Hunt v. Mitchell

Opinion

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21  +XQWY0LWFKHOO 1R 3XUVXDQW WR 6L[WK &LUFXLW 5XOH 

(/(&7521,& &,7$7,21  )(' $SS 3 WK &LU

QHHGVWLPHl:KLWHY5DJHQ86m>,@W )LOH 1DPH DS

LVDGHQLDORIWKHDFFXVHG VFRQVWLWXWLRQDOULJKWWRDIDLUWULDOWR IRUFHKLPWRWULDOZLWKVXFKH[SHGLWLRQDVWRGHSULYHKLPRI WKH HIIHFWLYH DLG DQG DVVLVWDQFH RI FRXQVHOl  :KLOH WKH 81,7('67$7(6&28572)$33($/6 &RQVWLWXWLRQGRHVQRWVSHFLI\WKHSHULRGWKDWPXVWLQWHUYHQH )257+(6,;7+&,5&8,7 EHWZHHQWKHUHTXLUHGDSSRLQWPHQWRIFRXQVHODQGWULDOWKH BBBBBBBBBBBBBBBBB 6XSUHPH&RXUWKDVUHFRJQL]HGWKDW WKHGHQLDORIRSSRUWXQLW\IRUDSSRLQWHGFRXQVHOWRFRQIHU WRFRQVXOWZLWKWKHDFFXVHGDQGWRSUHSDUHKLVGHIHQVH :$<1( +817 ; FRXOGFRQYHUWWKHDSSRLQWPHQW RI FRXQVHOLQWRDVKDP 3HWLWLRQHU$SSHOODQW  DQG QRWKLQJ PRUH WKDQ D IRUPDO FRPSOLDQFH ZLWK WKH  &RQVWLWXWLRQjVUHTXLUHPHQWWKDWDQDFFXVHGEHJLYHQWKH  1R DVVLVWDQFHRIFRXQVHO Y  !  $YHU\ Y $ODEDPD  86     $V sXVWLFH %(77< 0,7&+(//:DUGHQ  +DUODQVWDWHGLQGLVVHQWLQ&KDPEHUVY0DURQH\86 5HVSRQGHQW$SSHOOHH  m>Z@KHUHFRXQVHOKDVQRDFTXDLQWDQFHZLWKWKHIDFWV 1 RIWKHFDVHDQGQRRSSRUWXQLW\WRSODQDGHIHQVHWKHUHVXOWLV WKDWWKHGHIHQGDQWLVHIIHFWLYHO\GHQLHGKLVFRQVWLWXWLRQDOULJKW $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW WRDVVLVWDQFHRIFRXQVHOl,GDW+DUODQsFRQFXUULQJLQ IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW&OHYHODQG SDUWGLVVHQWLQJLQSDUW 7KLVLVSUHFLVHO\ZKDWKDSSHQHGLQ 1Rn3DWULFLD$*DXJKDQ'LVWULFWsXGJH +XQWjVFDVH $UJXHGsXQH )RU WKHVH UHDVRQV ZH 5(9(56( WKH MXGJPHQW RI WKH GLVWULFW FRXUW DQG 5(0$1' WKH FDVH ZLWK LQVWUXFWLRQV WR 'HFLGHGDQG)LOHG$XJXVW LVVXHDZULWRIKDEHDVFRUSXVXQOHVV+XQWLVJUDQWHGDQHZ WULDOZLWKLQDWLPHWREHIL[HGE\WKHGLVWULFWFRXUW %HIRUH5<$1DQG&2/(&LUFXLWsXGJHV0$5%/(< 'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8('  7KRPDV 5 :HWWHUHU sU 38%/,& '()(1'(5j6 2)),&( 2+,2 38%/,& '()(1'(5 &200,66,21&ROXPEXV2KLRIRU$SSHOODQWsRQDWKDQ5

7KH +RQRUDEOH $OJHQRQ / 0DUEOH\ 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH 6RXWKHUQ 'LVWULFW RI 2KLR VLWWLQJ E\ GHVLJQDWLRQ

  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

)XONHUVRQ 2)),&( 2) 7+( $77251(< *(1(5$/ WR GHIUDXG  :KHQ WKHUH LV QR UHDVRQ WR GLVSXWH WKH &255(&7,216/,7,*$7,216(&7,21&ROXPEXV2KLR XQGHUO\LQJ KLVWRULFDO IDFWV WKH SHULRG RI  GD\V WR IRU $SSHOOHH  21 %5,()  7KRPDV 5 :HWWHUHU sU FRQVLGHU WKH TXHVWLRQ ZKHWKHU WKRVH IDFWV MXVWLI\ DQ 38%/,& '()(1'(5j6 2)),&( 2+,2 38%/,& LQIHUHQFHRIFULPLQDOLQWHQWLVQRWVRVKRUWWKDWLWHYHQ '()(1'(5 &200,66,21 &ROXPEXV 2KLR IRU DUJXDEO\ MXVWLILHV D SUHVXPSWLRQ WKDW QR ODZ\HU FRXOG $SSHOODQW  sRQDWKDQ 5 )XONHUVRQ 2)),&( 2) 7+( SURYLGHWKHUHVSRQGHQWZLWKWKHHIIHFWLYHDVVLVWDQFHRI $77251(< *(1(5$/ &255(&7,216 /,7,*$7,21 FRXQVHOUHTXLUHGE\WKH&RQVWLWXWLRQ 6(&7,21&ROXPEXV2KLRIRU$SSHOOHH &URQLF  86 DW  HPSKDVLV DGGHG  +HUH E\ BBBBBBBBBBBBBBBBB FRPSDULVRQ+XQWjVFRXQVHOKDGHYHU\UHDVRQWRGLVSXWHWKH XQGHUO\LQJKLVWRULFDOIDFWVRIWKHFDVH,QGHHG+XQWjVVROH 23,1,21 OLQHRIGHIHQVHZDVWRFKDOOHQJHWKHSURVHFXWLRQjVYHUVLRQRI BBBBBBBBBBBBBBBBB HYHQWVDVZDVLOOXVWUDWHGE\KLVODZ\HUjVFURVVH[DPLQDWLRQ RI WKH SROLFH ZLWQHVVHV UHJDUGLQJ ZKHWKHU WKH\ VDZ +XQW 5*8<&2/(s5&LUFXLWsXGJH3HWLWLRQHU$SSHOODQW KROGLQJDNQLIHRUDVVDXOWLQJKLVZLIH1RRQHFDQVD\ZKDW :D\QH+XQWZDVFRQYLFWHGLQ2KLRVWDWHFRXUWRIIHORQLRXV DGGLWLRQDOIDFWXDOLVVXHV+XQWjVFRXQVHOZRXOGKDYHUDLVHG DVVDXOW DQG GRPHVWLF YLROHQFH DQG ZDV VHQWHQFHG WR KDGKHKDGDQRSSRUWXQLW\WRFRQVXOWZLWKKLVFOLHQWSULRUWR FRQFXUUHQWWHUPVRILPSULVRQPHQWWRWDOLQJHOHYHQWRILIWHHQ WULDO \HDUV7KHVWDWHWULDOFRXUWDSSRLQWHGFRXQVHOIRU+XQWRQWKH GD\WULDOZDVWRFRPPHQFHDQGUHIXVHGWRJUDQWFRXQVHOWHQ :KLOHLWLVWUXHWKDW+XQWjVWULDOGLGQRWLQYROYHDPHQDFLQJ PLQXWHVWRFRQVXOWZLWK+XQWEHIRUHSURFHHGLQJWRYRLUGLUH PRERUWKHWKUHDWRIH[HFXWLRQORRPLQJRYHUWKH6FRWWVERUR 2Q GLUHFW DSSHDO D GLYLGHG SDQHO RI WKH 2KLR &RXUW RI %R\VLQ3RZHOOWKLVLVRQHRIWKRVHUDUHFDVHVLQZKLFKmWKH $SSHDOV UHMHFWHG +XQWjV FODLP RI mSHU VHl LQHIIHFWLYH OLNHOLKRRGWKDWDQ\ODZ\HUHYHQDIXOO\FRPSHWHQWRQHFRXOG DVVLVWDQFHRIWULDOFRXQVHOXQGHU8QLWHG6WDWHVY&URQLF SURYLGHHIIHFWLYHDVVLVWDQFHLVVRVPDOOWKDWDSUHVXPSWLRQRI 86DQGWKH2KLR6XSUHPH&RXUWGHQLHG+XQW SUHMXGLFH LV DSSURSULDWH ZLWKRXW LQTXLU\ LQWR WKH DFWXDO OHDYHWRDSSHDO+DYLQJH[KDXVWHGKLVVWDWHUHPHGLHV+XQW FRQGXFW RI WKH WULDOl  &URQLF  86 DW   7KH ILOHG DQ DSSOLFDWLRQ IRU D ZULW RI KDEHDV FRUSXV LQ IHGHUDO FLUFXPVWDQFHVVXUURXQGLQJWKHDSSRLQWPHQWRI+XQWjVFRXQVHO GLVWULFWFRXUWLQWKH1RUWKHUQ'LVWULFWRI2KLRZKLFKGHQLHG ZHUHVXIILFLHQWO\HJUHJLRXVDVWRZDUUDQWDSUHVXPSWLRQRI +XQWjVKDEHDVSHWLWLRQ:HFRQFOXGHWKDW+XQWjVSHWLWLRQIRU LQHIIHFWLYHQHVVXQGHU&URQLF,QKROGLQJRWKHUZLVHWKH2KLR KDEHDV UHOLHI PXVW EH JUDQWHG EHFDXVH WKH 2KLR &RXUW RI &RXUW RI $SSHDOV XQUHDVRQDEO\ DSSOLHG FOHDUO\ HVWDEOLVKHG $SSHDOV XQUHDVRQDEO\ DSSOLHG FOHDUO\ HVWDEOLVKHG 6XSUHPH IHGHUDO ODZ DV GHWHUPLQHG E\ WKH 6XSUHPH &RXUW RI WKH &RXUWSUHFHGHQWLQLWVUHYLHZRI+XQWjVFODLP7KHUHIRUHZH 8QLWHG6WDWHV6HH86&†G  5(9(56(WKHMXGJPHQWRIWKHGLVWULFWFRXUW ,,,&21&/86,21 7KH6XSUHPH&RXUWORQJDJRDFNQRZOHGJHGWKDWWKHGXW\WR SURYLGHFRXQVHOmLVQRWGLVFKDUJHGE\DQDVVLJQPHQWDWVXFK DWLPHRUXQGHUVXFKFLUFXPVWDQFHVDVWRSUHFOXGHWKHJLYLQJ RI HIIHFWLYH DLG LQ WKH SUHSDUDWLRQ DQG WULDO RI WKH FDVHl 3RZHOO86DW6HHDOVR+DZNY2OVRQ86 m7KHGHIHQGDQWQHHGVFRXQVHODQGFRXQVHO  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

FRXUWWKHUHIRUHJDYH+XQWDFKRLFHKHFRXOGHLWKHUZDLYHKLV ,%$&.*5281' ULJKWWRDVSHHG\WULDODQGUHFHLYHPRUHWLPHIRUKLVFRXQVHOWR SUHSDUHRUKHFRXOGSURFHHGLPPHGLDWHO\WRWULDOWKDWVDPH +XQWjV FRQYLFWLRQV UHVXOWHG IURP DQ DOWHUFDWLRQ WKDW DIWHUQRRQ$VSUHYLRXVO\GLVFXVVHGWKHFRXUWUHIXVHGWRJLYH RFFXUUHGRQWKHHYHQLQJRI$SULO$FFRUGLQJWRWKH +XQWjVFRXQVHOWHQPLQXWHVWRFRQVXOWZLWK+XQWUHJDUGLQJKLV HYLGHQFH RIIHUHG E\ WKH SURVHFXWLRQ DW WULDO +XQW UHWXUQHG RSWLRQV EXW LQVWHDG DVNHG +XQW SRLQWEODQN ZKHWKHU KH KRPH IURPZRUNDWILYHRjFORFNWKDWDIWHUQRRQVOHSWIRUD ZLVKHG WR VWDUW WULDO WR ZKLFK +XQW UHVSRQGHG m6XUHl ZKLOH DQG WKHQ EHJDQ GULQNLQJ  $W DSSUR[LPDWHO\ HOHYHQ ,PPHGLDWHO\ WKHUHDIWHU +XQW FKDQJHG RXW RI KLV SULVRQ RjFORFNWKDWHYHQLQJKHZHQWQH[WGRRUWRFRQIURQWKLVZLIH FORWKHVDQGWKHFRXUWEHJDQWRLPSDQHODMXU\ sR\FHIRXUPRQWKVSUHJQDQWDWWKHWLPHZKRZDVYLVLWLQJD IULHQG6KHLOD+XQWDOOHJHGO\EUDQGLVKHGWZRNQLYHVDWWKH 7KH 6XSUHPH &RXUW KDV VWDWHG WKDW LW LV mLQWROHUDEOHl WR ZRPHQDQGVKRXWHGUDFLDOVOXUVDW6KHLOD$WRQHSRLQWsR\FH IRUFH D FULPLQDO GHIHQGDQW WR VXUUHQGHU RQH FRQVWLWXWLRQDO DSSDUHQWO\JDLQHGFRQWURORIWKHNQLYHVDQGSXWWKHPXQGHU ULJKWLQRUGHUWRDVVHUWDQRWKHU6HH6LPPRQVY8QLWHG6WDWHV KHU WKLJKV RQ WKH FRXFK  :KHQ 6KHLODjV QLHFH HQWHUHG WKH 86:KLOH+XQWjVVWDWXWRU\ULJKWWRD KRXVH+XQWDOOHJHGO\JUDEEHGWKHNQLYHVDJDLQFXWWLQJKLV VSHHG\WULDOXQGHU2KLRODZPD\QRWHTXDWHSUHFLVHO\WRKLV ZLIHjVKDQGLQWKHSURFHVV7KHDOWHUFDWLRQPRYHGRQWRWKH FRQVWLWXWLRQDO ULJKW WR D VSHHG\ WULDO XQGHU WKH 6L[WK IURQWSRUFKZKHUHDFFRUGLQJWRWKHJRYHUQPHQW+XQWKHOG $PHQGPHQWFI8QLWHG6WDWHVY2j'HOO)G RQH NQLIH WR sR\FHjV WKURDW DQG RQH WR KHU VWRPDFK WK&LUUHIXVLQJWRHTXDWHIHGHUDOVWDWXWRU\ULJKW WKUHDWHQLQJ WR NLOO KHU DQG KHU XQERUQ EDE\  +XQW ZDV WR D VSHHG\ WULDO XQGHU WKH 6SHHG\ 7ULDO $FW ZLWK 6L[WK GLVWUDFWHGZKHQ6KHLODjVQLHFHFDPHRQWRWKHSRUFKDOORZLQJ $PHQGPHQW ULJKW WR VSHHG\ WULDO WKH HOHPHQW RI FRHUFHG sR\FH WR IUHH KHUVHOI DQG HVFDSH LQWR 6KHLODjV KRXVH FKRLFH GHFULHG E\ WKH &RXUW LQ 6LPPRQV LV QHYHUWKHOHVV )ROORZLQJDQXQVXFFHVVIXODWWHPSWWRFXWWKHSKRQHOLQHWR SUHVHQW KHUH  :KHQ +XQW UHIXVHG WR ZDLYH KLV ULJKW WR D 6KHLODjVKRXVH+XQWUHWXUQHGWRKLVKRXVH7ZR&OHYHODQG VSHHG\WULDOWKHWULDOFRXUWHIIHFWLYHO\IRUFHGKLPWRJRWRWULDO SROLFHRIILFHUVDUULYHGRQWKHVFHQHZLWKLQPLQXWHVREVHUYHG ZLWKDQXQSUHSDUHGDWWRUQH\ WKDWsR\FHZDVLQMXUHGDQGREWDLQHGDGHVFULSWLRQRI+XQW 6KRUWO\WKHUHDIWHUDWKLUGRIILFHUDUULYHGDWWKHVFHQH+XQW +XQWjV ODZ\HUjV ODFN RI WLPH WR SUHSDUH ZDV SDUWLFXODUO\ KDGUHWXUQHGWR6KHLODjVKRXVHE\WKDWSRLQWDQGZDVDUJXLQJ SUHMXGLFLDOWR+XQWLQOLJKWRIWKHIDFWLQWHQVLYHQDWXUHRIWKH ZLWKKLVZLIH$OWKRXJK+XQWZDVXQDUPHGKHEHFDPHLUDWH JRYHUQPHQWjVFDVH,Q&URQLFWKH6XSUHPH&RXUWIRXQGWKDW DQG UHVLVWHG EHLQJ DUUHVWHG  7KH RIILFHUV XOWLPDWHO\ XVHG GHIHQVHFRXQVHOjVOLPLWHGSUHSDUDWLRQWLPHZDVRIPLQLPDO SHSSHUVSUD\WRVXEGXH+XQWDQGOHJVKDFNOHVDQGKDQGFXIIV VLJQLILFDQFHLQOLJKWRIWKHFKDUJHVDWLVVXHLQWKDWFDVH7KH WRJHWKLPLQWRWKHSROLFHFDU &RXUWVWDWHG 8SRQ KLV DUUHVW WKDW QLJKW +XQW ZDV LQFDUFHUDWHG DQG 0RVW RI WKH *RYHUQPHQWjV FDVH FRQVLVWHG PHUHO\ RI UHPDLQHGLQMDLOXQWLOKLVLQGLFWPHQWRQsXO\HLJKW\ HVWDEOLVKLQJ WUDQVDFWLRQV EHWZHHQ WKH WZR EDQNV  $ VHYHQ GD\V ODWHU  7KH LQGLFWPHQW FKDUJHG +XQW ZLWK RQH FRPSHWHQWDWWRUQH\ZRXOGKDYHQRUHDVRQWRTXHVWLRQWKH FRXQW RI IHORQLRXV DVVDXOW ZLWK WKUHH VSHFLILFDWLRQV IRU DXWKHQWLFLW\ DFFXUDF\ RU UHOHYDQFH RI WKLV HYLGHQFH o WKHUHFRXOGEHQRGLVSXWHWKDWWKHVHWUDQVDFWLRQVDFWXDOO\ RFFXUUHG$VUHVSRQGHQWDSSHDUVWRUHFRJQL]HWKHRQO\  7KH IDFWV RI WKH JRYHUQPHQWjV FDVH DJDLQVW +XQW DUH VHW RXW LQ IXOO ERQDILGHMXU\LVVXHRSHQWRFRPSHWHQWGHIHQVHFRXQVHO LQ WKH RSLQLRQ RI WKH 2KLR &RXUW RI $SSHDOV VHH 6WDWH Y +XQW 1R  RQWKHVHIDFWVZDVZKHWKHUUHVSRQGHQWDFWHGZLWKLQWHQW  :/  DW  2KLR &W $SS 6HS   DQG DUH VXPPDUL]HG KHUH  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

YLROHQFHDQGRQHVSHFLILFDWLRQIRUDSULRUDJJUDYDWHGIHORQ\ FRXQVHOjV DFWLRQV PD\ EH GHWHUPLQHG RU VXEVWDQWLDOO\ FRQYLFWLRQ DQG RQH FRXQW RI GRPHVWLF YLROHQFH ZLWK IRXU LQIOXHQFHG E\ WKH GHIHQGDQWjV RZQ VWDWHPHQWV RU DFWLRQV VSHFLILFDWLRQV IRU YLROHQFH  2Q sXO\   HLJKW\QLQH &RXQVHOjV DFWLRQV DUH XVXDOO\ EDVHG TXLWH SURSHUO\ RQ GD\V DIWHU KLV DUUHVW +XQW ZDV DUUDLJQHG LQ WKH &RXUW RI LQIRUPHG VWUDWHJLF FKRLFHV PDGH E\ WKH GHIHQGDQW DQG RQ &RPPRQ 3OHDV RI &X\DKRJD &RXQW\ 2KLR DQG ZDV LQIRUPDWLRQ VXSSOLHG E\ WKH GHIHQGDQWl  6WULFNODQG Y DSSRLQWHGDQDWWRUQH\,PPHGLDWHO\DIWHU+XQWjVDUUDLJQPHQW :DVKLQJWRQ86VHHDOVR*HGHUVY WKH IROORZLQJ H[FKDQJH WRRN SODFH EHWZHHQ WKH WULDO FRXUW 8QLWHG6WDWHV86KROGLQJWKDWWKH MXGJH+XQWDQG+XQWjVDSSRLQWHGFRXQVHO0U.LQJ ULJKWWRFRXQVHOHQFRPSDVVHVWKHULJKWWRFRQIHUZLWKRQHjV ODZ\HU%HFDXVH+XQWZDVGHQLHGWKHRSSRUWXQLW\WRFRQIHU &RXUW 0U +XQW \RXU ILOH ZDV MXVW EURXJKW WR WKH ZLWKFRXQVHOGXULQJWKHFULWLFDOSUHWULDOVWDJHRIWKH6WDWHjV FRXUWjVDWWHQWLRQWRGD\DQGZHKDYHWRVWDUWWULDO SURFHHGLQJVDJDLQVWKLPKHZDVHQWLWOHGWRDSUHVXPSWLRQRI WRGD\EHFDXVHDSSDUHQWO\WKLVLV\RXUWKGD\ LQHIIHFWLYHDVVLVWDQFHXQGHU&URQLF7KHGHFLVLRQRIWKH2KLR RILQFDUFHUDWLRQ6RLI\RXZDQWWRJRWRWULDO &RXUW RI $SSHDOV WR WKH FRQWUDU\ ZDV DQ XQUHDVRQDEOH WKDWjVILQH,jOOKDYHWKHPWDNH\RXGRZQVWDLUV DSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZDVGHWHUPLQHG DQGKDYH\RXFKDQJHGLQWRFLYLOLDQFORWKHV,Q E\WKH6XSUHPH&RXUWRIWKH8QLWHG6WDWHV6HH86& WKH PHDQWLPH ZHjOO KDYH WKH MXU\ EURXJKW XS †G  DQGZHjOOVWDUWWULDORU\RXFDQZDLYHWLPHLI\RX ZDQWPRUHWLPHWRFRQVXOWZLWK\RXUODZ\HUWR E(JUHJLRXVFLUFXPVWDQFHV SUHSDUH\RXUFDVH7KRVHDUH\RXUWZRRSWLRQV 7KHHJUHJLRXVFLUFXPVWDQFHVVXUURXQGLQJWKHWULDOFRXUWjV .LQJ :H MXVW EHJDQ GLVFXVVLRQV  , KRSH ZH FRXOG DSSRLQWPHQW RI FRXQVHO DOVR MXVWLILHG D SUHVXPSWLRQ RI KDYHDQRWKHUWHQPLQXWHV" LQHIIHFWLYHDVVLVWDQFHXQGHU&URQLF$VsXGJH3DWWRQSRLQWHG RXW LQ GLVVHQW LQ WKH 2KLR &RXUW RI $SSHDOV +XQWjV FDVH &RXUW 7KHUHLVQRWHQPLQXWHV+HjVJRWWREHWDNHQ DSSDUHQWO\mIHOOWKURXJKWKHFUDFNVRIWKHV\VWHPIRUJRWWHQ GRZQVWDLUV,WjVSUHWW\VWUDLJKWIRUZDUG+HjV XQWLO MXVW EHIRUH >+XQWjV@ VSHHG\ WULDO ULJKWV PLJKW EH JRQHWKURXJKWKHGULOOEHIRUH+HjVDOVRJRQHWR YLRODWHGl  +XQW  :/  DW  3DWWRQ s WULDOLQWKHSDVWVRKHXQGHUVWDQGVZKDWLVJRLQJ GLVVHQWLQJ,QGHHGIROORZLQJKLVDUUHVW+XQWODQJXLVKHGLQ RQ:KDWHYHU\RXZDQWWRGR MDLOIRUHLJKW\VHYHQGD\VEHIRUHWKHJUDQGMXU\UHWXUQHGDQ LQGLFWPHQWFKDUJLQJKLPZLWKIHORQLRXVDVVDXOWDQGGRPHVWLF .LQJ :HPLJKWEHDEOHWRGLVSRVHRIDMXU\LI,ZHUH YLROHQFH  2Q KLV HLJKW\QLQWK GD\ LQ MDLO WKH SURVHFXWRUjV WRKDYHWHQPLQXWHVULJKWQRZ RIILFHDSSDUHQWO\UHDOL]HGWKDWLWQHHGHGWRWDNHTXLFNDFWLRQ WREULQJ+XQWWRWULDOHOVHKLVLQGLFWPHQWEHGLVPLVVHGXQGHU &RXUW ,KDYHWRNQRZWKDWLIKHZDQWVWRZRUNRXWD 2KLRjV VSHHG\ WULDO VWDWXWH  6HH 2+,2 5(9 &2'( SOHDLWZLOOKDYHWREHDIWHUDZDLYHU,jPQRW †& (UHTXLULQJSHUVRQFKDUJHGZLWKDIHORQ\ JRLQJWREHLQDSRVLWLRQZKHUHWKHMXURUVDUHOHW DQGKHOGLQMDLOLQOLHXRIEDLOEHEURXJKWWRWULDOZLWKLQQLQHW\ JRDWWKUHHRjFORFN,I\RXZDQWWRZRUNRXWD GD\VDIWHUKLVDUUHVW7KHWULDOFRXUWKDVWLO\DUUDLJQHG+XQW SOHDWKDWjVILQHDQG\RXjUHZHOFRPHWRGRVR DQGDSSRLQWHGFRXQVHO8QIRUWXQDWHO\WKHMXGJHEHOLHYHGWKDW +XQWKDGUHDFKHGKLVQLQHWLHWKGD\RIFRQILQHPHQWZLWKRXW EDLO ZKHUH LQ IDFW LW ZDV KLV HLJKW\QLQWK GD\ DQG WKXV  7KH FRXUW PLVWDNHQO\ WKRXJKW LW ZDV WKH QLQHWLHWK GD\ LQVWHDG RI WKH PLVWDNHQO\FRQFOXGHGWKDWWULDOPXVWFRPPHQFHDWRQFH7KH HLJKW\QLQWK GD\  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

0LWFKHOO:/DW ,Q0LWFKHOOZHIRXQG ,IKHZDQWVKHjVLQGLFDWLQJQRIRUWKHUHFRUG WKDWWKHGHIHQGDQWjVODZ\HUKDGFRQVXOWHGZLWKKLVFOLHQWIRU ,I\RXZDQWWRZDLYHWLPHWRKDYHPRUHWLPHWR DWRWDORIVL[PLQXWHVGXULQJWKHVHYHQPRQWKSHULRGSULRUWR SUHSDUH IRU WULDO WKDW LV \RXU ULJKW DQG \RXU WKHVWDUWRIWULDODQGKDGEHHQVXVSHQGHGIURPSUDFWLFLQJODZ RSWLRQ GXULQJWKHRQHPRQWKSHULRGLPPHGLDWHO\SUHFHGLQJWULDO6HH LGDW 2QWKHVHIDFWVZHIRXQGWKDWGHIHQGDQWjVFRXQVHO +XQW 1R KDG EHHQ WRWDOO\ DEVHQW GXULQJ D FULWLFDO VWDJH RI WKH SURFHHGLQJVDQGFRQFOXGHGWKDWWKHVWDWHFRXUWjVGHFLVLRQWR &RXUW

7KHIDFWVRIWKLVFDVHDUHHYHQPRUHHJUHJLRXVWKDQWKHIDFWV &RXUW +DYHKLPWDNHQGRZQ RI 0LWFKHOO  ,QGHHG KHUH WKHUH LV QR LQGLFDWLRQ WKDW +XQW FRQVXOWHGZLWKKLVODZ\HUHYHQRQFHEHIRUHWKHVWDUWRIYRLU .LQJ ,I,FRXOGKDYHWHQPLQXWHVWRWDONWRKLPZH GLUH+XQWjVFRXQVHOZDVQRWHYHQDIIRUGHGWHQPLQXWHVWR PD\QRWQHHGDQ\MXU\RUFORWKHV FRQIHUZLWKKLVFOLHQWWRGLVFXVVWKHSRVVLELOLW\RIHQWHULQJLQWR &RXUW ,FDOOHGRYHUWR\RXURIILFHDVVRRQDVZHJRW DSOHDDJUHHPHQW$VDFRQVHTXHQFHRIWKHWULDOFRXUWjVKDVWH WKLVFDVH+HVDLGKHZDQWHG WR HQWHUDSOHD WREHJLQWULDOFRXQVHOZDVUHTXLUHGWRSURFHHGWRYRLUGLUH 2QFH , KDYH WKH MXU\ XS KHUH ZH DUH JRLQJ ZLWKRXWHYHUGLVFXVVLQJWKHFDVHZLWKKLVFOLHQWDQGZLWKRXW IRUZDUGZLWKWKHWULDO FRQGXFWLQJDQ\GLVFRYHU\RULQGHSHQGHQWLQYHVWLJDWLRQRIWKH IDFWV  :KLOH ZH UHFRJQL]H WKDW EURDG GLVFUHWLRQ PXVW EH 9RLUGLUHEHJDQWKDWDIWHUQRRQDQGWKHWULDOFRPPHQFHGWKH JUDQWHG WULDO FRXUWV RQ PDWWHUV RI FRQWLQXDQFHV VXFK mDQ QH[WGD\%HIRUHJLYLQJDQRSHQLQJVWDWHPHQW+XQWjVFRXQVHO XQUHDVRQDEOHDQGDUELWUDU\LQVLVWHQFHXSRQH[SHGLWLRXVQHVVLQ H[SUHVVHGKLVPLVJLYLQJVDERXWSURFHHGLQJZLWKRXWVXIILFLHQW WKHIDFHRIDMXVWLILDEOHUHTXHVWIRUDGHOD\YLRODWHVWKHULJKWWR RSSRUWXQLW\WRFRQVXOWZLWKKLVFOLHQWRUWLPHWRSUHSDUHDQ WKHDVVLVWDQFHRIFRXQVHOl0RUULVY6ODSS\86 DGHTXDWH GHIHQVH  ,Q UHVSRQVH WR WKH WULDO MXGJHjV LQTXLU\ LQWHUQDOFLWDWLRQVRPLWWHG UHJDUGLQJ+XQWjVZLOOLQJQHVVWRSOHDGJXLOW\.LQJVWDWHG ,QDVVHVVLQJFODLPVRILQHIIHFWLYHDVVLVWDQFHRIFRXQVHOWKH ,GLGGLVFXVVSOHDDUUDQJHPHQWVZLWKWKHGHIHQGDQW+H 6XSUHPH&RXUWKDVUHSHDWHGO\HPSKDVL]HGWKHLPSRUWDQFHRI KDVPDGHKLVFKRLFH7KDWLVKLVGHFLVLRQEXW>,@DOVR SUHWULDO FRQVXOWDWLRQ EHWZHHQ DWWRUQH\ DQG FOLHQW  )RU GLVFXVVHGWKHIDFWWKDWWKLVLVDODVWPLQXWHFDVH,JRWLW H[DPSOHWKH&RXUWKDVVWDWHGWKDWm>W@KHUHDVRQDEOHQHVVRI \HVWHUGD\,NQRZWKDWSURVHFXWRULVLQVRPHZKDWRIWKH VDPHERDW7KHLURIILFHJHQHUDWHVWKHILOH:KDW,GLG  SRLQWRXWWR0U+XQWLVLIKHZHUHZLOOLQJWRZDLYHWLPH 7KH ILUVW UHDO RSSRUWXQLW\ +XQWjV FRXQVHO KDG WR FRQVXOW ZLWK KLV RQWKLV,FRXOGEHPRUHSUHSDUHGWKDQ,DPDWWKLVWLPH FOLHQW FDPH WKUHH GD\V DIWHU WULDO KDG FRPPHQFHG ZKHQ WKH WULDO FRXUW +HKDVFKRVHQWRJRIRUZDUGRQWKDWRQWKHILQDOKRXU WKH SURVHFXWLRQ D WHQGD\ FRQWLQXDQFH VR WKDW LW FRXOG ORFDWH LWV JUDQWHG VWDU ZLWQHVV +XQWjV ZLIH %\ WKDW SRLQW LQ WKH SURFHHGLQJV +XQWjV DQGYHU\TXLFNO\IRUPHDQG,ZDQWWKH&RXUWWREHDZDUH FRXQVHO KDG DOUHDG\ SDUWLFLSDWHG LQ WKH MXU\HPSDQHOLQJ SURFHVV KDG RIWKDW7KDQN\RX JLYHQ DQ RSHQLQJ VWDWHPHQW DQG KDG FURVVH[DPLQHG WKUHH SURVHFXWLRQ ZLWQHVVHV :H FDQQRW DJUHH ZLWK WKH 6WDWH WKHUHIRUH WKDW WKH WULDO FRXUWjV )ROORZLQJ RSHQLQJ VWDWHPHQWV WKH 6WDWH SUHVHQWHG WKH JUDQW RI WKH JRYHUQPHQWjV UHTXHVW IRU D WHQGD\ FRQWLQXDQFH LQ DQ\ VHQVH WHVWLPRQ\RIWKHWKUHHSROLFHRIILFHUVVXEMHFWWROLPLWHGFURVV FXUHG +XQWjV ODFN RI FRXQVHO GXULQJ WKH FULWLFDO SUHWULDO VWDJH RI KLV FDVH  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

H[DPLQDWLRQE\+XQWjVFRXQVHO7KHWULDOMXGJHWKHQJUDQWHG XQSUHSDUHGWRUHSUHVHQWDSSHOODQWRUWKDWDSSHOODQWZDVEHLQJ D FRQWLQXDQFH IRU WHQ GD\V VR WKH SURVHFXWLRQ FRXOG ORFDWH GHQLHG KLV ULJKW WR HIIHFWLYH DVVLVWDQFH RI FRXQVHO E\ WKH +XQWjV ZLIH sR\FH WKH 6WDWHjV VWDU ZLWQHVV  7KH WULDO SURFHHGLQJVl  +XQW  :/  DW   7KH 2KLR UHFRPPHQFHGRQsXO\DQGHQGHGODWHUWKHVDPHGD\ FRXUWjVSUHVXPHGSUHMXGLFHDQDO\VLVXQGHU&URQLFDSSHDUVWR 7KH MXU\ UHWXUQHG WKH QH[W GD\ ZLWK FRQYLFWLRQV RQ ERWK KDYH WXUQHG WKHUHIRUH RQ +XQWjV DOOHJHG ZDLYHU RI KLV FRXQWV2Q6HSWHPEHU+XQWZDVVHQWHQFHGWRHOHYHQ REMHFWLRQVLQWKHFRXUWEHORZ%\GHILQLWLRQKRZHYHUDSHU WRILIWHHQ\HDUVRQ&RXQW2QHDQGWKUHHWRILYH\HDUVRQ&RXQW VHYLRODWLRQRIDGHIHQGDQWjVULJKWWRHIIHFWLYHDVVLVWDQFHRI 7ZRZLWKWKHVHQWHQFHVWREHVHUYHGFRQFXUUHQWO\ FRXQVHOGRHVQRWUHTXLUHWKHGHIHQGDQWWRSUHVHUYHWKHHUURU EHORZ  6HH HJ 3RZHOO  86 DW  KROGLQJ WKDW :LWKRQHMXGJHGLVVHQWLQJDSDQHORIWKH2KLR&RXUWRI XQGHUWKHFLUFXPVWDQFHVGHIHQGDQWVZHUHQRWDFFRUGHGULJKW $SSHDOV DIILUPHG +XQWjV FRQYLFWLRQV DQG VHQWHQFHV RQ WRFRXQVHOLQDQ\VXEVWDQWLDOVHQVHHYHQWKRXJKGHIHQGDQWV 6HSWHPEHUVHH6WDWHY+XQW1R:/ GLGQRWIRUPDOO\REMHFWWRODVWPLQXWHDSSRLQWPHQWRIFRXQVHO 2KLR&W$SS6HSWDQGWKH2KLR6XSUHPH E\ VWDWH WULDO MXGJH  0RUHRYHU WKH UHFRUG UHIOHFWV WKDW &RXUWGHQLHG+XQWjVSHWLWLRQIRUOHDYHWRDSSHDORQsDQXDU\ GHIHQVH FRXQVHO GLG LQIRUP WKH FRXUW WKDW KH QHHGHG PRUH   VHH 6WDWH Y +XQW  1(G  2KLR  WLPHFRQVXOWZLWKKLVFOLHQW7KXVWKHUHDVRQUHOLHGXSRQE\ +XQWWKHQILOHGWKHLQVWDQWSHWLWLRQIRUDZULWRIKDEHDVFRUSXV WKH 2KLR FRXUW LQ UHMHFWLQJ +XQWjV SUHVXPHGSUHMXGLFH LQWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH1RUWKHUQ'LVWULFWRI DUJXPHQWXQGHU&URQLFLVERWKIDFWXDOO\LQDFFXUDWHDQGOHJDOO\ 2KLR RQ sDQXDU\    7KH PDWWHU ZDV UHIHUUHG WR D LUUHOHYDQW PDJLVWUDWH MXGJH ZKR UHFRPPHQGHG WKH GHQLDO RI +XQWjV SHWLWLRQ7KHGLVWULFWFRXUWDFFHSWHGWKHPDJLVWUDWHMXGJHjV +XQWZDVHQWLWOHGWRDSUHVXPSWLRQRILQHIIHFWLYHQHVV UHFRPPHQGDWLRQDQGGHQLHGWKHZULWRQ2FWREHU7KH GLVWULFW FRXUW GLG QRW JUDQW D FHUWLILFDWH RI DSSHDODELOLW\ +DGWKH2KLR&RXUWRI$SSHDOVSURSHUO\DSSOLHG&URQLFWR m&2$lQRUGLGWKLV&RXUWRQILUVWKHDULQJ+RZHYHUXSRQ WKHIDFWVRIWKLVFDVHLWFRXOGQRWUHDVRQDEO\KDYHDUULYHGDW UHKHDULQJDSDQHORIWKLV&RXUWJUDQWHGD&2$WRGHWHUPLQH WKHGHFLVLRQLWUHDFKHG mZKHWKHUSHWLWLRQHUZDVGHQLHGKLV6L[WK$PHQGPHQWULJKWWR WKHHIIHFWLYHDVVLVWDQFHRIFRXQVHOGXHWRWKHDSSRLQWPHQWRI D'HQLDORIFRXQVHODWDmFULWLFDOVWDJHl DQ DWWRUQH\ RQ WKH GD\ RI WULDOl  7KDW LV WKH VROH TXHVWLRQ SUHVHQWHGWRWKLV&RXUWRQDSSHDO6HH6HDUF\Y&DUWHU )LUVWWKHXQGLVSXWHGIDFWVRIWKLVFDVHUHYHDOWKDW+XQWZDV )GWK&LUVWDWLQJWKDWIHGHUDODSSHOODWH GHQLHGWKHSUHVHQFHRIFRXQVHOGXULQJDmFULWLFDOVWDJHlRIWKH FRXUWjV UHYLHZ RI KDEHDV SHWLWLRQ LV OLPLWHG WR WKH LVVXHV SURVHFXWLRQ$VZHUHFHQWO\H[SODLQHG VSHFLILHGLQWKH&2$XQGHU$('3$ 7KH6XSUHPH&RXUWKDVGHFLGHGVHYHUDOFDVHVWKDWPDNH ,,',6&866,21 FOHDUWKDWWKHSHULRGEHWZHHQDSSRLQWPHQWRIFRXQVHODQG WKH VWDUW RI WULDO LV LQGHHG D mFULWLFDO VWDJHl IRU 6L[WK $6WDQGDUGRI5HYLHZ $PHQGPHQW SXUSRVHV    7KH SUHWULDO SHULRG FRQVWLWXWHV D mFULWLFDO SHULRGl EHFDXVH LW HQFRPSDVVHV 7KH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI FRXQVHOjVFRQVWLWXWLRQDOO\LPSRVHGGXW\WRLQYHVWLJDWHWKH m$('3$l 3XE / 1R   6WDW   FDVH    >:@LWKRXW SUHWULDO FRQVXOWDWLRQ ZLWK WKH ZKLFK DPHQGHG  86& †  DSSOLHV WR DOO KDEHDV GHIHQGDQWWULDOFRXQVHOFDQQRWIXOILOOKLVRUKHUGXW\WR SHWLWLRQVILOHGDIWHU$SULOWKHHIIHFWLYHGDWHRIWKH LQYHVWLJDWH $FW%HFDXVH+XQWjVSHWLWLRQIRUKDEHDVUHOLHIZDVILOHGDIWHU  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

LQHIIHFWLYH DVVLVWDQFH RI FRXQVHO FODLP VKRXOG EH MXGJHG WKHHIIHFWLYHGDWH$('3$JRYHUQVRXUUHYLHZRIWKLVFDVH 6HH +XQW  :/  DW   7KH 2KLR FRXUW 8QGHU$('3$KDEHDVUHOLHIPD\QRWEHJUDQWHGZLWKUHVSHFW XQUHDVRQDEO\ DSSOLHG WKH KROGLQJ RI&URQLF WR WKH IDFWV RI WRDQ\FODLPDGMXGLFDWHGRQWKHPHULWVLQVWDWHFRXUWXQOHVVWKH +XQWjVFDVHKRZHYHUDQGDVDUHVXOWHUUHGLQFRQFOXGLQJ DGMXGLFDWLRQ WKDW+XQWZDVQRWHQWLWOHGWRDSUHVXPSWLRQRILQHIIHFWLYHQHVV  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU 7KH2KLRFRXUWPLVDSSOLHG&URQLF LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH $V SUHYLRXVO\ GLVFXVVHG WKH &RXUW LQ &URQLF LGHQWLILHG &RXUWRIWKH8QLWHG6WDWHVRU FHUWDLQVLWXDWLRQVLQZKLFKWKHFLUFXPVWDQFHVRIWULDODUHmVR OLNHO\WRSUHMXGLFHWKHDFFXVHGWKDWWKHFRVWRIOLWLJDWLQJWKHLU  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV EDVHG RQ DQ HIIHFWLQDSDUWLFXODUFDVHLVXQMXVWLILHGl&URQLF86DW XQUHDVRQDEOH GHWHUPLQDWLRQ RI WKH IDFWV LQ OLJKW RI WKH ,QVXFKVLWXDWLRQVSUHMXGLFHWRWKHGHIHQGDQWZLOOEH HYLGHQFHSUHVHQWHGLQWKH6WDWHFRXUWSURFHHGLQJ SUHVXPHG  2QH VXFK VLWXDWLRQ LV ZKHUH WKH GHIHQGDQW LV GHQLHG WKH SUHVHQFH RI FRXQVHO DW D mFULWLFDO VWDJHl RI WKH 86&†G 7KHIHGHUDOFRXUWPXVWSUHVXPH SURVHFXWLRQ&URQLF86DW$QRWKHULVZKHUHWKH WKDW DOO GHWHUPLQDWLRQV RI IDFWXDO LVVXHV PDGH E\ WKH VWDWH FLUFXPVWDQFHVVXUURXQGLQJWKHDSSRLQWPHQWRIFRXQVHODUHVR FRXUW DUH FRUUHFW XQOHVV WKH SHWLWLRQHU FDQ UHEXW WKDW HJUHJLRXVWKDWHYHQDIXOO\FRPSHWHQWODZ\HULVSUHVXPHGWR SUHVXPSWLRQE\FOHDUDQGFRQYLQFLQJHYLGHQFH6HH86& KDYHUHQGHUHGFRQVWLWXWLRQDOO\LQHIIHFWLYHDVVLVWDQFH,GDW †H  GLVFXVVLQJWKH ODVWPLQXWHDSSRLQWPHQWRIGHIHQVH FRXQVHOLQ3RZHOODVDQH[DPSOHRIVXFKDFDVH :KHWKHU +XQW ZDV GHSULYHG RI KLV ULJKW WR HIIHFWLYH DVVLVWDQFHRIFRXQVHOLVDPL[HGTXHVWLRQRIODZDQGIDFWWKDW ,QDWWHPSWLQJWRDSSO\&URQLFWRWKHFDVHDWEDUWKH2KLR ZHUHYLHZGHQRYR2OGHQY8QLWHG6WDWHV)G &RXUWRI$SSHDOVIDLOHGWRFRQVLGHUZKHWKHU+XQWKDGEHHQ WK&LU2QIHGHUDOKDEHDVUHYLHZZHDSSO\WKH GHQLHGWKHSUHVHQFHRIFRXQVHOGXULQJDmFULWLFDOVWDJHlRIWKH mXQUHDVRQDEOHDSSOLFDWLRQlSURQJRI†G WRPL[HG SURVHFXWLRQ  1RU GLG WKH FRXUW RI DSSHDOV ORRN WR WKH TXHVWLRQVRIODZDQGIDFW+DUSVWHUY2KLR)G FLUFXPVWDQFHVVXUURXQGLQJWKHDSSRLQWPHQWRI+XQWjVFRXQVHO  WK &LU   ,Q :LOOLDPV Y 7D\ORU  86  WR GHWHUPLQH ZKHWKHU LW ZDV XQOLNHO\ WKDW HYHQ D IXOO\  WKH 6XSUHPH &RXUW GLVFXVVHG WKH LQGHSHQGHQW FRPSHWHQWODZ\HUFRXOGKDYHSURYLGHGHIIHFWLYHDVVLVWDQFH PHDQLQJ FRQYH\HG E\ WKH mFRQWUDU\ WRl DQG mXQUHDVRQDEOH 5DWKHULQDSSO\LQJ&URQLFWKHFRXUWRIDSSHDOVIRFXVHGRQ DSSOLFDWLRQ RIl FODXVHV RI † G  DQG H[SODLQHG WKH WKHmIDFWlWKDW+XQWKDGIDLOHGWRSUHVHUYHKLVREMHFWLRQWRWKH GLVWLQFWDQDO\VLVWKDWPXVWEHSHUIRUPHGXQGHUHDFKFODXVH WULDOFRXUWjVODVWPLQXWHDSSRLQWPHQWRIFRXQVHO7KH2KLR 6HH LG DW   $FFRUGLQJ WR WKH &RXUW D VWDWH FRXUW FRXUWVWDWHGWKDWQHLWKHU+XQWQRUKLVDWWRUQH\mREMHFWHGWRWKH mXQUHDVRQDEO\DSSOL>HV@lFOHDUO\HVWDEOLVKHG6XSUHPH&RXUW DODFULW\ZLWKZKLFKWKHWULDOFRPPHQFHGlDQGIXUWKHUVWDWHG SUHFHGHQW ZKHQ LW FRUUHFWO\ LGHQWLILHV WKH JRYHUQLQJ OHJDO WKDW mWKHUH ZHUH QR VWDWHPHQWV HLWKHU WKDW FRXQVHO ZDV SULQFLSOHLQWKHFDVH\HWXQUHDVRQDEO\DSSOLHVWKDWSULQFLSOH WRWKHIDFWVRIWKHGHIHQGDQWjVFDVH,GDW$VWDWHFRXUW DOVRXQUHDVRQDEO\DSSOLHV6XSUHPH&RXUWSUHFHGHQWZKHQLW  mXQUHDVRQDEO\H[WHQGVDOHJDOSULQFLSOHIURP>6XSUHPH&RXUW@ ,QDVPXFK DV WKH 2KLR &RXUW RI $SSHDOV ZDV WKH ODVW VWDWH FRXUW WR SUHFHGHQW WR D QHZ FRQWH[W ZKHUH LW VKRXOG QRW DSSO\ RU XQUHDVRQDEO\UHIXVHVWRH[WHQGWKDWSULQFLSOHWRDQHZFRQWH[W DGGUHVV WKH PHULWV RI +XQWjV DSSHDO LW LV WKH GHFLVLRQ RI WKDW FRXUW WKDW ZH

:LOOLDPV PXVW DQDO\]H LQ OLJKW RI WKH SULQFLSOHV DUWLFXODWHG E\ WKH 6XSUHPH &RXUW LQ  ZKHUHLWVKRXOGDSSO\l,GDWDSSURYLQJRIWKH)RXUWK  +XQWY0LWFKHOO 1R 1R +XQWY0LWFKHOO 

&LUFXLWjVIRUPXODWLRQRI†G  7KH:LOOLDPV&RXUW ILQDO,QGHHGWKLV&RXUWKDVUHFHQWO\VWDWHGDVPXFKLQDFDVH FDXWLRQHG KRZHYHU WKDW D IHGHUDO KDEHDV FRXUW PD\ QRW UHPDUNDEO\VLPLODUWRWKHRQHDWEDU,Q0LWFKHOOY0DVRQBB RYHUWXUQDVWDWHFRXUWjVGHFLVLRQVLPSO\EHFDXVHLWFRQFOXGHV )GBB:/WK&LUsXO\WKHKDEHDV WKDW D VWDWH FRXUW DSSOLHG 6XSUHPH &RXUW SUHFHGHQW SHWLWLRQHU DUJXHG WKDW KH ZDV HQWLWOHG WR D SUHVXPSWLRQ RI LQFRUUHFWO\  6HH LG DW   5DWKHU WKH VWDWH FRXUWjV LQHIIHFWLYHDVVLVWDQFHRIFRXQVHOZKHUHWKHUHFRUGLQGLFDWHG DSSOLFDWLRQ RI 6XSUHPH &RXUW SUHFHGHQW PXVW DOVR EH WKDWKLVWULDOFRXQVHOKDGFRQVXOWHGZLWKKLPIRUDPHUHVL[ XQUHDVRQDEOH,G PLQXWHVSULRUWRWKHVWDUWRIWULDO%HIRUHDQDO\]LQJWKHPHULWV RI WKH SHWLWLRQHUjV 6L[WK $PHQGPHQW FODLP WKH &RXUW %m&OHDUO\(VWDEOLVKHGl)HGHUDO/DZ DGGUHVVHGWKHmWKUHVKROGTXHVWLRQlRIZKHWKHUWKHSHWLWLRQHU VRXJKWWRDSSO\DUXOHRIODZWKDWZDVmFOHDUO\HVWDEOLVKHGlDW 8QGHU$('3$ZHPXVWILUVWDVNZKHWKHUWKHUXOHRIODZ WKHWLPHKLVVWDWHFRXUWFRQYLFWLRQEHFDPHILQDO6HH0LWFKHOO +XQWVHHNVWRLQYRNHZDVmFOHDUO\HVWDEOLVKHGlDWWKHWLPHKLV :/DW 7KH&RXUWVWDWHG VWDWHFRXUWFRQYLFWLRQVEHFDPHILQDO6HHLGDW+XQW DUJXHV WKDW KH ZDV GHQLHG KLV 6L[WK $PHQGPHQW ULJKW WR >:@H HDVLO\ UHDFK WKH FRQFOXVLRQ WKDW LW ZDV FOHDUO\ FRXQVHOEHFDXVHKLVODZ\HUZDVDSSRLQWHGPLQXWHVEHIRUHWULDO HVWDEOLVKHG E\ WKH 6XSUHPH &RXUW DV RI WKH WLPH WKDW DQGDVDUHVXOWKDGQRRSSRUWXQLW\WRFRQVXOWZLWK+XQWRU 0LWFKHOOjVFDVHZDVGHFLGHGLQWKHVWDWHFRXUWWKDWWKH SUHSDUHDGHIHQVH8QGHUVXFKFLUFXPVWDQFHV+XQWFRQWHQGV FRPSOHWHGHQLDORIFRXQVHOGXULQJDFULWLFDOVWDJHRID SUHMXGLFHPXVWEHSUHVXPHGZLWKRXWLQTXLU\LQWRKLVODZ\HUjV MXGLFLDOSURFHHGLQJPDQGDWHVDSUHVXPSWLRQRISUHMXGLFH DFWXDOSHUIRUPDQFHDWWULDO+XQWFLWHVWKH6XSUHPH&RXUWjV GHFLVLRQV LQ 3RZHOO Y $ODEDPD  86   DQG ,GTXRWDWLRQPDUNVDQGFLWDWLRQRPLWWHG:HWRRHDVLO\ 8QLWHG6WDWHVY&URQLF86IRUVXSSRUWRI FRQFOXGHWKDW&URQLFjVUXOHRISUHVXPHGSUHMXGLFHZDVFOHDUO\ WKLVmSHUVHlUXOHRILQHIIHFWLYHDVVLVWDQFHRIFRXQVHO HVWDEOLVKHG DW WKH WLPH +XQWjV FRQYLFWLRQV EHFDPH ILQDO ,QGHHG DV ZH QRWHG LQ 0LWFKHOO WKH 6XSUHPH &RXUW KDV ,Q &URQLF WKH 6XSUHPH FRXUW KHOG WKDW D GHIHQGDQWjV UHSHDWHGO\FRQILUPHGWKHYLWDOLW\RIWKLVUXOHHYHUVLQFH&URQLF FRQYLFWLRQ PXVW EH DXWRPDWLFDOO\ UHYHUVHG ZLWKRXW DQ\ ZDVKDQGHGGRZQLQ6HHHJ:LOOLDPV86DW VSHFLILF VKRZLQJ RI SUHMXGLFH mZKHQ FRXQVHO ZDV HLWKHU QRWLQJWKDWmWKHUHDUHDIHZVLWXDWLRQVLQZKLFKSUHMXGLFH WRWDOO\DEVHQWRUSUHYHQWHGIURPDVVLVWLQJWKHDFFXVHGGXULQJ PD\EHSUHVXPHGl5RHY)ORUHV2UWHJD86 DFULWLFDOVWDJHRIWKHSURFHHGLQJl86DWQ7KH TXRWLQJ&URQLF86DW &RXUW IXUWKHU REVHUYHG WKDW WKHUH PD\ EH mVRPH RFFDVLRQV ZKHQ DOWKRXJK FRXQVHO LV DYDLODEOH WR DVVLVW WKH DFFXVHG %HFDXVH WKHUH ZDV FOHDUO\ HVWDEOLVKHG 6XSUHPH &RXUW GXULQJ WULDO WKH OLNHOLKRRG WKDW DQ\ ODZ\HU HYHQ D IXOO\ SUHFHGHQWDSSOLFDEOHWR+XQWjVFODLPRILQHIIHFWLYHDVVLVWDQFH FRPSHWHQWRQHFRXOGSURYLGHHIIHFWLYHDVVLVWDQFHLVVRVPDOO RIFRXQVHOZHPXVWQH[WDVNZKHWKHUWKHGHFLVLRQRI2KLR WKDWDSUHVXPSWLRQRISUHMXGLFHLVDSSURSULDWHZLWKRXWLQTXLU\ &RXUWRI$SSHDOVUHMHFWLQJ+XQWjVLQHIIHFWLYHDVVLVWDQFHFODLP LQWRWKHDFWXDOFRQGXFWRIWULDOl,GDW7KH&RXUW ZDVmDQXQUHDVRQDEOHDSSOLFDWLRQRIlWKDWSUHFHGHQW6HH UHIHUUHGWRWKHODVWPLQXWHDSSRLQWPHQWRIGHIHQVHFRXQVHOLQ 86&†G :HFRQFOXGHWKDWLWZDV 3RZHOODVDQH[DPSOHRIVXFKDQRFFDVLRQ6HHLGDW &&URQLFDQG3UHVXPHG,QHIIHFWLYHQHVV ,QOLJKWRIWKH6XSUHPH&RXUWjVGHFLVLRQVLQ&URQLF DQG 3RZHOO WKHUH LV QR TXHVWLRQ WKDW WKH UXOH RI SUHVXPHG $V LQ 0LWFKHOO WKH VWDWH DSSHDOV FRXUW LQ +XQWjV FDVH LQHIIHFWLYHQHVV WKDW +XQW VHHNV WR LQYRNH ZDV FOHDUO\ SURSHUO\DFNQRZOHGJHGWKDWWKH6XSUHPH&RXUWjVGHFLVLRQLQ HVWDEOLVKHG DW WKH WLPH KLV VWDWH FRXUW FRQYLFWLRQV EHFDPH &URQLF SURYLGHG WKH OHJDO VWDQGDUGV E\ ZKLFK +XQWjV