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FILED: WARREN COUNTY CLERK 08/17/2022 04:37 PM INDEX NO. EF2018-65232
NYSCEF DOC. NO. 105 RECEIVED NYSCEF: 08/17/2022
Exhibit 4
FILED: WARREN COUNTY CLERK 08/17/2022 04:37 PM INDEX NO. EF2018-65232
NYSCEF DOC. NO. 105 RECEIVED NYSCEF: 08/17/2022
SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF WARREN
EVELYN O'BRIEN, on behalf of herself and Index No.: 65232/2018
others similarly situated,
Plaintiff, DEFENDANTS' SECOND AMENDED
RESPONSES AND OBJECTIONS TO
v. PLAINTIFF'S FIFTH SET OF
INTERROGATORIES
SAGBOL T, LLC and OCEAN
PROPERTIES, LID.,
Defendants.
Defendant Sagbolt, LLC, by and through its undersigned counsel and pursuant to CPLR
3132, hereby responds to Plaintiff Evelyn O'Brien's Fifth Set of Interrogatories as follows:
I.
INTERROGATORIES
1. Please list witnesses to any oral communication you had concerning the Service
Charge with customers, including: (1) the name of the employee or person speaking on your behalf;
(3) the name of the customer; (4) the date of the communication; and (5) the subject matter and
contents of such communication.
ANSWER: Defendant has produced a list of all employees who could have had
communications with customers concerning the Service Charge at Bates No.
SAG000095-SAG000098; SAG015993- SAG016806. Defendant is not otherwise
aware of any such specific statements.
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2. Please identify all persons involved in disclosing and explaining the Service Charge
to customers on standardized documents including, but not limited to, menus, invoices, FAQs,
bills, banquet event orders, and contracts, including their names, positions, duties, supervisors and
direct reports.
ANSWER: See Response to Interrogatory No. 1.
3. Please identify all persons involved in deciding whether to charge customers of
catered events a Service Charge and whether the Service Charge would be remitted to employees,
including their names, positions, duties, supervisors and direct reports.
ANSWER: Defendant has produced a list of all persons involved in deciding whether
to charge customers of catered events a Service Charge and whether the Service
Charge would be remitted to employees between 2016-2019 at Bates No. SAG000099-
SAG000100. Additionally, between 2012-2015 the following individuals were
involved:
2012 2013 2014 2015
General l\!lanae:er TomGuav TomGuav TomGuav TomGuav
F&B Director(s) Sharon Foster Sharon Foster, Robert Robert
McElhenny McElhenny
Robert
McElhennv
Controller Tiffany Chabot Tiffanv Chabot Tiffanv Chabot Tiffanv Chabot
4. Please identify the servers, captains, and managers who worked at each Catered
Event and Special Event, including (1) name of the employee; (2)job title; (3) date of each event
worked; (4) customer(s) at such event; (4) whether the employee received any compensation from
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tips and/or the Service Charge and the amount of such compensation; and (5) the total amount of
Service Charge and/or tip paid by the customer.
ANSWER: See Response to Interrogatory No. 1. Additionally, documents produced
at Bates No. SAG068512 - SAG069336, show the identity of individuals working
catered events, including the amount of service charge they received, by week.
Documents produced at Bates No. SAG002030 - SAG015992; SAG043243 -
SAG068329, show the date of each banquet event, the customer for the banquet event,
and the total amount of Service Charge and/or tip paid by the customer atthe banquet
event. Documents produced at Bates No. SAG015993- SAGOl 7131 show the job titles
for each banquet event employee.
5. Please list any companies or entities that assisted the Sagamore with human
resources, including the Sagamore's waitstaff compensation policy, overtime compensation
policy, and any policy related to the distribution of tips and describe in detail the nature of
assistance provided.
ANSWER: Portsmouth Corporate Financial Services, Inc.
6. Please detail any changes that you made in the disposition of the Service Charge
during the Class Period, including the date of the change and nature of the change.
ANSWER: Prior to April 2016, a portion of the Service Charge was paid to the
employees who participated in the sale, administration and servicing of banquet
events as commissions. Beginning in April 2016, various employees who worked
banquet events have been paid a significantly higher hourly wage and have not been
paid the Service Charge. Information responsive to this request has been produced at
Bates No. SAG001986- SAG002027; SAG002028- SAG002032; SAG002033-
SAG015992; SAG068512 - SAG069336; and in the email production.
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7. Please describe any changes that you made in disclosing and/or explaining the
Service Charge to customers of Catered Events in standardized documents including, but not
limited to, menus, invoices, FAQs, bills,banquet event orders, and contracts during the Class
Period, including the date of such change and the manner in which the standardized documents
were changed.
ANSWER: In the end of March 2016, the Sagamore modified its contracts to reflect
the change described in response to Interrogatory No. 6 and notified customers of the
change. The Sagamore also instructed its employees to inform customers that the
Service Charge was not a tip, would not be paid to the employees, and would be
retained by the resort. See also Response to Interrogatory# 6. Furthermore, in 2019,
the Sagamore modified its banquet event orders and banquet invoices to incorporate
the disclosure language from the banquet contracts regarding the nature of the
service charge.
The banquet menu produced at SAG068330-SAG068357 was generally used
in planning events from March 17, 2011 until it was replaced by SAG068358-
SAG068397 on or around July 28, 2014. That menu was replaced by SAG068398-
SAG068434 on or around April 21, 2017. That menu was replaced by SAG068435-
SAG068471 on or around February 21, 2018.
The wedding menu produced at SAG068472-SAG068478 was generally used
in planning events from April 5, 2012 until it was replaced by SAG068479-
SAG068488 on or around February 19, 2014. That menu was replaced by
SAG068489-SAG068498 on or around February 18, 2015. That menu was replaced
by SAG068499-SAG068509 on or around January 18, 2017. That menu was replaced
by SAG068510-SAG068511 on or around February 8, 2019.
The special event menus produced at SAG000087- SAG000094 were generally
used for the event identified on the date of the menu.
All menus could have been used at any time after they were created, including
after they were replaced as described above.
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8. Please describe the method by which compensation designated as GRATS on
Sagamore catering employee paystubs or any compensation purported to be a percentage of the
Service Charge was calculated.
ANSWER: GRATS represents a non-honrly paytype nsed for variety of other pay.
For banqnet servers/bartenders at the Sagamore, under the payroll code 07P,
GRATS included, as a commission, a portion of the Service Charge. Documents
containing information responsive to this interrogatory have been produced at Bates
No. SAG068512 - SAG069336, and iu the email production. For banquet
servers/bartenders, under the payroll code 07P, their share of the Service Charge
distribution was generally divided proportionally among the banquet
servers/bartenders that worked during the period in question. The specific
calculation methodology for the Service Charge distribution during any period for
which the Service Charge distribution was calculated is reflected in the referenced
documents. For example, the document produced at Bates No. SAG069030-
SAG069036 reflects that the banquet servers/bartenders were distributed $16,574.70,
of the service charge collected for the period ending on June 29, 2014, reflecting
42.75% of the collected service charge. The following pages of the document,
specifically pages SAG069032 - SAG069036, show the division of that amount among
the 07P employees for that period, along with the distribution of additional gratuity.
9. Please identify all persons with relevant information concerning Plaintiffs' claims
in this litigation, including but not limited to, their telephone number, address, and a brief
description of the relevant information that they possess.
ANSWER: See Responses to Interrogatory Nos. 1, 2, 3, 4, and 5.
10. Please describe how discretionary tips paid by customers of Catering Events or
Special Events were distributed to employees, including but not limited to, a description of any tip
pool and the names and duties of employees who participated in the tip pool and amount of tip
received by each employee.
ANSWER: Discretionary tips paid by customers at Catering Events or Special Events
were distributed to the employees as designated by the customer or proportionally to
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banqnet servers/bartenders, under the payroll code 07P. Documents produced at
Bates No. SAG068512 - SAG069336 and the emails produced show the distribution
of discretionary tips.
11. Please state your policy concerning how Sagamore employees should handle tips
at Catering Events and Special Events, other than a Service Charge, including whether such
employees must report such cash tip to the Sagamore and the circumstances when such cash tips
must be placed in a tip pool to be shared with other employees. If there were any changes to this
policy during the Class Period, please describe those changes.
ANSWER: The Sagamore had a policy regarding the distribution of collected Service
Charge. See Response to Interrogatory No. 8. Sagamore had no formal tip pool policy
for cash tips for banquet servers/bartenders under the payroll code 07P during the
Class Period. Discretionary cash tips paid by customers at Catering Events or Special
Events were distributed to the employees as designated by the customer or to those
employees who worked the event. See Response to Interrogatory No. 10.
12. Please describe your document retention policy and state whether you have retained
all emails, menus, banquet event orders, contracts, or other documents concerning the Service
Charge, overtime compensation policy, and any policy related to tips for the entire Relevant
Period.
ANSWER: In general, Defendant retains documents for up to seven (7) years. Upon
information and belief, Defendant has retained all menus since April 2012 and all
contracts Since April 2013. Defendant has maintained signed copies of the banquet
event orders since 2015, and electronic copies of the unsigned banquet event orders
since April 2012. As to emails, Defendant maintains emails locally on individual
computers, and some emails may have not been maintained prior to April 2018 as a
result of replacing and refreshing individual computers.
13. Please list all stake holders of Ocean Properties, Sagbolt, and Portsmouth.
ANSWER: Defendant has produced documents identifying the stake holders for
Sagbolt. Defendant otherwise is not in possession, custody, or control of the requested
information.
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14. All documents sufficient to identify: (a) the state, territory, or other jurisdiction in
which the estate of Thomas T. Walsh ("Walsh") is being administered or probated; (b) the court
or other tribunal which is supervising the administration of Walsh's estate; (c) the names,
addresses, and phone numbers of the estate administrators or personal representatives who are
charged with administering Walsh's estate; (d) whether Walsh had executed a will which was in
existence at the time of his death or died intestate; (e) if Walsh died testate, provide a copy of such
will and any related estate planning documents which describe the transfer of his property, and (f)
all details concerning any transfer of Walsh's ownership interests in Sagbolt and Ocean Properties
or any trust, partnership or entity holding an ownership interest in such entities, including: (i) the
percentage ownership transferred, (ii)the transferees' relative ownership interests, and (iii)the
transferees' names, addresses, and phone numbers.
ANSWER: This interrogatory has been stricken.
15. By year, please list the aggregate amount of Service Charge collected by the
Sagamore.
ANSWER: Defendant's business records reflect that it collected Banquet Service
Charge in the following amounts during the dates listed. These amounts include
Service Charge collected at banquet events held in banquet spaces, banquet events
held in outlets, and special banquet holiday events.
Banquet Service
Period Beginning Period Ending Charge Amount
4/12/2012 12/31/2012 $676,371.93
1/1/2013 12/31/2013 $755,704.54
1/1/2014 12/31/2014 $806,411.17
1/1/2015 12/31/2015 $966,038.93
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1/1/2016 12/31/2016 $904,881.53
1/1/2017 12/31/2017 $931,851.94
1/1/2018 12/31/2018 $877,431.39
1/1/2019 11/24/2019 $826,232.42
Additional information responsive to this request has been produced at Bates No.
SAG068512 - SAG069336; SAG043243- SAG068329; SAG002030- SAG015992; and
SAG103-109.
16. By month, please list the aggregate amount of overtime hours worked by Sagamore
catering waitstaff and servers who worked overtime during the Class Period.
ANSWER: Defendant's payroll records reflect that employees working as banquet
servers/bartenders at the Sagamore, under the payroll code 07P, from April 2012 -
April 2016, worked overtime hours in the following amounts:
Overtime
Payroll Hours
Code YYYYMM Worked
07P 201204 0.00
07P 201205 13.76
07P 201206 560.23
07P 201207 227.31
07P 201208 30.59
07P 201209 259.73
07P 201210 88.87
07P 201211 9.71
07P 201212 0.00
07P 201304 73.53
07P 201305 129.85
07P 201306 223.63
07P 201307 420.71
07P 201308 465.94
07P 201309 395.19
07P 201310 129.81
07P 2013]1 59.38
07P 201312 0.00
07P 201401 0.00
07P 201402 0.00
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07P 201403 0.00
07P 201404 238.22
07P 201405 101.33
07P 201406 182.70
07P 201407 300.40
07P 201408 99.51
07P 201409 99.31
07P 201410 27.89
07P 201411 1.12
07P 201412 0.00
07P 201501 6.35
07P 201502 0.00
07P 201503 0.00
07P 201504 327.52
07P 201505 326.22
07P 201506 224.95
07P 201507 339.24
07P 201508 229.96
07P 201509 361.72
07P 201510 748.72
07P 201511 50.66
07P 201512 0.00
07P 201601 13.55
07P 201602 0.00
07P 201603 0.00
07P 201604 23.77
Additional information responsive to this request has been produced at Bates No.
SAG069337 - SAG069881. Additional responsive documents have been produced
showing compensation for all banquet servers/ bartenders, under the payroll code
07P.
17. By year, please list the aggregate amount of the tip credit taken by Sagamore
catering employees.
ANSWER: Sagamore banquet servers/ bartenders, under the payroll code 07P, did
not take a tip credit.
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18. By year, please list the aggregate amount of Service Charge distributed to employees.
ANSWER: From 2012 - 2016, Defendant's business records reflect that it distributed
Banquet Service Charge and tips to banquet servers/ bartenders, under the payroll
code 07P, in the following amounts:
Service
Payroll Charge
Year Code and Tips
2012 07P 285,121.96
2013 07P 316,738.67
2014 07P 309,732.50
2015 07P 413,411.04
2016 07P 20,868.96
Additional information responsive to this request has been produced at Bates No.
SAG068512 - SAG069336; SAG069337 - SAG069881; and in the email production.
19. By year, please list the total amount of compensation paid to employees who
worked at Sagamore Catering Events.
ANSWER: Defendant's payroll records reflect that banquet servers/ bartenders,
under the payroll code 07P, were paid the following gross amounts in the years listed:
Year Payroll Code Gross Pay
2012 07P 396,125.71
2013 07P 444,321.43
2014 07P 442,611.74
2015 07P 573,986.36
2016 07P 563,130.57
2017 07P 528,281.50
2018 07P 552,567.73
2019 07P 547,461.94
Additional information responsive to this request has been produced at Bates No.
SAG069337 - SAG069881 and in the email production. Additional responsive
documents have been produced showing compensation for all banquet servers/
bartenders, under the payroll code 07P.
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VERIFICATION
Its: General Manager
STATE OF NEW YORK
COUNTY OF WARREN
THE FOREGOING INSTRUMENT was acknowledged before me thi~~y of February
, 2020, by Tom Guay. the General Manager of Sagbolt, LLC, who is personally known to me
and who did take an oath, acknowledging that all of the foregoing Re s p on s es to
Interrogatories were answered truthfully and completely to the best of his/her knowledge,
information and belief.
KATHY J. ROUNDS
Notary Public, State of New York
Reg. No. 01R06182644
Commission Expiration Date: ,·-;?~3 /:J.o:iJV
DI BO/alia./o4L/
Qualified in Warren County
Commission Expires 03/03J&;i,~O _Commission No.:
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