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Home > Legal & Regulatory docs.

Schweizerisches Bundesgericht 4A 214-2022 - German - 26 October 2022

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Country
  • Switzerland
  • United States
Year

2022

Summary

Sachverhalt:

A.

A.a. A.________ SA (Klägerin) ist eine schweizerische Aktiengesellschaft mit Geschäftsaktivitäten im Bereich Rohstoffhandel, einschliesslich Ein- und Ausfuhr von Metallen und Steinkohlenkoks.

B.________, Inc. (Beklagte) ist eine nach dem Recht des Staates Ilinois gegründete Gesellschaft mit Sitz in den Vereinigten Staaten. Sie ist unter anderem im Bereich des Verkaufs von Roheisen an Kunden in den Vereinigten Staaten tätig. 

A.b. Am 27. November 2018 schlossen die Parteien den Vertrag xxx über den Verkauf von Roheisen ab. Am 12. März 2019 unterzeichneten sie Anhang 3 zu dieser Vereinbarung betreffend den Weiterverkauf von Roheisen an die US-Kundin C.________ LLC. Am 25. September 2019 unterzeichneten die Parteien zudem Nachtrag 13, nach dem die Klägerin Roheisen in der vereinbarten Menge, Spezifikation und Herkunft an die Beklagte zu liefern hat. Die Klägerin lieferte die Ware vertragsgemäss am 27. Oktober 2019.

Die Beklagte bestritt nicht, dass sie der Klägerin gestützt auf den Vertrag xxx ursprünglich USD 7.5 Mio. schuldete, machte aber geltend, sie habe den Betrag mit Gegenforderungen verrechnet. Gestützt auf ihre Verrechnungserklärungen vom 24. Dezember 2019 und 28. Januar 2020 berief sie sich darauf, dass die Forderung der Klägerin untergegangen sei. Ausserdem machte die Beklagte darüber hinausgehende Gegenforderungen geltend. 

Mit Schreiben vom 29. Januar 2020 erklärte die Klägerin der Beklagten, sie löse den Vertrag xxx auf. 

A.c. Paragraph 12.1 des Vertrags xxx enthält eine Rechts-wahlklausel zu Gunsten des schweizerischen Rechts. Paragraph 12.2 enthält zudem die folgende Schiedsklausel:

"Any dispute, controversy or claim arising out of, or in relation to, this contract, including the validity, invalidity, breach, or termination thereof, shall be resolved by arbitration in accordance with the Swiss Rules of International Arbitration of the Swiss Chambers' Arbitration Institution in force on the date on which the Notice of Arbitration is submitted in accordance with these Rules. The number of arbitrators shall be 1 (one). The seat of the arbitration shall be Geneva, unless the parties agree on a city in another country. The arbitral proceedings shall be conducted in English." 

B.

B.a. Mit Eingabe vom 12. Februar 2020 leitete die Klägerin ein Schiedsverfahren nach den Swiss Rules of International Arbitration (Fassung 2012) gegen die Beklagte ein. Sie stellte die folgenden (im Laufe des Verfahrens geänderten) Rechtsbegehren:

"1. That the Sole Arbitrator orders Respondent to pay to Claimant USD 7,500,000 plus interest at the rate of 1 month LIBOR +10% p.a. per day since 28 December 2019; 

2. That the Sole Arbitrator orders Respondent to pay to Claimant USD 1,941,544.86 plus interest at the rate of 1 month LIBOR +10% p.a. per day since 8 February 2020; 

3. That the Sole Arbitrator shall declare that Claimant's termination of Contract xxx on 29 January 2020 was justified and effective; 

4. That Respondent's prayers for relief shall be entirely dismissed; 

5. That Respondent be ordered to bear all costs of the arbitration proceed ings; and 

6. That Respondent be ordered to compensate Claimant for attorneys' fees as well as all other costs and expenses incurred in connection with these arbitration proceedings." 

Die Beklagte widersetzte sich der Klage und erhob Widerklage mit den folgenden Anträgen: 

"1. The Sole Arbitrator shall dismiss Claimant's claims in their entirety. 

2. The Sole Arbitrator shall declare that Claimant's termination of the Main Contract was unjustified and ineffective. 

3. The Sole Arbitrator shall declare that Respondent's Set-Offs are valid. 

4. The Sole Arbitrator shall order Claimant to pay to Respondent the amount of USD 3,659,521.68, plus interest, in support of Respondent's Counter claims as of 5 October 2020. 

5. The Sole Arbitrator shall order Claimant to file a termination statement with respect to the UCC-1 financing statement that Claimant filed against Respondent on or about 27 December 2019. 

6. The Sole Arbitrator shall order Claimant to pay all costs of the Arbitration, including fees, costs and expenses of the Swiss Arbitration Centre (formerly known as Swiss Chambers' Arbitration Institution) and of the Sole Arbitrator. 

7. The Sole Arbitrator shall order Claimant to compensate Respondent in full for Respondent's costs and expenses in connection with this Arbitration, including but not limited to attorneys' fees and costs of experts, consultants and witnesses. 

8. Respondent further expressly reserves the right to supplement or amend its defenses and Counterclaims and to increase the amount of the existing Counterclaims in the course of these proceedings or thereafter in separate proceedings." 

B.b. Am 1. April 2020 bezeichneten die Parteien gemeinsam den Einzelschiedsrichter.

Am 27. April 2020 teilte das Sekretariat des Schiedsgerichtshofs des Swiss Arbitration Centre (Gerichtshof) den Parteien mit, der Einzelschiedsrichter sei vom Gerichtshof bestätigt worden. 

Am 21. Juli 2020 reichte die Klägerin ihre Klagebegründung ein. 

Am 8. Oktober 2020 erstattete die Beklagte ihre Klageantwort. 

Am 3. Mai 2021 reichte die Klägerin ihre Replik, am 6. Juli 2021 reichte die Beklagte ihre Duplik ein. 

Am 14. September 2021 reichte die Klägerin ihre Widerklageduplik ein. 

Vom 26. bis 28. Oktober 2021 fand in Zürich die mündliche Verhandlung statt. 

Am 7. Januar 2022 reichten die Parteien ihre Schriftsätze nach der mündlichen Verhandlung (Post-Hearing Briefs) ein. 

B.c. Am 31. März 2022 erliess das Schiedsgericht mit Sitz in Genf den folgenden Schiedsentscheid:

"(i) Respondent is ordered to pay to Claimant an amount of USD 7'500'000 plus interest at a rate of 1 month LIBOR +10% p.a. as from 29 January 2020. 

(ii) Claimant is ordered to pay to Respondent an amount of USD 2'479'630.66 plus 5% interest as from 8 October 2020. 

(iii) The Arbitrator declares that Claimant's termination of Contract xxx on 29 January 2020 was justified and effective. 

(iv) Respondent is ordered to pay to Claimant an amount of CHF 38'720 (compensation for arbitration costs). 

(v) Respondent is ordered to pay to Claimant the following amounts (com pensation for party costs and expenses) : 

- CHF 471'580.40, 

- USD 245'806.49, 

- GBP 1'216, and 

- EUR 454.59, 

(vi) All other claims are dismissed." 

Der Einzelschiedsrichter erwog einerseits, die Beklagte schulde der Klägerin USD 7.5 Mio. plus Zins; dieser Betrag habe aufgrund eines vertraglich vereinbarten Verrechnungsverbots nicht verrechnet werden können. Andererseits schulde die Klägerin der Beklagten USD 2'479'630.66 zuzüglich 5 % Zins seit 8. Oktober 2020 für Forderungen aus der Geschäftsbeziehung mit D.________ LLC (D.________ Claims) sowie - in geringerem Umfang - für Logistik-Forderungen (in Form von Survey Expenses Claims von USD 22'554.-- und Dispatch Expenses Claims von USD 16'531.65).

...

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