00a0296p.06

96-6652; 00-5367Court of Appeals for the Sixth Circuit5 de set. de 2000

Abrir fonte

Texto completo


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
3+,/,3 5 :25.0$1
3HWLWLRQHU$SSHOODQW
Y
5,&.< %(//:DUGHQ
5HVSRQGHQW$SSHOOHH
;!

1
1RV

$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV
1R²-XOLD6*LEERQV&KLHI'LVWULFW-XGJH
$UJXHG0D\
'HFLGHGDQG)LOHG6HSWHPEHU
%HIRUH0$57,1&KLHI-XGJH0(55,771(/621
5<$1%2**61255,668+5+(,15,&+6,/(5
%$7&+(/'(5'$8*+75(<0225(&2/(&/$<
DQG*,/0$1&LUFXLW-XGJHV
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' &KULVWRSKHU 0 0LQWRQ 2)),&( 2) 7+(
3267&219,&7,21 '()(1'(5 1DVKYLOOH 7HQQHVVHH
IRU $SSHOODQW -RVHSK ) :KDOHQ ,,, 2)),&( 2) 7+(
$77251(< *(1(5$/ 1DVKYLOOH 7HQQHVVHH IRU
$SSHOOHH21%5,()&KULVWRSKHU00LQWRQ2)),&(2)
7+( 3267&219,&7,21 '()(1'(5 1DVKYLOOH

-- 1 of 12 --

:RUNPDQY%HOO 1RV
7HQQHVVHH 6DXO & %HO] :$5,1* &2; 0HPSKLV
7HQQHVVHHIRU$SSHOODQW-RVHSK):KDOHQ,,,*RUGRQ:
6PLWK0LFKDHO(0RRUH2)),&(2)7+($77251(<
*(1(5$/1DVKYLOOH7HQQHVVHHIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
25'(5
BBBBBBBBBBBBBBBBB
7KH 2FWREHU SDQHO GHFLVLRQ DV DPHQGHG
DIILUPLQJWKH'LVWULFW&RXUW¶VGHQLDORIWKHSHWLWLRQIRUKDEHDV
FRUSXVUHPDLQVLQHIIHFW$VDUHVXOWRIDQHTXDOO\GLYLGHG
&RXUWWKHHQEDQF&RXUWUHMHFWVWKHSHWLWLRQHU¶VPRWLRQWR
UHRSHQ6HYHQMXGJHVKDYHYRWHGWRUHYHUVHDQGUHPDQGWKH
FDVH IRU IXUWKHU SURFHHGLQJV IRU WKH UHDVRQV VWDWHG LQ DQ
RSLQLRQZULWWHQE\-XGJH0HUULWWDQGDWWDFKHGKHUHWR6HYHQ
MXGJHVKDYHYRWHGDJDLQVWDUHPDQGIRUIXUWKHUSURFHHGLQJVLQ
WKH'LVWULFW&RXUW
$FFRUGLQJO\ WKH VWD\ RI H[HFXWLRQ KHUHWRIRUH HQWHUHG LV
GLVVROYHG
(17(5('%<25'(52)7+(&2857
V/HRQDUG*UHHQ
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
&OHUN
1RV :RUNPDQY%HOO
7KHUHZDVQRSHUVRQRWKHUWKDQ:RUNPDQ2OLYHU6WRGGDUG
DQG3DUNHUDWWKHVFHQHZLWKDILUHDUP$OWKRXJKSHWLWLRQHU
DVVHUWV WKDW WKH VKRW WKDW KLW 2OLYHU PXVW KDYH FRPH IURP
3DUNHURU6WRGGDUGWKHUHLVQRVXSSRUWLQWKHUHFRUGIRUWKDW
FRQFOXVLRQ
)RU DOO WKHVH UHDVRQV , ZRXOG GHQ\ WKH SHWLWLRQ IRU
UHKHDULQJHQEDQFDQGDIILUPWKHGHFLVLRQRIWKHSULRUSDQHORI
WKLVFRXUWDQGWKHGLVWULFWFRXUWLQGHQ\LQJWKHZULW

-- 2 of 12 --

:RUNPDQY%HOO 1RV
$OWKRXJK :RUNPDQ DVVHUWV WKDW 'DYLV ZDV WKH RQO\
H\HZLWQHVV WR WKH VKRRWLQJ LW LV QRW DV LI WKLV VKRRWLQJ
RFFXUUHGLQDYDFXXP2IILFHU6WRGGDUGZDVEHVLGH2OLYHU
ZKHQKHZDVVKRWDQG2IILFHU3DUNHUVKRUWO\WKHUHDIWHUFDPH
XSRQWKHVFHQH,QDGGLWLRQQXPHURXVZLWQHVVHVDURXQGWKH
UHVWDXUDQW WHVWLILHG WKDW WKH\ KDG VHHQ :RUNPDQ WKHUH
0RUHRYHU LW LV QRW D FDVH RI PLVWDNHQ LGHQWLW\ EHFDXVH
:RUNPDQWHVWLILHGGXULQJWKHWULDOWKDWKHSXOOHGWKHWULJJHU
WKHJXQILUHGDQGKHHPSWLHGKLVJXQWRZDUGWKHRIILFHUV,Q
SRVWFRQYLFWLRQSURFHHGLQJVKHVDLGKHFRQIHVVHGKHILUHGWKH
IDWDO VKRW WKDW WRRN 2OLYHU¶V OLIH (YHQ 'DYLV LQ KLV ODWHVW
VWDWHPHQWDVVHUWVWKDW:RUNPDQZDVRQWKHVFHQHVWUXJJOLQJ
ZLWKRQHRUPRUHRIILFHUV
6WRGGDUG ZDV VKRW E\ :RUNPDQ DQG GLG QRW ILUH KLV
ZHDSRQ7KDWZDVIXUWKHUFRUURERUDWHGE\WKHSROLFHUHSRUW
ZKLFKLQGLFDWHGWKDWDIWHUWKHVKRRWLQJDQRWKHURIILFHUWRRN
FXVWRG\RI6WRGGDUG¶VZHDSRQDQGIRXQGLWWREHORDGHGZLWK
VL[ OLYH URXQGV 8QOHVV KH UHORDGHG DIWHU KDYLQJ EHHQ
ZRXQGHGWKHUHLVQROLNHOLKRRGWKDW KH ILUHGKLVKDQGJXQ
3DUNHU DOVR GHQLHG ILULQJ DQ\ ZHDSRQ DOWKRXJK D SROLFH
GRFXPHQWLQGLFDWHVWKDW3DUNHUKDGDVKRWJXQDQG6WHYH&UDLJ
VDLGWKDWDIWHU2OLYHUZDVVKRW3DUNHUVKRWDW:RUNPDQZLWK
WKHVKRWJXQ7KDWHYLGHQFHZDVUHVROYHGLQWKHSULRUGHFLVLRQ
RIWKLVFRXUWZKHQZHVDLGWKHUH³(YHQ'U6SHUU\GRHVQRW
WKHRUL]HWKDW/W2OLYHUZDVNLOOHGZLWKEXFNVKRW´:RUNPDQ
)GDW
7KHRWKHURSLQLRQVD\V
:LWKRXW'DYLV¶VWHVWLPRQ\WKHRQO\ZLWQHVVZKRZRXOG
KDYHWHVWLILHGWKDWKHVDZ2OLYHUIDOODQGVLPXOWDQHRXVO\
VDZ:RUNPDQZLWKDJXQLQKLVKDQGZDV2IILFHU3DUNHU
ZKRVHWHVWLPRQ\LVPDGHOHVVFUHGLEOHGXHWRWKHIDFWWKDW
KHKLPVHOIFRXOGSRVVLEO\KDYHILUHGWKHVKRWWKDWNLOOHG
2OLYHUDOEHLWXQLQWHQWLRQDOO\
+RZHYHU WKHUH LV QR WHVWLPRQ\ LQ WKH UHFRUG QRU KDV WKH
SHWLWLRQHUSURGXFHGDQ\GXULQJWKHDOPRVW\HDUVVLQFHWKH
HYHQWVRFFXUUHGWKDWDQ\RWKHUSHUVRQWKHUHEHVLGHV:RUNPDQ
DQG2OLYHUILUHGDKDQGJXQ
1RV :RUNPDQY%HOO
:RUNPDQ ZDV WHFKQLFDOO\ FRQYLFWHG RI ILUVWGHJUHH PXUGHU XQGHU
7HQQHVVHH &RGH † D VSHFLILFDOO\ PXUGHU LQ WKH
SHUSHWUDWLRQ RI D UREEHU\ $W WKDW WLPH ILUVWGHJUHH SUHPHGLWDWHG PXUGHU
DQG ILUVWGHJUHH IHORQ\ PXUGHU ZHUH ERWK GHILQHG E\ WKLV VDPH VXEVHFWLRQ
RI WKH 7HQQHVVHH &RGH ,W LV LPSRUWDQW WR QRWH KRZHYHU WKDW WKH WKHRU\
ZKLFK WKH SURVHFXWLRQ XVHG WR WU\ WKLV FDVH IRFXVHG RQ WKH IDFW WKDW WKH
SURVHFXWLRQ EHOLHYHG WKDW :RUNPDQ V EXOOHW DFWXDOO\ NLOOHG /W 2OLYHU QRW
WKDW /W 2OLYHU GLHG GXULQJ WKH FRXUVH RI D UREEHU\ ZKLFK :RUNPDQ
IDFLOLWDWHG ,Q IDFW WKH MXU\ LQVWUXFWLRQV VSHFLILFDOO\ VWDWHG WKDW LQ RUGHU
IRU WKH MXU\ WR FRQYLFW :RUNPDQ RI PXUGHU GXULQJ WKH SHUSHWUDWLRQ RI D
UREEHU\ RU ILUVWGHJUHH IHORQ\ PXUGHU WKH MXU\ PXVW FRQFOXGH WKDW
:RUNPDQ DFWXDOO\ NLOOHG 2OLYHU GXULQJ WKH FRPPLVVLRQ RI D IHORQ\ 6HH
-RLQW $SSHQGL[ DW ,W LV XQFOHDU ZKHWKHU RU QRW WKH WULDO FRXUW V
FRQFOXVLRQ WKDW 0U :RUNPDQ PXVW KDYH FRPPLWWHG WKH PXUGHU KLPVHOI
LQ RUGHU WR EH OLDEOH IRU IHORQ\PXUGHU ZDV LQ HUURU LQ WKLV FDVH :KLOH
7HQQHVVHH KDV FOHDUO\ HVWDEOLVKHG WKDW GHDWKV FDXVHG E\ D GHIHQGDQW V
RWKHU DFFRPSOLFHV PD\ EH DWWULEXWHG WR WKH GHIHQGDQW XQGHU WKH IHORQ\
PXUGHU VWDWXWH LW DSSHDUV WKDW 7HQQHVVHH KDV QHYHU VSRNHQ RQ WKH VXEMHFW
RI ZKHWKHU D GHDWK FDXVHG E\ VRPHRQH XQDIILOLDWHG ZLWK WKH SHUSHWUDWRU RI
WKH XQGHUO\LQJ IHORQ\ ZLOO VXSSRUW D FRQYLFWLRQ IRU ILUVWGHJUHH IHORQ\
PXUGHU 7KH OHDGLQJ FDVH RQ WKH WRSLF VWLOO TXRWHG WRGD\ GLG QRW
GHWHUPLQH WKDW D IHORQ\PXUGHU SURVHFXWLRQ DURVH IURP DQ\ GHDWK FDXVHG
E\ WKH FRPPLVVLRQ RI D IHORQ\ EXW UDWKHU VWDWHG
,W PXVW EH D NLOOLQJ LQ WKH SXUVXLW RI DQ XQODZIXO DFW WKDW DOO ZHUH
HQJDJHG LQ DQG LQ FDUU\LQJ RXW WKH RULJLQDO GHVLJQ LI DQ\ RQH RI
WKH SDUW\ NLOO DQ\ RQH WKDW RSSRVH WKHP LW ZRXOG EH PXUGHU LQ DOO
WKH UHVW RI WKH FRPSDQ\ WKDW FRPH ZLWK WKH LQWHQW WR GR WKDW
XQODZIXO DFW WKRXJK WKHUH ZDV QR H[SUHVV LQWHQWLRQ WR NLOO DQ\
SHUVRQ LQ WKH ILUVW HQWHUSULVH EHFDXVH WKH ODZ SUHVXPHV WKH\
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
0(55,77 &LUFXLW -XGJH MRLQHG E\ 0$57,1 &KLHI
-XGJH DQG 0225( '$8*+75(< &2/( &/$< DQG
*,/0$1 &LUFXLW -XGJHV ,Q WKLV GHDWK SHQDOW\ KDEHDV
FRUSXV FDVH LQ ZKLFK ZH KDYH WHPSRUDULO\ VWD\HG 3KLOLS
:RUNPDQ¶VH[HFXWLRQLQ7HQQHVVHH:RUNPDQFODLPVWKDW
WZRLWHPVRIQHZO\GLVFRYHUHGHYLGHQFHGLVFXVVHGEHORZ
VKRZWKDWKHGLGQRWNLOO/W2OLYHURIWKH0HPSKLV3ROLFH
'HSDUWPHQWGXULQJDUREEHU\LQWKHFULPHIRUZKLFKKH
ZDVVHQWHQFHGWRGHDWK:RUNPDQDVNVWKLVFRXUWWRUHFDOO

-- 3 of 12 --

:RUNPDQY%HOO 1RV
FRPH WR PDNH JRRG WKHLU GHVLJQV DJDLQVW DOO RSSRVLWLRQ
0RRG\ Y 6WDWH 7HQQ 6&W ,W VHHPV WKHQ WKDW 7HQQHVVHH
FRXUWV UHTXLUH WKDW LQ RUGHU IRU D GHIHQGDQW WR EH FRQYLFWHG RI IHORQ\
PXUGHU IRU D PXUGHU ZKLFK KH GLG QRW KLPVHOI FRPPLW WKH SHUVRQ ZKR
FRPPLWWHG WKH PXUGHU PXVW KDYH KDG DW OHDVW WKH LQWHQW UHTXLUHG RI WKH
GHIHQGDQW ZKLFK LV WKH LQWHQW WR FRPPLW WKH XQGHUO\LQJ IHORQ\ 7KLV
ZRXOG QRW EH DQ XQUHDVRQDEOH UXOH
:H GR QRW EHOLHYH WKDW WKH GHFLVLRQ RI D MXU\ ZKLFK ZDV LQVWUXFWHG WR
GHWHUPLQH WKDW :RUNPDQ DFWXDOO\ FDXVHG WKH GHDWK RI /W 2OLYHU E\ KLV
RZQ KDQG FDQ EH VDOYDJHG XQGHU WKHVH FLUFXPVWDQFHV LI :RUNPDQ LV DEOH
WR VKRZ WKDW ZLWKKHOG HYLGHQFH FRXOG KDYH FRQYLQFHG D MXU\ WKDW 2OLYHU
ZDV NLOOHG E\ IULHQGO\ ILUH $OWHUQDWLYHO\ LW LV REYLRXV WKDW LI WKH MXU\
KDG KDUERUHG GRXEWV DERXW ZKHWKHU :RUNPDQ V EXOOHW NLOOHG /W 2OLYHU
WKHQ WKDW MXU\ ZRXOG KDYH KDG D FRQVLGHUDEO\ PRUH GLIILFXOW WLPH
VHQWHQFLQJ :RUNPDQ WR GHDWK DQG SHUKDSV ZRXOG QRW KDYH GRQH VR
7KHUHIRUH ZH FRQFOXGH WKDW LW LV RXU GXW\ DW WKLV VWDJH RI WKH SURFHHGLQJV
WR GHWHUPLQH ZKHWKHU RU QRW :RUNPDQ KDV DOOHJHG HYLGHQFH ZKLFK ZRXOG
WHQG WR VKRZ WKDW KLV EXOOHW GLG QRW NLOO /W 2OLYHU DQG WKDW VXFK HYLGHQFH
LI WKH VWDQGDUGV RXWOLQHG LQ WKH UHVW RI WKLV RSLQLRQ DUH PHW ZRXOG VXIILFH
WR MXVWLI\ DW WKH OHDVW D QHZ VHQWHQFLQJ KHDULQJ LI QRW D QHZ WULDO LQ WKLV
FDVH
)RU WKH FRPSOHWH IDFWXDO DQG SURFHGXUDO KLVWRU\ RI WKH VWDWH FRXUW
SURFHHGLQJV VHH 6WDWH Y :RUNPDQ 6:G 7HQQ FHUW
GHQLHG :RUNPDQ Y 7HQQHVVHH 86 :RUNPDQ ,
:RUNPDQ Y 6WDWH &&$ 1R :/ 7HQQ &ULP $SS
)HEUXDU\ FHUW GHQLHG :RUNPDQ Y 7HQQHVVHH 86
:RUNPDQ ,, DQG :RUNPDQ Y 7HQQHVVHH 6:G
7HQQ FHUW GHQLHG :RUNPDQ Y 7HQQHVVHH 86
:RUNPDQ ,,, $IWHU H[KDXVWLQJ KLV DYDLODEOH VWDWH FRXUW
SURFHGXUHV :RUNPDQ ILOHG D SHWLWLRQ IRU D ZULW RI KDEHDV FRUSXV LQ WKH
8QLWHG 6WDWHV 'LVWULFW &RXUW IRU WKH :HVWHUQ 'LVWULFW RI 7HQQHVVHH RQ
-XO\ 2Q FURVVPRWLRQV IRU VXPPDU\ MXGJPHQW WKH GLVWULFW FRXUW
HQWHUHG VXPPDU\ MXGJPHQW DJDLQVW :RUNPDQ LQ 2FWREHU +H
DSSHDOHG WKDW GHFLVLRQ WR WKLV FRXUW DQG D WKUHHMXGJH SDQHO GHQLHG KLV
DSSHDO RQ 2FWREHU 1R SHWLWLRQ IRU UHKHDULQJ ZDV JUDQWHG DQG
RXU PDQGDWH LVVXHG LQ 0D\ $IWHU GLVFRYHULQJ QHZ HYLGHQFH LQ
2FWREHU DQG DJDLQ LQ )HEUXDU\ :RUNPDQ UHTXHVWHG WKDW WKLV
FRXUW UHFRQVLGHU LWV SUHYLRXV GHFLVLRQ
WKHPDQGDWHZKLFKLVVXHGLQWKLVFDVHLQ0D\IROORZLQJ
WKH GHFLVLRQ RI D SDQHO RI WKLV FRXUW DIILUPLQJ WKH GLVWULFW
FRXUW VJUDQWRIVXPPDU\MXGJPHQWLQIDYRURIWKHVWDWHRI
7HQQHVVHHUHJDUGLQJ:RUNPDQ VSHWLWLRQIRUDZULWRIKDEHDV
FRUSXV 7KH OLQH RI FDVHV WKDW HQGHG ZLWK WKLV FRXUW V
1RV :RUNPDQY%HOO
DOOHJHGSHUMXU\E\'DYLVDWWKHRULJLQDOWULDOEXWLWDOVRIDYRUV
DUHPDQGRQWKHJURXQGVRIQHZO\GLVFRYHUHGHYLGHQFHXQGHU
WKHWKHRU\WKDWSXUVXDQWWR%UDG\Y0DU\ODQG86
WKHSURVHFXWLRQDWWKHWULDOIDLOHGWRSURYLGHWKH;UD\
DQG XVHG WKH DOOHJHGO\ SHUMXUHG WHVWLPRQ\ RI 'DYLV 7KH
SHWLWLRQHU GLG QRW FLWH %UDG\ LQ KLV VXSSOHPHQWDO HQ EDQF
EULHI3UREDEO\KHUHDOL]HGVXFKDQLVVXHZDVSUHFOXGHGE\†

$OWKRXJKWKHRWKHURSLQLRQVWDWHVLQIRRWQRWH³>:@HDUH
QRWUHYLHZLQJDQDSSOLFDWLRQIRUSHUPLVVLRQWRILOHDVHFRQG
SHWLWLRQ RU D SDQHO¶V GHFLVLRQ WR SHUPLW RU GHQ\ VXFK D
UHTXHVW´ WKDW LV H[DFWO\ ZKDW LW LV GRLQJ 7KH FULWHULD IRU
UHYLHZLQJWKHFODLPXQGHUQHZO\GLVFRYHUHGHYLGHQFHLVVHW
RXW LQ 86& † E % 7KLV LV D VHFRQG RU
VXFFHVVLYH SHWLWLRQ WKDW KDV DOUHDG\ EHHQ GHQLHG E\ WKH
RULJLQDO SDQHO 7KH RWKHU RSLQLRQ VXJJHVWV WKDW WR GR
RWKHUZLVH³ZRXOGUDLVHVHULRXVFRQVWLWXWLRQDOLVVXHVXQGHUWKH
GXHSURFHVVFODXVHDQGXQGHU$UWLFOH,†ZKLFKSURKLELWV
WKH VXVSHQVLRQ RI WKH ZULW RI KDEHDV FRUSXV´ +RZHYHU
&RQJUHVV UHVWULFWHG WKH ZULW RI KDEHDV FRUSXV LQ VHYHUDO
DVSHFWVZKHQLWSDVVHG$('3$LQFOXGLQJDRQH\HDUSHULRG
RIOLPLWDWLRQZLWKLQZKLFKWRILOHWKHSHWLWLRQLQ† E
7KXVLIDSULVRQHUSXUSRVHIXOO\RUE\LQDGYHUWHQFHOHWVWKH
WLPH UXQ XQGHU ZKLFK KH FRXOG KDYH ILOHG KLV SHWLWLRQ KH
FDQQRWILOHDSHWLWLRQEH\RQGWKHVWDWXWRU\WLPHHYHQLIKH
FODLPV³DFWXDOLQQRFHQFH´7KHVDPHSULQFLSOHDSSOLHVWRWKH
ILOLQJRIDVHFRQGRUVXFFHVVLYHSHWLWLRQ&RQJUHVVKDVOLPLWHG
WKHDSSHDOWKURXJKRQHSDQHORIWKHFRXUW7KHZULWRIKDEHDV
FRUSXVKDVQRWEHHQVXVSHQGHGLWKDVMXVWEHHQUHVWULFWHG
7KH RWKHU RSLQLRQ DOVR VXJJHVWV WKDW WKH GLVWULFW FRXUW
VKRXOGKDYHDQHYLGHQWLDU\KHDULQJRQWKHLVVXHRIZKHWKHUD
UHDVRQDEOHMXU\ZRXOGKDYHFRPHWRDGLIIHUHQWFRQFOXVLRQLI
LWKDGWKLVHYLGHQFHEHIRUHLW7KLVDOVRLVDFODLPXQGHU
86&† E % $JDLQWKDWLVWKHVXEMHFWRIDVHFRQG
RUVXFFHVVLYHSHWLWLRQVRLWFDQQRWEHFRQVLGHUHGHQEDQF
1HYHUWKHOHVVWKHHYLGHQFHDWWKHWULDOVKRXOGEHUHFLWHG WR
VKRZWKHVLJQLILFDQWSURRIDJDLQVW:RUNPDQ

-- 4 of 12 --

:RUNPDQY%HOO 1RV
UHVWDXUDQW ZKHQ :RUNPDQ ZDV FRQIURQWHG E\ WKH RIILFHUV
DOWKRXJKKHVDLGKHGLGQ¶WVHHDQ\VKRWVILUHG+HQRZVD\V
KHZDVLQKLVFDUEXWKHZDVQRWDEOHWRGHWHUPLQHZKRVKRW
2OLYHUDOWKRXJKKHUHFDOOVVHHLQJ:RUNPDQDQGDQXPEHURI
RIILFHUVVWUXJJOLQJEHIRUHRQHRIILFHUIHOOEDFNDQGSXOOHGKLV
JXQ
)5$8'217+(&2857
,DJUHHWKDWWKLVHQEDQFFRXUWFDQFRQVLGHUWKHSHWLWLRQ
XQGHUWKHWKHRU\RID³IUDXGXSRQWKHFRXUW´DVH[SODLQHGLQ
'HPMDQMXNY3HWURYVN\)G WK&LU
6HH&DOGHURQ86DW2QHRIWKHHOHPHQWVRIIUDXG
XSRQWKHFRXUWLVWKDWWKHFRQGXFWPXVWEHE\DQRIILFHURIWKH
FRXUW,IWKHUHZDVIUDXGRQWKHFRXUWIRUIDLOXUHWRSURGXFH
WKH ;UD\ EHIRUH WKH GLVWULFW FRXUW WKH DFW ZDV QRW E\ DQ
RIILFHU RI WKH FRXUW EXW E\ WKH 6KHOE\ &RXQW\ 0HGLFDO
([DPLQHU ,Q DGGLWLRQ WKH ;UD\ ZDV QRW PDWHULDO WR WKH
LVVXHVDVVKRZQE\WKHILUVWDIILGDYLWE\'U6SHUU\)UDXG
XSRQ WKH FRXUW SULPDULO\ WXUQV XSRQ ZKHWKHU LW ZDV
SHUSHWUDWHGE\DQDWWRUQH\'HPMDQMXN)GDWDQG
QRWKLQJ LQ WKLV UHFRUG GHPRQVWUDWHV WKH $WWRUQH\ *HQHUDO
NQHZRIWKH;UD\DWWKHGLVWULFWFRXUWSURFHHGLQJ
,I WKHUH ZDV DQ\ IUDXG RQ WKH FRXUW ZLWK UHJDUG WR WKH
WHVWLPRQ\RI'DYLVWKDWZRXOGKDYHEHHQDIUDXGXSRQWKH
VWDWHFRXUWDQGVKRXOGEHSUHVHQWHGWRWKDWFRXUWQRWWRRXU
FRXUW$WDUJXPHQWFRXQVHOIRUWKHSHWLWLRQHUDGPLWWHGWKDW
LIWKHUHZDVDIUDXGLQYROYLQJWKHWHVWLPRQ\RI'DYLVLWZRXOG
KDYH EHHQ D IUDXG RQ WKH VWDWH FRXUW RQO\ +RZHYHU KH
HPSKDVL]HGWKDWLWVKRXOGEHFRQVLGHUHGDVFRUURERUDWLRQRI
IUDXGXSRQWKHIHGHUDOFRXUWE\WKHIDLOXUHWRSURGXFHWKH;
UD\1HYHUWKHOHVVWKHUHLVQRIUDXGXSRQRXUFRXUWXQGHUWKH
FULWHULD VHW RXW LQ 'HPMDQMXN ZKLFK ZRXOG DXWKRUL]H WKLV
H[WUDRUGLQDU\UHOLHIUHTXHVWHG
1(:/<',6&29(5('(9,'(1&(
7KHRWKHURSLQLRQIDYRUVDUHPDQGQRWRQO\WRGHFLGHWKH
LVVXH RI IUDXG XSRQ WKH FRXUW EDVHG XSRQ WKH IDLOXUH WR
SURGXFHWKH;UD\DWWKHKDEHDVFRUSXVKHDULQJDQGWKHXVHRI
1RV :RUNPDQY%HOO
PDQGDWHGHDOWVROHO\ZLWK:RUNPDQ VILUVWSHWLWLRQIRUKDEHDV
FRUSXV$IWHU:RUNPDQGLVFRYHUHGQHZHYLGHQFHLQ2FWREHU
DQGDJDLQLQ)HEUXDU\KHPDGHVHYHUDOUHTXHVWVRI
WKLV FRXUW 7KH RQH ZH XQGHUWDNH WR UHYLHZ WRGD\ LV
:RUNPDQ VUHTXHVWWRUHRSHQWKHOLQHRIFDVHVFRQFHUQLQJKLV
ILUVW SHWLWLRQ IRU KDEHDV FRUSXV DQG UHFRQVLGHU WKH RSLQLRQ
SUHYLRXVO\LVVXHGE\RXUSDQHOFRQFHUQLQJWKHGHQLDORIWKDW
SHWLWLRQ
,$SSHOODWH-XULVGLFWLRQ
%HIRUHZHDGGUHVVWKHVXEVWDQFHRI:RUNPDQ VUHTXHVWWR
UHFDOORXUPDQGDWHZHPXVWDGGUHVVDSUHYLRXVO\LVVXHGHQ
EDQFGHFLVLRQRIWKLV&RXUWRQDPDWWHURISURFHGXUH,QUH
.LQJ)G WK&LU FHUWGHQLHG6&W
,QWKDWFDVHZHXQDQLPRXVO\KHOGWKDWRQFHD
SDQHORIWKLVFRXUWJUDQWVRUGHQLHVDQLQGLYLGXDOSHUPLVVLRQ
WRILOHDVHFRQGRUVXFFHVVLYHSHWLWLRQLQWKHGLVWULFWFRXUW
† E ( SURKLELWV DQ\ SDUW\ IURP VHHNLQJ IXUWKHU
UHYLHZRIWKHSDQHO VGHFLVLRQHLWKHUIURPWKHRULJLQDOSDQHO
RUIURPWKHHQEDQFFRXUW,GDW7KDWGHFLVLRQLVQRW
DSSOLFDEOH WR WKH VLWXDWLRQ DW KDQG :RUNPDQ GLG LQ IDFW
UHTXHVW SHUPLVVLRQ WR ILOH D VHFRQG SHWLWLRQ RQ 0DUFK
ZKLFKZDVGHQLHGE\DQRUGHURI0DUFK:H
KDYHQRWXQGHUWDNHQWRUHYLHZWKDWGHFLVLRQLQWKLVHQEDQF
FRQVLGHUDWLRQ RI :RUNPDQ V UHTXHVW WR UHFDOO RXU PDQGDWH
LVVXHGRQ:RUNPDQ VILUVWKDEHDVSHWLWLRQ6XFKDUHTXHVWLV
GLIIHUHQW IURP DQ DSSOLFDWLRQ IRU D VHFRQG SHWLWLRQ DV WKH
6XSUHPH &RXUW PDGH TXLWH FOHDU UHFHQWO\ LQ &DOGHURQ Y
7KRPSVRQ86 GLVFXVVHGEHORZ
,,5HFDOORI0DQGDWH%DVHGRQ)UDXGRQWKH&RXUW
1H[WZHPXVWDGGUHVVWKHVXEVWDQFHRI:RUNPDQ VUHTXHVW
WKDW ZH UHFDOO RXU PDQGDWH DQG UHFRQVLGHU RXU GHFLVLRQ
GHQ\LQJKLVILUVWSHWLWLRQIRUDZULWRIKDEHDVFRUSXV7KH
UHFHQW6XSUHPH&RXUWFDVH&DOGHURQY7KRPSVRQ86
PXVWQHFHVVDULO\FRQWUROWKHFDVHEHIRUHXV,Q
&DOGHURQ Y 7KRPSVRQ WKH 6XSUHPH &RXUW UHYLHZHG D
GHFLVLRQRIWKH1LQWK&LUFXLWVLWWLQJHQEDQFZKLFKUHFDOOHG
WKH FRXUW V PDQGDWH UHRSHQHG D FDVH DQG VXEVHTXHQWO\

-- 5 of 12 --

:RUNPDQY%HOO 1RV
:H QRWH WKDW D VXVSLFLRQ RI IUDXG XSRQ WKH FRXUW LV QRW WKH RQO\
UHDVRQ WKDW D FRXUW RI DSSHDOV PD\ ILQG LW QHFHVVDU\ WR UHFDOO D PDQGDWH
EXW PHUHO\ RQH RI WKH UHDVRQV RXWOLQHG LQ WKH &DOGHURQ Y 7KRPSVRQ
RSLQLRQ 7KH &RXUW VWDWHG WKDW D PDQGDWH PD\ EH UHFDOOHG ZKHQ LW LV
QHFHVVDU\ WR DGGUHVV QHZ FLUFXPVWDQFHV EHIRUH WKH FRXUW ZKLFK DUH
JUDYH DQG XQIRUHVHHQ RU ZKLFK DUH LQ RWKHU ZRUGV XQIRUHVHHDEOH
FLUFXPVWDQFHV ZKLFK LPSOLFDWH WKH MXVWLFH RI WKH MXGJPHQW SUHYLRXVO\
UHQGHUHG &DOGHURQ Y 7KRPSVRQ 86
JUDQWHGDSHWLWLRQHU VSUHYLRXVO\GHQLHGUHTXHVWIRUDZULWRI
KDEHDV FRUSXV $FFRUGLQJ WR &DOGHURQ Y 7KRPSVRQ WKH
&RXUWVRI$SSHDOVDUHUHFRJQL]HGWRKDYHDQLQKHUHQWSRZHU
WR UHFDOO WKHLU PDQGDWHV VXEMHFW WR UHYLHZ IRU DEXVH RI
GLVFUHWLRQ6HHLGDW FLWLQJ+DZDLL+RXVLQJ$XWKRULW\
Y0LGNLII86 VHHDOVR%HOO6RXWK
&RUSY)HGHUDO&RPPXQLFDWLRQV&RPP)G
WK &LU 2QH RI WKH UHDVRQV ZKLFK ZRXOG MXVWLI\
UHFDOOLQJDPDQGDWHLVWKHSRWHQWLDOH[LVWHQFHRIDIUDXGXSRQ
WKHFRXUW6HHLGDW
%HIRUHZHUHDFKWKHLVVXHRIDEXVHRIGLVFUHWLRQKRZHYHU
ZHPXVWH[DPLQHZKHWKHURUQRWWKH&DOGHURQY7KRPSVRQ
&RXUW LQWHQGHG WKDW D UHFDOO RI D PDQGDWH EDVHG XSRQ D
SRWHQWLDOIUDXGRQWKHFRXUWEHORZVKRXOGEHVXEMHFWWRWKH
VHFRQG RU VXFFHVVLYH SHWLWLRQ UHTXLUHPHQWV RI WKH
$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRIIRXQG
DW86&†$VDJHQHUDOUXOHZKHQDPDQGDWHLV
UHFDOOHGZLWKUHVSHFWWRDSHWLWLRQIRUDZULWRIKDEHDVFRUSXV
WKHSHWLWLRQHUILUVWPXVWVDWLVI\WKHUHTXLUHPHQWVIRUWKHILOLQJ
RIDVHFRQGRUVXFFHVVLYHSHWLWLRQDVRXWOLQHGLQ† E
6HH&DOGHURQY7KRPSVRQ86DW$VWKH&RXUW
QRWHG LI WKLV ZHUH QRW WKH UHTXLUHPHQW SHWLWLRQHUV FRXOG
HYDGHWKHEDUDJDLQVWUHOLWLJDWLRQRIFODLPVSUHVHQWHGLQDSULRU
DSSOLFDWLRQ RU WKH EDU DJDLQVW OLWLJDWLRQ RI FODLPV QRW
SUHVHQWHGLQDSULRUDSSOLFDWLRQ,G
:KLOH WKH &RXUW V FRQFOXVLRQV ZLWK UHVSHFW WR WKH
DSSOLFDELOLW\RIVHFWLRQWRUHFDOOVRIPDQGDWHVZDVLQIDFW
GLFWDDQGQRWWKHKROGLQJRIWKHFDVHLWQHYHUWKHOHVVUHFHLYHG
1RV :RUNPDQY%HOO
VXJJHVWHGWKDW³ZHKDYHQRGRXEWWKDWWKHH[LWZRXQGZRXOG
KDYHEHHQODUJHUWKDQWKHHQWU\ZRXQG´LGDWEHFDXVHLW
ZDV QRWEDVHGXSRQHYLGHQFHLQWKHKDEHDVFRUSXVUHFRUG
:H IDLOHG WR LQFOXGH LQ WKDW RSLQLRQ WKH IDFW WKDW WKH H[LW
ZRXQGZDVLQDQLUUHJXODUVKDSHEXWZKLFKDWLWVZLGHVWZDV
LQFKHV$OWKRXJK'U6SHUU\WHVWLILHGWKDWWKHH[LWZRXQG
ZDV VPDOOHU WKDQ WKH HQWUDQFH ZRXQG LW LV FOHDU WKDW
LQFKHVLVZLGHUWKDQLQFKHVHYHQLILWLVRQO\LQFKHV
ORQJ,IWKHUHLVDQ\WDONLQJRXWRIERWKVLGHVRIWKHPRXWKLW
ZRXOG SUREDEO\ EH IURP 'U 6SHUU\ IRU KH WHVWLILHG LQ WKH
FOHPHQF\ SURFHHGLQJ EHIRUH 7HQQHVVHH *RYHUQRU 'RQ
6XQGTXLVW WKDW ³,I , ZDV DVNHG WKH TXHVWLRQ GR , KDYH DQ
RSLQLRQDVWRZKDWEXOOHWLWZDV,FRXOGQRWWHOO\RXEHFDXVH
,FRXOGQRWPHHWWKDWOHYHORIFHUWDLQW\+RZHYHU,WKLQNLW
PRUHSUREDEOHWKDQQRWWKDWLWZDVWKHDQGQRWWKH´
7KDWDSSHDUVWRFRQWUDGLFWKLVDIILGDYLWEHIRUHWKLVFRXUWLQ
ZKLFK KH FODLPV WKDW ³7R D UHDVRQDEOH GHJUHH RI PHGLFDO
FHUWDLQW\μWKHEXOOHWZDVQRWDFDOLEHUVLOYHUWLSKROORZ
SRLQWEXOOHW¶´7KHUHLVQRWKLQJQHZLQKLVFRQFOXVLRQVWKDW
ZDVQRWFRQVLGHUHGSUHYLRXVO\E\WKHGLVWULFWFRXUWDQGRXU
RULJLQDOSDQHO
7(67,021<2)+$52/''$9,6
7KH SHWLWLRQHU QRZ DVVHUWV WKDW WKH SURVHFXWLRQ XVHG
SHUMXUHGWHVWLPRQ\DWWKHWLPHRIWKHRULJLQDOWULDO7KLVLVVXH
ZDVSUHYLRXVO\UDLVHGLQKLVILUVWSHWLWLRQ6HHLGDW
2EYLRXVO\KHGLGQRWKDYHWKHUHFDQWHGWHVWLPRQ\ZKHQWKH
ILUVWSHWLWLRQZDVILOHGEHFDXVHKHZDVXQDEOHWRFRQYLQFHWKH
FRXUWWKDWWKHWHVWLPRQ\RI'DYLVZDVIDOVHH[FHSWWRVKRZ
WKDWQRRQHKDGVHHQKLPDWWKHVFHQHRIWKHFULPH+RZHYHU
'DYLV QRZ DGPLWV KH ZDV DW WKH VFHQH %HIRUH WKH ILUVW
KDEHDVSHWLWLRQZDVILOHG:RUNPDQ¶VFRXQVHOKDGDOUHDG\
PDGHFRQWDFWZLWK'DYLVZKRKDGGHQLHGWKDWKLVWHVWLPRQ\
ZDVFRHUFHGRUIDOVH,QDGGLWLRQLWLVQRWHZRUWK\WKDWWKH
UHFDQWDWLRQ VWDWHPHQW ILOHG LQ WKLV FRXUW LV QRW XQGHU RDWK
XQOLNH KLV WHVWLPRQ\ DW WULDO DQG LV LQ FRQWUDGLFWLRQ WR WKH
RWKHUVWDWHPHQWILOHGE\9LYLDQ3RUWHUWKDW'DYLVZDVZLWKKHU
WKHQLJKW2OLYHUZDVVKRWDWDQHQWLUHO\GLIIHUHQWORFDWLRQ
+LVUHFDQWHGVWDWHPHQWDGPLWVWKDWKHZDVDWWKH:HQG\¶V

-- 6 of 12 --

:RUNPDQY%HOO 1RV
%HIRUH'U6SHUU\HYHUVDZWKH;UD\KHFRQFOXGHGLQKLV
DIILGDYLW LQ WKDW WKH EXOOHW WKDW ZHQW WKURXJK 2OLYHU
³FUHDWHGDQH[LWZRXQGVPDOOHUWKDQWKHHQWU\ZRXQG´7KDW
LV HUURQHRXV EHFDXVH KH EDVHG LW XSRQ WKH DXWRSV\ UHSRUW
ZKLFKFOHDUO\VKRZVWKDWWKHH[LWZRXQGLVLQDMDJJHGIRUP
PHDVXULQJ[ZKLFKLVVRPHZKDWODUJHUDQGPXFK
PRUH GLVWRUWHG WKDQ WKH HQWU\ ZRXQG ZKLFK LV LQ
GLDPHWHU 7KHUHIRUH DV 'U 6SHUU\ ZDV DEOH WR UHDFK KLV
FRQFOXVLRQVORQJEHIRUHKHHYHUVDZWKH;UD\WKH;UD\GRHV
QRWKLQJPRUHWKDQFRUURERUDWHWKHIDFWWKDWWKHEXOOHWH[LWHG
WKHERG\LQWDFW
7KHRWKHURSLQLRQVXJJHVWV
1RW RQO\ GLG WKH SDQHO >RI WKLV FRXUW@ DVN DERXW WKH
H[LVWHQFHRIDQ[UD\DWRUDODUJXPHQWEXWLWVSHFLILFDOO\
FRPPHQWHG WKDW WKH ODFN RI DQ [UD\ LQIOXHQFHG LWV
GHFLVLRQLQLWVZULWWHQGLVSRVLWLRQ
,WVXJJHVWVODWHU
7KHSDQHORIRXUFRXUWWKDWRULJLQDOO\KHDUGWKLVDSSHDO
GLG QRW NQRZ RI WKH H[LVWHQFH RI DQ [UD\ VKRZLQJ
2OLYHU¶VZRXQGV,WVSHFXODWHGWKDWLQWKHDEVHQFHRIDQ
[UD\ ZKLFK ZRXOG GLVSURYH WKH WKHRU\ WKDW RQO\ D
IUDJPHQWRIWKHFDOLEHUEXOOHWH[LWHG2OLYHU¶VERG\
WKXVFUHDWLQJWKHVPDOOHUH[LWZRXQGWKHUHZDVQRUHDVRQ
WRFRQFOXGHWKDW:RUNPDQ¶VEXOOHWGLGQRWDFWXDOO\FDXVH
2OLYHU¶VPRUWDOZRXQG
$GPLWWHGO\WKHRULJLQDOSDQHORIWKLVFRXUWGLGQRWNQRZRI
DQ\;UD\HYLGHQFHDQGVXFKDVWDWHPHQWZDVVSHFXODWLRQ
+RZHYHUWKHODFNRI;UD\HYLGHQFHZDVQRWPHQWLRQHGLQ
WKHRSLQLRQDQGWKHODFNRIWKH;UD\KDGQREHDULQJRQWKH
XOWLPDWH FRQFOXVLRQ E\ WKH SDQHO 7KH RWKHU RSLQLRQ
HUURQHRXVO\FLWHVWKHRULJLQDOGHFLVLRQ:RUNPDQY%HOO
)G WK &LU ZKLFK ZDV VXSHUVHGHG XSRQ D
SHWLWLRQIRUUHKHDULQJE\WKHGHFLVLRQZKLFKLVQRZEHIRUHWKH
FRXUW:RUNPDQY%HOO)G WK&LU 2XU
FRXUWGLGQRW³WDONRXWRIWKHRWKHUVLGHRIRXUPRXWKV´DV
VXJJHVWHGE\WKHRWKHURSLQLRQ,WZDVGLFWXPZKHQWKHFRXUW
1RV :RUNPDQY%HOO
WKHDSSURYDORIDXQDQLPRXV&RXUW7KLVUXOHLVQRWZLWKRXW
H[FHSWLRQVKRZHYHU7KH&RXUWFOHDUO\VWDWHG
:HVKRXOGEHFOHDUDERXWWKHFLUFXPVWDQFHVZHDGGUHVV
LQWKLVFDVH:HGHDOQRWZLWKWKHUHFDOORIDPDQGDWHWR
FRUUHFWPHUHFOHULFDOHUURUVLQWKHMXGJPHQWLWVHOIVLPLODU
WRWKRVHGHVFULEHGLQ)HGHUDO5XOHRI&ULPLQDO3URFHGXUH
RU)HGHUDO5XOHRI&LYLO3URFHGXUH D 7KH6WDWH
FDQ KDYH OLWWOH LQWHUHVW EDVHG RQ UHOLDQFH RU RWKHU
JURXQGVLQSUHVHUYLQJDPDQGDWHQRWLQDFFRUGDQFHZLWK
WKHDFWXDOGHFLVLRQUHQGHUHGE\WKHFRXUW7KLVDOVRLVQRW
DFDVHRIIUDXGXSRQWKHFRXUWFDOOLQJLQWRTXHVWLRQWKH
YHU\OHJLWLPDF\RIWKHMXGJPHQW1RULVWKLVDFDVHZKHUH
WKHPDQGDWHLVVWD\HGXQGHU)HGHUDO5XOHRI$SSHOODWH
3URFHGXUH SHQGLQJ WKH FRXUW V GLVSRVLWLRQ RI D
VXJJHVWLRQIRUUHKHDULQJHQEDQF
,GDW FLWDWLRQRPLWWHG HPSKDVLVDGGHG 7KXVFDVHVRI
IUDXGXSRQWKHFRXUWDUHH[FHSWHGIURPWKHUHTXLUHPHQWVRI
VHFWLRQ7KHUDWLRQDOHVWKDWOLHEHKLQGVXFKDQH[FHSWLRQ
DUHSHUVXDVLYH)LUVWWKHUHTXLUHPHQWVRIVHFWLRQSODFH
WKHEXUGHQRQWKHSHWLWLRQHUWRSURYHWKDWWKHRXWFRPHRIKLV
FDVHZRXOGKDYHEHHQGLIIHUHQWLQWKHIDFHRIQHZHYLGHQFH
IRUFLQJ KLP WR SURYH WKDW KLV ILUVW WULDO ZDV IXQGDPHQWDOO\
XQIDLU ,Q PRVW FDVHV WKLV EXUGHQ OLHV ZLWK WKH SULVRQHU
EHFDXVHLWZRXOGKDYHEHHQKLVGXW\WRVHDUFKIRUDQGDUJXH
WKHHYLGHQFHLQKLVIDYRUDWWKHWLPHRIWULDO3ULVRQHUVEHDU
WKDWGXW\LQRUGHUWRDYRLGVXEMHFWLQJWKHFRXUWVWRUHSHDWHG
UHOLWLJDWLRQGXHWRWKHVXEPLVVLRQRIHYLGHQFHZKLFKFRXOG
KDYHEHHQGLVFRYHUHGHDUOLHU7KDWLVQRWWKHVLWXDWLRQEHIRUH
XV,QDFDVHRIIUDXGXSRQWKHFRXUWDVQRWHGDERYHWKH
OHJLWLPDF\RIWKHMXGJPHQWLVFDOOHGLQWRTXHVWLRQEHFDXVHRI
WKH LQWHQWLRQDO ZURQJGRLQJ RI WKH SURVHFXWLRQ QRW WKH
LQDFWLRQRULQHIILFLHQF\RIWKHGHIHQVH:KHUHDSULVRQHUFDQ
VKRZ WKDW WKH VWDWH SXUSRVHIXOO\ ZLWKKHOG H[FXOSDWRU\
HYLGHQFH WKDW SULVRQHU VKRXOG QRW EH IRUFHG WR EHDU WKH
EXUGHQRIVHFWLRQZKLFKLVPHDQWWRSURWHFWDJDLQVWWKH
SULVRQHU KLPVHOI ZLWKKROGLQJ VXFK LQIRUPDWLRQ RU
LQWHQWLRQDOO\SURORQJLQJWKHOLWLJDWLRQ

-- 7 of 12 --

:RUNPDQY%HOO 1RV
6HFRQGWKH&RXUWQRWHGWKDWDIUDXGXSRQWKHFRXUWFDOOV
LQWR TXHVWLRQ WKH YHU\ OHJLWLPDF\ RI D MXGJPHQW 7KDW
FKDUDFWHUL]DWLRQ RI WKH VLWXDWLRQ ZKLFK DULVHV ZKHQ WKH
SURVHFXWLRQIDLOVWRUHYHDOH[FXOSDWRU\HYLGHQFHWRWKHGHIHQVH
ZRXOGVHHPWRVDWLVI\DWOHDVWLQVSLULWWKHUHTXLUHPHQWRI
VHFWLRQ 7KH GLIIHUHQFH EHWZHHQ TXHVWLRQV RI IUDXG
XSRQ WKH FRXUW DQG RUGLQDU\ QHZO\GLVFRYHUHG HYLGHQFH
VLWXDWLRQVLVWKDWDQDOOHJDWLRQRIIUDXGFDVWVDGDUNVKDGRZ
RYHUWKHSURVHFXWLRQ VLQWHQWLRQV7KHVLWXDWLRQVXJJHVWVWKDW
DMXGJPHQWPD\KDYHEHHQUHDFKHGZLWKWKHDVVLVWDQFHRID
SURVHFXWRUZKRPD\QRWKDYHKDGWKHLQWHQWLRQRIILQGLQJWKH
WUXHSHUSHWUDWRU6XFKDMXGJPHQWLVLQKHUHQWO\XQUHOLDEOH
DQG WKHUHIRUH VDWLVILHV WKH UHTXLUHPHQWV RI VHFWLRQ LQ
VSLULW
2XU WDVN WKHQ LV WR GHWHUPLQH ZKHWKHU :RUNPDQ KDV
DOOHJHG VXIILFLHQW IDFWV WR VXSSRUW DQ HYLGHQWLDU\ KHDULQJ
EHIRUH WKH GLVWULFW FRXUW WR GHWHUPLQH ZKHWKHU WKHUH ZDV D
IUDXG RQ WKH FRXUW EHORZ )LUVW :RUNPDQ PDLQWDLQV WKDW
SROLFHFRHUFHGDOOHJHGH\HZLWQHVV'DYLVLQWRH[SDQGLQJWKH
VFRSHDQGGHWDLORIKLVWHVWLPRQ\RXWVLGHRIZKDWKHDFWXDOO\
ZLWQHVVHG DW WKH WLPH RI /W 2OLYHU V GHDWK $FFRUGLQJ WR
'DYLV VWULDOWHVWLPRQ\KHDFWXDOO\ZLWQHVVHG/W2OLYHUEHLQJ
VKRW E\ :RUNPDQ GXULQJ WKH DOWHUFDWLRQ RXWVLGH RI WKH
:HQG\ VUHVWDXUDQWDQGKHYLHZHGWKHHQWLUHDOWHUFDWLRQIURP
RXWVLGHRIKLVYHKLFOH,QDGGLWLRQWKHVHTXHQFHRIHYHQWVWR
ZKLFK 'DYLV WHVWLILHG PDGH LW LPSRVVLEOH IRU DQ\RQH RWKHU
WKDQ:RUNPDQWRKDYHVKRW/W2OLYHU+LVWHVWLPRQ\SODFHG
2IILFHU6WRGGDUGRQWKHJURXQGZLWKDJXQVKRWZRXQGWRKLV
ULJKWDUPDQGDGGLWLRQDOO\SODFHG2IILFHU3DUNHUHQURXWHWR
WKHVFHQHIURPWKHRWKHUVLGHRIWKHEXLOGLQJDWWKHWLPHRIWKH
LQMXU\ZKLFKUHVXOWHGLQ2OLYHU VGHDWK$FFRUGLQJWR'DYLV V
UHFDQWDWLRQZKLFKZDVREWDLQHGIRUWKHILUVWWLPHLQ2FWREHU
'DYLV ZDV DFWXDOO\ KLGLQJ LQ KLV FDU XQDEOH WR VHH
HLWKHUWKHVHTXHQFHRIHYHQWVRUWRGHWHUPLQHZKRDFWXDOO\
VKRW2OLYHUDOWKRXJKKHGLGUHFDOOVHHLQJWKURXJKKLVUHDU
YLHZPLUURU:RUNPDQDQGDQXQLGHQWLILHGQXPEHURIRIILFHUV
VWUXJJOLQJZKHUHDIWHURQHRIILFHUIHOOEDFNDQGSXOOHGKLVJXQ
$WWKDWWLPH'DYLVOHIWWKHVFHQH'DYLVQRZDVVHUWVWKDWKH
GLGQRWOHDYHKLVYHKLFOHDWDQ\WLPHDQGWKDWKHGLGQRWVHH
1RV :RUNPDQY%HOO
7KH DXWRSV\ UHSRUW DQG SKRWRJUDSK\ HVWDEOLVK WKDW D
SURMHFWLOH FUHDWHG D ZRXQG WUDFN DFURVV WKH YLFWLP¶V
FKHVW7KHSURMHFWLOHWKDWFDXVHGWKLVZRXQGWUDFNGLGQRW
IUDJPHQW LQVLGH WKH YLFWLP¶V ERG\ ,W WUDYHUVHG WKH
YLFWLP¶VFKHVWDQGHPHUJHGIURPKLVERG\LQWDFW
,W LV VLJQLILFDQW WKDW KH VWUXFN RXW WKH VWDWHPHQW REYLRXVO\
IXUQLVKHG E\ SHWLWLRQHU¶V FRXQVHO WKDW VXJJHVWHG WKH
FRQFOXVLRQ FDPH IURP ;UD\ HYLGHQFH 7KLV DIILGDYLW LV
FRQVLVWHQWZLWKDQDIILGDYLWGDWHG6HSWHPEHUZKLFK
ZDVSUHVHQWHGWRWKHGLVWULFWFRXUWKHDULQJWKHKDEHDVFRUSXV
SHWLWLRQZKHQ'U6SHUU\VWDWHGWKHUHLQWKDW³([KLELWV&DQG
'>DXWRSV\SURWRFRODQGSLFWXUH@LQGLFDWHWKDWWKHEXOOHWWKDW
FUHDWHG WKH LOOXVWUDWHG EXOOHW ZRXQGV H[LWHG WKH GHFHGHQW¶V
ERG\DQGLQGRLQJVRFUHDWHGDQH[LWZRXQGVPDOOHUWKDQWKH
HQWU\ZRXQG´0RUHRYHUWKHDXWRSV\UHSRUWGLGQRWUHYHDO
WKHH[LVWHQFHRIDQ\EXOOHWIUDJPHQWVLQ2OLYHU¶VERG\7KXV
WKH;UD\KDVSURYHQQRWKLQJWKDWWKHRULJLQDODXWRSV\DQG
SKRWRJUDSKV IDLOHG WR VKRZ 7KH ;UD\ GRHV QRW VKRZ
ZRXQGVEXWRQO\VKRZVWKDWWKHEXOOHWGLGQRWIUDJPHQWLQ
2OLYHU¶VERG\
'U6SHUU\ILOHGDQRWKHUDIILGDYLWRQ$SULOLQZKLFK
KHDPSOLILHGXSRQKLVSUHYLRXVDIILGDYLWE\VD\LQJ
7KDW[UD\HVWDEOLVKHVWKDWWKHEXOOHWWKDWNLOOHGWKHYLFWLP
GLGQRWIUDJPHQWLQVLGHWKHYLFWLP¶VERG\7KDW[UD\
HVWDEOLVKHVWKDWWKHEXOOHWWKDWNLOOHGWKHYLFWLPHPHUJHG
IURPKLVERG\LQWDFW%HFDXVHWKH[UD\HVWDEOLVKHVWKDW
WKH EXOOHW WKDW NLOOHG WKH YLFWLP GLG QRW IUDJPHQW DQG
EHFDXVHWKH[UD\HVWDEOLVKHVWKDWWKHEXOOHWWKDWNLOOHGWKH
YLFWLP HPHUJHG IURP KLV ERG\ LQWDFW , EHOLHYH WR D
UHDVRQDEOHGHJUHHRIPHGLFDOFHUWDLQW\WKDWWKHEXOOHWWKDW
NLOOHGWKHYLFWLPZDVQRWDVLOYHUWLSKROORZSRLQW
EXOOHW
$OWKRXJK KH DGGHG ODQJXDJH WR KLV SUHYLRXV DIILGDYLW KH
FDPHWRWKHVDPHHDUOLHUFRQFOXVLRQSULRUWRORRNLQJDWWKH
DGGLWLRQDO;UD\HYLGHQFH

-- 8 of 12 --

:RUNPDQY%HOO 1RV
HTXLYDOHQWPRWLRQLQWKHFRXUWRIDSSHDOVZKLFKLVWR
VD\ D PRWLRQ WR UHFDOO WKH PDQGDWH LV D ³VHFRQG RU
VXFFHVVLYH´DSSOLFDWLRQIRUSXUSRVHVRI† E
%XUULVY3DUNH)G WK&LU FLWLQJ,Q
UH 6DSS )G WK &LU $GPLWWHGO\ WKH
GHFLVLRQLQ&DOGHURQ86DWOHIWRSHQWKHTXHVWLRQ
RIZKHWKHUDSHWLWLRQHUPD\UDLVHWKHYHU\OLPLWHGLVVXHRID
IUDXGXSRQWKHFRXUW7KHRWKHURSLQLRQVD\VWKDWWKHUHLVD
GLIIHUHQFH EHWZHHQ IUDXG XSRQ WKH FRXUW DQG QHZO\
GLVFRYHUHGHYLGHQFHEXWWKHDOOHJHGIUDXGXSRQWKHFRXUWKHUH
LV EDVHG XSRQ QHZO\GLVFRYHUHG HYLGHQFH WKDW LV WKH
GLVFRYHU\RIWKH;UD\RIWKHYLFWLP¶VERG\DQGDUHFDQWHG
VWDWHPHQWE\DQH\HZLWQHVV+DUROG'DYLV7KHHYLGHQFHPD\
EHFRQVLGHUHGQHZO\GLVFRYHUHGWR:RUNPDQEXWIRUUHDVRQV
VWDWHGKHUHLQDIWHU,VXJJHVWWKDWWKH;UD\DGGVQRWKLQJWRWKH
HYLGHQFHLQWKLVFDVH7KHUHIRUHLWLVQRWPDWHULDODQGWKH
DOOHJHG SHUMXUHG WHVWLPRQ\ E\ 'DYLV KDV DOUHDG\ EHHQ WKH
VXEMHFWRIDUXOLQJLQWKHILUVWSHWLWLRQ
;5$<(9,'(1&(
7KH;UD\RI/W2OLYHUZDVVXESRHQDHGQRWDWWKHWULDOEXW
RQO\IRUWKHGLVWULFWFRXUWKDEHDVFRUSXVSURFHHGLQJ,WZDV
DOVRVXESRHQDHGIURPWKH6KHOE\&RXQW\0HGLFDO([DPLQHU
QRW UHTXHVWHG RI WKH SURVHFXWLRQ ,W ZDV QRW SURGXFHG
SUREDEO\ E\ LQDGYHUWDQFH )RU SXUSRVHV RI WKLV GHFLVLRQ
KRZHYHUZHPXVWDVVXPHLWZDVZLWKKHOGLQWHQWLRQDOO\7KH
DWWRUQH\IRUWKH6WDWHGLGQRWKDYHWKH;UD\DWWKHWULDOVRIDU
DV WKH UHFRUG VKRZV ,W ZDV LQ WKH FXVWRG\ RI WKH 6KHOE\
&RXQW\0HGLFDO([DPLQHU:KDWGRHVLWVKRZ",WVKRZVWKDW
WKHEXOOHWZKLFKNLOOHG2OLYHUOLNHO\ZHQWWKURXJKWKHERG\
LQWDFW:LWKRXWRWKHUHYLGHQFHRQHFDQQRWHYHQNQRZWKH
ORFDWLRQV RI WKH HQWU\ KROH DQG WKH H[LW ZRXQG %\ RWKHU
HYLGHQFHKRZHYHUERWKVLGHVDJUHHWKDWWKHHQWU\KROHZDVRQ
WKHOHIWFKHVWDQGWKHH[LWZDVRQWKHULJKWEDFN
%XWWKHWULDOFRXUWDQGWKHKDEHDVFRUSXVFRXUWDOUHDG\NQHZ
WKDWIURPWKHHYLGHQFH(YHQ'U6SHUU\¶VRULJLQDODIILGDYLW
H[HFXWHGRQ0DUFKVWDWHGWKDWDOWKRXJKKHKDGWKHQ
UHYLHZHGWKH;UD\
1RV :RUNPDQY%HOO
ZKRVKRW/W2OLYHU$GGLWLRQDOO\KHWHVWLILHGWKDWKHZDV
XQGHUWKHLQIOXHQFHRIERWKGUXJVDQGDOFRKROWKDWQLJKW7KLV
UHFDQWDWLRQLVFRQVLVWHQWZLWKKLVRULJLQDOVWDWHPHQWWRSROLFH
WDNHQZLWKLQKRXUVDIWHUWKHFULPHZKLFKLQGLFDWHVWKDWKH
VDZ DQ XQLGHQWLILHG QXPEHU RI RIILFHUV VWUXJJOLQJ ZLWK
:RUNPDQDQGVDZRQHSROLFHPDQIDOOEDFN,QH[SODLQLQJWKH
GLIIHUHQFH EHWZHHQ KLV RULJLQDO VWDWHPHQW DQG VXEVHTXHQW
UHFDQWDWLRQDQGWKHLQWHUYHQLQJWULDOWHVWLPRQ\ZKLFKKHJDYH
'DYLVDVVHUWVWKDWDIWHUKHWROGSROLFHWKDWKHKDGEHHQLQWKH
YLFLQLW\ ZKHQ WKH VKRRWLQJ RFFXUUHG WKH\ FRUUHFWHG KLV
VWDWHPHQWWKUHDWHQHGWRDUUHVWKLPLIKHGLGQRWWHVWLI\DWWULDO
DQGWKDWWKHSURVHFXWRUVWROGKLPZKDWKLVWHVWLPRQ\VKRXOG
EHDWWULDO,QDGGLWLRQKHFODLPVWKDWODWHRQHQLJKWDELJ
ZKLWHJX\FDPHDQGNQRFNHGRQP\GRRUDQGKHVDLGKHKDG
DPHVVDJHIRUPHWKDWLI,FKDQJHGP\WHVWLPRQ\LQDQ\
ZD\WKDWSHRSOHDUHQRWDOORZHGWRWHOODERXWFRXOGGLVDSSHDU
OLNH,FRXOG>DQGW@KDW VZK\, YHEHHQWUDYHOLQJDQGDOO
WKHVH \HDUV 'DYLV FODLPV WKDW KH KDV EHHQ PRYLQJ IURP
SODFHWRSODFHLQRUGHUWRDYRLGGHWHFWLRQE\DQ\RQHLQYROYHG
LQWKLVFDVHVRWKDWKHZRXOGQRWKDYHWRWHOOWKHWUXWKDQGULVN
GDQJHUWRKLPVHOIRUKLVIDPLO\
1H[W :RUNPDQ DUJXHV WKDW WKH SURVHFXWLRQ NQRZLQJO\
H[FOXGHG[UD\HYLGHQFHZKLFKWKHGHIHQVHKDGSUHYLRXVO\
UHTXHVWHG WKDW GHWDLOHG WKH QDWXUH RI WKH JXQVKRW ZRXQG
VXIIHUHGE\2OLYHU2QO\DIHZPRQWKVDJR:RUNPDQFDPH
LQWR SRVVHVVLRQ RI WKH [UD\ ZKLFK DOOHJHGO\ VKRZV WKDW
:RUNPDQ VEXOOHWGLGQRWIUDJPHQWLQ2OLYHU VERG\LQRUGHU
WR FDXVH WKH VPDOOHU H[LW ZRXQG $Q [UD\ RI WKLV W\SH
SUHYLRXVO\KDGEHHQUHTXHVWHGIURPWKH0HGLFDO([DPLQHU V
2IILFH:KHQWKHSURVHFXWLRQPDGHQRWHRIWKHH[LVWHQFHRI
DFKHVW[UD\RI/W2OLYHULQRQHRILWVILOLQJVZLWKWKHGLVWULFW
FRXUW:RUNPDQ VGHIHQVHWHDPDJDLQDSSURDFKHGWKH0HGLFDO
([DPLQHU V 2IILFH FRQFHUQLQJ WKH [UD\ DQG LW ZDV DW WKDW
WLPHSURGXFHG$FFRUGLQJWR:RUNPDQ VH[SHUWWKLVJXQVKRW
ZRXQG LV PRUH FRQVLVWHQW ZLWK WKH XVH RI D FDOLEHU
VWDQGDUGEXOOHWWKHW\SHWKDWWKHRIILFHUVZHUHFDUU\LQJDQG
QRWDKROORZSRLQWFDOLEHUEXOOHWOLNHWKHW\SH:RUNPDQ
ILUHG 7KH H[SHUW KDV LQGLFDWHG WKDW KROORZSRLQW EXOOHWV
QRUPDOO\ H[SDQG XSRQ HQWHULQJ WKH ERG\ FUHDWLQJ DQ H[LW

-- 9 of 12 --

:RUNPDQY%HOO 1RV
ZRXQG ODUJHU WKDQ WKH HQWUDQFH ZRXQG DQG FUHDWLQJ D
GLVWLQFWLYHZRXQGSDWWHUQQRWFRQVLVWHQWZLWK2OLYHU VLQMXULHV
$OWKRXJK :RUNPDQ V H[SHUW ZDV XQDEOH WR WHVWLI\ ZLWK
DEVROXWHFHUWDLQW\WKDW:RUNPDQ VEXOOHWGLGQRWNLOO2OLYHU
WKH WHVWLPRQ\ LQGLFDWHG WKDW LW ZDV KLJKO\ XQOLNHO\ DQG
:RUNPDQ VH[SHUWGLGQRWKDYHWKHRSSRUWXQLW\WRUHYLHZWKH
SUHYLRXVO\XQGLVFORVHG[UD\DWWKHWLPHKHZDVGHSRVHG
7KHHOHPHQWVRIDIUDXGXSRQWKHFRXUWDUHQXPHURXV
)UDXGRQWKHFRXUWLVFRQGXFW RQWKHSDUWRIDQRIILFHURI
WKHFRXUW WKDWLVGLUHFWHGWRWKHMXGLFLDOPDFKLQHU\LWVHOI
WKDWLVLQWHQWLRQDOO\IDOVHZLOIXOO\EOLQGWRWKHWUXWKRULVLQ
UHFNOHVVGLVUHJDUGIRUWKHWUXWK WKDWLVDSRVLWLYHDYHUPHQW
RUDFRQFHDOPHQWZKHQRQHLVXQGHUDGXW\WRGLVFORVH WKDW
GHFHLYHVWKHFRXUW6HH'HPMDQMXNY3HWURYVN\)G
WK&LU ,QRWKHUZRUGVDQRIILFHURIWKHFRXUW
PXVW KDYH LQWHQWLRQDOO\ RU UHFNOHVVO\ IDLOHG WR GLVFORVH
LQIRUPDWLRQ WR WKH FRXUW WKDW ZRXOG KDYH WKH UHVXOW RI
GHFHLYLQJ LW :H EHOLHYH WKDW WKH SULVRQHU KDV VKRZQ XV
VXIILFLHQW IDFWV WR FUHDWH D PDWHULDO GLVSXWH RI IDFW RQ WKLV
LVVXH7KHSURVHFXWLRQILQDOO\SURGXFHGDQ[UD\ZKLFKKDG
QRWEHHQGLVFORVHGWRWKHGHIHQGDQWHLWKHUE\WKHSURVHFXWLRQ
RUE\WKHDUPRIWKHJRYHUQPHQWIURPZKLFKLWZDVUHTXHVWHG
WKH 0HGLFDO ([DPLQHU V 2IILFH %RWK WKH GLVWULFW FRXUW V
VXPPDU\MXGJPHQWGHWHUPLQDWLRQDQGWKLVSDQHO VUHYLHZRI
WKDW GHFLVLRQ IRFXVHG RQ WKH ODFN RI DQ [UD\ ZKLFK FRXOG
SURYHRUGLVSURYHWKHWKHRU\WKDW:RUNPDQ VEXOOHWVLPSO\
GLVLQWHJUDWHGXSRQHQWHULQJ2OLYHU VERG\1RWRQO\GLGWKH
SDQHODVNDERXWWKHH[LVWHQFHRIDQ[UD\DWRUDODUJXPHQWEXW
LWVSHFLILFDOO\FRPPHQWHGWKDWWKHODFNRIDQ[UD\LQIOXHQFHG
LWVGHFLVLRQLQLWVZULWWHQGLVSRVLWLRQ,QDGGLWLRQWKHUHLVD
PDWHULDOGLVSXWHRIIDFWEDVHGRQWKHDFFXVDWLRQVRI+DUROG
'DYLVFRQFHUQLQJZKHWKHUWKHSURVHFXWLRQFRHUFHGKLPLQWR
SHUMXULQJ KLPVHOI GXULQJ WKH FRXUVH RI :RUNPDQ V WULDO
%DVHG RQ WKHVH IDFWV WKH SULVRQHU LV HQWLWOHG WR D IXOO
HYLGHQWLDU\KHDULQJWRGHWHUPLQHZKHWKHURUQRWDIUDXGZDV
FRPPLWWHGRQWKHGLVWULFWFRXUWRUWKHSDQHOEHORZ
1RV :RUNPDQY%HOO
BBBBBBBBBBBBBBB
',66(17
BBBBBBBBBBBBBBB
6,/(5 &LUFXLW -XGJH MRLQHG E\ 1(/621 5<$1
%2**61255,668+5+(,15,&+DQG%$7&+(/'(5
&LUFXLW-XGJHV7KHSHWLWLRQIRUDZULWRIKDEHDVFRUSXVZDV
GHQLHGE\DSDQHORIWKLVFRXUWLQ:RUNPDQY%HOO)G
WK &LU FHUW GHQLHG 6 &W
7KHUHDIWHULQ0DUFK:RUNPDQILOHGDPRWLRQIRUOHDYH
WRILOHWKHVHFRQGKDEHDVFRUSXVSHWLWLRQDQGDPRWLRQIRUD
GHFODUDWLRQWKDW86&†GRHVQRWDSSO\WRVSHFLILHG
FODLPV 7KLV ZDV GHQLHG E\ D SDQHO RI WKLV FRXUW E\ DQ
XQSXEOLVKHGRUGHU )LQDOO\:RUNPDQILOHGWKHSHWLWLRQWR
UHKHDUWKLVPDWWHUHQEDQFZKLFKLVQRZSHQGLQJEHIRUHXV
:RUNPDQFKDUDFWHUL]HGKLVPRWLRQEHIRUHWKHSDQHODVRQHWR
³UHRSHQ´,IWKDWLVD³VHFRQGRUVXFFHVVLYHSHWLWLRQ´XQGHU
WKH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI
$('3$ 86&†WKHQZHGRQRWKDYHMXULVGLFWLRQ
WRFRQVLGHUWKLVPDWWHUHQEDQF
7KHJUDQWRUGHQLDORIDQDXWKRUL]DWLRQE\DFRXUWRI
DSSHDOVWRILOHDVHFRQGRUVXFFHVVLYHDSSOLFDWLRQVKDOO
QRW EH DSSHDODEOH DQG VKDOO QRW EH WKH VXEMHFW RI D
SHWLWLRQIRUUHKHDULQJRUIRUDZULWRIFHUWLRUDUL
86&† E ( 7KHGHFLVLRQIURP,QUH.LQJ
)G WK&LU HQEDQF FHUWGHQLHG
6&W VXSSRUWVWKDWFRQFOXVLRQ
:RUNPDQ¶VUHTXHVWZDVQRWWRUHFDOOWKHPDQGDWHEXWZDV
DPRWLRQWRUHRSHQ,IDPRWLRQWRUHRSHQLVWKHHTXLYDOHQWRI
DPRWLRQWRUHFDOOWKHPDQGDWHVXFKDPRWLRQ³RQWKHEDVLVRI
WKHPHULWVRIWKHXQGHUO\LQJGHFLVLRQFDQEHUHJDUGHGDVD
VHFRQGRUVXFFHVVLYHDSSOLFDWLRQIRUSXUSRVHVRI>86&@
† E ´ &DOGHURQ Y 7KRPSVRQ 86

$SSHOODWH FRXUWV DJUHH WKDW D SRVWMXGJPHQW PRWLRQ
XQGHU)HG5&LY3 E LQWKHGLVWULFWFRXUWRUWKH

-- 10 of 12 --

:RUNPDQY%HOO 1RV
,IWKHDOOHJHGFRQVWLWXWLRQDOYLRODWLRQVDUHSURYHQDMXU\
FRXOG KDYH KDG D UHDVRQDEOH GRXEW DERXW ZKHWKHU 3KLOLS
:RUNPDQDFWXDOO\ILUHGWKHZHDSRQZKLFKNLOOHG/W2OLYHU
RUZKHWKHULQWKHDOWHUQDWLYHKHZDVNLOOHGE\IULHQGO\ILUH
:HZRXOGWKHUHIRUH5(9(56(WKHGHFLVLRQRIWKH'LVWULFW
&RXUW ILQGLQJ VXPPDU\ MXGJPHQW LQ IDYRU RI WKH VWDWH RI
7HQQHVVHH DQG 5(0$1' IRU DQ HYLGHQWLDU\ KHDULQJ
FRQFHUQLQJ WKH FRQVWLWXWLRQDO HUURUV ZKLFK DUH DOOHJHG WR
MXVWLI\WKHLVVXDQFHRIDZULWRIKDEHDVFRUSXVLQWKLVFDVH
1RV :RUNPDQY%HOO
7KH 6XSUHPH &RXUW LQ &DOGHURQ Y 7KRPSVRQ 86
PDGH FOHDU WKDW WKH VXEVWDQWLYH VWDQGDUG RI † E PXVW ZLWK FHUWDLQ
H[FHSWLRQV WKDW ZHUH QRWHG HDUOLHU EH DSSOLHG WR YLUWXDOO\ DQ\ SRVW
MXGJPHQW PRWLRQ LQ D KDEHDV FDVH 7KLV UHVXOW LV HQWLUHO\ VHQVLEOH IRU
KDEHDV SHWLWLRQHUV VKRXOG QRW EH DEOH WR PDNH DQ HQGUXQ DURXQG WKH
UHTXLUHPHQWV RI $('3$ E\ VLPSO\ VW\OLQJ WKHLU VHFRQG RU VXFFHVVLYH
SHWLWLRQ D PRWLRQ WR UHRSHQ +RZHYHU WKH 7KRPSVRQ RSLQLRQ GLG QRW
VSHDN WR WKH MXULVGLFWLRQ RI DSSHOODWH FRXUWV SXUVXDQW WR † E (
DQG ZH VHH QR UHDVRQ WR UHDG WKDW MXULVGLFWLRQDO SURYLVLRQ EURDGO\ 7KLV
LV WKH UHDVRQ WKDW ,Q UH .LQJ )G WK &LU FHUW GHQLHG
6&W GLVFXVVHG DERYH LQ 6HFWLRQ , RI WKLV RSLQLRQ LV QRW
FRQWUROOLQJ
:H DUH QRW UHYLHZLQJ DQ DSSOLFDWLRQ IRU SHUPLVVLRQ WR ILOH D VHFRQG
SHWLWLRQ RU D SDQHO V GHFLVLRQ WR SHUPLW RU GHQ\ VXFK D UHTXHVW ,Q RUGHU WR
GR FRPSOHWH MXVWLFH LQ WKLV GHDWK SHQDOW\ FDVH LW LV QHFHVVDU\ WR GLUHFW WKH
GLVWULFW FRXUW WR UHYLHZ WKH QHZ IDFWV ERWK XQGHU D IUDXG RQ WKH FRXUW
VWDQGDUG DQG LQGHSHQGHQWO\ XQGHU D QHZO\ GLVFRYHUHG HYLGHQFH VWDQGDUG
7R SURKLELW VXFK D UHYLHZ FRXOG RWKHUZLVH OHDG WR WKH H[HFXWLRQ RI D
SHUVRQ ZKR GLG QRW LQ IDFW FRPPLW WKH PXUGHU IRU ZKLFK KH LV VHQWHQFHG
,,,(YLGHQWLDU\+HDULQJRQWKH1HZO\'LVFRYHUHG
(YLGHQFH
,QDGGLWLRQWRDGGUHVVLQJWKHLVVXHRIIUDXGXSRQWKHFRXUW
WKH GLVWULFW FRXUW VKRXOG DOVR DGGUHVV :RUNPDQ V QHZ
HYLGHQFHLQGHSHQGHQWRIWKHDOOHJDWLRQRIIUDXG:KHWKHURU
QRWDQLQWHQWLRQDORUUHFNOHVVIUDXGZDVFRPPLWWHG:RUNPDQ
PD\VWLOOVDWLVI\WKHOHVVVWULQJHQWUHTXLUHPHQWVRI%UDG\Y
0DU\ODQG86
,QDVVHVVLQJWKHQHZHYLGHQFHLQGHSHQGHQWO\WKHGLVWULFW
FRXUW PXVW ILQG WKDW WKH HYLGHQFH PHHWV WKH IROORZLQJ
VWDQGDUGWKHIDFWXDOSUHGLFDWHIRUWKHFODLPFRXOGQRWKDYH
EHHQ GLVFRYHUHG SUHYLRXVO\ WKURXJK WKH H[HUFLVH RI GXH
GLOLJHQFH >DQG@ WKH XQGHUO\LQJ FODLP LI SURYHQ DQG
YLHZHG LQ WKH OLJKW RI WKH HYLGHQFH DV D ZKROH ZRXOG EH
VXIILFLHQWWRHVWDEOLVKE\FOHDUDQGFRQYLQFLQJHYLGHQFHWKDW
EXWIRUWKHFRQVWLWXWLRQDOHUURUQRUHDVRQDEOHIDFWILQGHUZRXOG
KDYH IRXQG WKH DSSOLFDQW JXLOW\ RI WKH XQGHUO\LQJ RIIHQVH
86&† E 7KHFRQVWLWXWLRQDOHUURULQWKLV
FDVHLVWKHDOOHJHGYLRODWLRQRIWKHUXOHRI%UDG\Y0DU\ODQG
86 2XUWDVNLVWRGHWHUPLQHZKHWKHUWKH

-- 11 of 12 --

:RUNPDQY%HOO 1RV
WR GHDWK
:H LQWHUSUHW OLWHUDOO\ WKH VWDWXWH GHSULYLQJ DQ HQ EDQF FRXUW RU WKH
6XSUHPH &RXUW RI MXULVGLFWLRQ WR UHYLHZ WKH JUDQW RU GHQLDO RI SHUPLVVLRQ
WR ILOH D VXFFHVVLYH SHWLWLRQ 7KDW LV LQ RUGHU IRU DQ HQ EDQF FRXUW RU WKH
6XSUHPH &RXUW WR EH GHSULYHG RI MXULVGLFWLRQ LW PXVW OLWHUDOO\ EH
UHYLHZLQJ WKH JUDQW RU GHQLDO RI DQ DXWKRUL]DWLRQ E\ D FRXUW RI DSSHDOV WR
ILOH D VHFRQG RU VXFFHVVLYH DSSOLFDWLRQ QRW D UHTXHVW WR UHFDOO WKH FRXUW V
PDQGDWH DQG UHRSHQ WKH FDVH 86& † E ( )RU WKLV UHDVRQ
ZH GR QRW UHJDUG HLWKHU WKLV FRXUW RU WKH 6XSUHPH &RXUW DV ODFNLQJ
MXULVGLFWLRQ RYHU WKLV PDWWHU 7R ILQG RWKHUZLVH ZRXOG EH WR GHSULYH ERWK
WKLV FRXUW DQG WKH 6XSUHPH &RXUW RI WKH SRZHU WR UHYLHZ VHULRXV FODLPV
RI LQQRFHQFH 7R SURKLELW WKLV FRXUW DQG WKH 6XSUHPH &RXUW IURP
UHYLHZLQJ FODLPV RI LQQRFHQFH LQ GHDWK SHQDOW\ KDEHDV FDVHV ZRXOG UDLVH
VHULRXV FRQVWLWXWLRQDO LVVXHV XQGHU WKH GXH SURFHVV FODXVH DQG XQGHU
$UWLFOH , † ZKLFK SURKLELWV WKH VXVSHQVLRQ RI WKH ZULW RI KDEHDV FRUSXV
IDFWVDOOHJHGE\:RUNPDQDUHVXIILFLHQWWRPDNHDSULPDIDFLH
VKRZLQJ WKDW KLV SHWLWLRQ VDWLVILHV WKLV VWDQGDUG 6HH
86&† E &
:HEHOLHYH:RUNPDQKDVUDLVHGIDFWVVXIILFLHQWWRPDNHD
SULPDIDFLHVKRZLQJWKDWDUHDVRQDEOHMXU\ZRXOGQRWKDYH
IRXQGKLPJXLOW\RUDOWHUQDWLYHO\ZRXOGQRWKDYHVHQWHQFHG
KLP WR GHDWK LI WKH QHZ HYLGHQFH LV SURYHQ DQG EHOLHYHG
)LUVWWKHHYLGHQFHWKDW'DYLVZDVDVNHGWRDOWHUKLVWHVWLPRQ\
EHIRUHWKHMXU\LVHVSHFLDOO\LPSRUWDQWJLYHQ'DYLV VVWDWXVDV
WKH RQO\ ZLWQHVV WR WHVWLI\ WKDW KH DFWXDOO\ VDZ :RUNPDQ
VKRRW2OLYHU+LVUHFDQWDWLRQPLJKWKDYHKDGDVLJQLILFDQW
LPSDFW RQ WKH MXU\ :LWKRXW 'DYLV V WHVWLPRQ\ WKH RQO\
ZLWQHVVZKRZRXOGKDYHWHVWLILHGWKDWKHVDZ2OLYHUIDOODQG
VLPXOWDQHRXVO\ VDZ :RUNPDQ ZLWK D JXQ LQ KLV KDQG ZDV
2IILFHU3DUNHUZKRVHWHVWLPRQ\LVPDGHOHVVFUHGLEOHGXHWR
WKHIDFWWKDWKHKLPVHOIFRXOGSRVVLEO\KDYHILUHGWKHVKRWWKDW
NLOOHG 2OLYHU DOEHLW XQLQWHQWLRQDOO\ ,Q DGGLWLRQ WKH
H[WUDRUGLQDU\VWRU\RIFRHUFLRQZKLFK'DYLVFODLPVWRKDYH
HQGXUHG EULQJV RXU DWWHQWLRQ WR WKH SRVVLEOH HIIRUWV RI WKH
SURVHFXWLRQ WR DOWHU WKH MXU\ V SHUFHSWLRQ RI ZKDW DFWXDOO\
WUDQVSLUHGWKDWQLJKWLQ,I'DYLV VDFFXVDWLRQVDUHWUXH
WKHQFHUWDLQO\WKHSURVHFXWLRQPXVWKDYHKDGOLWWOHIDLWKWKDW
WKH WHVWLPRQ\ RI WKH RWKHU ZLWQHVVHV FRXOG SHUVXDGH D
1RV :RUNPDQY%HOO
XQDQLPRXV MXU\ EH\RQG D UHDVRQDEOH GRXEW WKDW :RUNPDQ
DFWXDOO\ILUHGWKHIDWDOEXOOHW
7KHVDPHLVWUXHRIWKHDOOHJHGSURVHFXWRULDOVXSSUHVVLRQRI
WKH [UD\ ZKLFK DUJXDEO\ VKRZV WKDW D EXOOHW RI WKH W\SH
FDUULHG E\ WKH RWKHU SROLFH RIILFHUV DQG QRW E\ :RUNPDQ
DFWXDOO\NLOOHG/W2OLYHU7KLVSK\VLFDOHYLGHQFHLISURYHQ
DQG EHOLHYHG LV FHUWDLQO\ VXIILFLHQW WR PDNH D SULPD IDFLH
VKRZLQJ WKDW QR UHDVRQDEOH IDFWILQGHU ZRXOG KDYH IRXQG
>:RUNPDQ@ JXLOW\ RI WKH XQGHUO\LQJ RIIHQVH 86&
† E % LL 7KHSDQHORIRXUFRXUWWKDWRULJLQDOO\
KHDUGWKLVDSSHDOGLGQRWNQRZRIWKHH[LVWHQFHRIDQ[UD\
VKRZLQJ2OLYHU VZRXQGV,WVSHFXODWHGWKDWLQWKHDEVHQFHRI
DQ[UD\ZKLFKZRXOGGLVSURYHWKHWKHRU\WKDWRQO\DIUDJPHQW
RIWKHFDOLEHUEXOOHWH[LWHG2OLYHU VERG\WKXVFUHDWLQJWKH
VPDOOHU H[LW ZRXQG WKHUH ZDV QR UHDVRQ WR FRQFOXGH WKDW
:RUNPDQ V EXOOHW GLG QRW DFWXDOO\ FDXVH 2OLYHU V PRUWDO
ZRXQG6HH:RUNPDQY%HOO)G WK&LU
+DYLQJPDGHWKLVVWDWHPHQWZHVKRXOGQRWWDONRXWRI
WKH RWKHU VLGH RI RXU PRXWKV QRZ WKDW VXFK DQ [UD\ LV
DYDLODEOH2XUMRELVWRDFWDVQHXWUDOPDJLVWUDWHVQRWVLPSO\
WRIDYRUWKHSURVHFXWLRQ,WLVLQFXPEHQWXSRQXVWRDOORZWKDW
[UD\ LQIRUPDWLRQ WR EH YLHZHG DQG MXGJHG LQ D IXOO
HYLGHQWLDU\KHDULQJEHIRUHWKHGLVWULFWFRXUW
:HHPSKDVL]HWKDWZHDUHQRWDWULDOFRXUWDQGZHKDYHQRW
EHHQJLYHQWKHRSSRUWXQLW\WRDFWXDOO\UHYLHZDQGZHLJKWKH
HYLGHQFHZKLFKRXUK\SRWKHWLFDOUHDVRQDEOHMXU\ZRXOGKDYH
UHYLHZHG )RU WKDW UHDVRQ WKHUH LV QR HYLGHQFH EHIRUH XV
FRQFHUQLQJWKHSHUFHQWDJHRILQVWDQFHVWKDWDKROORZSRLQW
EXOOHWZRXOGIDLOWRDFWLQWKHDQWLFLSDWHGPDQQHUDQGH[SDQG
XSRQ KLWWLQJ WKH YLFWLP 7KH YHU\ UHDVRQ IRU DOORZLQJ DQ
HYLGHQWLDU\KHDULQJRQWKLVPDWWHULVIRUWKHGLVWULFWFRXUWWR
UHVXPHLWVSRVLWLRQDVIDFWILQGHUDQGH[DPLQHWKDWHYLGHQFH
1RU DUH ZH PDNLQJ DQ\ ILQGLQJV ZLWK UHVSHFW WR WKH
DOOHJDWLRQVRISURVHFXWRULDOPLVFRQGXFWEH\RQGUHFRJQL]LQJ
WKDWWKH\DUHVXEVWDQWLDOHQRXJKWRPDNHRXWDSULPDIDFLH
FDVHDVQRWHGDERYH

-- 12 of 12 --

Continue sua pesquisa no ChatGPT ou Claude

Conecte o Omnilex para pesquisar o corpus jurídico pelo seu assistente de IA.