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HomeMy WebLinkAbout02-0843 PETITION FOR GRANT OF LETTERS OF ADMINISTRATION EStare oj Courtney E. Spiker also known as No. 21-02 643 To: Register of Wills for the Deceased. County of Cumberlann in the Commonwealth of Pennsylvania Social Security No. 197-72-2223 The petition of the undersigned respectfully represents that: Your petitioner(s), who is~~ 18 years of age or older, applies for letters of administration on the estate of Cd.b.n.; pendente lite; durante absentia; durante minoritate) the above decedent. Decendent was domiciled at death in Cumberland County, Pennsylvania, with her last family or principal residence at 26 Pheasant Court (list street, number and municipality) Decendent, then 9 years of age, died October 23 MHershey Medical Center, Dauphin County, Pe~nsvlvania ,19 2000 , Decendent at death owned property with estimated values as folllows: (If domiciled ifi Pa.) All personal property (If not domiciled in Pa.) Personal property in Pennsylvania (If not domiciled in Pa.) Personal property in County Value of real estate in Pennsylvania situated as follows: $ 0.00 $ 0.00 $ 0.00 $ 0.00 Petitioner~ after a proper search h~ ascertained that decedent left no will and was survived by the following spouse (if any) and heirs: Name Relationship Residence William M. Spiker Terri Penrose F 1"10 h htown PA 'csburg PA THEREFORE, petitioner(s) respectfully request(s) the grant of letters of administration in the appropriate form to the undersigned. ...... i c:l ~ ~..-.q ~~O~/ ~ E Terri Penrose ....... ~ ~ 34 Mallard Court -g.g =~ Mechanicsburq PA 17055 'Ui~ 'ii'.... ;0 os C l>O Vi /? -c?9- ~ OATH OF PERSONAL REPRESENTATIVE COMMONWEALTH OF PENNSYLVANIA COUNTY OF Cumberland } 58 The petitioner(s) above-named swear(s) or affmn(s) that the statements in the foregoing petition are true and correct to the best of the knowledge and belief of petitioner(s) and that as personal representative(s) of the above decedent petitioner(s) will well and truly administer the estate according to law. Sworn to or affirmed and subscribed before me this 1 8 t h day of SEP~~~ ~?()n? r/ h~L77" j /Y) '~;J Z ~ n::t ~ ~ .J~ Reg'leT J';:\D q?~~ Terri Penrose I L - <I) 'lS' ... =' i ... l'Il ......":. r No. 21 Q2 643 -' Estate of Courtney E. Spiker , Dee~ed 1,.,....J GRANT OF LETTERS OF ADMINISTRATION AND NOW SEPTEMBER 18, .? n (1) 19;;2002 , in consideration of the petition on the reverse side hereof, satisfactory proof having been presented before me, IT IS DECREED that Terri Penrose is/iiR entitled to Letters of Administration, and in accord with such finding, Letters of Administration are hereby granted to Terri Penrose in the estate of Courtney E. Spiker /1/n/.7lfl//7} OLL.o /~ /.O~.onLcf Register of Wills /~ /~ /~ FEES Letters of Administration $ 1 8 . 0 0 Short Certificates( ).......," $ 9 . 0 0 Renunciation "",.,..".,... $ 5 . 0 g JCP $ 5.00 TOTAL _ $ 37.00 Filed .........,........... A.D. :lJJ2.QQL Bruce J. Warshawsky ID No. 58799 ATTORNEY (Sup. Ct, I.D. No.) 1820 Ling1estown Rd Harrisburg PA 17110 ADDRESS (717) 232-8500 PHONE H105.112 REV 8/88 (FEE FOR THIS CERTIFICATE $2.00) WARNING: IT IS ILLEGAL TO ALTER THIS COPY OR TO DUPLICATE BY PHOTOSTAT OR PHOTOGRAPH. COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF HEALTH VITAL RECORDS LOCAL REGISTRAR'S CERTIFICATION OF DEATH CERT. NO. T 4628144 'li/iill""7ilf 1111'~~\.1" Of i1;'----. ,/I~~~.r.''''", ~f~~ '. !I'.... . ~ ~\ ~~~_~:..: \~i ~Q..,,- I-~ ~""'~...".'.'~'. ,;J::", ~ , ,..'1)1:'1 ,I ~ i * - .",.- -. :.' _~I * I \. ~ '.c. . i~,l \.~~ A~\\\ "'--~~~:?IMENf~\ ~~'ll\\\ "'....",,,''''''#IIIIIJlIII,1 10-25-2000 Date of Issue of This Certification 21-02-843 Name of Decedent CO~'Th, lEY '" E Middle ~PTKF.R Last Sex FEMALE Social Security No. 197-72-2223 Date of Death 10-23-2000 Date of Birth 10-03-91 Birthplace PENN~YLVANIA Place of Death HF'RSHF.Y MRDTC'AT. C'F.NTER Facility Name DAUPHIN County DERRY 'IWP. City. Borough or Township Pennsylvania Race WHT'l'F. Occupation NEVER WORKED Armed Forces? (Yes or No) NO Decedent's SII>TGLE Mailing Address ? h PHF.A~AN'T' C'OURT MECHANICSBURG Number Street City or Town Marital Status PA Slate Informant WTT.T.TAM M ~PTKER Funeral Director FRANK S. MILLER Name and Address of Funeral Establishment ] 30 N MA:RKF.'T' S'l'RRR'l' F.T ,T7.ARF.TH'T'OWN. PA Part I: Immediate Cause Interval Between Onset and Death (a) ANOXTA (b) (c) (d) Part II: Other Significant Conditions Manner of Death Natural ~ Accident 0 Suicide 0 Describe how injury occurred: Homicide Pending Investigation Could not be Determined o o o Name and Title of Certfier PATTY J. GARBER. CHIEF DEPUTY CORONER Address (M.D., D.O., Coroner, M.E.) HERSHEY MEDICAL CENTER HERSHEY This is to certify that the information here given is correctly copied from an original certificate of death duly filed with me as Local Registrar. The original certificate will be forwarded to the State Vital Records Office for permanent filin~~""}f{~ 36:~,;,~ 10-25-2000 Date Received by Local Registrar 25 IRIS CIRCLE ELIZABETHTOWN Street Address City, Borough. Township Register of Wills of e~'oa'and County, Pennsylvania RENUNCIA TION Estate of Courtney E. Spiker No. 21-02-843 also known as . , Deceased The undersigned, Father of (Relationship) (Capacity) the above Decedent, hereby renounce(s) the right to administer the estate and respectfully request(s) that Letters of Administration be issued to Terri Penrose Witness my hand this day of .2002 rt') (Signature) william M. Spiker 76 j /J ~dress) ~~.~ (Signature) Ironstone Dr, Elizabethtown PA 17022 M~~ (Address) (Signature) (Address) Sworn to or affirmed and subscribed ~5P-> d'Vof . 20 tJ ~ /~+ Notary Public My Commission Expires: NoIIriaI Seal QIIhleen PIyor, NaIIry PU:lIi: City Of Hanistug. DaIphn Ccu1ly My Coo..lil.diun &pres J&q 15, 3Xl8 Member, Pennsylvania AsIccisIIan Of NrllIIiIlI (Signature and .eel 01 Notary or othe, official NOTE: Renunciations executed outside the Office of Register of Wills are required in some counties to be notarized. qualified to administer oath.. Show date of expiration 01 Notary'. commission.) RW-13 (Rvsd 9/92) V'- CERTIFICATION OF NOTICE UNDER RULE 5.6(a) Name of Decedent: Courtney E. Spiker Date of Death: October 23. 2002 Will No. Admin.No. 2002-00843 To the Register: I certify that notice of beneficial interest required by Rule 5.6(a) of the Orphan's Court Rules was served on or mailed to the following beneficiaries of the above- captioned estate on December 3. 2002 Name Address Terri Penrose William M. Spiker 34 Mallard Court Mechanicsburg Pa 17055 76 Iron Stone Drive. Elizabethtown. Pa 17022 Notice has now been given to all persons entitled thereto under Rule 5.6(a) except: None Date: December 3, 2002 ~.1~~ 1820 Linglestown Road Harrisburg, PA 17110 (717) 232-8500 Capacity:_ Personal Representative l Counsel for Personal Representative RW-35 IN RE: ESTATE OF COURTNEY E. SPIKER, TERRI PENROSE, Administratrix, : IN THE COURT OF COMMON PLEAS : CUMBERLAND COUNTY, : PENNSYLVANIA v. : NO. 21-02-0843 Decedent's SSN: 197-72-2223 Date of Death: 10/23/2000 PRAECIPE To: REGISTER OF WILLS and CLERK, ORPHANS' COURT Please kindly note that my address and law firm affiliation have changed, and that I am continuing my representation of the Terri Penrose, Administratrix of the Estate of Courtney E. Spiker, in connection with this pending case. lJ) l'Y) . . ,,:( a .' ? - METZGER, WICKERSHAM, KNAUSS & ERB, P.C. ...- :::e 1'1. j) (1) C1 ~:; o't,~ U(J) IDo: a:: I"") N >- ~ \) r- '] ~:D ." .0 .::s:: \.JJ= .:)(5 ce J. arshawsky, sire Supreme Court Id No 99 3211 North Front Street Harrisburg, PA 17110-0300 (717) 238-8187 Attorney for Terri Penrose, Administratrix of the Estate of Courtney E. Spiker a . Date: 1/~r3 281046-1 JRD/June 30, 1992/17858 In Re: Estate ofCourtney E Spiker : ORPHANS' COURT DIVISION Late of Mechanicsburg Borough : COURT OF COMMON PLEAS OF : CUMBERLAND COUNTY Estate No.: 21-02-0843 : PENNSYLVANIA : : NO. 21-02-0843 NOTICE OF FAILURE TO FILE STATUS REPORT AND REQUEST TO CONDUCT A HEARING PURSUANT TO RULE 6.12, SUPREME COURT ORPHANS' COURT RULE Personal Representative: Terri Penrose Counsel for Personal Representative: Bruce J Warshawsky Date of Decedent's Death: 10/23/2000 Date of Delinquency Notice: 08/11/04 The undersigned, Glenda Farner-Strasbangh, Clerk of Orphans' Court, in accordance with Rule 6.12, Supreme Court Orphans' Court Rules, hereby notifies the Orphans' Court Division, Court of Common Pleas of Cumberland County, that neither the above named personal representative nor the above named counsel for the personal representative have filed with the Register of Wills or Clerk of the Orphans' Court his, her or its Status Report required by Rule 6.12, Supreme Court Orphans' Court Rule and that the requisite notice, pursuant to Rule 6.12, Supreme Court Orphans' Court Rules, was given by the Clerk of the Orphans' Court on April 30, 2004, and that the ten (10) day notice to file the Status Report has expired. Accordingly, in accordance with Rule 6.12 the Court is hereby notified of such delinquency and the undersigned requests that a Court conduct a hearing to determine whether sanctions should be imposed upon the delinquent personal representative or counsel for the delinquent personal representative. Date: 11/08/04 Glenda Farner Strasbaugh Clerk of the Orphans' Court Distribution: Personal Representative Counsel for Personal Representative Estate File A heahng is scheduled for ' at in Cou~room No. 3. If the Status Repo~ is filed phor to the hearing date, the he~ing will automatically be cancelled. Ge e .~ STATUS REPORT UNDER RULE 6. ] 2 Name of Decedent: SPIKER, Courtney L. Date of Death: 1 0-23-2000 Will No.: Admin. No.: 2002-00843 Pursuant to Rule 6.12 of the Supreme Court Orphans' Court Rules, I report the following with respect to completion of the administration of the above-captioned estate: 1. State whether administration of the estate is complete: Yes >4o [] 2. If the answer is No, state when the personal representative reasonably believes own that the administration willbe complete: Litigation Pending - unkn date of completion: Dauphin County Court of Common Pleas 3. If the answer to No. 1 is Yes, state the followLng:~4391 -CV-2002 a. Did the personal representative file a final account with the Court? Yes _ No [] b. The separate Orphans' Court No. (if any) for the personal representative's account is: c. Did the personal representative state an account informally to the parties in interest? Yes ~'] No [--] c. Copies of receipts, releases, joinders and approval of formal or informal accounts may be filed with the Clerk of the Orphans' Court and maybe attached to this r~_.//]// ~ /~x :r'~ Bruce J. Warshawsky ~. Name :~ Cunningham & Chernicoff, P.C. 2320 North Second Street u~ Harrisburg, PA 17110 ~' Address '~ .~.~ 717-238-6570 ' ~-~ Telephone No. Capacity: ___~ Personal Representative [] Counsel for personal representative IN RE: ESTATE OF C OUR TNE Y E. SPIKER BY TERRI PENROSE, A DMINIS TRA TRIX Decedent's SSN: 197-72-2223 Date of Death: 10/23/2000 IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYL VANL4 ORPHANS' COURT DIVISION NO. 21-02-0843 TO: REGISTER OF WILLS AND CLERK OF ORPHANS' COURT PRAECIPE TO ENTER APPEARANCE/CHANGE OF ADDRESS AND LA W FIRM AP'~ ILIA TION OF COUNSEL Bruce J. Warshawsky, Esquire has changed his law firm affiliation and address and will continue to represent Administratrix of the Estate of Courtney E. Spiker, Terri Penrose, in the above captioned action. Please kindly enter the appearance of Bruce J. Warshawsky, Esquire and the Law Firm of Cunningham and Chernicoff, P.C., on behalf of Administratrix of the Estate of Courtney E. Spoker, Terri Penrose, in the above captioned action. CUNNINGHAM & CHERNICOFF, P.C. CUNNINGHAM & CHERNICOFF, P.C. 2320 N. Second. Sa Harrisburg, PA 17110 Mailing Address: P.O. Box 60457 Harrisburg, PA 17106-0457 (717) 23S-6570 Attorneys for Administratrix, Terri Penrose PRAECIPE TO WIT~ ~4PPF.~RANCE Kindly withdraw the appearance of Metzger, Wickersham, Knauss & Erb, P.C. on behalf of Terri Penrose, Administrtrix of the Estate captioned above. Dated: METZGER, WICKERSIZ4M, KNA USS & ERB, P.C. Stev~/n P. Miner, Esquire P/i Supreme Court ID# 38901 Metzger, Wickersham, Knauss & Erb, P.C. 3211 N. Frot~ S~ Harrisburg, PA 17110 (717) 238-8187 CERTIFICATE OF SERVICE I, Julieanne Ametrano, Legal Secretary for the law office of Cunningharn & Chemicoff, P.C., do hereby certify that a tree and correct copy of the Praecipe to Withdraw Appearance/Enter Appearance in the above-captioned matter was sent first class U.S. Mail, First Class Mail, postage prepaid on this date, to the following: Steven P. Miner, Esquire METZGER, WICKERSHAM, KNAUSS & ERB, P.C. 3211 North Front Street Harrisburg, PA 17110 David R. Rosenberg, Esquire HANDLER HENNING & ROSENBERG 1300 Linglestown Road Harrisburg, PA 17110 Terri Penrose 34 Mallard Court Mechanicsburg, PA 17055 HA IJ~OFF, P.C. Julieanne Ametrano 2320 North Second Street P.O. Box 60457 Harrisburg, PA 17110 (717)238-6570 Cumberland County - Register Of Wills One Courthouse Square Carlisle, PA 17013 Phone: (717) 240-6345 Date: 9/15/2005 WARSHAWSKY BRUCE J ESQ CUNNINGHAM AND CHERNICOFF P.C. PO BOX 60457 HARRISBURG, PA 17110-0457 RE: Estate of SPIKER COURTNEY E File Number: 2002-00843 Dear Sir/Madam: It has come to my attention that you have not filed the Status Report by Personal Representative (Rule 6.12) in the above captioned estate. As per the AMENDMENTS TO SUPREME COURT ORPHANS' COURT RULES, NO. 103 SUPREME COURT RULES DOCKET NO. I, for decedents dying on or after July I, 1992, the personal representative or his counsel, within two (2) years of the decedent's death, shall file with the Register of Wills a Status Report of completed or uncompleted administration. This filing is due by: 10/23/2005 Your prompt attention to this matter will be appreciated. Thank You. Sincerely, ~~~ GLENDA FARNER STRASB~GH REGISTER OF WILLS cc: File Personal Representative(s) Judge \...-v Ll--' C~j ~. i:J:. - - IL r. Co STATUS REPORT UNDER RULE 6.12 Name of Decedent Date of Death Will No. Courtney E. Spiker 10-23-00 Admin No. 2002-00843 Pursuant to Rule 6.12 of the Supreme Court Orphans' Court Rules, I report the following with respect to completion of the administration of the above-captioned estate: 1. State whether administration of the estate is complete: Yes No X 2. If the answer is No, state when the personal representative reasonably believes that the administration will be complete: Litigation Pending - unknown date of completion: Dauphin County Court of Common Pleas. #4391-CV-2002 3. Ifthe answer to No.1 is Yes, state the following: a. Did the personal representative file a final account with the Court? Yes No b. The separate Orphans' Court No. (if any) for the personal representative's account is: in interest? c. Did the personal representative state an account informally to the parties Yes No d. Copies of receipts, releases, joinders and approvals of formal or informal accounts may be filed with the Clerk of the orphan~.'.n~d may be at,tached to this report. -% / /,' / Date: UV(OJ ~/<,// Si Name Bruce J. Warshawsky. Esquire C) Address 2320 North Second Street P.O. Box 60457 Harrisburg. PA 17106-0457 -" ( '. L_ Telephone (717) 238-6570 C. C'--J Capacity: Personal Representative X Counsel for Personal Representative ~..- ~ (,r') t..,~, c.'; 1 \-:".. ~ C-.J '-. F;\HOME\BJW\HHR\SPIKER\6] 2FORM, WPD Bjw\docs\forms\estatead\6I 2form L-& STATUS REPORT UNDER RULE 6.12 Name of Decedent Date of Death Will No. Courtney E. Spiker 10-23-00 Admin No. 2002-00843 Pursuant to Rule 6.12 of the Supreme Court Orphans' Court Rules, I report the following with respect to completion of the administration of the above-captioned estate: 1. State whether administration of the estate is complete: ~s ~ X 2. If the answer is No, state when the personal representative reasonably believes that the administration will be complete: Litigation Pending - Exvected to be completed by December 31. 2006. 3. If the answer to No.1 is Yes, state the following: a. Did the personal representative file a final account with the Court? Yes No b. The separate Orphans' Court No. (if any) for the personal representative's account is: c. Did the personal representative state an account informally to the parties in interest? Yes No d. Copies of receipts, releases, joinders and approvals of formal or informal accounts maybe filed with the Clerk of the Orphans' Court and maybe attached to this report. g/;O/()~ I Date: J2~... Name Bruce J. Warshawsky. Esquire Lt") C'") Address 2320 North Second Street P.O. Box 60457 Harrisburg. PA 17106-0457 0- a Capacity: Telephone (717) 238-6570 Personal Representative X Counsel for Personal Representati ve '-~Cl C;;" =, (....... ( -, F:\HOME\BJW\DOCS\SPlKER\612FORMA. WPD \. ~ REv.llllOEX+(c.<lO) . - .. I!! lS~~ w~g Gfiil ~ ~' . . *' ......., OFFICIAL IJSE ONLY REV-1500 INHERITANCE TAX RETURN RESIDENT DECEDENT FILE NUMBER 21 COUNTY CODE 02 00843 YEAR NUMBER COMMONWEAlTH OF PENNSYlVANIA DEPARTMENT OF REVENUE DEPT. 280601 HARRISBURG, PA 17128-0601 I- Z W o ~ w o DECEDENTS NAME (LAST. FIRST. AND MIDDLE INITIAL) Spiker, Courtney E. DATE OF DEATH (MM-DD-YEAR) DATE OF BIRTH (MM-DD-YEAR) 10/23/2000 I 10/03/1991 (IF APPLICABLE) SURVIVING SPOUSE'S NAME ( LAST. FIRST AND MIDDLE INmAL) SOCIAL SECURITY NUMBER 197-72-2223 THIS RETURN MUST BE FILED IN DUPLICATE WITH THE REGISTER OF WILLS SOCIAL SECURITY NUMBER 2. Supplemental Retum o 4a. Future Interest Compromise (dale of death after 12-12-82) o 7. Decedent Maintained a Living Trust (Attach copy of Trust) o 10. Spousal Poverty Credit (date of death between 1- n 1-1- o 3. Remainder Return (date of death prior to 12-13-82) o 5. Federal Estate Tax Return Required o 8. Total Number of Safe Deposit Boxes o 11. Election to tax under Sec. 9113(A) (Attach Sch 0) 1. Original Return 4. Limited Estate 6. Decedent Died Testate (Attach copy of Will) 9. Litigation Proceeds Received ..... ~ ~ IRM NAME (If applicable) ~ ~ Cunningham & Chemicoff, P.c. ELEPHONE NUMBER 717/238-6570 ~ ~ ...I F ~ u III 1. Real Estate (Schedule A) 2. Stocks and Bonds (Schedule B) 3. Closely Held Corporation, Partnership or Sole-Proprietorship 4. Mortgages & Notes Receivable (Schedule D) 5. Cash, Bank Deposits & Miscellaneous Personal Property (Schedule E) 6. Jointly Owned Property (Schedule F) o Separate Billing Requested 7. Inter-Vivos Transfers & Miscellaneous Non-Probate Property (Schedule G or L) 8. Total Gross Assets (total Lines 1-7) 9. Funeral Expenses & Administrative Costs (Schedule H) 2320 North Second Street Harrisburg, P A 17110 (1 ) None (2) None (3) None (4) None (5) 47,908.29 (6) None (7) None OFFICIAL USE ONLY /'"-.~, = C::;;l Q", (~~ fTl ...~C) :CJ Ii! C~) ~(~::i -.-;- 4 7 'l~fOj.~9 w /) ~;,~~ (9) 2,112.00 10. Debts of Decedent, Mortgage Liabilities, & Liens (Schedule I) (10) 11. Total Deductions (total Lines 9 & 10) 12. Net Value of Estate (Line 8 minus Line 11) (11 ) 2,112.00 45,796.29 (12) (13) 13. Charitable and Governmental Bequests/See 9113 Trusts for which an election to tax has not been made (Schedule J) 14. Net Value Subject to Tax (Line 12 minus Line 13) (14) 45,796.29 SEE INSTRUCTIONS ON REVERSE SIDE FOR APPLICABLE RATES 15. Amount of Line 14 taxable at the spousal tax rate, 45,796.29 x .00 (15) or transfers under Sec. 9116(a)(1.2) ~ 16.Amount of Line 14 taxable at lineal rate x .045 (16) ~ I- :;) ll. 17. Amount of Line 14 taxable at sibling rate x .12 (17) 3 u g 18. Amount of Line 14 taxable at collateral rate x .15 (18) 19. Tax Due (19) 0.00 0.00 20. 0 CHECK HERE IF YOU ARE REQUES riNG A REFUND OF AN OVERPAYMENT Copyright 2000 form software only The Lackner Group, Inc. Form REV.1500 EX (Rev. 6-00) ~ ~ - . Decedent's Complete Address: STREET ADDRESS 26 Pheasant Court CITY ISTATE P A I ZIP I ') 0 S-S- Mechanicsburg Tax Payments and Credits: 1. Tax Due (Page 1 Line 19) 2. Credits/Payments A. Spousal Poverty Credit 8. Prior Payments C. Discount Total Credits (A + 8 + C) 3. Interest/Penalty if applicable D. Interest E. Penalty Total Interest/Penalty (D + E) 4. If Line 2 is greater than Line 1 + Line 3, enter the difference. This is the OVERPAYMENT. Check box on Page 1 Line 20 to request a refund 5. If Line 1 + Line 3 is greater than Line 2, enter the difference. This is the TAX DUE. A. Enter the interest on the tax due. 8. Enter the total of line 5 + 5A. This is the BALANCE DUE. Make Check Payable to: REGISTER OF WILLS, AGENT (1 ) 0.00 (2) 0.00 (3) 0.00 (4) (5) 0.00 (5A) (58) 0.00 PLEASE ANSWER THE FOLLOWING QUESTIONS BY PLACING AN "X" IN THE APPROPRIATE BLOCKS 1. Did decedent make a transfer and: Yes No a. retain the use or income of the property transferred;.................................................................................. ~ I b. retain the right to designate who shall use the property transferred or its income;.................................... c. retain a reversionary interest; or.......................................... ............................................... .... ............ ......... d. receive the promise for life of either payments. benefits or care?.............................................................. 2. If death occurred after December 12. 1982. did decedent transfer property within one year of death without receiving adequate consideration? ....................................................................................................................... D ~ 3. Did decedent own an "in trust for" or payable upon death bank account or security at his or her death? ......... D ~ 4. Did decedent own an Individual Retirement Account, annuity, or other non-probate property which contains a beneficiary designation? ............................................................................................................. .... ..... D ~ IF THE ANSWER TO ANY OF THE ABOVE QUESTIONS IS YES, YOU MUST COMPLETE SCHEDULE G AND FILE IT AS PART OF THE RETURN. Under penalties of peljury. I declare that I have examined this retum. including accompan~ng schedules and statements. and to the best of my knowledge and belief. n is true. correct and complete. Declaration of preparer other than the personal representative is based on aU information of which preparer has any knowledge. SIGNATURE OF PERSON RESPONSIBLE FOR FILING RETURN ADDRESS DATE Terri Penrose G 46 North East St. J "c\.-, .<q ~ IY~~ Carlis1e,PA 17013 4 ~'{ftJ~ SIGNATURE OF PERSON RESPONSIBLE FOR FILING RETURN ADDRESS DATE SIGNATURE OF PREPARER OTHER THAN REPRESENTATIVE Bruce . Warshawsky ADDRESS DATE 2320 North Second Street Harrisburg, P A 17110 For dates of death on or a Iy 1, 1994 and before January 1, 1995, the tax rate imposed on the net value of transfers to or for the use of the surviving spouse is 3% {12 .S. ~9116 (a) (1.1) (i)]. For dates of death on or after January 1, 1995, the tax rate imposed on the net value of transfers to or for the use of the surviVing spouse is 0% [72 P.S. ~9116 (a) (1.1) (ii)). The statute does not exemot a transfer to a surviving spouse from tax, and the statutory requirements for disclosure of assets and filing a tax retum are still appli~le even if the surviving spouse is the only beneficiary. For dates of death on or after July 1, 2000: The tax rate imposed on the net value of transfers from a deceased child twenty-one years of age or younger at death to or for the use of a natural parent, an adoptive parent, or a stepparent of the child is 0% [72 P.S. ~9116 (a) (1.2)1. The tax rate imposed on the net value of transfers to or for the use of the decedent's lineal beneficiaries is 4.5%, except as noted in 72 P.S. ~9116 1.2) {12 P.S. ~9116(a){1)]. The tax rate imposed on the net value of transfers to or for the use of the decedent's siblings is 12% [72 P.S. ~9116 (a) (1.3)]. A sibling is defined, under Section 9102. as an individual who has at least one parent in common with the decedent, whether by blood or adoption. * SCHEDULE E CASH, BANK DEPOSITS, & MISC. PERSONAL PROPERTY COMMONWEALTH Of PENNSYlVANIA INHERITANCE TAX RETURN RESDENT DECEDENT ESTATE OF . Spiker, Courtney E. I FILE NUMBER 21 - 02 - 00843 Include the proceeds of litigation and the date the proceeds were received by the estate. All property jointly-owned with the right of survivorship must be disclosed on schedule F. ITEM NUMBER 1 DESCRIPTION VALUE AT DATE OF DEATH 47,908.29 Litigation Proceeds-Gross Proceeds ($85,000.00) Net of Personal Injury Attorney Fees (40%)-$34,000.00 and costs-$3091.71-see attached documentation. Net Proceeds received 9/5/06 . TOTAL (Also enter on Line 5, Recapitulation) 47,908.29 * SCtEDULE H FUNERAL EXPENSES & ADMINSTRATIVE wSlS COMMONWEAlTH OF PENNSYLVANIA INHERITANCE TAX RETURN RESIDENT DECEDENT ESTATE OF Spiker, Courtney E. I FILE NUMBER 21 - 02 - 00843 Debts of decedent must be reported on Schedule I. ITEM DESCRIPTION AMOUNT NUMBER A. FUNERAL EXPENSES: B. ADMINISTRATIVE COSTS: 1. Personal Representative's Commissions Social Security Number(s) I EIN Number of Personal Representative(s): Street Address City State Zip - Year(s) Commission paid 2. Attorney's Fees Cunningham & Chernicoff, P.C. -- Bruce J. Warshawsky 2,000.00 3. Family Exemption: (If decedenfs address is not the same as claimant's, attach explanation) Claimant Street Address City State Zip Relationship of Claimant to Decedent 4. Probate Fees 37.00 5. Accountant's Fees 6. Tax Return Preparer's Fees 7. Other Administrative Costs 1 Legal Advertising 75.00 TOTAL (Also enter on line 9, Recapitulation) 2,112.00 . R~V-1513 E,X+ (~Ol *' SCHEDULE J BENEFICIARIES COMMONWEALTH OF PENNSYLVANIA INHERITANCE TAX RETURN RESIDENT DECEDENT ESTATE OF FILE NUMBER Spiker, Courtney E. 21 - 02 - 00843 RELATIONSHIP TO AMOUNT OR SHARE NUMBER NAME AND ADDRESS OF PERSON(S) RECEIVING PROPERTY DECEDENT OF ESTATE n.. I. TAXABLE DISTRIBUTIONS (include outright spousal distributions) 1 Terri Penrose Mother of Minor one-half 46 N. East St. Decedent Carlisle, P A 17013 2 William M. Spiker Father of Minor one-half 76 Iron Stone Dr. Decedent Elizabethtown, P A 17022 Enter dollar amounts for distributions shown above on lines 15 through 18, as appropriate, on Rev 1500 cover sheet II. NON-TAXABLE DISTRIBUTIONS: A. SPOUSAL DISTRIBUTIONS UNDER SECTION 9113 FOR WHICH AN ELECTION TO TAX IS NOT BEING MADE B. CHARITABLE AND GOVERNMENTAL DISTRIBUTIONS TOTAL OF PART 11- ENTER TOTAL NON-TAXABLE DISTRIBUTIONS ON LINE 13 OF REV-1500 COVER SHEET ~ . . . ' CUMBERLAND LAW JOURNAL 2 LIBERTY AVENUE CARLISLE, P A 17013 DECEMBER 27, 2002 Cumberland Law Journal is published every Friday by the Cumberland County Bar Association and is designated by the Court of Common Pleas as the official legal publication for Cumberland County and the legal newspaper for publication of legal notices. TO: Bruce J. Warshawsky, ESQUIRE Courtney E. Spiker, ESTATE RE: Legal advertisements must be received by Friday Noon. All legal advertising must be paid in advance. Make all checks payable to: Cumberland Law Journal. Advertisement inserted on following dates: DECEMBER 13, 20, 27, 2002 Advertising Cost Second Proof Request $ 75.00 $ 0.00 $ 0.00 $ 0.00 ------------- $ 75.00 ---- ---- Proof of Publication Payment received Total Amount Due Payment received by I 17/~ I plf - . . It, RECEIPT FOR PAYMENT ------------------- ------------------- Cumberland County - Register Of Wills Hanover and High Street Carlisle, PA 17013 Receipt Date Receipt Time Receipt No. 9/18/2002 10:~0:50 1030550 SPIKER COURTNEY E File Number 2002-00843 Remarks AC ------------------------ Distribution Of Receipt ------------------------ Transaction Description Payment Amount Payee Name PETITION LTRS ADM RENUNCIATION EXECU SHORT CERTIFICATE JCP FEE 18.00 5.00 9.00 5.00 CUMBERLAND COUNTY GENERAL FUN CUMBERLAND COUNTY GENERAL FUN CUMBERLAND COUNTY GENERAL FUN BUREAU OF RECEIPTS & CNTR M.D Cash Total Received. .... .... $37.00 $37.00 ~ VILLARI, BRANDES & KLINE, P.C. By : Peter M. Villari, Esquire Paul D. Brandes, Esquire Theresa L. Giannone, Esquire. 8 Tower Bridge 161 Washington Street, Suite 400 Conshohocken, PA 19428 610-729-2900 Attorneys for P/aintiffi t-.,) ,t C) c::. c::. ....... J> c:r"l v C c... :xl ...,.. <= 00;::0 -0 '-T" r-- ::j'"T'fr"' -'- 1""1--:-: , ".,- -.., ~', ;;e:"":' CN '.:>- . ., ~.. (J rr"1 :-0::: c'. .=-~ rrl <: p':':) ~ ~:::j 0 rl"'j \.-.. :% -... - .... ..,., r.:J ....- - :::0 ~ .. ~..< -< 0 TERRI A. PENROSE aJkJa TERRI SPIKER, individually and as Administratrix of the ESTATE OF COURTNEY E. SPIKER, a minor, deceased, et aI. COURT OF COMMON PLEAS DAUPHIN COUNTY, PA CIVIL ACTION - LAW No. 4391-cv-20002 v. KIM WALKER, M.D. PETITION FOR APPROVAL OF ALLOCATION OF SETTLEMENT PROCEEDS AMONG WRONGFUL DEATH AND SURVIVAL ACTIONS PURSUANT TO PA. R.C.P. 2206lb)(l) Your Petitioners, Terri A. Penrose aIkIa Terri Spiker, Administratrix of the Estate of Courtney E. Spiker, a minor, deceased, and William Spiker, individually, plaintiffs in the above- captioned matter, by and through their attorneys, Villari, Brandes & Kline, P .C., file the within Petition for Approval of Allocation of Settlement Proceeds among Wrongful Death and Smvival Actions Pursuant to Pa. R.C.P. 2206 (b )(1), and in support thereof respectfully represent: 1. Your Petitioner, Terri A. Penrose a/kJaJ Terri Spiker, is the duly appointed Administratrix of the Estate of Courtney E. Spiker, a minor, deceased, having been so appointed by the Register of Wills, Cumberland County, Pennsylvania. A Certificate of Grant Letters of Administration is attached hereto as Exhibit "A". ..,.... . .. ~"..,... 2. Your Petitioner, Terri A. Penrose aIkIa Tern Spiker, resides at 46 N. East Street, Carlisle, Pennsylvania, 17103. 3. Your Petitioner, William Spiker, individually, resides at 76 Ironstone Drive, Elizabethtown, P A 17022. 4. As a result of the asserted negligence. of the defendants, Petitioners' daughter, Courtney Spiker, a minor, died intestate on October 23,2000, at nine years of age. A true and correct copy of the Death Certificate is attached hereto as Exhibit "B." 5. The deceased, Courtney E. Spiker, a minor, is survived by her parents, Terri Penrose Spiker and William Spiker. 6. 111is case involves professional negligence claims associated with anesthesia care provided to Courtney Spiker, deceased, during a spine and hip surgery performed on October 18, 2000. The foregoing is a brief narrative background regarding Plaintiffs' allegations in this matter. Defendants disputed certain of the asserted facts throughout litigation and this summary is not meant to represent an agreed upon statement of the case. Plaintiffs asserted, inter alia, that Courtney Spiker was born with spina bifida, a condition which results in defects in the spinal cord and vertebrae. Courtney's spina bifida involved a myelomeningocele, a herniation of the spinal cord and meninges through a bony defect in the vertebral canal. Courtney was also diagnosed with hydrocephalus. a common condition in children with spina bifida, and in 1992 had a ventriculoperitonea1 (VP) shoot implanted. In 1994, when Courtney was approximately three years old, she underwent a surgical procedure called a "kyphectomy" to correct curvature of her thoracic spine and close the myolomeningecele. Courtney did not experience any complications in the 1994 procedure, 2 ...,.,.. > .~'" . either related to the procedure or anesthesia. For the next several years, Courtney only required one routine procedure to revise the VP shunt. By all accounts, at 9 years of age, Courtney Spiker was a bright, charming girl who was very mature for her age. Although Courtney could not walk due to the condition of her spine, she could pull herself along with her arms and she could also use a wheel chair independently. Courtney's IQ was tested in the borderline range in 1997, three years prior to her death. Although her IQ was not again tested, according to her school records and her parents, as of 2000 she was progressing well and showed signs of steady improvement. For the 200012001 school year, Courtney was in the regular class room for science and social studies and received learning support for reading, language and math. By 2000, Courtney's spine curvature progressively increased and it was decided that she would benefit from a revision of the previous kyphectomy to relieve pressure placed on certain organs and to relieve increasing back pain. The surgery was scheduled for October 18, 2000, and would involve, among other things, surgery to release a right hip flexion contracture (hereinafter the "hip procedure"), revision ofthe spine curvature (kyphosis) with spinal fusion, and resection of a subarachnoid cyst at the meningocele (hereinafter the "spinal procedure"). The attending anesthesiologist for the procedure would be defendant Dr. Walker, with the assistance of a second year resident and a Certified Registered Nurse Anesthetist. Prior to admission, a pre-operative anesthesia assessment was petformed and Courtney was cleared for the operation from an anesthesia standpoint. Plaintiffs allege that at approximately 9:00 a.m. on October 18,2000, Courtney was brought to the operating room and placed under general anesthesia. After induction, an Internal 3 Jugular Venous catheter was placed to monitor central venous pressure (CVP). At approximately 10:24 a.m, the hip portion of the surgery began. During this portion of the surgery, Courtney's CVP readings were recorded as ranging from 6-9 mmHg. Following completion ofthe hip proceduret an arterial line was placed by defendant, Dr. Walker and/or her assistant. At approximately 11 ;45 a.m.t Courtney was turned to the prone position and the kyphectomy portion of the surgery began. After Courtney was turned to the prone position, her CVP increased to 14 mmHg, which according to experts, affected blood flow to Courtney's brain. It is asserted by plaintiffs that for a portion of the spinal portion of the procedure, Dr. Walker, the attending anesthesiologist, decided to use deliberate hypotension, a technique whereby low blood pressure is maintained to reduce blood loss and to increase visualization of the surgical field. Defendant Dr. Walker planned to use a combination of medications to target a mean arterial pressure (MAP) of 55 mrnHg. At approximately 12:00 p.m., defendant Dr. Walker and/or her assistant began deliberate hypotension. For the next three hoW"S of the spine surgery, Courtney's CVP remained in the range of 10-18. This change in the CVP in relation to the targeted mean arterial pressure (MAP) of 55 Il1IllHg is significant according to plaintiffs' anesthesiology expert. The MAP should have been adjusted upward to account for the rise in CVP. Plaintiffs' expert explains that, in general, adults with normal CVP (5-7 mmHg) and normal intercranial pressures are able to autoregulate cerebral blood flow as long as MAP is between 50 and 150 mmHg. Essentially, when MAP is low, the brain will automatically increase the blood flow (vasodilate) and when MAP is high, the brain will automatically decrease the blood flow (vasoconstrict). In Courtney's caset the CVP increased to a higher than nonnallevel after she was turned to the prone position for the spinal 4 procedure which, according to the expert, impaired the venous drainage from the brain, and if MAP was targeted at 5S mmHg the cerebral perfusion pressure would have been below the autoregulation threshold. Thus, according to Plaintiffs' expert, the targeted MAP should have been raised to the high 60's or above. Unless this is done, cerebral perfusion remains unacceptably low. Plaintiffs allege that in Co~rtney's surgery no adjustment to the MAP was made. Dr. Walker testified at deposition that the target MAP of 55 mmHg and CVP of 5-18 were acceptable. According to Dr. Plaintiffs' expert, the failure to adjust the targeted MAP to account for an elevated CVP was below the standard of care and placed Courtney at increased risk of having inadequate cerebral perfusion pressure and cerebral ischemia (lack of blood flow) during the procedure. It is asserted that at approximately 3:00 p.m., Courtney's CVP decreased from 11 mmHg to 8 mmHg and remained in the range of 6-9 mmHg through approximately 6:00 p.m. This was not recognized by defendant. According to Plaintiffs' expert when Courtney was moved to the prone position earlier in the procedure, the CVP of 14 mmHg at that time should have become the new reference point. When the CVP dropped to 8 mmHg at 3:00 p.m. and remained low, it w~s a sign of hypovolemia. At about the same time, the amount ofisoflurine needed to maintain anesthesia was reduced to 0.4%, another sign of significant hypovolemia. According to Plaintiffs' expert, it is virtually impossible to maintain low blood pressures with isoflurine at 0.4% without having significant hypovolemia. The drop in this anesthetic requirement indicates an early shock state, which can contribute to end organ damage, including cerebral injury. Plaintiffs' expert opined that the failure of the anesthesia team to closely monitor and respond to 5 physiologic parameters and ensure adequate cardiac output during this time period fell tragically below accepted standards of care. Plaintiffs' allege that at or about 3:00 p.m., Courtney began to show other signs of hypovolemia, including decreased urine output and a decline in her Hemoglobin. At approximately 3:30 p.m., the defendant determined that Courtneys Hemoglobin was 11.5, her estimated blood loss was SOO cc and her total urine output up to that time was 100 cc. At approximately 5:00 p.m., defendant, Dr. Walker and/or her assistant, recorded Courtney's Hemoglobin to be 11.5 on the anesthesia record, notwithstandine: a lab report indicating it was 9.3. As a result of this error, defendant did not timely respond to the downward trend in Courtney's Hemoglobin, an important parameter in determining adequate oxygen delivery to Courtney's brain. Thereafter, sometime between 5:30 and 6: 15 p.m., defendant noted that the arterial line dampened or occluded; that there was a reduction in Courtney's blood pressure; and that there was notification from the surgeons of increased blood loss in the surgical field. At or about that time, Courtney' 8 blood pressure, CVP and heart rate all became Wlstable and thereafter continued in an unstable pattern. According to Plaintiffs' expert, the loss of arterial line function is a sign of a significant reduction in cardiac output. Under those circumstances, the anesthesiologists should have rapidly restored blood pressUre and oxygen delivery by discontinuing anesthetic agents, placing the patient on 100% oxygen, transfusing blood, and administering cardiac stimulatory agents to augment cardiac output. However, defendant merely assumed that the dampened arterial line was a malfunction and switched to cuff pressures through the end of surgery. According to Plaintiffs' expert, when an arteria1line ceases to function, an anesthesiologist must first assume it is a physiologic problem, restore blood pressure, and only 6 then check for equipment malfunction. Although the defendant began a transfusion of2 units of packed red blood cells and infused fluids during this critical time period, they did not employ the other needed measures described by Plaintiffs' expert. Also, during this time period, defendant noted a Hematocrit ("HeT") of 11.6. According to Plaintiffs' expert, given this drop in HCT (compared to the pre-operative HCT of39) it was well below accepted standards for the anesthesiologists to use of deliberate hypotensive techniques. Plaintiffs' expert observed that Courtney's low HCf and decreased cardiac output put her at considerable risk for cerebral ischemia and opined that the defendant's failure to aggressively treat the blood loss and to frequently monitor HCT and blood gases fell below the standard of care. Plaintiffs' allege that at approximately 6:30 p.m., Courtney's Hemoglobin was noted by defendant to be 3.8 (compared to the pre-operative Hemoglobin of 12.9). According to Plaintiffs' expert, with a Hemoglobin of 3 .8, Courtney no doubt had inadequate oxygen delivery to the brain. Normally, the body will compensate for reduction in Hemoglobin by increasing cardiac output and reducing cerebral vascular resistance. However, when blood pressure is reduced, such as by use of deliberate hypotension, cardiac output is reduced and cerebral vasodilation is already maximized. Thus, Courtney's body could not increase oxygen delivery to the brain. According to Plaintiffs' expert, during use of deliberate hypotension, Hemoglobin levels must be closely monitored and maintained at levels above 7. This Vv:BS not done by defendant. At approximately 9:00 p.m., surgeons completed the kyphectomy. At the completion of the surgery, Courtney Spiker was taken to the hospital's PlCU for recovery and listed by the anesthesiologists and orthopedists at transfer as {'stable. II Courtney remained intubated at this 7 time due to a previous surgical history of adverse reaction to extubation in the operating room. However, upon arrival to the PIeD, the nurse perfonned a neurological assessment and noted that Courtney's pupils were bilaterally fixed and dilated. An emergent CT scan revealed evidence of global cerebral ischemia. Courtney was brain dead. Significantly, the neurosurgeon who participated in the surgery diagnosed brain damage due to a hypoxic/ischemic event during surgery. The neurosurgeon testified at deposition that his diagnosis of intra-operative hypoxic ischemic injury was influenced by, among other things, the dampening ofthe arterial line; a Hemoglobin of 4.1 noted on the anesthesia record at approximately 6;30 p.m. (a few minutes after the 6:20 Hemoglobin of 3.8 on a CBC report); and fluctuating blood pressures between 6:00 and 8;00 p.m. Courtney's parents, William "Mac" Spiker and Tem Penrose, were present in the hospital during the surgery. Following surgery, they were initially advised tbat the procedure went well and although there was some blood loss, Courtney should be fine. Courtney's parents then left the hospital. However, at about 1 :30 a.m., Terri received a phone call from the surgeon advising her she should come back to the Hospital because of a problem with Courtney. She returned to the Hospital where she learned that Courtney may have suffered a brain injury. Terri contacted Mac, who also returned to the Hospital, and thereafter they were given the devastating news that Courtney was likely brain dead. In the days following Courtney's surgery, there was no evidence of improvement in Courtney's neurologic condition. During that time, Mac and Terri awaited word on repeated apnea tests to determine whether Courtney's condition was static. During an apnea test, ventilator equipment is turned off to see whether the patient will attempt spontaneous breathing. Unfortunately, each test was dctennined to be compatible with brain death. Therefore, Mac and 8 Terri were faced with a decision no parent should have to make for their nine year old daughter: whether to discontinue life support and whether to donate her organs if life support was tenninated. Ultimately, when it became clear that Courtney would not recover, Mac and Terri decided to stop support measures and that certain organs would be donated. On October 23, 2000, following surgery to harvest her organs, Courtney was pronounced dead. 7. As a result of the above described events, Petitioners fIled this lawsuit against the attending anesthesiologist, Kim Walker, M.D., among others.] 8. The Complaint includes the following separate causes of action: a. Wrongful Death Act claim on behalf of the eligible beneticiarieslheirs of the Estate of Courtney E. Spiker, a minor, deceased; b. Survival Act claim on behalf of the Estate of Courtney E. Spiker, a minor, deceased; and, c. Negligent Infliction of Emotional Distress on behalf of the parents, Terri Penrose and William Spiker (these claims were dismissed by the Court after it sustained defendant's preliminary objections to the associated Counts). A true and correct copy of the Complaint is attached hereto as Exhibit "C." 9. With regard to the lawsuit, the parties recently reached a global settlement of all claims in the gross sum of Eight Hundred Fifty Thousand Dollars ($850,000.00). The settlement was accomplished with the aid of a professional Mediator, Robert Creo, Esquire. 1 Also named as defendants were certain physicians involved pre- and intra-operatively. However, following completion of discovery and based on the opinions of plaintiffs' experts, certain defendants were distnissed. Thereafter, as part of a mediation agreement between the parties. the remaining defendants, other than Dr. Walker, were dismissed from the case. 9 10. Of the $850,000.00, plaintiffs elected to apportion the proceeds as follows: a. Ten percent (10%) to the Survival claim. . . . . . . . . . . . ..$ 85,000.00 b. Ninety percent (90%) to the Wrongful Death claim. . . . . .$765.000.00 $850,000.00 11. Petitioners respectfully request that this Honorable Court approve the aforesaid allocation for the following reasons: a. The deceased, Courtney Spiker, due to her brain death while under general anesthesia, likely suffered no conscious pain and suffering; b. Upon reasonable investigation, Petitioners are unaware of any creditors to the decedent's Estate; c. The distributee{s) who will take under the Wrongful Death and Survival Actions are identical and the proportionate shares will be the same in each action. 12. The requested allocation has been approved by the Pennsylvania Department of Revenue, Inheritance Tax Division - Bureau of Individual Taxes. A true and correct copy of the approval letter is attached hereto and made part hereof as Exhibit "D." This letter was issued by the Department with full knowledge of the gross settlement amount of all claims and the proposed distribution. 13. Since the only potential settlement beneficiaries in the case are adults and since no minor has an interest in the settlement, it is only the Court's function to approve the allocation of the gross settlement figure ($850,000.00) among the Wrongful Death and Survival Actions, and not the distribution thereof. See Pa. R.C.P. 2206(b)(1). 10 14. However, to the extent this Court rules that approval of counsel fees and costs are required, Petitioners also request approval of costs and counsel fees as follows: Counsel has incurred the following expenses (totaling $30,917.12) for which reimbursement is sought: ... Depositions ... Expert Witnesses: ... Court Filing, Service of Process and Witness Fees: ... Medical Records and Copying Fees: lie Courier and Overnight Delivery Postage Fees: ... Computerized Legal Research: *' Travel Expenses: * Mediator's Fee: Total: $ $ $ $ $ $ $ $ $ 3,859.83 18,075.00 813.65 2,952.80 294.05 24.75 1,897.04 3.000.00 30,917.12 15. With respect to the settlement proceeds, counsel requests and Petitioners approve an attorney fee in the sum of $340,000.00, which is forty percent (40%) of the gross settlement. A true and correct copy of the retainer agreement is attached hereto as Exhibit "E." 16. The above counsel fee is requested and justified for the following reasons: To say that the litigation involved in this case was "complex" frankly does not do justice to the work actually performed by Plaintiffs' counsel in proving plaintiffs' case. This case involved some of the most complicated and esoteric areas of medicine and necessitated retention of nationally renowned and qualified experts in anesthesiology, orthopedic surgery, neurosurgery, neurology and economics. These experts were not for the mere purpose of obtaining review and making out a prima facie case, but to strongly support the claims based on their own knowledge and experience. So, too, were these experts selected to meet head on defenses anticipated by Plaintiffs' counsel. Plaintiffs' counsel also devoted untold hours to written discovery and depositions in this case. Seven (7) depositions were conducted, five (5) of which were noticed and taken by 11 Plaintiffs' counsel. The depositions conducted by Plaintiffs counsel included four (4) physicians and one certified registered nurse anesthetist. Collectively, Plaintiffs' counsel consumed scores of hours preparing for the depositions by researching and reviewing medical literature, reviewing medical and other records, consulting with experts prior to depositions and actually taking the depositions, which were thorough and complete to say the least. Plaintiffs' counsel was additionally thorough in preparing and obtaining responses to their written discovery requests. It is based on the extent of preparation by Plaintiffs' counsel and counsel's pro~active litigation of the case that, in large part, compelled the defendant to agree to a mediation and settlement rather than risk plaintiffs' counsel successfully advocating plaintiffs' claims before a jury. Ultimately, the proposed settlement came as a result oflengthy negotiations at mediation. Although Plaintiffs' counsel does not routinely track the number of hours spent on a case, it is fair to say that a reasonable estimate of the time spent by Plaintiffs' counsel prosecuting this case, when combined with the substantial experience and expertise brought to the table by Plaintiffs' counsel, far exceeds the requested one-third fee. Given the above, plaintiffs' counsel respectfully contends that a one-third fee is reasonable in light of the very substantial effort and high level of expertise brought to bear by counsel. Plaintiffs' counsel took on this contested case and successfully prosecuted it to reasonable settlement In this regard, therefore, plaintiffs' counsel took on a large financial risk in a case that was far from the proverbial .'slam dunk." Indeed, this case was contested from start t~ finish, evidenced by the number of depositions that had to be completed on a wealth of issues, and multiple experts that had to be retained in a variety of fields. 12 In the end, this was not a case that settled shortly after suit was filed. This case was hard fought by all concerned. The end result, after reducing the settlement by the proposed fee and costs, was a hard fought victory for the plaintiffs. The only beneficiaries of the Estate are the PlaintiffslPetitioners, both of whom are adults, and, therefore, at all times they had the capacity to enter into the one-third fee agreement and to approve the fee request in this Petition. Thus, per the applicable law, it is respectfully requested that the proposed fee be approved as reasonable under the circumstances. See, i.e., In re Trust Estate of LaRocca, 431 Pa. 542, 246 A.2d 337 (l968)(ruling that factors to be taken into account when determining reasonableness of counsel fees to be paid from settlement include, but are not limited to, the amount of work performed; the character of the services rendered; the difficulty of the problems involved; the importance of the litigation; the amount of money in question; the degree of responsibility incurred; whether the fund involved was 'created' by the attorney; the professional skill and standing of the attorney in hislher profession; the results he/she was able to obtain; and the ability of the client to pay a reasonable fee for the services rendered); and Stecyk v. Bell Helicopter Textron. Inc., 53 F. Supp. 2nd 794 (E.D. 1999)(applying Pennsylvania law). 17. Counsel has not and will not receive collateral payments as counsel fees for representation involving the same matter from third parties (i.e., subrogation). 18. The net settlement payable to the Estate of Courtney Spiker, deceased, for the Survival Action claim (after deduction of the pro rata costs of $3,091.71 and pro rata attorney's fee of $34,000.00) is $47,908.29, to be divided essentially evenly between Courtney's parents, Terri Penrose and William Spiker. 19. The net settlement payable to Terri Penrose and William Spiker for the Wrongful Death Action claim (after deduction of the pro rata costs of $27,825.41 and pro rata attorney's 13 fee of $306,000.00) is $431,174.59 to be divided essentially evenly between Terri Penrose and William Spiker. 20. Terri Penrose's and William Spiker's approval of the proposed settlement and distribution is attached hereto as Exhibit "P. " WHEREFORE, Petitioners respectfully request that this Honorable Court: a. approve the global settlement amount of$850,OOO.OO; b. from the global settlement, approve allocation of $765,000.00 (90%) to the Wrongful Death claim, and the remaining $85,000.00 (10%) to the Survival Act claim; and, to the extent deemed necessary by the Court, c. approve the proposed distribution of settlement proceeds to plaintiffs and their counsel, including the reimbursement of counsel's costs and payment to counsel of a forty percent (40%) attorney fee from the gross settlement amount, as approved by Petitioners. By: Dated: June 27,2006 14 i--- _i ~ ~\\OQ ~ ~e!I. ~d~ . &G"CU ~ c. CD :1:'- ~ L" X- .. c:: -'{; Ci') ." :-~ fTI :;;:; Z...... 0 %0 IN TIlE COURT OF COMMON PLEAS OF DAUPHIN COUNTY, P.4>C CIVIL ACTION - LAW ;E ~ C.~d a.~lCYCLo --1 -< TERRJ A. PENROSE alk/a TERRI SPIKER, individually and as Administratrix of the ESTATE OF COURTNEY E. SPIKER, a minor, deceased, et aI. COURT OF COMMON PLEAS DAUPHIN COUNTY, PA CIVIL ACTION - LAW No. 4391-cv-20002 v. KIM WALKER, M.D. ORDER/DECREE AND NOW, this -3- day of fJ U 9 () oS f:2006, upon consideration of Plaintiffs' Petitionfor Approval of Allocation of Settlement Proceeds Among Wrongful Death and Survival ActiOnf Pursuant to Pa. R. c.P. 2206(b)(1), and any response thereto, it is hereby ORDERED and DECREED that the Petition is GRANTED. Consequently, the gross settlement proceeds of $850,000.00 shall be allocated 90% to the Wrongful Death Action claim and 10% to the Survival Action claim and costs and fees as specified in the Petition shall be deducted on a pro rata basis from each claim. B~~ J. o :\>> ::& c;9 (;) CD '''0 ::0 00::::0 -4'"f'1fT1 :X"Tln 0-", '7:(")- 0"""< .-.; 0"'" p..."o :XI -< DI8t1'ibIltloIl: Peter Villari, Esquire Paul D. Brandes, Esquire Theresa L. 0i8DDODet Esquire Villari. Brandes & Kline. P.C.t 8 Tower Bridget 161 Washington S~ Suite 400, Conshohocken, Pa 19428 April Simpson, Esquire McQuaide Blaskot 811 University Drive, State Colleget Pa 16801-6699 Andrew Foulkrod, Esquire Foulkrod Ellis, 2010 Market S1reet, Camp Hill,?a 17011 JORDAN D. CUNNINGHAM ROBERT E. CHERNICOFF MARC W. WITZIG BRUCE J. WARSHAWSKY JOHN M. HYAMS KELLY M. KNIGHT CUNNINGHAM & CHERNICOFF, P.C. ATTORNEYS AT LAW P.O. BOX 60457 HARRISBURG, PENNSYLVANIA 17106-0457 HERSHEY TELEPHONE (717) 534-2833 IRS NO. 23-2274135 TELEPHONE (717) 238-6570 FAX (717) 238-4809 Street Address: 2320 N. 2nd Street Harrisburg, PA 17110 Writer's Direct Email: biw(ii1cdawDc.com September 21, 2006 Honorable Glenda Famer Strasbaugh Clerk of the Orphans' Court County of Cumberland One Courthouse Square Carlisle, P A 17013 RE: Estate of Courtney E. Spiker File No: 606104 Dear Honorable Ms. Strasbaugh: Attached find two (2) originals and one (1) copy of the Inheritance Tax Return and one (1) original and one (1) copy of the Inventory in the above-referenced matter: I ask that you return the time-stamped copies to my attention in the self-addressed envelope provided for your convenience. Should you have any questions, please do not hesitate to contact me. Thank you. Very truly yours, CUNNINGHAM & CHERNICOFF, P.C. B~~;f BJW /ja Enclosure F:\HOME\8JW\DOCS\SPIKER\L921 06. WPD ~, Register of Wills of Cumberland County, Pennsylvania INVENTORY , Deceased No. 21 - 02 - 00843 Date of Death 10/23/2000 Social Security No. 197-72-2223 Estate of Spiker, Courtney E. also known as Terri Penrose The Personal Representative(s) of the above Estate, deceased, verify that the items appearing in the following Inventory include all of the personal assets wherever situate and all of the real estate located in the Commonwealth of Pennsylvania of said Decedent, that the valuation placed opposite each item of said Inventory represents its fair value as of the date of the Decedent's death, and that the Decedent owned no real estate outside of the Commonwealth of Pennsylvania except that which appears in a memorandum at the end of this Inventory. I/We verify that the statements made in this Inventory are true and correct. I/We understand that false statements herein are made subject to the penalties of 18 Pa. C. S. Section 4904 relating to unsworn falsification to authorities. Attorney: Bruce J. Warshawsky Personal Representative \"") Signature: ';:1..... ~~ \\. ~ - 1-'C>~ Terri Penrose 1.0. No.: 58799 Signature: Signature: Address: 2320 North Second Street Harrisburg, P A 17110 Address: 46 North East St. Carlisle, P A 17013 Telephone: 717/238-6570 Telephone: 717-253-4391 Dated: q - It.{ -00 Personal PrODerty Litigation Proceeds-Gross Proceeds ($85,000.00) Net of Personal Injury Attorney Fees (40%)-$34,000.00 and costs-$3091.71-see attached documentation. Net Proceeds received 9/5/06 47,908.29 ! ,'-, , 1 Sirt>08.29 -n C', (:-1""] (-) ,; ~~~ ';':=J r'-'-...', Total Personal Property ") -.l \,1 C) , ,'j . ,. 1 () )"_ rn c/) ';:;:~, (..) (Attach additional sheets if necessary) Total Personal Property and Real Estate $47,908.29 ~ '. - , , VILLARI, BRANDES & KLINE, P.C. By : Peter M. Villari, Esquire Paul D. Brandes, Esquire Theresa 1. Giannone, Esquire' 8 Tower Bridge 161 Washington Street, Suite 400 Conshohocken, P A 19428 610-729-2900 Attorneys for Plaintiffs ~ rt C) c::::l c::::. ~ J:" 0'\ ;0 C (... -o~~ c:: co;:!) r- _.1 :'1 rr; -'- rrt-:-' I ...._ t'J co,> ZIL'2- c..) ~? c=; rT1 z('". ~~ i"T1 <: >'::> ~ :J: .-1 0 rl"'l ....-,. 'P~ 11 CI ;,-:. - - ::0 -{ ... .r< -< 0 TERRI A. PENROSE aIkIa TERRI SPIKER, individually and as Administratrix of the ESTATE OF COURTNEY E. SPIKER, a minor, deceased, et aI. COURT OF COMMON PLEAS DAUPHIN COUNTY, PA CML ACTION - LAW No. 4391-cv-20002 v. KIM WALKER, M.D. PETITION FOR APPROVAL OF ALLOCATION OF SETTLEMENT PROCEEDS AMONG WRONGFUL DEATH AND SURVIVAL ACTIONS PURSUANT TO PA. R.C.P. 2206(b){l) Your Petitioners, Terri A. Penrose aJkJa Terri Spiker, Administratrix of the Estate of Courtney E. Spiker, a minor, deceased, and William Spiker, individually, plaintiffs in the above- captioned matter, by and through their attorneys, Villari, Brandes & Kline, P .C., file the within Petition for Approval of Allocation of Settlement Proceeds among Wrongful Death and Survival Actions Pursuant to Pa. R.C.P. 2206 (b)(l), and in support thereofrespectfuUy represent: 1. Your Petitioner, Terri A. Penrose a!kfaJ Terri Spiker, is the duly appointed Administratrix of the Estate of Courtney E. Spiker, a minor, deceased, having been so appointed by the Register of Wills, Cumberland County, PeIUlSylvania. A Certificate of Grant Letters of Administration is attached hereto as Exhibit lIA". , ..... " 2. Your Petitioner, Terri A. Penrose a/kIa Terri Spiker, resides at 46 N. East Street, Carlisle, Pennsylvania, 17103. 3. Your Petitioner, William Spiker, individually, resides at 76 Ironstone Drive, Elizabethtown, P A 17022. 4. As a result of the asserted negligence of the defendants, Petitioners' daughter, Courtney Spiker, a minor, died intestate on October 23,2000, at nine years of age. A true and correct copy of the Death Certificate is attached hereto as Exhibit "B.lI 5. The deceased, Courtney E. Spiker, a minor, is survived by her parents, Terri Penrose Spiker and William Spiker. 6. 'This case involves professional negligence claims associated with anesthesia care provided to Courtney Spiker, deceased, during a spine and hip surgery performed on October 18, 2000. The foregoing is a brief narrative background regarding Plaintiffs' allegations in this matter. Defendants disputed certain of the asserted facts throughout litigation and this summary is not meant to represent an agreed upon statement of the case. Plaintiffs asserted, inter alia, that Courtney Spiker was born with spina bifida, a condition which results in defects in the spinal cord and vertebrae. Courtney's spina bifida involved a myelomeningocele, a herniation of the spinal cord and meninges through a bony defect in the vertebral canal. Courtney was also diagnosed with hydrocephalusJ a common condition in children with spina bifida, and in 1992 had a ventriculoperitoneal (VP) shunt implanted. In 1994, when Courtney was approximately three years old, she underwent a surgical procedure called a "kyphectomi' to correct curvature of her thoracic spine and close the myolomeningecele. Courtney did not experience any complications in the 1994 procedure, 2 '. either related to the procedure or anesthesia. For the next several years, Courtney only required one routine procedure to revise the VP shunt. By all accounts, at 9 years of age, Courtney Spiker was a bright, charming girl who was very mature for her age. Although Courtney could not walk due to the condition oCher spine, she could pull herself along with her arms and she could also use a wheel chair independently. Courtney's IQ was tested in the borderline range in 1997, three years prior to her death. Although her IQ was not again tested, according to her school records and her parents, as of 2000 she was progressing welJ and showed signs of steady improvement. For the 2000/2001 school year, Courtney was in the regular class room for science and social studies and received learning support for reading, language and math. By 2000, Courtney's spine curvature progressively increased and it was decided that she would benefit from a revision of the previous kyphectomy to relieve pressure placed on certain organs and to relieve increasing back pain. The surgery was scheduled for October 18, 2000, and would involve, among other things, surgery to release a right hip flexion contracture (hereinafter the "hip procedure"), revision of the spine curvature (kyphosis) with spinal fusion. and resection of a subaraclmoid cyst at the meningocele (hereinafter the "spinal procedure''). The attending anesthesiologist for the procedure would be defendant Dr. Walker, with the assistance of a second year resident and a Certified Registered Nurse Anesthetist. Prior to admission, a pre-operative anesthesia assessment was performed and Courtney was cleared for the operation from an anesthesia standpoint. Plaintiffs allege that at approximately 9:00 a.m. on October 18, 2000, Courtney was brought to the operating room and placed under general anesthesia. After induction, an Internal 3 '. ~ " Jugular Venous catheter was placed to monitor central venous pressure (CVP). At approximately 10:24 am, the hip portion of the surgery began. During this portion of the surgery, Courtney's CVP readings were recorded as ranging from 6-9 mmHg. Following completion of the hip procedure, an arterial line was placed by defendant, Dr. Walker andlor her assistant. At approximately 11 :45 a.m., Courtney was turned to the prone position and the kyphectomy portion of the surgery began. After Courtney was turned to the prone position, her CVP increased to 14 mmHg, which according to ex.perts, affected blood flow to Courtney's brain. It is asserted by plaintiffs that for a portion of the spinal portion of the procedure, Dr, Walker, the attending anesthesiologist, decided to use deliberate hypotension, a technique whereby low blood pressure is maintained to reduce blood loss and to increase visualization of the surgical field. Defendant Dr. Walker planned to use a combination ofmedications to target a mean arterial pressure (MAP) of 55 mmHg. At approximately 12:00 p.m., defendant Dr. Walker and/or her assistant began deliberate hypotension. For the next three hours of the spine surgery, Courtney's CVP remained in the range of 10-18. This change in the CVP in relation to the targeted mean arterial pressure (MAP) of 55 tmnHg is significant according to plaintiffs' anesthesiology expert. The MAP should have been adjusted upward to account for the rise in CVP. Plaintiffs' expert explains that, in general, adults with normal CVP (5-7 mmHg) and normal intercranial pressures are able to autoregulate cerebral blood flow as long as MAP is between 50 and 150 mmHg. Essentially, when MAP is low, the brain will automatically increase the blood flow (vasodilate) and when MAP is high, the brain will automatically decrease the blood flow (vasoconstrict). In Courtney's case, the CVP increased to a higher than normal level after she was turned to the prone position for the spinal 4 '. " procedure which, according to the expert, impaired the venous drainage from the brain, and if MAP was targeted at 55 mmHg the cerebral perfusion pressure would have been below the autoregulation threshold. Thus, according to Plaintiffs' expert, the targeted MAl> should have been raised to the high 60's or above. Unless this is done, cerebral perfusion remains unacceptably low. Plaintiffs allege that in Co~rtney's surgery no adjustment to the MAP was made. Dr. WaIker testified at deposition that the target MAP of 55 mmHg and CVP of 5-18 were acceptable. According to Dr. Plaintiffs' expert, the failure to adjust the targeted MAP to account for an elevated CVP was below the standard of care and placed Courtney at increased risk of having inadequate cerebral perfusion pressure and cerebral ischemia (lack of blood flow) during the procedure. It is asserted that at approximately 3:00 p.m., Courtney's CVP decreased from 11 mmHg to 8 mmHg and remained in the range of 6-9 nunHg through approximately 6:00 p.m. This was not recognized by defendant. According to Plaintiffs' expert when Courtney was moved to the prone position earlier in the procedure, the CVP of 14 mmHg at that time should have become the new reference point. When the CVP dropped to 8 mmHg at 3:00 p.m. and remained low, it was a sign of hypovolemia. At about the same time, the amount ofisoflurine needed to maintain anesthesia was reduced to 0.4%, another sign of significant hypovolemia. According to Plaintiffs' expert, it is virtually impossible to maintain low blood pressures with isoflurine at 0.4% without having significant hypovolemia. The drop in this anesthetic requirement indicates an early shock state, which can contribute to end organ damage, including cerebral injury. Plaintiffs' expert opined that the failure of the anesthesia team to closely monitor and respond to 5 ". " physiologic parameters and ensure adequate cardiac output during this time period feU tragically below accepted standards of care. Plaintiffs' allege that at or about 3:00 p.m., Courtney began to show other signs of hypovolemia, including decreased urine output and a decline in her Hemoglobin. At approximately 3:30 p.m., the defendant detennined that Courtney1s Hemoglobin was 11.5, her estimated blood loss was 500 cc and her total urine output up to that time was 100 cc. At approximately 5:00 p.m., defendant, Dr. Walker and/or her assistant, recorded Courtney's Hemoglobin to be 11.5 on the anesthesia record, notwithstandine a lab report indicating it was 9.3. As a result of this error, defendant did not timely respond to the downward trend in Courtney's Hemoglobin, an important parameter in determining adequate oxygen delivery to Courtney's brain. Thereafter, sometime between 5 :30 and 6: 15 p.m., defendant noted that the arterial line dampened or occluded; that there was a reduction in Courtney's blood pressure; and that there was notification from the surgeons of increased blood loss in the surgical field. At or about that time, Courtney' 8 blood pressure, CVP and heart rate aU became unstable and thereafter continued in an unstable pattern. According to Plaintiffs' expert, the loss of arterial line function is a sign of a significant reduction in cardiac output. Under those circumstances, the anesthesiologists should have rapidly restored blood pressUre and oxygen delivery by discontinuing anesthetic agents, placing the patient on 100% oxygen, transfusing blood, and administering cardiac stimulatory agents to augment cardiac output. However, defendant merely asswned that the dampened arterial line was a malfunction and switched to cuff pressures through the end of surgery. According to Plaintiffs' expert, when an arterial line ceases to function, an anesthesiologist must first assume it is a physiologic problem, restore blood pressure, and only 6 .. " then check for equipment malfunction. Although the defendant began a transfusion of2 units of packed red blood cells and infused fluids during this critical time period, they did not employ the other needed measures described by Plaintiffs' expert. Also, during this time period, defendant noted a Hematocrit ("HCT") of 11.6. According to Plaintiffs' expert, given this drop in HCT (compared to the pre-operative HCT of39) it was well below accepted standards for the anesthesiologists to use of deliberate hypotensive techniques. Plaintiffs' expert observed that Courtney's low HCT and decreased cardiac output put her at considerable risk for cerebral ischemia and opined that the defendant's failure to aggressively treat the blood loss and to frequently monitor HCT and blood gases fell below the standard of care. Plaintiffs' allege that at approximately 6:30 p.m., Courtney's Hemoglobin was noted by defendant to be 3.8 (compared to the pre-operative Hemoglobin of 12,9). According to Plaintiffs' expert, with a Hemoglobin of3.8, Courtney no doubt had inadequate oxygen delivery to the brain. Normally, the body will compensate for reduction in Hemoglobin by increasing cardiac output and reducing cerebral vascular resistance. However, when blood pressure is reduced, such as by use of deliberate hypotension, cardiac output is reduced and cerebral vasodilation is already maximized. Thus, Courtney's body could not increase oxygen delivery to the brain. According to Plaintiffs' expert, during use of deliberate hypotension, Hemoglobin levels must be closely monitored and maintained at levels above 7. This was not done by defendant. At approximately 9:00 p.m., surgeons completed the kyphectomy. At the completion of the surgery, Courtney Spiker was taken to the hospital's PlCU for recovery and listed by the anesthesiologists and orthopedists at transfer as "stable. n Courtney remained intubated at this 7 '. '. time due to a previous surgical history of adverse reaction to extubation in the operating room. However, upon anival to the PIeD, the nurse performed a neurological assessment and noted that Courtney.s pupils were bilaterally fixed and dilated. An emergent CT scan revealed evidence of global cerebral ischemia. Courtney was brain dead. Significantly, the neurosurgeon who participated in the surgery diagnosed brain damage due to a hypoxic/ischemic event during surgery. The neurosurgeon testified at deposition that his diagnosis of intra-operative hypoxic ischemic injury was influenced by, among other things, the dampening of the arterial line; a Hemoglobin of 4.1 noted on the anesthesia record at approximately 6:30 p.m. (a few minutes after the 6:20 Hemoglobin of 3.8 on a CBe report); and fluctuating blood pressures between 6:00 and 8:00 p.m. Courtney's parents, William "Mac" Spiker and Tern Penrose, were present in the hospital during the surgery. Following surgery, they were initially advis~d that the procedure went well and although there was some blood loss, Courtney should be fine. Courtney's parents then left the hospital. However, at about 1 :30 a.m., Terri received a phone call from the surgeon advising her she should come back to the Hospital because of a problem with Courtney. She returned to the Hospital where she learned that Courtney may have suffered a brain injury. Terri contacted Mac, who also returned to the Hospital, and thereafter they were given the devastating news that Courtney was likely brain dead. In the days following Courtney's surgery, there was no evidence of improvement in Courtney's neurologic condition. During that time, Mac and Terri awaited word on repeated apnea tests to detennine whether Courtney's condition was static. During an apnea test, ventilator equipment is turned off to see whether the patient will attempt spontaneous breathing. Unfortunately, each test was detennined to be compatible with brain death. Therefore, Mac and 8 ~. " Terri were faced with a decision no parent should have to make for their nine year old daughter: whether to discontinue life support and whether to donate her organs if life support was tenninated. Ultimately, when it became clear that Courtney would not recover, Mac and Terri decided to stop support measures and that certain organs would be donated. On October 23, 2000, following surgery to harvest her organs, Courtney was pronounced dead. 7. As a result of the above described events, Petitioners fued this lawsuit against the attending anesthesiologist, Kim Walker, M.D., among others,1 8. The Complaint includes the following separate causes of action: a, Wrongful Death Act claim on behalf of the eligible beneficiarieslbeirs of the Estate of Courtney E. Spiker, a minor, deceased; b. Survival Act claim on behalf of the Estate of Courtney E. Spiker. a minor. deceased; and, c. Negligent Infliction of Emotional Distress on behalf of the parents, Terri Penrose and William Spiker (these claims were dismissed by the Court after it sustained defendant's preliminary objections to the associated Counts). A true and correct copy of the Complaint is attached hereto as Exhibit 41C. II 9. With regard to the lawsuit, the parties recently reached a global settlement of all claims in the gross sum of Eight Hundred Fifty Thousand Dollars ($850,000.00). The settlement was accomplished with the aid of a professional Mediator, Robert Creo, Esquire. 1 Also named as defendants were certain physicians involved pre- and intra-operatively. However, following completion of discovery and based on the opinions of plaintiffs' experts, certain defendants were dismissed. Thereafter, as part of a mediation agreement between the parties, the remaining defendants, other than Dr. Walker. were dismissed from the case. 9 '. .. 10. Of the $850,000.00, plaintiffs elected to apportion the proceeds as follows: a. Ten percent (10%) to the Survival claim. . . . . . . . . . . . ..$ 85,000.00 b. Ninety percent (90%) to the Wrongful Death claim. . . . . .$765.000.00 $850,000.00 11. Petitioners respectfully request that this Honorable Court approve the aforesaid allocation for the following reasons: a. The deceased, Courtney Spiker, due to her brain death while under general anesthesia, likely suffered no conscious pain and suffering; b. Upon reasonable investigation, Petitioners are unaware of any creditors to the decedent's Estate; c. The distributee(s) who will take under the Wrongful Death and Survival Actions are identical and the proportionate shares will be the same in each action. 12. The requested allocation has been approved by the Pennsylvania Department of Revenue, Inheritance Tax Division - Bureau of Individual Taxes. A true and correct copy of the approval letter is attached hereto and made part hereof as Exhibit "D." This letter was issued by the Department with full knowledge of the gross settlement amount of all claims and the proposed distribution. 13. Since the only potential settlement beneficiaries in the case are adults and since no minor has an interest in the settlement, it is only the Court's function to approve the allocation of the gross settlement figure ($850,000.00) among the Wrongful Death and Survival Actions, and not the distribution thereof. See Pa. R.C.P. 2206(bX1). 10 ... '. 14. However, to the extent this Court rules that approval of counsel fees and costs are required, Petitioners also request approval of costs and counsel fees as follows: Counsel has incurred the following expenses (totaling $30,917.12) for which reimbursement is sought: * Depositions * Expert Witnesses: ... Court Filing, Service of Process and Witness Fees: ... Medical Records and Copying Fees: ... Courier and Overnight Delivery Postage Fees: ... Computerized Legal Research: "" Travel Expenses: "" Mediator's Fee: $ $ $ $ $ $ $ $ $ 3,859.83 18,075.00 813.65 2,952.80 294.05 24.75 1 ,897.04 3.000.00 30,917.12 Total: 15. With respect to the settlement proceeds, counsel requests and Petitioners approve an attorney fee in the sum of $340,000.00, which is forty percent (40%) of the gross settlement. A true and correct copy of the retainer agreement is attached hereto as Exhibit "E." 16. The above counsel fee is requested and justified for the following reasons: To say that the litigation involved in this case was "complex" frankly does not do justice to the work actually perforriled by Plaintiffs' counsel in proving plaintiffs' case. This case involved some of the most complicated and esoteric areas of medicine and necessitated retention of nationally renowned and qualified experts in anesthesiology, orthopedic surgery, neurosurgery, neurology and economics. These experts were not for the mere purpose of obtaining review and making out a prima facie case, but to strongly support the claims based on their own knowledge and experience. So, too, were these experts selected to meet head on defenses anticipated by Plaintiffs' counsel. Plaintiffs' counsel also devoted untold hours to written discovery and depositions in this case. Seven (7) depositions were conduct~ five (5) of which were noticed and taken by 11 ~ .. Plaintiffs' counsel. The depositions conducted by Plaintiffs counsel included four (4) physicians and one certified registered nurse anesthetist. Collectively, Plaintiffs' counsel consumed scores of hours preparing for the depositions by researching and reviewing medical literature, reviewing medical and other records, consulting with experts prior to depositions and actually taking the depositions, which were thorough and complete to say the least. Plaintiffs' counsel was additionally thorough in preparing and obtaining responses to their written discovery requests. It is based on the extent of preparation by Plaintiffs' counsel and counsel's pro-active litigation of the case that, in large part, compelled the defendant to agree to a mediation and settlement rather than risk plaintiffs' counsel successfully advocating plaintiffs' claims before a jury. Ultimately, the proposed settlement came as a result oflengthy negotiations at mediation. Although Plaintiffs' counsel does not routinely track the number of hours spent on a case, it is fair to say that a reasonable estimate of the time spent by Plaintiffs' counsel prosecuting this case, when combined with the substantial experience and expertise brought to the table by Plaintiffs' counsel, far exceeds the requested one-third fee. Given the above, plaintiffs' counsel respec~y contends that a one-third fee is reasonable in light of the very substantial effort and high level of expertise brought to bear by counsel. Plaintiffs' counsel took on this contested case and successfully prosecuted it to reasonable settlement. In this regard, therefore, plaintiffs' counsel took on a large financial risk in a case that was far from the proverbial "slam dunk." Indeed, this case was contested from start to. finish, evidenced by the nwnber of depositions that had to be completed on a wealth of issues, and multiple experts that had to be retained in a variety of fields. 12 <.. '. In the end~ this was not a case tbat settled shortly after suit was filed. This case was hard fought by all concerned. The end result, after reducing the settlement by the proposed fee and costs~ was a hard fought victory for the plaintiffs. The only beneficiaries of the Estate are the Plaintiffs/Petitioners, both of whom are adults, and, therefore, at all times they had the capacity to enter into the one-third fee agreement and to approve the fee request in this Petition. Thus, per the applicable law, it is respectfully requested that the proposed fee be approved as reasonable under the circumstances. See, i.e., In re Trust Estate of LaRocca, 431 Pa. 542, 246 A.2d 337 (1968)(ruling that factors to be taken into account when determining reasonableness of counsel fees to be paid from settlement include, but are not limited to, the amount of work: performed; the character of the services rendered; the difficulty of the problems involved; the importance of the litigation; the amount of money in question; the degree of responsibility incurred; whether the fund involved was 'created' by the attorney; the professional skill and standing of the attorney in hislher profession; the results helshe was able to obtain; and the ability of the client to pay a reasonable fee for the services rendered); and Stecyk v. Bell Helicopter Textron. Inc., 53 F. Supp. 2nd 794 (E.D. 1999)(applying Pennsylvania law). 17. Counsel has not and will not receive collateral payments as counsel fees for representation involving the same matter from third parties (i.e., subrogation), 18. The net settlement payable to the Estate of Courtney Spiker, deceased, for the Survival Action claim (after deduction of the pro rata costs of$3~091.71 andpro rata attorney's fee of $34,000.00) is $47,908.29, to be divided essentially evenly between Courtney's parents, Terri Penrose and William Spiker. 19. The net settlement payable to Terri Penrose and William Spiker for the Wrongful Death Action claim (after deduction of the pro rata costs of $27,825.41 and pro rata attorney's 13 ..... . . fee of $306,000.00) is $431,174.59 to be divided essentially evenly between Terri Penrose and William Spiker. 20. Terri Penrose's and William Spiker's approval of the proposed settlement and distribution is attached hereto as Exhibit "P." WHEREFORE, Petitioners respectfully request that this Honorable Court: a. approve the global settlement amount of $850,000.00; b. from the global settlement, approve allocation of $765,000.00 (90%) to the Wrongful Death claim, and the remaining $85,000.00 (10%) to the Survival Act claim; and, to the extent deemed necessary by the Court, c. approve the proposed distribution of settlement proceeds to plaintiffs and their counsel, including the reimbursement of counsel's costs and payment to counsel of a forty percent (40%) attorney fee from the gross settlement amount, as approved by Petitioners. DES & KLINE, P.C. By: P Dated: June 27,2006 14 .. i---- _i ~ ~ \l.~ f:'::.. ~e!I. ~d.~ . &\S-cJ..t ~ c. g ''0 :1:" CI"\ :::0 C. ~ 00;;0 ~~_'~~ G") ~~~ ,., O-~ X 4... d j.~ C"') _ %0 61""\< IN THE COURT OF COMMON PLEAS OF DAUPHIN COUNTY, P J1I> g ~ ~~a CIVIL ACTION - LAW :s ra ~ -< c..) at o ~ c:.~d a ~ ley Cl.o TERRI A. PENROSE alkJa TERRI SPIKER, individually and as Administratrix of the ESTATE OF COURTNEY E. SPIKER, a minor, deceased, et al. COURT OF COMMON PLEAS DAUPHIN COUNTY, PA CIVIL ACTION - LAW No. 4391-cv-20002 v. KIM WALKER, M.D. ORDER/DECREE AND NOW, this 3- day of fJ U 9 u s ~ 2006, upon consideration of Plaintiffi' Petition for Approval of Allocation of Settlement Proceeds Among WrongfUl Death and Survival Actions Pursuant to Pa. R. c.P. 2206(b)(1), and any response thereto, it is hereby ORDERED and DECREED that the Petition is GRANTED. Consequently, the gross settlement proceeds of $850,000.00 shall be allocated 9()o,Io to the Wrongful Death Action claim and 10% to the Survival Action claim and costs and fees as specified in the Petition shall be deducted on a pro rata basis from each claim. B~~ J. ~ . Distrlblllloll: Peter Villari, Esquire Paul D. Brandes, Esquire Theresa L. GianDonet Esquire Villari, Brandes & Kline, P.C.t 8 Tower Bridget 161 Washington Street, Suite 400, Conshohocken, Pa 19428 April SimpSOl1t Esquire . McQuaide Blasko, 811 University Drive, State Colleget Pa 16801-6699 Andrew Foulkrodt Esquire . FoulJcrod E1.1ist 2010 Market S~ Camp HilI,;Pa 17011 HERSHEY TELEPHONE (717) 534-2833 JORDAN D. CUNNINGHAM ROBERT E. CHERNICOFF MARC W. WITZIG BRUCE J. WARSHAWSKY JOHN M. HYAMS KELLY M. KNIGHT CUNNINGHAM & CHERNICOFF, P.C. ATTORNEYS AT LAW P.O. BOX 60457 HARRISBURG, PENNSYLVANIA 17106-0457 IRS NO. 23-2274135 Street Address: 2320 N. 2nd Street Harrisburg, PA 17110 TELEPHONE (717) 238-6570 FAX (717) 238-4809 Writer's Direct Email: biw(Q),cclawDc.com September 26, 2006 Honorable Glenda Farner Strasbaugh Clerk of the Orphans' Court County of Cumberland One Courthouse Square Carlisle, PA 17013 RE: Estate of Courtney E. Spiker File No: 606104 Dear Honorable Ms. Strasbaugh: Pursuant to your office's telephone call on September 22,2006, enclosed find two (2) checks in the amount of$15.00 each representing the filing fees for the Inheritance Tax Return and Inventory. Should you have any questions, please do not hesitate to contact me. Very truly yours, C~M & CHERNICOFF, P.e. Broce J. wJ:s~ BJW/ja Enclosure cc Terri Penrose F:\HOME\BJW\DOCSISPIKER\L92606. WPD Q ':;;;(~ :::1] ~!-} ::~J _4~';:' \) ~... -.1. - . . - w "-> c::::. ~ 0-. V? 0J T'\) -....J ,-:;'2 Fs; ':::0 r', [iJ c;2 ~)l c'5 . - (-T'j '; ~- ~ c-=.) (>,1. 1,.:., ~. , \.A ,\ (._~', t~ C",_ ' \ \~ 'c) C~\ \~~-~ CL- . (~? ~-r:~ 11-06-2006 SPIKER 10-23-2000 21 02-0843 CUMBERLAND 101 APPEAL DATE: 01-05-2007 ( See reverse side under Objections) Amaunt Re.ittedl I MAKE CHECK PAYABLE AND REMIT PAYMENT TO: REGISTER OF WILLS CUMBERLAND CO COURT HOUSE CARLISLE, PA 17013 CUT ALONG THIS LINE -+ RETAIN LOWER PORTION FOR YOUR RECORDS +- ---------------------------- -------------------------------------------------------------- REV-1547 EX AFP (03-05) NOTI E OF INHERITANCE TAX APPRAISEMENT, ALLOWANCE OR DISAL OKANCE OF DEDUCTIONS AND ASSESSMENT OF TAX C URTNEY E FILE NO. 21 02-0843 ACN 101 BUREAU Of INDIVIDUAL TAXES INHERITANCE TAX DIVISION PO BOX 280601 HARRISBURG PA 11128-0601 COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF REVENUE r'.;..r:''"\.~ ~.., (iT,r..HOt~CE Of INHERITANCE TAX APPRAX~~ENr, ALLOWANCE OR DISALLOWANCE I I tJf DEDuCTIONS AND ASSESS"ENT OF TAX 20D6 OV 14 PH I: 09 DATE ESTATE OF DATE OF DEATH FILE NUMBER COUNTY ACN CLERK OF OR H.A}\J'S COURT CUM ERLM,jD CO R^ BRUCE J WARSHAWSKY "' M CUNNINGHAM a CHERNICO 2320 N 2ND ST HBG PA 1 110 ESTATE OF SPIKER ( ) CHANGED RN WAS: (X) ACCEPTED AS FILED RESERVATION CONCERNING FUTUR INTEREST - SEE REVERSE APPRAISED VALUE OF RETURN BA ED ON: ORIGINAL ~ETURN 1. R..l Estate (Schedule A) 2. Stocks and Bonds (Schedule ) 3. Closely Held Stock/Partners ip Interest (Schedule C) 4. Hortgages/Notes Receiv_le Schedule D) 5. Cash/B'" OeposltsIHlsc. Pe sonal Proparty (Schedule E) 6. Jointly Owned Property (Sc ule f) 7. Transfars (Schedule G) 8. Total Assets (1) (2) (3) (4) (5) (6) (7) .00 .00 .00 .00 47.908.29 .00 .00 (8) APPROVED DEDUCTIONS AND EXEMP 9. Funeral Expenses/A~. Costs ise. Expensas (Schedule H) 10. Debts/Hortgage Liabillties/L ens (Schedula I) 11. Total Deductions 12. Net Value of Tax Return 13. Cherltabla/GoYe~tal sts; Non-elected 9113 Trusts (Sc~dule ~) 14. Net Value of Estate Subja t to Tax 2,112.00 (9) (10) .00 (11) (12) (13) (14) *' REV-1547 EX AFP (06-05) COURTNEY E DATE 11-06-2006 NOTE: To Insure proper cradi t to your account, ~it the upper portion of this fora with your tax payaent. 41,908.29 '.11' nn 45,196.29 .00 45,796.29 NOTE: ssued previously, lines 14, 15 and/or 16, 17, 18 and 19 will nelude the total o~ 4bb returns assessed to date. I~ an assessment was reflect ~igures that ASSESSMENT OF TAX: 15. Aaount of Line 14 at Spousal rata 16. Aaount of Line 14 taxable at Linae1/Class A rate 17. Aaount of Line 14 at Sibling rate 18. Aaount of Line 14 taxable at ollateral/Class B rate 19. Principal Tax Due (15) 45,796.29 X 00 = (16) .00 X 045 = (17) .00 X 12 = (18) .00 X 15 = (19)= AMOUNT PAID . . DATE NUtlBER INTEREST/PEN PAID (-) TOTAL TAX CREDIT BALANCE OF TAX DUE INTEREST AND PEN. TOTAL DUE . If PAID AfTER DATE INDICATED, SEE R.VERSE FOR CALCULATION Of ADDITIONAL INTER_ST. .00 .00 .00 .00 .00 .00 .00 .00 .00 ( IF TOTAL DUE IS LESS THAN $1, NO PAY"ENT IS REQUIRED. IF TOTAL DUE IS REFLECTED AS A "CREDIT" (CR), YOU HAY BE DUE A REFUND. SEE REVERSE SIDE OF THIS FORM FOR INSTRUCTIONS.) ST A TUS REPORT UNDER RULE 6.12 Name of Decedent Date of Death Will No. Courtney E. Spiker 10-23-00 Admin No. 2002-00843 Pursuant to Rule 6.12 ofthe Supreme Court Orphans' Court Rules, I report the following with respect to completion ofthe administration of the above-captioned estate: 1. State whether administration of the estate is complete: Yes X No 2. Ifthe answer is No, state when the personal representative reasonably believes that the administration will be complete: 3. If the answer to No.1 is Yes, state the following: a. Did the personal representative file a final account with the Court? Yes No b. The separate Orphans' Court No. (if any) for the personal representative's account is: c. Did the personal representative state an account informally to the parties in interest? Yes --X- No d. Copies of receipts, releases, joinders and approvals of formal or informal accounts may be filed with the Clerk ofthe Orphans' rt and may be attached to this report. ,,/ Date: d 111-161 Name Bruce J. Warshawsky. Esquire Address 2320 North Second Street P.O. Box 60457 Harrisburg. PA 17106-0457 Telephone (717) 238-6570 Capacity: Personal Representative X Counsel for Personal Representative ~ ..~~ l I '~;l"1 ,.,..., .") 1 U I I / 'i~.., L i 1 i i, F:\Home\BJ~Cfspf~\61~F'oRMB.;pd' . GJ Pa. D.C. Rule 6.12 STATUS REPORT REGISTER OF WILLS OFCv..,v.. ~erl Ct '^ J. COUNTY, PENNSYL VANIA Name of Decedent: v\) CJ..lJ...C~ \2: c,lt vJ~M Date of Death: t - '3 \ - D0' File Number: Z.OO~-'6'4~ Pursuant to Pa. O.C. Rule 6.12, I report the following with respect to completion of the administration of the above-captioned estate: 1. State whether administration of the estate is complete: . . . . . . . . . . . . . . . . . . .. D Yes )i1 No 2. If the answer is No, state when the personal representative reasonably believes that the administration will be complete: t..\.v.. r J.\.o s """I W~}\" ~ e.J. 1M/( I. L ~ ,'<fIIM l- C Vi..c..., S ( 3. If the answer to No.1 is YES, state the following: a. Did the personal representative file a final account with the Court? . . . . . .. DYes DNo b. The separate Orphans' Court No. (if any) for the personal representative's account is: c. Did the personal representative state an account informally to the parties in interest? ............................... DYes DNo d. Copies of receipts, releases, joinders and approvals of formal or informal accounts may be filed with the Clerk of the Orphans' Court and may be attached to this report. Date \-~o - Or ("") LO S2 :c o.r:c ::::r: ~G_. 0-:: -, LL0 c.:) (::5 r- e ;0 '::. ws~. ---J ~:!' { I C) :;;r:. c LLC cr: ~< O..cc:. -, U Capacity: DPersona] Representative ~unse] ~p~~~gt5F~'llev) E ~ 1 t ( W. <;C>d~ S-t. Cess r'\A ') _CA r \ ~ ~ \ e 1 11' l't c) l l\{~Ztl\- t"'--t4l Telephone o ("") 2: ..q --:, 0:::> = C:;::J c....., Form RW-JO rev. 1013.06 C-tJ