Instituto Medico del Norte, Inc. v. Greengift Capital, LLC
CourtCourt of Appeals for the First Circuit
Date FiledSeptember 2, 2026
Docket23-1314
StatusPublished
📰 News Coverage: Read the LAWS.com news report on this case
Full Opinion
United States Court of Appeals
For the First Circuit
No. 23-1314
INSTITUTO MÉDICO DEL NORTE, INC.,
Debtor,
__________________
INSTITUTO MÉDICO DEL NORTE, INC.,
Appellant,
v.
GREENGIFT CAPITAL, LLC,
Appellee.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Pedro A. Delgado-Hernández, U.S. District Judge]
Before
Gelpí, Thompson, and Montecalvo,
Circuit Judges.
Rafael A. González-Valiente, with whom Godreau & Gonzalez
Law, LLC was on brief, for appellant.
Ramón L. Ramos-Aponte, with whom Gustavo A. Chico-Barris,
Tomás F. Blanco-Pérez, and Ferraiuoli LLC were on brief, for
appellee.
September 2, 2026
THOMPSON, Circuit Judge.
Instituto Médico del Norte, today's debtor/appellant,
has been trying to repay a loan since the 1980s. But Instituto
and Greengift Capital (the current loan-holder and today's
appellee) are in a fierce battle about what, exactly, Instituto's
got to fork over.
We'll fill in the deets shortly, but the SparkNotes is
this. In a recent adversary proceeding1 in bankruptcy court,
Instituto tried to invoke a 1991 agreement to explain why it owed
less on the loan balance than Greengift (and its predecessor
loan-holders) said it did. The bankruptcy court sided with
Greengift. See In re Instituto Médico del Norte, Inc.,
No. 13-08961, 2022 WL 609995, at *7 (Bankr. D.P.R. Mar. 1, 2022).
But admittedly -- and with no disrespect intended
towards the bankruptcy court -- we struggle to make sense of
several key determinations in its dispositive order. We know that
bankruptcy courts are quite busy, and they also don't have an
obligation to make specific findings of fact or to elaborate on
their decisions when resolving motions for summary judgment. See
Grossman v. Berman, 241 F.3d 65, 68 (1st Cir. 2001). But
1"An adversary proceeding is a subsidiary lawsuit within the
larger framework of a bankruptcy case," In re Buscone, 61 F.4th
10, 16 n.1 (1st Cir. 2023) (cleaned up), but it has "great"
similarities to "an ordinary civil action," In re Harrington, 992
F.2d 3, 6 n.3 (1st Cir. 1993).
- 2 -
sometimes, a careful statement of reasoning is "a necessary
precondition to intelligent appellate review." Id. We've said
before that "[s]uch an occasion arises when a trial court grants
a motion for summary judgment under circumstances in which the
basis for its ruling is not easily ascertainable from the bare
record." Id. And especially when we're wading in the "byzantine
world of bankruptcy law," Guallini-Indij v. Banco Popular de P.R.,
169 F.4th 64, 70 (1st Cir. 2026), we think "it is risky business
for an appellate court to guess at what the [bankruptcy] court
might have been thinking, and the better course is to remand for
an elaboration of the decision," Grossman, 241 F.3d at 68.
That's the case here. In response to the bankruptcy
court's various orders to cough up some evidence of what's owed,
Instituto offered more than 1,000 pages' worth of documents, as
well as briefs with arguments and specific record citations. And
yet the bankruptcy court (after, admittedly, providing a lot of
background info, such as procedural history and general primers on
Rule 12(b)(6) and Rule 56) unfortunately resolved the case in an
"opinion and order" with only a paragraph of analysis that
(1) lacks any record citation or reference to applicable law and
(2) doesn't make clear the grounds of decision, with multiple
possible interpretations of its reasoning apparent to us. See In
re Instituto, 2022 WL 609995, at *7. That paucity deprives us of
the opportunity to provide meaningful appellate review. So we
- 3 -
vacate and remand to the bankruptcy court to take another shot at
it. "And given our inability to parse what happened below . . . we
necessarily explain in considerable detail just why we think remand
is necessary." Rivera-Carrasquillo v. Centro Ecuestre Madrigal,
Inc., 812 F.3d 213, 215 (1st Cir. 2016). We articulate the
specifics of what the bankruptcy court should consider upon remand,
guided by our comments.
SETTING THE SCENE
A. The Loan and the 1991 Agreement(s)
We'll start at the beginning, of course. Back in 1984,
Instituto obtained a loan to the tune of $10,683,230 from Ponce
Bank to build a hospital in Vega Baja, Puerto Rico.
But Instituto and Ponce quickly fell into a dispute.
The dispute's details are admittedly complicated and not
well-documented in the record before us, but here's what we can
glean from the parties' materials: Greengift says that Instituto
quickly found itself "in default with the [l]oan's terms," while
Instituto says that Ponce "refused to make disbursements on the
loan as required by the credit agreement." But either way, Ponce
filed a collections and foreclosure suit against Instituto in 1986.
And then Instituto filed for Chapter 11 bankruptcy in 1987, soon
afterward opening an adversary proceeding against Ponce.
- 4 -
Following long negotiations, Instituto and Ponce reached
a settlement in 1991 to end this multi-faceted litigation.2 Yet
the parties have different accounts of what exactly happened in
1991. Instituto says the most critical thing, at least for our
purposes, was that the loan's balance was divided into two distinct
notes going forward: an interest-bearing note for the principal
balance of $10,584,920.17, and a non-interest-bearing note for
past overdue interest of $3,585,388.53. (Put differently, from
then on, interest would accrue on the principal note with an annual
2 As the bankruptcy court noted in another Instituto order
(one that isn't part of today's adversary proceeding), here are
the practical effects of the settlement:
[Instituto] filed a Chapter 11 petition on
February 13, 1987 . . . . After a stipulation
filed between Instituto and Ponce Federal Bank
in June 1990, the petition was voluntarily
dismissed in April 1991. The adversary
proceeding filed by Instituto against Ponce
Federal Bank . . . ended in September 1993
when judgment was entered pursuant to the
[S]tipulation filed by the parties in February
1991.
Instituto Médico del Norte Inc., No. 13-08961, 2022 WL 1721350, at
*2 n.1 (Bankr. D.P.R. May 27, 2022). Our understanding is that
these agreements were not formalized into a confirmed plan, given
Instituto's voluntary dismissal of its bankruptcy petition. The
parties do not detail what happened with the 1986 collection
action, but our examination of the docket revealed that it ceased
at approximately the same time as the 1991 agreements were being
hashed out. See generally Docket, Ponce Fed. Bank, FSB v.
Instituto Médico del Norte, Inc., No. D CD1986-1935 (Bayamon Sup.
Ct.). And no one notes that the Bayamon Superior Court made a
determinative ruling on the collections effort that would
otherwise legally affect the agreements.
- 5 -
interest rate of 5.981%, but that other $3.5 million note wouldn't
accrue interest, as Instituto sees it.) Instead of everything
accruing interest, in its telling, Instituto agreed to pay the
interest-bearing note in monthly installments of up to $75,069,
followed by a balloon payment at the end of the payment schedule
worth approximately $4.6 million -- that figure being the remnants
of the principal note, combined with the total value of the
non-interest-bearing note (for which monthly payments were not due
in the interim). Greengift, meanwhile, claims that a single
specific 1991 agreement establishing that two-track payment plan
"does not exist," at least in the sense that there were really
several agreements between Instituto and Ponce executed then.3
B. The Stipulation and the Plan
Fast forward more than twenty years of payments
according to the settlement. In 2013, Instituto again filed for
Chapter 11 bankruptcy. And in the bankruptcy court, Oriental (who
took Ponce's place as the holder of the loan) filed a proof of
claim for $8,951,814.92 with an annual interest rate of 5.98%.4
(Oriental's proof of claim did not distinguish between an
3 In a 2021 filing before the bankruptcy court, Greengift's
predecessor, Condado, identified six different agreements between
the parties in 1991.
4 A "proof of claim" is a "creditor's written statement that
is submitted to show the basis and amount of the creditor's claim"
in order for the creditor "to make a claim for payment out of the
estate in bankruptcy." Proof of Claim, Black's Law Dictionary
(12th ed. 2024).
- 6 -
interest-bearing portion of the loan and a non-interest-bearing
portion.)
While Instituto's bankruptcy plan was being worked out,
Instituto and Oriental got into it about how much Oriental should
be paid. But they worked it out. And in 2015, the two filed a
stipulation to the bankruptcy court explaining how Oriental's
claim should be treated in the final bankruptcy plan. Here's the
important language from "The Stipulation":
CLASS 7[5] - The allowed secured claim of
Oriental, is currently being paid $75,069.00
per month according to a payment plan agreed
upon in 1991. This Plan proposes to
restructure the balance of the allowed secured
claim to be amortized in a 19.25 year term
with interest at the annual rate of 5.98% with
a monthly payment of $60,000 for a six (6)
month[] period from the effective date of the
plan; thereafter a monthly payment of
$75,069.00 for a period of fifty four (54)
months with a[n] amortization as agreed in
1991.
(Emphasis ours.) As the reader will later learn, from that "with
[a]n amortization as agreed in 1991" language, Instituto says the
two-note plan purportedly established in 1991 was preserved.
5 "Class 7" is referring to the "Class of Claims." As the
Supreme Court has explained, the Bankruptcy Code "sets forth a
basic system of priority, which ordinarily determines the order in
which the bankruptcy court will distribute assets of the estate."
See Czyzewski v. Jevic Holding Corp., 580 U.S. 451, 457 (2017)
(describing the usual priority order, but noting that there is
"more flexibility for distributions pursuant to Chapter 11
plans"). More simply, where the creditor's claim falls on the
priority list will determine where in line they stand when the
assets are dished out.
- 7 -
The final plan (which we uncreatively christen "The
Plan") approved by the bankruptcy court incorporated most of the
above-reproduced language, but not all. First, in the "Classes of
Claims and Equity Interest" section:
CLASS 7 - This class comprises the allowable
secured claim of Oriental Bank and Trust
("Oriental"). . . . A settlement agreement[6]
was reached with Oriental as to the manner in
which this creditor will be paid. The
settlement was approved by this Hon. Court and
its terms and conditions are made part of the
treatment for this creditor under the Plan.
(Underlined in original.) Second, in the "Treatment of Claims"7
section:
CLASS 7 - The allowed secured claim of
Oriental is currently being paid $75,069 per
month according to a payment plan agreed upon
in 1991. This Plan proposes to restructure
the balance of the allowed secured claim to be
amortized in a 231-monthly term with interest
at the annual rate of 5.98%. Monthly
installments of $60,000.00, including
principal and interest, will commence at the
Effective Date of the Plan for six months, and
then 54 monthly payments of $75,069.00. The
remaining balance will be due in a balloon
payment 30 days thereafter. . . . See Summary
of Claims and Plan Payments attached hereto as
Exhibit A-1.
6 This settlement agreement is, as we understand it, the
Stipulation. (More on that later.)
7 Drawing on the above "Class of Claims" section, this portion
of the bankruptcy plan explains the debtor's legal obligations to
the class of creditors therein going forward.
- 8 -
(Bolded ours, underlined in original.) Nowhere in either passage
in the Plan, the astute reader will note, is the phrase "a[n]
amortization as agreed in 1991."
So the Plan went into effect in August 2016.
But later on, some wires got crossed. In short,
Instituto and Oriental fell into a spat about the loan's precise
balance after the Plan's Confirmation. The disagreement continued
when Condado 7, another entity, acquired the loan from Oriental.
Condado thought that balance was much higher than Instituto did,
because Instituto believed that the bifurcated note plan remained
in effect -- that is, a significant portion of the loan balance
still wasn't accruing interest, even after the Plan went into
effect.
C. Bankruptcy Court Proceedings
That leads to today's case. In 2021, Instituto reopened
the 2013 bankruptcy case and started an adversary proceeding
against Condado. After some initial matters, Instituto filed an
amended complaint. There, it explained what, precisely, it sought:
• declaratory judgments stating (1) that Instituto
correctly accounted the loan's total and principal
balances; and (2) that the $3.5 million note doesn't
accrue interest, based on the "amortization as agreed in
1991" language;
- 9 -
• a civil contempt claim against Oriental and Condado for
violating the Plan by charging interest Instituto didn't
owe; and
• damages.
i. The Motion to Dismiss
Condado soon moved to dismiss the complaint. Among other
points it made, it identified at least six distinct "1991
agreements" that could have been the focus of the Stipulation's
"a[n] amortization as agreed in 1991" language. And it said that
its application of interest was actually consistent with the Plan's
terms.
In response, Instituto moved to convert Condado's motion
to dismiss into a motion for summary judgment. In Instituto's
view, Condado didn't focus on the allegations but instead made
reference to matters outside the pleadings; that, in essence, made
its motion one for summary judgment. And given the way Condado
had presented its motion with facts outside the pleadings
referenced, Instituto also sought more time to get discovery to
properly respond to what it thought, in essence, was a summary
judgment motion; Instituto wanted the chance to depose Oriental
Bank officials and request production of some documents to make
its case.
Condado retorted by observing that the documents it
referenced were incorporated into the pleadings by reference, so
- 10 -
it was still fine to proceed under Rule 12. And Condado
alternatively argued that Instituto's discovery wasn't necessary
because, even if the court intended to treat the motion as a
summary judgment motion, Instituto's filing hadn't met the
strictures of Federal Rule of Civil Procedure 56(d), which requires
an affidavit showing specific evidentiary needs to halt summary
judgment proceedings and allow discovery.
To that, Instituto offered a short response largely
repeating points from its original motion.
The bankruptcy court then entered a puzzling order. See
In re Instituto Médico del Norte, Inc., No. 13-08961, 2021 WL
4944085 (Bankr. D.P.R. Oct. 22, 2021). (We'll call it the "October
2021 Order.") After summarizing the arguments, the court concluded
"that the bottom-line of this case hinges on one factual issue."
Id. at *5. In its words, here was that one big issue:
Have the payments made by Instituto to
Oriental/Condado been credited and applied by
Oriental/Condado to the restructured allowed
secured claim in accordance with the
amortization provided for in the
[Plan] . . . which incorporates the
[S]tipulation with Oriental Bank (dkt. #491 in
bankruptcy case), approved on September 28,
2015 (dkt. #513 in the bankruptcy case)?
Id. It next explained that, to secure the declaratory judgment,
"Instituto ha[d] the burden of establishing" that payments "had
not been made" according to the schedule; its "conclusory
allegations" in the complaint didn't show any misapplication. Id.
- 11 -
Still, Condado's retort -- that all payments had been correctly
applied in accordance with the Plan and the Stipulation -- wasn't
sufficient in the court's eyes to dismiss the case, because those
documents weren't before it. Id. So the bankruptcy court said
the issue could get figured out in three steps: first, determining
"how the payments should have been made and applied as set forth
in the [Plan]," then providing "a detail of the payments made,"
and finally providing "a detail of how the payments were applied
and the balance owed after each payment." Id. at *6. That all
made good sense.
And then things began to go off the rails. Without
expressly saying it was converting Condado's motion to dismiss
into a motion for summary judgment, the bankruptcy court then
ordered Instituto -- yes, Instituto, not Condado -- to move for
summary judgment. See id. But unlike the typical summary judgment
motion, the bankruptcy court said discovery wasn't necessary to
conduct this tripartite analysis because "such basic accounting
should have been in [Instituto's] possession before filing the
complaint, as it is the basis for the causes of action in the same.
Not having the evidence may raise the inference of intended delay
if the payments were not actually made."8 Id. at *5-6.
8 We pause here to note the effect of this ruling: Instituto
could no longer rely on the pleading standard, but instead had to
produce evidence to keep the case moving. As we'll discuss, we
think it awfully odd that the bankruptcy court imposed an
- 12 -
ii. Instituto's Motion for Summary Judgment
Thus spawned more motions.
First, as the bankruptcy court directed, Instituto
indeed moved for summary judgment, and submitted with it a hefty
pile of papers. It argued that the Stipulation and the Plan
incorporated the 1991 Agreement, which in turn "created an
interest-bearing note for the then outstanding principal balance
on the loan and a non-interest-bearing Note for the then
outstanding overdue interest." With the motion came about 700
pages of documentation, including documents from the 1990s and
what we think is Oriental's spreadsheet of a payment schedule with
a "non[-]interest[-]bearing portion" in the exact amount Instituto
claimed: $3,585,388.53. Greengift (who had, by this point, taken
over for Condado) naturally opposed.9 It argued that all payments
had been applied as the Plan and the Stipulation required and
highlighted a spreadsheet of its own.
Instituto then said that it needed time to pursue
additional discovery to file its reply brief. In its view,
Greengift had argued that the documents were ambiguous, so
discerning the "intent of the [p]arties" was necessary for it to
evidentiary burden on Instituto without letting Instituto
undertake discovery, particularly given that Instituto repeatedly
claimed it couldn't meet that burden without such an opportunity.
9 And thus Greengift became the movant for the
still-outstanding motion to dismiss.
- 13 -
respond to Greengift's arguments. Instituto thus sent a set of
interrogatories to Oriental (who, to remind, was the co-signatory
of the Stipulation). The bankruptcy court granted the extension
to pursue this discovery.
But Greengift moved to reconsider the decision on
January 13, 2022 (and yes, the specific dates begin to matter
here). It quoted the October 2021 Order, which (to remind) said
that the outstanding inquiry didn't "require conducting discovery
at this juncture." In re Instituto, 2021 WL 4944085, at *5. From
that, Greengift said that discovery wasn't needed for Instituto's
reply. A response from Instituto to this motion to reconsider was
due on January 27, 2022.
But that chance to respond never came. On January 21,
2022, the bankruptcy court held a long status conference. The
highlights are that the bankruptcy court (1) granted Greengift's
motion to reconsider and thus stayed any discovery until the
resolution of Instituto's summary judgment motion, and (2) ordered
the parties to provide supplements to their summary judgment
briefing within 21 days. It issued minutes of this status
conference and the order for supplemental briefing about a week
later, on January 27.
Instituto supplemented its briefing on February 11. It
filed more stacks of banking paperwork (largely provided by
- 14 -
Oriental via its initial disclosures) that, in its view, showed
how the $3.5 million note "does not generate interest."
Greengift filed its brief six days later, but Instituto
suddenly moved to strike the filing. It argued that Greengift had
filed six days too late, because 21 days after the status
conference was February 11, rather than February 17. And Instituto
theorized that Greengift filed late so it could use this
no-longer-simultaneously-filed supplemental briefing to get a leg
up on Instituto.10 The bankruptcy court denied Instituto's motion
to strike without explanation.
At this point, we offer a quick reminder of the
procedural highlights thus far, all the better to understand the
upcoming order:
• Instituto filed an amended complaint.
• Condado moved to dismiss.
• Instituto sought to convert that motion into a motion
for summary judgment, and also sought discovery.
• Without resolving Condado's motion to dismiss, the
bankruptcy court ordered Instituto to file a motion for
summary judgment, but denied Instituto's request to get
discovery.
10On appeal, but not before the bankruptcy court, Greengift
pointed to the day the order was issued, rather than the day of
the status conference, as the day the 21-day clock began ticking,
which would make its supplemental brief timely.
- 15 -
• Instituto sought discovery again.
• The bankruptcy court permitted it.
• Greengift moved for the court to reconsider that
decision.
• At the status conference, the bankruptcy court sided
with Greengift and again forbade discovery, but
permitted the parties to file supplemental briefing.
• Both parties filed supplemental briefing (though
quibbled about the timeline).
iii. The March 2022 Order
And, finally, we turn to the bankruptcy court's order
ending the case (which we now call the "March 2022 Order" to help
keep things straight). See generally In re Instituto, 2022 WL
609995. After describing much of the above, as well as providing
primers about Rule 12 and Rule 56 caselaw, the bankruptcy court
explained as follows:
Instituto has failed to present to the court
evidence or reasonable support for its
allegation that the [S]tipulation between
[Instituto] and [Oriental], as well as the
[Plan], provide that the portion of the credit
in the amount of $3,585,388.53 does not
generate interest. Moreover, even if the
$3,585,388.53 did not generate interest at
some point in time, Instituto has failed to
provide evidence that it has complied with the
payments as provided for in the [Plan] and the
[S]tipulation. Conclusory allegations do not
suffice. On the other hand, assuming the
truth of all well-plead facts in the amended
- 16 -
complaint and giving the benefit of all
reasonable inferences therefrom, the court
concludes that the complaint does not plead a
plausible claim as it is based on conclusions
not supported by the facts. Plaintiff
Instituto has had a reasonable opportunity to
fill the factual gap and has been unable to do
so.
Id. at *7. With those five sentences, the litigation before the
bankruptcy court came to an end.
D. District Court Proceedings
Instituto appealed to the federal district court, per
the appellate bankruptcy process. It argued: (1) that the
bankruptcy court erred in dismissing the adversary proceeding;
(2) that it erred in denying Instituto's motion for summary
judgment; (3) that it erred in denying Instituto's request for
discovery; and (4) that it erred in denying Instituto's motion to
strike the supposedly late filing.
The district court found no error. See Instituto Médico
del Norte, Inc. v. Greengift Cap., LLC, No. CV 22-1122 (PAD), 2023
WL 2732420, at *1 (D.P.R. Feb. 24, 2023). For starters, it held
that the Plan didn't adopt the 1991 Agreement's bifurcation of the
notes. Instead, the Plan just stated that the loan's balance would
"be amortized in a 231-monthly term with interest at the annual
rate of 5.98%." Id. at *3. So the Plan didn't incorporate the
bifurcation terms, and the Stipulation's language (specifically
"with a[n] amortization as agreed in 1991") couldn't alone
- 17 -
establish "that the parties were splitting the remaining balance
into one interest-bearing portion and a second
non-interest-bearing portion." Id.
Nor did the district court find reversible error in the
bankruptcy court's denial of Instituto's discovery requests. It
thought the issue could be resolved from the plain text of the
Plan, and it was unconvinced that the denial of discovery was
"plainly wrong" (the appellate standard of review, in its words).
Id. at *4.
Third, the district court affirmed what it determined to
be the bankruptcy court's decision to convert the motion to dismiss
into one for summary judgment, given the only factual question
necessary to resolve the case was outside the pleadings. Because
"the case was dismissed pursuant to the summary judgment standard,
not the traditional 12(b)(6) standard," this argument wasn't
getting Instituto anywhere. Id. at *5.
Finally, the district court said the bankruptcy court's
denial of the motion to strike Greengift's late filing was "a
purely discretional matter that this court will not interfere with
on appeal." Id.
Instituto then appealed to us. And here we are.
OUR TAKE
Instituto offers us essentially the same four arguments
it presented to the district court. Before we get to them, though,
- 18 -
we note one thing: "While the district court affirmed the
bankruptcy court's decision, we review the bankruptcy court's
decision directly and cede no special deference to the district
court's determinations." In re Zizza, 875 F.3d 728, 731 (1st Cir.
2017) (cleaned up). So we draw on the district court's reasoning
only to the extent it helps us make sense of the bankruptcy court's
decision.
We begin with Greengift's motion to dismiss11, then move
to Instituto's motion for summary judgment, and close with thoughts
about discovery (not reaching the motion to strike).
A. Greengift's Motion to Dismiss
Instituto first argues that the bankruptcy court's order
violated Rule 12(b)(6) in a few ways. For one, Instituto says the
bankruptcy court's choice of words -- that it was granting
Greengift's motion to dismiss because Instituto's complaint was
"based on conclusions not supported by the facts" -- raised the
bar too high for the case to survive Rule 12(b)(6). In re
Instituto, 2022 WL 609995 at *7. As a follow-on, Instituto
observes that the bankruptcy court never explicitly converted
Greengift's motion to dismiss into a motion for summary judgment
(only denying Instituto's motion for summary judgment), where such
11To be clear, this is the motion to dismiss that Condado
originally filed. Greengift technically took it over when it
assumed Condado's place in the litigation. For simplicity's sake,
we refer to it as Greengift's motion to dismiss.
- 19 -
a standard would have been permissible. And if all the
non-conclusory allegations were instead credited, says Instituto,
it properly stated claims for relief -- and thus the case shouldn't
have ended at the hands of Rule 12(b)(6).
Greengift responds that, once Instituto moved for
summary judgment (following the bankruptcy court's order), the
Rule 12(b)(6) standard "became inapplicable," because Greengift's
motion to dismiss was converted into a motion for summary
judgment.12 And, relying on the district court's formulation
(which strikes us as somewhat baffling), Greengift explains that
the motion was "expressly converted." Instituto, 2023 WL 2732420,
at *5. On the merits, Greengift walks through why Instituto failed
to state a claim, quoting the bankruptcy court in saying that
Instituto "failed to provide evidence" that there's a part of the
loan that doesn't accrue interest and that Instituto "has complied
We find the argument admittedly a bit confusing, so we're
12
going to quote the brief verbatim here:
Instituto repeats in the instant appeal that
the Bankruptcy Court erred in dismissing its
Complaint because it "should have applied the
standards under Rule 12(b)(6), but failed to
do so." . . . Instituto fails to understand
that when it moved for summary judgment, the
Fed. R. Civ. P. 12(b)(6) standard became
inapplicable. As correctly analyzed by the
District Court, "the 12(b)(6) standard
discussion is inapposite because the
Bankruptcy Court expressly converted
Greengift's motion to dismiss into a motion
for summary judgment."
- 20 -
with" the Plan and the Stipulation. See In re Instituto, 2022 WL
609995, at *7.
For starters, we offer just a bit about when, exactly,
motions to dismiss are converted into motions for summary judgment,
an analysis that's "functional rather than mechanical."
Calderón-Amezquita v. Rivera-Cruz, 158 F.4th 54, 69 (1st Cir.
2025). "Under Rule 12(b)(6), the district court may properly
consider only facts and documents that are part of or incorporated
into the complaint; if matters outside the pleadings are
considered, the motion must be decided under the more stringent
standards applicable to a Rule 56 motion for summary judgment."
Trans-Spec Truck Serv., Inc. v. Caterpillar Inc., 524 F.3d 315,
321 (1st Cir. 2008) (emphasis added, cleaned up); see also Crawford
v. Salve Regina Univ., 178 F.4th 734, 742-43 (1st Cir. 2026)
(discussing the rule). But the important word there is
"considered." Because, "if the district court chooses to ignore
the supplementary materials and determines the motion under the
Rule 12(b)(6) standard, no conversion occurs." Garita Hotel Ltd.
P'ship v. Ponce Fed. Bank, F.S.B., 958 F.2d 15, 18 (1st Cir. 1992).
Put differently, "the test is not whether supplementary materials
were filed, but whether the court actually took cognizance of them,
or invoked Rule 56, in arriving at its decision." Id. at 19.
After careful review of the record and the parties'
arguments, we are puzzled by the bankruptcy court's treatment of
- 21 -
Greengift's motion to dismiss. "And, regrettably, the record does
not supply a ready answer: each side's characterization of the
judge's actions finds at least some support there."
Rivera-Carrasquillo, 812 F.3d at 228.
Here's what Greengift gets right. Earlier in the
litigation, the bankruptcy court recognized that a factual issue
was central to the adjudication of the ultimate case. See In re
Instituto, 2021 WL 4944085, at *5 ("The above factual question is
the key to the amended complaint."). And the same order also said
that the circumstances "move[] the court to consider the matter
through a motion for summary judgment as it is fact-based, and the
dispositive data is not before the court." Id. at *6. Those
points certainly favor Greengift's interpretation of the
record -- at least an implicit conversion of the motion into one
for summary judgment.
Along with that, the bankruptcy court said as follows
during the January 2022 status conference:
[T]he motion to dismiss . . . was addressed in
this court's order of October 22,
2021 . . . in which the Court opted to
consider the motion to dismiss as a motion for
summary judgment and that, in answer to this
Court's order . . . is that the
debtor-plaintiff filed a motion for summary
judgment. So really, what is before the Court
is a motion for summary judgment and the
opposition by Greengift.
- 22 -
And the bankruptcy court, almost immediately afterwards, agreed
that Greengift's motion to dismiss was "subsumed" (whatever that
means) by Instituto's motion for summary judgment.
Still, countervailing considerations suggest that
Instituto's right: the bankruptcy court applied the wrong standard
in the dispositive order. For starters, before the issuance of
the October 2021 order, Instituto specifically asked for the motion
to dismiss (which, to remind, was at that point filed by Condado,
because Greengift hadn't taken over) to be converted into a motion
for summary judgment, and Condado opposed -- actually saying that
the motion to dismiss shouldn't be converted into a motion for
summary judgment.
Several parts of the March 2022 order also complicate
things. For starters, the bankruptcy court provided more than a
page's worth of generic Rule 12(b)(6) caselaw in the "standard"
sections -- with a specific section of "Standard of Motion to
Dismiss" -- and nowhere in that lengthy explanation did it include
any caselaw about conversion. See In re Instituto, 2022 WL 609995,
at *3-4. We find the extended discussion of Rule 12(b)(6) caselaw
an odd addition if such a conversion to summary judgment did occur.
The one paragraph of analysis that the bankruptcy court
provided in that order did include statements that don't quite
comport with Rule 12(b)(6). On the one hand, the bankruptcy court
said that it "assum[ed] the truth of all well-plead facts in the
- 23 -
amended complaint and [gave] the benefit of all reasonable
inferences therefrom." Id. at *7. So far, so good.
But the bankruptcy court then faulted Instituto for
failing to state a claim because the complaint "does not plead a
plausible claim as it is based on conclusions not supported by the
facts." Id. Perhaps that was a statement that the complaint was
too conclusory -- which also is fine to say when evaluating a Rule
12(b)(6) motion. Yet the bankruptcy court then noted that
Instituto "had a reasonable opportunity to fill the factual gap
and has been unable to do so." Id. We don't read the bankruptcy
court to be saying that Instituto could've filled this gap via a
second amended complaint (and no party is arguing that's what the
bankruptcy court meant), so the fault assigned to Instituto in
that sentence seems to be about a dearth of evidence. Assuming
the truth of well-plead facts in the complaint is in-line with
Rule 12(b)(6); granting a motion to dismiss in part because a party
didn't "fill a f