John A. Gillin v. The United States

ON DEFENDANT’S AND PLAINTIFF’S MOTIONS FOR PARTIAL JUDGMENT ON THE PLEADINGS

DAVIS, Judge.

Plaintiff John A. Gillin, an individual taxpayer resident in Texas, has filed a petition seeking, in one of several claims, a refund for taxes assessed and paid for 1961 on gain derived from the conversion and reconversion of funds necessary to pay a debt incurred in Canadian dollars. The paragraph of the petition setting forth this demand (Paragraph VII) gives us only the following facts, all of which are admitted by the Government’s *310answer: On five occasions from September 1957 to November 1960 plaintiff borrowed specified amounts of Canadian dollars—

(Canadian)
September 13, 1957 ........$110,000.00
October 17, 1957 .......... 18,268.91
April 7, 1958 .............. 75,000.00 .
June 3, 1958 .............. 50,000.00
November 3, 1960 ......... 7,000.00
Total ..............$260,268.91

For these sums plaintiff gave standard form promissory notes, bearing standard rates of interest, and providing for repayment in Canadian dollars. The amounts borrowed were immediately converted into United States dollars and used for various personal and investment expenses. On November 30, 1961, taxpayer purchased $260,268.91 Canadian dollars for $19,510.76 United States dollars less than he had received in the previous Canadian-to-United States exchanges, and immediately repaid his loans. He reported this difference of $19,510.76 to the Internal Revenue Service as long term capital gain. The Service has treated it as ordinary income or short term capital gain (the tax consequences of either view being the same in this case).

On these facts, both parties have moved for partial judgment on the pleadings with respect to this claim.1 Plaintiff asks, first, for full refund of the tax paid, on the ground that no taxable gain at all was realized through the .transaction. His secondary position is that, in any event, the $19,510.76 must be considered as no more than long term capital gain. The defendant supports the Service’s position.

The Internal Revenue Code and the Treasury Regulations do not, except in very minor ways, focus directly on the difficulties of the tax treatment of income arising from changes in value of foreign currency. Nor have the courts and commentators yet agreed upon a coherent set of rules for the various faces of the problem.2 It is important, therefore, to delineate precisely what is involved in our case, so that we can restrict our discussion to the specific facts and the relatively narrow area they encircle.

On the facts we are given, there is no suggestion that taxpayer carried on any business or had other transactions in Canada, either in connection with the money he borrowed or otherwise, or even that he had other Canadian funds. He was not a Canadian resident. The Canadian sums he received were not used to buy anything (goods, services, or securities) in that country, nor were they invested or banked there. Instead, the borrowed money was immediately converted into United States funds and used in this country — for personal expenses and investment, and not in the carrying on of a trade or business. On the day the Canadian loans were repaid (November 30, 1961), United States funds were converted and the loans discharged at once. There is, in short, no underlying transaction to concern us, nor any course of dealings, nor a taxpayer with other substantial economic connections with the foreign country. We have, instead, a pure borrowing of Canadian money, unrelated to any ongoing business, with the borrower intending to change the foreign funds immediately into our dollars for non-business use in the United States, and of *311later re-converting the United States dollars into Canadian units immediately before repayment. We are not told whether taxpayer hoped to gain through fluctuation of the exchange rate, but it is fully consistent with what we know that that could well have been true.3

There is no doubt, and taxpayer admits, that he received a distinct and measurable economic gain when he converted his United States dollars into Canadian money, in 1961, for some $19,-000 less than he had obtained on the reverse exchanges in 1957, 1958, and 1960. He was that much better off than before; he “realized within the year an accession to income, if we take words in their plain popular meaning * * ”. United States v. Kirby Lumber Co., 284 U.S. 1, 3, 52 S.Ct. 4, 76 L.Ed. 131 (1931). It is also clear that this gain (if it was taxable) was realized in 1961, on the reconversion and repayment, and the transaction was closed at that time. See KVP Sutherland Paper Co. v. United States, 344 F.2d 377, 170 Ct.Cl. 215 (1965). The Revenue Code treats as gross income “all income from whatever source derived” (§ 61(a); see Commissioner of Internal Revenue v. Glenshaw Glass Co., 348 U.S. 426, 75 S.Ct. 473, 99 L.Ed. 483 (1955)), but plaintiff insists that nevertheless taxable gain did not accrue. His position is that he paid back exactly what he had borrowed— $260,268.91 Canadian — and that a taxpayer need recognize no gain upon the borrowing and later repayment of the same property.

We have already rejected the simplistic application of that principle to the foreign currency field. KVP Sutherland Paper Co. v. United States, supra, 344 F.2d 377, 381, 170 Ct.Cl. 215, 223 (1965). When transactions are domestic, changes in the value of the United States dollar do not, in themselves, create taxable income because the postulate of the American tax system is that the value of the dollar is constant. “An obligation in terms of the currency of a country takes the risk of currency fluctuations and whether creditor or debtor profits by the change the law takes no account of it. Legal Tender Cases, 12 Wall. 457, 548, 549, 20 L.Ed. 287. Obviously in fact a dollar or a mark may have different values at different times but to the law that establishes it, it is always the same.” Die Deutsche Bank Filiale Nurnberg v. Humphrey, 272 U.S. 517, 519, 47 S.Ct. 166, 167, 71 L.Ed. 383 (1926). See, also, Bates v. United States, 108 F.2d 407 (C.A.7, 1939), cert. denied, 309 U.S. 666, 60 S.Ct. 591, 84 L.Ed. 1013 (1940); A. Nussbaum, Money in the Law — National and International (rev. ed. 1950), pp. 172-175. For our legal system, however, foreign currency, which is not established by United States law, has a different status. Account is taken, much more often (if not always), of its fluctuations in value, and it is frequently treated, not as the medium of exchange, but as property or a commodity. This is especially likely to be so when it is converted into United States funds.

Thus, when Mr. Gillin borrowed Canadian money and converted it at once into domestic dollars, and later reversed the process, paying off his debt in Canadian funds, it was not at all the same as if he had borrowed United States dollars and used them in this country. Neither was it the same as if he had borrowed Canadian money, used it in that country, and then repaid his debt with Canadian funds. Nor was it as if he had simply borrowed a commodity or security which he kept and later returned at a time when its value had happened to shift. The fact is that he deliberately converted the Canadian money as soon as he could into United States dollars — the former were borrowed precisely in order to obtain the latter— and thereafter reconverted so as to be *312able to pay off his debt at a profit to himself. Whatever his primary motivation, it seems clear that he took advantage of the loans so as to realize gain on the exchanges of the one currency for the other.4

In this situation there is no reason why taxpayer should be free of tax on the gain. By the arrangements he made, he “necessarily involved [himself] in a speculation in foreign exchange” and “as things turned out, [he] gained by the speculation * * Willard Helburn, Inc. v. Commissioner of Internal Revenue, 214 F.2d 815, 818 (C.A.1, 1954). The profit was as much a “windfall item” as the comparable exchange profit in Willard Helburn, Inc., supra. See, also, Bennett’s Travel Bureau, Inc. v. Commissioner, 29 T.C. 350, 355 (1957). It falls well within the generous sweep of § 61(a) (“all income from whatever source derived”).

Plaintiff relies, understandably, on B. F. Goodrich Co. v. Comm’r, 1 T.C. 1098 (1943), and Coverdale v. Comm’r, 4 T.C.M. (CCH) 713 (1945). In Goodrich, a domestic corporation borrowed 11,000,-000 French francs, valued at $651,000 U. S. dollars, and lent them to its French subsidiary. Later, that taxpayer purchased 11,000,000 francs for $514,000 U. S. dollars and repaid its loan. The Tax Court held that no taxable gain accrued to the taxpayer, and said, among other things, that “[a] mere borrowing and returning of property does not result in taxable gain.” 1 T.C. at 1103. As already indicated, this court has rejected that broad generalization for foreign currency purposes. KVP Sutherland Paper Co. v. United States, supra, 344 F.2d at 381, 170 Ct.Cl. at 223.5 Moreover, the Goodrich decision, in contrast to this dictum, is irrelevant to our case; the actual holding was that the transaction was still open since the subsidiary owed the 11,000,000 francs and neither gain nor loss could be recognized until after that debt was discharged. Cover-dale is pretty much in point on the ground on which the court chose to go,6 but we decline to follow it.

Having decided the initial question of taxable gain in favor of the Government, we turn now to the more difficult task of determining the nature of that gain. There are three alternatives: (1) long term capital gain; (2) ordinary income from the discharge of indebtedness for less than the amount owed; and (3) taxability as a short sale under or by analogy to 26 U.S.C. § 1233. Taxpayer urges the first, while defendant, preferring the third, acknowledges that both of the latter two lead to the same result in this case.

Plaintiff, citing KVP Sutherland Paper Co., supra, points out that the exchange of foreign into domestic currency can constitute a “sale or exchange” of a capital asset. The major problem is, however, in finding an asset which was held for more than six months and then sold or exchanged. Obviously, the Canadian currency was held for less *313than one day before it was converted in each instance.7 The United States money received on conversion cannot be considered a capital asset held for more than six months; it was not in fact so held but was used for personal expenses and investment; more fundamentally, the same reasons which preclude recognition of changes in value of the United States dollar bar acceptance of domestic money as a capital asset which can be held for appreciation (or depreciation) in value. Cf. Bates v. United States, supra, 108 F.2d 407 (C.A.7, 1939).8 Plaintiff argues that the capital asset held for more than six months was the debt obligation itself. But retiring one’s own debt does not result in a sale-or-exchange or in capital gain (except where Congress so provides specifically). See 26 U.S.S. § 61(a) (12) (1964); Fairbanks v. United States, 306 U.S. 436, 59 S.Ct. 607, 83 L.Ed. 855 (1939); KVP Sutherland Paper Co. v. United States, supra, 344 F.2d at 382, 170 Ct. Cl. at 224; Felin v. Kyle, 102 F.2d 349 (C.A.3, 1939). It is not possible, therefore, to find on any theory a long term capital transaction in plaintiff’s dealings.

Of the other two analyses, the concept of ineome-from-debt-discharge seems to us to suit this particular case quite neatly.9 Section 61(a) (12) of the 1954 Code declares:

Except as otherwise provided in this subtitle, gross income means all income from whatever source derived, including (but not limited to) the following items:
******
(12) Income from discharge of indebtedness.

As we have pointed out, the proximity of the conversions to the loan and repayment makes clear that plaintiff’s intent in borrowing the Canadian dollars was to acquire United States money at once, and that currency, in turn, was to be used later to buy back Canadian funds to repay the debt, if possible at an exchange profit. In effect, the taxpayer borrowed United States funds, and the source of his gain was a decline in the value of the debt in terms of American dollars, enabling him to retire it for less United States currency than he received in incurring it. In this light, the transaction is analogous to the issuance of a bond and its repurchase by the obligor for less than face value, which has been held to be ordinary income (United States v. Kirby Lumber Co., supra, 284 U.S. 1, 52 S.Ct. 4, 76 L.Ed. 131 (1931); Helvering v. American Chicle Co., 291 U.S. 426, 54 S.Ct. 460, 78 L.Ed. 891 (1934)). While it is true that the loan was acquired and repaid with the same number of Canadian dollars, the entire transaction was designed and executed so as to secure United States money for plaintiff and also to put him in a position to repay the debt with less American dollars than he had earlier obtained. United States funds were placed in his possession almost simultaneously with the incurrence of the debt. At the other end of the operation, United States cur*314rency was used to get the Canadian money necessary for immediate payment of the loan at a time when the exchange rate was favorable. The conversions were not independent of, or separate from, the debt but were integral to the arrangement and formed a necessary part of it. Viewed as a whole, in the perspective of the realities of this particular transaction, there was an assumption and repayment of a debt for less than face value, resulting in ordinary gain under 26 U.S.C. 61(a) (12) (1964). See Kentucky & Indiana Terminal R.R. v. United States, 330 F.2d 520 (C.A.6, 1964).

Defendant’s motion for partial judgment on the pleadings is granted and plaintiff's cross-motion for partial judgment on the pleadings is denied. Paragraph VII of the petition is dismissed.

. None of the other refund claims in the petition is now before us.

. See, e. g., Ravenseroft, Taxation of Income Arising From Changes in Value of Foreign Currency, 82 Harv.L.Rev. 772 (1969) ; Comment, Income Tax Consequences of Foreign Currency Fluctuations, 37 Tul.L.Rev. 282 (1963) ; Comment, The Separate Tax Treatment of Import Transactions and Related Foreign Exchange Fluctuations: The Case for Integration, 68 Yale L.J. 497 (1959); Note, Income Tax Consequences of Fluctuations in Foreign Exchange, 1955 Univ. of Ill. Forum 595; Roberts, Borrowings in Foreign Currencies, 26 Taxes 1033 (1948).

. The notion that plaintiff obtained better loan terms in Canada, and had no interest in exchange fluctuation, seems improbable in view of the allegations in the petition that the “notes were standard form promissory notes bearing standard rates of interest.”

. In Cleary v. United States, 232 F.Supp. 828, 831 (W.D.Pa.1964), involving the borrowing of shares (which were sold) and the return of other shares of the same stock (then valued at a higher figure), there was a finding that the sale of the borrowed shares was involuntary and not undertaken “as an intentional disposition of his stock in the market for purposes of gain or loss as a market speculation”.

. It may even be that the Goodrich court would not have applied the generality of its statement to the facts now before us, involving a conversion of the borrowed foreign funds followed by a later reconversion. The court expressly noted that the “petitioner did not buy 11,000,000 French francs for $514,162.50 and then sell them for $651,132.73. Neither did it exchange them for property having a value of the latter amount.” 1 T.C. at 1104.

. The court appears to put its holding on the basis that that taxpayer, who borrowed Canadian money, also paid back Canadian money, but the opinion announces, too, that, in any event, there could be no gain via the currency fluctuation since there was a loss on the underlying transaction for which Cover-dale borrowed the Canadian money.

. If Mr. Gillin borrowed Canadian money, held it for more than six months, then exchanged it for American currency, and later reconverted to Canadian funds which were used to repay the debt, there might be different taxable consequences. Cf. KVP Sutherland Paper Co. v. United States, supra, 344 F.2d at 383, 170 Ct.Cl. at 226.

. There may possibly be some inconsistency in policy in permitting a speculator long term capital gains treatment for buying foreign currency and holding it six months, while denying such treatment if he purchases domestic currency with foreign funds, holding the United States money for the requisite period of time before reconverting. But, if so, the gap is inherent in the Code as it now stands, and must await any necessary correction by Congress or, perhaps, the Treasury.

. We do not reject the Government’s contention that foreign currency may be the subject of a short sale transaction, but neither do we consider it since we find it easier, in this instance, to place our decision on the other basis which entails the same disposition.