Opinion Number: 1998-NMCA-159
Filing Date: September 11, 1998
Docket No. 18,495
IN THE MATTER OF THE ESTATE OF
JAN MICHELLE KEROUAC, deceased.
GERALD NICOSIA as LITERARY
PERSONAL REPRESENTATIVE,
Appellant,
v.
JOHN LASH as GENERAL
PERSONAL REPRESENTATIVE,
Appellee.
APPEAL FROM THE DISTRICT COURT OF BERNALILLO COUNTY
Gerard W. Thomson, District Judge
Jerome N. Field
Jerome N. Field, Inc.
San Francisco, CA
John S. Campbell
Wiggins, Campbell & Wells, P.A.
Albuquerque, NM
for Appellant
Rodney L. Schlagel
Sherrill K. Filter
Emily A. Franke
Butt, Thornton & Baehr, P.C.
Albuquerque, NM
for Appellee
WECHSLER, Judge.
{1}
This case poses the issue of interpreting the first
codicil to a will to determine whether the general personal representative or the literary personal representative of the
estate of Jan Michele Kerouac (Decedent) has the authority to
make decisions regarding pending litigation involving a
separate will contest at the time of Decedent's death. As
part of an informal probate proceeding, the district court
entered an order interpreting the first codicil determining
that the general personal representative holds the authority
to make decisions regarding the pending litigation, but
authorized a stay pending appeal by the literary personal
representative. For the reasons discussed below, we affirm
the district court's decision.
Facts
{2}
Decedent died in June 1996 in New Mexico. Her will
contained a first codicil executed on June 28, 1995, replacing
the paragraphs discussing the role of the personal
representative in her will executed in January 1994 and
otherwise adopting the will. The first codicil states in
pertinent part:
SEVENTH: I appoint JOHN LASH as General Executor
of this Will for all purposes save those concerning
any rights that I now possess or may hereafter
possess in any literary works or literary archival
materials, including but not limited to any
literary works or literary materials of my father,
JACK KEROUAC, and my own literary works and
materials, including but not limited to Baby Driver
and Train Song. As to these literary works and
materials, I appoint GERALD NICOSIA as Literary
Executor. In his capacity as Literary Executor, he
shall make all decisions regarding the appropriate
publication, republication, sale, license or any
other exploitation of any nature of any
intellectual property rights I have in any literary
works or materials. He shall do these things with
due regard to fostering economic return without
devaluing or cheapening the literary works or any
intellectual property rights flowing therefrom, or
in any way reflecting negatively on me, my father,
or my heirs or beneficiaries. In return for his
services as Literary Executor, GERALD NICOSIA shall
receive as compensation 10% (ten-percent) of any
income generated by any publications, sales or
other licensing arrangements that he has
negotiated, payable to him at receipt of any such
income by the estate. Such 10% shall be paid
directly by the publisher, purchaser or licensee to
the Literary Executor whenever possible. In the
event of the predecease of JOHN LASH or in the
event that he is unable for any reason or declines
to act as General Executor as defined herein, then
I nominate and appoint MAXINE BOWERS, my sister-in-law, as General Executrix of this Will, with the
same power, rights, discretions, obligations and
immunities. No bond shall be required of any
Executor appointed in this Will; none of the
Executors nominated in this Will shall be
personally liable for any loss or damage in
connection with the administration of my estate,
except in the case of willful misconduct or gross
negligence.
. . . .
EIGHTH: I authorize my General Executor to sell
at either public or private sale, with or without
notice, any non-literary property belonging to my
estate and to invest any surplus monies subject
only to any confirmation required by law.
{3}
At the time of her early death, Decedent was involved in
a will contest regarding the probate of her grandmother's will
in Florida. Decedent was the daughter of the late author Jack
Kerouac, and his second wife, Joan Haverty. When Jack died in
1969, his third wife, Stella Sampas, took a dower's share
(one-third interest) and his mother, Gabrielle Kerouac,
received the remaining two-thirds of his estate. When
Gabrielle passed away in 1973 in Florida, the terms of her
will left all of Jack's personal property to Sampas. Sampas
died in Florida in 1990 leaving her property, including the
property she received from Gabrielle's estate, to her
relatives.
{4}
Decedent did not receive notice of either of these
probate proceedings. After she learned of Gabrielle's will,
she commenced an action in Florida state court on May 16,
1994, seeking to revoke the probate of Gabrielle's will
alleging that the will was a forgery. This action had not
been resolved at the time of Decedent's death and is still
pending. If Gabrielle's will is determined to have been a
forgery, Decedent's estate and Paul Blake Jr., Gabrielle's
other grandchild, or his heirs, would inherit the estate
through intestacy. The estate includes certain rights to some
of Jack Kerouac's literary works. After Decedent's death,
John Lash, acting as the general personal representative of
Decedent's estate, reached an agreement with the heirs of
Sampas to confidentially settle and dismiss the litigation
involving Gabrielle's will.
{5}
During a status conference before the Florida court,
Gerald Nicosia, the acting literary personal representative,
opposed dismissal of the litigation. The judge expressed
concerns about the respective authority of the general
personal representative and the literary personal representative. The Florida court subsequently entered an
order staying the litigation before it, pending a
determination by the New Mexico state courts as to the
authority of each representative.
{6}
The general personal representative then filed a motion
in New Mexico state court to interpret the codicil and
determine his authority as the general personal
representative. Following briefing and a hearing, the district
court entered an order granting the general personal
representative the authority to control the litigation in
Florida. The literary personal representative appeals from
this order.
Discussion
{7}
Despite the apparent complexity of the litigation, the
issue to be resolved in this case is straightforward--whether
the interpretation of Decedent's first codicil authorizes the
general personal representative or the literary personal
representative to make decisions regarding the Florida
litigation.
{8}
Initially, we note that while the will and codicil use
the term "executor," our Uniform Probate Code recognizes the
term "personal representative," but also includes "executor"
in its definition. See NMSA 1978, § 45-1-201(A)(34) (1995).
Since New Mexico uses the term "personal representative," we
will use that term in our discussion. Additionally, the
Uniform Probate Code does not expressly provide for the
appointment of a literary personal representative, see NMSA
1978, §§ 45-3-701 to -721 (1975, as amended through 1995), and
no New Mexico case law exists recognizing a literary personal
representative.
{9}
However, we liberally construe the Uniform Probate Code
to meet its policies, which include effectuating the intent of
the decedent. See NMSA 1978, § 45-1-102 (1975); see also In
re Estate of Romero, 115 N.M. 85, 88, 847 P.2d 319, 322 (Ct.
App. 1993) (a decedent may dispose of her property as she sees
fit, unless such a disposition is illegal or violates public
policy). The function of a literary personal representative
has been recognized by other courts and authorities. See In
re Bartlett's Estate, 101 N.Y.S.2d 675, 676 (Sup. Ct. 1950);
Cym H. Lowell & Terry R. Abel, Estate Planning for the
Instantly Wealthy Including Resident and Non-Resident Aliens,
23 Univ. of Miami Inst. on Estate Planning ¶ 1602.5, at 16-16
(1989). Although not directly applicable here, the Uniform
Probate Code does recognize the use of co-representatives to
act jointly when so appointed. See § 45-3-717. We see no
reason not to recognize, nor do the parties oppose, use of a
literary personal representative.
{10}
The fact that the parties agree that the first codicil is
clear and unambiguous is significant. Interpretation of an
unambiguous will or codicil is a question of law, to be reviewed de novo. See Portales Nat'l Bank v. Bellin, 98 N.M.
113, 117, 645 P.2d 986, 990 (Ct. App. 1982). In interpreting
an unambiguous will, the long-standing rule is that "the court
must attempt to give effect to the testator's intent." In re
Estate of Bowles, 107 N.M. 739, 740, 764 P.2d 510, 511 (Ct.
App. 1988). Instead, the literary personal representative
argues that we should not only examine the language of the
document to determine the testator's intent, but also the
surrounding circumstances. This argument is contrary to well-established New Mexico law that intent is to be ascertained
from the four corners of the will. See Portales Nat'l Bank,
98 N.M. at 117, 645 P.2d at 990 ("Where a will is unambiguous,
extrinsic evidence is not admissible to vary, contradict or
supplement the language of a will, or to give a different
intention on the part of the testator from that stated in the
will itself."); In re Estate of Cruse, 103 N.M. 539, 541, 710
P.2d 733, 735 (1985); Brown v. Brown, 53 N.M. 379, 387, 208
P.2d 1081, 1086 (1949).
{11}
The first codicil can be read very plainly to give the
literary personal representative control over literary works
that Decedent possessed or may come to possess. It states
that the literary personal representative is to have control
and manage "any rights that I now possess or may hereafter
possess in any literary works" of Decedent or her father.
This statement is understandable in light of the Florida
litigation. See Levenson v. Mobley, 106 N.M. 399, 403, 744
P.2d 174, 178 (1987) (in order to determine if a written
instrument is free from ambiguity, court may consider
circumstances surrounding execution of the instrument).
Decedent knew at the time she prepared the first codicil that
she had commenced the Florida litigation. She signed the
first codicil on June 28, 1995, eleven months after she filed
the Florida action. The first codicil appoints the literary
personal representative to "make all decisions regarding the
appropriate publication, republication, sale, license or any
other exploitation" of rights in literary works. It does not
mention the Florida litigation which was on-going at the time.
In this context, the terminology "that I . . . may hereafter
possess" makes sense to mean rights that result from a remedy
achieved in the Florida litigation.
{12}
Our conclusion is supported when we analyze the nature of
a cause of action as a property right. The parties do not
dispute that Decedent's Florida cause of action is a property
right which can be inherited under New Mexico law. See In re
Morrow's Will, 41 N.M. 723, 735-36, 73 P.2d 1360, 1368 (1937).
This property right, the cause of action, is distinguishable
from a remedy. See Key v. Chrysler Motors Corp., 1996-NMSC-038, 121 N.M. 764, 768, 918 P.2d 350, 354 ("A cause of action
is defined as an 'aggregate of operative facts which give rise
to a right enforceable in the courts.'" (quoting 2 James Wm.
Moore et al., Moore's Federal Practice ¶ 2.06c, at 2-56 (2d
ed. 1998))); see also 1 Am. Jur. 2d Actions §§ 1, 2 (1994)
(cause of action is a matter of substance concerned with
violation of a right, not a matter of remedy); John Norton Pomeroy, Code Remedies: Remedies and Remedial Rights §§ 346-47, at 527 (Walter Carrington, ed., rev. 5th ed. 1929) (result
to be obtained is the remedy or "object of the action," not
the "cause of action"). Thus, while the cause of action is
inheritable, the remedy, because it is a contingency, is not
part of the inheritance. The cause of action is only the
right to pursue the remedy.
{13}
The requested remedy of the Florida litigation is to
revoke or set aside Gabrielle's will. If that will is set
aside, Decedent's estate and other heirs will inherit
Gabrielle's estate through intestacy. The contents of this
estate presumably also include property other than Jack
Kerouac's literary rights. As this other property would be
outside the control of the literary personal representative,
the literary personal representative would be under no
obligation to protect Decedent's rights to such property.
While the underlying reason of the Florida litigation may be
to obtain control of Jack Kerouac's literary rights, that
purpose is not the direct cause of action being pursued.
{14}
We recognize Decedent's intent to preserve the integrity
of the literary works. By our conclusion, we are not
depriving the literary personal representative of his role to
manage Decedent's right to literary property. The role of the
literary personal representative is to manage the rights to
literary works owned by Decedent's estate by making decisions
about publication and sale and doing so with "due regard to
fostering economic return without devaluing or cheapening the
literary works." See In re Estate of Hellman, 511 N.Y.S.2d
485, 488 (Sur. Ct. 1987) (management of literary rights
"requires a delicate balance between economic enhancement and
cultural nurture"). At the present time, these works include
Decedent's own literary accomplishments, and, apparently
certain works of her father. Decedent's estate does not yet,
and may never, own the rights to her father's works that are
at stake in the Florida litigation. If the Florida litigation
is resolved in favor of Decedent's position, and the estate
later inherits ownership of the literary property at stake in
the Florida litigation, the authority to manage them will fall
under the purview of the literary personal representative.
Since the cause of action is a "property right," not a
"literary right," the estate's connection to the literary
property at stake in the Florida litigation is too remote at
this time for the literary rights to be considered rights
which fall within the first codicil.
Conclusion
{15}
Decedent's codicil is unambiguous. It carves from the
general personal representative's authority "any rights that
I now possess or may hereafter possess in any literary works."
Prior to her death, Decedent did not possess the rights to her
father's literary works that are at stake in the Florida
litigation. Decedent's rights to the literary property at
stake in the Florida litigation are inchoate in nature; her estate will not possess them unless and until the estate is
victorious in the Florida litigation. We affirm the decision
of the district court.
{16}
IT IS SO ORDERED.
______________________________
JAMES J. WECHSLER, Judge
I CONCUR:
______________________________
A. JOSEPH ALARID, Judge
M. CHRISTINA ARMIJO, Judge (Dissenting)
ARMIJO, Judge, dissenting.
{17} This appeal decides the fate of litigation that may
significantly affect Jan Kerouac's (Decedent's) rights
concerning the literary works of her father, Jack Kerouac. I
respectfully dissent because I do not agree with the
majority's refusal to recognize the Literary Personal
Representative's authority to act within the separate domain
established for him in Decedent's First Codicil to her Last
Will and Testament.
{18} The relationship of Decedent to her father and his
literary works can not be understated. Jack Kerouac was a
prominent figure in the "beat" counterculture who authored 18
or more books, including the legendary On the Road. He was
considered an icon of the "Beat Generation." Decedent also
was an author in her own right. Her main source of income was
from book royalties, including royalties for certain works of
her father. Upon her death, and in accordance with the
provisions of the First Codicil to her Last Will and
Testament, her ex-husband was appointed to serve as General
Personal Representative and her literary agent was appointed
to serve as Literary Personal Representative of her estate.
The Literary Personal Representative is the author of Memory
Babe: A Critical Biography of Jack Kerouac and is considered
an expert on the works of Jack Kerouac. The Literary
Personal Representative also possessed experience as an
author, teacher, lecturer, editor and literary agent. The
present appeal arises from the General Personal
Representative's efforts to unilaterally dismiss litigation in
Florida without the Literary Personal Representative's
knowledge or consent.
{19} The effect of such a dismissal will be to abandon any
rights that Decedent's estate may have in certain literary
property that once belonged to Jack Kerouac, including
significant royalties. According to the Literary Personal
Representative, the literary materials at stake in the Florida
litigation are being sold piecemeal to various collectors,
thus defeating Decedent's intent to preserve the integrity of her father's literary estate for future scholarship.
{20} To allow the General Personal Representative to
unilaterally dismiss the Florida litigation is contrary to
Decedent's intent as expressed in her will and codicil.
Further, it renders the Literary Personal Representative
unable to effectively administer the estate's rights to
literary property, an area in which he possesses particular
expertise.
{21} The Probate Code recognizes that a will or codicil may
place restrictions on the authority of personal
representatives. See NMSA 1978, § 45-3-715(A) (1995). This
practice is consistent with the principle that:
the power of an executor may be limited as to the
subject-matter upon which it is to be exercised.
Thus, the testator may make A. his executor for his
plate and household stuff, B. for his sheep and
cattle, C. for his leases and estates by extent,
and D. for his debts due to him. So a person may
be made executor for one particular thing only, as
touching such a statute or bond, and no more. And
the same will may contain the appointment of one
executor for general, and another for limited
purposes.
1 Sir Edward Vaughan Williams et al., A Treatise on the Law of
Executors and Administrators 291 (6th Am. ed. 1877) (footnotes
omitted); see also In re Will of Rubin, 540 N.Y.S.2d 944, 945
(Sur. Ct. 1989) (recognizing right of testator to limit,
qualify, or condition authority granted to his fiduciary as to
subject matter, such that one executor may be given exclusive
authority over a particular group of assets); In re Bartlett's
Estate, 101 N.Y.S.2d 675, 676 (Sup. Ct. 1950) (while there is
no such thing as "literary executor" under New York law, a
person may be designated as executor solely for purpose of
administering literary property).
{22} In this case, the provision in Decedent's codicil
"concerning any rights that [she] now possess[es] or may
hereafter possess in any literary works or literary archival
materials" is a valid restriction on the General Personal
Representative's authority. In ascertaining Decedent's
intent, we cannot disregard this restriction and isolate other
provisions in the will or codicil such as those which
authorize the Literary Personal Representative to make
decisions about "the appropriate publication, republication,
sale, license or any other exploitation [of] literary works or
materials." We must read each part in the context of the
testamentary instrument as a whole. See New Mexico Boys
Ranch, Inc. v. Hanvey, 97 N.M. 771, 773, 643 P.2d 857, 859
(1982); In re Will of McDowell, 81 N.M. 562, 563, 469 P.2d
711, 712 (1970).
{23} Reading the will and codicil as a whole and applying
relevant provisions of the Probate Code, the only logical conclusion is that, within each of their respective domains,
each personal representative has those powers which are
necessary for him to carry out the purposes of Decedent's will
and his duties thereunder. See generally §§ 45-3-711, -715, -720; cf. City Bank & Trust Co. v. Morrissey, 454 N.E.2d 1195,
1199 (Ill. App. Ct. 1983) (trustee will take whatever legal
estate is necessary for him to carry out the purposes of
testamentary trust and his duties thereunder); Rentz v. Polk,
228 S.E.2d 106, 108 (S.C. 1976) (where testamentary trust gave
trustee power to borrow, rent, invest, and collect income with
expectation that assets increase in value, it would be
impossible for trustee to perform duties imposed upon her
unless she had legal title to trust property).
{24} The majority's decision today effectively denies the
Literary Personal Representative any powers with respect to
the Florida litigation on the basis of an arcane distinction
between a cause of action and a remedy. This ignores both
Decedent's intent to restrict the General Personal
Representative's authority to non-literary property and the
practical aspects of administering a literary estate. As one
scholar notes,
the estate of a[] [famous] author is . . . likely
to consist of a mass of intangible rights,
contracts, rights to receive royalties and other
income, rights to exercise artistic control and
business control, merchandising rights and the
like. All of these require active management,
exploitation, unity of purpose in management and
constant police work to maximize their value. . . .
A cumbersome division of the rights into
competitive shares will substantially reduce their
value.
Allen H. Arrow, Estate Planning Problems of Authors,
Performers, and Other Creative Persons, 9 Univ. of Miami Inst.
on Estate Planning ¶ 1709, at 17-14 (1975); see also In re
Estate of Hellman, 511 N.Y.S.2d 485, 488 (Sur. Ct. 1987)
(giving effect to testator's intent that her rights in
literary property "be handled in a unified, expert and
appropriate manner"); Cym H. Lowell & Terry R. Abel, Estate
Planning for the Instantly Wealthy Including Resident and Non-Resident Aliens, 23 Univ. of Miami Inst. on Estate Planning ¶
1602.5, at 16-15 to 16-16 (1989) ("The ongoing monitoring of
rights pursuant to copyright laws, handling intangible assets
and enforcing merchandising and contractual rights may well
necessitate a unity of action.").
{25} I fear that the majority's distinction between a cause of
action and a remedy will result in a cumbersome division of
authority between the two personal representatives in this
case, one who possesses the requisite expertise to administer
literary assets, one who does not. Such a cumbersome division
would be contrary to the provision in Decedent's codicil which
assigns the Literary Personal Representative the task of
"fostering economic return without devaluing or cheapening the literary works or any intellectual property rights flowing
therefrom, or in any way reflecting negatively on me, my
father, or my heirs or beneficiaries." For these reasons, I
must respectfully dissent.
________________________________
M. CHRISTINA ARMIJO, Judge