Академический Документы
Профессиональный Документы
Культура Документы
§
§
§
Michelin North America, Inc.,
§
§ CIVIL ACTION FILE
Plaintiff,
§
§ NO.________________
vs.
§
§
Tri-Ace Wheel & Tire Corporation,
§ JURY TRIAL DEMANDED
§
Defendant.
§
§
§
COMPLAINT
Plaintiff Michelin North America, Inc. (hereinafter “Michelin”), for its Complaint against
Defendant Tri-Ace Wheel & Tire Corporation (“Tri-Ace”), hereby alleges, upon personal
knowledge as to itself and its own acts, and on information and belief as to all other matters,
1. This is a civil action for infringement of United States Design Patent No. D728,457
(hereinafter “’457 patent”) in violation of the Patent Act of the United States, 35 U.S.C.
§ 101 et. seq. The making, use, sale, offer for sale, and/or importation of tires having the
tire tread presented by Defendant Tri-Ace’s tire sold under the name ALL TERRAIN II
under the BLACK BEAR brand infringes the claimed tire tread design of the ’457 patent.
barring Tri-Ace from further tortious actions, and other appropriate relief.
1
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 2 of 17
PARTIES
2. Plaintiff Michelin is a New York corporation having its principal place of business at 1
3. Defendant Tri-Ace exists under the laws of the State of Texas as a domestic for-profit
corporation with its principal place of business at 3203 S Sam Houston Parkway East,
a BLACK BEAR entity only as “Black Bear USA” but provides no corporate or other
legal entity designation and lists its United States address as: 3203 S Sam Houston
Parkway East, Suite 100, Houston, Texas 77047, i.e. the address for Tri-Ace. Further, a
Brothers Motorsports with TRI-ACE tires” and references use of TRI-ACE brand tires.
4. Upon information and belief, Plaintiff alleges that Defendant Tri-Ace is engaged in
importing, selling, and/or offering for sale, in the United States, the tires at issue in this
lawsuit, including importing such tires from China, displaying such tires at the Specialty
Equipment Market Association (SEMA) tradeshow in Las Vegas, Nevada, and selling
such tires through a United States distributor, SimpleTire LLC, of Trevose, PA, and on
5. This is an action for design patent infringement arising under the Patent Act, 35 U.S.C.
§ 101 et seq. The Court has subject matter jurisdiction over this action pursuant to 28
2
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 3 of 17
U.S.C. § 1331 (federal question) and 28 U.S.C. § 1338(a) (action arising under the Patent
Act).
6. The Court has personal jurisdiction over Tri-Ace for one or more of the following
reasons:
registered agent is Peter Chen, 3203 S Sam Houston Parkway East, Suite 100,
Houston, Texas 77047. When said agent is served with copies of the
with the Federal Due Process Clause, Tri-Ace having established minimum
contacts within this forum such that the exercise of jurisdiction over Tri-Ace
would not offend traditional notions of fair play and substantial justice;
d. Upon information and belief, Tri-Ace has done and continues to do business
e. Upon information and belief, Tri-Ace directs into the State of Texas,
7. Venue is proper in this District pursuant to 28 U.S.C. § 1400(b) because Tri-Ace resides
in this District, in that it is incorporated within the State of Texas and has a registered
3
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 4 of 17
FACTUAL BACKGROUND
8. Michelin is a leader in manufacturing and innovation in the field of vehicle tires and tire
the consuming public, for example through tires manufactured and sold by Michelin,
9. On May 5, 2015, United States Design Patent No. D728,457 was duly and legally issued
by the United States Patent and Trademark Office. A true and correct copy of the ’457
patent is attached as Exhibit A. The ’457 patent is valid, enforceable and currently in full
10. Michelin is the owner and assignee of all substantial rights, title and interest in the ’457
patent, including the right to bring this action and enforce the ’457 patent against
11. Michelin makes, sells and promotes tire products whose ornamental tire tread designs are
protected by the ’457 patent. These products include tires sold under the name ALL-
TERRAIN T/A® KO2 under the BFGOODRICH® brand, which are offered for sale
12. Michelin has practiced the ’457 patent in connection with the commercialization of its
BFGOODRICH ALL-TERRAIN T/A® KO2 tires, as shown for example in the side-by-
side comparison of the treads of the ’457 patent and the Michelin tire below:
4
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 5 of 17
13. Michelin has extensively promoted, advertised and used the tread design of the ’457
of media, including, but not limited to, brochures, point of purchase display materials,
14. The claimed design of the ’457 patent includes a portion thereof disposed on the tire
sidewall, as indicated in Figure 1 below at A1-A3, and a portion thereof disposed at the
tire tread center, as indicated in Figure 2 below at A4-A6. See also Exhibit A at Figures 1
and 2. The sidewall portion includes repeating pairs of alternating two-lobed elements
A1 and A2 above the sidewall and generally U-shaped elements A3 extending down onto
5
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 6 of 17
Figure 1
15. The central portion, depicted below at A4-A6 and in Figure 2 of Exhibit A, comprises a
generally S shaped element A5, and a left-facing generally C shaped element A6.
Figure 2
6
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 7 of 17
16. Michelin and Tri-Ace both compete in the tire industry. Tri-Ace sells its BLACK BEAR
17. Upon information and belief, Tri-Ace owns and operates the website
including the BLACK BEAR ALL-TERRAIN II tire, for sale in the United States
SimpleTire LLC, of Trevose, PA, (the “BLACK BEAR Tire”), are provided below at
18. Upon information and belief, the BLACK BEAR Tire was manufactured in China (DOT
19. The Tri-Ace BLACK BEAR ALL-TERRAIN II tire includes a tread design that nearly
20. As shown in Figures 3-6 below at Paragraph 20, the BLACK BEAR ALL-TERRAIN II
tire tread design has a sidewall portion with repeating pairs of alternating two-lobed
elements B1 and B2. Generally U-shaped elements B3 extend down onto the sidewall
21. As depicted in Figures 3-6 below, the BLACK BEAR ALL-TERRAIN II tread design
1
The “PP” notation is as plant code that indicates the BLACK BEAR Tire was manufactured by
Shandong Guofeng Rubber & Plastic Co., LTD in Dawang Town, Guangrao, China. See TSG,
Tire DOT Plant Codes – Sorted by Plant Code, http://www.tiresafetygroup.com/tire-dot-plant-
codes-sorted-plant-code/ (last visited Nov. 21, 2019); HARRIGER, New Tire Manufacturers Plant
Codes, Tire List 7 Code N1-V4, http://www.harriger.com/tire7.htm (last visited Nov. 21, 2019).
7
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 8 of 17
shaped element B4, alternating center elongated elements B5 and B6, and a left-facing
Figure 3
8
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 9 of 17
Figure 4
9
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 10 of 17
Figure 5
10
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 11 of 17
Figure 6
11
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 12 of 17
22. Side-by-side comparisons of the ’457 patented design and the BLACK BEAR ALL-
Figure 7
Figure 6
12
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 13 of 17
Figure 8
Figure 4
23. A visual comparison of the BLACK BEAR ALL-TERRAIN II tire tread design and the
’457 patented design demonstrates that the infringing BLACK BEAR tire has a tread
design that is the same or substantially the same as the tread design of the ’457 patent.
24. The tread designs are so similar as to be nearly identical, such that an ordinary observer
familiar with the relevant prior art, giving such attention as a purchaser usually gives,
would find the claimed design of the ’457 patent and the tread design of the BLACK
BEAR tire to be substantially the same, such that the ordinary observer would be
deceived into believing the BLACK BEAR tire tread design is the design claimed by the
’457 patent.
13
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 14 of 17
25. Michelin has not granted a license or any other authorization to Tri-Ace to make use,
offer for sale, sell, or import tires that embody the tread design in the ’457 patent and
COUNT I
26. Michelin incorporates by reference the allegations, and figures, contained in paragraphs
1-25 above.
27. Tri-Ace has directly infringed and continues to directly infringe the ’457 patent by, inter
alia, making, using, offering for sale, selling and/or importing in the United States
products infringing the ornamental design covered by the ’457 patent in violation of 35
U.S.C. §§ 271 and 289, including but not limited to the BLACK BEAR ALL-TERRAIN
II tire.
28. Tri-Ace has infringed the ’457 patent because, inter alia, the tread of the BLACK BEAR
ALL-TERRAIN II tire is virtually identical to the design claimed by the ’457 patent, and,
looking at the two products as a whole, an ordinary observer would find the tread designs
of the BLACK BEAR ALL-TERRAIN II tire and of the ’457 patent to be substantially
the same.
29. Upon information and belief, Tri-Ace also induced, and continues to induce, others to
infringe the ’457 patent by encouraging and promoting the use and/or sale by others of
tires that infringe the ’457 patent, including the BLACK BEAR ALL TERRAIN II tires,
30. Tri-Ace has had actual knowledge of the ’457 patent since at least the date on which Tri-
14
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 15 of 17
31. Tri-Ace’s direct and induced infringement of the ’457 patent has caused damage to
Michelin.
32. Tri-Ace’s infringing activities will continue unless enjoined by this Court pursuant to 35
33. Tri-Ace’s infringement of the ’457 patent was undertaken without authority, permission,
34. Michelin is entitled to a complete accounting of all revenues and profits derived by Tri-
Ace from the unlawful conduct alleged herein, including without limitation, Tri-Ace’s
35. Michelin is entitled to a permanent injunction preventing Tri-Ace from further infringing
A. A judgment entered in favor of Michelin on its claim that Tri-Ace has directly
agents, and employees and all those in concert or participation with it who receive notice
of this judgment by personal service or otherwise, from making, importing, selling, using,
and offering to sell infringing products practicing the ’457 patent and from otherwise
’457 patent;
C. A judgment and order that Tri-Ace make an accounting to Michelin and pay over to
Michelin the extent of Tri-Ace’s total profit and revenue realized and derived from its
15
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 16 of 17
infringement of the ’457 patent, and actual damages to Michelin in an amount not less
D. An award of costs of this action together with Michelin’s reasonable attorney fees,
pursuant to 35 U.S.C § 285 for this case being exceptional, and as permitted under other
applicable laws;
F. An award to Michelin of such further relief as the Court deems just and proper.
16
Case 4:19-cv-04884 Document 1 Filed on 12/17/19 in TXSD Page 17 of 17
17
Case 4:19-cv-04884 Document 1-1 Filed on 12/17/19 in TXSD Page 1 of 6
EXHIBIT A
Case 4:19-cv-04884 Document 1-1 Filed on 12/17/19 in TXSD Page 2 of 6
I 1111111111111111 111111111111111 IIIII IIIII 11111 11111111111111111 II IIIII IIII
US00D728457S
OTHER PUBLICATIONS
(72) Inventors: Kevin Ray Reim, Simpsonville, SC
(US); Fang Zhu, Greer, SC (US) BFGoodrich Rugged Terrain TIA tire, www.bfgoodrichtires.com, at
least as early as Nov. 19, 2012, 1 page.
(73) Assignees: Compagnie Generale des BF Goodrich All Terrain T/A KO tire, www.bfgoodrichtires.com, at
Etablissements Michelin, least as early as Nov. 19, 2012, 1 page.
Clermont-Ferrand (FR); Michelin
Recherche et Technique S.A., * cited by examiner
Granges-Paccot (CH)
Primary Examiner - Robert M Spear
(**) Term: 14 Years (74) Attorney, Agent, or Firm - Dority & Manning, PA
_,,,,. .......
/ ' '-
"\
/
/ /
I \
I .----.. \
I ,,,,. ' \
I / / " \ \
I I \ \
I A \ \
I I \ \ \
I I \ \ \
I I \ \ \
I I \ \ \
I I \ \ \
I I \ \ I
I I I I I
I I I I I
I I I I I
\ I / / I
I \ / / /
\ \ I I I
\ \ I I I
\ \ I I /
\ V / /
\ \ I I
\ \" // I
\ '-._ _ __.,,,,. I
\ I
\ I
"" '-
\ /
-----
/
/
....... _,,,,. /
FIG. -1-
Case 4:19-cv-04884 Document 1-1 Filed on 12/17/19 in TXSD Page 4 of 6
FIG. -2-
Case 4:19-cv-04884 Document 1-1 Filed on 12/17/19 in TXSD Page 5 of 6
/
_,,.. --- ' '
/
/
''
---- -- ' '
/ '-
/
/
/
/ --- ' \..
\..
/
'-
I
I
/
/
/
' \.. \
\
I I \ \
I I \ \
I I \ \
I I \ \
I I I I
I I I I
I I I I
\ \ I I
\ \ I I
\ \ I I
\ \ I I
"'
\ / I
\
\ I
________ ,,,.,,.,
/
\
\..
' ' ........
/ /
/
/
I
"' '-
/
/
/
''
/ ,,_--,____,,
....... ___ /
/
---
FIG. -3-
Case 4:19-cv-04884 Document 1-1 Filed on 12/17/19 in TXSD Page 6 of 6
""""'-...-,----,-
/
/
---- ---- .......
'-
~,._....-</
/
''
-- ---- -- ---- '- '"
/
/
I
I
/
/
/ /
'' "\ \
I I \.
I I \ \
I I \ \
I I \ \
I I \ \
I I \ I
I I I I
I \ I I
\ \ I I
\ \ I I
\ \ I I
\ \ I I
\ I
\
'' I
I
_____
\ /
\ '- ....... ...._-... /
/ I
"'
,..,,- / I
/
'
/__...,__,_..,
''
/
--
/
--
'- ....... /
/
_,__......,....~
FIG. -4-
Case 4:19-cv-04884 Document 1-2 Filed on 12/17/19 in TXSD Page 1 of 2
-65HY &,9,/&29(56+((7
7KH-6FLYLOFRYHUVKHHWDQGWKHLQIRUPDWLRQFRQWDLQHGKHUHLQQHLWKHUUHSODFHQRUVXSSOHPHQWWKHILOLQJDQGVHUYLFHRISOHDGLQJVRURWKHUSDSHUVDVUHTXLUHGE\ODZH[FHSWDV
SURYLGHGE\ORFDOUXOHVRIFRXUW7KLVIRUPDSSURYHGE\WKH-XGLFLDO&RQIHUHQFHRIWKH8QLWHG6WDWHVLQ6HSWHPEHULVUHTXLUHGIRUWKHXVHRIWKH&OHUNRI&RXUWIRUWKH
SXUSRVHRILQLWLDWLQJWKHFLYLOGRFNHWVKHHW(SEE INSTRUCTIONS ON NEXT PAGE OF THIS FORM.)
, D 3/$,17,))6 '()(1'$176
MICHELIN NORTH AMERICA, INC. TRI-ACE WHEEL & TIRE CORPORATION
E&RXQW\RI5HVLGHQFHRI)LUVW/LVWHG3ODLQWLII &RXQW\RI5HVLGHQFHRI)LUVW/LVWHG'HIHQGDQW
(EXCEPT IN U.S. PLAINTIFF CASES) (IN U.S. PLAINTIFF CASES ONLY)
127( ,1/$1'&21'(01$7,21&$6(686(7+(/2&$7,212)
7+(75$&72)/$1',192/9('
F$WWRUQH\V(Firm Name, Address, and Telephone Number) $WWRUQH\V(If Known)
Domingo M. LLagostera, Blank Rome, LLP, 717 Texas Ave., Suite 1400,
Houston, TX 77002, phone: 713-632-8682,
Email: DLLagostera@BlankRome.com
,,%$6,62)-85,6',&7,21(Place an “X” in One Box Only) ,,,&,7,=(16+,32)35,1&,3$/3$57,(6 (Place an “X” in One Box for Plaintiff
(For Diversity Cases Only) and One Box for Defendant)
u 86*RYHUQPHQW u )HGHUDO4XHVWLRQ 37) '() 37) '()
3ODLQWLII (U.S. Government Not a Party) &LWL]HQRI7KLV6WDWH u u ,QFRUSRUDWHGor3ULQFLSDO3ODFH u u
RI%XVLQHVV,Q7KLV6WDWH
&LWL]HQRU6XEMHFWRID u u )RUHLJQ1DWLRQ u u
)RUHLJQ&RXQWU\
,91$785(2)68,7(Place an “X” in One Box Only) &OLFNKHUHIRU1DWXUHRI6XLW&RGH'HVFULSWLRQV
&2175$&7 72576 )25)(,785(3(1$/7< %$1.5837&< 27+(567$787(6
u ,QVXUDQFH 3(5621$/,1-85< 3(5621$/,1-85< u 'UXJ5HODWHG6HL]XUH u $SSHDO86& u )DOVH&ODLPV$FW
u 0DULQH u $LUSODQH u 3HUVRQDO,QMXU\ RI3URSHUW\86& u :LWKGUDZDO u 4XL7DP86&
u 0LOOHU$FW u $LUSODQH3URGXFW 3URGXFW/LDELOLW\ u 2WKHU 86& D
u 1HJRWLDEOH,QVWUXPHQW /LDELOLW\ u +HDOWK&DUH u 6WDWH5HDSSRUWLRQPHQW
u 5HFRYHU\RI2YHUSD\PHQW u $VVDXOW/LEHO 3KDUPDFHXWLFDO 3523(57<5,*+76 u $QWLWUXVW
(QIRUFHPHQWRI-XGJPHQW 6ODQGHU 3HUVRQDO,QMXU\ u &RS\ULJKWV u %DQNVDQG%DQNLQJ
u 0HGLFDUH$FW u )HGHUDO(PSOR\HUV¶ 3URGXFW/LDELOLW\ u 3DWHQW u &RPPHUFH
u 5HFRYHU\RI'HIDXOWHG /LDELOLW\ u $VEHVWRV3HUVRQDO u 3DWHQW$EEUHYLDWHG u 'HSRUWDWLRQ
6WXGHQW/RDQV u 0DULQH ,QMXU\3URGXFW 1HZ'UXJ$SSOLFDWLRQ u 5DFNHWHHU,QIOXHQFHGDQG
([FOXGHV9HWHUDQV u 0DULQH3URGXFW /LDELOLW\ u 7UDGHPDUN &RUUXSW2UJDQL]DWLRQV
u 5HFRYHU\RI2YHUSD\PHQW /LDELOLW\ 3(5621$/3523(57< /$%25 62&,$/6(&85,7< u &RQVXPHU&UHGLW
RI9HWHUDQ¶V%HQHILWV u 0RWRU9HKLFOH u 2WKHU)UDXG u )DLU/DERU6WDQGDUGV u +,$II 86&RU
u 6WRFNKROGHUV¶6XLWV u 0RWRU9HKLFOH u 7UXWKLQ/HQGLQJ $FW u %ODFN/XQJ u 7HOHSKRQH&RQVXPHU
u 2WKHU&RQWUDFW 3URGXFW/LDELOLW\ u 2WKHU3HUVRQDO u /DERU0DQDJHPHQW u ',:&',::J 3URWHFWLRQ$FW
u &RQWUDFW3URGXFW/LDELOLW\ u 2WKHU3HUVRQDO 3URSHUW\'DPDJH 5HODWLRQV u 66,'7LWOH;9, u &DEOH6DW79
u )UDQFKLVH ,QMXU\ u 3URSHUW\'DPDJH u 5DLOZD\/DERU$FW u 56,J u 6HFXULWLHV&RPPRGLWLHV
u 3HUVRQDO,QMXU\ 3URGXFW/LDELOLW\ u )DPLO\DQG0HGLFDO ([FKDQJH
0HGLFDO0DOSUDFWLFH /HDYH$FW u 2WKHU6WDWXWRU\$FWLRQV
5($/3523(57< &,9,/5,*+76 35,621(53(7,7,216 u 2WKHU/DERU/LWLJDWLRQ )('(5$/7$;68,76 u $JULFXOWXUDO$FWV
u /DQG&RQGHPQDWLRQ u 2WKHU&LYLO5LJKWV +DEHDV&RUSXV u (PSOR\HH5HWLUHPHQW u 7D[HV863ODLQWLII u (QYLURQPHQWDO0DWWHUV
u )RUHFORVXUH u 9RWLQJ u $OLHQ'HWDLQHH ,QFRPH6HFXULW\$FW RU'HIHQGDQW u )UHHGRPRI,QIRUPDWLRQ
u 5HQW/HDVH (MHFWPHQW u (PSOR\PHQW u 0RWLRQVWR9DFDWH u ,56²7KLUG3DUW\ $FW
u 7RUWVWR/DQG u +RXVLQJ 6HQWHQFH 86& u $UELWUDWLRQ
u 7RUW3URGXFW/LDELOLW\ $FFRPPRGDWLRQV u *HQHUDO u $GPLQLVWUDWLYH3URFHGXUH
u $OO2WKHU5HDO3URSHUW\ u $PHUZ'LVDELOLWLHV u 'HDWK3HQDOW\ ,00,*5$7,21 $FW5HYLHZRU$SSHDORI
(PSOR\PHQW 2WKHU u 1DWXUDOL]DWLRQ$SSOLFDWLRQ $JHQF\'HFLVLRQ
u $PHUZ'LVDELOLWLHV u 0DQGDPXV 2WKHU u 2WKHU,PPLJUDWLRQ u &RQVWLWXWLRQDOLW\RI
2WKHU u &LYLO5LJKWV $FWLRQV 6WDWH6WDWXWHV
u (GXFDWLRQ u 3ULVRQ&RQGLWLRQ
u &LYLO'HWDLQHH
&RQGLWLRQVRI
&RQILQHPHQW
925,*,1(Place an “X” in One Box Only)
u 2ULJLQDO u 5HPRYHGIURP u 5HPDQGHGIURP u 5HLQVWDWHGRU u 7UDQVIHUUHGIURP
u 0XOWLGLVWULFW u 0XOWLGLVWULFW
3URFHHGLQJ 6WDWH&RXUW $SSHOODWH&RXUW 5HRSHQHG $QRWKHU'LVWULFW /LWLJDWLRQ /LWLJDWLRQ
(specify) 7UDQVIHU 'LUHFW)LOH
&LWHWKH86&LYLO6WDWXWHXQGHUZKLFK\RXDUHILOLQJ(Do not cite jurisdictional statutes unless diversity)
9,&$86(2)$&7,21 35 U.S.C. § 101 et seq., 28 U.S.C. § 1331, 28 U.S.C. § 1338(a)
%ULHIGHVFULSWLRQRIFDXVH
Patent Infringement
9,,5(48(67(',1 u &+(&.,)7+,6,6$&/$66$&7,21 '(0$1' &+(&.<(6RQO\LIGHPDQGHGLQFRPSODLQW
&203/$,17 81'(558/()5&Y3 -85<'(0$1' u <HV u 1R
9,,,5(/$7('&$6(6
(See instructions):
,)$1< -8'*( '2&.(7180%(5
'$7( 6,*1$785(2)$77251(<2)5(&25'
12/17/2019 /s/ Domingo M. LLagostera
)252)),&(86(21/<
,16758&7,216)25$77251(<6&203/(7,1*&,9,/&29(56+((7)250-6
$XWKRULW\)RU&LYLO&RYHU6KHHW
7KH-6FLYLOFRYHUVKHHWDQGWKHLQIRUPDWLRQFRQWDLQHGKHUHLQQHLWKHUUHSODFHVQRUVXSSOHPHQWVWKHILOLQJVDQGVHUYLFHRISOHDGLQJRURWKHUSDSHUVDV
UHTXLUHGE\ODZH[FHSWDVSURYLGHGE\ORFDOUXOHVRIFRXUW7KLVIRUPDSSURYHGE\WKH-XGLFLDO&RQIHUHQFHRIWKH8QLWHG6WDWHVLQ6HSWHPEHULV
UHTXLUHGIRUWKHXVHRIWKH&OHUNRI&RXUWIRUWKHSXUSRVHRILQLWLDWLQJWKHFLYLOGRFNHWVKHHW&RQVHTXHQWO\DFLYLOFRYHUVKHHWLVVXEPLWWHGWRWKH&OHUNRI
&RXUWIRUHDFKFLYLOFRPSODLQWILOHG7KHDWWRUQH\ILOLQJDFDVHVKRXOGFRPSOHWHWKHIRUPDVIROORZV
,9 1DWXUHRI6XLW3ODFHDQ;LQWKHDSSURSULDWHER[,IWKHUHDUHPXOWLSOHQDWXUHRIVXLWFRGHVDVVRFLDWHGZLWKWKHFDVHSLFNWKHQDWXUHRIVXLWFRGH
WKDWLVPRVWDSSOLFDEOH&OLFNKHUHIRU1DWXUHRI6XLW&RGH'HVFULSWLRQV
9 2ULJLQ3ODFHDQ;LQRQHRIWKHVHYHQER[HV
2ULJLQDO3URFHHGLQJV&DVHVZKLFKRULJLQDWHLQWKH8QLWHG6WDWHVGLVWULFWFRXUWV
5HPRYHGIURP6WDWH&RXUW3URFHHGLQJVLQLWLDWHGLQVWDWHFRXUWVPD\EHUHPRYHGWRWKHGLVWULFWFRXUWVXQGHU7LWOH86&6HFWLRQ
5HPDQGHGIURP$SSHOODWH&RXUW&KHFNWKLVER[IRUFDVHVUHPDQGHGWRWKHGLVWULFWFRXUWIRUIXUWKHUDFWLRQ8VHWKHGDWHRIUHPDQGDVWKHILOLQJ
GDWH
5HLQVWDWHGRU5HRSHQHG&KHFNWKLVER[IRUFDVHVUHLQVWDWHGRUUHRSHQHGLQWKHGLVWULFWFRXUW8VHWKHUHRSHQLQJGDWHDVWKHILOLQJGDWH
7UDQVIHUUHGIURP$QRWKHU'LVWULFW)RUFDVHVWUDQVIHUUHGXQGHU7LWOH86&6HFWLRQD'RQRWXVHWKLVIRUZLWKLQGLVWULFWWUDQVIHUVRU
PXOWLGLVWULFWOLWLJDWLRQWUDQVIHUV
0XOWLGLVWULFW/LWLJDWLRQ±7UDQVIHU&KHFNWKLVER[ZKHQDPXOWLGLVWULFWFDVHLVWUDQVIHUUHGLQWRWKHGLVWULFWXQGHUDXWKRULW\RI7LWOH86&
6HFWLRQ
0XOWLGLVWULFW/LWLJDWLRQ±'LUHFW)LOH&KHFNWKLVER[ZKHQDPXOWLGLVWULFWFDVHLVILOHGLQWKHVDPHGLVWULFWDVWKH0DVWHU0'/GRFNHW
3/($6(127(7+$77+(5(,6127$125,*,1&2'(2ULJLQ&RGHZDVXVHGIRUKLVWRULFDOUHFRUGVDQGLVQRORQJHUUHOHYDQWGXHWR
FKDQJHVLQVWDWXH
9, &DXVHRI$FWLRQ5HSRUWWKHFLYLOVWDWXWHGLUHFWO\UHODWHGWRWKHFDXVHRIDFWLRQDQGJLYHDEULHIGHVFULSWLRQRIWKHFDXVH'RQRWFLWHMXULVGLFWLRQDO
VWDWXWHVXQOHVVGLYHUVLW\([DPSOH86&LYLO6WDWXWH86&%ULHI'HVFULSWLRQ8QDXWKRUL]HGUHFHSWLRQRIFDEOHVHUYLFH
9,, 5HTXHVWHGLQ&RPSODLQW&ODVV$FWLRQ3ODFHDQ;LQWKLVER[LI\RXDUHILOLQJDFODVVDFWLRQXQGHU5XOH)5&Y3
'HPDQG,QWKLVVSDFHHQWHUWKHDFWXDOGROODUDPRXQWEHLQJGHPDQGHGRULQGLFDWHRWKHUGHPDQGVXFKDVDSUHOLPLQDU\LQMXQFWLRQ
-XU\'HPDQG&KHFNWKHDSSURSULDWHER[WRLQGLFDWHZKHWKHURUQRWDMXU\LVEHLQJGHPDQGHG
9,,, 5HODWHG&DVHV7KLVVHFWLRQRIWKH-6LVXVHGWRUHIHUHQFHUHODWHGSHQGLQJFDVHVLIDQ\,IWKHUHDUHUHODWHGSHQGLQJFDVHVLQVHUWWKHGRFNHW
QXPEHUVDQGWKHFRUUHVSRQGLQJMXGJHQDPHVIRUVXFKFDVHV
'DWHDQG$WWRUQH\6LJQDWXUH'DWHDQGVLJQWKHFLYLOFRYHUVKHHW