
SUHVHQWHG LW DSSHDUV XQOLNHO\ LI QRW LPSRVVLEOH WKDW 5RVV
1R 5RVVY&DPSEHOO6RXS&R
ZRXOGDOVREHDEOHWRVKRZWKDWKLVSHUIRUPDQFHIDLOXUHVZHUH
D SUHWH[W IRU GLVFULPLQDWLRQ DV UHTXLUHG E\ +LFNV WKDW
TXHVWLRQ ± LH WKH HPSOR\HU¶V PRWLYH ± LV RQH UDUHO\
VXVFHSWLEOHWRUHVROXWLRQDWWKHVXPPDU\MXGJPHQWVWDJH´
',6&866,21
7KH $PHULFDQV ZLWK 'LVDELOLWLHV $FW SURYLGHV WKDW D
FRYHUHGHPSOR\HUPD\QRW³GLVFULPLQDWHDJDLQVWDTXDOLILHG
LQGLYLGXDOZLWKDGLVDELOLW\EHFDXVHRIWKHGLVDELOLW\RIVXFK
LQGLYLGXDOLQUHJDUGWRMREDSSOLFDWLRQSURFHGXUHVWKHKLULQJ
DGYDQFHPHQW RU GLVFKDUJH RI HPSOR\HHV HPSOR\HH
FRPSHQVDWLRQMREWUDLQLQJDQGRWKHUWHUPVFRQGLWLRQVDQG
SULYLOHJHVRIHPSOR\PHQW´86& D ,Q
WKLVFDVHZHDUHSHUVXDGHGWKDWWKHGLVWULFWFRXUWGLGQRWHUU
LQ FRQFOXGLQJ WKDW 5RVV IDLOHG WR HVWDEOLVK WKDW KH KDG D
GLVDELOLW\ ZLWKLQ WKH PHDQLQJ RI WKH $'$ +RZHYHU WKH
VWDWXWHJLYHVWKHSODLQWLIIWKUHHSRWHQWLDODYHQXHVWRIROORZLQ
SURYLQJKHLVGLVDEOHGZLWKLQWKHPHDQLQJRIWKH$FW+HPD\
VKRZWKDWKHKDVDGLVDELOLW\DVGHILQHGE\WKH$'$WKDWKH
KDVDUHFRUGRIKDYLQJVXFKDGLVDELOLW\RUWKDWKHLVUHJDUGHG
DVKDYLQJVXFKDGLVDELOLW\E\KLVHPSOR\HU6HH86&
,Q VR FRQVWUXFWLQJ WKH VWDWXWH WKH GUDIWHUV RI WKH $'$
FUHDWHGDYLVLRQRIPHPEHUVKLSLQDSURWHFWHGFODVVXQOLNHWKDW
HPERGLHGE\RWKHUFLYLOULJKWVOHJLVODWLRQVXFKDV7LWOH9,,RI
WKH&LYLO5LJKWV$FW86&H RUWKH$JH
'LVFULPLQDWLRQLQ(PSOR\PHQW$FWRI86&
8QGHUWKHWKLUGSURQJRIWKLVSRUWLRQRIWKHVWDWXWHDQ
LQGLYLGXDOPD\LQYRNHWKH$'$¶VSURWHFWLRQHYHQLIKHLVQRW
LQIDFWGLVDEOHG7KHEUHDGWKRIWKH$FW¶VSURWHFWLRQLVWKH
HPERGLPHQWRILWVGUDIWHUV¶ZLOOWRVWDPSRXWWKHVWHUHRW\SLQJ
RIDQGGLVFULPLQDWLRQDJDLQVWSHUVRQVZLWKGLVDELOLWLHVLQDOO
WKHLUIRUPVHYHQZKHQWKDWVWHUHRW\SLQJRUGLVFULPLQDWLRQLV
PLVSODFHG 7KXV LQ GHWHUPLQLQJ ZKR PD\ LQYRNH WKH
SURWHFWLRQ RI WKH $'$ ZH GR QRW DOZD\V ORRN WR WKH
LQGLYLGXDO FODLPLQJ GLVFULPLQDWLRQ ZKHQ WKDW LQGLYLGXDO
VHHNVWRSURFHHGXQGHUD³UHJDUGHGDV´WKHRU\ZHPXVWORRN
WRWKHVWDWHRIPLQGRIWKHHPSOR\HUDJDLQVWZKRPKHPDNHV
-- 8 of 8 --
Verbinden Sie Omnilex, um den Rechtskorpus über Ihren KI-Assistenten zu durchsuchen.