UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF FLORIDA

LUIS MANUEL RODRIGUEZ, et al.,

Plaintiffs, 

v.

IMPERIAL BRANDS PLC, et al., 

Defendants.

Case No.: 1:20-cv-23287-DPG

DEFENDANT IMPERIAL BRANDS PLC’S THIRD STATUS REPORT

Defendant Imperial Brands plc (“Imperial”) respectfully submits this status report pursuant 

to the Court’s September 23, 2020 Order [D.E. 49] granting Imperial’s motion for a limited stay 

of proceedings and directing Imperial to submit monthly status reports on its application to the 

European Commission (the “Commission”) for authorization to defend this lawsuit or, at a 

minimum, to file and litigate a motion to dismiss. By way of update, Imperial states as follows:

1. As Imperial previously advised the Court [D.E. 14, D.E. 15-1], on August 27, 2020, 

Imperial submitted an application to the Commission under Article 5 paragraph 2 of Council 

Regulation (EC) No. 2271/96, Protecting Against the Effects of the Extra-Territorial Application 

of Legislation Adopted by a Third County, and Actions Based Thereon or Resulting Therefrom, 

1996 O.J. (L. 309) 1 (EC) (“Regulation 2271/96”), for authorization to defend this lawsuit or, at a 

minimum, authorization in the first instance to file and litigate a motion to dismiss (the 

“Application”).

2. The Commission has acknowledged receipt of Imperial’s Application, and has 

cautioned Imperial that unless and until the Commission provides authorization Imperial is 

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prohibited from appearing before this Court pursuant to the summons in this action under Title III 

of the Helms-Burton Act.

3. In its first status report filed on October 23, 2020 [D.E. 51], Imperial advised that 

the Commission had informed Imperial that the Commission was analyzing Imperial’s Application 

and that the Commission would do its utmost to ensure a decision was made in due course. Id. ¶ 3. 

In its second status report filed on November 23, 2020 [D.E. 52], Imperial advised that the 

Commission had informed Imperial that the Commission was continuing to assess Imperial’s 

Application including by consulting extensively internally and with European Union Member 

States’ authorities, and that, despite the challenges caused by the pandemic, the Commission was 

doing its utmost to ensure that a decision on Imperial’s Application was made in due course.

4. Imperial requested that the Commission provide Imperial a further update on the 

status of Imperial’s Application ahead of the December 23, 2020 due date for the third status report 

to the Court. On December 22, 2020, the Commission informed Imperial that it continues to assess 

Imperial’s Application, including by consulting internally and with the Member States’ authorities.

5. As Imperial explained in its motion for a limited stay [D.E. 14], the “Brexit” 

transition period ends on December 31, 2020. Id. ¶ 13. From January 1, 2021, Regulation 2271/96 

will be incorporated into English law as “retained EU law,” and a U.K. Secretary of State will 

assume the role of the Commission in resolving requests from U.K.-based entities like Imperial 

for authorization to respond to a Title III action. Id. 

6. Accordingly, the Commission’s December 22, 2020 update noted that in the event 

the Commission does not take a decision on Imperial’s Application by December 31, 2020, then 

the Application will become moot.

7. In that event, as anticipated at the September 23, 2020 hearing on Imperial’s motion 

for a limited stay [Tr. dated Sept. 23, 2020 at 9], promptly after January 1, 2021, Imperial will 

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submit an application for authorization to the United Kingdom Department for International Trade. 

Imperial will report on the status of any such application in its next status report to the Court, on 

January 25, 2021.

Dated: December 23, 2020

Miami, Florida

 Respectfully submitted,

/s/ Mark F. Raymond

NELSON MULLINS BROAD AND CASSEL

Mark F. Raymond

Mark.Raymond@nelsonmullins.com

Jonathan Etra

Jonathan.Etra@nelsonmullins.com

2 South Biscayne Blvd., 21st Floor 

Miami, FL 33131 

Telephone: 305-373-9400

ALLEN & OVERY LLP

Andrew Rhys Davies (admitted pro hac vice)

andrewrhys.davies@allenovery.com

Justin L. Ormand (admitted pro hac vice)

justin.ormand@allenovery.com

1221 Avenue of the Americas

New York, NY 10020

Telephone: 212-610-6300

 Attorneys for Defendant Imperial Brands plc

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