United States v. Hawkins

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

(/(&7521,& &,7$7,21  )(' $SS 3 WK &LU
)LOH 1DPH DS

81,7('67$7(6&28572)$33($/6
)257+(6,;7+&,5&8,7
BBBBBBBBBBBBBBBBB

81,7(' 67$7(6 2) $0(5,&$ ;
3ODLQWLII$SSHOOHH 

 1R
Y 
!

$17:$1' '(6+,21 
+$:.,16 
'HIHQGDQW$SSHOODQW 

1
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV
1Rn5REHUW+ROPHV%HOO&KLHI'LVWULFWsXGJH
$UJXHG6HSWHPEHU
'HFLGHGDQG)LOHG'HFHPEHU
%HIRUH'$8*+75(<DQG*,/0$1&LUFXLWsXGJHV
&2+16HQLRU'LVWULFWsXGJH
BBBBBBBBBBBBBBBBB
&2816(/
$5*8('7RQ\D/.UDXVH3KHODQ7+(.5$86(/$:
),50 3& *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOODQW

7KH +RQRUDEOH $YHUQ &RKQ 6HQLRU 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU
WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ


 8QLWHG6WDWHVY+DZNLQV 1R

7LPRWK\ 3 9HU+H\ $66,67$17 81,7(' 67$7(6
$77251(< *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOOHH
21%5,()7RQ\D/.UDXVH3KHODQ7+(.5$86(/$:
),50 3& *UDQG 5DSLGV 0LFKLJDQ IRU $SSHOODQW
7LPRWK\ 3 9HU+H\ $66,67$17 81,7(' 67$7(6
$77251(<*UDQG5DSLGV0LFKLJDQIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
3(5&85,$0
,,QWURGXFWLRQ
7KLV LV D FULPLQDO FDVH  'HIHQGDQW$SSHOODQW $QWZDQG
'H6KLRQ +DZNLQV +DZNLQV DSSHDOV IURP KLV FRQYLFWLRQ
DQG VHQWHQFH HQWHUHG XQGHU D SOHD DJUHHPHQW VSHFLILFDOO\
FODLPLQJWKDWWKHGLVWULFWFRXUWHUUHGLQIDLOLQJWRUHTXLUHWKH
3ODLQWLII$SSHOOHH WKH 8QLWHG 6WDWHV RI $PHULFD WKH
JRYHUQPHQW WR PRYH IRU D GRZQZDUG GHSDUWXUH XQGHU
866*†.EDVHGRQ+DZNLQVjVVXEVWDQWLDODVVLVWDQFH
%HFDXVHWKHODZRIWKLV&LUFXLWDVVHWIRUWKPRVWUHFHQWO\LQ
8QLWHG 6WDWHV Y 0RRUH  )G  WK &LU 
SURYLGHVWKDWWKHJRYHUQPHQWjVUHIXVDOWRILOHDPRWLRQ IRU
GRZQZDUGGHSDUWXUHPD\RQO\EHUHYLHZHGIRUZKHWKHUWKH
JRYHUQPHQWjVUHIXVDOZDVEDVHGRQXQFRQVWLWXWLRQDOPRWLYHV
VXFK DV UDFH  %HFDXVH +DZNLQV GRHV QRW DUJXH WKDW WKH
JRYHUQPHQWjVUHIXVDOZDVEDVHGRQXQFRQVWLWXWLRQDOPRWLYHV
EXWUDWKHUDUJXHVWKDWWKHJRYHUQPHQWjVUHIXVDOYLRODWHVKLV
FRQVWLWXWLRQDOULJKWWRGXHSURFHVVDQGHTXDOSURWHFWLRQDQGRU
ZDV QRW UDWLRQDOO\ UHODWHG WR DQ\ OHJLWLPDWH JRYHUQPHQWDO
SXUSRVH WKH GHFLVLRQ RI WKH GLVWULFW FRXUW PXVW EH
$)),50('+RZHYHUEHFDXVHWKHSDQHOEHOLHYHVWKDWWKH
ODZ LQ WKLV &LUFXLW UHSUHVHQWV DQ XQGXO\ UHVWULFWLYH DQG
LQFRUUHFWLQWHUSUHWDWLRQRIWKH8QLWHG6WDWHV6XSUHPH&RXUWjV
GHFLVLRQLQ:DGHY8QLWHG6WDWHV86WKH
SDQHO UHVSHFWIXOO\ VXJJHVWV WKDW DQ HQ EDQF UHYLHZ RI WKLV
GHFLVLRQZRXOGEHDSSURSULDWH
1R 8QLWHG6WDWHVY+DZNLQV 

,,%DFNJURXQG
$7KH2IIHQVH&RQGXFW
2Q )HEUXDU\   sRUGHOO 6WHHQ 6WHHQ D MXYHQLOH
DUPHGZLWKJXQVSURYLGHGE\'DYLG'DYLV'DYLVUREEHG
WZREDQNVLQ*UDQG5DSLGV0LFKLJDQ2QERWKRFFDVLRQV
'DYLVDQG+DZNLQVSURYLGHGWUDQVSRUWDWLRQIRU6WHHQWRDQG
IURPWKHEDQNV,QWKHILUVWUREEHU\+DZNLQVGURYH6WHHQWR
WKHEDQNDQG'DYLVDQG+DZNLQVZDLWHGIRU6WHHQLQVHSDUDWH
FDUVDIWHUWKHUREEHU\$V6WHHQZDVUXQQLQJDZD\IURPWKH
EDQNZLWKDEDJFRQWDLQLQJDSSUR[LPDWHO\LQFDVK
D G\H SDFN LQVLGH WKH EDJ H[SORGHG DW ZKLFK SRLQW 6WHHQ
WKUHZWKHEDJDQGJXQLQVRPHQHDUE\EXVKHV$OWKRXJKWKH
ILUVWUREEHU\ZDVXQVXFFHVVIXOWKHWKUHHLPPHGLDWHO\SODQQHG
DVHFRQGUREEHU\XVLQJWKHVDPHSURFHGXUH$IWHUWKHVHFRQG
UREEHU\ZKLFK\LHOGHG+DZNLQVGURYH6WHHQWR
+DZNLQVjV DSDUWPHQW DQG 'DYLV IROORZHG VHSDUDWHO\  7KH
WKUHHGLYLGHGWKHSURFHHGVHTXDOO\
%$IWHUWKH2IIHQVH

2Q)HEUXDU\+DZNLQVZDVFKDUJHGLQDFULPLQDO
FRPSODLQW DOOHJLQJ WKDW KH SDUWLFLSDWHG LQ DQ DUPHG EDQN
UREEHU\ LQ YLRODWLRQ RI  86& † D DQG H  $Q
DUUHVW ZDUUDQW ZDV LVVXHG WKDW VDPH GD\ +DZNLQV LQLWLDOO\
DSSHDUHGRQWKHZDUUDQWRQ$XJXVW,PPHGLDWHO\
WKHUHDIWHU +DZNLQV DVVLVWHG WKH JRYHUQPHQW UHJDUGLQJ WKH
LGHQWLW\ ORFDWLRQ DQG LQYROYHPHQW RI 'DYLV DQG 6WHHQ
6SHFLILFDOO\+DZNLQVURGHDURXQGZLWKIHGHUDODJHQWVDQG
VXFFHVVIXOO\ ORFDWHG DQG LGHQWLILHG KRPHV DGGUHVVHV DQG
FDUV


7KH FLUFXPVWDQFHV VXUURXQGLQJ +DZNLQVjV DUUHVW DUH QRW FOHDU IURP
WKH UHFRUG EXW LW GRHV DSSHDU WKDW +DZNLQV ZDV LQ VWDWH FXVWRG\ DW WKH
WLPH RI KLV DUUHVW WKH GRFNHW VKHHW VKRZV WKDW D ZULW RI KDEHDV FRUSXV DG
SURVHTXHQGXP ZDV LVVXHG IRU KLP WR DSSHDU LQ IHGHUDO FRXUW RQ WKH
ZDUUDQW
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

2Q 6HSWHPEHU   +DZNLQV ZDV FKDUJHG LQ DQ WKDW WKH JRYHUQPHQW KDV GLVFUHWLRQ WR ILOH D PRWLRQ IRU
LQIRUPDWLRQZLWKWZRFRXQWVRIDLGLQJDQGDEHWWLQJLQ WZR GRZQZDUGGHSDUWXUHGRHVQRWJLYHLWWKHULJKWWRDFWDUELWUDULO\
DUPHG EDQN UREEHULHV LQ YLRODWLRQ RI  86& ††  DQG RULUUDWLRQDOO\7KDW:DGHSHUPLWVDGLVWULFWFRXUWWRUHYLHZ
 WKH JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ IRU GRZQZDUG
GHSDUWXUHWRGHWHUPLQHZKHWKHUVXFKDUHIXVDOLVQRWUDWLRQDOO\
0HDQZKLOH6WHHQZDVDUUHVWHGRQ0D\LQ1HZ UHODWHGWRDQ\OHJLWLPDWH HQGVHUYHVRQO\WRLQVXUHWKDWWKH
+DZNLQV@GLGHYHU\WKLQJZLWKLQKLVSRZHUWRKHOSWKLVFDVH GLVFUHWLRQ7KHSDUWLHVDOVRDJUHHWKDWWKHGHFLVLRQRIKRZ
+HKHOSHGORFDWHGsRUGHOO6WHHQDQG'DYLVDQGSXWWKHFDVH PXFKRIDGRZQZDUGGHSDUWXUHWRUHFRPPHQGLIDQ\
WRJHWKHUl LW RQO\ VKRZV WKH HJUHJLRXVQHVV RI WKH ZLOOOLHZLWKWKH8QLWHG6WDWHVDQGLWVVROHGLVFUHWLRQ
JRYHUQPHQWjVUHIXVDOWRILOHDPRWLRQIRUGRZQZDUGGHSDUWXUH
LQWKLVFDVH $VHYLGHQFHGE\WKHJRYHUQPHQWjVFRPPHQWVDW+DZNLQVjV
VHQWHQFLQJVHWIRUWKEHORZDWWKHWLPH+DZNLQVSOHGJXLOW\
)$:RUG$ERXW'LVFUHWLRQ WKHJRYHUQPHQWDQWLFLSDWHGWKDW+DZNLQVZRXOGEHWKHVROH
ZLWQHVV DJDLQVW 'DYLV EHFDXVH 6WHHQ KDG EHHQ UXOHG
,QWKHHYHQWWKDWWKHJRYHUQPHQWDUJXHVWKDWFRXUWUHYLHZ LQFRPSHWHQW WR VWDQG WULDO DQG DQRWKHU SRWHQWLDO ZLWQHVV
RXJKWWREHYHU\OLPLWHGZKHQWKHJRYHUQPHQWUHVHUYHVWKH 0DKRJDQ\$XVWLQ$XVWLQZKRDOOHJHGO\KDGFRQYHUVDWLRQV
ULJKW WR ILOH D PRWLRQ IRU GRZQZDUG GHSDUWXUH LQ LWV VROH ZLWK'DYLVDQG6WHHQFRXOGQRWEHORFDWHG
GLVFUHWLRQDQGRUWKDWWKHUHVHUYDWLRQRIGLVFUHWLRQVRPHKRZ
LPSOLHVWKHUDWLRQDOLW\RIDGHFLVLRQQRWWRILOHDPRWLRQIRU 2Q6HSWHPEHU+DZNLQVWHVWLILHGDW'DYLVjVWULDO
GRZQZDUG GHSDUWXUH WKH SDQHO RIIHUV WKH IROORZLQJ $VLWKDSSHQHGWKHJRYHUQPHQWZDVDEOHWRORFDWH$XVWLQ
'LVFUHWLRQKDVEHHQGHILQHGDVm>W@KHIDFXOW\RIGHFLGLQJRU ZKRDOVRWHVWLILHG,QDGGLWLRQ6WHHQZKRKDGSUHYLRXVO\
GHWHUPLQLQJ LQ DFFRUGDQFH ZLWK FLUFXPVWDQFHV DQG ZKDW EHHQGHHPHGLQFRPSHWHQWDQGKDGQRW\HWEHHQSURVHFXWHG
VHHPV MXVW IDLU ULJKW HTXLWDEOH DQG UHDVRQDEOH LQ WKRVH ZDVGHHPHGFRPSHWHQWRQWKHHYHRI'DYLVjVWULDODQGDOVR
FLUFXPVWDQFHVl'DYLG0:DONHU7KH2[IRUG&RPSDQLRQ DJUHHG WR WHVWLI\ DJDLQVW 'DYLV  ,Q WKH $VVLVWDQW 8QLWHG
WR/DZ,WKDVDOVREHHQGHILQHGDVm>D@SXEOLF 6WDWHV $WWRUQH\jV $86$ ILQDO DUJXPHQW GLVFXVVHG PRUH
RIILFLDOjV SRZHU RU ULJKW WR DFW LQ FHUWDLQ FLUFXPVWDQFHV IXOO\EHORZWKH$86$UHOLHGKHDYLO\RQ+DZNLQVjVWHVWLPRQ\
DFFRUGLQJ WR SHUVRQDO MXGJPHQW DQG FRQVFLHQFH LQ WKH WR VXSSRUW WKH JRYHUQPHQWjV FDVH DJDLQVW 'DYLV  7KH MXU\
GLVFKDUJHRILWVGXWLHVl%ODFNjV/DZ'LFWLRQDU\WKHG FRQYLFWHG'DYLVRQDOOFKDUJHVDQG'DYLVZDVVXEVHTXHQWO\
'LVFUHWLRQWKHUHIRUHGRHVQRWFRQQRWHDQXQIHWWHUHG
FKRLFH EXW D UHDVRQHG FKRLFH o D FKRLFH WKDW PXVW QRW EH
H[HUFLVHGDUELWUDULO\RULUUDWLRQDOO\,QRWKHUZRUGVWKHIDFW 
7KH UHFRUG LV QRW FOHDU DV WR WKH FLUFXPVWDQFHV VXUURXQGLQJ 6WHHQjV
DSSUHKHQVLRQ DQG VXEVHTXHQW DJUHHPHQW WR WHVWLI\ DW 'DYLVjV WULDO
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

VHQWHQFHGWR\HDUVRILPSULVRQPHQW'DYLVDSSHDOHGKLV XQGHUWKHVHFLUFXPVWDQFHV7KLVLVHVSHFLDOO\WUXHZKHQWKH
FRQYLFWLRQ DQG VHQWHQFH WR WKLV FRXUW ZKHUH KLV DSSHDO LV $86$ UHIHUUHG WR +DZNLQVjV WHVWLPRQ\ DW OHQJWK GXULQJ
SHQGLQJ FORVLQJDUJXPHQW:KLOHWKHJRYHUQPHQWUHIHUUHGWRERWK
6WHHQDQG+DZNLQVWKHJRYHUQPHQWSODFHGVSHFLDOHPSKDVLV
2Q2FWREHUOHVVWKDQDPRQWKDIWHU'DYLVjVWULDO RQ+DZNLQVjVFUHGLELOLW\VWDWLQJWKDW'DYLVmWKUHDWHQHGWRNLOO
6WHHQQRZGHHPHGFRPSHWHQWSOHGJXLOW\WRWKHVLQJOHFRXQW +DZNLQV DQG KLV JLUOIULHQGl LI +DZNLQV WHVWLILHG DJDLQVW
LQWKHLQIRUPDWLRQILOHGDJDLQVWKLP2Q1RYHPEHU 'DYLV$VIRU0DKRJDQ\$XVWLQWKH$86$VLPSO\VWDWHG
6WHHQZDVVHQWHQFHGWRDMXYHQLOHGHWHQWLRQFHQWHUXQWLOKLV mWKHRQO\WKLQJVKHUHDOO\NQRZVWKDWLQWHUHVWVXVDWDOOLQWKLV
VWELUWKGD\ZKLFKDPRXQWHGWRPRQWKVLQFDUFHUDWLRQ FDVHLVWKDWWKLVSHUVRQVKHNQHZDV7ZLQ>6WHHQ@ZDQWHGWR
WDON WR WZR SHRSOH 7ZDQ >+DZNLQV@ DQG &KHHNV >'DYLV@l
'HVSLWH+DZNLQVjVDVVLVWDQFHERWKEHIRUHDQGDIWHU'DYLVjV 7KXVWKHJRYHUQPHQWjVDUJXPHQWWKDWDGHSDUWXUHZDVQRW
WULDOWKHJRYHUQPHQWGHFOLQHGWRILOHDPRWLRQIRUGRZQZDUG VRXJKW EHFDXVH +DZNLQV ZDV QRW WKH RQO\ ZLWQHVV DJDLQVW
GHSDUWXUH2Q0DUFK+DZNLQVILOHGDPRWLRQWR 'DYLVDWWULDOLVQRWFUHGLEOH2IHYHQJUHDWHUVLJQLILFDQFHWKH
FRPSHOWKHJRYHUQPHQWWRILOHDGRZQZDUGGHSDUWXUHPRWLRQ IDFWWKDWWKHJRYHUQPHQWZDVDEOHWRORFDWH$XVWLQSULRUWR
DUJXLQJWKDWKHKDGIXOO\SHUIRUPHGHYHU\WKLQJH[SHFWHGRI WULDODQGWKHIDFWWKDW6WHHQZDVGHHPHGFRPSHWHQWRQWKHHYH
KLPXQGHUWKHSOHDDJUHHPHQWDQGWKHJRYHUQPHQWjVUHIXVDOWR RI'DYLVjVWULDODUHFLUFXPVWDQFHVEH\RQG+DZNLQVjVFRQWURO
ILOH D PRWLRQ ZDV QRW UDWLRQDOO\ UHODWHG WR DQ\ OHJLWLPDWH DQGLQQRZD\GLPLQLVKWKHXQGLVSXWHGIDFWWKDW+DZNLQVIXOO\
JRYHUQPHQWDOSXUSRVH7KHJRYHUQPHQWILOHGDUHVSRQVH SHUIRUPHGKLVREOLJDWLRQXQGHUWKHSOHDDJUHHPHQW
DUJXLQJWKDWEHFDXVHWKHJRYHUQPHQWKDGGLVFUHWLRQWRILOH
DPRWLRQIRUGRZQZDUGGHSDUWXUHLWFRXOGQRWEHFRPSHOOHG 0RUHRYHU WKH JRYHUQPHQWjV DUJXPHQW WKDW +DZNLQV
WRILOHVXFKDPRWLRQDEVHQWSURRIWKDWLWVGHFLVLRQWRUHIUDLQ UHFHLYHGDEHQHILWLQWKHIRUPRIQRWEHLQJFKDUJHGZLWKD
ZDVEDVHGRQXQFRQVWLWXWLRQDOFRQVLGHUDWLRQVZKLFKZDVQRW YLRODWLRQRI†FDQGWKHUHIRUHD†.PRWLRQZDVQRW
WKH FDVH DQG  +DZNLQV ZDV QRW HQWLWOHG WR D UHGXFWLRQ ZDUUDQWHG LV KLJKO\ VXVSHFW HVSHFLDOO\ JLYHQ WKH
EHFDXVHmWKHSOHDGLGQRWUHTXLUHKLPWRSOHDGJXLOW\WRWZR JRYHUQPHQWjVDGPLVVLRQDWVHQWHQFLQJWKDWWKHGHFLVLRQQRWWR
JXQ RIIHQVHV DVVRFLDWHG ZLWK WKH EDQN UREEHULHV XQGHU  FKDQJHZDVSULPDULO\EDVHGRQWKHIDFWWKDWWKHUHZDVQRWDQ\
86&†Fl HYLGHQFH WKDW +DZNLQV YLRODWHG † F  0RUHRYHU DV
HYLGHQFHGLQSDUDJUDSKVL[RIWKHSOHDDJUHHPHQW+DZNLQV
7KH PRWLRQ ZDV KHDUG DW +DZNLQVjV VHQWHQFLQJ RQ ZDVQRWFKDUJHGZLWK†FLQH[FKDQJHIRUKLVSOHDQRWDV
0DUFK   ZKHUH WKH GLVWULFW FRXUW DVNHG WKH $86$ DSUHFRQGLWLRQIRUDGRZQZDUGGHSDUWXUHPRWLRQ0RUHRYHU
ZK\VXFKDPRWLRQZDVQRWPDGH7KH$86$H[SODLQHG
$W WKH WLPH WKDW ZH FKDUJHG 0U +DZNLQV DQG 0V
.UDXVH3KHODQ >+DZNLQVjV DWWRUQH\@ ZDV DVVLJQHG WR

UHSUHVHQWKLPDQXPEHURIWKLQJVZHUHDWVWDNHDQGKDG $ UHYLHZ RI WKH JRYHUQPHQWjV FORVLQJ DUJXPHQW UHYHDOV WKDW WKH

RFFXUUHG  )LUVW RI DOO 0U +DZNLQV KDG WROG WKH )%, JRYHUQPHQW UHIHUUHG WR 6WHHQ DQG +DZNLQVjV WHVWLPRQ\ VHYHQ WLPHV DQG

HYHU\WKLQJ WKDW \RX VHH QRZ LQ WKH 3UHVHQWHQFH $XVWLQjV WHVWLPRQ\ RQO\ RQFH

,QYHVWLJDWLRQ5HSRUWDERXWKLVFRQGXFWDVLWSHUWDLQVWR 
WKHVHEDQNUREEHULHV6RWKDWPHDQVDQXPEHURIWKLQJV 3DUDJUDSK VL[ UHDGV LQ SDUW m>,@Q WKH HYHQW WKDW GHIHQGDQW  HQWHUV

:HNQHZWKDWKHZRXOGEHZLOOLQJWRWHOOXVHYHU\WKLQJ D JXLOW\ SOHD LQ DFFRUGDQFH ZLWK WKLV SOHD DJUHHPHQW  WKDW SOHD LV
DFFHSWHG E\ WKH FRXUW  WKH GHIHQGDQW LV VHQWHQFHG DV D UHVXOW RI WKH SOHD
WKDWKDSSHQHGZKLFKZDVDEHQHILWWRXVLQWU\LQJWRSXW DQG  KH VHUYHV WKDW VHQWHQFH QR DGGLWLRQDO FKDUJHV ZLOO EH EURXJKW
D FDVH WRJHWKHU DJDLQVW 0U 'DYLV  %XW LV DOVR DJDLQVW KLPl
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

DQ\ FLUFXPVWDQFHV WKH GHIHQGDQW UDWKHU UHTXHVWHG WKH GHPRQVWUDWHGWR0U+DZNLQVWKDWKHFRXOGKDYHEHHQ
JRYHUQPHQWILOHDPRWLRQEDVHGRQKLVDVVLVWDQFHLQGHSHQGHQW FKDUJHG ZLWK WKHVH JXQ RIIHQVHV E\ KLV FRQGXFW  :H
RI WKH SOHD DJUHHPHQW  8OWLPDWHO\ WKH FRXUW LQ 'XQFDQ PDGH WKH GHFLVLRQ QRW WR FKDUJH KLP ZLWK WKH JXQ
FRQFOXGHGWKDWWKHJRYHUQPHQWjVUHDVRQVIRUQRWVHHNLQJD RIIHQVHVEHFDXVHZHQHHGHGKLPDVDZLWQHVV$QGKH
GHSDUWXUHZHUHUDWLRQDOO\UHODWHGWROHJLWLPDWHHQGV GLGQjWIUDQNO\WRXFKWKHJXQVRUSURYLGHWKHJXQVDQG
ZH IHOW WKDW ZDV D UHDVRQ D SULQFLSOHG UHDVRQ QRW WR
 FKDUJHKLP
%XW JRLQJ LQWR WKH FDVH ZH KDV WKUHH SRWHQWLDO
,QOLJKWRIWKH6XSUHPH&RXUWjVODQJXDJHLQ:DGHDVZHOO ZLWQHVVHV WKDW ZH IHOW ZHUH FUXFLDO WR SXWWLQJ WKH FDVH
DVWKHVSOLWDPRQJWKH&LUFXLWVDVWRWKHLQWHUSUHWDWLRQRI:DGH WRJHWKHUDJDLQVW0U'DYLV0U+DZNLQVZLWKZKRPZH
DQG WKH VFRSH RI WKH GLVWULFW FRXUWjV DELOLW\ WR UHYLHZ WKH UHDFKHG D SOHD DJUHHPHQW sRUGHOO 6WHHQ KLPVHOI WKH
JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ IRU D GRZQZDUG MXYHQLOH LQYROYHG DQG D ZRPDQ E\ WKH QDPH RI
GHSDUWXUHZHEHOLHYHWKDWWKLV&LUFXLWVKRXOGUHH[DPLQHLWV 0DKRJDQ\$XVWLQZKROLYHGLQ&OHYHODQGDQGKDGKDG
LQWHUSUHWDWLRQRI:DGHDVDUWLFXODWHGPRVWUHFHQWO\LQ0RRUH SHUVRQDOFRQYHUVDWLRQVZLWK0U'DYLVRQFH0U6WHHQ
$WWKHYHU\OHDVWWKLV&LUFXLWjVODZRQWKLVLVVXHUHTXLUHVD ZDVLQ&OHYHODQG
PRUHWKRURXJKDQGFRQVLVWHQWDQDO\VLV $WWKHWLPHZHUHDFKHGRXUSOHDDJUHHPHQWZLWK0U
+DZNLQVZHKDGQRLGHDZKHWKHUZHZRXOGEHDEOHWR
(7KH*RYHUQPHQWjV5HIXVDOWR)LOHD0RWLRQIRU XVHWKHRWKHUWZRZLWQHVVHVsXGJH(QVOHQKDGUXOHGWKDW
'RZQZDUG'HSDUWXUHZDV,UUDWLRQDO sRUGHOO6WHHQZDVLQFRPSHWHQWDWWKDWSRLQWEHFDXVHWKH
RQO\PHGLFDOWHVWLPRQ\RQWKHUHFRUGDWWKDWSRLQWZDVD
,QWHUHVWLQJO\WKHGLVWULFWFRXUWKHUHGLGQRWUHVWLWVGHFLVLRQ ILQGLQJWKDW0U6WHHQZDVLQFRPSHWHQWDQGWKLVODVWHG
RQ:DGHEXWLQVWHDGH[DPLQHGWKHJRYHUQPHQWjVUHDVRQVIRU XSXQWLOOLWHUDOO\WKHGD\EHIRUHWULDOLQWKH'DYLVFDVHVR
QRWVHHNLQJDGHSDUWXUHDQGDOVRDSSHDUHGWREHWURXEOHGE\LWV , KDG QR LGHD ZKHWKHU , KDG DFFHVV WR 0U 6WHHQ DV D
FRQFOXVLRQWKDWLWFRXOGQRWRIIHU+DZNLQVDQ\UHOLHI,QWKH ZLWQHVV0DKRJDQ\$XVWLQFRXOGQRWEHIRXQGDWWKDW
HYHQW WKDW WKLV &LUFXLW RYHUUXOHV H[LVWLQJ SUHFHGHQW DQG SRLQW:HGLGQjWNQRZZHZRXOGEHDEOHWRKDYHKHUDV
GHWHUPLQHVWKDWFRXUWVPD\UHYLHZWKHJRYHUQPHQWjVGHFLVLRQ DZLWQHVV
IRU DUELWUDULQHVV DQGRU ODFN RI EDG IDLWK HYHQ ZKHUH WKH 6R DW WKH SRLQW WKDW , QHJRWLDWHG D SOHD ZLWK 0U
JRYHUQPHQWUHVHUYHVGLVFUHWLRQWRILOHD†.PRWLRQWKH +DZNLQV , ZDV WKLQNLQJ LI 0U +DZNLQV LV WKH RQO\
SDQHOUHVSHFWIXOO\VXJJHVWVWKDWWKHJRYHUQPHQWjVDFWLRQVKHUH ZLWQHVV WKDW ZH KDYH DQG KH WHVWLILHV LQ WKH PDQQHU ,
ZHUHQRWUDWLRQDOO\UHODWHGWRDQ\OHJLWLPDWHHQGDQGRUZHUH WKLQN KH ZLOO WHVWLI\ WKHQ SHUKDSV KH VKRXOG JHW DQ
LQ EDG IDLWK DQG DV VXFK +DZNLQV VKRXOG EH HQWLWOHG WR D DGGLWLRQDOEHQHILWRYHUDQGDERYHWKH\HDUEHQHILWKH
UHGXFWLRQEDVHGRQKLVVXEVWDQWLDODVVLVWDQFH JRWDVSDUWRIKLVGHDO$VWKLQJVXQIROGHGKRZHYHU
7KHJRYHUQPHQWDGPLWWHGERWKEHIRUHWKHGLVWULFWFRXUWDQG sRUGHOO6WHHQZDVIRXQGWREHFRPSHWHQWZDVDZLWQHVV
DW RUDO DUJXPHQW WKDW +DZNLQV GLG DEVROXWHO\ HYHU\WKLQJ 0DKRJDQ\ $XVWLQ ZDV IRXQG ZDV D ZLWQHVV DQG 0U
UHTXLUHG RI KLP XQGHU WKH SOHD DJUHHPHQW  7KDW WKH
JRYHUQPHQW E\ WKH WLPH RI WULDO ZDV DEOH WR ORFDWH RWKHU
ZLWQHVVHVVKRXOGQRWUHOLHYHLWIURPILOLQJD†.PRWLRQ

7KH m\HDU EHQHILWl UHIHUV WR WKH IDFW WKDW WKH JRYHUQPHQW GLG QRW
FKDUJH +DZNLQV ZLWK D YLRODWLRQ RI  86& † F XVLQJ RU FDUU\LQJ

$00 Q 8:57, D ILUHDUP GXULQJ DQG LQ UHODWLRQ WR D FULPH RI YLROHQFH RI GUXJ WUDIILFNLQJ
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

+DZNLQVEHFDPHRQHRIWKUHHZLWQHVVHVWKDWZHUHFUXFLDO WK&LUVDPH,QUH6HDOHG&DVH
WRWKHJRYHUQPHQWjVFDVH )G'&&LUVDPH
6R ZKHQ , ZHQW WR RXU 'HSDUWXUHV &RPPLWWHH
IROORZLQJWKHUHVROXWLRQRIWKH'DYLVFDVHDQGH[SODLQHG 7KH7HQWK&LUFXLWZHQWRQWRQRWHWKDWWKLV&LUFXLWDQGWKH
KRZWKHWULDOXQIROGHG )LIWKDQG(OHYHQWK&LUFXLWVKDYHUHOLHGRQ:DGHWROLPLWWKH
 GLVWULFWFRXUW
VDXWKRULW\WRUHYLHZWKHJRYHUQPHQWjVUHIXVDOWR
, WKRXJKW WKDW RQFH WKH TXHVWLRQ ZDV SXW WR PH E\ ILOH D VXEVWDQWLDO DVVLVWDQFH PRWLRQ RQO\ IRU DQ
DQ\RQHDVNLQJ,I\RXjYHDOUHDG\JLYHQWKLVPDQD\HDU XQFRQVWLWXWLRQDO PRWLYH VXFK DV WKH GHIHQGDQW
V UDFH RU
EUHDNDQG\RXjUHWHOOLQJPHKHjVQRWWKHRQO\ZLWQHVVWKDW UHOLJLRQ6HHLGFLWLQJ8QLWHG6WDWHVY6ROLV)G
DOORZHGPHWRFRQYLFW0U'DYLVVKRXOGWKLVSHUVRQJHW  WK &LUFHUW GHQLHG  86  m>$@ GLVWULFW
DQDGGLWLRQDOEHQHILW",KDGQRJRRGDQVZHUIRUWKDW FRXUW PD\ UHYLHZ WKH *RYHUQPHQW
V UHIXVDO WR PRYH IRU D
6RDVWKLQJVXQIROGHG,Q:DGH@WKH6XSUHPH&RXUWUXOHG
KRZ WKH WULDO XQIROGHG , FRXOGQjW VD\ WKDW LW ZDV WKDW D GLVWULFW FRXUW KDV WKH DXWKRULW\ WR UHYLHZ WKH
VXEVWDQWLDO DVVLVWDQFH LQ WKH VHQVH WKDW EXW IRU 0U *RYHUQPHQW
VIDLOXUHWRPRYHIRUDGRZQZDUGGHSDUWXUHRQO\
+DZNLQVjV WHVWLPRQ\ ZH ZRXOG KDYH ORVW WKH FDVH LI WKH FRXUW ILQGV WKDW WKH UHIXVDO ZDV EDVHG RQ DQ
DJDLQVW0U'DYLV XQFRQVWLWXWLRQDOPRWLYHl8QLWHG6WDWHVY1HDO\)G
  WK &LU  m,Q :DGH WKH 6XSUHPH &RXUW
(PSKDVLVDGGHG OLPLWHGWKHIUHHH[HUFLVHRI>WKHJRYHUQPHQWjVSRZHUWRILOHD
VXEVWDQWLDO DVVLVWDQFH PRWLRQ@ RQO\ WR WKH H[WHQW WKDW WKH
:KHQWKHGLVWULFWFRXUWDVNHGWKH$86$WKDWLI+DZNLQV JRYHUQPHQWFDQQRWH[HUFLVHWKDWSRZHURUIDLOWRH[HUFLVHWKDW
ZDV WKH RQO\ SHUVRQ WR WHVWLI\ DW 'DYLVjV WULDO ZRXOG WKH SRZHUIRUDQXQFRQVWLWXWLRQDOPRWLYHl
$86$ ZKR SURVHFXWHG WKH FDVH GHHP KLV DVVLVWDQFH
VXEVWDQWLDOWRZDUUDQWILOLQJDPRWLRQIRUGRZQZDUGGHSDUWXUH 7KH SOHD DJUHHPHQW LQ 'XQFDQ GLG QRW SURYLGH WKDW WKH
WKH $86$ DQVZHUHG LQ WKH DIILUPDWLYH  7KH $86$ DOVR JRYHUQPHQWZRXOGILOHDVXEVWDQWLDODVVLVWDQFHPRWLRQXQGHU
VWDWHG WKDW WKH JRYHUQPHQW ZDV mFRPSOHWHO\ VDWLVILHG ZLWK
KRZKH>+DZNLQV@WHVWLILHGDWWKHWULDOl,QGHHGDWQRWLPH

GLGWKH$86$LQGLFDWHWKDW+DZNLQVGLGDQ\WKLQJOHVVWKDQ 7KH FRXUW LQ 'XQFDQ DOVR QRWHG WKDW WKH (LJKWK &LUFXLW RULJLQDOO\
ZDVH[SHFWHGRIKLPXQGHUWKHSOHDDJUHHPHQW5DWKHUWKH XWLOL]HG :DGH WR UHDFK D SRVLWLRQ LQ DFFRUGDQFH ZLWK WKH )LUVW 6HFRQG
$86$VWDWHGWKDWEHFDXVHWKHUHZHUHWKUHHZLWQHVVHVDJDLQVW 7KLUG )RXUWK 6HYHQWK 1LQWK DQG 7HQWK &LUFXLWV VHH 8QLWHG 6WDWHV Y
'DYLV LQVWHDG RI RQH +DZNLQV GLG QRW UHQGHU mVXEVWDQWLDO 5RPVH\  )G   WK &LU  KROGLQJ GLVWULFW FRXUWV PD\
UHYLHZ D SURVHFXWRUjV UHIXVDO WR ILOH D PRWLRQ IRU VXEVWDQWLDO DVVLVWDQFH
DVVLVWDQFHlEXWmMXVWDVVLVWDQFHl DQG JUDQW UHOLHI LI WKH UHIXVDO LV EDVHG RQ DQ XQFRQVWLWXWLRQDO PRWLYH VXFK
DV UDFH RU UHOLJLRQ RU LV QRW UDWLRQDOO\ UHODWHG WR DQ\ OHJLWLPDWH
7KHGLVWULFWFRXUWQRWHGWKHGLIIHUHQFHVEHWZHHQSDUDJUDSKV JRYHUQPHQW HQG +RZHYHU WKH (LJKWK &LUFXLW UHFHQWO\ DSSHDUV WR KDYH
DQGRIWKHSOHDDJUHHPHQWZLWKWKHIRUPHURXWOLQLQJDQG DOWHUHG WKH mUDWLRQDOO\ UHODWHG WR D OHJLWLPDWH JRYHUQPHQW HQGl WHVW WR D
GHILQLQJ+DZNLQVjVmFRRSHUDWLRQlDQGWKHODWWHUVWDWLQJWKDW mUHIXVDO ZDV LUUDWLRQDOl WHVW ZKLFK SURKLELWV WKH JRYHUQPHQW IURP EDVLQJ
LWV GHFLVLRQ ZKHWKHU WR ILOH D VXEVWDQWLDO DVVLVWDQFH PRWLRQ mRQ IDFWRUV
LI WKH mFRRSHUDWLRQl ULVHV WR WKH OHYHO RI mVXEVWDQWLDO RWKHU WKDQ WKH VXEVWDQWLDO DVVLVWDQFH SURYLGHG E\ WKH GHIHQGDQWl 8QLWHG
DVVLVWDQFHl WKHQ D GRZQZDUG GHSDUWXUH PRWLRQ ZRXOG EH 6WDWHV Y $Q]DORQH YDFDWHG UHK
J HQ EDQF
  )G   WK &LU
PDGH7KHGLVWULFWFRXUWQRWHGWKDWLWZDVWURXEOHGE\WKHWZR JUDQWHG   )G  WK &LUUHLQVWDWHG UHK
J HQ EDQF GHQLHG  
)G  WK &LU  TXRWDWLRQ PDUNV RPLWWHG
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

FROOHFWHGFDVHVIURPDOORIWKH&LUFXLWVDQGVXPPDUL]HGWKH SDUDJUDSKVDQGmSXWWKHJRYHUQPHQWRQQRWLFHlWKDWLWRXJKW
FRQIOLFWLQJVWDWHRIWKHODZRQWKLVLVVXHQRWLQJWKDWWKH)LUVW WR SURYLGH FULWHULD LQ WKH SOHD DJUHHPHQW DV WR ZKDW LV
6HFRQG7KLUG)RXUWK6HYHQWK1LQWKDQG'&&LUFXLWVKDYH mVXEVWDQWLDODVVLVWDQFHlmVRWKDWWKHJRYHUQPHQWLVKHOGWRD
DOOKHOGSRVW:DGHWKDWDGLVWULFWFRXUW
VDXWKRULW\WRUHYLHZ FULWHULDQRWMXVWWRDVXEMHFWLYHLQWHQWLRQl7KHGLVWULFWFRXUW
WKHJRYHUQPHQW
VUHIXVDOWRILOHDVXEVWDQWLDODVVLVWDQFHPRWLRQ XOWLPDWHO\GHQLHGWKHPRWLRQQRWLQJWKDWRQO\WKHJRYHUQPHQW
LV OLPLWHG WR GHWHUPLQLQJ ZKHWKHU WKH GHFLVLRQ ZDV FRXOG PRYH IRU D GRZQZDUG GHSDUWXUH DQG DOVR PDGH WKH
 PRWLYDWHG E\ DQ XQFRQVWLWXWLRQDO PRWLYH RU  QRW VWDWHPHQW WKDW LW FRXOG QRW ILQG mWKDW WKH JRYHUQPHQW KDV
UDWLRQDOO\ UHODWHG WR D OHJLWLPDWH JRYHUQPHQW HQG  6HH DEXVHGLWVGLVFUHWLRQLQQRWFRQFOXGLQJVXEVWDQWLDODVVLVWDQFH
'XQFDQ  )G   Q  FLWLQJ 8QLWHG 6WDWHV Y ZDVJLYHQLQWKLVFDVHl7KHGLVWULFWFRXUWVHQWHQFHG+DZNLQV
6DQGRYDO  )G   VW &LU  m>:@KHQ D RQ ERWK FRXQWV WR FRQFXUUHQW WHUPV RI  PRQWKV
GHIHQGDQWKDVHQWHUHGLQWRDSOHDDJUHHPHQWWKDWFRQWDLQVQR LPSULVRQPHQW
H[SUHVV SURYLVLRQ IRU FRQVLGHUDWLRQ RI D VHFWLRQ .
GHSDUWXUHWKHJRYHUQPHQWjVGLVFUHWLRQDU\GHFLVLRQQRWWRILOH ,,,,VVXHRQ$SSHDO
DVHFWLRQ.PRWLRQLVDVLQ:DGHUHYLHZDEOHRQO\IRUDQ
XQFRQVWLWXWLRQDOPRWLYHRUWKHODFNRIDUDWLRQDOUHODWLRQVKLS $OWKRXJK +DZNLQV DQG WKH JRYHUQPHQW IUDPH WKH LVVXH
WRDQ\OHJLWLPDWHJRYHUQPHQWDOREMHFWLYHl8QLWHG6WDWHVY GLIIHUHQWO\WKHLVVXHRQDSSHDOLVWKHH[WHQWWRZKLFKDGLVWULFW
%UHFKQHU)GG&LUm$VWKH6XSUHPH FRXUW FDQ UHYLHZ WKH JRYHUQPHQWjV UHIXVDO WR VHHN D
&RXUW PDGH FOHDU LQ:DGH Y 8QLWHG 6WDWHV  86  GRZQZDUGGHSDUWXUHXQGHU866*†.
  HYHQ GHIHQGDQWV ZKR KDYH QR FRRSHUDWLRQ
DJUHHPHQWV DUH HQWLWOHG WR DVVXUDQFH WKDW WKH JRYHUQPHQW
V ,96WDQGDUGRI5HYLHZ
PRWLRQLVQRWZLWKKHOGIRUVRPHXQFRQVWLWXWLRQDOUHDVRQl
8QLWHG6WDWHVY$EXKRXUDQ)GG&LU 7KHGLVWULFWFRXUWjVLQWHUSUHWDWLRQWKHJXLGHOLQHVLVUHYLHZHG
 KROGLQJ mµIHGHUDO GLVWULFW FRXUWV KDYH DXWKRULW\ WR GHQRYR8QLWHG6WDWHVYsRQHV)GWK&LU
UHYLHZDSURVHFXWRU
VUHIXVDOWRILOHDVXEVWDQWLDODVVLVWDQFH   $ GLVWULFW FRXUWjV IDFWXDO ILQGLQJV XQGHUO\LQJ WKH
PRWLRQDQGWRJUDQWDUHPHG\LIWKH\ILQGWKDWWKHUHIXVDOZDV DSSOLFDWLRQRIWKHVHQWHQFLQJJXLGHOLQHVDUHUHYLHZHGIRUFOHDU
EDVHGRQDQXQFRQVWLWXWLRQDOPRWLYHjlZKLFKRFFXUVmZKHQ HUURU8QLWHG6WDWHVY%XFKDQDQ)GWK&LU
WKHJRYHUQPHQWjVGHFLVLRQLVEDVHGRQWKHGHIHQGDQWjVUDFH 
UHOLJLRQRUJHQGHUlRUmZKHQLWjVµUHIXVDOWRPRYHZDVQRW
UDWLRQDOO\UHODWHGWRDQ\OHJLWLPDWH*RYHUQPHQWHQGjlTXRWLQJ 
:DGH86DW8QLWHG6WDWHVY/H5RVH)G 7KH 3UHVHQWHQFH ,QYHVWLJDWLRQ 5HSRUW UHFRPPHQGHG D VHQWHQFLQJ

WK&LUm>&@RXUWVPD\UHYLHZDSURVHFXWRUjV UDQJH RI  PRQWKV EDVHG RQ D WRWDO RIIHQVH OHYHO RI  DQG D
FULPLQDO KLVWRU\ FDWHJRU\ RI 9, $W VHQWHQFLQJ +DZNLQV REMHFWHG WR WKH
UHIXVDOWRILOHDPRWLRQIRUVXEVWDQWLDODVVLVWDQFHDQGJUDQW 3UHVHQWHQFH ,QYHVWLJDWLRQ 5HSRUWjV UHFRPPHQGDWLRQ RI D  SRLQW
UHOLHI LI WKH UHIXVDO LV EDVHG RQ DQ XQFRQVWLWXWLRQDO PRWLYH HQKDQFHPHQW WR KLV RIIHQVH OHYHO XQGHU 866* † %F IRU EHLQJ DQ
VXFK DV UDFH RU UHOLJLRQ RU LV QRW UDWLRQDOO\ UHODWHG WR D RUJDQL]HU LQ WKH RIIHQVH 7KH $86$ GLG QRW REMHFW WR +DZNLQVjV
SHUPLVVLEOHJRYHUQPHQWREMHFWLYHl8QLWHG6WDWHVY(JDQ DUJXPHQW DQG VWDWHG KH ZRXOG QRW REMHFW WR WKH GLVWULFW FRXUWjV GHFLVLRQ WR

)GWK&LUVDPHFHUWGHQLHG QRW DSSO\ WKH HQKDQFHPHQW 7KH GLVWULFW FRXUW DJUHHG ZLWK +DZNLQV
WKHUHE\ UHGXFLQJ +DZNLQVjV WRWDO RIIHQVH OHYHO WR  ZKLFK SURGXFHG D
868QLWHG6WDWHVY&UX]*XHUUHUR)G VHQWHQFLQJ UDQJH RI  WR  PRQWKV WKH GLVWULFW FRXUW DOVR VWDWHG WKDW
LW ZDV VHQWHQFLQJ +DZNLQV WR WKH ORZHU HQG RI WKH UDQJH mGXH WR KLV DJH
> \HDUV DW WKH WLPH RI VHQWHQFLQJ@ DQG GXH WR KLV FRRSHUDWLRQ KHUH WKDW
KH KDV JLYHQ DQG GXH WR ZKDW WKLV &RXUW EHOLHYHG LV D VHQVH RI FRQWULWHQHVV
RQ KLV SDUW    l
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

9$QDO\VLV WKDW WKH &RPPLWWHH PD\ KDYH RIIHUHG IRU ILQGLQJ WKH
GHIHQGDQWjVDVVLVWDQFHWREHLQVXEVWDQWLDO
$$UJXPHQWV
$OWKRXJKLQsRQHVXQOLNHWKLVFDVHWKHGHIHQGDQWGLGQRW
+DZNLQV DUJXHV WKDW WKH JRYHUQPHQWjV UHIXVDO WR VHHN D DUJXH WKDW WKH JRYHUQPHQW DFWHG LQ EDG IDLWK WKH SOHD
GRZQZDUGGHSDUWXUHYLRODWHVKLVFRQVWLWXWLRQDOULJKWVWRGXH DJUHHPHQW LQ sRQHV ZDV VLPLODU LQ WKDW WKH JRYHUQPHQW
SURFHVV DQG HTXDO SURWHFWLRQ  +DZNLQVjV GXH SURFHVV mUHWDLQ>HG@ LWV GLVFUHWLRQ FRQFHUQLQJ ZKHWKHU WR ILOH D
DUJXPHQWLVEDVHGRQWKHFRQWHQWLRQWKDW+DZNLQVGLGSURYLGH >VXEVWDQWLDODVVLVWDQFH@PRWLRQl,GDW
VXEVWDQWLDODVVLVWDQFHDQGLWVUHIXVDOWRVHHNDGHSDUWXUHZDV
DEUHDFKRIWKHSOHDDJUHHPHQWDQGRUHYLGHQFHRIEDGIDLWK 7KXVZHEHOLHYHWKDWWKHODZRIWKLV&LUFXLWWKDWDGLVWULFW
+DZNLQVjV HTXDO SURWHFWLRQ DUJXPHQW LV EDVHG RQ WKH FRXUW PD\ RQO\ UHYLHZ WKH JRYHUQPHQWjV UHIXVDO WR ILOH D
FRQWHQWLRQWKDWXQGHU:DGHY8QLWHG6WDWHV86 PRWLRQ IRU GRZQZDUG GHSDUWXUH WR GHWHUPLQH ZKHWKHU WKH
KHLVHQWLWOHGWRUHOLHILIWKHJRYHUQPHQWjVDFWLRQVLQ JRYHUQPHQWjVUHIXVDOLVEDVHGRQDQXQFRQVWLWXWLRQDOPRWLYH
UHIXVLQJ WR VHHN D GHSDUWXUH DUH QRW UDWLRQDOO\ UHODWHG WR D ZKHUH WKH JRYHUQPHQW UHWDLQV GLVFUHWLRQ WR ILOH D † .
OHJLWLPDWHJRYHUQPHQWHQG PRWLRQLVDQRYHUO\UHVWULFWLYHDQGLQFRUUHFWLQWHUSUHWDWLRQ
RI:DGH:DGHGLGQRWPDNHVXFKDGLVWLQFWLRQ:DGHGLGQRW
7KH JRYHUQPHQW DUJXHV WKDW WKH GLVWULFW FRXUW FRUUHFWO\ HYHQLQYROYHDSOHDDJUHHPHQW
FRQFOXGHGWKDWLWFRXOGQRWFRPSHOWKHJRYHUQPHQWWRVHHND
GHSDUWXUHLQDEVHQFHRIDFODLPWKDWWKHJRYHUQPHQWjVDFWLRQV 
ZHUHEDVHGRQDQXQFRQVWLWXWLRQDOPRWLYH
7KDWVDLGZHDUHDZDUHRIDVSOLWRIDXWKRULW\RQWKLVLVVXH
%866*†.DQG:DGHLQ%ULHI ZLWKWKH6L[WK&LUFXLWEHLQJLQWKHPLQRULW\0RVWUHFHQWO\
LQ8QLWHG6WDWHVY'XQFDQ)GWK&LUFHUW
 GHQLHG
WKH&RXUWRI$SSHDOVIRUWKH7HQWK&LUFXLW
8QLWHG 6WDWHV 6HQWHQFLQJ *XLGHOLQHV † . SURYLGHV
m8SRQDPRWLRQRIWKHJRYHUQPHQWVWDWLQJWKDWWKHGHIHQGDQW 
KDV SURYLGHG VXEVWDQWLDO DVVLVWDQFH LQ WKH LQYHVWLJDWLRQ RI $FFRUGLQJ WR WKH 6XSUHPH &RXUWjV GRFNHW VKHHW 1R  WKH

DQRWKHUSHUVRQZKRKDVFRPPLWWHGDQRIIHQVHWKHFRXUWPD\ JRYHUQPHQW ILOHG D ZDLYHU RI ULJKW WR UHVSRQG RQ sXQH   7KH

GHSDUW IURP WKH JXLGHOLQHVl  866* † .  $ GLVWULFW SHWLWLRQ ZDV GLVWULEXWHG IRU FRQIHUHQFH RQ 6HSWHPEHU   DQG
GHQLHG RQ 2FWREHU   7KH SHWLWLRQ IUDPHG TXHVWLRQ SUHVHQWHG IRU
FRXUW JHQHUDOO\ ODFNV WKH DXWKRULW\ WR JUDQW D GRZQZDUG UHYLHZ DV IROORZV m:KHWKHU WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV 7HQWK
GHSDUWXUH SXUVXDQW WR WKLV VHFWLRQ DEVHQW D PRWLRQ E\ WKH &LUFXLW DSSOLHG WKH FRUUHFW VWDQGDUG RI UHYLHZ FRQWUDU\ WR WKLV &RXUWjV

JRYHUQPHQW8QLWHG6WDWHVY6KUHZVEHUU\)G RSLQLRQ LQ .RRQ Y 8QLWHG 6WDWHV RI WKH 'LVWULFW &RXUWjV ILQGLQJV RI IDFW

WK&LUFHUWGHQLHG867KLV DQG GRZQZDUG GHSDUWXUH IRU VXEVWDQWLDO DVVLVWDQFHl $00 EULHI IRU

VHFWLRQ JUDQWV WKH JRYHUQPHQW WKH GLVFUHWLRQ EXW GRHV QRW 3HWLWLRQHU LQ :3.,3 Y 8QLWHG 6WDWHV  DW LL $ UHYLHZ RI WKH

LPSRVHDGXW\WRPRYHIRUDGHSDUWXUHZKHQWKHGHIHQGDQWKDV
SHWLWLRQ UHYHDOV WKDW WKH LVVXH SUHVHQWHG ZDV ZKHWKHU WKH 7HQWK &LUFXLW
HUUHG LQ ILQGLQJ WKDW WKH JRYHUQPHQWjV UHDVRQV IRU QRW VHHNLQJ D GHSDUWXUH
UHQGHUHGVXEVWDQWLDODVVLVWDQFH:DGHY8QLWHG6WDWHV ZHUH UDWLRQDOO\ UHODWHG WR D OHJLWLPDWH JRYHUQPHQW HQG RU RIIHUHG LWV RZQ

86     0HUH DOOHJDWLRQV WKDW D GHIHQGDQW UHDVRQV IRU MXVWLI\LQJ WKH JRYHUQPHQWjV DFWLRQV SDUWLFXODUO\ EHFDXVH WKH

SURYLGHGVXEVWDQWLDODVVLVWDQFHDUHLQVXIILFLHQWWRLQYRNHFRXUW GLVWULFW FRXUW JUDQWHG 'XQFDQjV PRWLRQ IRU GRZQZDUG GHSDUWXUH IRU

UHYLHZ6HHLG VXEVWDQWLDO DVVLVWDQFH 7KXV WKH ZD\ LQ ZKLFK WKH FDVH ZDV SUHVHQWHG WR
WKH 6XSUHPH &RXUW GLG QRW KLJKOLJKW WKH &LUFXLW VSOLW RQ WKH LPSDFW DQG
LQWHUSUHWDWLRQ RI :DGH
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

*RYHUQPHQW
V FRQFHVVLRQ WKDW QRQSHUIRUPDQFH RI LWV ,Q:DGHVXSUDWKH6XSUHPH&RXUWKHOGLQWHUDOLDWKDW
FRQWLQJHQWREOLJDWLRQLQSOHDDJUHHPHQWLVUHYLHZDEOHIRU mIHGHUDOGLVWULFWFRXUWVKDYHDXWKRULW\WRUHYLHZDSURVHFXWRUjV
EDG IDLWK  7KXV ZKLOH WKH SOHD DJUHHPHQW GLG QRW UHIXVDOWRILOHDVXEVWDQWLDODVVLVWDQFHPRWLRQDQGWRJUDQWD
JXDUDQWHHsRQHVDVHFWLRQ.PRWLRQZHEHOLHYHLWGLG UHPHG\ LI WKH\ ILQG WKDW WKH UHIXVDO ZDV EDVHG RQ DQ
JXDUDQWHHIDLUGHDOLQJ,QDGGLWLRQWRH[SOLFLWO\REOLJLQJ XQFRQVWLWXWLRQDOPRWLYH7KXVDGHIHQGDQWZRXOGEHHQWLWOHG
WKHSURVHFXWRUWRSUHVHQWWKH'HSDUWXUH&RPPLWWHHZLWK WRUHOLHILIDSURVHFXWRUUHIXVHGWRILOHDVXEVWDQWLDODVVLVWDQFH
DFFXUDWH LQIRUPDWLRQ DV WR WKH QDWXUH DQG H[WHQW RI PRWLRQVD\EHFDXVHRIWKHGHIHQGDQWjVUDFHRUUHOLJLRQl
sRQHV
VFRRSHUDWLRQWKHDJUHHPHQWLPSOLFLWO\UHTXLUHGWKH 86DW
&RPPLWWHHWRFRQVLGHUWKDWHYLGHQFHDQGLILWEHOLHYHG
WKH DVVLVWDQFH WR EH VXEVWDQWLDO WR VR ILQG ,Q RWKHU &6L[WK&LUFXLW3UHFHGHQW
ZRUGVsRQHVZDVHQWLWOHGWRDQKRQHVWDQGIXOO\LQIRUPHG
HYDOXDWLRQE\WKH&RPPLWWHH6HH5H[DFK)GDW ,Q8QLWHG6WDWHVY%DJQROL)GWK&LUD
 mZKHUH WKH H[SOLFLW WHUPV RI D FRRSHUDWLRQ SDQHORIWKLVFRXUWUHOLHGRQWKHDERYHODQJXDJHLQ:DGHWR
DJUHHPHQW OHDYH WKH DFFHSWDQFH RI WKH GHIHQGDQW
V ILQG WKDW GHIHQGDQW ZDV QRW HQWLWOHG WR D KHDULQJ RQ WKH
SHUIRUPDQFH WR WKH MXGJPHQW RI WKH SURVHFXWRU WKH JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ IRU GRZQZDUG
SURVHFXWRU PD\ UHMHFW WKH GHIHQGDQW
V SHUIRUPDQFH GHSDUWXUHVWDWLQJm$GHIHQGDQWKDVULJKWWRDKHDULQJRQO\LI
SURYLGHGKHRUVKHLVKRQHVWO\GLVVDWLVILHGl KH PDNHV D VXEVWDQWLDO WKUHVKROG VKRZLQJ RI DQ
XQFRQVWLWXWLRQDOPRWLYHl,GDW%HFDXVHWKHGHIHQGDQWLQ
)GDW %DJQROL GLG QRW PDNH VXFK D VKRZLQJ WKH SDQHO KHOG WKDW
GHIHQGDQWZDVQRWHQWLWOHGWRDKHDULQJ
7KH FRXUW LQ sRQHV UHFRJQL]HG WKH GLIILFXOW LI QRW
LPSRVVLEOHWDVNRISURYLQJWKHJRYHUQPHQWjVEDGIDLWKDQG ,Q8QLWHG6WDWHVY%HQMDPLQ)GWK&LU
DGGHGWKHIROORZLQJGLUHFWLRQWRWKH8QLWHG6WDWHV$WWRUQH\jV  DQRWKHU SDQHO RI WKLV FRXUW UHOLHG RQ WKH TXRWHG
2IILFH ODQJXDJHLQ:DGHWRVWDWHWKDWZKHUHDVKHUHWKHJRYHUQPHQW
KDV UHVHUYHG LWV GLVFUHWLRQ WR PRYH IRU D GHSDUWXUH mWKH
sRQHVGRHVQRWDOOHJHWKDWWKH*RYHUQPHQWDFWHGLQEDG GLVWULFW FRXUW PD\ RQO\ UHYLHZ WKH JRYHUQPHQWjV UHIXVDO WR
IDLWK %HFDXVH D GHIHQGDQW LV QRW SULY\ WR WKH PDNHWKHPRWLRQWRGHWHUPLQHZKHWKHUWKHUHIXVDOLVEDVHGRQ
GHOLEHUDWLRQVDQGDFWLRQVRIWKH86$WWRUQH\jV2IILFH XQFRQVWLWXWLRQDOFRQVLGHUDWLRQVVXFKDVWKHGHIHQGDQWjVUDFHl
KRZHYHU D GHIHQGDQW ZLOO IDFH HQRUPRXV GLIILFXOW\ LQ )GDW7KHSDQHOGHFLVLRQGRHVQRWRIIHUIXUWKHU
VXSSRUWLQJVXFKDFKDUJH7RDPHOLRUDWHWKLVSUREOHPDQG GLVFXVVLRQRI:DGH
WRSURYLGHERWKWKHWULDOMXGJHDQGDUHYLHZLQJFRXUWZLWK
LQIRUPDWLRQWKDWPLJKWKHOSWKHPZHLJKDQDOOHJDWLRQRI
EDG IDLWK ZH VXJJHVW WKDW SURVHFXWRUV ZKR HQWHU LQWR
DJUHHPHQWVOLNHWKHRQHEHIRUHXVEXWVXEVHTXHQWO\IDLO
WRILOHDVHFWLRQ.PRWLRQVXPPDUL]HIRUWKHGLVWULFW 
:KLOH +DZNLQV DUJXHV WKDW WKH JRYHUQPHQW KDG EDUJDLQHG DZD\ LWV

FRXUW ZKDW LQIRUPDWLRQ WKH\ SURYLGHG WKH 'HSDUWXUH GLVFUHWLRQ WKH IROORZLQJ SODLQ ODQJXDJH RI WKH SOHD DJUHHPHQW VD\V

&RPPLWWHH ZKLOH DW WKH VDPH WLPH VDIHJXDUGLQJ RWKHUZLVH DV WKH GLVWULFW FRXUW FRUUHFWO\ QRWHG m7KH SDUWLHV DJUHH WKDW WKH

LQIRUPDWLRQ WKDW FRXOG FRPSURPLVH DQ RQJRLQJ GHWHUPLQDWLRQ RI ZKHWKHU GHIHQGDQWjV FRQGXFW ULVHV WR WKH OHYHO RI

LQYHVWLJDWLRQ RU HQGDQJHU WKH GHIHQGDQW RU RWKHUV mVXEVWDQWLDO DVVLVWDQFHl ZLOO OLH ZLWK WKH 8QLWHG 6WDWHV
GLVFUHWLRQ 7KH SDUWLHV DOVR DJUHH WKDW WKH GHFLVLRQ RI KRZ PXFK RI D
LQ LWV VROH

WRJHWKHUZLWKDQ\H[SODQDWLRQVLPLODUO\FLUFXPVFULEHG GRZQZDUG GHSDUWXUH WR UHFRPPHQG LI DQ\ ZLOO OLH ZLWK WKH 8QLWHG 6WDWHV
DQG LWV VROH GLVFUHWLRQl
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

:HQRWHKRZHYHUWKDWWKHGHFLVLRQLQ%HQMDPLQGLGQRW 0RUHRYHU :DGH GLG QRW LQYROYH D SOHD DJUHHPHQW  D
UHVWRQWKHDERYHVWDWHPHQWEHFDXVHWKHSDQHOIRXQGWKDWWKH IDFWRU WKH 6XSUHPH &RXUW LWVHOI UHFRJQL]HG FRXOG EH
JRYHUQPHQWKDGQRWUHVHUYHGLWVGLVFUHWLRQWRPDNHDPRWLRQ VLJQLILFDQWZKHQLWQRWHGWKDW:DGHKDGQRWDUJXHGWKDWWKH
IRUDGRZQZDUGGHSDUWXUHLQWKHSOHDDJUHHPHQWDWLVVXH,Q FRQGLWLRQ UHTXLULQJ WKH ILOLQJ RI D † . PRWLRQ mLV
VXFKDFLUFXPVWDQFHWKHJRYHUQPHQWLVREOLJDWHGWRPRYHIRU VXSHUVHGHGLQWKLVFDVHE\DQ\DJUHHPHQWRQWKHJRYHUQPHQWjV
D GRZQZDUG GHSDUWXUH XQOHVV WKH GHIHQGDQW EUHDFKHV WKH EHKDOI WR ILOH D VXEVWDQWLDO DVVLVWDQFH PRWLRQl :DGH 
DJUHHPHQW)GDW FLWLQJ:DGHDW,Q 86DWFLWLQJ6DQWREHOORY1HZ7@KH *RYHUQPHQWjV FRQWHQWLRQ DW RUDO DUJXPHQW WKDW
:KLOH VRPH FLUFXLWV KDYH UXOHG WKDW FRXUWV PD\ XQGHUWKHWHUPVRILWVDJUHHPHQWZLWKsRQHVLWVGHFLVLRQ
FRQGXFWDEDGIDLWKUHYLHZRIWKHJRYHUQPHQW
VUHIXVDOWR QRWWRILOHDGHSDUWXUHPRWLRQFDQRQO\EHUHYLHZHGIRU
ILOHDVXEVWDQWLDODVVLVWDQFHPRWLRQVHH8QLWHG6WDWHVY FRQVWLWXWLRQDOLQILUPLWLHVSURYHVWRRPXFK(YHQLQWKH
.QLJKWV  )G   G &LU  8QLWHG DEVHQFH RI DQ\ FRQWUDFWXDO DUUDQJHPHQW WKH
6WDWHVYsRQHV)G'&&LUWKLV&LUFXLW *RYHUQPHQWjV GHFLVLRQ QRW WR ILOH D VHFWLRQ .
KDVH[SUHVVO\UXOHGWKDWZKHQDSOHDDJUHHPHQWDOORFDWHV PRWLRQOLNHDQ\RWKHUSURVHFXWRULDOGHFLVLRQLVVXEMHFW
FRPSOHWH GLVFUHWLRQ WR WKH JRYHUQPHQW WR FRQVLGHU WRFRQVWLWXWLRQDOOLPLWDWLRQV:DGH86DW
ZKHWKHUDVXEVWDQWLDODVVLVWDQFHPRWLRQVKRXOGEHILOHG  6&W DW   7KH SOHD DJUHHPHQW KRZHYHU
ZH PD\ RQO\ UHYLHZ WKH JRYHUQPHQW
V GHFLVLRQ IRU SURYLGHV DGGLWLRQDO SURWHFWLRQ IRU sRQHV  /LNH DOO
XQFRQVWLWXWLRQDOPRWLYHV6HH8QLWHG6WDWHVY%HQMDPLQ FRQWUDFWVLWLQFOXGHVDQLPSOLHGREOLJDWLRQRIJRRGIDLWK
)GWK&LUKROGLQJWKDWZLWK DQG IDLU GHDOLQJ 5HVWDWHPHQW 6HFRQG RI &RQWUDFWV
UHVSHFW WR SOHD DJUHHPHQWV ZKHUH WKH JRYHUQPHQW †VHHDOVR6SDUNV)GDW QRWLQJ
UHVHUYHVGLVFUHWLRQWRILOHDVXEVWDQWLDODVVLVWDQFHPRWLRQ
D GLVWULFW FRXUW PD\ RQO\ UHYLHZ WKH JRYHUQPHQW
V
UHIXVDO WR PDNH WKH PRWLRQ WR GHWHUPLQH ZKHWKHU WKH XQFRQVWLWXWLRQDO PRWLYH RU EDG IDLWK SUHFLSLWDWHG WKH JRYHUQPHQWjV
UHIXVDOLVEDVHGRQXQFRQVWLWXWLRQDOFRQVLGHUDWLRQVVXFK GHWHUPLQDWLRQ ,QsRKQVRQ WKH GLVWULFW FRXUW FRQGXFWHG DQ HYLGHQWLDU\
DVWKHGHIHQGDQW
VUDFHVHH8QLWHG6WDWHVY$XVWLQ1R KHDULQJ WR GHWHUPLQH ZKHWKHU WKH JRYHUQPHQW DFWHG LQ EDG IDLWK RU EDVHG

:/DW
WK&LUsDQ RQ XQFRQVWLWXWLRQDO PRWLYHV LQ UHIXVLQJ WR ILOH D PRWLRQ IRU GRZQZDUG

XQSXEOLVKHGRSLQLRQ,IWKHJRYHUQPHQWUHVHUYHVWKH GHSDUWXUH 7KH sRKQVRQ SDQHO DIILUPHG WKH GHFLVLRQ RI WKH GLVWULFW FRXUW
GLVFUHWLRQWRGHWHUPLQHZKHWKHUWKHPRWLRQLVZDUUDQWHG DQG LQ
UHIXVLQJ
VR
WR
GRLQJ
ILOH D
UHYLHZHG
PRWLRQ
WKH
IRU
JRYHUQPHQWjV
GRZQZDUG
SURIIHUHG
GHSDUWXUH IRU
UHDVRQV
EDG IDLWK
IRU
RU
WKH FRXUW LV OLPLWHG WR UHYLHZLQJ VLPSO\ ZKHWKHU WKH XQFRQVWLWXWLRQDO PRWLYH ,QGHHG WKH RSLQLRQ LQ sRKQVRQ DSSHDUV WR
FRQIOLFW ZLWK 0RRUH LQDVPXFK DV LW FRQWHPSODWHV EDG IDLWK UHYLHZ RI WKH
JRYHUQPHQWjV GHFLVLRQ
 8QLWHG6WDWHVY+DZNLQV 1R 1R 8QLWHG6WDWHVY+DZNLQV 

ZKHUH WKH JRYHUQPHQW KDV DFWHG IRU UHDVRQV QRW UDWLRQDOO\ JRYHUQPHQW
V UHIXVDO WR PDNH WKH PRWLRQ LV EDVHG RQ
UHODWHGWRDQ\OHJLWLPDWHJRYHUQPHQWDOLQWHUHVW:HDJUHH XQFRQVWLWXWLRQDOFRQVLGHUDWLRQV 
7KH &RXUW RI $SSHDOV IRU WKH 1LQWK &LUFXLW DPRQJ RWKHUV
GLVFXVVHGLQIUDUHO\LQJRQ:DGHKDVFRQFOXGHGWKHVDPH 7KHSDQHOjVGHFLVLRQLQ0RRUHFDQEHLQWHUSUHWHGWZRZD\V
6HH8QLWHG6WDWHVY0XUSK\)GWK&LU LW HLWKHU UHLWHUDWHG WKH UXOH HVWDEOLVKHG LQ %HQMDPLQ WKDW D
VWDWLQJmWKHJRYHUQPHQWFDQQRWUHIXVHWRILOHVXFKDPRWLRQ GLVWULFWFRXUWPD\RQO\UHYLHZWKHJRYHUQPHQWjVUHIXVDOWRILOH
RQ WKH EDVLV RI DQ XQFRQVWLWXWLRQDO PRWLYH HJ UDFLDO DPRWLRQIRUGRZQZDUGGHSDUWXUHIRUXQFRQVWLWXWLRQDOPRWLYH
GLVFULPLQDWLRQRUDUELWUDULO\LHIRUUHDVRQVQRWUDWLRQDOO\ RU DV ZH EHOLHYH FUHDWHG WKLV UXOH EDVHG RQ WKH GLFWD LQ
UHODWHG WR DQ\ OHJLWLPDWH JRYHUQPHQWDO LQWHUHVW    ,I WKH %HQMDPLQ,QDQ\HYHQWDOWKRXJKZHEHOLHYHWKHVWDWHPHQWLQ
JRYHUQPHQWKDVVRUHIXVHGWKHGLVWULFWFRXUWKDVDXWKRULW\WR %HQMDPLQZDVGLFWDWKHSDQHOLQ0RRUHZHQWRQWRDSSO\WKLV
GHSDUW GRZQZDUG FLWDWLRQV RPLWWHG 8QLWHG 6WDWHV Y VWDWHPHQWWRKROGWKDWEHFDXVHWKHGHIHQGDQWjVSOHDDJUHHPHQW
0LNDOHOLDQ)GWK&LUVDPH DIIRUGHGWKHJRYHUQPHQWmFRPSOHWHGLVFUHWLRQlWRGHWHUPLQH
ZKHWKHUWRILOHDPRWLRQIRUGRZQZDUGGHSDUWXUHWKHSDQHO
:HEHOLHYHWKH1LQWK&LUFXLWjVLQWHUSUHWDWLRQRI:DGHLV mPD\ UHYLHZ WKH JRYHUQPHQWjV UHIXVDO RQO\ IRU
VRXQG7KH6XSUHPH&RXUWLQ:DGHDFNQRZOHGJHGLQWKH XQFRQVWLWXWLRQDO PRWLYHVl   )G DW   %HFDXVH WKH
IDFHRIWKHJRYHUQPHQWjVFRQFHVVLRQWKDWWKHFRXUWVFDQDOVR GHIHQGDQWGLGQRWDOOHJHWKDWWKHJRYHUQPHQWjVUHIXVDOZDV
GHWHUPLQH ZKHWKHU WKH JRYHUQPHQW DFWHG DUELWUDULO\ LQ EDVHGRQDQ\LPSHUPLVVLEOHPRWLYHWKHSDQHODIILUPHGWKH
UHIXVLQJ WR VHHN D GRZQZDUG GHSDUWXUH LQ DGGLWLRQ WR GLVWULFW FRXUWjV GHQLDO RI KLV PRWLRQ WR FRPSHO WR WKH
UHYLHZLQJZKHWKHUDUHIXVDOZDVEDVHGRQDQXQFRQVWLWXWLRQDO JRYHUQPHQWWRILOHDPRWLRQIRUGRZQZDUGGHSDUWXUH
PRWLYH
+HUHEHFDXVH+DZNLQVDGPLWVKHLVQRWDUJXLQJWKDWWKH
JRYHUQPHQWDFWHGZLWKXQFRQVWLWXWLRQDOPRWLYHVWKLVFDVHLV
 YLUWXDOO\LQGLVWLQJXLVKDEOHIURP0RRUH7KLVPHDQVWKDWWKH
:H QRWH WKDW QRWZLWKVWDQGLQJ ZKDW ZH EHOLHYH WR EH WKH FXUUHQW VWDWH
RI WKH ODZ LQ WKLV &LUFXLW WKHUH LV VRPH VXSSRUW IRU WKLV LQWHUSUHWDWLRQ RI GLVWULFWFRXUWjVLQTXLU\HQGVDQGQRFRXUWLVDEOHWRUHYLHZWKH
:DGH LQ ODQJXDJH LQ SULRU SDQHO RSLQLRQV ,Q 6XOOLYDQ Y 8QLWHG 6WDWHV  JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ IRU GRZQZDUG
)G   WK &LU  WKH SDQHO UHOLHG RQ 8QLWHG 6WDWHV Y %DJQROL GHSDUWXUH%HFDXVHLWLVZHOOHVWDEOLVKHGWKDWRQHSDQHORIWKH
VXSUD WR GHQ\ GHIHQGDQW UHOLHI EHFDXVH KH IDLOHG WR mLGHQWLI\ DQ\
XQFRQVWLWXWLRQDO LQILUPLW\l IRU WKH JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ
6L[WK&LUFXLWFDQQRWRYHUUXOHWKHGHFLVLRQRIDQRWKHUSDQHO
IRU GRZQZDUG GHSDUWXUH DQG DOVR VWDWHG m7KH JRYHUQPHQWjV VWDWHG
8QLWHG6WDWHVY$EOHV)GWK&LU
UHDVRQV IRU UHIXVLQJ WR PRWLRQ WKH GLVWULFW FRXUW IRU D GRZQZDUG GHSDUWXUH 6DOPLY6HFUHWDU\RI+HDOWK +XPDQ6HUYV)G
LH GHIHQGDQWVjV LQIRUPDWLRQ GLG QRW DPRXQW WR µVXEVWDQWLDO DVVLVWDQFHj
ZDV D UDWLRQDO DQG DFFHSWDEOH UHDVRQ IRU WKH JRYHUQPHQW WR UHIXVH WR
UHTXHVW D GRZQZDUG GHSDUWXUHl ,Q 8QLWHG 6WDWHV Y :LOOLDPV  )G

  WK &LU  WKH SDQHO UHOLHG RQ %DJQROL DQG 6XOOLYDQ WR GHQ\ ,Q DGGLWLRQ WR WKH XQSXEOLVKHG SDQHO GHFLVLRQ LQ $XVWLQ VXSUD
UHOLHI EDVHG RQ QR HYLGHQFH WKDW WKH JRYHUQPHQWjV UHIXVDO ZDV EDVHG RQ VHYHUDO RWKHU SDQHOV KDYH UHOLHG RQ %HQMDPLQjV LQWHUSUHWDWLRQ RI :DGH WR
XQFRQVWLWXWLRQDO PRWLYHV EXW DOVR DGGHG FLWLQJ :DGH WKDW WKH mGHIHQGDQW EDU UHYLHZ RI WKH JRYHUQPHQWjV UHIXVDO WR ILOH D PRWLRQ IRU GRZQZDUG
KDV IDLOHG WR VKRZ WKDW WKH JRYHUQPHQWjV µUHIXVDO WR PRYH ZDV QRW GHSDUWXUH DEVHQW D VKRZLQJ WKDW WKH UHIXVDO ZDV EDVHG RQ XQFRQVWLWXWLRQDO
UDWLRQDOO\ UHODWHG WR DQ\ OHJLWLPDWH *RYHUQPHQW HQGjl 0RVW UHFHQWO\ LQ FRQVLGHUDWLRQV 6HH 8QLWHG 6WDWHV Y /XFDV 1R   :/
8QLWHG 6WDWHV Y sRKQVRQ 1R   :/  DW

 WK &LU  WK &LU 0DU   XQSXEOLVKHG 8QLWHG 6WDWHV Y 3HUNLQV
sDQ   XQSXEOLVKHG WKH SDQHO FLWHG %HQMDPLQ DV D EDVLV IRU 1R   :/  WK &LU 'HF   XQSXEOLVKHG
GHQ\LQJ WKH GHIHQGDQW UHOLHI EXW DOVR VWDWHG UHO\LQJ RQ :DGH WKDW 8QLWHG 6WDWHV Y 5DFH 1R   :/  WK &LU sXO\ 
m>Z@KHUH KRZHYHU VROH GLVFUHWLRQ ZKHWKHU WR PDNH VXFK D PRWLRQ LV  XQSXEOLVKHG 8QLWHG 6WDWHV Y