Dawyot v. Catawba Capital Management, Inc.

82 Va. Cir. 521, 2011 Va. Cir. LEXIS 47
CourtRoanoke County Circuit Court
DecidedApril 28, 2011
DocketCase No. CL08002104-00
StatusPublished

This text of 82 Va. Cir. 521 (Dawyot v. Catawba Capital Management, Inc.) is published on Counsel Stack Legal Research, covering Roanoke County Circuit Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Dawyot v. Catawba Capital Management, Inc., 82 Va. Cir. 521, 2011 Va. Cir. LEXIS 47 (Va. Super. Ct. 2011).

Opinion

By Judge Charles N. Dorsey

For the reasons that follow, the defendant’s motion in limine to exclude certain evidence is denied; the reciprocal motions for summary judgment are denied; the defendant’s motion to strike the plaintiff’s evidence is denied; and palpable error being found as to the valuation in this matter, this matter is continued for such further proceedings as the parties may be advised.

Facts

Along with four of his colleagues, the plaintiff, Peter F. Dawyot, left Dominion Bankshares and formed Catawba Capital Management, Inc., in 1992. Catawba is a registered investment advisory firm. This venture was [522]*522largely capitalized by a loan from a financier, Hubert Hoffman, Jr., who later passed away.

At the time of trial, there were four shareholders. There was the plaintiff, Dawyot, Hoffman’s estate, Terence H. Crowgey, and R. Jay Irons. Catawba has always been an S corporation with only one class of common stock, and the shareholders have equal holdings so that each has a 25% interest of shares outstanding. In 1997, Catawba and four of the then five shareholders entered into what is titled a Redemption Agreement, defining, among other things, how to handle the disability of a shareholder, including the sale and purchase of his corporate stock. For the purposes of this opinion, this document, plaintiff’s exhibit number 1, will be referred to as the “Redemption Agreement” without drawing any legal conclusions from that title. The Redemption Agreement was signed by the three living principals, and a former principal who has now withdrawn. Hoffman never signed the Redemption Agreement.

Dawyot subsequently suffered two strokes in 2006 and resigned as President of Catawba in 2007.

There is no question that Dawyot’s disability left him unable to work as an investment advisor and that, consequently, the disability provisions of the Redemption Agreement were properly triggered. Further, there is no issue that Dawyot is owed a sum from Catawba. Dawyot has tendered his stock in the corporation pursuant to the terms of the Redemption Agreement, but, after extensive negotiations, the parties have been unable to agree on a price. Dawyot sues for the price of his tendered shares, the purchase of his life insurance policy pursuant to § 8 of the Redemption Agreement and his pro rata portion of anticipated tax liability on his proportionate share of Catawba’s income pursuant to § 14 of the Redemption Agreement. The latter two claims are comparatively easily disposed of, and the primary issue in this litigation is the establishment of the price for the purchase of Dawyot’s interest in the business.

In accord with the terms of the Redemption Agreement, Dawyot and Catawba selected an independent appraiser to determine Catawba’s fair market value. While there has been much evidence and argument pertaining to the precise mechanics of how the independent appraiser was selected, there is no question that he was selected pursuant to the agreement and without objection, at least at the time, by either party.

In the fall of 2008, Z. Christopher Mercer, the appraiser the parties selected, finished his appraisal. In his final report, Mercer found that Catawba’s fair market value was $3.47 million, meaning that Dawyot’s 25% interest in the corporation was worth $867,500.00. Dawyot was essentially willing to accept this valuation, but Catawba was not. Dawyot alleges that, under the terms of the agreement, the Mercer Report’s appraised value is “binding and conclusive.” Catawba contends that Mercer made numerous [523]*523erroneous assumptions that, in turn, caused his opinion of Catawba’s fair market value to be unreasonably high.

Prior to trial, both parties filed motions for summary judgment. The Court took the motions under advisement. The defendant then moved in limine to prevent plaintiff from introducing the Mercer Report without Mr. Mercer being personally present. The motion in limine was essentially predicated on hearsay objections. That motion was also taken under advisement pending trial. At the conclusion of the plaintiff’s evidence and again at the conclusion of all the evidence, the defendant moved to strike the plaintiff’s evidence, which motion was also taken under advisement.

Intending no oversimplification of counsels’ sophisticated and nuanced arguments as to these motions for summary judgment, Catawba essentially contends that it is entitled to summary judgment because the so called Redemption Agreement is actually a shareholders agreement under Virginia Code § 13.1-671.1 and is subject to all of that section’s requirements, including the fact that it must be signed by all shareholders, which it concededly was not. Similarly, as to summary judgment, Dawyot contends that the Redemption Agreement is a simple buy/sell agreement, not a shareholders agreement, and is enforceable by its terms including the agreed upon method of determining a price through an independent appraiser as was done in this case. In the alternative, Dawyot contends that, even if the agreement is a shareholders agreement that violates Virginia Code § 13.1-671.1, it is nonetheless enforceable because the General Assembly did not intend for that section to render contracts void.

The defendant’s motion to strike at the conclusion of the plaintiff’s evidence and again at the conclusion of all the evidence was again basically predicated on its motion for summary judgment along with the additional basis that, at trial, Dawyot admitted into evidence the Mercer Report without Mr. Mercer being present and testifying. The value contained in the report was admitted, over Catawba’s hearsay objection. The balance of the report was received solely for the purpose of any cross-examination or argument by either side.

Consequently, while the procedural aspects are clear to counsel and the Court, the substantive legal issues are basically three, which are interwoven throughout the motions and trial.

Issues

(1) Is the Redemption Agreement subject to Virginia Code § 13.1-671.1 pertaining to shareholders agreements, and, if so, is it void for failing to comply with the requirements of that statute?

(2) Was the value contained in the Mercer Report improperly admitted into evidence, over the hearsay objection of the defendant, when Mr. Mercer was not present to testify?

[524]*524(3) Should the Mercer Report be found invalid for palpable error?

Analysis

A. Validity of the Redemption Agreement

(1) Compliance with Virginia Code §13.1-671.1

(a) General

Catawba claims that the Redemption Agreement is a shareholders agreement under Virginia Code § 13.1-671.1 and thus is subject to all the requirements of that section. Catawba argues that the agreement is so subject because it (1) alters corporate management and governance, (2) calls for the exercise of corporate powers, (3) provides for an unauthorized shareholders’ meeting, and (4) requires the sale of corporate assets outside the regular course of business.

In response, Dawyot contends that the Redemption Agreement is a buy/sell agreement, not a shareholders agreement, and consequently not subject to the requirements of Virginia Code § 13.1-671.1.

By its plain terms, Virginia Code § 13.1-671.1 renders “[a]n agreement among the shareholders of a corporation . . .

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Bluebook (online)
82 Va. Cir. 521, 2011 Va. Cir. LEXIS 47, Counsel Stack Legal Research, https://law.counselstack.com/opinion/dawyot-v-catawba-capital-management-inc-vaccroanokecty-2011.