OPINION AND ORDER
Plaintiff Metrokane, Inc. brings this action for copyright infringement, trade dress infringement, trademark infringement and unfair competition against The Wine Enthusiast, Inc. (“TWE”), Adam Strum, Cybil Strum (collectively, the “Strums”) and Cisco Sales Corporation (“Cisco”) (collectively, “defendants”), alleging violations of 17 U.S.C. § 501, 15 U.S.C. § 1125(a) and New York State unfair competition laws. Plaintiff seeks preliminary and permanent injunctive relief. Defendants now move to dismiss plaintiffs trade dress infringement and unfair competition claims pursuant to Fed.R.Civ.P. 12(b)(6), to strike certain paragraphs from the Amended Complaint relating to the copyright and trademark infringement claims pursuant to Fed.R.Civ.P. 12(f), and alternatively, ask this Court to convert the motion to one for summary judgment pursuant to Fed.R.Civ.P. 12(b) and grant them summary judgment pursuant to Fed.R.Civ.P. 56. For the reasons stated below, defendants’ motion is granted in part and denied in part.
BACKGROUND
Plaintiff, a marketer of proprietary houseware products, designed a corkscrew known as the Rabbit (the “Rabbit corkscrew”) and introduced it at a trade convention in January 2000. (Am.Complt. ¶¶ 9-10.) 1 Plaintiff also owns the unregistered trademark “Rabbit” for the corkscrew (the “Rabbit trademark”). (See id. ¶ 48.) Plaintiff first shipped the Rabbit corkscrew in April 2000 and sold 115,867 units from April to December 2000, generating sales of over $3 million. (Id. ¶ 11.) Plaintiff has spent over $323,000 advertising and promoting the Rabbit corkscrew in various news and entertainment media, and it is sold throughout the United States. (Id. ¶¶ 12-20.) The Rabbit corkscrew comes in packaging that includes instructional inserts, both the packaging and the inserts bearing pictograms, or series of images, that show users how to extract a cork from a wine bottle using the Rabbit corkscrew. (Id. ¶ 26.) Plaintiff was granted a copyright registration of these pictograms on January 25, 2001. (Id. ¶ 27, Ex. 6.)
Defendants 2 manufacture and sell a corkscrew called Le Rapide (the “Le Rapide corkscrew”) that plaintiff claims illegally “copies the non-functional trade dress of [the] Rabbit [corkscrew] ... and is confusingly similar to [the] Rabbit [corkscrew].” (Id. ¶ 41.) The Le Rapide corkscrew’s package and instructional literature also contain pictograms. Plaintiff alleges that “defendants illegally copied [plaintiffs] copyrighted pictograms for their own use” and that defendants’ pictograms are “strikingly similar to — and in some cases exact copies of — pictograms that [plaintiff] has used since it first introduced the Rabbit [corkscrew] ... in January of 2000.” (Id. ¶¶ 23-24, 29-31.)
Although Judge McKenna stated that 3 out of 4 of defendants’ pictograms “appear ... to be exact copies of drawings in plaintiffs [marketing package],” and that “the fourth ... appears to be a colorable imitation of a drawing in [plaintiffs marketing package]” (McKenna Order at 2-3), he nonetheless denied the TRO because he found that defendants had previously agreed not to distribute the Le Rapide corkscrew in packaging containing the allegedly infringing drawings beyond the 1,328 packages they then had in inventory. (Id. at 3-4.) Judge McKenna also noted that plaintiff had sent cease and desist letters to all defendants save Cisco in early January, but failed to raise copyright infringement claims in those letters. As a result, he inferred that defendants reasonably may have thought that plaintiff did not object to the allegedly infringing picto-grams on defendants’ packages. (See id. at 4.) Judge McKenna concluded that “if defendants live up to their commitments” to sell only the 1,328 allegedly infringing packages, a TRO directing defendants to recall their products would be unnecessary. (Id.) As of June 27, 2001, defendants had only 191 Le Rapide corkscrews in the allegedly infringing packages remaining in inventory.
After filing the complaint but before Judge McKenna issued his decision, plaintiff brought a second OTSC seeking a preliminary injunction (“PI”) to enjoin defendants from selling the Le Rapide corkscrew in the allegedly infringing packages and from infringing plaintiffs trademark or trade dress. Because the parties attempted to sign a joint consent decree that would have resolved all the outstanding issues, neither Judge McKenna nor this Court ever addressed the second OTSC. With this Court’s permission, plaintiff filed its Amended Complaint on May 18, 2001, adding two design patent infringement claims. (See Am.Complt. ¶¶ 65-82.) 3 However, these claims are not the subject of the instant motion.
DISCUSSION
I. Standard of Review for Motion to Dismiss
A court must not grant a motion to dismiss brought pursuant to Fed.R.Civ.P. 12(b)(6) “unless it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief.”
Chance v. Armstrong,
Moreover, “[although courts may convert a Rule 12(b)(6) motion into a motion for summary judgment without formal notice to the parties, it is generally inappropriate for a court to do so when ... the parties have not had the opportunity to complete discovery.”
2 Broadway,
Plaintiff references both the Screwpull corkscrew and the Screwpull patent in an exhibit to the Amended Complaint.
(See
Am.Complt., Ex. 3.) Moreover, both items were exhibits to defendants’ briefs submitted to Judge McKenna.
(See
Defs. Mem.Supp.Mot. Dismiss at 7.) Also, because plaintiff includes drawings of the Rabbit and Le Rapide corkscrews in the Amended Complaint
(see
Am.Complt. ¶ 41), the corkscrews themselves are not extraneous to the Amended Complaint
per se.
That is, although the actual corkscrews are extrinsic physical evidence, plaintiff clearly “knew of [or] relied on them in [its] suit.”
USF & G,
II. Trade Dress Infringement Claim
The Supreme Court has recently revisited the trade dress infringement issue and stated:
It is well established that trade dress can be protected under federal law. The design or packaging of a product may acquire a distinctiveness which serves to identify the product with its manufacturer or source; and a design or package which acquires this secondary meaning, assuming other requisites are met, is a trade dress which may not be used in a manner likely to cause confusion to the origin, sponsorship, or approval of the goods.
TrafFix Devices, Inc. v. Marketing Displays, Inc.,
The Supreme Court defines a product’s feature as functional “if it is essential to the use or purpose of the article or if it affects the cost or quality of the article.”
Qualitex Co. v. Jacobson Prods. Co.,
The structure of the Rabbit corkscrew is clearly derived from that of the expired Screwpull utility patent. (See Am. Complt., Ex. 3, statement of plaintiffs owner Riki Kane: “We’ve waited 17 years for Screwpull’s lever-style corkscrew patent to expire.”) Plaintiffs allegations in the Amended Complaint even mirror the descriptions in the Screwpull patent. (See Defs.Mem.Supp.Mot. Dismiss at 7.) Indeed, plaintiffs description ’ of the Rabbit corkscrew describes equally well the mechanism of either the Screwpull or Le Rapide corkscrews: “a lever-type corkscrew comprising a housing that includes a rounded head, a pair of rounded arms that extend laterally to the rear from the head, and a lever that extends upward out of the head.” (Am.Complt.¶ 37.) Defendants argue that these statements and the Rabbit corkscrew’s derivation from the Screwpull patent dispositively prove that the Rabbit corkscrew is functional.
However, dicta in the TrafFix decision suggest that a party seeking trade dress protection can overcome the functionality presumption:
In a case where a manufacturer seeks to protect arbitrary, incidental, or ornamental aspects of features of a product found in the patent claims, such as arbitrary curves in the legs in or an ornamental pattern ... a different result might obtain. There the manufacturer could perhaps prove that those aspects do not serve a purpose within the terms of the utility patent.
In contrast, the Screwpull corkscrew, although sharing the mechanical features of the Rabbit corkscrew
(e.g.,
housing, levers extending from the top of the housing and to the side of it), is a purely functional device to pull corks from bottles. The Screwpull corkscrew has no purposely aesthetic features; its design was created solely to accomplish “the use or purpose of the device.”
Qualitex,
B. Secondary Meaning and Likelihood of Confusion
The Lanham Act provides liability for trade dress infringement when the allegedly infringing product “is likely to cause confusion, or to cause mistake, or to deceive as to the ... origin, sponsorship, or approval of [such product].” 15 U.S.C. § 1125(a)(1)(A);
Wal-Mart Stores v. Samara Bros., Inc.,
[n]othing in [§ (a)(1)(A) ] explicitly requires a producer to show that its trade dress is distinctive, but courts have universally imposed that requirement, since without distinctiveness the trade dress would not “cause confusion ...” as the section requires. Distinctiveness is, moreover, an explicit prerequisite for registration of trade dress under § 2, and “the general principles qualifying a mark for registration under § 2 of the Lanham Act are for the most part applicable in determining whether an unregistered mark is entitled to protection under [§ 1125(a)].”
Id.
(quoting
Two Pesos, Inc. v. Taco Cabana, Inc.,
1. Secondary Meaning
A trade dress acquires “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.”
Inwood Labs., Inc. v. Ives Labs., Inc.,
Here, plaintiff has alleged substantial advertising expenditures (over $323,000), unsolicited media coverage (see Am. Complt., Ex. 3), and indisputable sales success (115,867 units sold as of December 2000, generating sales of over $3 million). On the other hand, plaintiff has provided no consumer surveys; the Rabbit corkscrew has only been on the market since April 2000; and, save for the copying alleged here, there have been no attempts to plagiarize the Rabbit trade dress. Nonetheless, because “the proof of secondary meaning entails ‘vigorous evidentiary requirements’” U-Neek, 147 F.Supp.2d at 172 (citation omitted), and no discovery has yet been conducted, questions of fact remain and it would be premature for this Court to decide the issue at this juncture. However, for purposes of this motion only, we will assume that the Rabbit corkscrew has acquired secondary meaning. Plaintiff next must show that there was likelihood of confusion between the Rabbit and Le Rapide corkscrews.
2. Likelihood of Confusion
A court determines likelihood of confusion by analyzing the 8
“Polaroid
factors.”
See Polaroid Corp. v. Polarad Elecs. Corp.,
Since no discovery has yet occurred in this case, certain factors must be given less weight, if any consideration at all. For example, no evidence of actual confusion exists, for neither party had the opportunity to present it. Similarly, since neither party has conducted a consumer survey nor identified its target audience, we cannot factor in the relevant consumer group. Furthermore, it would be difficult to determine the relative “quality” of the Le Rapide corkscrew without evidence of
First and foremost, we find that the Rabbit and Le Rapide corkscrews are not substantially similar in appearance. As defendants persuasively argue, any comparison of the Rabbit and Le Rapide corkscrews must also involve their common design predecessor, the Screwpull corkscrew.
See Universal City Studios, Inc. v. Nintendo Co.,
Furthermore, because the Le Rapide corkscrew does not resemble a rabbit, we find no intentional copying of plaintiffs trade dress, and thus no bad faith on defendants’ part. For the same reason, we find no significant likelihood that the Le Rapide corkscrew will be confused with the Rabbit corkscrew by purchasers or users. Therefore, defendants’ motion to dismiss plaintiffs trade dress infringement claim is granted.
III. State Unfair Competition Claims
As Judge Chin recently stated, “[t]o state a claim for unfair competition under New York law, a plaintiff must show ... a likelihood of confusion for equitable damages.”
5
SGC Comm. Res., LLC v. The Seminar Ctr., Inc.,
No. 98 Civ. 2724,
IV. Motion to Strike
Fed.R.Civ.P. 12(f) permits a court to strike from a pleading any “redundant, immaterial, impertinent or scandalous matter.”
Id.; Wine Mkts. Int’l, Inc. v. Bass,
Defendants seek to strike paragraphs 9, 10, 20, 23 and 49 from the Amended Complaint, arguing that they are either “immaterial to” plaintiffs copyright and trademark infringement claims, or “improperly incorporated by reference” in plaintiffs trade dress infringement claim. (See Defs.Mem.Supp.Mot. Dismiss at 1, n. 1.) Paragraphs 9, 10, 20 and 23 are contained in a section titled “Allegations Common to All Counts” and provide the following information: ¶ 9 states who and what plaintiff is; ¶ 10 states that plaintiff “introduced [the] Rabbit corkscrew” at a trade show in January 2000; ¶ 20 recounts a favorable review the Rabbit corkscrew received from a noted CEO; and ¶ 23 states that defendants sell the Le Rapide corkscrew and alleges that it “has a design that is confusingly similar in appearance to ... [the] Rabbit ... corkscrew.” (See Am. Complt. ¶¶ 9-10, 20, 23.) Paragraph 49 is contained in the section specifically asserting the trademark infringement claim, and, after reiterating the statement from ¶ 23, it alleges that “Defendants use the mark ‘Le Rapide’ to identify [their] confusingly similar [Le Rapide] corkscrew.” (Am. Complt.¶ 49.)
Defendants’ arguments are wholly without merit. Paragraphs that identify plaintiff and the market history of the Rabbit corkscrew, as well as show consumer recognition of it, clearly bear on the overall issues of the case. Moreover, such general background information is neither scandalous nor redundant. Furthermore, the information about the Le Rapide corkscrew, its allegedly infringing mark and defendants’ market practices is material to the case, especially to the trademark infringement claim. Finally, defendants have not shown that they will suffer any prejudice from these paragraphs. Therefore, defendants’ motion to strike paragraphs 9, 10, 20, 23 and 49 from the Amended Complaint is denied.
CONCLUSION
For the reasons stated above, defendants’ motion to dismiss plaintiffs trade dress and unfair competition claims is granted, and defendants’ motion to strike certain paragraphs from plaintiffs Amended Complaint is denied.
SO ORDERED.
Notes
. The Rabbit corkscrew is based on an earlier, similarly-designed corkscrew, the Screw-pull (the "Screwpull corkscrew”), which was introduced in the early 1980s and whose patent expired on July 8, 1999. (See Am. Complt., Ex. 3; Defs.Mem.Supp.Mot. Dismiss at 7.)
. The Strums are officers of TWE, TWE markets the Le Rapide corkscrew, and Cisco manufactures and distributes it. (See Am.Complt. ¶¶ 4-6.)
. During an August 1, 2001 conference call with this Court and defendants, plaintiff indicated its intention to move for a new PI on its design patent claims (see Am.Complt. ¶¶ 65-82), but agreed to await the resolution of defendants’ proposed motion to dismiss those claims before filing the PI motion.
. Plaintiff cites an earlier trade dress case this Court decided,
Naso v. Park,
. Although plaintiff seeks "an Order awarding [plaintiff] all the profits derived by defendants ... as a result of defendants' infringement of [plaintiffs] trade dress, trademark, copyright ... and defendants’ acts of unfair competition” (Am.Complt. at 22, ¶ E), this relief is not money damages, but instead a disgorging of defendants' profits, which is an equitable remedy. See Restatement (Third) of Restitution & Unjust Enrichment §§ 1 cmt. c, 3 cmt. b, illus. 1 (Discussion Draft 2000).
