U.S. Bank National Ass'n v. U.S. Timberlands Klamath Falls, L.L.C.

864 A.2d 930, 2004 WL 5388052, 2004 Del. Ch. LEXIS 193
CourtCourt of Chancery of Delaware
DecidedDecember 22, 2004
DocketNo. C.A. No. 112-N
StatusPublished
Cited by13 cases

This text of 864 A.2d 930 (U.S. Bank National Ass'n v. U.S. Timberlands Klamath Falls, L.L.C.) is published on Counsel Stack Legal Research, covering Court of Chancery of Delaware primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
U.S. Bank National Ass'n v. U.S. Timberlands Klamath Falls, L.L.C., 864 A.2d 930, 2004 WL 5388052, 2004 Del. Ch. LEXIS 193 (Del. Ct. App. 2004).

Opinion

OPINION

LAMB, Vice Chancellor.

I.

This action arises from a suit by an indenture trustee seeking a declaration that the issuer violated several provisions of the indenture by entering into transactions with a related third-party. The trustee alleges that these transactions were completed to the detriment of the issuer, and for the benefit and personal gain of the defendants. The trustee further alleges breach of fiduciary duty, actual and constructive fraud, and seeks the avoidance of certain transactions between the issuer and the related entity and the imposition of a constructive trust on the property that was the subject of those transactions.

The trustee has moved for partial summary judgment. It argues' that it has introduced evidence of a prima facie case that certain transfers by the defendants violate the indenture, and that the defendants have failed to rebut its prima facie case. The defendants cross-moved to dismiss for failure to state a claim upon which relief can be granted. They argue that the complaint fails to allege facts sufficient to bring a cause of action and, in the alternative, the claims raised are barred as a matter of law.

The court holds that the well-pleaded allegations in the complaint state a claim for relief, and that the trustee’s action is [935]*935not barred as a matter of law. The court also holds that the trustee is entitled to partial summary judgment declaring that an Event of Default exists under the indenture regarding certain related party transactions occurring between 1999 and 2001. The defendants’ motion for judgment on the pleadings will be denied and the trustee’s motion for partial summary judgment will be granted.

II.1

A. The Parties

U.S. Bank National Association, the plaintiff indenture trustee (“Trustee”), is a nationally chartered banking association with its executive offices in Minneapolis, Minnesota.2

Defendant U.S. Timberlands Klamath Falls, L.L.C. (“Klamath” or the “Issuer”) is a Delaware limited liability company with its principal place of business in Kla-math Falls, Oregon.3 Klamath is in the timber business. The manager of Kla-math is defendant U.S. Timberlands Services Company, L.L.C. (“Services”),4 a Delaware limited liability company. Defendant U.S. Timberlands Finance Corp. (“Finance”),5 a Delaware corporation, is a wholly owned subsidiary of Klamath and was also an issuer of the notes. Defendant U.S. Timberlands Holdings Group, L.L.C. (“Holdings”),6 and defendant U.S. Timberlands Yakima L.L.C. (‘Yakima”)7 are both Delaware limited liability companies. Yakima is also in the timber business.

Additionally, the five members of the board of directors of Services are named as individual defendants: John M. Rudey,8 Alan B. Abramson, Aubrey L. Cole, George R. Hornig, Robert F. Wright, and William A. Wyman.9

B. Background

In 1996, Rudey formed Klamath for the purpose of growing and selling timber to third parties. On November 17,1997, Kla-math issued $225 million in unsecured notes pursuant to an indenture (the “Indenture”) for which U.S. Bank serves as indenture trustee. In 1999, Rudey formed Yakima, a company with essentially the same business as Klamath. According to the complaint, Yakima and Klamath are under the direct or indirect common control of Rudey.10

[936]*936The Trustee filed its complaint on December 12, 2003 and its amended complaint on April 16, 2004.11 On July 29, 2004, this court dismissed the amended complaint without prejudice for lack of standing, with leave to amend. On August 30, 2004, the Trustee filed the Second Amended Complaint (hereinafter, the “Complaint”).

Generally, the Complaint challenges two sets of transactions between Klamath and Yakima. First, the Complaint challenges a series of contributions of timberlands by Klamath to Yakima in exchange for “preferred” interests in Yakima that took place in October 1999, February 2001, June 2001, December 2002, and February 2003. In return for transferring timberlands valued at approximately $61.9 million, Kla-math received equity with a “guaranteed” cumulative annual return, and a 51% voting interest in Yakima, that was later abrogated by Rudey.12 The “guaranteed” return has never been paid and, as of December 31, 2002, Yakima owed the Issuer $5,020,000 on this return. After each of the transfers, Yakima immediately borrowed against the timberlands, and placed liens on them, allegedly in violation of the Indenture. Those timberlands remain subject to hens in favor of Yakima’s creditors.

Second, the Complaint attacks sales of timberlands by Klamath to Yakima for cash between December 2001 and May 2003. The Complaint alleges that the Issuer took no profits from these sales. Instead, the Issuer agreed to take any profits only when Yakima sold the timberlands, and then only as an adjustment to the Issuer’s equity interest in Yakima. These transactions, the Complaint alleges, were not on arm’s-length terms and, therefore, violated section 4.11 of the Indenture.

Among other things, the Complaint alleges that Rudey and other individual defendants used the assets transferred from Klamath to Yakima to settle lawsuits brought against them and to finance a going private transaction involving the Partnership. In addition, the Complaint alleges that the Issuer made the November 2003 semi-annual interest payment in December 2003 (although within the 30-day grace period) and only after liquidating assets to raise the cash. The Complaint does not otherwise allege that the Issuer has failed to make a payment of interest or principal on the notes. Furthermore, the Complaint alleges that the transfers have left the Issuer’s liability greatly in excess of its assets.13

On May 17, 2004, the Trustee sent a written notice of default to the Issuer and Finance, detailing the timberland transfers [937]*937outlined above, and claiming that they violated sections 4.8, 4.9, 4.10, and 4.11 of the Indenture. The notice required the Issuer to cure the defaults. The Issuer’s response denied the existence of any default.

By August 27, 2004, 24 noteholders (or their authorized representative) holding $126,917,000 in principal amount of the outstanding notes, representing more than 55% of the outstanding principal amount, informed the Trustee, in writing, of their belief of the existence of a continuing Event of Default under the Indenture and requested that the Trustee pursue all available remedies.14 The Trustee did not require indemnification with respect to these requests, since it determined that the suit was in the best interest of all the noteholders, ratably.

The Complaint has six counts. Count I is asserted against Klamath and seeks a declaratory judgment that the transactions at issue violated the Indenture. Count II alleges breach of fiduciary duty by the Individual Defendants for approving the contributions of timberlands in exchange for preferred interests.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Cite This Page — Counsel Stack

Bluebook (online)
864 A.2d 930, 2004 WL 5388052, 2004 Del. Ch. LEXIS 193, Counsel Stack Legal Research, https://law.counselstack.com/opinion/us-bank-national-assn-v-us-timberlands-klamath-falls-llc-delch-2004.