Lead Opinion
Chief Judge WINTER dissents, in a separate opinion.
Defendants Besicorp Group Inc. et al. (collectively “Besicorp”) have filed a notice of appeal from two orders of the United States District Court for the Southern District of New York, William C. Conner, Judge, (1) granting the motion of plaintiffs James Lichtenberg et al. for a preliminary injunction, and (2) denying, reconsideration of the injunctive order. Plaintiffs have moved to dismiss the appeal on the ground that the notice of appeal was not timely filed. Besicorp contends that the appeal is timely or, alternatively, that it is saved by the doctrine of “unique circumstances.” For the reasons that follow, we grant the motion to dismiss insofar as the appeal seeks review of the injunctive order, but not insofar as it seeks review of the order denying reconsideration.
I. BACKGROUND
The present suit was brought as a class action under the federal securities laws to challenge the sufficiency of the disclosures made by certain of the defendants in the solicitation of proxies in connection with a proposed merger. Plaintiffs moved for a preliminary injunction either enjoining the shareholder vote on the proposed merger until curative disclosures could be made or requiring the transfer of certain contingent assets and/or liabilities of Besicorp to a spin-off company created by the merger. Following briefing and argument of the motion, the district court informed the parties that, in light of the imminence of the proposed merger, the court would immediately enter an order granting the motion to the extent óf ordering the requested transfer of assets/liabilities and that it would issue as soon thereafter as possible an opinion explaining the ground for the injunction. Accordingly, on March 18, 1999, the district court entered an order (“Order” or “March 18 Order”) requiring the assets/liabilities transfer and stating that the injunction was issued “subject to a written Opinion to be filed by the Court.” March 18 Order at 1. The Order further stated that any “motion for reconsideration or reargument of this Order and the forthcoming Opinion” should be filed within 10 days of entry of the written opinion. Id. at 2. The written opinion was entered on March 29, 1999 (“March 29 Order”), and set forth the district court’s reasons for granting the injunction. Given the requirement of Fed.R.Civ.P. 65(d) that “[e]very order granting an injunction ... shall set forth the reasons for its issuance,” see generally Fireman’s Fund Insurance Co. v. Leslie & Elliott Co.,
Under the terms of the March 18 Order, any motion for reconsideration of the March 29 Order would have been due on Monday, April 12, 1999. Sometime between March 29 and April 12, Besicorp sought and received the consent of the plaintiffs and permission from the district court to file a motion for reconsideration one week beyond the deadline set by the Order, i.e., by April 19. Besicorp filed its motion for reconsideration pursuant to Rule 6.3 of the Local Rules for the Southern District on April 19.
The district court denied the motion for reconsideration in an Opinion and Order dated' June 23, 1999, entered on June 24
A movant is entitled to reargument and reconsideration of a motion upon demonstrating that the Court overlooked controlling decisions or factual matters that were placed before it on the underlying motion. Local Civil Rule 6.3.... Local Civil Rule 6.3 is “strictly applied so as to avoid repetitive arguments on issues that have been fully considered by the court.”.... Therefore, a motion for reconsideration and reargument “may not advance new facts, issues or arguments not previously presented to the court.”
June Order at 1-2. Finding that defendants had failed to show any controlling authority or facts that had been overlooked by the court in deciding the injunction motion, the court denied reconsideration. The court also noted that
if defendants intended to make a motion under Fed.R.Civ.P. 59(e) in order to introduce new evidence, then the motion is untimely and cannot be considered by this Court. See Gribble v. Harris,625 F.2d 1173 , 1174 (5th Cir.1980) (Rule 59(e) ten-day time limit for filing motion is “jurisdictional and cannot be extended in the discretion of the Court”); see also Browder v. Director, Dep’t of Corrections of Ill.,434 U.S. 257 , 262 n. 5,98 S.Ct. 556 ,54 L.Ed.2d 521 (1978); Lapiczak v. Zaist,451 F.2d 79 , 80 (2d Cir.1971); Fed.R.Civ.P. 6(b).
June Order at 2 n.2.
On July 21, 1999 — -within 30 days of the June Order, but more than 30 days after the March 29 Order — Besicorp filed a notice of appeal from the March and June Orders. Plaintiffs have moved to dismiss on the ground that Besicorp’s motion for reconsideration was untimely under Fed. R.Civ.P. 59(e) and thus did not extend the 30-day period for appeal from the March 29 Order granting the preliminary injunction. Besicorp contends that it moved for reconsideration in timely fashion, having been granted an extension by the court, and that in any event its appeal should be deemed timely under the doctrine of unique circumstances. For the reasons that follow, we conclude the appeal is untimely and should be dismissed insofar as it seeks review of the March 29 Order.
II. DISCUSSION
In a private civil case, the Federal Rules of Appellate Procedure (“FRAP” Rules) ordinarily allow an aggrieved party to appeal within 30 days from the date of entry of the judgment. See Fed. R.App. P. 4(a)(1). However, the Federal Rules of Civil Procedure (“Civil” Rules) allow a party to move “to alter or amend a judgment,” Fed.R.Civ.P. 59(e), and FRAP Rule 4(a)(4)(A) provides that if a party has “timely” filed a motion for alteration or amendment of the judgment under Civil Rule 59(e), or a motion for relief under certain other Civil Rules such as Rule 50(b) for judgment as a matter of law, Rule 52(b) for amended findings of fact, or Rule 59(b) for a new trial, “the time to file an appeal runs ... from the entry of the order disposing of the last such remaining motion.” Fed. R.App. P. 4(a)(4)(A).
A “judgment,” for purposes of the Civil Rules, is defined to “include! ] a decree and any order from which an appeal lies.” Fed.R.Civ.P. 54(a). Since the Judicial Code permits an appeal from an interlocutory order granting, refusing, or refusing to dissolve an injunction, see 28 U.S.C. § 1292(a)(1), an “interlocutory order granting a preliminary injunction is a judgment within the meaning of the rule 4(a)(4) provision relating to a motion under Rule 59 to alter or amend the judgment,” Northwestern National Insurance Co. v. Alberts,
To be timely under Civil Rule 59(e), a motion must be filed within 10 days after entry of the judgment, computed in accordance with Fed.R.Civ.P. 6(a), with intermediate Saturdays, Sundays, and legal holidays excluded. This time limitation is uncompromisable, for Civil Rule 6(b) provides, in pertinent part, that the district court “may not extend the time for taking any action under Rules 50(b) and (c)(2), 52(b), 59(b), (d) and (e).” Fed.R.Civ.P. 6(b); see, e.g., Rodick v. City of Schenectady,
A postjudgment motion requesting alteration or amendment of the judgment but denominated a motion under a Rule other than Civil Rule 59(e) is generally treated as having been made under Rule 59(e), thereby extending the time to appeal, if the motion was filed within the 10-day period allowed for a Rule 59(e) motion. See, e.g., Jones v. UNUM Life Insurance Co.,
In the present case, Besicorp moved under Local Rule 6.3 for reconsideration of the injunction decision some 15 weekdays after entry of the March 29 Order, i.e., beyond the 10-day period allowed by Civil Rule 59(e) calculated in accordance with Civil Rule 6(a). Since Besi-corp’s motion was not timely filed under Rule 59(e), it did not have the effect of-extending Besicorp’s time to appeal. Besi-corp’s reliance on Ametex Fabrics, Inc. v. Just In Materials, Inc.,
Besicorp contends alternatively, relying principally on Vine v. Beneficial Finance Co.,
The Supreme Court in its more recent decision in Ostemeck, however, refused to apply Thompson to a party that had mistakenly viewed its initial nqtice of appeal as effective despite the pendency of a motion that made that notice a nullity. The Court stated that the unique circumstances doctrine “applies only where a party has performed an act which, if properly done, would postpone the deadline for filing his appeal and has received specific assurance by a judicial officer that this act has been properly done.” Osterneck,
In light of Ostemeck, we have held that the unique circumstances principle has no application where the parties stipulated to extensions of time that were prohibited by the Rules, and which the district court approved despite lacking the power to approve. See Endicott Johnson Corp. v. Liberty Mutual Insurance Co.,
[t]he [district] court had no authority to grant the second, third, and fourth motions for adjournments to dates in January and February 1997.... Endicott’s joining in that second motion, which was made prior to the expiration of Liberty’s properly extended time to appeal, may have served to lull Liberty into not filing a timely notice of appeal; but that fact does not create subject matter jurisdiction in this Court. In the absence of exceptional circumstances, each party is responsible for knowing the pertinent procedural rules and principles and for taking such steps as are needed to protect its own interests.
Endicott,
[sjince the first order entered by the district court had already granted as long an extension as was authorized by the Rules, the parties’ requests for additional extensions, whether or not timely filed, were acts that could not properly achieve postponement of the deadline for appeal. The fact that the court simply signed orders presented to it, purporting to grant the parties’ joint requests for relief, does not constitute “unique circumstances.” We see no unfairness in precluding the parties from obtaining relief that the court had no power to grant by means of motions the parties were not authorized to make.
Endicott,
The present case too is unsuitable for application of the unique circumstances doctrine, for we see no basis for inferring that the district judge even impliedly led Besicorp to believe that it had properly done an act that would extend its time to appeal, much less that he gave Besicorp any “specific assurance,” Osterneck,
The only assurance given by the district court was that Besicorp would be allowed an extra week in which to file its reconsideration motion under Local Rule 6.3. That extension was not forbidden by Civil Rule 6(b), and Besicorp’s request for an extension of its time to move under Local Rule 6.3 was thus proper. But a motion under Local Rule 6.3 is not one of those that,
In sum, since Civil Rule 6(b) denies the court power to extend the time for a Civil Rule 59(e) motion, a request for permission to file a Local Rule 6.3 motion beyond the period allowed for filing a Civil Rule 59(e) motion cannot properly be treated as a request for permission to file a late Rule 59(e) motion. The district court gave Be-sicorp no assurance to the contrary, and we conclude that the unique circumstances doctrine does not apply to this case. We therefore grant plaintiffs’ motion to dismiss Besicorp’s appeal insofar as it seeks to challenge the March Orders.
To the extent that Besicorp challenges the June Order denying reconsideration of the injunction, its appeal is timely; and to that extent, plaintiffs’ motion to dismiss the appeal is denied. Appeal from such an order, however, calls up for review only the denial of the reconsideration motion, not the merits of the underlying judgment whose alteration was sought. See, e.g., Browder v. Director, Department of Corrections,
CONCLUSION
We have considered all of Besicorp’s arguments in support of appellate jurisdiction over the district court’s March 29 Order and have found them to be without merit. The appeal is dismissed except to the extent that it challenges the June Order.
Dissenting Opinion
dissenting:
I would deny the motion to dismiss the appeal from the March 29 Order and hold that Besicorp’s notice of appeal from that Order is timely under the unique circumstances doctrine.
My colleagues decline to apply the unique circumstances doctrine, reasoning that the circumstances here are unlike those in Thompson v. INS,
Local Rule 6.3 simply adds flesh to the skeletal procedure set out in Civil Rule 59(e); it does not establish a reconsideration procedure distinct from that already provided by Civil Rule 59(e). See generally Maryland Tuna Corp. v. The MS Benares,
Here, as in Thompson, if Besicorp’s motion for reconsideration had been timely filed, the thirty-day period for filing a notice of appeal would have begun only after the court disposed of the motion. See Fed. R.App. P. 4(a)(4)(A)(iv). And, when Li-chtenberg consented to, and the district court granted, Besieorp’s request for a one-week extension of time, the district court provided express assurance to Besi-corp that a late-filed reconsideration motion would be properly made, and that, therefore, the running of the time for an appeal would be tolled. This extension to file a Local Rule 6.3 motion — in effect an extension to file a Civil Rule 59(e) motion — is, in all material respects, identical to the district court’s express assurance to Thompson that his late-filed Civil Rule 59(e) motion was submitted “‘in ample time.’ ” Thompson,
That is precisely what happened here. In reliance on the consented-to and judicially sanctioned extension, Besicorp filed
I thus find this case indistinguishable from Thompson and would apply the unique circumstances rule set out in that case and restated in Ostemeck, because by filing its Local Rule 6.3 motion within the one-week extension granted by the district court, Besicorp “performed an act which, if properly done, would [have] postpone[d] the deadline for filing [its] appeal and ... received specific assurance by a judicial officer that this act ha[d] been properly done.” Osterneck,
Given my position, I obviously agree with the majority that Besicorp’s appeal from the June Order was timely. I also agree that, if Besicorp’s untimely reconsideration motion is deemed a Civil Rule 60 motion — as it is on the majority’s rationale — the June Order, which disposed of that motion, is appealable. See Browder v. Director, Dep’t of Corrections,
I therefore respectfully dissent.
Notes
. I use the majority opinion's defined terms (e.g., “March 29 Order,” "Local Rule 6.3,” and "Civil Rule 59(e)”).
. I note that my position would not vitiate the Civil Rule 6(b) prohibition against enlarging the ten-day period within which Civil Rule 59(e) motions must be filed. Lichtenberg could easily have avoided the consequences of the unique circumstances doctrine by not consenting to the one-week extension and bringing Civil Rule 6(b) to the attention of the district court in opposition to Besicorp’s application.
