RULING ON DEFENDANT’S MOTION TO DISMISS AND MOTION TO TRANSFER
This is an action for trademark infringement and unfair competition, brought under federal and state law by a Connecticut manufacturer of electric strobe warning light equipment against an Arizona-based manufacturer of electric strobe warning light equipment, alleging wrongful use of five registered trademarks and one unregistered trademark owned by the plaintiff, and seeking injunctive relief and money damages. The defendant has moved to dismiss for lack of personal jurisdiction and for improper venue under Rules 12(b)(2) and 12(b)(3), Fed.R.Civ.P., and to transfer the case to Arizona, pursuant to 28 U.S.C. Section 1406(a). The plaintiff opposes both dismissal and transfer. Both parties have supported their positions with affidavits and exhibits. Having heard oral argument on October 14, 1987, the court now denies the defendant’s motion to dismiss for lack of personal jurisdiction and for improper venue. Accordingly, the request to transfer under 28 U.S.C. Section 1406(a) is also denied. However, for the convenience of the parties and witnesses, in the interest of justice, the matter is transferred to the District of Arizona pursuant to 28 U.S.C. Section 1404(a).
Background
The plaintiff, Whelen Engineering Company (“Whelen”), incorporated and head *661 quartered in Connecticut, manufactures electric strobe warning light systems under five trademarks registered with the United States Patent Office: Whelen, Strobe II, Max Beam, Mini-Max Beam, and Universal. Whelen also asserts rights to an unregistered mark, Flat-Pak, claiming that through use it has taken on a secondary and distinctive trademark meaning in Whelen’s trade territory. Whelen markets its strobe light products nationally to specialized customers such as utilities and police and fire departments, for use on emergency vehicles, school buses, motorcycles and the like. The six marks appear on products and packaging, on letterheads and bills, and on advertising by direct mail and in telephone directories, catalogs and periodicals distributed throughout the United States.
The defendant, Tomar Electronics, Inc. (“Tomar”), is wholly owned by Thomas Sikova, who is also its president, and by his wife; it is incorporated under the laws of Illinois but located entirely in a single facility in Arizona. It, too, manufactures emergency strobe lighting equipment; at least some of its products and advertising bear marks identical or very similar to those registered by Whelen. Tomar maintains no office, address or telephone number in Connecticut, and has no manufacturing or sales representative or agent residing or located in Connecticut. Tomar products are marketed nationally through advertising in catalogs and periodicals, many of which circulate in Connecticut. In response to reader inquiries during 1986 and 1987 to date, Tomar mailed catalogs to 30 potential customers in Connecticut, none of whom purchased Tomar products or received any subsequent mailings. During 1986, Tomar did make two sales in Connecticut of $1,800 and $48, amounting to 0.09% of its gross sales. In 1987 to date, Tomar has made Connecticut sales of $1,798 to a single customer, representing 0.01% of gross sales. None of those sales involved products bearing an allegedly infringing trademark. However, in June 1987 a Connecticut resident initiated an order and purchase from Tomar of its Minimax II and Maxi Strobe II strobe lights costing $325.51; subsequently, he was solicited for additional business by Tomar’s Arizona-based director of marketing. 1 Distribution of Tomar products is handled by Maxi-Signal Products Company, of Illinois, whose sales territory Tomar knows to include Connecticut. Maxi-Sales has at least one Connecticut-based agent who has represented himself to potential customers as a Tomar sales representative.
Shortly after the infringing sales were made, Whelen instituted this suit, charging that Tomar used Whelen’s trademarks or colorable imitations of them in marketing, selling and distributing Tomar products in Connecticut, and that Tomar falsely represented that Tomar products are substantially the same as Whelen’s, in violation of federal trademark law, 15 U.S.C. Section 1051 et seq. (“Lanham Act”); of the Connecticut Unfair Trade Practices Act (“CUT-PA”), Conn.Gen.Stat. Sections 42-110a et seq.; and of the common law of unfair competition and trademark protection. The defendant was served with process under Connecticut’s stock corporation long-arm statute, Conn.Gen.Stat. Section 33-411.
Discussion
I. Personal Jurisdiction 2
When personal jurisdiction is challenged through a motion to dismiss under Rule 12(b)(2), Fed.R.Civ.P., the plaintiff has the burden of making a prima facie showing that the court has jurisdiction over the defendant.
United States v. Montreal Trust Co.,
Personal jurisdiction in a trademark infringement and unfair competition action against a foreign stock corporation defendant is subject to Conn.Gen.Stat. Section 33-411.
Marvel Products, Inc. v. Fantastics, Inc.,
Whelen alleges that Tomar’s actions giving rise to this suit satisfy three alternative statutory grounds for long-arm jurisdiction. First, that Tomar repeatedly solicited business in Connecticut, by mail or otherwise (Subsection 33-411(c)(2)). Second, that Tomar produced, manufactured or distributed goods with the expectation that they would be used in Connecticut, and they were in fact used here (Subsection 33-411(c)(3)). Third, that the tortious conduct occurred in Connecticut from either repeated activity or single acts (Subsection 33-411(c)(4)). Only one of the provisions needs to be satisfied for jurisdiction to attach; the one most clearly met in this case is Subsection 33-411(c)(4), requiring tortious conduct in this forum.
A. Tortious Conduct — Subsection 33-411(c)(4)
“It is now established that ‘a cause of action for trademark infringement exists ... where an individual uses a trademark registered to another (1) without consent, (2) in connection with the sale of goods, (3) where such use is likely to cause confusion or to deceive purchasers as to the source or origin of the goods.’
Franchised Stores of New York, Inc. v. Winter,
The defendant argues that such “passing off” requires an actual sale of the product
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bearing the infringing mark.
4
However, it is widely held that “the distribution of catalogs offering goods under an infringing trademark, even without actual sales, constitutes a tortious act.”
Honda Associates, Inc. v. Nozawa Trading, Inc., 374
F.Supp. 886, 889 (S.D.N.Y.1974) (extensive citations omitted). A factor distinguishing a trademark infringement action is that the circulating of printed materials bearing the allegedly infringing marks is itself a tortious act for purposes of a long-arm statute.
See, e.g., Mitchell Daroff Enterprises, Inc. v. Danik, Inc.,
Whelen has shown that a number of print ads bearing allegedly infringing marks appeared in publications with Connecticut circulation. In addition, Tomar sent at least thirty catalogs to potential customers in Connecticut upon their request. Finally, Tomar sold apparently infringing products to one Connecticut customer. These allegedly tortious acts clearly subject the defendant to jurisdiction under Subsection 33-411(c)(4).
B. Solicitation — Subsection 33-411(c)(2)
A foreign corporation is subject to suit under Subsection 33-411(c)(2) for causes of action that arise from business solicited in Connecticut if (1) the solicitation has been repeated, and (2) it has led to orders or offers which form the basis for the cause of action.
Air Kaman, Inc. v. Penn-Aire Aviation, Inc.,
It cannot be said that the defendant here was unaware that buyers for its products were being solicited in Connecticut.
Air Kaman,
C. Products to be Used in Connecticut— Subsection 33-411(c)(3)
By the reasoning applied to Tomar’s activities in soliciting business in Connecticut, it also seems apparent that the defendant manufactured its products with the “reasonable expectation” that they would find their way to its specialized markets in Connecticut, thus satisfying long-arm jurisdiction under Subsection 33-411(c)(3). The purpose of this provision is to enable Connecticut courts to reach manufacturers in product liability suits where the defendants did not themselves ship their products to Connecticut.
Buckley v. New York Post Corp.,
D. Due Process
Having satisfied three separate and distinct statutory grounds for personal jurisdiction, the defendant's contacts with this forum must be scrutinized again to determine whether they are sufficient to meet constitutional due process requirements. Construing Subsection 33-411(c) for this purpose, the Connecticut Supreme Court has ruled that “it is the totality of the defendant’s conduct and connection with the case that must be considered ..., to determine whether the defendant could reasonably have anticipated being haled into court here.
World Wide Volkswagen Corp. v. Woodson,
This is not a case where the plaintiff’s unilateral action brought the defendant’s advertising and products into Connecticut.
World-Wide Volkswagen,
II. Venue
The court is persuaded that the net convenience of the parties and witnesses, and the availability of the principal evidence, militate that the court exercise its discretion to transfer this action to the District of Arizona in the interest of justice under 28 U.S.C. Section 1404(a).
6
It may be that because “[t]he end result is the same ... very few litigants will care whether the court purports to proceed under Section 1404(a) or Section 1406(a) in
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transferring to a district where service can be made.” 15 C. Wright, A. Miller, E. Cooper,
Federal Practice and Procedure: Jurisdiction
Section 3827 at 172 (2d ed. 1986). However, because the plaintiff has raised claims under common law and state statutory law, it is important to determine whether venue properly lies in Connecticut at all, for the law of the original forum will follow the case if it is transferred pursuant to Section 1404(a), but not if it is transferred under to Section 1406(a).
See Van Dusen v. Barrack,
Because the plaintiff brings his action under federal trademark law, venue as to those claims is controlled by 28 U.S.C. Section 1391(b), which provides in pertinent part that this suit may be brought only in the judicial district where the claim arose, or in Arizona, where the defendant resides.
7
Greene v. Sha-Na-Na,
Operating under this relatively conservative construction of Section 1391(b), trial courts have struggled mightily to articulate and apply rational standards for determining where a “substantial part” of a claim arises. The typical practice is to apply a “weight of contacts” test, in which the court compares the defendant’s contacts in the various districts with which the litigation is concerned.
Honda,
Even applying a test such as the “weight of contacts,” there may arise “the unusual case in which it is not clear that the claim arose in only one specific district.”
Leroy v. Great Western United Corp.,
Turning to the instant case, it is apparent that Tomar’s contacts with Connecticut over the year and a half in question satisfy the Honda test, albeit by a slight margin. Those contacts, in so far as they gave rise to plaintiff’s claim, amount to: (1) mailing about 30 catalogs bearing infringing marks to Connecticut in response to mail requests generated by magazine advertisements, and (2) filling two orders placed from Connecticut for allegedly infringing goods, valued at a total of $325.51, a tiny fraction of a percent of the defendant's total sales — and sales in any event contrived by the plaintiff. 9 In addition: (3) advertisements in at least 20 periodicals having Connecticut circulation, some of which carried infringing marks; (4) telephone calls to at least one potential Connecticut customer from Tomar’s Arizona-based marketing director to solicit business; and (5) active promotion of sales here by Connecticut-based agents of the firm that retained Tomar had to market Tomar products with knowledge that the firm’s sales territory included Connecticut. While these contacts are not overwhelming, the court has no evidence that the defendant’s contacts with the other available forum, Arizona, are significant enough to sustain the plaintiff’s claim at all, let alone to give rise to a “substantial part” of the claim. 10 Honda’s comparative analysis is therefore not dispositive.
Furthermore, because it is clear that Whelen’s federal trademark claims as framed arise in Connecticut but not in Arizona, the Leroy convenience scrutiny is not germane.
The plaintiff’s state statutory claim under CUTPA is not governed by Section 1391(b), but by the simple fact that the claim entirely a creature of the defendant’s contacts with Connecticut and therefore not actionable elsewhere. Thus, dismissal and transfer would deprive the plaintiff of substantive rights — in sharp contrast with the Honda line of cases.
This case wonderfully illustrates that “the problem of determining proper venue remains more complex than it needs be.” 1 Moore’s Federal Practice Section 0.140[1.-1] at 1309 (2d ed. 1986). The battery of tests that have been developed to help courts determine where to site a lawsuit *667 that could be at home in any of several districts are intended simply to achieve fairness, equity, efficiency and convenience to the parties. Venue in Connecticut is proper for the purpose of bringing this lawsuit; but, as noted above, Arizona is to be preferred for litigating it.
Accordingly, the court denies the defendant’s motion to dismiss for improper venue, and asserts jurisdiction over this case. Consequently, the defendant’s request for transfer as an alternative to dismissal, pursuant to Section 1406(a), is denied as moot.
Conclusion
For the foregoing reasons, the defendant’s motion to dismiss for lack of personal jurisdiction and for improper venue are hereby denied, as is the defendant’s request for transfer in lieu of dismissal. Upon the court’s own motion, for the convenience of the parties and witnesses, in the interest of justice, the matter is transferred forthwith to the District of Arizona, pursuant to 28 U.S.C. Section 1404(a).
Notes
. See note 4.
. The plaintiff properly invokes this court’s subject matter jurisdiction under 28 U.S.C. Section 1331 (federal question: Lanham Act); 28 U.S.C. Section 1332 (diversity; amount in controversy excees $10,000); and statutory original jurisdiction over trademark actions conferred by 15 U.S.C. Section 1121 and 28 U.S.C. Section 1338(b).
. Actual confusion between trademarks is not required; indeed, it is only one of several factors used in this circuit to be considered in determining likelihood of confusion, as articulated in
Polaroid Corp. v. Polarad Electronics Corp.,
. The defendant’s reliance on Vanity Fair for this proposition is inappropriate. The court in that case had before it only the claim that the defendant was selling products bearing the allegedly infringing marks, not as here, marketing them through advertising and catalogs showing the infringing marks or look-alikes. That was also the situation in Marvel Products. In both cases, the courts found that there were insufficient sales, absent more, to support personal jurisdiction. The defendant here has sought to challenge jurisdiction by pointing to the fact that the only sales in Connecticut of Tomar products actually bearing an infringing mark were pursuant to an order placed by a Whelen customer, at Whelen’s behest. The plaintiff acknowledges that this was so. While the court looks askance at such contrivances, it recognizes that the purpose of orchestrating the sale was to establish the availability in Connecticut of the infringing product and thus verify the applicability of the infringing advertising. Clearly, the arranged sale itself does not alone ground jurisdiction.
. Whelen has not shown that the two sales of allegedly infringing products to a Connecticut customer, see note 4, were in response to those solicitation activities. Tomar’s own marketing director followed up on those sales to solicit further business, but there is no evidence that his activity generated additional sales.
. The defendant's employees, business and sales records, and supporting witnesses are located entirely in Arizona.
. The plaintiff has also asserted that Connecticut is the proper venue because Tomar is “doing business” here within the meaning of 28 U.S.C. Section 1391(c), and that Tomar is consequently a Connecticut resident amenable to suit here. In doing so, the plaintiff has improperly sought to obligate the defendant to make a persuasive showing that venue cannot lie in Connecticut. Although some cases in other jurisdictions have held that the burden is on the objecting defendant to establish that venue is improper, the majority and “better” view is that, when objection has been raised, it is the plaintiff’s burden to establish that the district he chose is a proper venue. See 15 C. Wright, A. Miller, E. Cooper, Federal Practice and Procedure: Jurisdiction Section 3826 (2d ed. 1986). Cf. 1 Moore's Federal Practice, Section 0.140[l.-4] at 1319 (2d ed. 1986) (putting burden on plaintiff is only to be preferred in "limited situations" such as patent infringement cases). Beyond merely reciting Tomar’s contacts with Connecticut, the plaintiff has made no showing that Tomar’s activities here were so extensive as to justify requiring it to be licensed to operate in this state. It is instructive to note that the plaintiff chose not to have to try to make such a strong showing, when it alleged personal jurisdiction under a provision other than Conn.Gen.Stat. Section 33-411(b) (foreign corporation which “transacts business” in Connecticut) — although, of course, the two standards are not identical.
. Put another way, it is a practical response to the problem peculiar to litigation in areas such as antitrust or trademark infringement, where a straight "cause arose” standard could put venue in virtually every district in the nation.
. The defendant erroneously contends that no "claim arose” in this district because no products bearing the infringing marks were sold here. As noted above, in a trademark infringement action the claim arises from the circulation of ads and catalogs as well as from the sale of goods. Furthermore, the defendant mistakenly predicates this argument on the existence of a "Hartford District” and has computed the allegedly tortious activity accordingly; in fact, of course, the judicial district in which this court sits encompasses all of Connecticut.
. The defendant has asserted that its sales volume in Arizona is significantly greater than in Connecticut, but there is no indication that it advertises or sells any infringing products there, or otherwise acts so as to give rise to any of the plaintiffs claims.
