Escolar Documentos
Profissional Documentos
Cultura Documentos
3
4
5
skohlmann@jenner.com
Alison I. Stein (Pro Hac Vice to be fifed)
9
10
11
12
astein@jenner.com
13
Cn4-0869 9-W&'
WAVERLY SCOTT KAFFAGA, AS
Case No.
COMPLAINT FOR:
v.
22
23
24
Defendants.
25
26
27
28
COMPLAINT
ajthomas@jenner.com
4
5
skohlmann@jenner.com
astein@jenner.com
10
jtracer@jenner.com
919 Third Avenue
11
12
Facsimile: (212)891-1699
Telephone: (212)891-1690
13
14
15
18
Case No.
COMPLAINT FOR:
20
Plaintiff,
21
22
23
Defendants.
[4] INTENTIONAL
26
INTERFERENCE WITH
PROSPECTIVE ECONOMIC
ADVANTAGE
27
25
28
COMPLAINT
Anderson Steinbeck (the "Estate"), b) and through its undersigned counsel, Jenner
& Block LLP, brings this action agairist defendants Thomas Steinbeck, Gail Knight
6
7
Inc .
Plaintiff brings this action for declaratory and injunctive relief and to
agreement that conferred upon Elaine Steinbeck (and later, her daughter Waverly
10
Kaffaga, Executor of her Estate) the c|omplete power and authority to exploit the
11
copyrights in the works of Nobel laureate John Steinbeck (the "Steinbeck Works"),
12
13
Estate's copyright ownership of and c|ontrol interest in the Steinbeck Works and
14
15
16
2.
17
alia, interfering in and impairing the Estate's exploitation of the Steinbeck Works,
18
improperly and fraudulently claiming that they possess certain rights with respect
19
to the exploitation of the Steinbeck Wlorks that they do not possess, and acting in
20
21
22
23
Steinbeck Works.
24
3.
wih
25
26
Century American literature. Througljiout his life, though he entered into numerous
27
licensing agreements involving his copyn ghted works, Steinbeck was careful to
28
COMPLAINT
4.
When Steinbeck died in 1968, he left a will in which he passed all his copyright
not leave any intellectual property rig its to his two sons from a previous marriage,
Thomas ("Thorn") Steinbeck and Johi|i Steinbeck IV. Steinbeck's will provided a
5.
As a result of Steinbeck'
10
works with respect to which Steinbecki had renewed the copyrights during his
11
lifetime (the "Early Steinbeck Works' '). But under the federal copyright laws,
12
13
entitled to royalty payments with resp ^ct to those works for which the copyrights
14
15
6.
16
John Steinbeck IV regarding royalty distributions for the Late Steinbeck Works,
17
18
19
Agreement, Thorn Steinbeck and Johr Steinbeck IV (on behalf of themselves and
20
their heirs and assigns) ceded "compl ^te power and authority" overthe exploitation
21
22
exchange for an increased share of roj alty payments. The royalty shares of Thorn
23
Steinbeck and John Steinbeck IV increased to one-third each, rather than the 25%
24
25
then in effect. In exchange for gainin the complete power and authority to exploit
26
the Late Steinbeck Works, Elaine Steinbeck''s share decreased to one-third of the
27
28
Settl ement
COMPLAINT
7.
1983
wife and attorney-in-fact Gail Knight Steinbeck, both acting through The Palladin
Group Inc., and sometimes purporting to act for John Steinbeck IV and his
In direct contravention o
10
11
with Elaine Steinbeck's (and the Estat|e 's) ability to exploit the Steinbeck Works
12
by, inter alia, improperly claiming thet they have rights related to the exploitation
13
14
15
16
17
THE PARTIES
Plaintiff
9.
18
Steinbeck (the "Will"). The Estate manages the assets of Elaine Steinbeck
19
pursuant to her Will. Before she died in 2003, Elaine Steinbeck was a resident of
20
New York. The Will of Elaine Steinbeck was admitted to Probate in the
21
Surrogate's Court for the County of New York, New York in 2003.
22
Defendants
23
10.
24
individual residing at 1482 East Valle i Road, Suite 100, Santa Barbara, California
25
93108.
26
11.
27
individual residing at 1482 East Valley Road, Suite 100, Santa Barbara, California
28
in
COMPLAINT
12.
suspended California corporation wit! its principal place of business at 1482 East
belief, Defendants Thomas Steinbeck and Gail Knight Steinbeck are President and
belief, California's Franchise Tax Bo rd suspended The Palladin Group for failure
13.
10
Judgment Act, 28 U.S.C. 2201-02, and for damages due to breach of contract,
11
12
This Court has jurisdiction over the sibj ect matter of this action pursuant to 28
13
14
15
16
14.
17
Steinbeck and Gail Knight Steinbeck jecause they both reside in this judicial
18
district.
19
15.
20
21
22
16.
23
24
Defendant resides in this judicial district Upon information and belief, all
25
26
27
28
17.
was
December 20, 1968. During his lifetime , he authored no fewer than 35 works and
-5COMPLAINT
obtained copyright registrations for al of them. The 1962 recipient of the Nobel
Prize for literature, John Steinbeck is one of America's most significant Twentieth
18.
federal law required renewal of a cop) right registration 28 years after the copyright
for a particular work is first obtained, See 17 U.S.C. 304(a). Upon information
and belief, John Steinbeck renewed the copyright registrations for his works
10
information and belief, John Steinbec^i filed copyright renewal registrations for the
11
following works, among others: Cup fGold (1929), The Pastures ofHeaven
12
(1932), To a God Unknown (1933) , The Red Pony (1937), Tortilla Flat
13
(1935), In Dubious Battle (1936), OfMice and Men (1937), OfMice and
14
Men (Play) (1937), Murder at Full Ifioon (1938), The Long Valley (1938),
15
The Grapes of Wrath (1939), Forgohen Village (1941), and The Sea ofCortez
16
(1941). These works, renewed by S teinbeck, are referred to herein as the "Early
17
Steinbeck Works."
18
19.
19
in or after 1942 and entered their rene val term after his death: The Moon is Down
20
21
(1945), The Pearl (1945), The Wayward Bus (1947), A Russian Journal
22
23
Eden (1952), Sweet Thursday (195,4) , The Short Reign ofPippin JV(\957);
24
Once There Was a War (1958), The Winter ofOur Discontent (1961), Travels
25
with Charley (1962), and America dnd Americans (1966). Copyrights for these
26
works, upon information and belief, Were renewed jointly by Elaine Steinbeck,
27
28
COMPLAINT
Steinbeck Works." Collectively, the Ifarly Steinbeck Works and the Late
3
4
20.
Upon his death in 1968, Steinbeck's will bequeathed all his rights in
the copyrights to the Steinbeck Works to his widow, Elaine Steinbeck. There were
no rights in these copyrights given to ^ither Thom Steinbeck or John Steinbeck IV,
10
Estate, the family of John Steinbeck's wife to whom he bequeathed all his
11
12
21.
13
himself, Elaine Steinbeck inherited the entire copyright interest because these
14
15
22.
With respect to the Late Steinbeck Works, which were not yet subject
c eath, the ownership of the copyrights went
16
17
18
statutorily created renewal provisions under the Copyright Act of 1976, 17 U.S.C.
19
304(a)(1)(C).
20
23.
21
22
23
24
25
24.
Thirteen years after John Steinbeck's death, Thom Steinbeck and John
26
27
agreement. Thom Steinbeck and Johr Steinbeck IV alleged, among other things,
28
COMPLAINT
that Elaine Steinbeck, along with John Steinbeck's literary agentMcintosh &
25.
Elaine Steinbeck and dismissed Thon Steinbeck and John Steinbeck IV's
complaint, concluding that the 1974 royalty distribution agreement was "specific
Steinbeck, No. 81 Civ. 6105 (S.D.N.Y Dec. 8, 1982) (order granting summary
judgment). Thom Steinbeck and Johr Steinbeck IV appealed the district court's
10
11
Steinbeck, and John Steinbeck IV entered into the 1983 Settlement Agreement. A
12
true and correct copy of the Southern District of New York's order granting
13
14
26.
as Exhibit 1.
15
16
17
works, including the power and autho ity to execute contracts in their name,
18
Specifically, the agreement conferred upon Elaine Steinbeck "the complete power
19
and authority to negotiate, authorize and take action with respect to the
20
21
Steinbeck IV] and [Thom Steinbeck] have or will have renewal and termination
22
rights."
23
27.
exercise
24
25
Elaine Steinbeck as their "attorney-in- fact" to "negotiate and sign contracts and
26
27
28
COMPLAINT
Copyright Law." True and correct copies of the 1983 Settlement Agreement and
3
4
5
28.
The 1983 Settlement Agiteement stated that it "shall bind the Parties
Exhibit 2, f 14.
Steinbeck Works passed to Plaintiff Waverly Scott Kaffaga and the other
Kaffaga, as executor of the Estate, the "the power and authority to negotiate,
contre ct
10
11
other works owned or controlled" by $laine Steinbeck while she was alive. A true
12
13
14
30.
2004 LITIGATION
In June 2004, Thom Steinbeck and Blake Smyle, the sole surviving
15
child of John Steinbeck IV, sued Plair tiff and other Estate beneficiaries, including
16
17
Defendants"), as well as M&O and se /eral other defendants associated with the
18
Steinbeck legacy, in the United States District Court for the Southern District of
19
20
Blake Smyle v. Mcintosh & Otis, Inc., et al, No. 04 CIV 5497 (the "2004
21
Litigation").
22
31.
and
in
23
24
25
Smyle asserted claims against the Est te Defendants for trademark infringement,
26
27
28
promissory
-9-
COMPLAINT
the Late Steinbeck Works. Under a series of publishing agreements (the "Penguin
Publishing Agreements"), Penguin has the right to publish all the Steinbeck Works.
32.
Steinbeck and Blake Smyle, including seeking a declaratory judgment that the
33.
ownership of the interests in and contiol over the exploitation of the Steinbeck
34.
10
Kaffaga and the beneficiaries of the Estate. When John Steinbeck died, Elaine
11
12
residuary clause in Steinbeck's will. A true and correct copy of John Steinbeck's
13
will is attached hereto as Exhibit 4. See also Thomas Steinbeck and Blake Smyle v.
14
Mcintosh & Otis, Inc., et al, 433 F. Supp. 2d 395, 399 & n.12 (S.D.N.Y. 2006)
15
(Owen, J.). A true and correct copy o 'the Southern District's Opinion & Order is
16
17
35.
In turn, upon Elaine Steinbeck's death, Waverly Scott Kaffaga and the
18
other beneficiaries inherited her interests in the Early Steinbeck Works. Elaine
19
Steinbeck's Will expressly made "no provision for Thom Steinbeck or Nancy
20
21
Steinbeck, Article Sixth. The Second Circuit agreed with the Southern District
22
that, with respect to the Early Steinbeck Works, Steinbeck "bequeathed his interest
23
in these copyrights to his widow, Elaine [Steinbeck]." Penguin Grp. (USA) Inc. v.
24
Steinbeck, 537 F.3d 193, 196 (2d Cir. 2008). A true and correct copy of the
25
26
36.
With respect to the Late Steinbeck Works, the Second Circuit rejected
27
Thom Steinbeck's and Blake Smyle's attempt to recapture the rights to these works
28
by terminating the Penguin Publishing; Agreements for the Late Steinbeck Works.
10COMPLAINT
Subsequently, the Southern District dismissed the remainder of the claims and held
that the 1983 Settlement Agreement g ive Elaine Steinbeck complete power and
authority to exploit the Late Steinbeck Works, even if her decisions were "in her
interests and contrary to the sons' interests or objectives." Thomas Steinbeck and
Blake Smyle v. Mcintosh & Otis, Inc., et al, No. 04-5497, 2009 WL 928171, at *2
(S.D.N.Y. Mar. 31, 2009). A true and correct copy of the district court's
8
9
37.
Steinbeck 's
10
11
Foundation, 400 Fed. App'x 572, 576 (2d Cir. 2010), cert, denied, 131 S. Ct. 2991
12
(2011). With respect to the 1983 Settlement Agreement and the Estate
13
worl ;s ,
14
15
16
17
18
19
20
21
22
23
ncreased the
Steinbeck sons'
24
25
Id. (emphasis added). A true and correct copy of the Second Circuit's 2010
26
8.
27
28
-nCOMPLAINT
1
2
38.
Settlement Agreement and the court d scisions interpreting it. Instead, Defendants
misrepresented their interests in the Steinbeck Works, and interfered with the
8
9
39.
Notwithstanding the
Steinbeck Works.
Second
that Defendants retained "no control" over John Steinbeck's works as a result of
10
the 1983 Settlement Agreement, Defe idants,, individually and through their agents
11
and attorneys-in-fact, have repeatedly asserted that they have so-called "blocking
12
rights" with respect to exploiting the ,ate Steinbeck Works, and in certain
13
instances, even with respect to certain Early Steinbeck Works. These assertions
14
15
contravention of the prior orders of th Southern District of New York and the
16
17
present.
18
40.
19153
On April 24, 2009, durin the pendency of the appeal in the 2004
19
Litigation, and despite the fact that Defendants have no control over the
20
21
filed a letter in The Authors Guild, et al.. v. Google, Inc., No. 05 Civ. 8136 (DC)
22
23
John Steinbeck's works and encourag ng other authors in the suit to "stop [the
24
25
41.
26
27
Works. Upon receiving notice from NI&O that the Estate planned to enter into an
28
agreement with Penguin for the audio books, Gail Knight Steinbeck responded that
-12COMPLAINT
she and Thom Steinbeck would not consent to the agreement unless Thom
Steinbeck had "APPROVAL" over the reader and the cover art for audio versions
42.
through Gail Knight Steinbeck, pressured M&O to publish the audio books for all
the Steinbeck Works with their preferred publisher and stated that failing to contact
Defendants' publisher would not be " vorking in the best interests of Thom
43.
10
brought this conduct to the attention of.Judge George B. Daniels, United States
11
12
2009, saying:
13
14
15
It doesn't matter.
This
issue is decided.
If anybody
16
17
18
been in litigation for yeai[s , and to the extent that they are
claiming that they have sbme greater rights than what has
been determined by this court, it should be clear to
everybody and clear to their lawyers who you negotiated
20
21
22
23
24
Conference Transcript, at 8-9. A true and correct copy of the December 2, 2009
25
26
27
44.
Five years later, the Estatp and its beneficiaries are being irreparably
28
-13-
COMPLAINT
slander of title, tortious interference, i nd total disregard for the court decisions that
2
3
45.
expressly forbid the National Steinbeck Center from negotiating with the Grammy-
Steinbeck, the City of Salinas, Califoifnia, and The National Steinbeck Center.
Gail Knight Steinbeck, on behalfof Tihom Steinbeck and the "Steinbeck Family,"
10
the court decisionsthat they controlled the exploitation of the Steinbeck Works
11
46.
12
Cells
13
Steinbeck and the "Steinbeck Family " again interfered with The National
14
Steinbeck Center, this time attempttin? to thwart The National Steinbeck Center's
15
16
17
18
Steinbeck and the "Steinbeck Family " had control over the exploitation of those
19
rights.
20
47.
Defendants' interference?
21
economic advantage persists. On Au|gust 14, 2013, Gail Knight Steinbeck signed
22
an email from The Palladin Group to M&O stating that "John Steinbeck's family
23
24
parody.
25
48.
26
27
a "formal demand for a copy of whatever contract you have negotiated for film
28
-14-
COMPLAINT
49.
in the best
Complaint, Defendants have interfere 1 with the Estate's ongoing negotiations with
two major motion picture studios for potential projects concerning the making of
(1) a new film version of The Grapes of Wrath, an Early Steinbeck Work, by
DreamWorks Studios ("DreamWorks '); and (2) the making of a new film version
Entertainment ("Imagine").
10
50.
11
12
ownership rights and control over the Steinbeck Works. Upon information and
13
14
15
16
17
18
51.
19
20
21
22
have blocking rights and insisted that Thom Steinbeck be made a producer on the
23
project.
24
52.
Finally, in October of 2014, the Estate learned that one year earlier
25
(on October 11, 2013), The Palladin Group, Thom Steinbeck, and Nancy
26
27
petition with the State Labor Commissioner of the State of California under
28
Section 1700.44 of the California Labor Code (the "Talent Agencies Act"). The
-15COMPLAINT
without the proper license. A true an(p correct copy of Defendants' Petition to
Exhibit 10.
53.
public filing, is replete with miisrepresentat ions concerning the Steinbeck Works,
Specifically, the Petition asserts that ibefendants "either own[] or control[] 2/3" of
10
the Steinbeck intellectual property at ssue; that "[a]ll literary contracts for the right
11
and title to John Steinbeck's works list Petitioners as Author"; and that there is not
12
a "clean chain of title" to the Steinbectk Works at issue. Each of these statements is
13
14
served the Petition on the sub-agent a year after it was filed, on September 29,
15
2014, and directed the sub-agent to fi e and serve an answer. The Estate was made
16
17
54.
18
in the Hollywood Reporter. In the article, Gail Knight Steinbeck falsely states that
19
20
getting their agreement, and they do i|iot have that consent." Gail Knight
21
22
23
24
York and the Second Circuit. Those court decisions and the 1983 Settlement
25
26
27
article, titled Steinbeck's Family FilSs Complaint Against L.A. Agent, is available
ded
cny
28
-16-
COMPLAINT
at: http://www.hollywoodreporter.com/thr-esq/john-steinbeck-s-family-files-
739992.
55.
their interference in breach of their otl igations under the 1983 Settlement
obstruct and likely will devalue the transaction not only for the Estate and its
beneficiaries but for Thom [Steinbeck] and Blake [Smyle] as well." The letter
requested confirmation that Defendarts would agree "to cease and desist from
10
interfering with the Estate's 'complet authority' to negotiate and enter into a
11
transaction with DreamWorks on behalf of the Estate, its beneficiaries and Thom
12
13
56.
14
that "legitimate assertions of legal rig'hts do not impermissibly interfere with the
15
16
57.
17
Defendants that it had come to Plaintiff s attention that Defendants had been in
18
direct contact with Universal and Imd;gine employees in connection with the
19
potential making of a new East ofEdzn motion picture, and had falsely claimed to
20
21
their interference "is destructive, threjatens the success of the project and
22
jeopardizes the Estate's ability to exploitit the Steinbeck Works and properly protect
23
24
58.
25
Gail Knight Steinbeck had filed a clalim with the California Department of
26
LaborRWSG Literary Agency advised that it would no longer work with M&O.
27
Other sub-agents working with M&(|) have come forward seeking indemnity from
28
COMPLAINT
1
2
59.
to engage in the foregoing conduct, including their continued breach ofthe 1983
Works. Defendants have made, and, unless enjoined, will continue to make
statements that are false, misleading, and contrary to the prior court orders of the
10
60.
11
cast doubt over the Estate's complete authority to exploit the Steinbeck Works.
12
For example, on October 23, 2014, th13 Associated Press published an article about
13
14
15
17
percent of domestic rights" to the Ste nbeck Works. Multiple news outlets
reprinted the Associated Press article. including ABC News, Salon, and the United
18
19
Service published a similar article on the Petition. The Associated Press article (as
16
on
21
published by ABC News), titled Steifbeck Heirs Fight Over Control ofMovie
Rights, is available at: http://abcnews go.com/Entertainment/wireStory/steinbeck-
22
23
titled Fight Over Rights to John Steir beck Novels,, is available at:
24
20
26
27
conduct has interfered with and will continue to interfere with the Estate's ability
28
to negotiate with third parties to exploit the Steinbeck Works. As a direct result of
25
61.
-18-
COMPLAINT
relationships with the Estate, have asked for indemnification from the Estate
against claims by Defendants, and ha^ e caused third parties to reject opportunities
62.
with respect to the exploitation of the Steinbeck Works has caused and will
continue to cause irreparable harm to Plaintiff in that such misconduct (1) deceives
third parties who are interested in partnering with the Estate in the exploitation of
the Steinbeck Works; (2) damages the Estate's reputation and ability to negotiate
10
11
parties; and (4) undermines the Estate 's ability to engage in future projects for
12
13
14
BREACH! OF CONTRACT
15
16
17
63.
18
which granted her certain rights such as the "complete power and authority to
19
20
21
her "sole discretion." Plaintiff and the Estate's other beneficiaries now hold all of
22
Elaine Steinbeck's interests in and ri hts deriving from the 1983 Settlement
23
Agreement.
24
65.
mike
25
26
27
28
-19-
COMPLAINT
66.
67.
V.
alia, interfering in and impairing the ^state's exploitation ofthe Steinbeck Works,
Steinbeck Works, and ignoring orders of the Southern District of New York and
the Second Circuit, which have interp eted the 1983 Settlement Agreement and
10
the Steinbeck Works. By their conduct , Defendants also have breached the
11
implied covenant of good faith and fa r dealing with respect to the 1983 Settlement
12
Agreement.
13
68.
14
15
Defendants continue to breach the 19$3 Settlement Agreement, the Estate's ability
16
to exploit the Steinbeck Works is sevenely impaired and the goodwill and value of
17
18
DECLARATORY
19
20
21
22
69.
Plaintiff incorporates
here in by
23
rights and interference in Plaintiffs ekercise of its complete power and authority
24
25
71.
26
their agents and attorneys-in-fact, tha t they have the power and authority to control
27
the Steinbeck Works, which they do not have. Defendants have thereby interfered
28
-20-
COMPLAINT
with and impaired Plaintiffs ability successfully to exploit the Steinbeck Works to
72.
s other beneficiaries,
Defendants have already had a full and fair opportunity to litigate the
scope of their rights relating to the Stdinbeck Works in both the Southern District
73.
litigated whether they retain any control over the Steinbeck Works and whether
74.
10
Steinbeck sons' shares in certain cop> right revenue, from one-quarter to one-third
11
each, and, in return, conferred upon Elaine Steinbeck 'the complete power and
12
authority to negotiate, authorize and tike action with respect to the exploitation
13
14
Steinbeck IV] and [Thom Steinbeck] lave or will have renewal or termination
15
rights' .... This language is unam bi: ?uous andforecloses any argument that the
16
parties intended the Steinbeck sons to retain control over Elaine Steinbeck's
17
18
19
572, 576 (2d Cir. 2010), cert, denied 131 S. Ct. 2991 (2011). The Second Circuit's
20
21
75.
wo*ks
Steinbeck Heritage
merits.
22
23
24
Steinbeck.
25
76.
26
U.S.C. 2201 declaring that, under tie doctrine of collateral estoppel, the
27
decisions issued by the Southern District of New York and the Second Circuit
28
Court of Appeals interpreting the 19*13 Settlement Agreement bar any claim of
-21-
COMPLAINT
right that Defendants might assert with respect to (1) control over the Steinbeck
SLANDER OF TITLE
6
7
77.
Early Steinbeck Works and has the so e and exclusive power to control the Late
Steinbeck Works.
10
79.
11
Works and rights in the Late Steinbec Works and damaged the Estate's ability to
12
exploit the Steinbeck Works. Defendants have made false claims of ownership and
13
repeatedly have represented both to the public in general and directly to various
14
15
16
80.
17
Steinbeck Works and ability to contro|l the Late Steinbeck Works are false, and
18
Defendants have made such representjati ons intentionally, maliciously, and with
19
20
21
22
81.
The Estate has also incurred significant attorneys' fees and costs in its
23
attempt to remove the cloud Defendants have placed on the Estate's ownership of
24
the Early Steinbeck Works and control over the Late Steinbeck Works, including
25
26
83.
in this action.
27
28
-22-
COMPLAINT
5
6
84.
entities in an effort to exploit and pron ote the Steinbeck Works, including but not
86.
10
11
12
87.
13
14
15
Defendants have "blocking" rights or' approval" rights with respect to certain
16
content, that they control two-thirds of the "character rights," and that M&O does
17
not have authority to enter into a moticjn picture deal for East ofEden. Defendants
18
have further asserted falsely in a publlie filing that there is not a "clean chain of
19
title" to certain Steinbeck Works, and tlhey have asserted falsely in at least one
20
news article that they have the right to be consulted. Finally, Defendants have
21
22
litigation if DreamWorks worked with the Estate on a film project involving The
23
Grapes of Wrath.
24
88.
one
25
actions have proximately caused the Estate economic harm. Defendants' conduct
26
has delayed realization of potential transactions with film studios and has
27
significantly increased the risk and cos|t to the Estate of engaging in negotiations
28
1
2
3
89.
Defendants' intentional
A.
Court of Appeals interpreting the 198 Settlement Agreement bar any claim of
10
right that Defendants might assert witlh respect to (1) control over the Steinbeck
11
12
B.
Second Circuit
13
agents, servants, employees, successoi's , assigns, and all those acting under their
14
control, from representing in any forum that they have any ownership interest
15
whatsoever in the Early Steinbeck Wdrks and/or any control over the Steinbeck
16
Works; and (2) requiring Defendants 1o retract or withdraw all representations they
17
have made regarding their purported cjwnership interest inthe Early Steinbeck
18
19
20
21
22
23
C.
D.
E.
24
25
by the Court;
26
27
F.
by the Court;
28
-24COMPLAINT
G.
H.
3
4
5
6
/s Andrew J. Thomas
By:
Andrew J. Thomas
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
-25-
COMPLAINT
JURY DEMAND
3
4
5
6
/s Andrew J. Thomas
By:
Andrew J. Thomas
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
-26-
COMPLAINT
EXHIBIT 1
102
STEINBECK V. STEINBECK
o*
DEC
198?
81 Civ. 6105
ENDORSED
memoMandum
/O
p;
in
,,/o/m
:i
ecorc
/rt /\\
the
about the circumstances leading to their signing of the agreement than the
following:
Spring Co., Inc. v. Lehman, 491 F.Supp. 141, (N.D.N.Y. 1979), affd, 615 F.2d 1037 tad
Cir. 1980).
Li.
o
txl
o
December o , 1982
New York, New York
'..
EXHIBIT 2
SETTLEMENT AGREEMENT
6105 ("the
Action"); and
and
whereas, Elaine Steinbeck moved for summary judgmeat, which motion was granted on December S, IS82; and
and
(hereinafter collect
Elaine Steinbeck
and to Thom Steinbeck $66,876.30 each, which amount represents the difference between one- half and one-third of the
December 31,
As
use
the
pursuant to the U.S. Copyright Law , 17 U.S.C. 304(a), irrespective of whether there has
4m
been
a. termination of grants *
on*
Parties
enter
successors,
assigns.
3.
trators,
successors,
the sole recipients of all roya ties earned from the foreign
exploitation of the works, of Jo]hn Steinbeck and their derivatives, including but not limi ed to: (a) all works which
entered their renewal terms afttsr John Steinbeck's death; and
(b) all works which will enter iheir renewal terms in the
future; and John Steinbeck IV
ar d
5.
Elaine
SteinbecJc and/or her agent shall have the complete power and
authority to negotiate, authorize and take action with
rights.
7.
and
"
hereto as Exhibit B.
9.
a release in'favor of M i 0 in
Exhibit C.
10.
anl
11.
one other than the Parties and iheir heirs, successors and
ountants, and M&O and its
and "is not and shall not be con strued, represented or trgue
to be an acknowledgment of the merits of the claims asserted
Steinbeck or M s O.
Jtes**
Ilaine Steinbeck
j&-^^
rthr. S-.embecx IV
'.-.ZZ. SCir.OC;
Power of Attorney
ami
assignments of copyrights,
contracts
on
my b:..ialf, directly or
John steinoecjc iv
Dated:
EXHIBIT A
&W
'/
-OS'S
Power of iattorney
attorney-in-fact, as follows:
liit
tD
contracts
om Steinbeck
Dated;
Vcbv-uctwi^
Z"itvCO
^
EXHIBIT
sWSl-
i coaaideraiioa of the sum of sixty six thousand eight hundred seventy six and 30AM dollars
($66,876 30),.
Elaine Steinbeck
as RELEASEE,
Elaine Steinbeck
tie RELEASEE; RELEASEES heirs, executors, sdmutisrators. successors andassign* from allactions, eauees of action, suits, debts, dues, sums o{ money, accounts, reckonings, bonds,
tub, specialties, corcsaaie, contracts, controversies, agreements, pro sues, vanaaces, trespasses, damages, judgments, extents,.'
xecutJom, claims, and demands whatsoever, in law, admiralty or sqaity, which against the RELEASEE, the RELEASOR,
lELTASOR'S heirs, executors, administrators, successors and assign i ever had, bow have or h*ieaher can, shall or may, have'
or, upon, orbr reason of saynatter, cause or dung whatsoever from the beginning of the world to the day of the date of this,
IELEA5E- except such claims as may arise from the obligations set
forth in the Settlement Agreemen t between the Releasor
and Releasee executed contemporaneously herewith
Whenever the lex! hereof requires, the use of singular number shall include the spprepnnle plural number as the text of
e within instrument may require.
,*m^ti
ATt of i '6l0e*e&
On
COVSTY OF S^U./t^U
as..
\x.o.<\'A'^vo lo me that
he
.2^
fy "*"
***.# # -*! , a #*# ##* m *K #**f* #/rasts>e1, 4*if bm#w -m *fXf/fI"* smM
........
fern a* s *
.*v#
Th(-*r*-J
^K.i"U;
4>
m RELEASOR,
consideration of the sum of Sixty SIX thousand eight hundred seventy six jnd 30A00 dollars
and other good and valuable
received from
cons.deration
(566,876 30 ),
Elaine Steinbeck
RELEASEE,
su'ta,
Countynt - ^r ^
Onmis tne t
.}
.dayol
a.
U. .<.
*.;.. v j
t9A_rbaiofeme.
__.
llyiappeared
> ihe undersigned Notary Public, personalty
V~
. X..'
personally
krown tome
*S&SI&iS>4&aSei&
tU<K
lary's Signal f
3?^a9E>^^^>^gia^^^
rU
.executes.t
consideration
($1.00
),
as RELEASEE,
mors, successors and assigns from all actions, causes of action, suits, ebta, does, sums ofmoney, accounts, reckonings, bonda^
21s, specialties, covenants, contracts, controversies, agreements, pron
pr uea,
es, vananeea, trespasses, damages, judgments, esnsnts,
tccntioiut claims, and demands whatsoever, m law, admiralty or ..wfwity,
)ity, which against the RELEASEE, the RELEASOR,
ELEASOR'5 heirs, executors, administrators, successors aad assignsl eever
v
had, now have or hereafter can, shall ormay, have
, upon, or byreason of any matter, cause ordung whatsoever from tie beginnmg ei the world to the day of the date of dual
ELEASE.
V
^^^^*^J^&^**J-M**^?S2!Zem CEMCRALACKNOWLCDOHCNTSSSSZi
State ofICalifornia
California
"'.,
\>fil;AAf^J
On thisthe //''a
ieJ3befp/e me.
i.
County
tc(<
0 personally know|n 10 me
& provedto me on Ihe basis ol satisfactory evidence
>
.v
"1
**
ii :.
... _
_i*.-.--t f.-C
^~h I
sunsenbofl 10 tne
*eaiafl u
/ (
^^
Notary's Signature
TOTAL P IS
fc
EXHIBIT 3
*SiMg^ftft&^^
&sM^@^^^
Pl0l1ttfij
f((a:xiA)))
Prepared By:
I, ELAINE ANDERSON
of New York,
do
hereby make, publish and declare this instrument as and for my Last
Will and Testament, hereby revoking
direct
that
all
made.
just
mv
a 3
debts,
funeral
and
A.
I give,
devise
New York,
as well as the
to my
that other bequests under this last Will may be reduced in the
give
and
bequeath
the
proprietary
lease
located at
190
and
stock
East 72nd
<yJ
JEBEL KAFFAGA,
shall
be
free
estate
any
of
tax
whatsoever,
and
notwithstanding the fact that o their bequests under this last Will
res
The decision of my
Exe rutors
beneficiaries,
and
any
be paid as an expense of
shall
administering my estate.
C.
I give,
Trustees. The devise of my Sag Harbor real property and the bequest
of its contents shall be free of
iny
and
:fM
notwithstanding the fact that other bequests under this last Will
A.
Downey Inc.,
my sister,
her companion,
DOWNEY,
to
JEAN
jointly and
last Will may be reduced in the event my residuary estate does not
contain sufficient assets to pay est at,e taxes and administration
expenses.
C. I make the-following
1. An antique diamond
smali.er diamonds;
center.
it ems
f/V>-
mw
of my residuary estate.
FOURTH:
tie
Jose, California.
BAHAR KAFFAGA.
If any
If any
SIXTH:
works
To my sister JEAN
during her lifetime, and upon her dea .h or if she shall not survive
I give and bequeath her share to her friend, RAE W. DOWNEY
during his lifetime if he is surviving and upon his death or if he
me,
t**>
FARIER
thereof during her lifetime, and upon her death or if she shall not
survive me,
then
DAVID
To
my daughter,
this Will.
WAVE3LY
SCOTT
KAFFAGA,
one-half
thereof during her lifetime, and upon !ier death or if she shall not
survive me, I give and bequeath the
same
to my five grandchildren,
The
any
such
A*
-""""
'
"!"' '^"'"^W'WIffWWI
''
and
other
matters.
The
of Attorney
aiy
holder
of
the
power,
renounce
and
revoke
in favor
of
or
residue
remainder of my estate,
both real and personal and wheresoever situate, of which I may die
seized or possessed,
&
r?
become
may
entitled
after
the
A. One-Half
(M) to my daughter
KAFFAGA
shall
If
ray sister, JEAN ANDERSON BOONE, s&all predecease me, then this
bequest shall lapse.
C. One-Fourth (M) to my si:;t:er FRANCES ANDERSON ATKINSON.
ATKIKSONI,
A.
If, pursuant to
tais
which other provisions have not spe ifically been created by this
Will, I authorize and empower my
Trust
such
collect
Uo
and to
, education or maintenance
i&
of
shall attain the age of twenty-one (21) years and thereupon to pay
the
Trustee
The
is
thi
B.
Anything
in
Trustees
ttiis
will
to
the
contrary
nst
as
?A>
'iWHWjBWjll|
ard
in
their
sole
and
absolut e
discretion,
may
deem
advisable.
the
Trustees
shall
distribute
remaining
the
principal
and
to
shall
the
contrary notwithstanding,
such portion shall not be paid over to such issue but in lieu
thereof shall be added to his or her share to follow the
shall not be given to her, but insteac shall be set apart and shall
&
ATKINSON,' or apply for her benefit so much or all of the net income
in
their
sole
4bsolute
and
discretion,
deem
in any year
may
administered
thereof.
my
sister,
FRANCES
pay
ANDERSON ATKINSON,
so
much
or
all
of
the,
may deem
upon the
as the Trustees,
advisable.
her
share
to her husband,
JOHN
her then living issue, per stirpes, or, in default of such issue,
then
be
held
in
trust
hereunder,
of
reimmmmm
and principal.
TENTH:
ELEVENTH: A.
If one of these
of
this
will,
appoint
EUGENE
WINICK
to
act
as
B. I hereby nominate
and Trustee.
cor.st itute
my
KAF]'AGA ,
BOONE,
C. I hereby nominate
ANDEILSON
by this
will,
substitute Trustee.
I appoint my
If
my nephew,
JON ATKINSON, shall fail or cease tc act for any reason, to act as
JEJlN
ANDERSON
BOONE
to
act
as
substitute Trustee.
D.
no
Trust ees
duti es
as such,
whether because
of nonresidence or otherwise.
TWELFTH:
I give my Executors
and
Trustees
and
substitute
12
lrY>
Executors .and
Trustees
the
fullest
and ^y^lflPW
powe;:
if l-iving,
including,
without
complete
limi.taticn
power
and
o investments permitted
a LI
sal e,
leasing, licensing,
any one or more of such works and for any period hereby directing
that the consent of both Executors and Tfrustees,
owned or controlled by
and
sane
to share in my estate
One i^iWd'J
receive no other or further
share in my estate and the share to which any such person might
otherwise have been entitled had he or she not participated in the
had I
died
intestate,
or
lie
g:.ve,,
she
might
devise,
have
been
and bequeath,
equally, share and share alike, to the other legatees and devisees
mentioned in this will, other than the issue of the contesting
person, who may not have joined in tho contest or opposition and
should all such devisees and legatees join in opposition of this
will, then the shares of each such one which would otherwise have.
New York then in force, excluding each and all of such contesting
A.
I direct
that
issue.
estate,
c.ll
inheritance or
tins
may
Will,
except
for any
of,., such taxes and charges shall be apport ioned among and collected
benefiiciaries
distributee s
sharing in my
14
&
property passincpin1*
[SrTraFMo-'L-atta'?'beneficaries>
manner outside my Will,
Artie 1 es
and
SECONE
such
from
any property
distributees
THIRD,
and
as
the
action as may be
amounts
the
excluding on iy
distributable
otherwise
to
any
B.
me which may
any
to
such transfer.
9^
_,.. m. -iw
ences are made in tai s Will
he feminine,
I have
and seal
2JbJuu il 5&6ca.
ELAINE ANDERS! ON
and
sealed
at
the
end
thareof,
STEINBECK
and
at
the
ANDERSON STEINBECK,
Last
same
the
time
above
in the
O L_^vy>w.
residing at
residing a
16
)
ss
STEINBECK.
Said ELAINE
I
thereupon signed my na%fa^tn^Etl
ANDERS DN
at the request of said ELAINE ANDERS
STEINBECK,
and in her
..
STEINBECK
STEVEN K.ARON0FF
Qualified In NewYorkCounty
Oct-. 31,1*?*
17
EXHIBIT 4
the State of
to
Will and
(a)
lng uses and purposes: To collect and receive the i1; icons
and co pay over the net incosia to- ay said son THOM
os
near
ifa but no
IS
<G
on that
ipel of Che
thereof
31, 1974,
of said
to his
in the event
there shall be. no child'or children of his then livii , then I di-
ty
5on, JOHN
shall
X give and bequeath the said sum of 550 ,000. Co hia child or children
me surviving,, in equal shares, and if there be no child or children
(h)
(ii)
Thoa;
be no child or childran of
JiBH
(O
(i) andcy son, JOffil STEIS5' ;CK I?, survive me, I give
To collect and
Da :eabs r
\\
he be then living,
ATM;
child or children of
a)
sine.
(b.)
(i) and ny son John survive me, then I give and -lequeath
!
(now employed
($5,000.). .
SIXTS:' All the rest, residue and rema index of cay property
and estate, be the same real or personal, of uhs {soever kind or nature,
and wherever Cpa same may be situate, I give and bequeath Co my wife,
ELAINE, if she| shall survive maj if sha shall not siirvive me, I give
the said rest,! residua and remainder of my proper ty and estate, in
' their respective children, as Che case may be, to be held, invested
X directed in the
ly or under siich circumstances as Co render it iraposslble to determine who predeceased the 'ochcr, I hereby declare
-C
to be my will and
td
chat assuapcion.j
i
EIGHTH:
out, during the .'term thereof coy Vuatees may pay or apply any part
or all of the principal thereof
HIBTH-J
administration <Sxpenses and estati. Cases sec ouc in the following paragraph TEinH, I direct thsc qy Ex cucors shall noc sell any property
of mine which Ijtsy own either in fca or represented by chares in a
so far is' possible chac such propc rty used by tie as hcaas of p^n* com
stltute part ofj.tlut residuary estc e to which my wife Elaine msy be
entitled hereunder.
TENTHS
I direct my
Executors
cate and as'sh 'ispense of adoinis t i a tion, all escace, crinsfcr and in-
heritence taxes-|and other taxes o a 6iailar r.acura, which may be eubstituted for -or added to the forej:gC ing
ng, levied or imposed upon my estace or upon this transfer of proper ty or righes or interests aa a re-
! .
oat
the person with whom such infcnt shall rjsida, or a aecaral guardian
of the property of such infenc, find upon receiving a written eekaov-
that such nersiW agrees Co hold' the saas for the benefit of such
tees:
the
teiiss
iitvcsc
investient ,
aix-d ,
property of every.
ia their discretion in
=y
and Trustees Pith che fullest pose find authority to deal in end
wich rights in literary properties realising ths coBpLaaity-and
difficulty oi: exploiting t! 3a=s ddvantasaously and dasiriajj chat
cadi
chot although title in fiuch copyright: , rights end Interosts aaall vest
in accordance with .the provisions of 'his Will, chey BhsU ba iyjldj
managed and; exploited by my Exceptors and Trustees. If my Executors or
8)
'
pprcpriatc and to
(f)
ee fit,
trustee or trustees
(b)
of the funds
in the name of
nominee; to sp-
H:s
point such bank or trust ccrpany the agent and attorney of tho
Executors r of the Trustees, as che case may i e, to collect, re-
ganerally, to
perform al.'l and every the duties and services ijneident to a so-
-7-
ir.ccaa.
;-?hilu said
funds end securities zzs in t'.w care ; r.d custody of 2ny cuch
che saoa, nor ithall thoy in finy event ba responsible for tho loss
or misapplication of any securities or funds so left by them in
the custody of such" bank or trust ccomp my
(h)
deal
crustt
Ko party to sny
into
tha validicy,expedieney
behnlf of ay goneral estate or .of any trust est. ce, nor shili any
che Enecutors or
before completing .
tie
order camad, as
It is my in-
ny estate,
shall cease
aen acting as
ly to be his co-
If one in
a bank or trust
-9-
company is
o be required.
5"1
ciiy
of uL,
my none
, 1968.
t
oca Swast Steinbeck
"
? , 0%
resioin
L .LhJ.:^
_residini cc
-i --* t
I'-i-Jt
T^>= f-U^c.
jrcsidin; at
-10-
hi^
ft j 7 /
EXHIBIT 5
STEINBECK v. McINT(|)SH
395
ent
bid
that
bed
bad
murk
the
As a conse
dis missed.
Conclusion
Because
! t is so ordered.
[8, 9]
tiffs;and
396
nelw copyright grant not subject to recaptu*e; agreement expressly reserved widcopyright interests. 17 U.S.C.A.
o vr's
Smyle, Defendants.
304(c)(5), (d).
ginal
Oil!
copyrights
began;
recapture
04-CV-6795 (RO).
June 8, 2006.
held that:
rights, and
Ordered accordingly.
and
Counterclaim
Plaintiffs
McNamara,
Davis
Wright
397
th
17
cu lture.
S.Ct. 1750 ("The 1976 Copyright Act ... prodes an inalienable termination right."); Lar-
398
372 (S.D.N.Y.1999).
ture thereupon possesses and may regrant those rights. 17 U.S.C. 304(c)(1),
(c)(6). Termination rights vest on the date
a notice of termination is
served.
17
5.
or
the
au
di
See House Re
6.
17 U.S.C. 304(c)(2).
also
3-11
Nimmer
on
Copyright
399
17 U.S.C. 304(c)(5).10
nation rights.
right
it
creates.
17
\%.
U.S.C.
lji.
304(c), (c)(5)
Fed.R.Civ.P. 56(c).
To
The Moon is
Brink v.
400
Specifi-
bfCk'is
The Long Valley given to ParaDunt Pictures, Inc. in 1946, 1947 and
19,49; (4) a 1956 grant of theatrical rights
to Steinbeck's Cannery Row given to Rog-
eis
If 49
inbeck's The Wayward Bus made to Twentieth Century Fox Film Corporation,
Termination Notice
scr.
and
tl
rrent
1)5.
STEINBECK v
401
Four additional
Penguin.18
1978,
m tion
under
Section
304.
17
U.S.C.
304(c), (d).
IS 38
The
contention
that
the
1994
See discussion
402
1938 Agreement.22
Furthermore, to the
17 U.S.C. 304(c)(5).23
observed
earlier,
in
Stewart
v.
right. Id. at 219, 110 S.Ct. 1750. Accordly, the Court stated that "[i]f the author
dijs before [the renewal right vests], the
ntxt of kin obtain the renewal copyright
fr le of any claim founded upon an assignm;nt made by the author in his lifetime.
Section 304 termination rights (at least with
revenue
schemeshe
had
no
rights
to
Penguin
nor
STEINBECK v
403
H immerstein nor MGM possessed any interest in the renewal copyright for Thom
for
F.Supp.2d
at
371-72.
Consequently,
lullity.
ajp-eements in 1946, 1947, and 1949. Sin ultaneously, Thom and Blake issued a
separate but virtually identical termination
)tice for The Red Pony and all stories
contained therein, granted to Paramount
irsuant to the same contracts.27
The
o l the grounds that, under a 1983 Settlen ent Agreement between Elaine, Thom
25.
June 13,2004.
See
404
la v
Defendants
is granted.
So Ordered.
Disturb
termination rights."
29.
and Jane Doe; Assistant District Atin a foreclosure action, had those rights trans
ferred ... So it is not at all clear to us, first of
all, whether there is anything to terminate,
because after a bankruptcy during the course
of John Steinbeck's lifetime it's not at all clear
EXHIBIT 6
193
Plaintiff-Appellant,
Executor
of the
Estate
of Elaine
CONCLUSION
Smyle, Plaintiffs-CounterclaimDefendants-Appellees,
Nancy Steinbeck, Intervenor-Plaintiff,
We also VA
Heritage Foundation, Eugene H. Winick, Samuel Pinkus and Steven Frushtick, Defendants-Counterclaim-Plain
tiffs,
bono
to this panel.
194
seded,
the new contract provides all of the
se
PI rties'
obligations
and
remedies
for
bieach.
=107
transfer or license.
4. Copyrights and Intellectual Property
=48
gJ-ant of licenses for publication of copy*hted works any time after notice of
termination had been served, and thus no
Copyright
Act.
17
U.S.C.A.
304(c)(6)(D).
=47
not
been
304(c)(6)(D).
served.
17
U.S.C.A.
195
17 U.S.C.A. 304(c),
3o(l(d).
10 Copyrights and Intellectual Property
=33
UJS.CA. 304(d).
LLP (Benjamin G. Shatz and Alon G. Markcwitz, of counsel), Los Angeles, CA, for
Dpfendants-Appellees.
196
We
consider on appeal whether an agreement
executors,
administrators or as
signs."
remains in effect.
BACKGROUND
year
His sons
197
"Steinbeck
Descendants")
served
what
Statutory Background
young authors frequently enter into longterm contracts with publishers when their
bargaining power is weak and their pros
This practice
received the legal imprimatur of the Sup:'erne Court in Fred Fisher Music Co. v.
M. Witmark & Sons, 318 U.S. 643, 63
Ct. 773, 87 L.Ed. 1055 (1943), which held
tliat renewal rights could be assigned by
a:l author during a work's initial copyright
tc rm and before the vesting of the renewal
tliis framework.
198
entire
interest
unless
The section
five years beginning at the end of fiftysix years from the date copyright was
originally secured, or beginning on Jan
uary 1, 1978, whichever is later.
cense.
17 U.S.C. 304(c).
ing conditions:
11 U.S.C. 304(c).
2.
termination
17 U.S.C.
interests."
right protection.
199
of
for
mations.
1938 Agreement.
The
See 17 U.S.C.
4:
tl
and
that-were
304(d)(1).
the
200
ject matter."
I.
Standard of Review
Oil
II.
ties
Se?
DISCUSSION
394
17 U.S.C.
304(d).
Our first inquiry, then, is
whether the 1994 Agreement terminated
a;
Contrary to the district court's observathat "[a]t no point did Penguin lose or
gan any rights other than those originally
tion
201
to
terminate
the
1938
re ids:
qi ire a period of time during which holdeis of a termination right "know they will
be free of extant agreements and can neg< tiate for the terminated rights." Appelle is' Br. at 80; see also Nimmer on Copyrijht 11.07. But the next sentence in the
stjatute
provides an exception for the origista1
ml grantee, who may execute a new grant
aiy time after the notice of termination
required.
202
Such a succeeding
III.
interest,
whether
or
not they
renewal term."
17 U.S.C. 304(c)(6)(F).
[9]
p-ovided
termination
rightsection
As of
203
3011(c)(5).
re characterization here.
[10] Appellees'
reliance
on
Marvel
appeal.
204
[11]
CONCLUSION
Appellee,
statutory construction
[is] that
identical
EXHIBIT 7
Westlaw.
Page 1
v.
com
Page 2
United Res. Recovery Corp. v. Ramko Venture Mgment., 584 F.Supp.2d 645, 651 (2d Cir.2008). "[A]
court may consider the pleadings and attached ex
hibits, statements, or documents incorporated by
reference, and matters subject to judicial notice."
Life Product Clearing LLC. v. Linda Angel, 530
F.Supp.2d 646, 652 (S.D.N.Y.2008). "Bald conten
tions, unsupported characterizations, and legal con
clusions are not well-pled allegations and will not
defeat a motion." Id. (citations omitted).
Thomas Steinbeck argues that Elaine Steinbeck
obtained the ability to terminate M & O, at her sole
discretion, pursuant to a personal services contract
that ended when the power of attorney was extin
Page 3
provide that:
[Thomas Steinbeck and John Steinbeck
IV] [irrevocably appoint Elaine Stein
beck Steinbeck [as their] attorney-in-fact
... to exercise their rights of renewal and
rights to terminate grants to third parties
and make new contracts and grants and
assignments of copyrights and to negoti
ate and sign contracts and agreements
and otherwise take and authorize action
Page 4
S.D.N.Y.,2009.
Steinbeck
held
no
interest
in
EXHIBIT 8
Westlavu
Page 1
(Cite as: 400 Fed.Appx. 572, 2010 WL 3995982 (C.A.2 (N.I )))
appealed.
Affirmed.
ants-Counter-Claimants-Appellees,
Does 1-10, Defendants-Appellees,
David Scott Farber, Bahar Kaffaga, Jean Anderson
Boone, and Jebel Kaffaga, Defendants-Counter-Claimants-lntervenors-Defendants-
Appellees,
Francis Anderson Atkinson, Scott Kaffaga, indi
vidually and as executor of the Estate of Elaine An
derson Steinbeck, Mcintosh & Otis, Inc., Samuel
ants-Intervenors-Defendants-Appellees.
No. 09-1836-cv.
Oct. 13,2010.
West Headnotes
Page 2
Page 3
SUMMARY ORDER
ow, and Mcintosh & Otis, Inc. ("M & O"), a liter
ary agency administering the relevant Steinbeck
copyrights, on claims of (1) breach of fiduciary
duty, (2) promissory estoppel, and (3) unjust en
richment (with an accompanying request for impos
ition of a constructive trust). See Steinbeck v. Mcin
tosh & Otis, Inc., No. 04 Civ. 5497, 2009 WL
Page 4
400 Fed.Appx. 572, 2010 WL 3995982 (C.A.2 (N.Y.))
(Not Selected for publication in the Federal Reporter)
(Cite as: 400 Fed.Appx. 572,2010 WL 3995982 (C.A.2 (N.Y )))
imposed only specific circumscribed reporting obgations on Elaine Steinbeck, not the full reporting
obligations associated with a fiduciary appoint
ment. See generally Restatement (Third) of Agency
ch. 8.
tate,
Page 5
To
the
extent
Thomas
Steinbeck
Moran v. Hurst,
Page 6
2. Promissory Estoppel
Under New York law, a claim for promissory
estoppel requires "a clear and unambiguous prom
Page 7
Steinbeck.
FN3. We do not consider whether M&O
Page 8
EXHIBIT 9
9C28PENC
1
2
2
v. -
Defendants.
10
10
11
v.
06 Cv. 2438
(GBD)
11
12
12
13
13
Defendants.
14
14
15
December 2, 200?
15
10:25 a.m.
16
16
Before:
17
17
18
District Judge
18
19
20
21
22
23
24
25
APPEARANCES
HOLLAND & KNIGHT LLP
THOMAS KJELLBERG
9
9
10
10
11
11
12
12
etal.
13
13
14
15
15
16
16
17
18
19
20
21
22
23
24
25
P.C.
9C28PENC
(Case called)
please state
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
case,
P.C.
9C28PENC
1
and in order to move forward with the appelal, there are some
here.
5
6
7
8
9
that
resolve
10
11
12
13
14
15
16
17
18
19
20
22
23
24
25
that since her claim is tied to Tom's claim, :hat the Court
21
She is
P.C.
9C28PENC
1
3
4
6
7
that stipulation.
THE COURT: Is there any reason foi us having any
further conversation with you on this issue'
8
9
to enter into
10
11
12
13
14
15
does.
16
18
19
17
20
21
22
23
24
25
some other
(212) 805-0300
6
9C28PENC
1
3
4
uch a
8
9
10
11
12
it?
in two
13
I would leave it
on behalf of
14
15
16
17
18
Ha uslerand see if
19
20
now.
21
22
23
24
25
(212)805-0300
7
9C28PENC
1
it.
6
7
do?
MS
question.
10
11
12
13
asked me.
14
15
16
Honor's March 31
17
has occurred is that Tom Steinbeck and his wife Gail and Blake
18
19
23
could just direct your Honor THE COURT: They don't have a choice
MS. KOHLMANN: That's my view,
r Honor. And they
have not moved for a stay. In fact, the lette that Mr. Sheely
has submitted to your Honor, if I could, with your indulgence,
24
20
21
22
decision. If I
critical.
25
It seems to me
all they want. They can complain for decades I can't stop
9
10
11
12
13
14
15
16
19
20
court.
17
18
21
fhis issue is
22
23
tell them that they can't complain, they can1, tell people that
everybody should get a better deal. If that's their position,
and they are persuasive about that, maybe everybody will make
SOUTHERN DISTRICT REPORTERS P.C.
24
25
ifetime to
(212)805-0300
9
9C28PENC
1
situation, and you made it clear to them that this has been in
litigation for years, and to the extent that the/ are claiming
that they have some greater rights than what has been
determined by this court, it should be clear tp everybody and
clear to their lawyers who you negotiated wi h that there is
absolutely no basis for them to do that, and hey can either
3
4
5
6
about such a
10
them, I am
11
12
13
14
15
appropriate.
16
17
18
19
20
21
22
and we
x>wer to
me to scold them?
23
24
25
P.C.
(212)805-0300
10
9C28PENC
1
independently, based on the letter that his cl jnts have written to Penguin, shopping rights that they lave no rights
to. They have been publicly involved in the Google book
settlement, misrepresenting that they repres nt the Steinbeck
4
5
6
7
8
6 of the
apparently,
terms of
13
14
will.
9
10
11
12
15
16
17
18
19
20
21
22
23
24
25
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
9C28PENC
understand that.
16
conclusion is
17
18
add.
19
20
22
23
21
24
25
discovery. I
SOUTHERN DISTRICT REPOR" ERS, P.C.
(212)805-0300
12
9C28PENC
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
mbtion. So assuming
21
22
23
24
25
that time,
THE COURT: Does it make sense 'or me to set another
(212)805-0300
13
1
2
3
4
5
6
7
8
9
10
11
12
13
14
9C28PENC
conference date a few months out?
appropriate? February?
MR. SHEELY: Why don't we get a February date? With
the holidays here, it will give us a chance o get some of this
discovery under our belts in January, and if we had a February
conference, I think that would be a good dontrol date.
THE COURT: Why don't I do late February?
February 24 at 10:00. That's a Wednesday.
MR. SHEELY: Thank you, your Hopor.
THE COURT: I will set that down.
15
16
tha
17
ECF filing. Ifyou want the original back, can give you the
18
original back.
19
MR. SHEELY: Sure. Iwill put it in the file.
20
THE COURT: Iwill give you those copies.
21
As Isay, Iwill, hopefully, before the $nd of the
22 day, or early this afternoon, I will put out the decision
so
23
24
25
(212)805-0300
14
9C28PENC
1
2
3
4
set it flown for February. Ifthere are any is sues that arise
before then, just let me know and I will bring you in before
then if necessary, and I will get this decisi out, hopefully,
today.
Is there anything else then we need to address?
(Adjourned)
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
EXHIBIT 10
10/01/2014
X
2
WED
11; 27
PAX 212
68?4
Mcintosh 5. Otis
inc.
Telephone: 005-665-0275
In Propria Persona
RECEIVED
OCT 1111013
CW No. i (Number)
12003/011
10
11
if.
13
Faticlonar.
14
vs.
ja
16
17
18
19
Geoffrey Stanford
20
21
22
23
24
ES
26
27
2U
FAX 212
6894
Mcintosh &
Ot is
Inc.
3004/011
4
b
6
1
California.
IV
9
10
11
12
13
14
15
16
17
18
19
2D
21
22
23
24
25
26
27
26
one
ows
as a
trader that Respondents, had negotiated filn deals baaed upon "East o Eden"
and M'he Grape* of Wr-c/i", two of the most
fax 212
6894
Mcintosh &
Ot is
Inc.
0005/011
6
7
8
9
10
11.
12
13
1.4
lb
15
17
18
IS
20
21
22
23
24
2b
20
27
29
or to
.jig determination;
fax 212 A
Dated
Inc.
3006/OU
2
3
ft:
5
6
1
10
11
12
13
14
15
16
17
IB
19
20
21
T2.
23
24
2f)
2(3
21
20
FAX 212
6894
inc.
hln
(a) Astatement as to the nature ofthe contra /, Including submission ofsuch pertinent
information as Is within the knowledge of the petitioner,
(b) The claim or demand of the petitioner.
12032.1 Form
re
Controversy.
Uo,
vs.
Geoffrey Stanford
'
This petition Is filed pursuant to the authority of Section 1700.44 ofLabor Code of the State of
California.
0007/011
ORIGINAL
DEFENDANTS
(c) Attorneys {Firm Name, Address and Telephone Number) If you are
repre
Plaintiff
I j 2.U.S. Government
[x] 2
Citizen or Subje ct of a
ofPartiesinltemlll)
Defendant
Foreign Countr'
3 Foreign Nation
fj 6 Q 6
2. Removed from
State Court
3. Remanded from
Appellate Court
4. Reinstated pr
Reopened
No
District (Specify)
6. Multi-
r~|
District
'' Litigation
anYfiYsmnvfir^Mftfl
VI. CAUSE OFACTION(Cite theU.S. Civil Statute under which you arefiling andwrite a brief statement ofcause. Do notcite jurisdictional statutes unless diversity.)
U.S. Civil Statute: 28 U.S.C 2201 & 2202
"^ CCjjCTjjACTT
OTHER STAWEST
I' Reapportionment
fj 41Ci Antitiust
Q 430 Banks and Banking
450 Commerce/ICC
Rates/Etc.
490 Cable/Sat TV
893 Environmental
Matters
140 Negotiable
151 MedicareAct
Defaulted Student
[3 Overpayment of
State Statutes
195 Contract
Product Liability
196Franchise
210 Land
Condemnation
CV-71 (06/14)
II Ejectment
rI 510MotionstoVacate
I' Sentence
'ROPERTYi
370Oth<r Fraud
Property Damage
a
_
Product Liability
360 Other Personal
Personal Injury
Product Liability
1% |ydi<yliability
UV 14 -
USC 881
690Other
|i 720Labor/Mgmt
LJ Relations
AccomrrKidations
448 Education
740Railway LaborAct
751 Family and Medical
Leave Act
Employm;?nt
368 Asbestos
861 HIA(1395ff)
U Seizure ofProperty 21
LI Personal Injury
Case Number:
840 Trademark
Defendant)
ssl
Injury
820 Copyrights
830 Patent
Confinement
422 Appi al 28
540 Mandamus/Other
550Civil Rights
USC 158
Liability
530General
535DeathPenalty
ZESSS
mmm.>mr^
463Allen Detainee
or" Action*
Product Liability
340 Marine
315 Airplane
310 Airplane
Property
(jji 190Other
[J Act/Review of Appeal of
Agency Decision
Habeas Corpus:
Applicat on
' Contract
4650thsr
Slander
160 Stockholders'
Suits
Liability
Vet. Benefits
Instrument
153 Recovery of
130Miller Act
152 Recovery of
Judgment
850 Securities/Com
modities/Exchange
120Marine
Enforcement of
150 Recovery of
r~\ Overpayment*
2 160 Deportation
Litigation
791 Employee Ret Inc.
SecurityAct
OS* T9
Pagel of 3
VIII. VENUE: Your answers to the questions below will determine the division of the Cout
^ towhich this case will beinitially assigned. This initial assignment is subject
tochange, in accordance with the Court's General Orders, upon review by the Court ofyour C >mplilaint or Notice of Removal.
,'6
is*
Yes [x] No
Orange
Riverside or SanBernardino
QUESTION B: Is the United States, or B.I. Do50%or more of the defendants who reside
Yes fx] No
..^
QUESTION C: Is the United States, or CI. Do 50% or more of the plaintiffs who reside in
district reside in Orange Co.?
one of its agencies or employees, a
DEFENDANT in this action?
the
Yes [x] No
"""^
mm9h
B.
Riverside or San
Bernardino County
Orange County
Indicate the location(s) in which 50% or more of plaintiffs who residein thisdistrict
reside. (Check up to two boxes, or leave blank if none of these choices apply.)
Indicate the location(s) in which 50% or more of defendants who reside in this
district reside. (Check up to two boxes, or leave blank if none of these choices
apply.)
f*
Yes
fx] No
Yes
|xl No
SOUTHERN DIVISION.
EASTERN DIVISION.
WESTERN
Yes
No
Page2of3
IX(a). IDENTICAL CASES: Has this action been previously filed inthiscourt?
NO
YES
NO
YES
IX(b). RELATED CASES: Is this case related (as defined below) toany cases prev ously filed in this court?
Ifyes, list case numbers):
>r event;
B. Call fordetermination of the sameor substantially related or sirrlilar questions of law and fact; or
Q C For other reasons would entailsubstantial duplication of labor if heard by different judges.
Check all boxes thatapply. That cases may involve thesame patent, trademark, orcopyright is not, in itself, sufficient to deem cases
related.
X. SIGNATURE OF ATTORNEY
Ga*4a*+j\- Jfu
rTJT>~aJZ> /^ffi"
DATE: 11/10/2014
Notice to Counsel/Parties: The submission of this Civil CoverSheet is requiredby (.ocal Rule 3-1. This Form CV-71 andthe information contained herein
neither replaces nor supplements the filing and serviceof pleadings or other paper; as required by law, except as provided by local rules of court. For
more detailed instructions, see separate instruction sheet (CV-071 A).
Abbreviation
HIA
Allclaims for health insurance benefits (Medidare) under Title 18, Part A,of the Social Security Act, as amended. Also,
include claims by hospitals, skilled nursing faqilities,
ilities,etc., for certification as providers of services under the program.
(42U.S.C. 1935FF(b))
862
BL
All claimsfor "Black Lung" benefits under Title 4, Part B, of the FederalCoal MineHealth and Safety Actof 1969.(30 U.S.C.
923)
863
DIWC
863
DIWW
864
SSID
865
RSI
All claims filed by insured workers for disabilit t insurance benefits under Title 2 of the Social Security Act, as amended; plus
all claims filed for child's insurance benefits b; sed on disability. (42 U.S.C.405 (g))
All claims filed forwidows orwidowers insurance benefits based on disability underTitle 2 ofthe Social Security Act as
amended. (42 U.S.C. 405 (g))
All claims for supplemental security income payments based upon disability filed under Title 16oftheSocial Security Actas
amended.
All claims forretirement (oldage)andsurvivoils benefits underTitle 2of the Social Security Act, as amended.
(42 U.S.C. 405(g))
CV-71 (06/14)
Page 3 of3