Lipton v. Nature Co.

71 F.3d 464, 1995 WL 700377
CourtCourt of Appeals for the Second Circuit
DecidedNovember 28, 1995
DocketNo. 1858, Docket 94-9123
StatusPublished
Cited by303 cases

This text of 71 F.3d 464 (Lipton v. Nature Co.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Lipton v. Nature Co., 71 F.3d 464, 1995 WL 700377 (2d Cir. 1995).

Opinion

JOSÉ A. CABRANES, Circuit Judge:

This is an appeal from a final judgment of the United States District Court for the Southern District of New York (Richard Owen, Judge), granting plaintiff-appellee James Lipton’s (“Lipton”) motion for summary judgment on his copyright and Lanham Act claims against defendants Animal Wisdom Enterprises, Inc. (“AWE”), its president and principal stockholder, Michael Wein (“Wein”), and The Nature Company, (“Nature”).1 The district court’s order and final judgment with respect to Wein and AWE, entered on October 14, 1994, implemented various memorandum opinions and orders previously issued by the court. These included a finding that the plaintiff-appellee’s work was protectible under copyright law, Lipton v. The Nature Co., 781 F.Supp. 1032 (S.D.N.Y.1992), an award of summary judgment to the plaintiff on his copyright and Lanham Act claims, and a finding that the defendants were willful infringers. The October 14 order awarded the plaintiff enhanced statutory damages in the amount of $100,000, costs and attorneys’ fees, and entered a permanent injunction restraining the defendants from further infringement. Wein and AWE appeal.

I. Background

At issue in this case is a compilation of “terms of venery”2 — collective terms for identifying certain animal groups — gathered and published by the author and etymologist James Lipton in his book, An Exaltation of Larks. The first edition of the book was published in 1968, and two subsequent editions were published in 1977 and 1991; Lipton holds a valid copyright to all three versions of the book. Lipton’s complaint alleged that the defendants created various posters and other products that infringed the copyright of the first and second editions of his book, in violation of 17 U.S.C. § 501 et seq., and unfairly competed with Lipton, in violation of § 43(a) of the Lanham Trademark Act, 15 U.S.C. § 1125.

Lipton compiled his terms of venery through research of various fifteenth-century texts and manuscripts. According to Lipton, he translated the terms from Mddle English to modem English and arranged them based on their “lyrical and poetic potential.” The first and second editions of the book, which include scattered illustrations and explanatory text, were a considerable success and have sold over 150,000 copies to date. In 1990, in an attempt to further capitalize on the success of his book, Lipton sought to license his compilation for use on various products. In the course of doing so, he discovered that Nature had already licensed the rights to a virtually identical compilation of terms of venery from the defendant, Wein.

In 1988, Wein, doing business as “Animal [468]*468Wisdom,”3 filed for copyright registration of a compilation of animal terms, representing that the work was original to him. Wein manufactured and sold posters (“the Wein posters”) of the compilation to various zoos, libraries, and other entities. In 1988, he approached Nature, a retañer specializing in products about the environment, to market his compfiation. Between 1989 and 1990, Nature and Wein entered into a series of licensing agreements by which Nature acquired the right to use Wein’s compfiation of animal terms on a series of posters, t-shirts, and other products, which came to be known as the “Multitudes” products. Nature sold these products both in its stores and through its catalogs. The catalog copy accompanying the Multitudes poster stated, “Michael Wein has surveyed the English language back to its earliest roots to compile a list of the most remarkable ... names of animal multitudes ever assembled.” The Multitudes poster, as well as a note cube marketed by Nature, included copyright notices in the names of Wein and Nature.

Simultaneously, Wein continued to market and sell various adaptations of the initial Wein poster. In 1991, Wein incorporated Animal Wisdom Enterprises to market and distribute these products as the “Animal Congregations” line of merchandise. In its promotional brochure, AWE stated that it had “thoroughly researched dozens and dozens of animals, fish and birds to uncover correct terminology.”

Upon learning of Nature’s and Wein’s actions, Lipton sent a letter demanding that they stop and requesting compensation for the alleged infringement. When they refused, Lipton brought the present suit alleging copyright infringement and unfair competition.

Wein denies copying any edition of Lipton’s book and claims that the terms used on the Wein poster and the Multitudes products were copied from a banner or scarf (“the scarf”) that he received in the late 1960’s while working as an advertising executive in New York City. According to Wein, this scarf, which listed 73 animal terms and one cryptic term — “a synoptic of SCI” — was an unsolicited promotional item from an unidentified source. This scarf was marked as an exhibit during Wein’s deposition and was available to the district court. Both Wein and his art director, Michael English, testified that the scarf was the sole source of the compilation featured on the initial poster that Wein marketed to libraries and museums. According to Wein, he decided to market the terms on the scarf as a poster in 1988. Both he and English inspected the scarf, and finding no copyright notice, typeset the terms listed on it. Wein and English contend that the order of the terms on the scarf was “shuffled” on the poster to place some of the more common, recognizable terms at the beginning of the poster and “to make [the terms] flow around the pieces of artwork inserted.”

Wein’s testimony about the scarf is contradicted by the fact that prior to the filing of Lipton’s complaint, he represented to Nature and to Lipton’s attorney that he had compiled the list himself from terms that he had written on slips of paper over the years. However, since the filing of this action, Wein has consistently stated that the scarf was the source of the compilation. Wein contends that after approaching Nature in the summer of 1988, he consulted another source, John Train’s Remarkable Words with Astonishing Origins, but only used the Train book to check the accuracy of the terms in the compilation that he had given to Nature. Wein claims that it was not until several years later, in connection with AWE’s “Animal Congregations” line, that he conducted further research and incorporated additional terms of venery that did not appear on the scarf.

On January 16, 1992, the district court denied the defendants’ motion to dismiss, finding that Lipton’s compilation of terms was original to him and therefore protectible under copyright law. Lipton v. The Nature Co., 781 F.Supp. 1032 (S.D.N.Y.1992). By opinion dated September 23, 1993 and order [469]*469and judgment entered October 14, 1994, the district court granted summary judgment in favor of the plaintiff on all counts against defendants Wein and AWE. The court found Wein and AWE liable for copyright infringement and, citing Wein’s “contradictory explanations” for the source of his compilation, found their infringement to be willful pursuant to 17 U.S.C. § 504(c)(2). The court also found Wein and AWE liable for violation of the Lanham Act, noting:

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71 F.3d 464, 1995 WL 700377, Counsel Stack Legal Research, https://law.counselstack.com/opinion/lipton-v-nature-co-ca2-1995.