00a0294p.06

99-1030Court of Appeals for the Sixth Circuit1 set 2000

Testo completo

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
WKH SRVLWLRQ DYRZHG E\ WKH DSSHOODQW>@ FXWRII GDWHV
HVWDEOLVKHGE\WKHGLVWULFWFRXUWLQWKHRUGHUO\DGPLQLVWUDWLRQ
RI WKH PDWWHUV EHIRUH LW ZRXOG EHFRPH PHDQLQJOHVV 5XOH
E PRWLRQVZRXOGKDYHWREHJUDQWHGZLWKRXWDQ\VKRZLQJ
RIH[FXVDEOHQHJOHFW´ )RUDOORIWKHUHDVRQVVWDWHGDERYH
ZH$)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW

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
*(25*( &$&(9,&DQ
LQGLYLGXDO'('$ &$&(9,&
DQLQGLYLGXDO&+(&.(56
%$5 *5,// ,1&GED
'HUE\¶V%DUD0LFKLJDQ
FRUSRUDWLRQ
3ODLQWLIIV$SSHOODQWV
Y
&,7< 2) +$=(/ 3$5.D
0XQLFLSDOFRUSRUDWLRQ
+$=(/ 3$5. 32/,&(
'(3$570(17 $/%(57
6$'2:LQGLYLGXDOO\DQGLQ
KLVRIILFLDOFDSDFLW\DV&KLHI
RI3ROLFHRIWKH&LW\RI+D]HO
3DUN-2+1 '2( 32/,&(
2)),&(56 )25 7+( &,7< 2)
+$=(/ 3$5.LQGLYLGXDOO\
DQGLQWKHLURIILFLDOFDSDFLWLHV
DV3ROLFH2IILFHUVIRUWKH&LW\
RI+D]HO3DUN
'HIHQGDQWV$SSHOOHHV
;!

1
1R

-- 1 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW
1R²9LFWRULD$5REHUWV'LVWULFW-XGJH
$UJXHG$XJXVW
'HFLGHGDQG)LOHG6HSWHPEHU
%HIRUH.(,7+&2/(DQG*,/0$1&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' +XJK 0 'DYLV -U &2167,787,21$/
/,7,*$7,21 $662&,$7(6 'HWURLW 0LFKLJDQ IRU
$SSHOODQWV7LPRWK\0XOOLJDQ2¶&21125'(*5$=,$
7$00 %ORRPILHOG +LOOV 0LFKLJDQ IRU $SSHOOHHV
21 %5,() 7KHRGRUH 6 $QGULV *OHQQ + 2OLYHU
6RXWKILHOG 0LFKLJDQ IRU $SSHOODQWV -XOLH 0F&DQQ
2¶&RQQRU2¶&21125'(*5$=,$ 7$00%ORRPILHOG
+LOOV0LFKLJDQIRU$SSHOOHHV
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
521$/'/((*,/0$1&LUFXLW-XGJH7KHRZQHUVRID
EDU EURXJKW VXLW XQGHU 86& † DOOHJLQJ WKDW
IUHTXHQW ³EDU FKHFNV´ E\ WKH ORFDO SROLFH FRQVWLWXWHG
KDUDVVPHQWWKDWGHSULYHGWKHRZQHUVRIWKHLUFRQVWLWXWLRQDO
ULJKWVXQGHUWKH)LUVW)RXUWKDQG)RXUWHHQWK$PHQGPHQWV
,QUHSO\LQJWRWKHGHIHQGDQWV¶PRWLRQIRUVXPPDU\MXGJPHQW
WKHRZQHUVILOHGDQRQVXEVWDQWLYHUHVSRQVHWKDWUHTXHVWHGWKH
GLVWULFWFRXUWWRGHQ\WKHPRWLRQIRUUHDVRQVWKDWWKH\DVVHUWHG
ZRXOGEHVHWIRUWKLQDVXEVHTXHQWILOLQJ$OWKRXJKLWGLGQRW
JUDQW WKH RZQHUV¶ UHTXHVW WKH GLVWULFW FRXUW SHUPLWWHG WKH
RZQHUVDGGLWLRQDOWLPHWRUHVSRQGWRWKHGHIHQGDQWV¶PRWLRQ
$WLPHO\UHVSRQVHKRZHYHUZDVQHYHUILOHG
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

WK&LU ³,QUHYLHZLQJVXPPDU\MXGJPHQW
ZH ORRN DW >WKH@ UHFRUG LQ WKH VDPH IDVKLRQ DV WKH GLVWULFW
FRXUW´ ,QVWHDG³>Z@HPXVWQRZVLPSO\GHWHUPLQHGHQRYR
ZKHWKHU>WKH@GHIHQGDQWVPHWWKHLULQLWLDO5XOHEXUGHQLH
ZKHWKHUWKHIDFWVDVSUHVHQWHGE\WKHGHIHQGDQWVUHTXLUHGD
GHWHUPLQDWLRQWKDWWKH\ZHUHHQWLWOHGWRMXGJPHQWDVDPDWWHU
RIODZ´*XDULQR)GDWVHHDOVRLGDW Q
OLVWLQJ³GR]HQV´RI6L[WK&LUFXLWGHFLVLRQVWKDWVWDQGIRUWKH
SURSRVLWLRQWKDW³DFRXUW¶VUHOLDQFHRQWKHIDFWVDGYDQFHGE\
WKH PRYDQW LV SURSHU DQG VXIILFLHQW´ ZKHQ D PRWLRQ IRU
VXPPDU\MXGJPHQWLVXQRSSRVHG
$IWHU FDUHIXOO\ UHYLHZLQJ WKH UHFRUG WKH EULHIV RI ERWK
SDUWLHVDQGWKHDSSOLFDEOHODZZHEHOLHYHWKDWWKHGHIHQGDQWV
PHWWKHLUEXUGHQVRWKDWWKHGLVWULFWFRXUW¶VJUDQWRIVXPPDU\
MXGJPHQWWRWKHGHIHQGDQWVZDVSURSHU6HHLGDW
QRWLQJWKDWDOWKRXJKDGLVWULFWFRXUWPXVWVDWLVI\LWVHOIWKDWWKH
PRYLQJSDUW\KDVPHWWKHGHPDQGVRI5XOHEHIRUHJUDQWLQJ
VXPPDU\ MXGJPHQW WKH FRXUW QHHG QRW FRPE WKURXJK WKH
UHFRUGWRDVFHUWDLQZKHWKHUDJHQXLQHLVVXHRIPDWHULDOIDFW
H[LVWV %HFDXVH WKH UHDVRQLQJ WKDW VXSSRUWV WKH JUDQW RI
VXPPDU\MXGJPHQWKDVEHHQFOHDUO\DUWLFXODWHGE\WKHGLVWULFW
FRXUWLQDWKRURXJKDQGFRPSUHKHQVLYHRSLQLRQZHEHOLHYH
WKDW IXUWKHU DQDO\VLV LQ WKLV RSLQLRQ ZRXOG VHUYH QR XVHIXO
SXUSRVH
,,,&21&/86,21
7KHGHFLVLRQLQWKLVFDVHFOHDUO\WXUQVRQWKHRXWFRPHRIWKH
5XOH E LVVXH$OWKRXJKLWPD\VHHPKDUVKWRWXUQDEOLQG
H\HWRWKH&DFHYLFV¶EHODWHGSURIIHURIHYLGHQFHWKDWLVWKH
SULFHWREHSDLGE\OLWLJDQWVZKRGRQRWFRPSO\ZLWKWKHUXOHV
DQG ZKR DUH QRW VHQVLWLYH WR WKH IDFW WKDW GLVWULFW FRXUWV
³UHDVRQDEO\H[SHFWQRWLILFDWLRQZKHQPRUHWLPHIRUGLVFRYHU\
LVQHHGHG´(YDQVY7HFKQRORJLHV$SSOLFDWLRQV 6HUY&R
)G WK&LU VHHDOVR/RZQGHVY*OREDO
0DULQH 'ULOOLQJ &R )G WK &LU
³:KLOHLWLVWUXHWKDW5XOH E PRWLRQVPXVWEHDSSOLHGLQ
DPDQQHUWRDFKLHYHVXEVWDQWLDOMXVWLFHLIZHZHUHWRDGRSW

-- 2 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
6DGRZ¶V ELIXUFDWHG GHSRVLWLRQ´ 7KLV FRQFHVVLRQ
QRWZLWKVWDQGLQJ³5XOHZDVQRWLQWHQGHGWRUHOLHYHFRXQVHO
RIWKHFRQVHTXHQFHVRIGHFLVLRQVGHOLEHUDWHO\PDGHDOWKRXJK
VXEVHTXHQWHYHQWVUHYHDOWKDWVXFKGHFLVLRQVZHUHXQZLVH´
)HGHUDO¶V,QFY(GPRQWRQ,QY&R)G WK
&LU VHHDOVR*XFFL$P,QFY*ROG&WU-HZHOU\
)G G&LU QRWLQJWKDWDILQGLQJRIEDG
IDLWKLVQRWDSUHUHTXLVLWHWRDFRQFOXVLRQWKDWDSDUW\¶VQHJOHFW
ZDVLQH[FXVDEOH FHUWGHQLHG+RPH%R\Y*XFFL$P
,QF86
% 7KH GLVWULFW FRXUW GLG QRW HUU ZKHQ LW JUDQWHG
VXPPDU\MXGJPHQWLQIDYRURIWKHGHIHQGDQWV
:HUHYLHZGHQRYRWKHGLVWULFWFRXUW¶VJUDQWRIVXPPDU\
MXGJPHQW6HH6PLWKY$PHULWHFK)G WK
&LU 6XPPDU\MXGJPHQWLVDSSURSULDWHZKHQWKHUHDUH
QRJHQXLQHLVVXHVRIPDWHULDOIDFWLQGLVSXWHDQGWKHPRYLQJ
SDUW\LVHQWLWOHGWRMXGJPHQWDVDPDWWHURIODZ6HH)(' 5
&,9 3 F ,QGHFLGLQJDPRWLRQIRUVXPPDU\MXGJPHQW
WKH FRXUW PXVW YLHZ WKH HYLGHQFH DQG GUDZ DOO UHDVRQDEOH
LQIHUHQFHVLQIDYRURIWKHQRQPRYLQJSDUW\6HH0DWVXVKLWD
(OHF,QGXV&RY=HQLWK5DGLR&RUS86
7KH MXGJH LV QRW ³WR ZHLJK WKH HYLGHQFH DQG
GHWHUPLQHWKHWUXWKRIWKHPDWWHUEXWWRGHWHUPLQHZKHWKHU
WKHUHLVDJHQXLQHLVVXHIRUWULDO´$QGHUVRQY/LEHUW\/REE\
,QF 86 $ JHQXLQH LVVXH IRU WULDO
H[LVWVZKHQWKHUHLVVXIILFLHQW³HYLGHQFHRQZKLFKWKHMXU\
FRXOGUHDVRQDEO\ILQGIRUWKHSODLQWLII´,GDW
$OWKRXJK WKH &DFHYLFV SURIIHUHG HYLGHQFH WKDW PLJKW RU
PLJKW QRW VKRZ D JHQXLQH LVVXH RI PDWHULDO IDFW DIWHU WKH
GLVWULFWFRXUWKDGJUDQWHGWKHGHIHQGDQWV¶PRWLRQIRUVXPPDU\
MXGJPHQW WKDW HYLGHQFH ZLOO QRW EH FRQVLGHUHG E\ XV RQ
UHYLHZ6HH*XDULQRY%URRNILHOG7RZQVKLS7UXVWHHV
)G WK&LU ³7KLV&RXUWZLOOQRWHQWHUWDLQ
RQDSSHDOIDFWXDOUHFLWDWLRQVQRWSUHVHQWHGWRWKHGLVWULFWFRXUW
DQ\PRUHUHDGLO\WKDQLWZLOOWROHUDWHDWWHPSWVWRHQODUJHWKH
UHFRUGLWVHOI´ (VWDWHRI0LOOVY7UL]HF3URSHUWLHV)G
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

$IWHUWKHGLVWULFWFRXUWJUDQWHGVXPPDU\MXGJPHQWLQIDYRU
RI WKH GHIHQGDQWV WKH RZQHUV ILOHG D PRWLRQ IRU UHOLHI
SXUVXDQW WR 5XOH E RI WKH )HGHUDO 5XOHV RI &LYLO
3URFHGXUH7KH\DVVHUWHGWKDWWKHLUIDLOXUHWRILOHDWLPHO\
UHVSRQVH WR WKH VXPPDU\ MXGJPHQW PRWLRQ ZDV GXH WR
PLVWDNH LQDGYHUWHQFH RU H[FXVDEOH QHJOHFW 7KH GLVWULFW
FRXUW GHQLHG UHOLHI )RU WKH UHDVRQV VHW IRUWK EHORZ ZH
$)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW
,%$&.*5281'
$ 7KH &DFHYLFV¶ FRPSODLQW DQG WKH WDNLQJ RI &KLHI
6DGRZ¶VGHSRVLWLRQ
*HRUJHDQG'HGD&DFHYLFDUHWKHRZQHUVRI&KHFNHUV%DU
*ULOO,QFGRLQJEXVLQHVVDV'HUE\¶V%DULQ+D]HO3DUN
0LFKLJDQ 2Q 0D\ WKH &DFHYLFV DQG &KHFNHUV
FROOHFWLYHO\ WKH &DFHYLFV EURXJKW VXLW XQGHU 86&
†DJDLQVWWKH&LW\RI+D]HO3DUNWKH+D]HO3DUN3ROLFH
'HSDUWPHQW+D]HO3DUN&KLHIRI3ROLFH$OEHUW6DGRZDQG
RWKHU XQLGHQWLILHG +D]HO 3DUN SROLFH RIILFHUV ,Q WKHLU
FRPSODLQW WKH &DFHYLFV DOOHJH D SDWWHUQ RI KDUDVVPHQW E\
&KLHI6DGRZDQGKLVRIILFHUV6SHFLILFDOO\WKH\FRQWHQGWKDW
WKH+D]HO3DUNSROLFHSHUIRUPHGDQ³LQRUGLQDWH´DPRXQWRI
EDU FKHFNV ZKLFK WKH &DFHYLFV DVVHUW ZHUH LQWHQGHG WR
³LQWLPLGDWHDQGKDUDVVERWKWKHSDWURQVDQGWKHRZQHUV´RI
'HUE\¶V%DU7KH&DFHYLFVDOVRPDLQWDLQWKDW&KLHI6DGRZ
XQGXO\ GHOD\HG WKH UHQHZDO RI WKHLU EXVLQHVV OLFHQVH ,Q
DGGLWLRQWRWKH†FODLPVWKH&DFHYLFVDOOHJHGYLRODWLRQV
RI WKH 0LFKLJDQ &RQVWLWXWLRQ 7KH GHIHQGDQWV GHQLHG
HQJDJLQJ LQ DQ\ DFWV RI LQWLPLGDWLRQ RU KDUDVVPHQW DQG
DVVHUWHG WKDW WKHLU DFWLRQV ZHUH MXVWLILHG EHFDXVH RI DQ
LQFUHDVHG OHYHO RI FULPLQDO DFWLYLW\ RFFXUULQJ LQ RU DURXQG
'HUE\¶V%DU
2Q -XQH WKH GLVWULFW FRXUW LVVXHG D URXWLQH
VFKHGXOLQJRUGHUZKLFKSURYLGHGWKDWDOOGLVFRYHU\ZDVWREH
FRPSOHWHG E\ 2FWREHU 7KH &DFHYLFV RULJLQDOO\
VFKHGXOHG&KLHI6DGRZ¶VGHSRVLWLRQIRU-XQHEXW

-- 3 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
ZHUHLQIRUPHGE\GHIHQVHFRXQVHOWKDWKHZDVRXWRIVWDWH
XQWLO ODWH $XJXVW RI WKDW \HDU 7KH\ WKHQ UHVFKHGXOHG KLV
GHSRVLWLRQ ILUVW IRU 6HSWHPEHU DQG ODWHU IRU
6HSWHPEHU%RWKGDWHVZHUHVXEVHTXHQWO\FDQFHOOHG
E\WKH&DFHYLFV&KLHI6DGRZ¶VGHSRVLWLRQZDVILQDOO\WDNHQ
LQ SDUW RQ 2FWREHU DQG FRPSOHWHG RQ 2FWREHU

% 0RWLRQIRUVXPPDU\MXGJPHQW
,Q WKH PHDQWLPH WKH GHIHQGDQWV PRYHG IRU VXPPDU\
MXGJPHQWRQ6HSWHPEHUDUJXLQJWKDWWKHEDUFKHFNV
WR ZKLFK WKH &DFHYLFV REMHFWHG ZHUH XQGHUWDNHQ EHFDXVH
'HUE\¶V%DU³KD>G@EHHQWKHVRXUFHRIFRPSODLQWVRIURZG\
DQG PDOLFLRXV EHKDYLRU´ DQG QRW ³LQ UHWDOLDWLRQ IRU WKH
H[HUFLVHRIDQ\FRQVWLWXWLRQDOULJKW´2Q6HSWHPEHU
WKH&DFHYLFVILOHGZKDWWKH\GHVFULEHGDVD³SUHOLPLQDU\QRQ
VXEVWDQWLYHUHVSRQVH´WRWKHGHIHQGDQWV¶VXPPDU\MXGJPHQW
PRWLRQ ,QWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH(DVWHUQ
'LVWULFWRI0LFKLJDQ³>D@UHVSRQVHWRDGLVSRVLWLYHPRWLRQ
PXVWEHILOHGZLWKLQGD\VDIWHUVHUYLFHRIWKDWPRWLRQ´
(' 0,&+ /5 G % 7KH WKUHHSDJH ILOLQJ
KRZHYHU PDLQO\ FRQVLVWHG RI YDULRXV GHQLDOV RI WKH
DOOHJDWLRQVDQGDUJXPHQWVPDGHLQWKHGHIHQGDQWV¶EULHI,W
DOVRLQFOXGHGWKHIROORZLQJVWDWHPHQWV
>7KH&DFHYLFV@IXUWKHUVWDWHWKDWLIJLYHQWKHRSSRUWXQLW\
WRFRQGXFWGLVFRYHU\DQGIDFWXDOGHYHORSPHQWWKH\ZLOO
HDVLO\VDWLVI\WKHUHTXLUHPHQWVIRUDFDXVHRIDFWLRQIRUD
YLRODWLRQRIWKH0LFKLJDQ&RQVWLWXWLRQ
:+(5()25(DQGIRUWKHUHDVRQVWREHVHWIRUWKLQ>WKH
&DFHYLFV@¶%ULHILQ2SSRVLWLRQWR0RWLRQIRU6XPPDU\
-XGJPHQW WR EH ILOHG DW D IXWXUH GDWH >WKH &DFHYLFV@
UHVSHFWIXOO\ UHTXHVW WKDW WKLV +RQRUDEOH &RXUW GHQ\
'HIHQGDQWV >VLF@ 0RWLRQ IRU 6XPPDU\ -XGJPHQW DQG
DZDUG>WKH&DFHYLFV@WKHLUDWWRUQH\VIHHVVRZURQJIXOO\
VXVWDLQHGLQGHIHQVHRIWKLV0RWLRQ
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

7KLVFRXUW¶VGHFLVLRQLQ.HQGDOOY+RRYHU&R)G
WK&LU DFDVHFLWHGE\QHLWKHUSDUW\DGGUHVVHVD
VLPLODUIDFWVLWXDWLRQ,Q.HQGDOOWKHSODLQWLIILQLWLDWHGDFLYLO
ULJKWVVXLWDJDLQVWKLVHPSOR\HU7KHSODLQWLIIIDLOHGWRVXEPLW
DUHVSRQVHWRWKHHPSOR\HU¶VPRWLRQIRUVXPPDU\MXGJPHQW
DQGWKHGLVWULFWFRXUWJUDQWHGWKHPRWLRQ6HHLGDW+H
DUJXHGRQDSSHDODPRQJRWKHUWKLQJVWKDWWKHGLVWULFWFRXUW
VKRXOGKDYHJUDQWHGKLV5XOH E PRWLRQEDVHGLQSDUWRQ
³UHDVRQDEOH DVVXPSWLRQV WKDW VKRXOG KDYH EHHQ PDGH E\
RSSRVLQJFRXQVHODQGWKHWULDOFRXUWZLWKUHVSHFWWRSODLQWLII¶V
QHHGIRUDGGLWLRQDOWLPHWRJDWKHUHFRQRPLFGDWDZLWKZKLFK
WRUHVSRQGWRWKHVXPPDU\MXGJPHQWPRWLRQ´,GDW
,QUHMHFWLQJWKHSODLQWLII¶VDUJXPHQWWKH.HQGDOOFRXUWILUVW
QRWHGWKDW³LILQGHHGWKHUHZDVDQHHGIRUDGGLWLRQDOWLPHWR
FRPSLOHFHUWDLQHFRQRPLFGDWDDSURFHGXUHIRUVHFXULQJWKH
DSSURSULDWH UHOLHI H[LVWHG XQGHU )HGHUDO 5XOH RI &LYLO
3URFHGXUH I ´DQGWKHQREVHUYHGWKDW.HQGDOO³GLGQRW
HYHQDWWHPSWWRXWLOL]H5XOH I ´,G,WWKHQDJUHHGZLWK
WKHIROORZLQJFRQFOXVLRQRIWKHGLVWULFWFRXUW³7KHFRXUWLV
QRWSHUVXDGHGWKDWWKHUHKDVEHHQDQ\H[FXVDEOHQHJOHFW>@RU
PLVWDNHGHPRQVWUDWHG7KHIDLOXUHWRUHVSRQGWRDPRWLRQIRU
VXPPDU\MXGJPHQWRUWRUHTXHVWDQH[WHQVLRQRIWLPHWRILOH
D UHVSRQVH WKHUHWR LV LQH[FXVDEOH QHJOHFW´ ,G HPSKDVLV
DGGHG FLWLQJFDVHVIURPRWKHUFLUFXLWV )XUWKHUPRUHWKH
QHJOHFWRIWKHSURFHGXUDOUXOHVDQGQHHGWRLQIRUPWKHFRXUWRI
DQ\ UHTXHVWHG H[WHQVLRQV LV QRW PDGH H[FXVDEOH VLPSO\
EHFDXVHRIDQLQIRUPDODJUHHPHQWEHWZHHQWKHSDUWLHV7KH
&DFHYLFVNQHZWKDWWKHGLVWULFWFRXUWZDVDNH\SOD\HU LIQRW
WKHNH\SOD\HU LQWKHVXPPDU\MXGJPHQWSURFHVV\HWWKH\
NHSWWKHFRXUWFRPSOHWHO\³LQWKHGDUN´XQWLO ZHOOSDVWWKH
ILOLQJ GHDGOLQH :H WKXV ILQG .HQGDOO FRQWUROOLQJ DQG
FRQFOXGHWKDWWKHGLVWULFWFRXUWGLGQRWDEXVHLWVGLVFUHWLRQ
ZKHQLWGHQLHGWKH&DFHYLFV¶PRWLRQIRUUHOLHI
2Q D ILQDO QRWH WKH &DFHYLFV DFNQRZOHGJH WKDW DW D
PLQLPXPWKH\³VKRXOGKDYHIRUPDOO\QRWLILHGWKH'LVWULFW
&RXUWRIWKHLULQWHQWWRUHVSRQGWR'HIHQGDQWV¶0RWLRQZLWKLQ
GD\VRIUHFHLYLQJWKHWUDQVFULSWRIWKHVHFRQGKDOIRI&KLHI

-- 4 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
7KHGHQLDORID5XOH E PRWLRQLVUHYLHZHGXQGHUWKH
DEXVHRIGLVFUHWLRQVWDQGDUG6HH8QLWHG6WDWHVY8QLYHUVDO
0DQDJHPHQW6HUYV,QF)G WK&LU
FHUWGHQLHG866&W :HZLOO
ILQGDQDEXVHRIGLVFUHWLRQRQO\ZKHQWKHUHLV³DGHILQLWHDQG
ILUPFRQYLFWLRQWKDWWKHWULDOFRXUWFRPPLWWHGDFOHDUHUURURI
MXGJPHQW´/RJDQY'D\WRQ+XGVRQ&RUS)G
WK&LU $OWKRXJKWKH&DFHYLFVDOVRFKDOOHQJH
WKHGLVWULFWFRXUW¶VJUDQWRIVXPPDU\MXGJPHQWLQIDYRURIWKH
GHIHQGDQWVDUHYLHZRIWKHPHULWVRIWKDWGHFLVLRQLVQRWWREH
FRQVLGHUHGIRUWKHSXUSRVHVRIHYDOXDWLQJWKHSURSULHW\RIWKH
5XOH E GHQLDO$VZDVZHOOVWDWHGLQ)HDWKHUVY&KHYURQ
86$,QF)G WK&LU
,QUHYLHZLQJDQRUGHUGHQ\LQJ5XOH E UHOLHIZHKDYH
QRRFFDVLRQWRUHYLHZWKHXQGHUO\LQJMXGJPHQW²KHUH
WKHGLVPLVVDORI)HDWKHUV VFRPSODLQW,QVWHDGZHPHUHO\
LQTXLUHDVWRZKHWKHURQHRIWKHVSHFLILHGFLUFXPVWDQFHV
H[LVWVLQZKLFK)HDWKHUVLVHQWLWOHGWRUHRSHQWKHPHULWV
RIKLVXQGHUO\LQJFODLPV
,GDW FLWDWLRQRPLWWHG
+DYLQJFRQFOXGHGWKDWWKH&DFHYLFVIDLOHGWRFRPSO\ZLWK
5XOH I ZHQRZIRFXVRQZKHWKHUWKHGLVWULFWFRXUWHUUHG
E\ QRW JUDQWLQJ SXUVXDQW WR 5XOH E UHOLHI IURP WKH
SUDFWLFDOHIIHFWRIWKDWQRQFRPSOLDQFH7KH&DFHYLFVDUJXH
WKDW WKHLU IDLOXUH WR ILOH D VXEVWDQWLYH UHVSRQVH WR WKH
GHIHQGDQWV¶VXPPDU\MXGJPHQWPRWLRQZDV³GXHWRPLVWDNH
DQGRUH[FXVDEOHQHJOHFW´EDVHGRQWKHLUDOOHJHGGLIILFXOW\LQ
WDNLQJWKHGHSRVLWLRQRI&KLHI6DGRZ%XWWKHIRUFHRIWKLV
DUJXPHQWLVVXEVWDQWLDOO\ZHDNHQHGE\WKHIDFWWKDW WKH
GHSRVLWLRQZDVSRVWSRQHGRQDWOHDVWWZRRFFDVLRQVE\WKH
&DFHYLFVDQG HYHQDIWHUWKHGHSRVLWLRQZDVFRPSOHWHG
WKH&DFHYLFVIDLOHGWRHLWKHUDWWDFKWKHGHSRVLWLRQWRWKHLU5XOH
E PRWLRQ RU TXRWH VR PXFK DV RQH OLQH IURP WKH
WUDQVFULSW7KHVLJQLILFDQFHRI&KLHI6DGRZ¶VGHSRVLWLRQLV
WKHUHIRUHYHU\PXFKLQGRXEW
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

7KH GLVWULFW FRXUW GHFOLQHG WKH &DFHYLFV¶ UHTXHVW IRU DQ
LPPHGLDWH GHQLDO RI WKH GHIHQGDQWV¶ VXPPDU\ MXGJPHQW
PRWLRQDQGGHQLHGDQDZDUGRIDWWRUQH\V¶IHHV,QVWHDGLW
H[WHQGHG WKH GHDGOLQH IRU ILOLQJ D UHVSRQVLYH EULHI WR
2FWREHU DQG UHVFKHGXOHG WKH PRWLRQ KHDULQJ IRU
1RYHPEHU7KH&DFHYLFVKRZHYHUGLGQRWPHHW
WKH2FWREHUGHDGOLQH+DYLQJUHFHLYHGQRUHVSRQVH
IURP WKH &DFHYLFV HYHQ WZR ZHHNV ODWHU WKH GLVWULFW FRXUW
FDQFHOOHGWKHLPSHQGLQJKHDULQJRQ1RYHPEHUDQG
JUDQWHGWKHGHIHQGDQWV¶PRWLRQWKHIROORZLQJGD\
,QLWV1RYHPEHUPHPRUDQGXPRSLQLRQWKHGLVWULFW
FRXUW ILUVW QRWHG WKDW WKH &DFHYLFV ³KDYH QRW UHVSRQGHG WR
'HIHQGDQWV¶ 0RWLRQ GHVSLWH WKLV &RXUW¶V 2UGHU H[WHQGLQJ
WKHLUUHVSRQVHWLPHWR2FWREHU´7KHQFLWLQJ&DUYHU
Y%XQFK)G WK&LU H[SODLQLQJWKDW
ZKHQDQRQPRYDQWIDLOVWRUHVSRQGWRDPRWLRQIRUVXPPDU\
MXGJPHQWWKHGLVWULFWFRXUWPXVWVWLOO³H[DPLQHWKHPRYDQW¶V
PRWLRQWRHQVXUHWKDWKHKDVGLVFKDUJHG>KLV@EXUGHQ´ LW
SURFHHGHGWRHYDOXDWHWKHPHULWVRIWKH&DFHYLFV¶FODLPVDQG
WKHGHIHQGDQWV¶DUJXPHQWVLQUHVSRQVH
)LUVW WKH GLVWULFW FRXUW UHMHFWHG WKH &DFHYLFV¶ )LUVW
$PHQGPHQWFODLPUHDVRQLQJWKDWWKH\³KDYHQRWSURGXFHG
HYLGHQFHRIDQ\FRQQHFWLRQ²PXFKOHVVUHWDOLDWLRQ²EHWZHHQ
WKH H[HUFLVH RI WKHLU DOOHJHGO\ SURWHFWHG )LUVW $PHQGPHQW
VSHHFKDQG'HIHQGDQWV¶DFWLRQV´6HFRQGLWUXOHGWKDWWKH
&DFHYLFV¶)RXUWK$PHQGPHQWFDXVHRIDFWLRQZDVZLWKRXW
PHULWEHFDXVH³'HUE\¶V%DULVDFRPPHUFLDOSURSHUW\KHOG
RSHQWRWKHSXEOLFZLWKOLWWOHH[SHFWDWLRQRISULYDF\´DQG
EHFDXVH WKH &DFHYLFV ³IDLOHG WR SURGXFH HYLGHQFH RI DQ\
DFWXDOVHDUFKHVRUVHL]XUHVLQVWHDGUHO\LQJRQWKHLUFODLPRI
μXQMXVWLILHGSUHVHQFH¶´7KLUGWKHGLVWULFWFRXUWUHMHFWHGERWK
WKH&DFHYLFV¶SURFHGXUDODQGVXEVWDQWLYHGXHSURFHVVFODLPV
XQGHUWKH)RXUWHHQWK$PHQGPHQWKROGLQJWKDWWKH\FRXOGQRW
GHPRQVWUDWHDSURWHFWHGSURSHUW\LQWHUHVWFRXOGQRWVKRZD
GHSULYDWLRQRIDQ\OLEHUW\LQWHUHVWDQGWKDWWKHLUFODLPVFRXOG
QRW ILW ZLWKLQ HLWKHU RI WKH WZR W\SHV RI VXEVWDQWLYH GXH
SURFHVV FODLPV DYDLODEOH XQGHU 6L[WK &LUFXLW SUHFHGHQW

-- 5 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
)RXUWK LW UXOHG WKDW WKHLU )RXUWHHQWK $PHQGPHQW HTXDO
SURWHFWLRQFDXVHRIDFWLRQIDLOVLQSDUWEHFDXVHWKH\³KDYHQRW
VKRZQ WKDW WKH\ EHORQJ WR DQ\ FODVV UHFHLYLQJ KHLJKWHQHG
SURWHFWLRQ QRU FDQ WKH\ GHPRQVWUDWH D YLRODWLRQ RI D
IXQGDPHQWDOULJKW´)LQDOO\WKHGLVWULFWFRXUWFRQFOXGHGWKDW
IRUWKHUHDVRQVVHWIRUWKLQGLVFXVVLQJWKH&DFHYLFV¶IHGHUDO
FODLPV WKHLU 0LFKLJDQ &RQVWLWXWLRQ FDXVHV RI DFWLRQ ZHUH
OLNHZLVHZLWKRXWPHULW
& 0RWLRQIRUUHOLHI
2Q1RYHPEHUWKH&DFHYLFVVXEPLWWHGDPRWLRQ
IRUUHOLHISXUVXDQWWR5XOH E RIWKH)HGHUDO5XOHVRI
&LYLO 3URFHGXUH FRQWHQGLQJ WKDW WKHLU IDLOXUH WR PHHW WKH
2FWREHU ILOLQJ GHDGOLQH UHVXOWHG IURP PLVWDNH
LQDGYHUWHQFHRUH[FXVDEOHQHJOHFW6SHFLILFDOO\WKH&DFHYLFV
VWDWHG WKDW WKH GHIHQGDQWV ³YHUEDOO\ DJUHHG´ WR SHUPLW WKH
ILOLQJRIWKHVXPPDU\MXGJPHQWUHVSRQVHDIWHU2FWREHU
RQFHWKHGHSRVLWLRQRI&KLHI6DGRZZDVFRPSOHWHG
7KH\ DOVR DVVHUWHG WKDW RQ VHYHUDO RFFDVLRQV WKH\
XQVXFFHVVIXOO\DWWHPSWHGWRUHDFKWKH'HSXW\&OHUN³IRUWKH
SXUSRVHRIREWDLQLQJDQ>DGGLWLRQDO@H[WHQVLRQRIWKHUHVSRQVH
WLPHEH\RQG2FWREHU´7KH&DFHYLFVDWWDFKHGWR
WKHLU PRWLRQ YDULRXV H[KLELWV LQFOXGLQJ VHOHFWHG KLVWRULFDO
UHFRUGVLQGLFDWLQJWKHIUHTXHQF\DQGQDWXUHRIWKH+D]HO3DUN
3ROLFH'HSDUWPHQW¶VEDUFKHFNV
,QWKHGHIHQGDQWV¶UHVSRQVHWRWKHPRWLRQIRUUHOLHIWKH\
DUJXHG WKDW WKH &DFHYLFV ³VLPSO\ IDLOHG WR VXEPLW D
VXEVWDQWLYHUHVSRQVHWR'HIHQGDQWV¶PRWLRQDQGWKH&RXUW
FRQVLGHUHGWKHPRWLRQDVLWLVHQWLWOHGWRGRRQWKHPHULWV
ZLWKRXWDKHDULQJDIWHUKDYLQJZDLWHGQXPHURXVZHHNVIRU
>WKH&DFHYLFV@WRILOHDUHVSRQVH´$OWKRXJKWKHGHIHQGDQWV
DFNQRZOHGJHG WKDW WKH\ YHUEDOO\ DJUHHG WR DQ H[WHQVLRQ
EH\RQG 2FWREHU WKHLU UHVSRQVH QRWHG WKDW WKH
&DFHYLFVQHYHUIRUPDOL]HGWKHUHTXHVWHGH[WHQVLRQZLWKHLWKHU
WKHGLVWULFWFRXUWRUGHIHQVHFRXQVHO
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

$OWKRXJK WKH GLVWULFW FRXUW ZDV QRW UHTXLUHG WR GR VR LW
SRVWSRQHGWKH&DFHYLFV¶UHVSRQVHGHDGOLQHXQWLO2FWREHU
1HYHUWKHOHVVHYHQZLWKWKLVH[WHQVLRQWKH&DFHYLFV
IDLOHG WR FRPSOHWH WKH GHSRVLWLRQ RI &KLHI 6DGRZ XQWLO
2FWREHU :LWK WKH QHZ GHDGOLQH ORRPLQJ WKH
&DFHYLFV DV VWDWHG LQ WKHLU PRWLRQ IRU UHOLHI VRXJKW DQG
UHFHLYHGSHUPLVVLRQIURPWKHGHIHQGDQWVWRILOHDIWHU2FWREHU
EXWZHUHXQVXFFHVVIXOLQWKHLUHIIRUWVWRUHDFKWKH
'HSXW\&OHUNIRUWKHSXUSRVHRIREWDLQLQJPRUHWLPH7KH
SURSHUPHWKRGIRUUHTXHVWLQJVXFKDQH[WHQVLRQKRZHYHULV
DVGLVFXVVHGDERYHD5XOH I ILOLQJ6HH'RXJODV2LO&R
RI&DOY3HWURO6WRSV1RUWKZHVW86Q
³$QRUDOUHTXHVWPDGHRYHUWKHWHOHSKRQHWRDEXV\
'LVWULFW-XGJHFDQQRWEHFRQVLGHUHGZLWKWKHVDPHFDUHDQG
XQGHUVWDQGLQJWKDWIRUPDOPRWLRQVSURSHUO\UHFHLYH´ 7KXV
WKH&DFHYLFVDJDLQIDLOHGWRFRPSO\ZLWK5XOH I
5XOH E ²³5HOLHIIURPMXGJPHQWRURUGHU´IRU
³PLVWDNH LQDGYHUWHQFH VXUSULVH RU H[FXVDEOH
QHJOHFW´
5XOH E SURYLGHVWKDW³>R@QPRWLRQDQGXSRQVXFK
WHUPVDVDUHMXVWWKHFRXUWPD\UHOLHYHDSDUW\RUDSDUW\¶V
OHJDO UHSUHVHQWDWLYH IURP D ILQDO MXGJPHQW RUGHU RU
SURFHHGLQJ IRU PLVWDNH LQDGYHUWHQFH VXUSULVH RU
H[FXVDEOHQHJOHFW´6XFKDPRWLRQLV
LQWHQGHG WR SURYLGH UHOLHI WR D SDUW\ LQ RQO\ WZR
LQVWDQFHV ZKHQ WKH SDUW\ KDV PDGH DQ H[FXVDEOH
OLWLJDWLRQPLVWDNHRUDQDWWRUQH\LQWKHOLWLJDWLRQKDVDFWHG
ZLWKRXW DXWKRULW\ RU ZKHQ WKH MXGJH KDV PDGH D
VXEVWDQWLYHPLVWDNHRIODZRUIDFWLQWKHILQDOMXGJPHQW
RURUGHU
<DSSY([FHO&RUS)G WK&LU
VHHDOVR%DQNRI&DOLIRUQLD1$Y$UWKXU$QGHUVHQ &R
)G WK &LU ³5XOH E LV
LQWHQGHGWRDOORZFOHDUHUURUVWREHFRUUHFWHGZLWKRXWWKHFRVW
DQGGHOD\RIDQDSSHDO´

-- 6 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
DQ DIILGDYLW 6HH 5DGLFK )G DW ³$SSHOODQWV
FRQWHQG WKDW WKHLU DWWRUQH\¶V XQYHULILHG PHPRUDQGXP
RSSRVLQJWKHPRWLRQIRUVXPPDU\MXGJPHQWFRPSOLHVZLWK
WKH5XOH I DIILGDYLWUHTXLUHPHQW,WGRHVQRW$Q
XQVZRUQ PHPRUDQGXP RSSRVLQJ D SDUW\¶V PRWLRQ IRU
VXPPDU\MXGJPHQWLVQRWDQDIILGDYLW´ %UDH7UDQVS,QF
Y&RRSHUV /\EUDQG)G WK&LU
³5HIHUHQFHVLQPHPRUDQGDDQGGHFODUDWLRQVWRDQHHGIRU
GLVFRYHU\GRQRWTXDOLI\DVPRWLRQVXQGHU5XOH I 5XOH
I UHTXLUHV DIILGDYLWV VHWWLQJ IRUWK WKH SDUWLFXODU IDFWV
H[SHFWHGIURPWKHPRYDQW¶VGLVFRYHU\´
1RU GLG WKHLU 6HSWHPEHU UHVSRQVH PHHW WKH
VXEVWDQWLYHUHTXLUHPHQWVRI5XOH I ,WRQO\VWDWHGWKDW
³LIJLYHQWKHRSSRUWXQLW\WRFRQGXFW>IXUWKHU@GLVFRYHU\´
WKH &DFHYLFV ZRXOG EH DEOH WR VXFFHVVIXOO\ RSSRVH WKH
GHIHQGDQWV¶VXPPDU\MXGJPHQWPRWLRQDQG WKH\ZRXOGDW
VRPH SRLQW EH ILOLQJ D EULHI LQ RSSRVLWLRQ WR WKH PRWLRQ
1RZKHUHLQWKHXQVZRUQGRFXPHQWGLGWKH&DFHYLFVLQGLFDWH
WR WKH GLVWULFW FRXUW ³ZKDW PDWHULDO IDFWV >WKH\@ KRSH>G@ WR
XQFRYHUDQGZK\>WKH\@KD>G@QRWSUHYLRXVO\GLVFRYHUHGWKH
LQIRUPDWLRQ´5DGLFK)GDWVHHDOVR,URQVLGH
Y 6LPL 9DOOH\ +RVS )G WK &LU
³3ODLQWLII¶V DIILGDYLW PDNHV RQO\ JHQHUDO DQG FRQFOXVRU\
VWDWHPHQWVUHJDUGLQJWKHQHHGIRUPRUHGLVFRYHU\DQGGRHV
QRW VKRZ KRZ DQ H[WHQVLRQ RI WLPH ZRXOG KDYH DOORZHG
>UHOHYDQW@LQIRUPDWLRQWREHGLVFRYHUHG´ 7DWHY%RHLQJ
+HOLFRSWHUV)G WK&LU KROGLQJWKDW
WKHSODLQWLIIVZHUHQRWHQWLWOHGWRDGGLWLRQDOGLVFRYHU\LQSDUW
EHFDXVH³>W@KHSODLQWLIIV¶5XOH I DIILGDYLWGLGQRWLQDQ\
ZD\H[SODLQSODLQWLIIVIDLOXUHWRFRQGXFWVXIILFLHQWGLVFRYHU\
ZLWKLQ WKLV H[WHQGHG WLPH IUDPH´ (YDQV Y 7HFKQRORJLHV
$SSOLFDWLRQV 6HUY&R)G Q WK&LU
UHMHFWLQJIRUWKHSXUSRVHVRI5XOH I WKHSODLQWLII¶V
PHPRUDQGXP LQ RSSRVLWLRQ WR WKH GHIHQGDQW¶V VXPPDU\
MXGJPHQWPRWLRQEHFDXVHLWVLPSO\VWDWHGLQWZRSDVVDJHV
WKDWVKHFRXOGQRWDGHTXDWHO\RSSRVHWKHPRWLRQ³DWWKLVHDUO\
VWDJHLQWKHOLWLJDWLRQ²HVSHFLDOO\ZKHQSODLQWLIIKDVQRW\HW
EHHQDIIRUGHGWKHRSSRUWXQLW\WRFRQGXFWGLVFRYHU\´
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

&RXQVHOIRU'HIHQGDQWVVWLSXODWHGWRDQH[WHQVLRQRIWLPH
IRU >WKH &DFHYLFV@ WR ILOH D UHVSRQVH WR 'HIHQGDQWV¶
PRWLRQ EXW >WKH &DFHYLFV¶ FRXQVHO@ QHYHU PDGH DQ\
HIIRUWWREULQJDPRWLRQIRUDQH[WHQVLRQRIWLPHWRILOH
KLV UHVSRQVH DQG GLG QRW PDNH D ZULWWHQ UHTXHVW WR
'HIHQGDQWV¶FRXQVHOIRUVXFKDQH[WHQVLRQ
2Q 'HFHPEHU WKH GLVWULFW FRXUW GHQLHG WKH 5XOH
E PRWLRQFRQFOXGLQJWKDWWKH&DFHYLFV¶IDLOXUHWRILOH
DUHVSRQVHZLWKLQWKHH[WHQGHGWLPH³ZDVQRWWKHUHVXOWRI
μPLVWDNHLQDGYHUWHQFHVXUSULVHRUH[FXVDEOHQHJOHFW¶´
7KH&DFHYLFVKDYHWLPHO\DSSHDOHG7KH\DUJXHWKDWWKH
GLVWULFWFRXUWHUUHGE\GHQ\LQJWKHPUHOLHISXUVXDQWWR5XOH
E DQGE\JUDQWLQJVXPPDU\MXGJPHQWLQIDYRURIWKH
GHIHQGDQWV
,,$1$/<6,6
$ 7KH GLVWULFW FRXUW GLG QRW HUU ZKHQ LW GHQLHG WKH
&DFHYLFV¶PRWLRQIRUUHOLHI
7KH&DFHYLFVILUVWDUJXHWKDWWKHGLVWULFWFRXUWHUUHGE\QRW
JUDQWLQJ WKHLU PRWLRQ IRU UHOLHI SXUVXDQW WR 5XOH E
7KH\VWDWHWKDWWKH\KDGD³YHUEDOXQGHUVWDQGLQJ´ZLWKWKH
GHIHQGDQWVWKDW³DOORZHGWKHPDGGLWLRQDOWLPHWRFRPSOHWH
GLVFRYHU\´ DQG LQ WXUQ ILOH WKHLU UHVSRQVH DIWHU WKH FRXUW
LPSRVHGGHDGOLQH7KH&DFHYLFVFRQWHQGWKDWWKHLU³IDLO>XUH@
WRIRUPDOO\FRGLI\WKLV>YHUEDOXQGHUVWDQGLQJ@LQZULWLQJHLWKHU
LQWKHIRUPRIDZULWWHQ2UGHURIWKH'LVWULFW&RXUWRUE\ZD\
RID0RWLRQUHTXHVWLQJDGGLWLRQDOWLPHDWWKHYHU\PRVW
FRQVWLWXWHVPLVWDNHDQGRUH[FXVDEOHQHJOHFW´
5XOH I ²³:KHQDIILGDYLWVDUHXQDYDLODEOH´
$GHFLVLRQRQWKLVLVVXHUHTXLUHVXVWRILUVWFRQVLGHU5XOH
I RIWKH)HGHUDO5XOHVRI&LYLO3URFHGXUHZKLFKZDVQRW
PHQWLRQHG E\ WKH SDUWLHV LQ WKHLU EULHIV QRU FLWHG E\ WKH
GLVWULFWFRXUWLQDQ\RILWVUXOLQJV,WSURYLGHVDVIROORZV

-- 7 of 8 --

&DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO
1R
6KRXOGLWDSSHDUIURPWKHDIILGDYLWVRIDSDUW\RSSRVLQJ
WKH>VXPPDU\MXGJPHQW@PRWLRQWKDWWKHSDUW\FDQQRWIRU
UHDVRQV VWDWHG SUHVHQW E\ DIILGDYLW IDFWV HVVHQWLDO WR
MXVWLI\WKHSDUW\¶VRSSRVLWLRQWKHFRXUWPD\UHIXVHWKH
DSSOLFDWLRQIRUMXGJPHQWRUPD\RUGHUDFRQWLQXDQFHWR
SHUPLWDIILGDYLWVWREHREWDLQHGRUGHSRVLWLRQVWREHWDNHQ
RUGLVFRYHU\WREHKDGRUPD\PDNHVXFKRWKHURUGHUDV
LVMXVW
)(' 5 &,9 3 I ,WKDVEHHQUHIHUUHGWRDVD³FDUHIXOO\
FUDIWHG´UXOHWKDWVHUYHVDVDYHKLFOHWKURXJKZKLFKWKHQRQ
PRYDQWPHHWVKLV³REOLJDWLRQWRLQIRUPWKHGLVWULFWFRXUWRI
KLV QHHG IRU GLVFRYHU\ ´ 9DQFH H[ UHO +DPPRQV Y
8QLWHG6WDWHV)G WK&LU
7KH )RXUWK &LUFXLW KDV FRPPHQWHG DV IROORZV RQ WKH
LPSRUWDQFH RI FRPSO\LQJ ZLWK 5XOH I ¶V UHTXLUHPHQW
WKURXJKWKHXVHRIDIILGDYLWVDVRSSRVHGWREULHIV
:HOLNHRWKHUUHYLHZLQJFRXUWVSODFHJUHDWZHLJKWRQ
WKH5XOH I DIILGDYLWEHOLHYLQJWKDW³>D@SDUW\PD\QRW
VLPSO\DVVHUWLQLWVEULHIWKDWGLVFRYHU\ZDVQHFHVVDU\DQG
WKHUHE\ RYHUWXUQ VXPPDU\ MXGJPHQW ZKHQ LW IDLOHG WR
FRPSO\ ZLWK WKH UHTXLUHPHQW RI 5XOH I WR VHW RXW
UHDVRQVIRUWKHQHHGIRUGLVFRYHU\LQDQDIILGDYLW´7KH
6HFRQG&LUFXLW&RXUWRI$SSHDOVKDVVLPLODUO\H[SODLQHG
WKDW ³>D@ UHIHUHQFH WR 5XOH I DQG WR WKH QHHG IRU
DGGLWLRQDO GLVFRYHU\ LQ D PHPRUDQGXP RI ODZ LQ
RSSRVLWLRQWRDPRWLRQIRUVXPPDU\MXGJPHQWLVQRWDQ
DGHTXDWHVXEVWLWXWHIRUD5XOH I DIILGDYLWDQGWKH
IDLOXUH WR ILOH DQ DIILGDYLW XQGHU 5XOH I LV LWVHOI
VXIILFLHQWJURXQGVWRUHMHFWDFODLPWKDWWKHRSSRUWXQLW\
IRUGLVFRYHU\ZDVLQDGHTXDWH´
(YDQVY7HFKQRORJLHV$SSOLFDWLRQV 6HUY&R)G
WK &LU FLWDWLRQV RPLWWHG DOWHUDWLRQV LQ
RULJLQDO VHHDOVR5DGLFKY*RRGH)G G
&LU ³5XOH I FOHDUO\UHTXLUHVWKDWDQDIILGDYLWEH
ILOHG´
1R &DFHYLFHWDOY&LW\RI
+D]HO3DUNHWDO

7KHLPSRUWDQFHRIFRPSO\LQJZLWK5XOH I FDQQRWEH
RYHUHPSKDVL]HG³>,@IWKHDSSHOODQWKDVQRWILOHGHLWKHUD5XOH
I DIILGDYLW RU D PRWLRQ WKDW JLYHV WKH GLVWULFW FRXUW D
FKDQFHWRUXOHRQWKHQHHGIRUDGGLWLRQDOGLVFRYHU\WKLVFRXUW
ZLOOQRWQRUPDOO\DGGUHVVZKHWKHUWKHUHZDVDGHTXDWHWLPHIRU
GLVFRYHU\´3ORWWY*HQHUDO0RWRUV&RUS)G
WK&LU FLWDWLRQVRPLWWHG VHHDOVR3DVWHUQDN
Y/HDU3HWUROHXP([SORUDWLRQ,QF)G
WK &LU ³:KHUH D SDUW\ RSSRVLQJ VXPPDU\
MXGJPHQWDQGVHHNLQJDFRQWLQXDQFHSHQGLQJFRPSOHWLRQRI
GLVFRYHU\IDLOVWRWDNHDGYDQWDJHRIWKHVKHOWHUSURYLGHGE\
5XOH I E\ ILOLQJ DQ DIILGDYLW WKHUH LV QR DEXVH RI
GLVFUHWLRQLQJUDQWLQJVXPPDU\MXGJPHQWLILWLVRWKHUZLVH
DSSURSULDWH´ FLWLQJ 6KDYUQRFK Y &ODUN 2LO 5HILQLQJ
&RUS )G WK &LU %H\RQG WKH
SURFHGXUDOUHTXLUHPHQWRIILOLQJDQDIILGDYLW5XOH I KDV
EHHQLQWHUSUHWHGDVUHTXLULQJWKDWDSDUW\PDNLQJVXFKDILOLQJ
LQGLFDWH WR WKH GLVWULFW FRXUW LWV QHHG IRU GLVFRYHU\ ZKDW
PDWHULDO IDFWV LW KRSHV WR XQFRYHU DQG ZK\ LW KDV QRW
SUHYLRXVO\GLVFRYHUHGWKHLQIRUPDWLRQ6HH5DGLFK)G
DW
6RPHFRXUWVKDYHVXJJHVWHGWKDWWKHUHTXHVWIRUUHOLHIXQGHU
5XOH I FDQWDNHDIRUPRWKHUWKDQDQDIILGDYLW6HHHJ
3IHLOY5RJHUV)G WK&LU ³$FRXUW
PD\GLVUHJDUGDIDLOXUHWRIRUPDOO\FRPSO\ZLWK5XOH I LI
WKHRSSRVLQJSDUW\¶VUHTXHVWIRUDFRQWLQXDQFHFOHDUO\VHWVRXW
WKHMXVWLILFDWLRQIRUWKHFRQWLQXDQFH´ ,QGHHGHYHQRXURZQ
FRXUW KDV LQWLPDWHG WKDW HLWKHU D 5XOH I DIILGDYLW ³RU D
PRWLRQ´ZRXOGVXIILFH3ORWW)GDW:HQHHGQRW
DGGUHVVWKLVLVVXHKRZHYHUEHFDXVHDVH[SODLQHGEHORZWKH
&DFHYLFV FRPSOLHG ZLWK QHLWKHU WKH WHFKQLFDO QRU WKH
VXEVWDQWLYHDVSHFWVRIWKHUXOH
:HILUVWQRWHWKDWWKH&DFHYLFVIDLOHGWRILOHDQDIILGDYLWRQ
WZR VHSDUDWH RFFDVLRQV²ILUVW RQ 6HSWHPEHU DQG
DJDLQSULRUWR2FWREHU7KHLU6HSWHPEHU
³SUHOLPLQDU\QRQVXEVWDQWLYHUHVSRQVH´ZDVFOHDUO\DUHTXHVW
IRUDGGLWLRQDOWLPHIRUGLVFRYHU\EXWLWZDVQRWLQWKHIRUPRI

-- 8 of 8 --

Continua la tua ricerca in ChatGPT o Claude

Collega Omnilex per cercare nel corpus legale dal tuo assistente IA.