IN THE MATTER OF THE WILL OF MARION L. PRIDDY, Deceased
NO. COA04-1330
Filed: 5 July 2005
1. Wills--testamentary capacity--issue of fact
There were genuine issues of material fact as to whether the caveator to a will had shown
that the essential element of testamentary capacity did not exist, and summary judgment should not
have been granted for the propounder.
2. Wills--undue influence--summary judgment
The trial court erroneously granted summary judgment for propounder on the issue
of whether a testator was under undue influence of propounder at the execution of the will.
3. Wills--witnesses--summary judgment
The trial court erroneously granted summary judgment for propounder on the issue
of compliance with the requirements for witnessing a will where issues of material fact
existed as to whether the notary qualified as a witness and whether a witness signed in the
presence of the testator and at his request.
Appeal by Caveator from orders entered 4 August 2004 and
24 August 2004 by Judge Lindsay R. Davis, Jr. in Guilford
County Superior Court. Heard in the Court of Appeals 20 April
2005.
Hahn & Chastain, P.A., by Charles B. Hahn, for caveator-
appellant.
Forman Rossabi Black, P.A., by T. Keith Black, Theodora
Vaporis, and Jason M. Goins, for propounder-appellees.
HUNTER, Judge.
Vickie L. Dixon (Caveator) appeals from summary
judgment orders entered on 4 August 2004 and 24 August 2004 in
favor of Susan L. Priddy (Propounder). The issues before
the Court are whether the trial court's entry of summaryjudgments for the Propounder were proper on the issues of (I)
whether decedent had the capacity to execute a will, (II)
whether decedent was under the undue influence of Propounder
when the will was executed, and (III) whether there was
compliance with the formalities required by law for executing
a will. For the reasons discussed herein, we reverse on all
issues.
On 8 June 2003, Marion L. Priddy (Testator) died at the
age of 71 years in Guilford County, North Carolina. At the
time of his death, Testator was survived by his four children,
including his daughter, Caveator, and his wife, Propounder.
On 11 June 2003, Propounder presented to the clerk of superior
court a paper-writing, purporting to be Testator's Last Will
and Testament (Will). Rosemary Cummo (Cummo) and Dorthea
Tinnen (Tinnen) each submitted an Affidavit of Subscribing
Witnesses for Probate of Will, stating that they had signed
the paper-writing at the request and in the presence of
Testator as an attesting witness. The clerk of court admitted
the paper-writing to probate in common form.
On 21 August 2003, Caveator filed a Caveat, asserting
that Testator did not possess the capacity to execute a will,
and that the 2002 paper-writing was obtained through undue
influence by his estranged wife, Propounder. Propounder filed
a Motion for Summary Judgment in the caveat proceedings on 15
July 2004. The trial court, finding there were no genuineissues of material fact, granted Propounder's motions and the
caveat proceedings were dismissed.
I.
The standard of review on appeal for summary judgment is
whether there is any genuine issue as to any material fact
and whether the moving party is entitled to a judgment as a
matter of law. N.C. Gen. Stat. § 1A-1, Rule 56(c) (2003);
In
re Will of Campbell, 155 N.C. App. 441, 450, 573 S.E.2d 550,
557 (2002). In ruling on a motion for summary judgment, the
court may consider the pleadings, depositions, answers to
interrogatories, and admissions on file, together with the
affidavits[.] N.C. Gen. Stat. § 1A-1, Rule 56(c);
In re Will
of McCauley, 356 N.C. 91, 100, 565 S.E.2d 88, 95 (2002). All
such evidence must be considered in the light most favorable
to the non-moving party.
Summey v. Barker, 357 N.C. 492, 496,
586 S.E.2d 247, 249 (2003).
'The purpose of a caveat [proceeding] is to determine
whether the paper-writing purporting to be a will is in fact
the last will and testament of the person for whom it is
propounded.'
Campbell, 155 N.C. App. at 451, 573 S.E.2d at
558 (citation omitted). While it is true that the issue of
devisavit vel non (a determination of whether the will is
valid) must be tried by a jury, summary judgment as to other
issues, such as undue influence and capacity, may be granted.
Id. at 450, 573 S.E.2d at 558. [1] In her first assignment of error, Caveator contends
the trial court erroneously granted a summary judgment motion
in favor of Propounder on the issue of whether Testator had
the capacity to execute a will. We agree.
'A testator has testamentary capacity if he comprehends
the natural objects of his bounty; understands the kind,
nature and extent of his property; knows the manner in which
he desires his act to take effect; and realizes the effect his
act will have upon his estate.'
In re Estate of Whitaker,
144 N.C. App. 295, 298, 547 S.E.2d 853, 856 (2001) (citations
omitted). 'The law presumes that a testator possessed
testamentary capacity, and those who allege otherwise have the
burden of proving by the preponderance or greater weight of
the evidence that he lacked such capacity.'
In re Will of
Jarvis, 334 N.C. 140, 146, 430 S.E.2d 922, 925 (1993)
(citation omitted). However, to establish testamentary
incapacity, a caveator need only show that one of the
essential elements of testamentary capacity is lacking.
In re
Will of Kemp, 234 N.C. 495, 499, 67 S.E.2d 672, 675 (1951).
It is not sufficient for a caveator to present 'only general
testimony concerning testator's deteriorating physical health
and mental confusion in the months preceding the execution of
the will, upon which [a caveator] based [her] opinion[] as to
[the testator's] mental capacity.'
In re Will of Smith, 158
N.C. App. 722, 725, 582 S.E.2d 356, 359 (2003) (citation
omitted). A caveator needs to present specific evidence'relating to testator's understanding of his property, to
whom he wished to give it, and the effect of his act in making
a will at the time the will was made.'
Id. (citations
omitted).
Here, the evidence tends to show that Testator devised
his entire estate to his estranged wife, Propounder, and did
not provide for any of his four surviving children.
Additionally, Caveator's evidence shows that Testator and
Propounder had separated in 1999, when Testator moved to North
Carolina. Propounder remained in their home in Charleston,
South Carolina. Testator and Propounder continued to live
separate and apart until the time of Testator's death.
Testator eventually came to live with his daughter, Caveator,
where she cared for him until his death.
The evidence tends to show that Testator suffered from
ischemic cardiomyopathy, kidney disease, and depression.
There is evidence that Testator, who was 71, attempted to find
work and shared concerns about his financial situation,
although he had considerable assets. Caveator has presented an
affidavit from one of the attesting witnesses, Benjamin Butler
(Butler), stating:
Even though I signed the will as my
friend requested, I did not then and I do
not believe now that he was competent and
aware enough to sign such a document. At
the time, he was under considerable
distress, stress, anxiety, and fear. I
don't believe he was fully in touch with
reality, nor was he acting under his own
free, aware and conscious will.
Butler also noted that Testator was showing increasingly
erratic and irrational behavior and taking a considerable
amount of medication. Additionally, an affidavit from
Testator's friend, Fran Cuthbertson (Cuthbertson), stated
that Testator had told Cuthbertson that Testator wished to
leave everything to his daughter, Caveator.
Considering the evidence in the light most favorable to
the nonmoving party, Caveator, there are genuine issues of
material fact as to whether Testator understood the effect of
his actions. Because there are genuine issues of material
fact as to whether Caveator has shown that an essential
element of testamentary capacity did not exist, we hold that
it was error for the trial court to grant Propounder's motion
for summary judgment as to testator's capacity to execute a
will.
II.
[2] In her second assignment of error, Caveator contends
the trial court erroneously granted summary judgment in favor
of Propounder on the issue of whether Testator was under undue
influence at the execution of the Will. We agree.
The four general elements of undue influence are: (1)
decedent is subject to influence, (2) beneficiary has an
opportunity to exert influence, (3) beneficiary has a
disposition to exert influence, and (4) the resulting will
indicates undue influence.
Smith, 158 N.C. App. at 726, 582
S.E.2d at 359. 'The influence necessary to nullify atestamentary instrument is the 'fraudulent influence over the
mind and will of another to the extent that the professed
action is not freely done but is in truth the act of the one
who procures the result.''
Id. (citations omitted).
The North Carolina Supreme Court has identified several
relevant factors as to the issue of undue influence:
'1. Old age and physical and mental
weakness.
2. That the person signing the paper is
in the home of the beneficiary and subject
to his constant association and
supervision.
3. That others have little or no
opportunity to see him.
4. That the will is different from and
revokes a prior will.
5. That [the will] is made in favor of
one with whom there are no ties of blood.
6. That it disinherits the natural
objects of his bounty.
7. That the beneficiary has procured its
execution.'
In re Andrews, 299 N.C. 52, 55, 261 S.E.2d 198, 200 (1980)
(citation omitted);
Smith, 158 N.C. App. at 726-27, 582 S.E.2d
at 359-60. Whether these or other factors exist and whether
executor unduly influenced decedent in the execution of the
Will are material questions of fact.
Smith, 158 N.C. App. at
727, 582 S.E.2d at 360.
Caveator's evidence tends to show that Testator was 71
years old, suffered from kidney disease, heart disease, and
depression. Caveator contends that although Propounder didnot live with Testator for several years, she was in contact
by phone, purportedly had the Will prepared and drafted for
him, and dominated his financial affairs. Caveator argues
that due to Testator's disposition of property to his
estranged wife, Propounder, he disinherited his children,
including Caveator, despite stating that he wanted to leave
his estate to Caveator, who cared for him until his death.
Affidavits from Cuthbertson and Caveator both stated that
Testator was frightened of Propounder, dominated and
controlled by her, and submissive to her demands.
Because there are genuine issues of material fact as to
whether the
Andrews factors exist, we hold that it was error
for the trial court to grant Propounder's motion for summary
judgment as to whether Testator was under the undue influence
of Propounder.
III.
[3] In her final assignment of error, Caveator contends
the trial court erroneously granted summary judgment in favor
of Propounder on the issue of whether there was compliance
with the formalities required by law for executing a will. We
agree.
For a will to be valid, it must comply with the statutory
requirements. N.C. Gen. Stat. . 31-3.1 (2003). Propounder
has the initial burden of proof and must show that the paper-
writing in question was executed with the proper formalities
required by N.C. Gen. Stat. § 31-3.1.
In re Will of Roberts,
251 N.C. 708, 715, 112 S.E.2d 505, 509 (1960);
In re Will ofParker, 76 N.C. App. 594, 597, 334 S.E.2d 97, 99 (1985).
N.C. Gen. Stat. § 31-3.3 states:
(a) An attested written will is a
written will signed by the testator and
attested by at least two competent
witnesses as provided by this section.
(b) The testator must, with intent
to sign the will, do so by signing the
will himself or by having someone else in
the testator's presence and at his
direction sign the testator's name
thereon.
(c) The testator must signify to the
attesting witnesses that the instrument is
his instrument by signing it in their
presence or by acknowledging to them his
signature previously affixed thereto,
either of which may be done before the
attesting witnesses separately.
(d) The attesting witnesses must
sign the will in the presence of the
testator but need not sign in the presence
of each other.
N.C. Gen. Stat. § 31-3.3 (2003).
In this case, Caveator's evidence tends to show that on
30 August 2002, Testator executed his Will at Wachovia Bank in
Greensboro. Upon arriving at the bank, Testator and his
friend, Butler, met with bank employee, Cummo, to have
Testator's Will signed and notarized. According to Butler's
affidavit, Testator asked Cummo to notarize his Will and she
agreed. While in Cummo's office, Testator signed the Will in
the presence of Butler and Cummo. Butler next signed the Will
as an attesting witness at Testator's request. Cummo then
took the Will and left, leaving both Testator and Butler alone
in her office for about five to eight minutes, beforereturning with the Will, which then bore the signature of
Tinnen, one of the bank's tellers. Cummo proceeded to
notarize the Will, and Testator and Bulter left the bank.
Here, a material issue of fact exists as to whether
Testator complied with the will formalities required by N.C.
Gen. Stat. . 31-3.3. Although Propounder presented self-
proving affidavits along with a notarized and signed Will,
Caveator presents evidence that Testator did not sign the Will
in Tinnen's presence or acknowledge his signature to Tinnen.
Further, Caveator's evidence suggests Tinnen did not sign in
the presence of Testator. Therefore, a material issue of fact
exists as to whether Tinnen is a competent witness as defined
by N.C. Gen. Stat. . 31-3.3(c)-(d). Propounder contends,
however, that even if Tinnen is not a competent witness,
Cummo, the notary, is a second competent witness to the Will,
and therefore the statute was properly complied with.
A testator 'need not formally request the witness to
attest his will as the request may be implied from his acts
and from the circumstances attending the execution of the
will.'
In re Will of Kelly, 206 N.C. 551, 553, 174 S.E. 453,
454 (1934) (citations omitted). '[A] request will be implied
from the testator's asking that the witness be summoned to
attest the will, or by his acquiescence in a request by
another that the will be signed by the witness.'
Id.
(citations omitted). Whether the testator impliedly
requested the witnesses attest the will is ordinarily afactual question for the jury.
Brickhouse v. Brickhouse, 104
N.C. App. 69, 73, 407 S.E.2d 607, 610 (1991) (hereinafter
Brickhouse I).
In
Brickhouse I, this Court held that it was error for
the trial court to grant a summary judgment motion, because
there remained a factual issue as to whether the notary
qualified as an attesting witness.
Id. at 74, 407 S.E.2d at
610. This Court remanded the case for determination of
whether the notary qualified as an attesting witness.
Id. at
74, 407 S.E.2d at 611.
In
Brickhouse v. Brickhouse, 110 N.C. App. 560, 430
S.E.2d 446 (1993) (hereinafter
Brickhouse II), this Court
found that there was sufficient evidence to affirm the trial
court's factual determination that the notary was an attesting
witness.
Brickhouse II, 110 N.C. App. at 568, 430 S.E.2d at
450. Additionally, this Court affirmed that a notary's
signature, although signed in a separate place from the other
witnesses, does not preclude the notary from being considered
an attesting witness, if the testator requested that the
notary attest his signature.
Id. at 567, 430 S.E.2d at 450.
Here, Cummo signed an Affidavit of Subscribing Witnesses
for Probate of Will, asserting that she had signed, in the
presence of Testator and at his request, the paper-writing as
an attesting witness. Propounder asserts that Cummo was asked
to witness the Will's execution, in addition to notarizing the
document. Caveator, however, presented evidence that Testator never
expressly requested that Cummo attest the Will. As in
Brickhouse I, there is a factual discrepancy as to whether
Testator implicitly requested Cummo witness the document or
merely notarize it and therefore, summary judgment was
improperly granted.
Because there are genuine issues of material fact and
devisavit vel non must be tried by a jury, we hold that it was
error for the trial court to grant Propounder's motion for
summary judgment, as there remained the factual issue of
whether Cummo qualified as an attesting witness and whether
Tinnen signed in the presence of Testator and at his request.
As issues of material fact existed, the trial court's
entry of summary judgments for Propounder were improper on (I)
whether testator had the capacity to execute a will, (II)
whether testator was under the undue influence of Propounder
when the Will was executed, and (III) whether there was
compliance with the formalities required by law for executing
a will. Therefore, we reverse the trial court's grant of
summary judgment.
Reversed.
Judges HUDSON and GEER concur.
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