01a0011p.06

99-6089Court of Appeals for the Sixth Circuit10.01.2001

Gesamter Gesetzestext

7KH +RQRUDEOH 5REHUW + &OHODQG 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
81,7(' 67$7(6 2) $0(5,&$
3ODLQWLII$SSHOOHH
Y
521$/' +$55,6
'HIHQGDQW$SSHOODQW
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW-DFNVRQ
1R²-DPHV'7RGG'LVWULFW-XGJH
$UJXHG1RYHPEHU
'HFLGHGDQG)LOHG-DQXDU\
%HIRUH'$8*+75(<DQG0225(&LUFXLW-XGJHV
&/(/$1''LVWULFW-XGJH

-- 1 of 6 --

8QLWHG6WDWHVY+DUULV 1R
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('$SULO5)HUJXVRQ2)),&(2)7+()('(5$/
38%/,&'()(1'(5)257+(:(67(51',675,&72)
7(11(66((0HPSKLV7HQQHVVHHIRU$SSHOODQW5LFKDUG
/HLJK *ULQDOGV $66,67$17 81,7(' 67$7(6
$77251(< -DFNVRQ 7HQQHVVHH IRU $SSHOOHH
21 %5,() $SULO 5 )HUJXVRQ 2)),&( 2) 7+(
)('(5$/ 38%/,& '()(1'(5 )25 7+( :(67(51
',675,&7 2) 7(11(66(( 0HPSKLV 7HQQHVVHH IRU
$SSHOODQW5LFKDUG/HLJK*ULQDOGV$66,67$1781,7('
67$7(6$77251(<-DFNVRQ7HQQHVVHHIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
0$57+$ &5$,* '$8*+75(< &LUFXLW -XGJH
'HIHQGDQW5RQDOG+DUULVZDVFRQYLFWHGRIWKHPDQXIDFWXUH
DWWHPSW WR PDQXIDFWXUH DQG SRVVHVVLRQ ZLWK LQWHQW WR
GLVWULEXWH PRUH WKDQ JUDPV RI PHWKDPSKHWDPLQH LQ
YLRODWLRQRI86&†† D DQG$WVHQWHQFLQJ
+DUULV DUJXHG WKDW KH VKRXOG QRW UHFHLYH FULPLQDO KLVWRU\
SRLQWVIRUWZRSULRUFRQFXUUHQWVHQWHQFHVEHFDXVHWKHVWDWH
SDUROHGKLPDIWHUVHUYLQJRQO\GD\VRIWKHVHQWHQFHV,Q
DGGLWLRQ +DUULV PRYHG IRU D GRZQZDUG GHSDUWXUH LQ
UHFRJQLWLRQRIKLV³HDUQHVWHIIRUWV´WRDVVLVWWKHJRYHUQPHQW
ZLWKWKHLQYHVWLJDWLRQRIRWKHULQGLYLGXDOV7KHGLVWULFWFRXUW
RYHUUXOHG+DUULV¶VFULPLQDOKLVWRU\REMHFWLRQDQGGHQLHGWKH
PRWLRQIRUGRZQZDUGGHSDUWXUH:HILQGQRUHYHUVLEOHHUURU
LQFRQQHFWLRQZLWKWKHVHQWHQFLQJRUGHUDQGDIILUP
7R DVFHUWDLQ WKH DSSURSULDWH VHQWHQFH IRU D FRQYLFWHG
RIIHQGHUWKHVHQWHQFLQJFRXUWFRPPHQFHVE\GHWHUPLQLQJWKH
DSSURSULDWH EDVH RIIHQVH OHYHO DFFRUGLQJ WR DQ RIIHQGHU¶V
FULPHV DQG WKHQ DGMXVWV WKH RIIHQVH OHYHO IRU DQ\ VSHFLILF
FKDUDFWHULVWLFV 8QLWHG 6WDWHV 6HQWHQFLQJ *XLGHOLQHV
†% D H 7KHVHQWHQFLQJFRXUWQH[WH[DPLQHV

-- 2 of 6 --

8QLWHG6WDWHVY+DUULV 1R
,Q KLV EULHI WR WKLV FRXUW +DUULV DUJXHG WKDW WKH GLVWULFW FRXUW
DOWKRXJK VWDWLQJ WKDW LW KDG WKH DXWKRULW\ WR GHSDUW GRZQZDUG JHQHUDOO\
³GLG QRW UHFRJQL]H WKH GHIHQGDQW¶V HDUQHVW EXW IDLOHG DWWHPSWV DW
VXEVWDQWLDO FRRSHUDWLRQ DV RQH RI WKH SRVVLEOH JURXQGV ´ (PSKDVLV
DGGHG +DUULV¶V DUJXPHQW KRZHYHU LV FRQWUDGLFWHG E\ WKH UHFRUG $V ZH
SRLQW RXW DERYH WKH GLVWULFW FRXUW FRUUHFWO\ UHFRJQL]HG LWV GLVFUHWLRQ DQG
H[HUFLVHG LW
*XLGHOLQHV UDQJH DQG LV QRW XQDZDUH WKDW LW KDG
GLVFUHWLRQWRGHSDUWIURPWKH*XLGHOLQHVUDQJH
8QLWHG 6WDWHV Y -HQQLQJV )G WK &LU
DPHQGHGRQRWKHUJURXQGVE\)G WK&LU
7KH GLVWULFW FRXUW JDYH SURSHU FRQVLGHUDWLRQ WR
+DUULV¶V UHTXHVWV DQG GHWHUPLQHG WKDW WKH IDFWV GLG QRW
VXSSRUW D GRZQZDUG GHSDUWXUH 7KXV ZH DUH ZLWKRXW
DXWKRULW\ WR UHYLHZ WKH GLVWULFW FRXUW¶V UHIXVDO WR GHSDUW
GRZQZDUGRQWKHEDVLVRIPLWLJDWLQJFLUFXPVWDQFHV
)RUWKHUHDVRQVVHWRXWDERYHZH$)),50WKHMXGJPHQWRI
WKHGLVWULFWFRXUWLQDOOUHVSHFWV
1R 8QLWHG6WDWHVY+DUULV
WKH RIIHQGHU¶V SDVW FULPLQDO KLVWRU\ LI DQ\ DQG DVVLJQV D
VSHFLILF QXPEHU RI SRLQWV FRUUHVSRQGLQJ WR WKH SUHYLRXV
FULPLQDOFRQGXFW6HHLG†% I )LQDOO\WKHVHQWHQFLQJ
FRXUWUHO\LQJXSRQWKHFDOFXODWHGRIIHQVHOHYHODQGFULPLQDO
KLVWRU\SRLQWVXWLOL]HVDXQLIRUPVHQWHQFLQJWDEOHWRGHOLQHDWH
WKHDSSURSULDWHUDQJHRILQFDUFHUDWLRQIRUWKHRIIHQGHU6HH
LG † % J 7KH VHQWHQFLQJ FRXUW UHVRUWLQJ WR
HQXPHUDWHG RU XQVSHFLILHG IDFWRUV PD\ GHSDUW XSZDUG RU
GRZQZDUGIURPWKHVHQWHQFLQJUDQJH6HHLG†% K DQG
L
,Q UHIHUHQFH WR WKH RIIHQGHU¶V FULPLQDO KLVWRU\ SRLQWV
866*††$ D DQG E GLUHFWWKHVHQWHQFLQJFRXUWWR
DGG WKUHH SRLQWV IRU HDFK SULRU VHQWHQFH RI LPSULVRQPHQW
H[FHHGLQJRQH\HDUDQGRQHPRQWKDQGWZRSRLQWVIRUHDFK
³SULRU VHQWHQFH´ WRWDOLQJ GD\V WR PRQWKV ³3ULRU
VHQWHQFH´ LV GHILQHG DV ³DQ\ VHQWHQFH SUHYLRXVO\ LPSRVHG
XSRQ DGMXGLFDWLRQ RI JXLOW IRU FRQGXFW QRW SDUW RI WKH
LQVWDQWRIIHQVH´866*†$ D 6HFWLRQ$ F
LQVWUXFWVWKHVHQWHQFLQJFRXUWWRDGGRQO\RQHSRLQWIRUDSULRU
VHQWHQFHQRWFRXQWHGLQ††$ D DQG E
,Q WKLV FDVH WKH GLVWULFW FRXUW DVVLJQHG VHYHQ FULPLQDO
KLVWRU\ SRLQWV EDVHG XSRQ +DUULV¶V WKUHH SULRU FRQYLFWLRQV
:LWKUHVSHFWWRWZRRIWKHFRQYLFWLRQVZKLFKZHUHUHQGHUHG
IRUFULPHVWKDW+DUULVKDGFRPPLWWHGLQD7HQQHVVHH
VWDWH FRXUW KDG VHQWHQFHG +DUULV WR FRQFXUUHQW WKUHH\HDU
WHUPVRILPSULVRQPHQW5HO\LQJXSRQ†$ D WKHGLVWULFW
FRXUWDVVLJQHG+DUULVWKUHHSRLQWVIRUHDFKRIWKHWZR
FRQYLFWLRQV GHVSLWH WKH IDFW WKDW +DUULV KDG EHHQ
DGPLQLVWUDWLYHO\ SDUROHG E\ WKH 7HQQHVVHH 'HSDUWPHQW RI
&RUUHFWLRQV DIWHU RQO\ GD\V¶ LQFDUFHUDWLRQ 7KH
'HSDUWPHQW¶VHDUO\SDUROHUHSUHVHQWHGHIIRUWVE\WKH6WDWHRI
7HQQHVVHHWRFRQIRUPWRWKHGLFWDWHVRI*UXEEVY%UDGOH\
)6XSS 0'7HQQ DFDVHLQZKLFKWKH
IHGHUDO GLVWULFW FRXUW RUGHUHG WKH VWDWH WR FRUUHFW WKH
RYHUFURZGLQJZLWKLQ7HQQHVVHH¶VFRUUHFWLRQDOLQVWLWXWLRQV
+DUULVDUJXHVWKDWWKHGLVWULFWFRXUWHUUHGLQDVVLJQLQJKLP
VL[ SRLQWV IRU WKH VHQWHQFHV SDUWLFXODUO\ EHFDXVH WKH

-- 3 of 6 --

8QLWHG6WDWHVY+DUULV 1R
JXLGHOLQHV PDQGDWH WKDW ³>L@I SDUW RI D VHQWHQFH RI
LPSULVRQPHQW ZDV VXVSHQGHG μVHQWHQFH RI LPSULVRQPHQW¶
UHIHUVRQO\WRWKHSRUWLRQWKDWZDVQRWVXVSHQGHG´866*
†$ E 6LQFHWKH'HSDUWPHQWSDUROHG+DUULVDIWHUOHVV
WKDQWKUHHZHHNVLQSULVRQKHPDLQWDLQVWKDWKLVVHQWHQFHV
ZHUHμVXVSHQGHG¶DQGWKXVWKHGLVWULFWFRXUWVKRXOGKDYHRQO\
FRXQWHGWKHGD\VWKDWKHDFWXDOO\VHUYHGRQKLVFRQYLFWLRQV
%HFDXVHWKHJXLGHOLQHVSURYLGHWKDWDVHQWHQFHWRWDOLQJOHVV
WKDQPRQWKVLPSULVRQPHQWDQGLPSRVHGPRUHWKDQWHQ
\HDUVSULRUWRWKHGHIHQGDQW¶VFRPPHQFHPHQWRIWKHLQVWDQW
RIIHQVHLVQRWFRXQWHGIRUWKHSXUSRVHVRIFULPLQDOKLVWRU\
VHH LG † $ H DQG EHFDXVH WKH LQVWDQW RIIHQVHV ZHUH
FRPPLWWHG \HDUV DIWHU KLV DGPLQLVWUDWLYH SDUROH +DUULV
DUJXHVWKDWWKHGLVWULFWFRXUWVKRXOGKDYHGLVUHJDUGHGWKH
VHQWHQFHVDQGDVVLJQHGKLPRQO\RQHFULPLQDOKLVWRU\SRLQW
7KHGLVWULFWFRXUWGHFLGHGWKDW+DUULV¶VSDUROHGLGQRWKDYH
³WKHOHJDOHIIHFWRIDVXVSHQVLRQRIVHQWHQFH´DQGWKXVWKH
FRXUWRSWHGWRFRXQWWKHHQWLUHVHQWHQFLQJSHULRGDJDLQVWKLP
2QDSSHDOWKHJRYHUQPHQWGLUHFWVRXUDWWHQWLRQWR866*
† $ E ZKLFK SURYLGHV WKDW WKH WHUP μVHQWHQFH RI
LPSULVRQPHQW¶³UHIHUVWRWKHPD[LPXPVHQWHQFHLPSRVHG´
0RUHVXFFLQFWO\³>I@RUWKHSXUSRVHVRIDSSO\LQJ†$ D
WKH OHQJWK RI D VHQWHQFH RI LPSULVRQPHQW LV WKH VWDWHG
PD[LPXP HJLQWKHFDVHRIDQLQGHWHUPLQDWHVHQWHQFHRI
RQHWRILYH\HDUVWKHVWDWHGPD[LPXPLVILYH\HDUV ´6HH
LG † $ FPW ³7KDW LV FULPLQDO KLVWRU\ SRLQWV DUH
EDVHG RQ WKH VHQWHQFH SURQRXQFHG QRW WKH OHQJWK RI WLPH
DFWXDOO\VHUYHG´,G FLWLQJ866*††$ E DQG
7KHJRYHUQPHQWDVNVXVWRHQIRUFHWKHSODLQPHDQLQJRIWKHVH
SURYLVLRQV DQG KROG WKDW +DUULV¶V VHQWHQFHV RI
LPSULVRQPHQWIRUSXUSRVHVRIFULPLQDOKLVWRU\FDOFXODWLRQ
ZHUH WKUHH \HDUV HDFK QRW GD\V 7KH JRYHUQPHQW
KRZHYHUIDLOVWRDFNQRZOHGJHWKDWWKHJXLGHOLQHSURYLVLRQV
LW FLWHV ZKLFK GLUHFWV WKH VHQWHQFLQJ FRXUW WR ZHLJK WKH
³VWDWHGPD[LPXP´RIWKH³SURQRXQFHG´VHQWHQFHDSSHDUWR
FRQIOLFW ZLWK † $ E ZKLFK GLUHFWV WKH VHQWHQFLQJ
FRXUW WR FRXQW RQO\ WKH SRUWLRQ RI D VHQWHQFH WKDW ZDV QRW
³VXVSHQGHG´
1R 8QLWHG6WDWHVY+DUULV
+DUULV¶VUHOHDVHLQDVDFRUUHFWLRQDOSDUROHQRWDFRXUW
PDQGDWHGVXVSHQGHGVHQWHQFH:HWKHUHIRUHILQGQRHUURULQ
WKHGLVWULFWFRXUW¶VGHWHUPLQDWLRQWRLQFUHDVHWKHGHIHQGDQW¶V
EDVH RIIHQVH OHYHO E\ VL[ SRLQWV EDVHG RQ KLV SULRU VWDWH
FRQYLFWLRQV
1RUGRZHILQGWKDWWKHGLVWULFWFRXUWHUUHGLQUHIXVLQJWR
GHSDUWGRZQZDUGLQFDOFXODWLQJ+DUULV¶VVHQWHQFHSXUVXDQWWR
866* †† . DQG . 7R VXSSRUW KLV FDVH IRU D
GRZQZDUGGHSDUWXUH+DUULVFKDUDFWHUL]HVKLV³HDUQHVWHIIRUWV
WRFRRSHUDWHZLWKWKHDXWKRULWLHV´DVPLWLJDWLQJFLUFXPVWDQFHV
ZDUUDQWLQJ VXFK D GHSDUWXUH 6HFWLRQ . SHUPLWV D
VHQWHQFLQJFRXUWWRGHSDUWGRZQZDUGIURPDVHQWHQFLQJUDQJH
LI WKH JRYHUQPHQW VLJQLILHV E\ PRWLRQ WKDW WKH RIIHQGHU
UHQGHUHG VXEVWDQWLDO VHQWHQFH LQ WKH LQYHVWLJDWLRQ DQG
SURVHFXWLRQ RI RWKHU LQGLYLGXDOV ,Q WKH FDVH DW EDU WKH
GLVWULFWFRXUWQRWHGWKDWWKHJRYHUQPHQWGLGQRWPRWLRQIRU
GRZQZDUGGHSDUWXUHDQGWKHUHZDVQRWDQH[SUHVVDJUHHPHQW
EHWZHHQWKHJRYHUQPHQWDQG+DUULVWRILOHVXFKDPRWLRQ$V
D FRQVHTXHQFH WKH GLVWULFW FRXUW SURSHUO\ GHQLHG +DUULV¶V
UHTXHVWIRUDGRZQZDUGGHSDUWXUHSXUVXDQWWR†.
,QYRNLQJ 86& † E † . SURYLGHV WKDW D
VHQWHQFLQJFRXUW³PD\LPSRVHDVHQWHQFHRXWVLGHWKHUDQJH
HVWDEOLVKHG E\ WKH DSSOLFDEOH JXLGHOLQHV LI WKH FRXUW ILQGV
μWKDWWKHUHH[LVWVDQDJJUDYDWLQJRUPLWLJDWLQJFLUFXPVWDQFHRI
DNLQGRUWRDGHJUHHQRWDGHTXDWHO\WDNHQLQWRFRQVLGHUDWLRQ
E\WKH6HQWHQFLQJ&RPPLVVLRQLQIRUPXODWLQJWKHJXLGHOLQHV
WKDW VKRXOG UHVXOW LQ D VHQWHQFH GLIIHUHQW IURP WKDW
GHVFULEHG¶´$IWHUUHYLHZLQJWKHHYLGHQFHSUHVHQWHGDERYH
WKHGLVWULFWFRXUWFRQFOXGHGWKDW+DUULV¶VHIIRUWVGLGQRWMXVWLI\
DGRZQZDUGGHSDUWXUHXQGHU†.
$V SURYLGHG E\ FLUFXLW SUHFHGHQW WKH GLVWULFW FRXUW¶V
GHFLVLRQRQWKLVLVVXHLVQRWUHYLHZDEOH
$GLVWULFWFRXUW¶VIDLOXUHWRGHSDUWIURPWKH*XLGHOLQHV
UDQJH LV QRW FRJQL]DEOH RQ DSSHDO XQGHU 86&
† D ZKHQWKHGLVWULFWFRXUWSURSHUO\FRPSXWHVWKH
*XLGHOLQHVUDQJHLPSRVHVDVHQWHQFHWKDWLVQRWLOOHJDORU
GLG QRW UHVXOW IURP LQFRUUHFW DSSOLFDWLRQ RI WKH

-- 4 of 6 --

8QLWHG6WDWHVY+DUULV 1R
7KH UHVROXWLRQ RI WKH LVVXH XQGHU 7HQQHVVHH VWDWH ODZ
SDUDOOHOV WKH RXWFRPH XQGHU IHGHUDO ODZ $W RQH WLPH LQ
7HQQHVVHH ³>Z@KHQHYHU DQ\ SHUVRQ ZDV IRXQG JXLOW\ RI D
FULPHXSRQDYHUGLFWRUDSOHDRIJXLOW\DOOWULDOMXGJHVLQWKH
VWDWH KDYLQJ FULPLQDO MXULVGLFWLRQ >ZHUH@ DXWKRUL]HG DQG
HPSRZHUHGWRVXVSHQGWKHH[HFXWLRQRIVHQWHQFHDQGSODFH
WKH GHIHQGDQW RU GHIHQGDQWV RQ SUREDWLRQ VXEMHFW WR VXFK
FRQGLWLRQV DV WKH WULDO MXGJH GHHP>HG@ ILW DQG SURSHU´
7HQQ&RGH$QQ† UHSHDOHGE\7HQQ
3XE$FWV$VLQGLFDWHGLQWKHSUHYLRXVFLWDWLRQWKH
7HQQHVVHHOHJLVODWXUHVXEVHTXHQWO\UHYRNHGWKHDXWKRULW\RI
LWVFRXUWVWRVXVSHQGVHQWHQFHV6HH7HQQ&RGH$QQ††
² ,QVWHDG 7HQQHVVHH FRXUWV
FXUUHQWO\ ³KDYH DXWKRULW\ WR LPSRVH SUREDWLRQ DV SDUW RI
>WKHLU@ VHQWHQFLQJ GHWHUPLQDWLRQ DW WKH FRQFOXVLRQ RI WKH
VHQWHQFLQJKHDULQJ´7HQQ3XE$FWVFK FRGLILHG
DW 7HQQ &RGH $QQ † E $OWKRXJK WKLV
GHYHORSPHQWLQVWDWHODZPLUURUVWKHVWDWXWRU\HYROXWLRQLQ
IHGHUDOODZWKHDQDO\VLVGRHVQRWHQGKHUH
7HQQHVVHHODZJLYHVDXWKRULW\WRWKH7HQQHVVHH%RDUGRI
3DUROHVQRWWKH7HQQHVVHHFRXUWVWRSDUROHSULVRQHUV6HH
7HQQ &RGH $QQ † VHH DOVR 'R\OH Y
+DPSWRQ6:G 7HQQ JUDQWLQJRI
SDUROHLVDGLVFUHWLRQDU\PDWWHUYHVWHGH[FOXVLYHO\LQWKHERDUG
RISDUROHV 6WDWHH[UHO:DGHY1RUYHOO6:G
7HQQ&ULP$SS ³WKHFRXUWVKDYHQRMXULVGLFWLRQ
WRH[HUFLVHDXWKRULW\RUFRQWURORUFRPPDQGRUGRPLQLRQRYHU
WKHERDUGRISUREDWLRQDQGSDUROHV>QRZWKHERDUGRISDUROHV@
LQ WKH H[HUFLVH RI LWV VWDWXWRU\ GXWLHV ZLWK UHIHUHQFH WR WKH
SDUROHRISULVRQHUVDQGDOORZDQFHRUIRUIHLWXUHRIWLPHFUHGLWV
XSRQWKHLUVHQWHQFHV´ 7KHUHIRUH³>S@DUROHLVQRWKLQJ
PRUHWKDQDFRQGLWLRQDOVXVSHQVLRQRIVHQWHQFH>DQGWKH
VHQWHQFH RI WKH SULVRQHU@ GRHV QRW H[SLUH EHFDXVH RI WKH
SDUROH>@QRUGXULQJWKHSHQGHQF\RIWKHSDUROH>DQG@GXULQJ
WKLV WLPH >WKH SULVRQHU@ LV VWLOO LQ WKH FXVWRG\ RI WKH SHQDO
DXWKRULWLHV RI WKH 6WDWH DQG VXEMHFW WR WKH SURYLVLRQV XSRQ
ZKLFK>KHRUVKH@KDVEHHQSDUROHG´'R\OH6:GDW
FLWDWLRQVRPLWWHG %DVHGXSRQWKHGLVWLQFWLRQEHWZHHQ
SUREDWLRQDQGSDUROHLWLVFOHDUWKDW7HQQHVVHHVWDWHODZWUHDWV
1R 8QLWHG6WDWHVY+DUULV
7KH7KLUG&LUFXLWUHFRJQL]HGDVPXFKLQ8QLWHG6WDWHVY
7DEDND )G 7KHUH WKH GLVWULFW FRXUW
FRQYLFWHGWKHGHIHQGDQWIRUQDUFRWLFVGLVWULEXWLRQDQGILOLQJ
IDOVHWD[UHWXUQV:KHQFDOFXODWLQJWKHGHIHQGDQW¶VFULPLQDO
KLVWRU\ SRLQWV WKH GLVWULFW FRXUW SXUVXDQW WR † $ D
DVVLJQHGKLPWKUHHSRLQWVIRUDSULRULQGHWHUPLQDWHVWDWHFRXUW
VHQWHQFHRIKRXUVWRPRQWKV,WZDVUHYHDOHGKRZHYHU
WKDWDIWHUKRXUVRIWKHVHQWHQFHKDGHODSVHGWKHVWDWHFRXUW
VXVSHQGHGWKHGHIHQGDQW¶VVHQWHQFHDQGJUDQWHGKLPSDUROHRQ
WKHXQH[SLUHGSRUWLRQRIWKHPD[LPXPWHUPRILPSULVRQPHQW
,G DW %HFDXVH RI WKLV VXVSHQVLRQ WKH GHIHQGDQW
SXUVXDQW WR † $ E REMHFWHG WR WKH GLVWULFW FRXUW¶V
FDOFXODWLRQ RI KLV FULPLQDO KLVWRU\ SRLQWV DUJXLQJ WKDW KH
GHVHUYHGRQO\RQHFULPLQDOKLVWRU\SRLQWEHFDXVHWKHVHQWHQFH
KDGEHHQVXVSHQGHG7KH7KLUG&LUFXLWLQYRNLQJWKH³SODLQ
ZRUGLQJRIWKH*XLGHOLQHV´KHOGWKDW†$ E DSSOLHG
WRWKHGHIHQGDQW¶VFLUFXPVWDQFHVDQGDOORZHGWKHDGGLWLRQRI
RQO\ RQH SRLQW WR WKH FULPLQDO KLVWRU\ FDOFXODWLRQ EHFDXVH
PRVWRIWKHGHIHQGDQW¶VVHQWHQFHKDGEHHQVXVSHQGHG,GDW
$FNQRZOHGJLQJ DQ DSSDUHQW FRQIOLFW EHWZHHQ
†$ E DQG†$FPWWKH7KLUG&LUFXLWH[SODLQHG
WKDW³μ>Z@KHUHWKHUHLVDPELJXLW\LQDFULPLQDOVWDWXWHGRXEWV
DUH UHVROYHG LQ IDYRU RI GHIHQGDQW¶´ ,G TXRWLQJ 8QLWHG
6WDWHV Y 0REOH\ )G UG &LU
DOWHUDWLRQLQRULJLQDO
,Q WKH FDVH DW EDU KRZHYHU ZH QHHG QRW DGGUHVV WKH
DPELJXLW\LQWKHSURYLVLRQVEHFDXVH+DUULV¶VVHQWHQFHVZHUH
QRW ³VXVSHQGHG´ IRU SXUSRVHV RI † $ E 7KLV
FRQFOXVLRQVWHPVIURPWKHUHTXLVLWHLQWHUSUHWDWLRQRIWKHWHUP
³VXVSHQGHG´VHQWHQFHLQWKHJXLGHOLQHV
7KHFDVHRI8QLWHG6WDWHVY-RQHVVXSUDSURYLGHVUHOHYDQW
UXOHV DQG SULQFLSOHV IRU LQWHUSUHWLQJ JXLGHOLQH WHUPV LQ WKH
FRQWH[WRIWKLVFDVH)RUH[DPSOHUHO\LQJXSRQVWDWHODZWR
GHILQH WHUPV LQ WKH JXLGHOLQHV FRQVWLWXWHV D ³FOHDU
PLVDSSOLFDWLRQRIWKHODZ´-RQHV)GDW FLWLQJ
'LFNHUVRQ Y 1HZ %DQQHU ,QVW ,QF 86
8QLWHG6WDWHVY.LUE\)G WK&LU
DQG FRQWUDYHQHV ³RQH RI WKH YHU\ SXUSRVHV RI WKH

-- 5 of 6 --

8QLWHG6WDWHVY+DUULV 1R
7KHUH H[LVWV RQH RWKHU JXLGHOLQH SURYLVLRQ FRQWDLQLQJ WKH WHUP
³VXVSHQGHG´ ZLWK UHVSHFW WR VHQWHQFHV WKDW LV QRW XVHIXO IRU RXU SXUSRVHV
³$ FRQYLFWLRQ IRU ZKLFK WKH LPSRVLWLRQ RU H[HFXWLRQ RI VHQWHQFH ZDV
WRWDOO\ VXVSHQGHG RU VWD\HG VKDOO EH FRXQWHG DV D SULRU VHQWHQFH XQGHU
† $ F ´ 866* † $ D
VHQWHQFLQJ JXLGHOLQHVXQLIRUPLW\´ ,G )XUWKHUPRUH WKH
FRXUW PD\ UHO\ XSRQ RWKHU VHFWLRQV RI WKH JXLGHOLQHV IRU
LQWHUSUHWDWLRQ RI WKH UHOHYDQW WHUP ZLWK WKH FDYHDW WKDW
³μGHILQLWLRQV>RIWHUPVLQRWKHUVHFWLRQVRIWKHJXLGHOLQHV@DUH
QRW GHVLJQHG IRU JHQHUDO DSSOLFDELOLW\ WKHUHIRUH WKHLU
DSSOLFDELOLW\WRVHFWLRQVRWKHUWKDQWKRVHH[SUHVVO\UHIHUHQFHG
PXVWEHGHWHUPLQHGRQDFDVHE\FDVHEDVLV¶´,GDW
TXRWLQJ 866* † % FPW DOWHUDWLRQ LQ RULJLQDO
$SSO\LQJWKHVHSULQFLSOHVZHFRQFOXGHWKDWXVHRIWKHWHUP
³VXVSHQGHG VHQWHQFH´ LQ DQRWKHU JXLGHOLQH VHFWLRQ LV
DSSURSULDWHO\ LQYRNHG LQ WKH FRQWH[W RI WKLV FDVH
6LJQLILFDQWO\LWIXUWKHUDSSHDUVWKDWWKH6WDWHRI7HQQHVVHH¶V
WUHDWPHQWRIWKLVLVVXHZRXOGQRWSURGXFHDGLIIHUHQWUHVXOW
$V QRWHG LQ 866* FK SW $ D ³>W@KH VWDWXWRU\
DXWKRULW\WRμVXVSHQG¶WKHLPSRVLWLRQRUH[HFXWLRQRIVHQWHQFH
LQRUGHUWRLPSRVHDWHUPRISUREDWLRQZDVDEROLVKHGXSRQ
LPSOHPHQWDWLRQRIWKHVHQWHQFLQJJXLGHOLQHV´7KDWVWDWXWRU\
DXWKRULW\SHUPLWWHGWKHIROORZLQJSUDFWLFH
8SRQHQWHULQJDMXGJPHQWRIFRQYLFWLRQRIDQ\RIIHQVH
QRWSXQLVKDEOHE\GHDWKRUOLIHLPSULVRQPHQWDQ\FRXUW
KDYLQJ MXULVGLFWLRQ WR WU\ RIIHQVHV DJDLQVW WKH 8QLWHG
6WDWHVZKHQVDWLVILHGWKDWWKHHQGVRIMXVWLFHDQGWKHEHVW
LQWHUHVWRIWKHSXEOLFDVZHOODVWKHGHIHQGDQWVZLOOEH
VHUYHGWKHUHE\PD\VXVSHQGWKHLPSRVLWLRQRUH[HFXWLRQ
RIVHQWHQFHDQGSODFHWKHGHIHQGDQWRQSUREDWLRQIRUVXFK
SHULRGDQGXSRQVXFKWHUPVDQGFRQGLWLRQVDVWKHFRXUW
GHHPVEHVW
$FW RI -XQH FK 6WDW FRGLILHG DV
DPHQGHG DW 86& † UHSHDOHG E\ 6HQWHQFLQJ
5HIRUP$FW3XE/†† D D
1R 8QLWHG6WDWHVY+DUULV
:LWK SDVVDJH RI WKH 6HQWHQFLQJ 5HIRUP $FW &RQJUHVV DEROLVKHG WKH
SRZHU RI GLVWULFW FRXUWV WR VXVSHQG VHQWHQFHV RSWLQJ LQVWHDG WR DOORZ
VHQWHQFLQJ FRXUWV ZLWK H[FHSWLRQV WR ³VHQWHQFH´ D GHIHQGDQW WR SUREDWLRQ
UDWKHU WKDQ VXVSHQG D VHQWHQFH DQG ³SODFH´ KLP RU KHU RQ SUREDWLRQ 6HH
6HQWHQFLQJ 5HIRUP $FW 3XE / † D 6WDW
FRGLILHG DV DPHQGHG DW 86& † D
$FFRUG 'H]XUQ Y 0DWKQH\ &&$ 1R ,,, :/
DW 7HQQ&ULP$SS ³,W LV FRPPRQ NQRZOHGJH WKDW WKH
LQVWLWXWLRQV RSHUDWHG E\ WKH 7HQQHVVHH 'HSDUWPHQW RI &RUUHFWLRQ KDYH
EHHQ DQG DUH ILOOHG WR FDSDFLW\ 7KH QXPEHU RI SULVRQHUV ZKR PD\ EH
KRXVHG LQ WKHVH LQVWLWXWLRQV LV FRQWUROOHG E\ WKH 8QLWHG 6WDWHV 'LVWULFW
&RXUW IRU WKH 0LGGOH 'LVWULFW RI 7HQQHVVHH *UXEEV Y %UDGOH\
) 6XSS 0' 7HQQ 7KH /HJLVODWXUH FUHDWHG WKH VHQWHQFH
UHGXFWLRQ FUHGLWV >FRGLILHG DW 7HQQ &RGH $QQ † @ IRU
SULVRQHUV FRQILQHG WR D 'HSDUWPHQW RI &RUUHFWLRQ LQVWLWXWLRQ VR WKDW
LQPDWHV FRXOG EH UHOHDVHG DW DQ HDUOLHU GDWH WR PDNH URRP IRU RWKHUV ZKR
KDG EHHQ FRQYLFWHG RI D IHORQ\ DQG VHQWHQFHG WR WKH 'HSDUWPHQW RI
&RUUHFWLRQ 7KLV OHJLVODWLRQ ZDV HQDFWHG GXULQJ WKH )LUVW ([WUDRUGLQDU\
6HVVLRQ RI ZKLFK ZDV FDOOHG WR DGGUHVV SULVRQ RYHUFURZGLQJ´
6WDW &LWDWLRQ WR WKLV VWDWXWH LQ WKH
JXLGHOLQHV OHDGV XV WR FRQFOXGH WKDW LQ XVLQJ WKH WHUP
³VXVSHQGHG VHQWHQFH´ LQ WKH JXLGHOLQHV &RQJUHVV ZDV
UHIHUULQJWRWKHDXWKRULW\RIDFRXUWWRVXVSHQGDVHQWHQFHQRW
DJRYHUQPHQWDJHQF\&OHDUO\+DUULV¶VDGPLQLVWUDWLYHSDUROH
LQ ZDV RUGHUHG E\ WKH 7HQQHVVHH 'HSDUWPHQW RI
&RUUHFWLRQVUDWKHUWKDQWKHVWDWHFRXUWWKDWVHQWHQFHG+DUULVWR
WKH FRQFXUUHQW WKUHH\HDU WHUPV RI LPSULVRQPHQW +HQFH
+DUULV¶VVHQWHQFHVZHUHQRW³VXVSHQGHG´,QVWHDG KHZDV
VLPSO\ SDUROHG E\ WKH VWDWH WR UHOLHYH RYHUFURZGHG SULVRQ
FRQGLWLRQV ,Q DGGLWLRQ ZH ILQG QR PHULW WR +DUULV¶V
FRQWHQWLRQWKDWWKHVWDWH¶VSDUROHRFFXUUHGDWWKHEHKHVWRID
FRXUWEHFDXVHLWZDVLVVXHGSXUVXDQWWRWKH IHGHUDOGLVWULFW
FRXUW¶V*UXEEVRUGHUWKHGLVWULFWFRXUWGLGQRWRUGHUWKHVWDWH
WRVXVSHQG+DUULV¶V VHQWHQFHDQGUHOHDVHKLP5DWKHUWKH
GLVWULFWFRXUWRUGHUHGWKHVWDWHWRUHPHG\ZKDWLWIRXQGWREH
XQFRQVWLWXWLRQDOSULVRQFRQGLWLRQV7KHVWDWHHOHFWHGWRGRVR
E\ SDUROLQJ QRQYLROHQW RIIHQGHUV $ SDUROH LV QRW D
VXVSHQVLRQ RI VHQWHQFH DQG ZLWKRXW PRUH WKH 6WDWH RI
7HQQHVVHH¶V DFWLRQ GLG QRW FRQVWLWXWH D FRXUWRUGHUHG
³VXVSHQVLRQRIDVHQWHQFH´

-- 6 of 6 --

Setzen Sie Ihre Recherche in ChatGPT oder Claude fort

Verbinden Sie Omnilex, um den Rechtskorpus über Ihren KI-Assistenten zu durchsuchen.