Howard v. United States

5 Cl. Ct. 334, 54 A.F.T.R.2d (RIA) 5029, 1984 U.S. Claims LEXIS 1409
CourtUnited States Court of Claims
DecidedMay 15, 1984
DocketNo. 615-80T
StatusPublished

This text of 5 Cl. Ct. 334 (Howard v. United States) is published on Counsel Stack Legal Research, covering United States Court of Claims primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Howard v. United States, 5 Cl. Ct. 334, 54 A.F.T.R.2d (RIA) 5029, 1984 U.S. Claims LEXIS 1409 (cc 1984).

Opinion

OPINION

REGINALD W. GIBSON, Judge:

In this joint tax refund suit, plaintiffs, Charles B. and Dorothy L. Howard, seek the return of $4191 in individual income taxes plus interest for their taxable year ending December 31, 1979. Jurisdiction in this court is premised on section 1491, 28 United States Code.

In 1979, distributions totalling $1,125 were received by plaintiffs from the Great Northern Iron Ore Properties (GNIOP), an express trust, which amount they allege to have erroneously reported on their joint return as a dividend (i.e., ordinary income). Plaintiffs’ refund claim is propounded on the theory that GNIOP should properly be classified as an “ordinary trust” under [336]*336Treas.Reg. § 301.7701-4(a). In such case distributions received therefrom are taxed at the rates applicable to capital gains rather than at ordinary income tax rates on dividends.

The parties have filed cross-motions for summary judgment, supplemented by extensive affidavits and other documentation, and jointly aver that this case is ripe for decision inasmuch as there is no genuine issue of material fact. The central issue is, therefore, whether GNIOP should be classified, for tax purposes, as an “ordinary trust” or as an “association” taxable as a corporation under the 1954 Internal Revenue Code (I.R.C.) and applicable regulations. The court observes that more than 30 years ago, the trustees of GNIOP instituted a refund suit in the federal courts in Minnesota for the trust’s taxable years 1938 through 1944 raising the identical issue there — “whether ... the trust ... constituted an ‘association’ ...” — that is raised here by plaintiffs (as beneficiaries thereof). See Hill v. Reynolds, 75 F.Supp. 408 (D.Minn.1948); aff'd, Reynolds v. Hill, 184 F.2d 294 (8th Cir.1950).2 An extensive factual history of GNIOP is set forth in Reynolds v. Hill, 184 F.2d at 296. So far as here material, the operative facts are set forth hereinafter therefrom, and from the submissions of the parties. For the reasons expressed below, defendant is entitled to summary judgment, plaintiffs’ cross-motion for summary judgment is denied, and the petition is to be dismissed.

FACTS

In the mid-1940’s, plaintiffs purchased 300 share certificates in GNIOP. They reported the income received in 1979 from GNIOP, with respect to said certificates, as dividends. A petition for refund was subsequently filed in this court. Said petition avers that plaintiffs incorrectly included the $1,125 distribution on their 1979 tax return as a dividend in that GNIOP is an “ordinary trust,” and not an “association” taxable as a corporation.

Plaintiffs’ theory posits that royalties from iron ore mining received by the trust and distributed would be taxed to the beneficiaries of the trust as a pass-through at the rates applicable for long-term capital gains. Conversely, if plaintiffs’ contentions are misplaced, distributions through GNIOP to the plaintiffs (as beneficiaries) would be taxed as dividends at ordinary income tax rates. See I.R.C. §§ 301, 316.

The principal issue in this ease, therefore, is whether GNIOP in 1979 was an “association” under § 7701(a)(3), I.R.C. and Treas.Reg. § 301.7701-1 through § 301.-7701-4, and thus taxable as a corporation.

The genesis of GNIOP antedates the 1900’s, when James J. Hill and several individuals acquired stock in ten corporations which owned properties situated on the Mesabi Range in Minnesota containing substantial deposits of iron ore. Nine of the ten corporations were engaged in the business of owning mineral lands, and interests therein, in the State of Minnesota, making leases with mining companies for the mining and extraction of ore from such properties on a royalty basis. Because of the intricacies of the interrelationships between the entities, these nine corporations appointed the tenth corporation as their fiscal agent, which, through a staff of 32 employees, performed the full range of administrative functions for all nine entities respecting their business, including collecting the royalties due each entity and keeping check by means of a staff of engineers and other personnel on the manner and extent [337]*337of the carrying on of mining operations by its lessees.

In 1899, James J. Hill caused said stock to be transferred to the Lake Superior Company, Limited (Lake Superior), a Michigan partnership composed of Hill and his associates,3 “for the benefit of stockholders of the Great Northern Railway Co.” (the Railway). Lake Superior was thereafter used as a holding company, or as a trust vehicle, to hold the stock in said entities which owned ore properties and interests therein comprising some 65,000 acres. This transfer occurred on or about October 20,1899, and concomitantly therewith Lake Superior entered into an agreement with the Railway, whereby the former agreed not to sell any of said stock without the approval of the Railway; to pay when directed by the Railway the net income from the stock held by Lake Superior to the shareholders of the Railway or their assigns; and to acquire new property and to transfer its property to whomever the Railway designated by resolution of its Board of Directors and approved by its stockholders of the Railway. Consistent with the foregoing, on or about November 14, 1906, the Railway, by resolution passed by its Board of Directors and approved by its stockholders, directed Lake Superior to transfer the foregoing shares of stock in the ten entities to four named trustees.4 The trust in issue, i.e., GNIOP, was thus created by a Trust Agreement dated December 7, 1906. It was executed by Lake Superior, as settlor, and the four named individuals, supra, as trustees who “[held] the [corpus] for the benefit of the shareholders of the Railway.”

Basically, there were several pragmatic reasons for the creation of the trust, foremost of which were the following:

(i) the Railway held no charter powers permitting it to own and operate an interest in ore mines;
(ii) the Railway wished to avoid violating the Hepburn Act, 49 U.S.C. § 1(8), which prohibited a railroad company from transporting commodities owned by it; and, concomitantly, it wished to assure that its stockholders would continue to benefit from the royalties received from leasing the lands; and
(iii) the Railway wished to continue to obtain the freight revenues from transporting the ore.

The GNIOP Trust Agreement has remained intact and unmodified since its creation in 1906, and provides that the trust shall continue in effect for the period of the lives in being of 18 named persons plus 20 years after the death of the last survivor.5 The Agreement contains 18 numbered paragraphs setting forth its provisions, which are paraphrased hereinafter:

Paragraph 1 provides, “The trustees hereunder shall, while holding ... stock ... of any of ... [the mineral land] corporations, use and exercise their power as such shareholders to preserve the existence and the organization of such corporation, and to secure at all times proper management of the property and business and affairs of such corporation.”

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Bluebook (online)
5 Cl. Ct. 334, 54 A.F.T.R.2d (RIA) 5029, 1984 U.S. Claims LEXIS 1409, Counsel Stack Legal Research, https://law.counselstack.com/opinion/howard-v-united-states-cc-1984.