OPINION & ORDER
In this trademark lawsuit, two fashion companies go toe-to-toe over the right to affix a metal plate to the toe of “luxury” men’s sneakers. Plaintiff LVL XIII Brands, Inc. (“LVL XIII,” pronounced “Level 13”) is a New York start-up company that manufactures, markets, and sells men’s luxury athletic footwear. LVL XIII brings this action against defendants Louis Vuitton Malletier S.A. and Louis Vuitton North America, Inc. (collectively, “LV”). It claims that LV, through its marketing and sale of the On the Road Sneaker (“OTR Sneaker”), infringed LVL XIII’s trademark rights in a metal toe plate (the “TP”) which was featured on all shoes in LVL XIII’s first sneaker collection.
LVL XIII brings claims for (1) trademark infringement, unfair competition, and false designation of origin, under § 43(a) of the Lanham Act, 15 U.S.C. § 1125(a); (2) New York common law unfair competition; and (3) deceptive business practices, under New York General Business Law (“GBL”) § 349. It seeks actual and punitive damages, costs and fees, and an injunction barring LV from selling footwear bearing the allegedly infringing toe plate.
In response, LV brings counterclaims for (1) a declaratory judgment, under 28 U.S.C. § 2201, that LVL XIII has no exclusive right in the shape of a rectangular
The parties have filed cross-motions for summary judgment on each of LVL XIII’s claims. In connection with its summary judgment motion, LV has also moved to preclude the report and testimony of LVL XIII’s expert witness. Separately, LVL XIII has moved for summary judgment on each of LV’s counterclaims.
For the reasons that follow, the Court grants (1) LV’s motion to preclude LVL XIII’s expert; (2) LV’s motion for summary judgment on each of LVL XIII’s claims; and (3) LVL XIII’s motion for summary judgment on each of LV’s counterclaims. The Court denies LVL XIII’s motion for summary judgment on its own claims.
The end result is that all claims in this lawsuit are dismissed.
I. Background
A. Factual Background
1. LVL XIII and its First Sneaker Collection
a. The Launch of LVL XIII’s First Sneaker Collection
LVL XIII is a New York start-up company founded by Antonio Brown. JSF ¶¶ 1-2. Brown long had the goal of starting
In December 2012, LVL XIII was incorporated in New York. Def. Supp. 56.1 ¶ 286. By March 2013, it began preparing a formal business plan with the help of a third-party vendor. Id. ¶ 287. The business plan was completed and distributed to investors sometime after November 2013. Id. ¶ 288. It states that “LVL XIII believes its typical consumer will be an affluent male between the ages of 17 and 35 years of age who appreciates luxury goods and typically shops for designer labels.” JSF ¶ 13.
In January 2013, LVL XIII hired La-' mont Johnson to serve as its publicist. Sloane Decl., Ex. 3 (“Brown Dep. III”), at 172. Brown testified that because LVL XIII was operating on a “shoestring budget,” he and Johnson knew it would be hard to obtain formal ad placements in major publications. MacMull Decl., Ex. 2 (“Brown Dep. II”), at 173-74. Accordingly, he testified, the two men “creatively came together... [and devised] creative ways to submit the brand for press and publicity[,] like ceding shoes to celebrities and ... editors ... [to] garner[ ] interest.” Id. at 174.
In addition to reaching out to celebrities, LVL XIII leveraged its social media presence to garner free publicity. See id. ¶¶ 298-99. In April 2013, Brown began posting images of LVL XIII sneakers on his personal Instagram account, which, by then, had 50,000 followers. Id. ¶ 300; see Sloane Deck, Ex. 39 (“Media Placements”), at 1.
Between July 21 and 23, 2013, LVL XIII debuted its first sneaker collection at the Project Sole event in New York City. Id. ¶ 293. There, samples of LVL XIII sneakers were displayed to retailers, from whom LVL XIII began taking orders and deposits. Id. ¶ 295; JSF ¶21. At the end of the event, male supermodel Tyson Beckford hosted a launch party for LVL XIII in New York City. Def. Supp. 56.1 ¶ 294. In August 2013, LVL XIII exhibited its sneakers at the Magic Show, a trade show in Las Vegas attended by wholesalers, retailers, press, and celebrities. Id. ¶ 302.
In the months that followed, Brown and LVL XIII were featured in a handful of online magazines including Details, Ebony, Payer, and Footwear News. Id. ¶ 297. The majority of the brand’s media coverage, however, was on social media platforms and online blogs. See Media Placements.
In November 2013, LVL XIII’s first sneaker collection became available for purchase at retail. PI. 56.1 ¶ 230. LVL XIII produced 1,000 pairs of sneakers for it, each of which featured the TP. JSF ¶ 31; Def. Supp. 56.1 ¶ 325. The sneakers were sold at prices between $495 and $1,200, with most priced between $495 and $595. Pl. 56.1 ¶¶ 154-55. Between November 2013 and March 2014, they were sold in at least 10 locations, including in Houston, Texas; Atlanta, Georgia; Los Angeles, California; Harvey, Illinois; Chicago, Illinois; Miami, Florida; and Washington D.C. Id. ¶ 234. They were also sold through the Carbon Bazaar website. Id. ¶¶ 246-47.
b. LVL XIII’s Efforts to Obtain Trademark Protection for its Marks
In March 2013, LVL XIII filed two trademark registration applications with the U.S. Patent and Trademark Office (“PTO”). JSF ¶¶ 11-12. The first (the “ ’370 Application”), filed on March 4, was for the word mark “LVL XIII.” Id. ¶ 11. The second (the “ ’102 Application”), filed on March 6, sought registration for a “shoe toe design featuring a rectangular metal plate across the front of the shoe toe with the wording LVL XIII engraved in the metal plate, and four small screws in the corners of the metal plate.” Id. ¶ 12; Sloane Deck, Ex. 32, at 1.
On June 24, 2013, the PTO issued a non-final Office Action as to the ’102 Application, requiring LVL XIII to submit a new drawing showing the screws in dotted lines, “as they cannot be part of the mark.” PI. 56.1 ¶ 102. The next day, LVL XIII submitted a revised application in accordance with the PTO’s directive. Id. ¶¶ 104-05. It stated:
LVL XIII (Stylized and/or with Design, see mark)—The applicant is not claiming color as a feature of the mark. The mark consists of a shoe toe design featuring a rectangular metal plate across the front of the shoe toe with the wording LVL XIII engraved in the metal plate, and four small screws in the corners of the metal plate. The dotted lines in the drawing are not part of the mark but show its position on the goods.
Id. ¶ 106. LVL XIII later amended the ’102 Application to include two screws rather than four. Id. ¶ 107.
On July 10 and August 7, 2013, respectively, the PTO issued a Notice of Publication for the ’370 and ’102 Applications. JSF ¶¶ 22, 24. On September 24 and October 22, 2013, respectively, it issued a Notice of Allowance for each application. Id. ¶¶ 25-26. On March 24 and April 7, 2014, respectively, LVL XIII submitted a Statement of Use in connection with each application.
On July 18, 2014, two weeks after the initiation of this lawsuit, the PTO issued an Office Action for the 102 Application, declining to approve the application in its current form. See id. ¶¶ 43-44. It explained that “[a] product design can never be inherently distinctive as a matter of law [because] consumers are aware that such designs are intended to render the goods more useful or appealing rather than [to] identify their source.” Id. ¶ 44. Accordingly, it directed, LVL XIII must “disclaim[ ] ... the rectangular shape of the shoe toe plate ... because it is a configuration of a feature of the shoe design.” Id. It warned that if LVL XIII did not do so, the PTO “may refuse to register the entire mark.” Id. Sometime thereafter, the PTO, at LVL XIII’s request, suspended the 102 Application, pending the outcome of this lawsuit. Id. ¶ 45.
2. Louis Vuitton
Louis Vuitton Malletier S.A. (“LVM”) is a French company, founded in Paris in 1854. PI. Supp. 56.1 ¶ 374. It manufactures, sells, and distributes luxury merchandise, including handbags, luggage, apparel, shoes, watches, jewelry, and other fashion accessories. JSF ¶¶ 7-8. Louis Vuitton North America, Inc. is a Delaware corporation that markets and distributes Louis Vuitton merchandise in the U.S. Id. ¶¶ 5-6.
a. The Initials Logo
The Initials Logo consists of a stylized “L” and V’ presented, in a Roman-like font, as a single, interlocking image, with the “V’ overlapping the italicized “L” on a downward angle from right to left. The logo was created in 1897 by George Vuitton, in honor of his late father Louis Vuitton, the founder of the House of Louis Vuitton. PI. Supp. 56.1 ¶ 375. It has been continuously used for more than 100 years in the U.S., and currently appears on hundreds of LV products. Id. ¶ 376.
LVM owns multiple registered U.S. trademarks for the Initials Logo, which apply to a wide variety of goods ranging from clothing to suitcases and stationery. See generally Sloane Deck, Ex. 59. Among these is a registered mark, which has become incontestable, for use of the Initials Logo on “shoes, boots[,] sandals, [and] tips for footwear.” Id. at 1-3.
LV advertisements, at least some of which feature the Initials Logo, have appeared in magazines such as Vanity Fair, Vogue, and Elle. Pl. Supp. 56.1 ¶ 378. LV has also received media coverage in publications such as Marie Claire, Town & Country, and the “Pop Sugar” online blog. Id. ¶ 379. In 2015, Interbrand Rankings and Brand Z ranked LV as one of the 100 most valuable global brands. Id. ¶ 381.
b. The OTR Sneaker
LVL XIII’s claims arise from LV’s use of a metal toe plate on its OTR Sneaker. That sneaker was designed and developed in June 2013, in the weeks leading up to LVs Men’s Spring/Summer 2014 fashion show (the “Fashion Show”), which took place in Paris on June 27, 2013. Sloane Deck, Ex. 1 (‘Viti Aff’) ¶ 5. Fabrizio Viti, the Style Director for LVM’s footwear division, oversaw the design process. See Dkt. 112 (‘Viti Deck”) ¶¶ 1, 5.
The theme for the Fashion Show was a “road trip” through 1950s Americana, focusing on the style of icons such as James Dean, Steve McQueen, and Jack Kerouac, and mixing in an “astronaut mood.” PI. 56.1 ¶¶ 32, 40. In keeping with that theme, Viti decided to use the Converse Jack Purcell sneaker, worn by James Dean in a famous photo, as the inspiration for his design for the OTR Sneaker. Id. ¶ 41; Viti Aff. ¶ 6; Sloane Deck, Ex. 9 (‘Viti Dep. I”),
On June 7, 2013, a member of LVs design team emailed the prototype for the OTR Sneaker to LV’s in-house legal department. PI. 56.1 ¶ 50; see Sloane Deck, Ex. 20. The email identified several characteristics of the Jack Purcell sneaker and asked whether, legally speaking, there were enough areas of difference between those two shoes. PI. 56.1 ¶ 51; see Sloane Deck, Exs. 20-21.
The next day, Viti’s assistant Mathieu Desmet
The final version of the OTR Sneaker was reviewed at a model fitting on June 22, 2013. Id. ¶ 62. The design featured a plain metal toe plate in the shape of an isosceles trapezoid, with the top slightly shorter than the bottom, as a “subtle reference to the Jack Purcell [s]mile.” Viti Deck ¶ 9; see Sloane Deck, Ex. 27.
On June 27, 2013, the OTR Sneaker was publicly debuted on the runway at the Fashion Show. PI. 56.1 ¶ 74. In the ensuing months, it was pictured in several print and online publications in the U.S. See id.
Between March 4 and September 13, 2014, LV sold 714 pairs of the OTR Sneaker in the U.S., generating $764,000 in revenue. Id. ¶¶ 90-91.
3. LVL XIII’s Discovery of the OTR Sneaker, Purported Confusion, and Aftermath
Brown first learned about the OTR Sneaker in March 2014, when celebrity stylist Shaundell Hall called him to ask whether LVL XIII was collaborating with LV. See Brown Dep. IV, at 385-86; Dkt. 132 (“Hall Deck”) ¶ 8. Hall attested that, upon first seeing the OTR Sneaker, he assumed there had been a collaboration between the two brands because of the similarities between the metal toe plates that appeared on each sneaker. Hall Deck ¶ 8.
LVL XIII has submitted declarations by six individuals, including Hall, who attest to having made such an assumption.
The remaining two declarants—Tavius Bolton and Kathleen Roque—are consumers who bought LVL XIII sneakers in early 2014. See Bolton Deck ¶2; Roque Deck ¶ 3. Each attested that, upon later seeing the OTR Sneaker, he or she assumed that LVL XIII had collaborated with LV. See Bolton Deck ¶ 4; Roque Deck ¶ 4. Each attested that he had been disappointed by what he perceived as LVL XIII’s “selling out” to LV,
Brown testified that, shortly after his communication with Hall, LVL XIII began receiving “Instagram questions about whether or not [ ] the [OTR Sneaker] was LVL XIII.” Brown Dep. IV, at 386. LVL XIII has identified two Instagram posts
On June 30, 2014, LVL XIII filed this lawsuit. Dkt. 1. Sometime thereafter, it removed its sneakers from the market. Def. Supp. 56.1 ¶ 339. Brown testified that a reason for that decision was that at least one retailer had refused to carry LVL XIII’s shoes due to concerns about this lawsuit. Brown Dep. IV, at 439-41; Brown Dep. II, at 446-48.
In September 2015, LVL XIII launched its second shoe collection. PI. 56.1 ¶ 128. The sneakers in that collection featured a new, modified toe plate, with rounded edges and no screws. Id. ¶¶ 130-32. The collection also included shoes without a metal toe plate. JSF ¶ 46.
B. Procedural History of This Litigation
On June 30, 2014, LVL XIII filed a complaint. Dkt. 1 (“Compl.”). On September 22, 2014, LV filed an answer and counterclaims. Dkt. 18. On October 9, 2014, LVL XIII filed an answer to LV’s counterclaims. Dkt. 21. On December 26, 2014, with leave of court, LV filed an amended answer and counterclaims. Dkt. 40. On January 16, 2015, LVL XIII filed an answer to the amended counterclaims. Dkt. 42.
On January 15, 2016, the parties filed the Joint Stipulated Facts, in anticipation of their respective forthcoming motions for summary judgment. Dkt. 102.
On January 21, 2016, LV moved to preclude the report and testimony of LVL XIII’s expert witness, Charles E. Colman, Dkt. 103, and filed a memorandum of law, Dkt. 104 (“Def. Daubert Br.”), and a declaration by its counsel, Dkt. 105, in support. That day, LV also filed a motion for summary judgment, Dkt. 106, along with a Rule 56.1 statement, Dkt. 110, a memorandum of law, Dkt. 108 (“Def. SJ Br.”), and supporting declarations, Dkts. 107, 109, 112,117.
On February 16, 2016, LVL XIII filed an opposition to LV’s motion to preclude LVL XIII’s expert. Dkt. 120 (“Pl. Daubert Opp. Br.”). That day, LVL XIII moved to preclude the testimony of LV’s expert witness, Michael Mazis. Dkts. 121-23. Also that day, LVL XIII filed a cross-motion for summary judgment, Dkt. 125, along with a memorandum of law, Dkt. 126 (PI. SJ Br.”), and a Rule 56.1 response and counterstatement, Dkt. 136. LVL XIII also filed nine supporting declarations, Dkts. 127-35, including by Erik Pelton, LVL XIII’s trademark counsel, Dkt. 129 (“Pel-ton Decl.”).
On March 15, 2016, LV filed an opposition to LVL XIII’s motion to preclude LV’s expert. Dkts. 145-47.
On March 22, 2016, LV filed reply briefs in support of its motion to preclude LVL XIII’s expert, Dkt. 148 (“Def. Daubert Reply Br.”), and its motion for summary judgment, Dkt. 152 (“Def. SJ Reply Br.”),
On April 4, 2016, LVL XIII filed a reply brief in support of its motion to preclude LVs expert. Dkt. 159.
On April 21, 2016, LVL XIII filed a reply brief in support of its cross-motion for summary judgment, Dkt. 162 (“PI. SJ Reply Br.”), along with a response to LV’s supplemental Rule 56.1 statement, Dkt. 163. That day, LVL XIII also filed a brief in opposition to LV’s motion to strike. Dkt. 164.
On July 28, 2016, the Court heard argument. See Dkt. 172 (“Tr”). At the hearing, the Court ruled, at length, from the bench on LVL XIII’s motion to preclude LVs expert and LVs motion to strike. For the reasons stated on the record at the hearing, the Court denied both motions. See Dkt. 170; Tr. 3-42.
II. Discussion
Before the Court are (1) LV’s motion to preclude the report and testimony of LVL XIII’s expert witness; (2) the parties’ cross-motions for summary judgment on LVL XIII’s claims; and (3) LVL XIII’s motion for summary judgment on LV’s counterclaims. The ensuing analysis proceeds as follows: The Court first addresses, and grants, LVs motion to preclude the report and testimony of LVL XIII’s expert witness. The Court next addresses the cross-motions for summary judgment on LVL XIII’s claims. Finally, the Court addresses LVL XIII’s motion for summary judgment on LVs counterclaims.
III. LV’s Motion to Preclude LVL XIII’s Expert
LVL XÍII retained Charles E. Colman to provide an expert report and testimony on the issues of inherent distinctiveness and secondary meaning with regard to the TP. See Dkt. 105, Ex. 1 (“Colman Rpt”), at 1. LV has moved to preclude Colman’s report and testimony in their entirety pursuant to Daubert v. Merrell Dow Pharmaceuticals,
A. Applicable Legal Standards
Federal Rule of Evidence 702 gives an expert witness testimonial latitude unavailable to others, “so long as the witness is ‘qualified as an expert’ and (1) ‘the testimony is based on sufficient facts or data,’ (2) ‘the testimony is the product of reliable principles and methods,’ and (3) ‘the expert has reliably applied the principles and methods to the facts of the case.’ ” United States v. Pryor,
“[T]he proponent of expert testimony has the burden of establishing by a preponderance of the evidence that the admissibility requirements of Rule 702 are satisfied.” United States v. Williams,
The Second Circuit instructs district courts to exclude expert testimony if it is “speculative or conjectural or based on assumptions that are ‘so unrealistic and contradictory as to suggest bad faith.’ ” Zerega Ave. Realty Corp. v. Hornbeck Offshore Transp., LLC,
B. Analysis
LV moves to exclude Colman’s report and testimony on the grounds that: (1) Colman is not qualified to offer expert testimony on any topic on which he opines; (2) his focus on the “urban male” population makes his opinions irrelevant and unreliable; and (3) his opinions are based on an unreliable methodology.
1. Colman is Not Qualified to Opine on Secondary Meaning
LV first argues that Colman is not qualified to offer expert testimony on any of the topics on which he opines. See Def. Daubert Br. 9-12; Def. Daubert Reply Br. 2-5.
“Whether a witness is qualified as an expert is a threshold question that precedes the court’s relevance and reliability inquiries.” Loyd v. United States, No. 08 Civ. 9016 (KNF),
a. Background
Colman is a 2009 law school graduate with a B.A. in linguistics. Colman Rpt., Appx. A, at 1. He was recently appointed Assistant Professor at the University of Hawaii William S. Richardson School of Law, where he will teach intellectual property law and other business-related subjects.
Since 2012, Colman has written, in various formats, on fashion and intellectual property law. See Colman Rpt. ¶¶ 13-14; id., Appx. A, at 2. He has contributed chapters on fashion and intellectual property law to practitioner reference guides and an undergraduate textbook. Id. ¶ 13. And he has published articles on fashion •history, the contemporary fashion landscape, intellectual property law, and related topics in academic and online journals. See id. ¶ 13-14. His book, Patents and Perverts: The Hidden Moral Agenda of American Design Law, is slated to be published by the Cambridge University Press in 2016-2017. Id. ¶ 14.
Since 2011, Colman has practiced intellectual property law through his sole proprietor firm Charles Colman, PLLC. Id. ¶ 9. That firm “cater[s] primarily to clients in the fashion, media, and related industries.” Id. To date, Colman has prosecuted approximately 10 trademark applications (approximately five of which were related to the fashion industry), and litigated approximately six oppositions or cancellation petitions. Colman Dep. 88-90, 206-07.
b. Analysis
LV argues that Colman is not qualified to opine on whether the TP acquired secondary meaning primarily because: (1) he did not conduct a marketing analysis or a secondary meaning survey; (2) he has no background or experience in fashion mar
In response, LVL XIII argues that, “based on his extensive training, learning, experience[,] and recognition,” Colman has expertise in “intellectual property [law]; the history, business and culture of fashion; and the cultural matrix where' these intersect.” PI. Daubert Opp. Br. 1. LVL XIII asserts that Colman acquired that expertise “through many years spent in a university setting ... supplemented by thousands of hours of research, writing, and publishing on the fashion industry and U.S. intellectual property law, related cultural practices, and symbolic systems associated therewith[,] and years of professional experience spent representing parties in and writing about legal proceedings concerning the fashion industry.” Id. at 8. LVL XIII argues that such expertise “amply qualifies] [Colman] to testify on ... whether the LVL XIII toe plate achieved secondary meaning.” Id. at 9.
On this issue, the Court holds for LV. It is well established that even if “a witness qualifies as an expert with respect to certain matters or areas of knowledge, it by no means follows that he or she is qualified to express expert opinions as to other fields.” Nimely,
“Because the primary element of secondary meaning is ‘a mental association in buyer[s’] minds between the alleged mark and a single source of the product,’ the determination whether a mark or dress has acquired secondary meaning is primarily an empirical inquiry.” Sunbeam Products, Inc. v. W. Bend Co.,
The expertise most germane to such a determination thus involves training or experience performing empirical analyses.
Under these circumstances, the Court is “not persuaded that [Colman] can offer opinion testimony [as to whether the TP achieved secondary meaning] that is anything other than conjecture.” Loyd,
In a separate aspect of its Daubert challenge, LV argues that Colman’s assumption that “urban males” are LVL XIII’s primary customer base is incorrect, and makes his resulting opinions irrelevant and unreliable. See Def. Daubert Br. 13 & n. 3; Def. Daubert Reply Br. 5-6. That critique is persuasive.
To be admissible, expert testimony must be of the type that will “help the trier of fact to understand the evidence or to determine a fact in issue.” Fed. R. Evid. 702. This means that the testimony must be both rehable and relevant in that it “fits” the facts of the case. Daubert,
Here, LV argues that Colman’s opinions are, at best, unhelpful, and, at worst, unfairly prejudicial, because they rest on a faulty assumption: that LVL XIII’s customer base consisted primarily of “urban male[s] (i.e., African-American and African-American cultured-inclined) luxury footwear buyers between the ages of 17 and 36.” Colman Rpt. ¶ 22 (internal quotation marks omitted); see Def. Daubert Br. 13 & n. 3; Def. Daubert Reply Br. 5-6. The Court agrees.
At the outset of his report, Colman posits that “urban males” are LVL XIII’s primary customer base. Colman Rpt. ¶ 22. He then identifies characteristics of this demographic which he claims shape their perception as consumers. For instance, he states that such persons:
are, by and large, extremely sensitive to the nuances of what many fashion historians and theorists have described as “sneaker culture.” Accordingly, these consumers are attuned, whether consciously or not, to detect source indicators that are often far more subtle than the metal toe plate at issue in this case.
Id. ¶ 24. Based on this “extreme[ ] sensitivity,” Colman concludes that the TP is “likely to be perceived by—and has been
Colman similarly anchors his other opinions on this assumption about LVL XIII’s target market. These include that: (1) the TP achieved secondary meaning; (2) the TP “most likely served” as a “conventional trademark” rather than “product design”; and (3) the public will be harmed by LV’s alleged infringement of the TP. See id. ¶ 39(c) (“LVL XIII achieved [ ] widespread penetration” of “brand/visual-feature awareness ... among actual or potential urban male high-end luxury footwear consumers aged 17 to 36 before [LV] first used a confusingly similar toe plate in U.S. commerce.”); id. ¶¶ 23-24 (opining that, due to their “extreme[ ] sensitivity] to the nuances of ... ‘sneaker culture,’ ” urban males were not likely to perceive LVL XIII’s metal toe plate as product design); id. ¶ 39(d) (“The social media and remaining cultural landscape of 2013 reveal that Antonio Brown’s leadership of LVL XIII resonated for countless members of the consumer group identified above [i.e., urban males], in no small part because Mr. Brown has consistently espoused values (like genuine design innovation, pride in one’s individuality and accomplishments, and spiritual fulfillment) that a substantial portion of this group found compelling. The public would be harmed if [LV’s] confusing imitation of LVL XIII’s metal toe plate were permitted ... to (a) deprive LVL XIII of the financial means to create truly innovative designs ... and (b) disillusion the public, for whom Mr. Brown’s and LVL XIII’s beliefs and mission statement have so strongly resonated, by suggesting to the public that such idealistic ventures will only result in ‘selling out,’ failure, and/or being overpowered or ‘bullied’ by large, wealthy companies like defendants, without being protected by the courts.”).
This testimony fails Daubert’s “fit” requirement. It is a mismatch for the facts of this case, because Colman’s definition of the relevant consumer market lacks record foundation. Colman offers no factual basis for positing that “urban males” are a material segment of LVL XIII’s customer base. And LVL XIII has adduced no evidence to support that proposition.
Under these circumstances, Colman’s characterization of LVL XIII’s target market as consisting predominantly of urban males is conjecture. To the extent that his opinions are based on that unsupported assumption, they are not relevant.
Because the danger of confusion substantially outweighs any trifling probative value of Colman’s proffered opinions, preclusion is required under both Rules 403 and 702.
3. Colman’s Methodology is Not Reliable
Finally, LV argues that Colman’s report and testimony must be precluded because his methodology is “neither discernable nor reliable.” Def. Dauhert Br. 14; see id. at 14-17; Def. Dauhert Reply Br. 6-9. That argument, too, is convincing.
a. Applicable Legal Standards
Under Dauhert, the Court must ensure that expert testimony “is not only relevant, but reliable,”
In Daubert, the Supreme Court set out a list of non-exclusive factors that the Court may consider in determin,ing whether an expert’s methodology is reliable. These are: (1) whether the expert’s technique or theory can be or has been tested; (2) whether it has been subjected to peer review and publication; (3) whether there is a high error rate for the expert’s technique, and whether there are “standards controlling the technique’s operation”; and (4) whether the expert’s technique or theory is generally accepted by the relevant scientific community. Daubert,
“In addition to setting forth these criteria for testing an expert’s methodology, the Supreme Court has also stated that reliability within the meaning of Rule 702 requires a sufficiently rigorous analytical connection between that methodology and the expert’s conclusions.” Nimely,
b. Analysis
Colman purports to have used the VCS methodology to reach his opinions about the TP. See Colman Rpt. ¶¶ 15-20; Colman Dep. 61-63. According to Colman, scholars in the VCS field “employ the tools and insights of, inter alia, semiotics/linguisties, aesthetics, anthropology, social history, and law” to “engag[e] with ... ‘visual cultures,’ ” such as the “ ‘culture’ of contemporary luxury consumer goods.” Colman Rpt. ¶ 16. Colman claims to have applied the VCS methodology here by: (1) reviewing Brown’s social media history, press coverage of LVL XIII, and the other “visual and textual material generated by both parties”; and (2) using the insights he has derived from the scholarly literature and his professional and personal experience to (3) determine whether the TP achieved secondary meaning before LVs OTR Sneaker came on the market. See Id. ¶ 20; Colman Dep. 55, 61-64.
This methodology does not come close to withstanding scrutiny under Daubert—it does not satisfy a single one of the Dau-bert factors.
First, and most significant, Col-man’s methodology has not been—and, for multiple reasons, cannot be—tested or challenged in any objective sense. In forming his opinions, Colman claims to have relied primarily on data he retrieved from social media platforms, as well as press coverage he retrieved through Google. See Colman Dep. 55. Critically, however, he did not preserve, much less produce, the vast majority of the materials on which he purportedly relied. LVL XIII claims that Colman reviewed “over 100,000 unsolicited third-party online posts,” PI. Daubert Opp. Br. 7, but Colman—astoundingly—pro-
Worse, it is impossible to reconstruct Colman’s searches. He did not (1) retain a list of the search terms he used, his hit results, or the sites he reviewed but discarded as “duplicative” or “not relevant”; or (2) collect his results in a chart or table. Colman Dep. 55-59. Indeed, Colman conceded that without “go[ing] back into [his] computer,” it would be “[imjpossible to replicate the pool [of documents he relied upon] in the exact manner that [he] did the first time.” Id. at 57; see also id. at 192 (“We know this from quantum physics that there are going to be differences that cannot be avoided, and to the extent that you are talking about replicating precise sort[s] of variables, that is not possible in the world that we live in that is not possible because you can’t travel back in time.”).
This elementary lapse makes it impossible for a court or adversary to test—or a jury to assess—Colman’s methodology, as applied here, for veracity and reliability. See Amorgianos,
Third, Colman could not, when prompted at his deposition, identify a known or potential error rate for his methodology. See Colman Dep. 185 (“That is like asking what is the known rate of error in history.”). He countered that “no one has ever, to [his] knowledge, criticized [his] employment of this methodology in visual culture studies or law with regard to very similar subject matter.” Id. 189-90. But given that the Court has not located any prior occasion on which Colman applied this methodology to assess secondary meaning, his statement supplies little reassurance.
Colman has also not identified any standards controlling the application of the VCS methodology. To the contrary, when asked whether VCS offers “one specific methodology so that two people reviewing the information would reach the same conclusion,” Colman answered: “People employ different methodologies in ways that can vary depending upon the project, right? ... [T]he tools that will be best suited to a given situation ... will vary depending on the situation and the sources examined in that situation.” Id. at 179. And, based on his account of his application of the methodology here, Colman did not heed objective standards. He did not, for instance, establish parameters to guide his selection of data (e.g., social media posts). Rather, he simply “reviewed more and more material until [he] felt that [he] had achieved a view ... [as to] consumer perceptions of the metal toe plate.” Id. at 64.
Finally, Colman has not shown that his methodology has been recognized by the courts or gained acceptance within the relevant expert community. He could not identify any expert who has been held qualified to testify in a court proceeding (as to secondary meaning or otherwise) based on the VCS methodology. See id. at 190, 236. On the contrary, he acknowledged that the VCS methodology is at odds with “traditional measures used to determine secondary meaning” and the “completely haphazard methodology sometimes used by federal courts” to determine whether a trademark is inherently distinctive. Colman Rpt. ¶ 19; Colman Dep. 235-36. He also failed to identify any study or scholarly literature in which VCS was applied-to measure secondary meaning.
To be sure, that “testimony is qualitative, rather than quantitative, does not mean that it must be excluded [under Daubert ].” Sunny Merch.,
Here, as is apparent, the problems with Colman’s methodology go far beyond foregoing a quantitative model: He has failed entirely to show a “sufficiently rigorous analytical connection between [his qualitative] methodology and [his] conclusions.” Nimely,
On this point, Linde v. Arab Bank, PLC,
The shortcomings of the expert excluded in Koppell provide a closer analogue. There, defendants’ expert, Chapin, purported to base his opinions on his political experience, historical education, and the “methodology of history.”
The same outcome is necessary here. Like Chapin, the Koppell expert, Colman has supplied virtually no insight into the considerations that shaped his qualitative analysis. There is thus no basis on which to hold that his opinions derive from a reliable methodology. The Court is left to assume that they are the product of Col-man’s “subjective belief or unsupported speculation.” Daubert,
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In sum, the Court holds that Colman’s report and testimony are inadmissible for at least three independent reasons: first, Colman is not qualified to offer the proffered testimony; second, his opinions are unhelpful and unreliable because they do not “fit” the facts of this case; and third, he did not use a reliable methodology. The Court, therefore, grants LV’s motion to preclude Colman’s report and testimony in its entirety. Accordingly, it will not consider this evidence in resolving the parties’ cross-motions for summary judgment on LVL XIII’s claims.
IY. The Motions for Summary Judgment
A. Applicable Legal Standards
To prevail on a motion for summary judgment, the movant must “show[] that there is no genuine dispute as to any material fact' and the movant is entitled to judgment as a matter of law.” Fed. R. Civ. P. 56(a). The movant bears the burden of demonstrating the absence of a question of material fact. Celotex Corp. v. Catrett,
When the movant has properly supported its motion with evidentiary materials, the opposing party must establish a genuine issue of fact by “citing to particular parts of materials in the record.” Fed.
“A court faced with cross-motions for summary judgment need not ‘grant judgment as a matter of law for one side or the other,’ but ‘must evaluate each party’s motion on its own merits, taking care in each instance to draw all reasonable inferences against the party whose motion is under consideration.’ ” Cariou v. Prince,
B. The Cross-Motions for Summary Judgment on LVL XIII’s Claims
LVL XIII brings claims for (1) trademark infringement, unfair competition, and false designation of origin, under § 43(a) of the Lanham Act; (2) New York common law unfair competition; and (3) deceptive business practices, under GBL § 349. The parties have filed cross-motions for summary judgment on each claim.
For the reasons that follow, the Court holds that LV is entitled to summary judgment on (1) LVL XIII’s Lanham Act claims, because LVL XIII has not established secondary meaning or a likelihood of confusion; (2) LVL XIII’s common law unfair competition claim, because LVL XIII has not shown bad faith or a likelihood of confusion; and (3) LVL XIII’s deceptive business practices claim, because LVL XIII has not shown material deception or public harm.
1. Lanham Act Claims
a. Section 43(a) of the Lanham Act
Section 43(a) of the Lanham Act protects registered and unregistered marks against the use of any word, term, name, symbol, or device “likely to cause confusion, or to cause mistake, or to deceive as to the affiliation, connection, or association of such person with another person, or as to the origin, sponsorship, or approval of his or her goods, services, or commercial activities by another person.” 15 U.S.C. § 1125(a). To prevail on a trademark infringement, false designation of origin, or unfair competition claim under this provision, a plaintiff must show, first, that he or she has a valid mark that is entitled to protection, and, second, that the defendant’s actions are likely to cause confusion as to the origin or sponsorship of the defendant’s goods. See, e.g., Louboutin,
As to the first requirement, for a mark to be “protectable,” it must be “distinctive.” Louboutin,
Section 43(a) protects “not just word marks, such as ‘Nike,’ and symbol marks, such as Nike’s ‘swoosh’ symbol, but also ‘trade dress’—a category that originally included only the packaging, or ‘dressing,’ of a product, but in recent years has been expanded by many Courts of Appeals to encompass the design of a product.” Wal-Mart Stores, Inc. v. Samara Bros.,
A plaintiff asserting rights in product design, therefore, must “surmount additional hurdles.” Yurman Design,
b. Classification of the TP
In Wal-Mart, the Supreme Court did not provide definitive guidance on how to
This is not a close case. Even a cursory examination of the TP discloses that it does not qualify as a trademark or product packaging. The trademark designation is virtually always applied to two-dimensional words or symbols—not three-dimensional configurations like a metal toe plate. See Decorations for Generations, Inc. v. Home Depot USA Inc.,
Tellingly, LVL XIII has not offered any admissible evidence to support its claim that the TP falls within either of these categories.
First, the “packag[ing]” described in LVL XIII’s business plan consists solely of “distinctive branded shoe boxes” and “black cotton dust bags”—it does not include the TP. See PI. Supp. 56.1 ¶404.
Second, in declining to register the ’102 Application, the PTO stated that “the rectangular shape of the shoe toe plate ... is a configuration of a feature of the shoe design,” which “can never be inherently distinctive as a matter of law.” JSF ¶ 44 (emphasis added); see also id. (requiring LVL XIII to “disclaim” the “rectangular shape of the shoe toe plate ... because it is a configuration of a feature of the shoe design”) (emphasis added). AI-
Despite this evidence, LVL XIII argues that the TP is an inherently distinctive trademark because its uniform size and placement on LVL XIII’s line of sneakers renders it “arbitrary” and “fanciful,” and thus apt to be an automatic indicator of source. See PI. SJ Br. 10-12; Tr. 74.
• That argument is not persuasive. In In re Slokevage, the Federal Circuit flatly rejected it when faced with a materially identical fact pattern. There, Slokevage had sought PTO protection for a “ ‘configuration’ that consisted] of a label with the words ‘FLASH DARE!’ in a V-shaped background, and cut-out-areas located on each side of the label[,] ... [which] consisted] of a hole in a garment and a flap attached to the garment with a closure device.”
The same is so here. Despite LVL XIII’s efforts to shoehorn the TP into the trademark category, it does not fit. Rather, like the configuration in Slokevage, the TP serves a primarily aesthetic function: making LVL XIII’s sneakers appear more enticing. Accordingly, the TP can be classified only as a product design feature which is not inherently distinctive.
c. Secondary Meaning
A mark has secondary meaning when “in the minds of the public, the primary significance of a product feature ... is to identify the source of the product rather than the product itself.” Louboutin,
“[P]roof of secondary meaning entails vigorous evidentiary requirements.” Thompson Med. Co. v. Pfizer Inc.,
i) Advertising Expenditures
Advertising expenditures are regarded as “indirect evidence of the possible effect that advertising may have on
Here, it is undisputed that LVL XIII did not engage in any traditional paid advertising. See Brown Dep. I, at 158-59 (LVL XIII did not engage in TV advertising or purchase any newspaper or magazine advertisements). And it spent only $82,000 in 2013 for marketing and promotion. See JSF ¶ 35.
Even if the Court were to relax the standard given the small scale of LVL XIII’s business, the result would not differ. That is because LVL XIII has not shown that its marketing activities “succeeded in reaching a relevant segment of the population.” Lopez,
Even more damaging, LVL XIII has not established that any of its promotional materials called attention to the TP as an indication of source. See Kaufman & Fisher Wish Co., Ltd. v. F.A.O. Schwarz,
LVL XIII argues that its “savvy exploitation of low- and no-cost promotion via social media” and celebrity endorsements eliminated the need for traditional paid advertising. PI. SJ Br. 20-21; see also Brown Dep. II, at 175-76 (testifying that he “didn’t feel like it was necessary to invest [LVL XIII’s] dollars into print ads and things of that nature, especially with the dying business of print publications this day and age”).
Accordingly, on the summary judgment record, there is no basis to conclude that LVL XIII’s social media presence compensated for its minimal paid advertising expenditures. This factor therefore favors LV.
ii) Consumer Studies Linking the TP to a Single Source
As discussed above in connection with LVs Daubert motion, consumer surveys have been consistently cited as the most persuasive evidence of secondary meaning. See, e.g., Jewish Sephardic Yellow Pages,
Here, LVL XIII did not conduct a secondary meaning survey, ostensibly due to the “large expense involved.” PI. SJ Br. 25 (quoting McCarthy on Trademarks § 32:195); PI. 56.1 ¶ 203. But that excuse is not convincing. LVL XIII did commission an expert to opine on secondary meaning-just not one who performed a survey or used an otherwise reliable methodology. See discussion supra, at 635-48; see also Cross Commerce,
LV, for its part, retained a well-recognized survey expert, Michael B. Mazis, to conduct a survey to assess whether and to what extent the TP acquired secondary meaning. See PI. 56.1 ¶¶ 180-82; Dkt. 123, Ex. 5 (“Mazis Rpt.). The Mazis survey sampled 587 men, ages 18-34, who had purchased in the past 12 months, or expected to purchase in the next 12 months, a pair of men’s shoes costing $500 or more. See Mazis Rpt. ¶¶ 11-12.
In its motion to preclude Mazis’s report and testimony, LVL XIII identified a number of methodological flaws in the survey, which it claims reduce its probative value. See PI. SJ Br. 25; Dkt. 122. As the Court noted in denying that motion, some of those objections, although not justifying preclusion, have merit.
in) Unsolicited Media Coverage
As with paid advertising, LVL XIII has supplied only minimal evidence of unsolicited media coverage. Of the 25 pre-March 2014 media placements it has identified, all but four were the result of pitches by its publicist. See PI. 56.1 ¶ 218. As such, they were not unsolicited. See Gameologist,
As to the remaining four—(1) an interview of Brown posted on vervesocial-mag.com; (2) Jason Derulo’s July 19, 2013 performance on Good Morning America, during which he wore a pair of LVL XIII sneakers; (3) Obvious Mag’s review of LVL XIII’s participation at the Project Sole tradeshow; and (4) a feature on the “Chris B. Fashion” Tumblr page—none refer or call attention to the TP, as an indicator of source or otherwise. See PI. 56.1 ¶¶ 220-21; MacMull Decl., Ex. 21; id., Ex. 10, at 7; Tr. 78.
LVL XIII argues that its sneakers “received additional unsolicited press coverage in the form of reviews, testimonials, and social media placements.” PL SJ Br. 22. But that argument is, for many reasons, unavailing.
First, LVL XIII has produced evidence of only 12 social media posts, and none appear to be from the relevant time period, i.e., before LV’s OTR Sneaker came on the market. See Sloane Deck, Ex. 41; cf. Jewish Sephardic Yellow Pages,
The record evidence, therefore, falls “far short of the type of media coverage neees-
iv) Sales Success
LVL XIII’s evidence also falls short with respect to sales success. Of the 1,000 pairs of sneakers LVL XIII manufactured for its first collection, only half sold, generating $141,241 in revenue. JSF ¶¶ 81-32, 34. The remainder were returned to LVL XIII to be donated. Id. ¶ 33. This sales level does not constitute “success” for purposes of establishing secondary meaning.
LVL XIII argues that it should not be penalized for its modest sales figures, because one reason it stopped selling its sneakers was that “some retailers refused to carry [them] ... because of the consumer confusion that is the subject matter of this lawsuit.” PI. SJ Br. 23. But even if that were true, it would not change matters, because LVL XIII must show that the TP acquired secondary meaning before LVs OTR Sneaker came on the market. Only sales achieved before March 2014 bear on this analysis. This factor, therefore, also favors LV.
v) Attempts to Plagiarize the Mark
“Evidence that a mark has been widely copied is persuasive evidence of secondary meaning because it demonstrates that the mark has become a ‘strong source identifier in the eyes of the purchasing public.’ ” Lopez,
Here, LVL XIII concedes that, aside from LV’s alleged infringement, it is not aware of any third-party attempts to plagiarize the TP. PI. 56.1 ¶ 120. And it has submitted no direct evidence that LV copied its design. Rather, it argues that the “timeline of events leading up to the 2014 Runway Show” is “circumstantial evidence” of LVs plagiarism. PI. SJ Br. 19, 23-24. It postulates:
The pressure ... brought on by Louis Vuitton’s [] recognition that its initial “Converse copy” was a non-starter, coupled with the company’s depressed sales as Asia’s once red-hot markets cooled, was the backdrop that drove the calculated, cutthroat risk assessment behind [LVs] calculated infringement. Risking legal trouble with Converse was out. But Antonio Brown, whoever he was, was not a problem who could' not be managed by Louis Vuitton. Voila!
Id. at 7-8.
But LVL XIII has not produced a shred of evidence to support this narrative. See Conte v. Newsday, Inc., No. 06 Civ. 4859 (JFB),
In any event, even if the Court were to credit LVL XIII’s conspiracy theory, it would not support secondary meaning. LVL XIII does not claim that the alleged copying was done “so as to benefit from [LVL XIII’s] name and good will.” Cartier I,
LVL XIII next argues that this factor favors it because LV has not offered a “credible explanation” for the similarity between the parties’ toe plates, or “how [the TP] suddenly appeared only months after LVL XIII’s.” Pl. SJ Br. 24 (quoting Centaur II,
This ease bears no resemblance to Centaur II. First, there is no evidence of a preexisting relationship between LVL XIII and LV or that LV was aware of LVL XIII before this lawsuit.
On this record, there is zero basis to infer intentional copying. See, e.g., Kaufman & Fisher Wish Co.,
vi) Length and Exclusivity of Use
With respect to the length of use, viewed generously, LVL XIII began “using” the TP in July 2013, when it first took orders from retailers at the Project Sole trade show. See Def. Supp. 56.1 ¶ 295.
Critically, too, LVL XIII has not shown that its use of a metal toe plate was at any point exclusive. See Time, Inc. v. Petersen Publ’g Co.,
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In sum, not one relevant factor supports a finding of secondary meaning. Rather, each decisively favors LV. Given LVL XIII’s minimal advertising expenditures and sales success, the dearth of unsolicited media coverage calling attention to the TP, the absence of attempted plagiarism, and the ubiquity of metal shoe accents in the marketplace, no reasonable juror could find that, by March 2014, consumers had come to perceive the TP as an indicator of source. LVs survey evidence to that effect—and LVL XIII’s failure to produce survey evidence to the contrary—only bolsters that conclusion.
Because LVL XIII has not shown that the TP acquired secondary meaning, it cannot succeed on its Lanham Act claims. LV is thus entitled to summary judgment on those claims.
d. Likelihood of Confusion
Even if LVL XIII had established that the TP acquired secondary meaning, its Lanham Act claims would still fail because it has not shown a likelihood of confusion. See Two Pesos,
To establish this element, a plaintiff must show that “numerous ordinary prudent purchasers are likely to be misled or confused as to the source of the product in question because of the entrance in the marketplace of the defendant’s mark,” Gruner + Jahr Printing & Publ’g Co. v. Meredith Corp.,
Here, LVL XIII’s claims are based primarily on a theory of reverse confusion. See Tr. 84.
In assessing the likelihood of confusion, courts in this Circuit consider the “Polaroid factors” articulated by Judge Friendly in Polaroid Corp. v. Polarad Elecs. Corp.,
In applying the Polaroid test, “[t]he proper approach is to weigh each factor in the context of the others to determine if, on balance, a likelihood of confusion exists.” W.W.W. Pharm.,
The Second Circuit has held that “summary judgment in a trademark action may be appropriate ... where the undisputed evidence would lead only to one conclusion as to whether confusion is likely.” Cadbury Beverages, Inc. v. Cott Corp.,
With these principles in mind, the Court considers each Polaroid factor.
i) Strength of LVL XIII’s Mark
The first Polaroid factor “focuses on ‘the distinctiveness of the mark, or more precisely, its tendency to identify the goods’ as coming from a particular source.” Lang,
A mark’s “strength” is “crucial to the likelihood of confusion analysis” because a plaintiffs well-known association with the claimed mark “makes it much more likely that consumers will assume wrongly that [the plaintiff] is somehow associated with [the defendant’s product] or has authorized the use of its mark.” Lois Sportswear,
Here, the TP, being product design, cannot be inherently distinctive. Wal-Mart,
ii) Similarity of the Marks
“In assessing similarity, court's look to the overall impression created by the [marks] and the context in which they are found and consider the totality of factors that could cause confusion among prospective purchasers.” Gruner + Jahr,
Here, both parties’ trade dress consists of a metal toe plate affixed to the outsole of a men’s sneaker. But that alone does not make them “confusingly similar.” Polaroid requires the Court to consider the similarity of the marks in context. See Gruner + Jahr,
That is clearly not the case here. There are virtually no points of commonality between the parties’ toe plates.
Despite these differences, LVL XII argues that “the marks are virtually identical” because their distinguishing features are unlikely to be perceived “at a distance or from a height [ ] of five feet or more.” PL SJ Br. 28. Having observed the sneakers, the Court rejects that assessment. See Malletier v. Dooney & Bourke, Inc.,
In sum, because the parties’ toe plates do not generate the same “overall impression,” they are unlikely to confuse consumers. Gruner + Jahr,
Hi) Competitive Proximity of the Products
The “competitive proximity” factor concerns whether and to what extent products bearing the two parties’ marks compete with each other. Cadbury Beverages,
Here, LV rightly concedes that the “content” and “audience appeal” considerations favor LVL XIII. Def. SJ Br. 32. The parties’ respective toe plates are featured on virtually identical products: luxury men’s sneakers with a price exceeding $490. See Jack Schwartz Shoes,
LV nevertheless argues that this factor is neutral because the “geographic distribution” and “market position” considerations favor it. Def. SJ Br. 32. LV notes that “consumers [would] never encounter LVL XIII and LV shoes together at [the] point of purchase” because the OTR Sneaker was sold only through LV-operated stores and LV’s website, whereas LVL XIII sneakers could be purchased only in small regional stores in five states and Washington D.C. and through the Carbon Bazaar website. Id.
Were LVL XIII claiming point-of-sale confusion, LV’s argument may have had some purchase. But it is misplaced here, where LVL XIII’s allegations predominantly involve initial-interest and post-sale
Accordingly, the Court finds that any discrepancies in geographic distribution and market position are not so substantial as to outweigh the similarities between the parties’ products in terms of content, price, and target clientele. This factor, therefore, favors LVL XIII.
iv) Bridging the Gap
“ ‘Bridging the gap’ refers to the likelihood that the senior user will enter the junior user’s market in the future, or that consumers will perceive the senior user as likely to do so.” Star Indus.,
v) Actual Confusion
Although “actual confusion need not be shown to prevail under the Lanham Act,” Lois Sportswear,
“Evidence of actual confusion may consist of anecdotal or survey evidence.” Paco Sport,
Here, LVL XIII has not presented survey evidence as to consumer confusion. See Orb Factory, Ltd. v. Design Sci. Toys, Ltd., No. 96 Civ. 9469 (RWS),
As to the anecdotes, most involve inquiries by fashion industry professionals Whether LVL XIII had collaborated with LV on the OTR Sneaker. See Brown Dep. II, at 232-42; Brown Dep. IV, at 424-32; id. at 432 (“[E]veryone pretty much had the same question. I mean it was either one of two things. Did you do a collaboration with Louis Vuitton or did they copy your design?”). Courts have held such inquiries not probative of actual confusion. See, e.g., Nora Beverages,
As to the text messages, each was sent by a friend or former colleague of Brown’s. See Brown Dep. IV, at 388-91, 393; Sloane Deck, Exs. 46-47.
The third text message and the two Instagram posts, by contrast, reflect actual confusion. The text message and first Ins-tagram post each consist of a photo of the OTR Sneaker and an inquiry whether it was made by LVL XIII. See Sloane Deck, Ex. 46, at 2-3. The second Instagram post tags a photo of the OTR Sneaker “New #LVLXIII shoe.” Id. at 1. Each evinces confusion as to source: Critically, however, none indicates that the speaker made a purchasing decision based on his confusion. Indeed, Brown admitted he was unaware of any consumer who experienced confusion at the point of purchase. Brown Dep. TV, at 437-38.
vi) Bad Faith
“The inquiry into willfulness or bad faith ‘considers whether the defendant adopted its mark with the intention of capitalizing on the plaintiffs reputation and goodwill and on any confusion between his and the senior user’s product.’ ” De Beers,
As discussed above, there is zero evidence that LV copied the TP —much less that it did so with the goal of capitalizing on LVL XIII’s reputation. Quite the contrary, LV’s evidence is that (1) the OTR Sneaker’s principal designer had never heard of LVL XIII or its sneakers before this lawsuit, and (2) LV’s design team acted in good faith to avoid infringement—including by soliciting the advice of LV’s in-house counsel and modifying its design to distance it from the Jack Purcell sneaker. See PI. 56.1 ¶¶ 44-45, 50-54, 58-60; see also Lang,
LVL XIII nevertheless argues that the Court should infer bad faith from LV’s failure to submit evidence of a trademark search. PI. SJ Br. 33. But a defendant’s failure to conduct a trademark search is “not sufficient to demonstrate bad faith.” J.T. Colby & Co. v. Apple Inc., No. 11 Civ. 4060 (DLC),
vii) Quality of LV’s Product
The seventh Polaroid factor, the quality of the defendant’s product, “directs courts to weigh cross-cutting considerations.” Akiro,
On the one hand, the court must determine “whether defendant’s products or services are inferior to plaintiffs, thereby tarnishing plaintiffs reputation if consumers confuse the two.” On the other hand, if the products are roughly equal in quality, the court must also consider whether “that very similarity of quality” may tend to create confusion as to source by bringing the products into even closer proximity.
Id. (quoting Morningside Grp. Ltd. v. Morningside Capital Grp., L.L.C.,
In support of its first argument, LVL XIII relies entirely on an email from a shoe manager at a Boston LV store. The email states:
I have an issue that Carmen my ops manager has been trying to address with a client, style 986189 show python shoe purchased at ULS. The metal plate is coming off in the back of the heel.... We called Aventura ... [and] they have seen this damage happen multiple times already. I may have to give a refund, is this a know[n] issue?
MacMull Deck, Ex. 28, at 6. The negative account of LV’s OTR Sneaker embedded in this email is inadmissible double hearsay, not cognizable on a motion for summary judgment. And even if it were admissible, this evidence would be too skimpy to show LV’s sneaker was of lesser quality than LVL XIII’s. Indeed, the record is devoid of evidence as to the quality of, or consumer satisfaction with, either product.
viii) Consumer Sophistication
The final Polaroid factor, consumer sophistication, “considerfe] the general impression of the ordinary purchaser, buying under the normally prevalent conditions of the market and giving the attention such purchasers usually give in buying that class of goods.” Star Indus.,
In general, “[t]he greater the value of an article the more careful the typical consumer can be expected to be.” McGregor-Doniger,
Here, the sophistication of LVL XIII’s consumers can be inferred from the high price points of its sneakers.
ix) Balancing the factors
Viewed in combination, the Polaroid factors lopsidedly favor LV. The proximity factor favors LVL XIII, and the bridging-the-gap and quality factors are neutral, but the remaining factors all point against a likelihood of confusion.
2. New York Common Law Unfair Competition
“The essence of an unfair competition claim under New York law is that the defendant has misappropriated the la1 bors and expenditures of another.” Saratoga Vichy Spring Co., Inc. v. Lehman,
Because LVL XIII has failed to establish either element, its common law unfair competition claim fails as a matter of law. LV is thus entitled to summary judgment on this claim. See, e.g., Empresa Cubana del Tabaco v. Culbro Corp.,
3. Deceptive Business Practices
GBL § 349(a) prohibits “[deceptive acts or practices in the conduct of any business, trade or commerce or in the furnishing of any service” in New York. To establish liability, a plaintiff must show that: (1) the defendant engaged in an act or practice that was materially misleading, and (2) that the plaintiff was injured thereby. See Sports Traveler, Inc. v. Advance Magazine Publishers, Inc. (“Sports Traveler I”), No. 96 Civ. 5150 (JFK),
Corporate competitors may bring claims under § 349(a) only if “some harm to the public at large is at issue.” Securitron Magnalock Corp. v. Schnabolk,
C. LVL XIII’s Motion for Summary Judgment on LV’s Counterclaims
The Court turns now to LV’s counterclaims. These fall into two sets. The first mirrors LVL XIII’s Lanham Act claims: LV seeks (1) a declaratory judgment that LVL XIII has no exclusive right in the shape of a rectangular metal toe plate; and (2) an injunction requiring LVL XIII to disclaim the non-distinctive elements of the TP (ie., all elements other than the “LVL XIII” inscription). LV has acknowledged that these counterclaims would be mooted by a holding that the TP is not protectable under the Lanham Act.
LV’s second set of counterclaims stems from LVL XIII’s use of the “LVL XIII” word mark. LV brings claims for trademark infringement, under § 32(a) of the Lanham Act, and unfair competition and
Each of these counterclaims is analyzed under the “familiar two-prong test” that applies to infringement claims brought under § 43(a): LV must show, first, that its Initials Logo is entitled to protection, and second, that LVL XIII’s use of its word mark is likely to cause consumer confusion as to the origin or sponsorship of its products. Virgin Enters.,
LVL XIII concedes that the Initials Logo is a valid mark entitled to protection. PL SJ Br. 51. The sole issue for decision, therefore, is whether a reasonable juror could find that LVL XIII’s use of its word mark is likely to cause confusion. Although this presents a considerably closer question than LVL XIII’s claims, an analysis of the Polaroid factors reveals that the answer is no. The Court, again, addresses each factor in turn.
1. Strength of the Initials Logo
As noted, in gauging the strength of a mark, courts consider both its inherent distinctiveness and its “acquired distinctiveness, i.e., fame, or the extent to which prominent use of the mark in commerce has resulted in a high degree of consumer recognition.” Virgin Enters.,
Here, there is no question that LV’s Initials Logo is strong by virtue of both its inherent and acquired distinctiveness. As a registered trademark, it is presumptively distinctive. See Savin Corp.,
To the extent, however, that LV claims a broader exclusive right to use the non-stylized “LV” letter combination, the same conclusion does not follow. On this point, Gruner + Jahr,
Similarly, here, although the Initials Logo is strong in its stylized form, that does not mean that LV has the “exclusive right to ... [every] variation[ ]” of the “LV” initials. Gruner + Jahr,
Because this factor ’cuts both ways, the Court, drawing all reasonable inferences in LVs favor, holds that it can support, but only weakly, a likelihood of confusion.
2. Similarity of the Marks
In the context of word marks, similarity is a “holistic consideration that turns on the marks’ sight, sound, and overall commercial impression under the totality of the circumstances.” Bath & Body
Here, both parties’ marks use the letters “LV” in a Roman-like font. But that alone does not make them “similar” for purposes of a Polaroid analysis. That two marks share an element does not mean they are likely to be confused. See Brockmeyer v. Hearst Corp.,
On this point, Judge Koeltl’s analysis in Brockmeyer,
So too, here. In this case, any similarity between the parties’ marks is more than offset by their differences. Most significant are the obvious visual distinctions between the two logos: LV’s Initials Logo presents the letters “L” and “V” as a single interlocking image, with the “V” overlapping the italicized “L” on a downward angle from right to left. By contrast, the “LV” in LVL XIII’s mark is invariably followed by “L XIII,” with all characters arranged collinearly. These differences in visual presentation render the marks dissimilar as a matter of law. See, e.g., SLY Magazine, LLC v. Weider Publications L.L.C. (“SLY Magazine I”),
Moreover, given the common use of roman numerals and the “LVL” abbreviation,
Indeed, LV ultimately eschewed the broad argument that the two marks, in all contexts, are confusingly similar. Rather, it argues that the particular way LVL XIII presented its mark on social media and the
That argument is unpersuasive. To be sure, in assessing similarity, the Court must consider “how [the marks] are presented in the marketplace.” The Sports Auth., Inc. v. Prime Hosp. Corp.,
3.Competitive Proximity of the Products
It is undisputed that LV has featured its Initials Logo on the OTR Sneaker, among many other products. PI. Supp. 56.1 ¶ 407. As discussed above, supra, at 670-71, that product is competitively proximate to LVL XIII’s sneakers. This factor, therefore, favors LV.
4. Bridging the Gap
Because the parties’ products are already in competitive proximity, there is “no gap to bridge,” and this factor is neutral. See Starbucks,
5. Actual Confusion
As discussed above, although “actual confusion need not be shown to prevail under the Lanham Act,” Lois Sportswear,
Here, LV has not offered evidence of actual confusion. To the contrary, its 30(b)(6) witness testified that she was “not aware of any actual confusion” between the LVL XIII word mark and the Initials Logo. Def. Supp. 56.1 ¶ 371. Therefore, accounting for the brevity of the parties’ co-existence in the marketplace, this factor slightly favors LVL XIII.
As noted, the inquiry into bad faith “considers whether the defendant adopted its mark with the intention of capitalizing on [the] plaintiffs reputation and goodwill and [on] any confusion between his and the senior user’s product.” Savin Corp.,
Here, LV argues that LVL XIII’s bad faith can be inferred from the following facts: (1) Brown has long been familiar with LV and its Initials Logo; (2) LVL XIII considers LV “both an inspiration for its planned line of shoes and a competitor”; (3) “[o]ut of all the fonts and all the presentations possible of the name ‘Level Thirteen,’ ” Brown chose to use the “LVL XIII” abbreviation in a “near-identical font to LV’s signature font”; and (4) the photos LVL XIII supplied to Carbon Bazaar present its sneakers in such a way that the “LV” portion of the “LVL XIII” logo is predominant. Def. SJ Reply Br. 33; Tr. 90. In combination, LV argues, these facts could lead a reasonable juror to find that LVL XIII deliberately sought to capitalize on LV’s reputation and goodwill.
Although LV’s notion that Brown sought to exploit LV’s goodwill is intuitively understandable, its evidence of bad faith is, ultimately, weak. As to Brown’s familiarity with LV, it is well established that “[p]rior knowledge of a senior user’s mark does not, without more, create an inference of bad faith.” Playtex Prods.,
As to LVL XIII’s choice of abbreviation, Brown has offered a credible explanation for selecting this moniker: He testified that because “level thirteen” would have been “too long” to fit on a toe plate, he referenced allacronyms.com to select an abbreviation for “level.” Brown Dep. V, at 192-93. Of the options, Brown testified, “LVL” “stood out” out as the most obvious choice. Id. at 193. Consistent with this, “LVL” is the website’s top ranked abbreviation; the alternative options are more cryptic. See https://www.allacronyms.com/ level/abbreviated; PI. Supp. 56.1 ¶ 395 (noting that “Lev,” “LEL,” and “L” are among the listed abbreviations); see also Nora Beverages,
Finally, as discussed above, the record evidence does not support LV’s claim that the Carbon Bazaar photos effectively showcased the “LV” portion of the mark. The toe plate’s literal element is indecipherable in most of the photos. And the full “LVL XIII” logo is displayed beside each photo on the webpage. See Sloane Deck, Ex. 35. Accordingly, these images do not bespeak an intent to deceive. Cf. Nora Beverages,
In sum, the Court holds that, although there is a smidgeon of evidence favoring LV, the “suspicious facts” highlighted by LV, considered separately or together, are insufficient to create a material question of fact as to bad faith.
Because LV has failed to proffer any non-speculative evidence of bad faith, and LVL XIII has produced evidence of its good faith, this factor favors LVL XIII.
7. Quality of LV’s Product
As discussed above in connection with LVL XIII’s claims, there is no record evidence as to the relative quality of the parties’ products. The seventh Polaroid factor is thus neutral and does not affect the Court’s analysis. See Star Indus.,
8. Consumer Sophistication
The eighth Polaroid factor, consumer sophistication, weighs against finding a likelihood of confusion for the same reasons discussed in connection with LVL XIII’s claims: Given the “high price point of both LVL XIII’s and LV’s products,” Def. SJ Br. 35, it can be assumed that the typical customer is sophisticated and unlikely to be confused by any similarities between the parties’ logos. Indeed, “several courts have noted[ that] purchasers of Louis Vuitton products tend to be sophisticated!,] discerning,” and less susceptible to confusion. Sunny Merch.,
9.Balancing the Factors
In light of the above considerations, the Court holds that the Polaroid factors, on balance, favor LVL XIII. Although two factors—strength and proximity—to some degree favor LV, they do not outweigh the four which, strongly, point against a likelihood of confusion.
The Court, therefore, grants LVL XIII’s motion for summary judgment on each of LVs Lanham Act counterclaims.
For the foregoing reasons, the Court grants LYs motion to preclude the report and testimony of LYL XIII’s expert witness. The Court also grants LYs motion for summary judgment with respect to all of LVL XIII’s claims, and denies LVL XIII’s motion for summary judgment on the same. Finally, the Court grants LVL XIII’s motion for summary judgment with respect to all of LYs counterclaims.
The Clerk of Court is respectfully directed to terminate the motions pending at docket numbers 88, 103, 106, and 125, and to close this case.
SO ORDERED.
Notes
. The following facts are drawn primarily from the parties' submissions in support of the motions for summary judgment, including the parties’ Joint Stipulated Facts, Dkt. 102 ("JSF”), and respective Rule 56.1 statements and responses, Dkt. 110 ("Def. 56.1”); Dkt. 144 ("PI. 56.1”); Dkt. 154 ("Def. Supp. 56.1”); Dkt. 163 (“PI. Supp. 56.1”). Standalone citations to the parties’ 56.1 statements incorporate the evidentiary materials cited therein. The Court also references the materials attached to the declarations submitted by counsel, including the Declaration of Wendi E. Sloane in Support of LV’s Motion for Summary Judgment, Dkts. 117, 156 ("Sloane Decl.”); the Declarations of Maureen Harmon in Support of LV’s Motion for Summary Judgment, Dkt. 107 (“Harmon Deck”), Dkt. 153 ("Harmon Supp. Deck”); and the Declarations of Joel G. MacMull in Support of LVL XIII’s Cross-Motion for Summary Judgment, Dkts. 127-28 ("MacMull Deck”), Dkt. 161 ("MacMull Supp. Deck”). Where the Court cites to multiple iterations of a single deposition (e.g., "Brown Dep. I” and "Brown Dep. II”), it is because the parties have submitted piecemeal segments of the transcript of that deposition throughout the briefing process. Where facts stated in a party’s Rule 56.1 statement are supported by testimonial or documentary evidence, and denied by a con-clusory statement by the other party without citation to conflicting testimonial or documentary evidence, the Court finds such facts true. See S.D.N.Y. Local Rule 56.1(c) ("Each numbered paragraph in the statement of material facts set forth in the statement required to be served by the moving party will be deemed to be admitted for purposes of the motion unless specifically controverted by a correspondingly numbered paragraph in the statement required to be served by the opposing party.”); id. at 56.1(d) (“Each statement by the movant or opponent ... controverting any statement of material fact[ ] must be followed by citation to evidence which would be admissible, set forth as required by Fed. R. Civ. P. 56(c).”); Amnesty Am. v. Town of W. Hartford,
. The plan further states that LVL XIII’s target customer "will consist of a consumer from the age group of 17-35 with the income ability to afford the likes of a Gucci or Louis Vuitton item.” JSF ¶ 14. Brown testified that when he created the business plan, he identified Gucci, Lanvin, Christian Louboutin, Giuseppe Zanotti, and LV as his "inspiration” and his "competitors.” Sloane Decl., Ex. 51 ("Brown Dep. V”), at 83.
. Johnson testified that, to generate publicity for LVL XIII, he engaged in "celebrity placement,” i.e., “[Reaching out to different celebrities[,] ... sending them photos and information about Antonio and LVL XIII.... [and] get[ting] them to wear [LVL XIII sneakers] in [the] hopes that they’re photographed in [them] because that can turn into more press opportunities.” Sloane Deck, Ex. 54 (“Johnson Dep. II”), at 38. Johnson explained that, as part of this initiative, he would provide free shoes to certain celebrities who agreed to wear them. See id. at 39.
.Darius Baptist, Derulo’s stylist, attested that, in spring 2013, after learning about Brown and LVL XIII through online media "buzz,” he approached Brown to obtain shoes for Derulo’s performance. Dkt. 135 ("Baptist Deck”) ¶¶ 9-11. Brown testified that, before agreeing to supply sneakers for the performance, he spoke with Baptist “to make sure that [Derulo] was the right fit to carry the shoes in that he catered to an audience that was a direct reflection of who [LVL XIII was] trying to target in the sense of [its] demographics.” MacMull Deck, Ex. 4 ("Brown Dep. IV”), at 374-75. He testified that he "wasn’t giving [his] shoes out to people just because they requested them. [He] wanted to know that it was a good fit and that [the celebrities who wore his shoes] fit into the
.Brown testified that Chris Brown’s stylist reached out to LVL XIII to obtain a pair of shoes because he "wanted a shoe that represented luxury and was different than what was in the market at the time.” Brown Dep. IV, at 376-77. During this conversation, Brown testified, Chris Brown’s stylist noted that Chris Brown "was a pop star, that he represented a mainstream audience[,] and that his music was played on all the radio stations.” Id. at 377. After the photo shoot, a photo of Chris Brown wearing LVL XIII sneakers was posted on the "Chris B. Fashion” Tumblr page—a fan page dedicated to tracking clothes worn by Brown. Def. Supp. 56.1 ¶ 303.
. Brown testified that his followers consist mostly of "fashion enthusiasts, editors, creative directors,” and celebrity stylists. Brown Dep. II, at 365-69. These followers, Brown testified, “are very diverse,” reflecting that his Instagram "tailors more to a mainstream audience” than to "an urban or hip hop demographic.” Brown Dep. IV, at 370.
. The list of “Media Placements” compiled by LVL XIII’s publicist includes 25 pre-March 2014 media placements, including Brown's and LVL XIII's first Instagram posts. PL 56.1 ¶218; see Media Placements, at 1-2. Johnson testified that only four of those media placements were "unsolicited”—i.e., not the result of a pitch by LVL XIII’s PR firm. PL 56.1 ¶ 218.
. LVL XIII has not produced evidence of its 2014 advertising expenditures. See PL 56.1 ¶ 164.
. As of the date of this Opinion and Order, the Carbon Bazaar website is no longer operative.
. LVL XIII has not produced any sales records for 2014, and the record evidence indicates that retailers placed orders for shoes from LVL XIII's first sneaker collection during 2013 only. See Brown Dep. IV, at 410; Def. Supp. 56.1 ¶ 304. However, Brown testified that sneakers from that collection were available at retail until at least March 2014. See Brown Dep. IV, at 300-01.
. This decision was made in collaboration with Jim Jones, LVM’s Artistic Director for “Men’s Ready to Wear.” Viti Dep. I, at 22, 26-28.
. LVL XIII was not among the designers that Viti identified as having previously used metal shoe accents. To the contrary, Viti attested that, until this litigation, he was unaware of Brown, LVL XIII, or its sneakers. Viti Deck ¶ 13; see abo Viti Dep. I, at 11-12. He further attested that LVL XIII’s sneaker design did not inform his design of the OTR Sneaker. See Viti Deck ¶ 14.
. The email also pointed out that LV had featured the metal strip "accessory” on the heel of a men’s shoe in LV’s Fall/Winter 2013 collection. PL 56.1 ¶ 52.
. Viti testified that Desmet's job was to "develop [Viti’s] designs and to ... make the work go forward in a practical way.” Viti Dep. II, at 38. Specifically, Desmet would "expand” and "develop”. Viti’s designs, but had no creative license to change them. Id. at 39-40.
. According to Viti, he did not consider the toe plate to be an indicator of source; rather, he "designed [it] ... to be a decorative or ornamental feature.” Viti Deck ¶ 10.
. These were: (1) sneaker boot in python and leather, (2) sneaker boot in bandana patchwork, (3) low-top in python and leather, and (4) low-top in bandana patchwork. PI. 56.1 ¶ 69.
. See Hall Deck; Dkt. 130 ("Johnson Deck”); Dkt. 131 ("Hamilton Deck”); Dkt. 133 ("Bolton Deck”); Dkt. 134 (“Roque Deck”); Baptist. Deck
. See PI. 56.1 ¶ 268; Hall Deck ¶ 3; Baptist Deck ¶ 9; Johnson Deck ¶ 4; Hamilton Deck ¶ 4.
. Hall Deck ¶¶ 10-11; Baptist Deck ¶¶ 15-16; Johnson Deck ¶ 11; Hamilton Deck ¶ 11.
. Roque attested that she was "disappoint[ed]” that LVL XIII had "s[old] out,” because “the draw of LVL XIII's products ... [was] the ‘start-up urban culture’ that is at the core of the company[,] which [she] view[ed] as the antithesis of [LV’s] design and product offerings.” Roque Deck ¶ 6. Bolton attested that he was disappointed because he had thought of LVL XIII as a " ‘street’ start-up that [he] could identify with and get behind,” and assumed that “now LVL XIII ... would become just another tired, oversaturated ‘global’ sneaker brand, eroding its cachet as a street-style-driven-start-up company.” Bolton Deck ¶ 5. He attested that, had he not learned the truth, he "doubt[ed] that [he] would ever have purchased products from LVL XIII again.” Id. ¶ 6.
. One features a photo of the OTR sneaker and a user comment inquiring whether it was produced by LVL XIII. Sloane Deck, Ex. 46, at 2. The other features a photo of the OTR Sneaker, tagged "New #LVL XIII shoe.” Id. at 1.
. The first, sent by Hall, attaches a photo of the OTR Sneaker and states: “Don’t know if u scene it before, but "LV did that ... Lvl Viii wayy doper. But i saw that metal in the front
. LV also objects that: (1) Colman did not review relevant parts of the record; (2) his opinions are contradicted by record evidence; (3) he opines on ultimate issues of fact and law; and (4) his bias against LV influenced his opinions. See Def. Daubert Br. 12-14, 17-19; Def. Daubert Reply Br. 10. The three objections addressed in the text are, in the Court's assessment, LV’s most substantial grievances. Because the Court holds Colman’s report and testimony inadmissible on each of those grounds, it need not decide whether LV’s other objections require preclusion.
. See University of Hawaii Manoa, UH Law School Announces New Faculty Member to Teach Intellectual Property Law (Mar. 14, 2016), https://manoa.hawaii.edu/news/article. php?ald=7761.
. LVL XIII cites HealthOne of Denver, Inc. v. UnitedHealth Group, Inc., No. 10 Civ. 1633,
. See infra, at 654-65. These are: (1) advertising expenditures, (2) unsolicited media coverage of the product, (3) sales success, (4) attempts to plagiarize the mark, and (5) length and exclusivity of the mark’s use. Centaur II,
. The Second Circuit cases on which LVL XIII relies are not to the contrary. In McGregor-Doniger Inc. v. Drizzle Inc.,
LVL XIII has identified one case outside this Circuit where the court held that it was proper to admit expert testimony on the issue of secondary meaning even though the proffered experts had no experience performing empirical analyses. In Yamaha Int’l Corp. v. Hoshino Gakki Co.,
.This case is thus easily distinguished from Hi Ltd. P’ship v. Winghouse of Fla., Inc., 3 Civ. 116 (ACC),
. Each of Colman’s publications relating to trademark law (which LVL XIII produced to the Court on July 15 and 18, 2016, see Dkt. 167) sets forth either basic legal principles or Colman’s observations and normative views as to the development and present state of intellectual property law in the United States. See materials listed at Colman Rpt., Appx. A, at 2; Dkt. 105, Ex. 3.
. Colman’s report implies that he also intended to opine on a different issue: whether the TP constitutes a conventional trademark, which can be held inherently distinctive, as opposed to product-design trade dress, which cannot be. The report states that "the placement of the metal toe plate in a regular and consistent manner on LVL XIII’s shoes has
. Nor, as the Court explained in its bench decision denying LVL XIII’s motion to preclude the report and testimony of LV’s expert, do the pleadings allege such an "urban” demographic. LVL XIII claims that its complaint hints at the popularity of its sneakers among young African-American males by noting several African-American celebrities, such as Chris Brown and Jason Derulo, who endorsed, or were seen wearing, LVL XIII shoes. PL Daubert Opp. Br. 5 (citing Compl. ¶¶ 25, 27, 29, 30, 32, 34). But the complaint does not draw that connection, and Brown himself testified that Derulo and Chris Brown do not do not "fall into the urban market at all,” but rather appeal to "mainstream” audiences. See Brown Dep. IV, at 374-75, 377-78. Indeed, he testified that Derulo’s mainstream appeal made him a "good fit” for the "target audience [that LVL XIII was] trying to reach.” Id. at 375. Nor does the fact that Brown was featured in Ebony magazine, which LVL XIII calls the "pioneering media outlet for African Americans,” PI. Daubert Opp. Br. 6 (citing Compl. ¶ 35), support that urban males were the dominant part of LVL XIII’s customer base.
. See, e.g., Zaremba v. Gen. Motors Corp.,
For the same reason, although testimony as to the perceptual tendencies of LVL XIII’s typical consumer may have been relevant, see, e.g., JIPC Mgmt., Inc. v. Incredible Pizza Co., No. 08 Civ. 04310 (MMM),
. LVL XIII denies that these 12 posts constitute "the entirety of Colman’s production] in the way of ‘social media posts,’ ” but it has not cited any record evidence of additional posts that Colman produced. See PL 56.1 ¶ 205. Colman’s failure to produce other posts is, therefore, deemed admitted. See S.D.N.Y. Local Rule 56.1(c), (d).
Although not strictly relevant to the Daubert analysis, LVL XIII's woefully incomplete disclosure of the basis for its expert’s opinion violates Federal Rule of Civil Procedure 26(a). See Koppell v. N.Y. State Bd. of Elections,
. Defending his failure to preserve documentation, Colman testified that he believed that doing so was unnecessary because the sites and social media posts he reviewed are "representative of the general landscape of what is out there.” Colman Dep. 56. But because Col-man did not produce those materials, the Court has no means by which to verify that claim, and "is left only with his ipse dixit.” Cross Commerce Media, Inc. v. Collective, Inc., No. 13 Civ. 2754 (KBF),
. LVL XIII cites Louis Vuitton Malletier S.A. v. Sunny Merch. Corp.,
. Colman claimed that "[tjhere is a sort of peer review system [in VCS] where people weigh in on the persuasiveness and thoroughness of other people’s projects,” but did not identify any project concerning secondary meaning that was subject to such review. See Colman Dep. 186-87.
. A related problem: Colman was tasked with determining whether the TP had achieved secondary meaning as of March 2014. But the social media posts he produced appear to be from a later time period. See Sloane Deck, Ex. 41; PI 56.1 ¶¶ 205-06. It is unclear to say the least, why such posts would be probative of the existence of secondary meaning at an earlier point. See Cross Commerce,
. Compare Hi Ltd.,
. See also Restatement (Third) Unfair Competition § 16 cmt.b (1995) ("Product designs are more likely to be seen merely as utilitarian or ornamental aspects of the goods.”).
. See also Fun-Damental Too, Ltd. v. Gemmy Indus. Corp.,
. An additional "doctrinal hurdle is the con-gressionally-imposed requirement that a plaintiff prove _ that an unregistered trade dress is 'not functional.’ ” Yurman Design,
Here, LV concedes that the TP is not functional, see Tr. 58, and has not argued that it is generic. Because LVL XIII’s claims fail on other grounds, the Court has no occasion to consider, sua sponte, whether the TP is generic. But the issue whether LVL XIII’s toe plate is so, and hence unprotectable even if it had acquired secondary meaning, appears substantial: The claimed trade dress consists of an unadorned metal toe plate—which, as discussed below, is a common design feature in the high-end footwear industry. See Yurman Design,
. See also Brown Dep. I, at 91-92 (testifying as LVL XIII’s 30(b)(6) witness that the allegedly infringed source identifier consists of a “metal plate” which (1) is "rectangular in shape with soft edges”; (2) contours the front of the toe of the shoe; (3) is "approximately 3 to 4 millimeters thick”; and (4) is inset into a two millimeter indentation in the outsole of the sneaker); Brown Dep. Ill, at 100 (the TP does not include the screws or the "literal element of LVL XIII”). Notably, this definition is broader than that recited in (1) the '102 Application, which sought protection for "a shoe toe design featuring a rectangular metal plate across the front of the shoe toe with the wording LVL XIII engraved in the metal plate," PI. 56.1 ¶ 106 (emphasis added); and (2) the complaint, which defines the TP as a "rectangular metal plate across the front of the shoe toe including the legend ‘LVL XIII’ engraved in the metal plate, secured by small screws in the corners of the metal plate,” Compl. ¶ 5.
. LVL XIII argues that this question cannot be resolved on a motion for summary judgment because it presents a question of fact. PL SJ Br. 12 n. 3 (citing In re Slokevage,
. The Court had no occasion to do so, because it was undisputed that the mark at issue—"one-piece seersucker outfits decorated with appliques of hearts, flowers, fruits, and the like—was product design. Wal-Mart,
. In holding that the TP is thrée-dimensional, the Court does not rely on LVL XIII’s purported concession to that effect (from which LVL XIII now distances itself), see Pi. 56.1 ¶ 126, but on its own evaluation of the record photographs of the TP, see, e.g., Compl. 2, 5, 8-9, and on the inherent dimensions of such a "metal plate.”
. Compare L’Oreal USA, Inc. v. Trend Beauty Corp., No. 11 Civ. 4187 (RA),
.In support of its trademark claim, LVL XIII relies solely on Colman's opinion that "the placement of the metal toe plate in a regular and consistent manner on LVL XIII's shoes has most likely served, since its inception, not as product design, or even product packaging, but rather, as a conventional trademark.” PI. SJ Br. 11 (citing Colman Rpt. ¶ 23). But that opinion is "purely conclusory” and "without factual basis.” Major League Baseball Props., Inc. v. Salvino, Inc.,
. LVL XIII denies that its language in the '102 Application shows that it "contemplated trade dress and not a trademark registration.” PL SJ Br. 13. In so arguing, it relies on the attestation of its trademark counsel, Erik Pelton, that he uses the word "design ... whenever the mark that is the subject matter of an application for registration contains a non-literal element,” not just for trade dress. Pelton Decl. ¶ 9. But even if that were true, it would not explain why, pursuant to TMEP § 1202.02(c), the rule for "drawings, descriptions, and disclaimers in trade dress applications,” LVL XIII amended its application to depict the screws on the toe plate in dotted lines, to indicate that they were not part of the mark. See PI. 56.1 ¶¶ 104-05.
. Given this holding, the Court need not determine whether LVL XIII would otherwise be bound by the admission in its amended answer that the TP is product design trade dress. See Def. SJ Br. 16 (quoting Dkts. 40, 42, ¶ 86 (admitting that "[t]he predicate for all four counts of LVL XIII’s complaint is that it has protectable trade dress rights in a shoe toe design featuring a rectangular metal plate across the front of the toe of a shoe”)); compare Hoodho v. Holder,
. See, e.g., Jewish Sephardic Yellow Pages,
. LVL XIII has not provided any evidence of its advertising expenditures for 2014.
. See, e.g., Jack Schwartz Shoes v. Skechers U.S.A., No. 00 Civ. 7721 (RMB) (THK),
.This case is thus easily distinguished from Centaur II,
. LVL XIII cites Amini Innovation Corp. v. McFerran Home Furnishings, Inc., 68 F.Supp.3d 1170, 1174 (C.D.Cal.2014), to support that a plaintiffs social media presence, without more, may satisfy the “advertising” factor. But that reliance is misplaced. The court there looked not only to the plaintiff's social media presence, but also to the "substantial sums [plaintiff had spent] advertising its products,” and its "substantial presence at well-attended regular industry trade shows, in trade publications, in consumer magazines, on its website, ... and through its product catalogues.” Id.; see also Denimafia Inc. v. New Balance Athletic Shoe, Inc., No. 12 Civ. 4112 (AJP),
. In fact, LVL XIII has produced only 12 social media posts, none of which appear to depict sneakers from LVL XIII’s original sneaker line, much less call attention to the TP affixed to those sneakers as an indicator of
. Although Brown testified that he “was told” that DeRay Davis "made mention of the shoes and the metal plate” on television, he clarified that he had "no firsthand knowledge” of this. See Brown Dep. IV, at 286-87; cf. Advance Magazine Publishers, Inc. v. Norris,
. See Lopez,
.The Court discussed Mazis’s survey methodology in depth in its July 28, 2016 bench opinion, which denied LVL XIII's motion to preclude Mazis's report and testimony. See Tr. 17-41.
. Mazis arrived at this figure by including the responses of all participants, regardless whether they had previously seen the shoes pictured in the survey prompt. Mazis Rpt. ¶ 38. Mazis’s primary analysis, which excluded participants who had not seen the shoes, yielded an even lower figure: Only 1% of respondents associated the TP with a single source. Id. ¶ 33.
. Mazis separately measured respondent recognition of the modified toe plate featured on LVL XIII’s second line of sneakers. At most, 4% percent of respondents associated that toe plate with a single brand. Mazis Rpt. ¶¶ 34-35, 41. None associated it with LVL XIII. Id. ¶¶ 36, 42.
. These are that: (1) the survey universe was overbroad because it included men who had bought or expected to buy any high-end shoes, as opposed to only luxury sneakers, Tr. 28-29; and (2) the survey measured recognition at the wrong point in time (z.e., in October 2015 rather than before March 2014), id. at 32-34.
.LVL XIII’s arguments to the contrary are not persuasive. As to the Verve Social Magazine piece, LVL XIII contends that it included a "photo of LVL XIII’s sneakers prominently featuring the toe plate.” PL 56.1 ¶ 220. But the two photos submitted from that piece do not focus on the TP, as opposed to other features of the sneaker’s design. One photo is shot from above, such that the TP is barely even visible. See MacMull Deck, Ex. 10, at 9. As to Jason Derulo’s performance, at no point during that segment was there any comment on the sneakers or the TP. Tr. 78. LVL XIII argues that the fact that Derulo “st[ood] on his head with these shoes in mid air” called
. See, e.g., Lopez,
. LVL XIII contests this point. See Tr. 83-84. But its claim that the posts "predate the filing of [this lawsuit]," id. at 83, is belied by their content: All appear to display shoes from LVL XHI’s second line of sneakers, which was not launched until September 2015; and one displays a use r comment referencing this lawsuit. See Sloane Deck, Ex. 41, at 10 ("he’s suing Louie Vuitton ... I'm an instant fan”). LVL XIII's counsel did not fulfill its undertaking to provide the Court with documentation that would situate any of the posts within the relevant time period. See Tr. 84 ("We will satisfy the Court on that question, if not this evening, very shortly.”).
. See also, e.g., Giggle, Inc.,
. See, e.g., Denimafia,
LVL XIII cites Mortellito v. Nina of California, Inc.,
. LVL XIII instead relies on Colman’s unsubstantiated claim of "Louis Vuitton’s history of misappropriation with respect to smaller, vulnerable innovators in general and of LVL XIII’s Mark in particular in reaction to its creative stagnancy.” PL SJ Br. 19. Col-man states that ”[l]arge, wealthy fashion companies have, since at least the 1960s, managed to remain culturally relevant in part by appropriating trends, identity markers, and other characteristics of American street-wear.” Colman Rpt. ¶ 28. On this basis, he imagines that LV "likely misappropriated LVL XIII’s metal toe plate mark in an effort to siphon the aura of creativity that LVL XIII had (and has) achieved through genuinely innovative sneaker designs.” Id. ¶ 39(b). Not only does this speculative claim lack any factual basis, it is also outside the proper ambit of expert testimony: "Determining what motivated a particular person or entity is generally not an appropriate subject matter for expert testimony.” R.F.M.A.S., Inc. v. So,
. LVL XIII also posits that LV’s "refusal to permit LVL XIII to depose [Viti’s assistant] Mathieu Desmet, whose live testimony could have provided the key to the untold story’ of the inspiration for his rapid redesign ‘re-creation,’ should be credited to [LVL XIII’s] favor at this juncture.” PI. SJ Br. 32. That argument is unpersuasive for many reasons. Among them, LVL XIII did not seek to depose Desmet until after the close of fact discovery, which the Court had already extended on multiple occasions. See MacMull Decl., Ex. 24, at 1, 3. Given that LV identified Desmet in documents produced well within the discovery period, see PI. Supp. 56.1 ¶ 412, LV was under no obligation to accede to LVL XIII’s untimely request.
. See also Paco Sport, Ltd. v. Paco Rabanne Parfums,
. See Gameologist,
. As noted, Viti testified that he was unaware of LVL XIII until this litigation. LV’s trademark counsel similarly testified. See Sloane Deck, Ex. 56, at 94-95 (no knowledge of LVL XIII or Brown before LV was served with the complaint).
. Contrary to LVL XIII's argument, Viti’s credibility is not undermined by his testimony that: (1) he "made the metal plaque more of a rectangular design”; and (2) "[t]he final shape of the metal plate of the OTR Sneaker is not a rectangle.” PI. SJ Br. 24 (citing Viti Deck ¶ 9; Viti Dep. I, at 23). Those statements are not contradictory. Nor has LV failed to supply "any evidence ... to document a timeline of independent conception and development” of the OTR Sneaker. See id. at 19. LV produced multiple records documenting the design pro
. November 2013, when LVL XIII's sneakers first became available at retail, is arguably a more appropriate measure of "first use” for purposes of gauging secondary meaning. See Def. Supp. 56.1 ¶ 293.
. See, e.g., Braun v. Dynamics Corp. of Am.,
.As to LV, Viti attested that, since 2010, he has "used metal accents, as an ornamental design feature, at the toe and/or the heel of both men’s and women’s shoes.” Viti Decl. ¶3. He identified 13 examples of LV footwear bearing such adornments, see id. 1fi!3(a)-(n), three of which were men’s shoes or boots featuring a metal toe plate, see id. ¶ 3(a) (LV men’s Derby Shoe, 2011 collection); id. ¶ 3(b) (LV men's Samouri Ankle Boot, Fall/Winter 2012 collection); id. ¶ 3(d) (LV’s men’s Reflection Shoe, 2013 pre-collection). Viti further
LVL XIII objects to this evidence as "irrelevant” and "unsubstantiated.” PL SJ Br. 25-26. The Court, for the most part, rejects that critique.
LVL XIII first argues that, because it claims rights only in a toe plate affixed to men’s sneakers, LV’s evidence of third-party use is irrelevant to the extent it involves other footwear. Id. at 26 (citing W.E. Bassett Co. v. Revlon, Inc.,
In any event, even if the Court disregarded all evidence of third-party use, the evidence of LV’s earlier use of metal accents would preclude a finding of exclusivity.
. See e.g., Giggle,
. It follows that LVL XIII's motion for summary judgment on those claims must be denied.
. Although the Court’s holding that the TP did not acquire secondary meaning obviates the need to determine whether there was a likelihood of confusion, see Thompson Med. Co.,
. Initial-interest confusion occurs when a potential customer is initially attracted to the junior user’s product by virtue of its use of a mark that is confusingly similar to the senior user’s mark. See Grotrian,
. Although LVL X3II cursorily alludes to forward confusion in its brief, see PI. SJ Br. 30, at argument, its counsel clarified that "the most prominent species of confusion here is reverse confusion. What [Brown] experienced was people seeing the shoe, believing that he had either copied the On the Road [S]neaker or that he was collaborating with Louis Vuitton.” Tr. 84.
. The Second Circuit has recognized a caveat to this general rule: “[I]n an appropriate case, the 'similarity of the marks' factor can be dispositive and will warrant summary judgment for an infringement defendant if the court is satisfied that the ... marks are so dissimilar that no question of fact is presented.” Nabisco, Inc. v. Warner-Lambert Co. (“Nabisco II”),
. See also, e.g., W.W.W. Pharm.,
. Some courts have held that "where a plaintiff alleges reverse confusion, 'it is appropriate to consider the strength of the junior user’s mark, because the essence of such a claim is that the junior user overpowers the senior user’s mark.’ ” Denimafia,
. LVL XIII has failed to identify a single similarity between the parties’ marks aside from their identity as metal toe plates. See PL SJ Br. 28-29 (arguing that parties’ marks are similar because they are both metal plates “on the toe of the outsole of their respective men’s sneakers”).
. Seizing on Viti’s testimony that the OTR Sneaker’s toe plate is “more of a rectangular design” than his initial rendition of the Jack Purcell "smile,” LVL XIII asserts that the toe plate is, in fact, a rectangle. See PL SJ Br. 29 n. 11. But LV's toe plate's dimensions speak for themselves. Its top edge is undeniably shorter than its bottom edge.
. Although LVL XIII has disclaimed the "LVL XIII” inscription and screws as parts of its mark, it acknowledges that these elements were present on every toe plate in its first sneaker collection.
. LV argues that the distinct labeling and packaging of the parties’ sneakers makes them further distinguishable. See Def. SJ Reply Br. 21 & n. 11. It is true that the logos on the OTR Sneaker (“LOUIS VUITTON" is imprinted on the heel plate, tongue, shoelace rivets, and insole; and the Initials Logo is imprinted on the rubber sole) " 'would tend to lead the average consumer to believe' that LV’s shoes are not LVL XIII’s.” Id. (quoting Lopez,
. LVL XIII’s business plan states that its target customer "will consist of a consumer from the age group of 17-35 with the income ability to afford the likes of a Gucci or Louis Vuitton item.” JSF 11 14. Brown testified that when he created the business plan, he identified LV among his "inspiration^]” and "competitors.” Brown Dep. V, at 83.
. Similarly, were LVL XIII primarily claiming confusion as to source, the exclusive distribution of the OTR Sneaker through LV-run channels would have reduced the likelihood of confusion. Consumers observing LVL XIII sneakers sold in an outside forum would have been less likely to mistakenly attribute them to LV. But such is not the case here, where LVL XIII primarily claims confusion as to association or sponsorship. Those types of confusion may exist regardless of the parties’ separate distribution channels.
. See, e.g., Bath & Body Works Brand Mgmt., Inc. v. Summit Entm't, LLC,
. The 12 individuals who contacted Brown or LVL XIII are listed in LVL XIII's interrogatories. See PI. 56.1 ¶ 267. Six submitted declarations attesting to their purported confusion. See Baptist Decl.; Hall Decl.; Hamilton Decl.; Johnson Decl.; Bolton Decl.; Roque Decl.
. Brown also testified that consumers at two boutiques had asked retailers whether LVL XIII was collaborating with LV. See Brown Dep. IV, at 415-22. But he admitted lacking first-hand knowledge of these inquiries, including how many consumers had expressed such "confusion,” or what they had said. See id. at 418-22. The Court does not credit this vague hearsay.
. See also Johnson Decl. V 4; Hamilton Decl. ¶ 4; Hall Decl. ¶ 3; Baptist Decl. ¶ 9.
. See, e.g., Jewish Sephardic Yellow Pages,
. LVL XIII has supplied no identifying details as to the third person, Edgar Moreno.
. See, e.g., Denimafia,
. See Gameologist,
. See, e.g., Dooney & Bourke,
. See Computer Assocs. Int’l, Inc. v. AJV Computerized Data Mgmt., Inc., 889 F.Supp.
. See, e.g., Trustees,
. LV’s "LOUIS VUITTON” trademark is printed on the rectangular metal heel plate, tongue, shoelace rivets, and insole of the OTR Sneaker. PI. Supp. 56.1 ¶ 407. The Initials Logo is printed on its rubber sole. Id.
. See Lane Capital Mgmt., Inc. v. Lane Capital Mgmt., Inc.,
. Brown testified that "the LVL XIII shoe and the [OTR S]neaker are essentially the same quality.” Brown Dep. IV, at 486. But his
. See also, e.g., Star Indus.,
. LVL XIII’s sneakers sold for between $495 and $1,200. See PL 56.1 ¶¶ 154-55.
.Compare Lane Capital,
. See Sunny Merck.,
. See Thompson Med. Co.,
. It follows that LVL XIII's motion for summary judgment on these claims is denied.
. Accordingly, LVL XIII's motion for summary judgment on this claim is denied'.
. See Sports Traveler I,
LVL XIII cites GTFM, Inc. v. Solid Clothing, Inc.,
. LVL XIII argues that, in addition to showing confusion, it has established "real public harm” by way of Colman's testimony that LV’s misconduct (1) deprived LVL XIII of the financial means to create innovative designs; (2) disillusioned the public by suggesting that ventures such as LVL XIII’s will ultimately “sell out” to large wealthy companies; and (3) undermined the integrity of the U.S. trademark regime and the rule of law in the public’s eyes. See PI. SJ Br. 37 (citing Colman Rpt. ¶ 39(d)). But Colman’s expert report has been precluded. And even if the Court were to consider his testimony, his claim of harm is unsubstantiated and not the type contemplated by § 349. This "evidence” would not satisfy the “public harm” requirement.
. It follows that LVL XIII’s motion for summary judgment on this claim is also denied.
. See Tr. 61-63 (agreeing there would be “[no] reason to reach” LV's first two counterclaims if Court were to determine that LVL XIII had "no.rights in th[e] toe plate” because it had not shown secondary meaning); see also Leach v. Ross Heater & Manuf. Co.,
. In its amended answer, LV also brought a counterclaim for deceptive business practices under GBL § 349, which it later withdrew, having not established public harm. Def. SJ Reply Br. 36.
. Because LV has not provided details as to the type of confusion it alleges, the Court assumes that its claims are based on a theory of traditional forward point-of-sale confusion.
.See also Star Indus.,
.LV has produced PTO registrations for the "LV ROADSCAPE” and "LV LANDSCAPE” composite marks. See Sloane Dec!., Ex. 59, at 68, 70. But it has not presented any evidence of its standalone use of the "LV” component of those marks, let alone evidence of (1) advertising expenditures in connection with such a mark; (2) a consumer study linking such a mark to LV; or (3) sales figures for products bearing such a mark. Instead, it has cited five examples of third-party references to LV as "LV.” See PL Supp. 56.1 ¶397. Without more, those isolated references cannot sustain a finding of secondary meaning for the non-stylized mark.
. See e.g., Giggle,
. See also Giggle,
. See, e.g., Nabisco II, 220 F.3d at 46-48 (parties' use of "DENTYNE ICE”-and "ICE BREAKERS” marks were "so dissimilar as to require judgment for [defendant]”); Universal City Studios,
. See, e.g., http://www.acronymfinder.com/ LVL.html (identifying "level” as highest-ranked meaning for "LVL” acronym); http:// acronyms.thefreedictionary.com/LVL (same); http://www.urbandictionary.com/define.php? term=lvl (same); http://www.internetslang. com/LVL-meaning-definition.asp ("The definition of LVL is 'Level.' ”); http://slang.org/LVL-meaning-definition ("The most popular meaning of LVL is: level.”).
. See, e.g., Hormel Foods,
. LV’s evidence that it has featured the Initials Logo on the metal heel plates of men's dress shoes, see Sloane Decl., Ex. 14, at 95-96, further supports this holding, given the similarity in price and style between those shoe and LVL XIII’s sneakers. See H. Lubovsky,
. Compare MetLife, Inc. v. Metro. Nat. Bank,
. LVL XIII’s decision to use a Roman-style font is similarly non-incriminating, given the generic nature of this typeface. See also Tr. 63 (concession by LV’s counsel that the typeface of the two logos is "not exactly the same”).
. LV has identified no case where circumstantial evidence of this caliber was found to create an issue of fact as to bad faith. And there is much case law to the contrary. See, e.g., Playtex Prods.,
. See Dooney & Bourke,
. See, e.g., Playtex Prods.,
. See THOIP v. Walt Disney Co.,
. LVL XIII separately argues that LV's counterclaims are barred by the doctrines of laches and acquiescence. See Pi. SJ Br. 40-45; PL SJ Reply Br. 2-4. To prevail on a laches defense in a trademark infringement action, a “defendant must show three things: (1) that the senior user knew of the junior user’s use of the mark; (2) that the senior user inexcusably delayed taking action; and (3) that the junior user was prejudiced by the delay.” Gucci Am., Inc. v. Guess?, Inc.,
Having dismissed LV’s counterclaims on other grounds, the Court need not resolve LVL XIII’s summary judgment motion based on these affirmative defenses. See Sunny Merch.,
