Sloan v. Inolife Techs., Inc.

2018 NCBC 122
CourtNorth Carolina Business Court
DecidedNovember 30, 2018
Docket17-CVS-306
StatusPublished

This text of 2018 NCBC 122 (Sloan v. Inolife Techs., Inc.) is published on Counsel Stack Legal Research, covering North Carolina Business Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Sloan v. Inolife Techs., Inc., 2018 NCBC 122 (N.C. Super. Ct. 2018).

Opinion

Sloan v. InoLife Techs., Inc., 2018 NCBC 122.

STATE OF NORTH CAROLINA IN THE GENERAL COURT OF JUSTICE SUPERIOR COURT DIVISION FORSYTH COUNTY 17 CVS 306

BIZROBE TRUST, BY ITS TRUSTEE DOUBLEBENT, LLC,

Plaintiff,

v.

INOLIFE TECHNOLOGIES, INC.; MANHATTAN TRANSFER REGISTRAR COMPANY; MTRCO, INC.; and JOHN CHARLES AHEARN, III,

Defendants.

-and-

INOLIFE TECHNOLOGIES, INC., ORDER AND OPINION Third-Party ON PLAINTIFF BIZROBE Plaintiff, TRUST’S MOTION FOR SUMMARY JUDGMENT v.

GARY BERTHOLD,

Third-Party Defendant.

N3GU CAPITAL LTD.,

Third-Party Plaintiff,

GARY BERTHOLD, Third-Party Defendant.

RANDALL LANHAM and 8687544 CANADA, INC.

Third-Party Defendants.

1. THIS MATTER is before the Court on Plaintiff Bizrobe Trust’s (“Bizrobe”)

Motion for Summary Judgment (the “Motion”). (ECF No. 72 [“Mot.”].) Having

considered the Motion, the briefs, and the arguments of counsel at a hearing on the

Motion, the Court DENIES the Motion.

Norman L. Sloan, for Plaintiff.

Higgins Benjamin, PLLC, by Gilbert J. Andia, Jr., for Defendants.

Robinson, Judge.

I. FACTUAL BACKGROUND

2. The Court does not make findings of fact when ruling on motions for

summary judgment. E.g., In re Estate of Pope, 192 N.C. App. 321, 329, 666 S.E.2d

140, 147 (2008). The following factual background, taken from the undisputed

evidence submitted in support of and in opposition to the Motion, is intended solely

to provide context for the Court’s analysis and ruling. 3. Defendant InoLife Technologies, Inc. (“InoLife” or the “Corporation”) is a

New York corporation with its principle place of business in California. (Am. Compl.

¶ 8, ECF No. 24; Answer & Countercl. & Third-Party Claim ¶ 8, ECF No. 31

[“Answer”/ “Countercl. & Third-Party Compl.”].)

4. Defendant Manhattan Transfer Registrar Company (“Manhattan

Transfer”) is a Colorado corporation with its principle place of business in Colorado.

(Am. Compl. ¶ 9; Answer ¶ 9.) Several filings related to InoLife’s stock appear on

Manhattan Transfer’s transaction journal. (See, e.g., Aff. of Gary S. Berthold Exs. 5,

M, ECF No. 74 [“Berthold Aff.”].)

5. Defendant John Charles Ahearn, III (“Ahearn”) is a citizen and resident of

Boulder, Colorado and is affiliated with Manhattan Transfer. (Am. Compl. ¶ 11;

Answer ¶ 11; see Berthold Aff. ¶ 8.)

6. Defendant MTRCO, Inc. was a Colorado corporation with its principal place

of business in Colorado but was voluntarily dissolved on December 31, 2016. (See

Am. Compl. ¶ 10; Answer ¶ 10.)

7. Third-Party Defendant/Plaintiff Gary S. Berthold (“Berthold”) was the CEO

and President of InoLife from November 2009 to February 29, 2016, when he

resigned. (Berthold Aff. ¶ 3.) Berthold was formerly the majority shareholder of

InoLife. (Aff. of Kenneth J. Beam ¶ 5, ECF No. 19.2 [“Beam Aff.”]; Aff. of Randall J.

Lanham ¶ 8, ECF Nos. 19.3, 19.5, 19.6 [“Lanham Aff.”].) 8. Bizrobe is purportedly a North Carolina trust.1 (Am. Compl. ¶ 7.) Bizrobe’s

trustee, Doublebent, LLC, is a North Carolina limited liability company. (Beam Aff.

¶ 20, Ex. 1.)

9. On February 4, 2014, Berthold, as CEO of InoLife, filed a Certificate of

Amendment of the Certificate of Incorporation of InoLife with the New York State

Department of State Division of Corporations (the “Certificate of Amendment”).

(Berthold Aff. Ex. 1 [“Certificate of Amendment”].) The Certificate of Amendment, in

pertinent part, designated a class of stock of InoLife as Series D Preferred Stock

having 10,000,000 shares authorized at $0.00001 par value per share. (Certificate of

Amendment § 2(D)(1).) The Certificate of Amendment further provided that:

[e]ach share of SERIES D Preferred Stock shall be convertible, at any time, and/or from time to time, into the number of shares of the Corporation’s Common Stock, par value $0.00001 per share, equal to the price of the SERIES D Preferred Stock, divided by the par value of the Common Stock, subject to adjustment as may be determined by the Board of Directors from time to time (the “Conversion Rate”). . . . Such conversion shall be deemed to be effective on the business day (the “Conversion Date”) following the receipt by the Corporation of written notice from the holder of the SERIES D Preferred Stock of the holder’s intention to convert the shares of SERIES D Stock [sic], together with the holder’s stock certificate or certificates evidencing the SERIES D Preferred Stock to be converted.

(Certificate of Amendment § 2(D)(4)(a).)

1 The record evidence is unclear as to Bizrobe’s status. Bizrobe alleges that it is a North Carolina trust. (Am. Compl. ¶ 7.) Defendants, lacking knowledge or information as to Bizrobe’s status, deny the allegation. (Answer ¶ 8.) The record otherwise lacks conclusive evidence as to when Bizrobe was created or its current status. Defendants, however, contend that Bizrobe is owned or controlled by Berthold. (Lanham Aff. ¶ 26.) Regardless, Bizrobe’s current status is not dispositive as to the Court’s determination of the Motion. 10. The Certificate of Amendment further provided that “promptly after the

Conversion Date, the Corporation shall issue and deliver to such holder a certificate

or certificates for the number of full shares of Common Stock issuable to the holder

pursuant to the holder’s conversion of SERIES D Preferred Shares.” (Certificate of

Amendment § 2(D)(4)(b).) The price of each share of Series D Preferred Stock was set

at $5.00 per share. (Certificate of Amendment § 2(D)(7)(a).) It is unclear who, if

anyone, at the time the Certificate of Amendment was filed (February 4, 2014), held

any of InoLife’s Series D Preferred Stock, however, a December 21, 2015 InoLife

account statement indicates that 10,000,000 of the shares were issued to Berthold on

January 27, 2015, and that he continued to hold the shares as of December 21, 2015.

(Berthold Aff. Ex. 4.)

11. On January 12, 2016, Ahearn and Manhattan Transfer received from

Berthold an Irrevocable Stock or Bond Power, dated December 16, 2015, which stated

that, “[f]or [v]alue [r]eceived,” Berthold “does . . . hereby sell, assign, and transfer to”

Bizrobe “10,000,000 Series D Preferred Shares in Gary S. Berthold [sic] name[.]” (Aff.

Berthold Ex. 5, at 1, 2.) Additionally, a February 29, 2016 Manhattan Transfer

transaction journal entry shows a transfer on that date from Berthold to Bizrobe of

10,000,000 shares of InoLife Series D Preferred Stock with certificate number PD 2.

(See Aff. Berthold Ex. 5, at 3; see also Aff. Berthold Ex. M.)

12. On October 18, 2016, Norman L. Sloan, on behalf of Bizrobe as its attorney,

requested in writing to Michael G. Wright, then-CEO of InoLife, and Ahearn, that

InoLife convert 10,000,000 shares of its Series D Preferred Stock into 5,000,000,000,000 shares of InoLife common stock. (Berthold Aff. Ex. 8.) The request

for conversion does not reference any certificates held by Bizrobe for the Series D

Preferred Stock nor does it attach the certificate denominated “PD 2” on the February

29, 2016 Manhattan Transfer transaction journal entry. (See Berthold Aff. Ex. 8.)

Ten days later, on October 28, 2016, Lanham, as InoLife’s attorney, responded and

denied Bizrobe’s request, stating that InoLife “does not have records of Bizrobe . . . as

a shareholder . . .[,] there is no valid issuance of Preferred Series D Stock, and we

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