{"id":"court_ctb_1110_0","court":"CTB","case_no":"22-50073","doc_number":1110,"sub_number":0,"doc_type":"ORDER","filed_date":"2020-09-23","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x      |                         |\n|--------------------------------------------------------|--------|-------------------------|\n| In re:                                                 | :<br>: | Chapter 11              |\n| HO WAN KWOK, et al.,                                   | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.1                                              | :<br>: | Jointly Administered    |\n| ------------------------------------------------------ | :<br>x |                         |\n\n## **ORDER REGARDING PARTIAL RESOLUTION OF TRUSTEE'S CONTEMPT MOTION**\n\nUpon the motion (the \"Motion\")2 of Mr. Luc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case of Ho Wan Kwok (the \"Debtor\"), for the entry of an order (this \"Order\"), pursuant to section 105 of title 11 of the United States Code (the \"Bankruptcy Code\") and Rule 9014 and 9020 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), holding Ho Wan Kwok (the \"Debtor\") in civil contempt for failure to comply with the Corporate Governance Rights Order and imposing appropriate sanctions, all as further detailed in the Motion; and this Court having jurisdiction to consider the Motion to Compel and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut (as amended); and consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper in this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and due and sufficient notice of the Motion having been given under the particular circumstances; and it appearing that no other or further notice need be given; and upon all of the proceedings had before this Court; and upon consideration of and in reliance on the evidence presented, including (a) the transcript of the April 6, 2022 meeting of creditors\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595) (the \"Debtor\") and Genever Holdings Corporation (\"Genever BVI\"). The mailing address for the Trustee and Genever BVI is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n<sup>2</sup> Capitalized terms used but not otherwise defined herein have the meanings ascribed to them in the Motion.\n\nunder section 341 of the Bankruptcy Code [Trustee Exhibits 7 and 10]3 (the \"Section 341 Meeting\"), (b) the Particulars of Claims [Trustee Exhibit 6] (the \"U.K. Complaint\"), dated September 23, 2020, filed in the case styled as *Kwok Ho Wan & Ors. v. UBS*, Cl-2020-000345, High Court of Justice of England and Wales Queen's Bench Division Commercial Court, and (c) the Debtor's affidavit, dated February 5, 2016 [Trustee Exhibit 15] (the \"Kwok Affidavit\"), filed in the case styled as *Ace Decade vs. UBS AG*, Index No. 653316/2015 (N.Y. Sup. Ct.), which exhibits have been admitted into evidence (without objection); and the Debtor having not opposed or otherwise objected to entry of this Order; and after due deliberation and sufficient cause appearing therefor, it is hereby ORDERED THAT:\n\n1. The Court hereby finds that (i) the Debtor exclusively beneficially owned and controlled Ace Decade Holdings Limited (\"Ace Decade\") on the February 15, 2022 petition date (the \"Petition Date\") and maintained such exclusive beneficial ownership and control up to and including immediately prior to the date of the Trustee's appointment, and (ii) Dawn State Limited (\"Dawn State\" and, together with Ace Decade, the \"Ace Decade Entities\") is Ace Decade's wholly-owned subsidiary and is exclusively owned and controlled by Ace Decade. For the avoidance of doubt, Yanping \"Yvette\" Wang is not and has never been a beneficial owner of the shares in Ace Decade or Dawn State. The Debtor does not contest the findings in this paragraph and will not appeal such findings.\n\n2. The Debtor represents that he has never transferred or purported to transfer any ownership or control of Ace Decade to any other person or entity since the Petition Date. Accordingly, the Court further finds that, but for the Trustee's appointment and his rights under the Bankruptcy Code and the Corporate Governance Rights Order, the Debtor would still exclusively beneficially own and control Ace Decade as of the date of this order. The Debtor does not contest the findings in this paragraph and will not appeal such findings.\n\n3. The Court shall hold a hearing on November 17, 2022 (the \"Compliance Hearing\") on the unresolved portion of the Motion. The parties reserve all rights as to the unresolved portion of the Motion, and, for the avoidance of doubt, the Trustee specifically reserves the right to request entry of a separate order requiring the Debtor to cause title to the shares in the Ace Decade Entities to be transferred to the Trustee by a date certain, and the\n\n<sup>3</sup> References to the Trustee Exhibits are to the exhibits filed with the *Amended Exhibits List*, dated November 15, 2022 [Docket No. 1096].\n\nDebtor specifically reserves the right to request an order finding that the actions he has taken to comply with the Corporate Governance Rights Order and the Bankruptcy Code are sufficient not to be held in contempt.\n\n4. For purposes of the Compliance Hearing, the Debtor stipulates to the admissibility of Trustee Exhibits 13 (at page 3), 28-30, 34, 36-37, and 39 (at page 55:23-25) on the issue of the relationship between the Debtor and Yanping \"Yvette\" Wang. The Debtor reserves the right to represent through his counsel that the Debtor would testify that Ms. Wang is not his employee and does not take direction from him. The parties reserve all rights with respect to the weight, if any, the Court should give to the foregoing exhibits and representations.\n\n5. The Debtor shall not in any way interfere with or impede the Trustee's exercise of ownership and control over the Ace Decade Entities, nor shall the Debtor (a) argue in any setting or seek any order from any judicial or arbitral body that (i) the Debtor did not exclusively beneficially own and control, directly or indirectly, the Ace Decade Entities immediately prior to the date of the Trustee's appointment, (ii) the Trustee does not now exclusively beneficially own and control Ace Decade, or (iii) the Debtor ever transferred or purported to transfer any ownership or control of Ace Decade to any other person or entity (other than the Trustee) following the Petition Date; or (b) voluntarily assist, including by providing testimony or statements, any other party in advancing any of the positions set forth in items (a)(i) through (a)(iii) of this paragraph. Notwithstanding the foregoing, nothing in this Order shall prevent the Debtor from testifying truthfully under oath in response to a valid subpoena or equivalent process from a court or other body having jurisdiction over the Debtor legally compelling him to provide testimony.\n\n6. Nothing in this Order shall preclude the Trustee, in the context of any further litigation against any third party, from arguing that any purported transfer by the Debtor of the ownership or control of either or both of Ace Decade or Dawn State was or is avoidable under any applicable law, or that any such purported transfer should be disregarded under applicable law.\n\n7. The Debtor has represented that he does not contest any findings in this Order and, accordingly, he will not appeal this Order.\n\n8. The Trustee is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n3\n\n9. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n10. This Court shall retain jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.\n\nDated at Bridgeport, Connecticut this 17th day of November, 2022.","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格州破产法院布里奇波特分院）\n\n------------------------------------------------------　x\n\n关于：　:\n:　第 11 章\nHO WAN KWOK（郭文贵）等，　:\n:　案件编号 22-50073 (JAM)\n债务人。1　:\n:　合并审理\n\nx\n关于受托人民事蔑视法庭动议部分解决的裁定\n\n鉴于在 Ho Wan Kwok（郭文贵）（“债务人”）的第 11 章案件中被任命为第 11 章受托人的 Luc A. Despins 先生（“受托人”）提出动议（“本动议”）2，请求依据《United States Code（美国法典）》第 11 编（“《破产法典》”）第 105 条以及《Federal Rules of Bankruptcy Procedure（联邦破产程序规则）》（“《破产规则》”）第 9014 条和第 9020 条作出裁定（“本裁定”），判定郭文贵（“债务人”）因未能遵守《公司治理权裁定》而构成民事蔑视法庭并施加适当制裁，各项具体内容详见本动议；且本法院依据 28 U.S.C. §§ 157 及 1334 以及《United States District Court for the District of Connecticut（美国康涅狄格区联邦地区法院）常规移转裁定》（经修订）对审议强制执行动议及其中所请求之救济享有管辖权；且依据 28 U.S.C. § 157(b)，审议本动议及其中所请求之救济属于核心程序；且依据 28 U.S.C. §§ 1408 及 1409，本法院管辖地适当；且在特定情况下已就本动议发出适当且充分之通知；且显见无需再发出其他或进一步通知；且经本法院进行的全部程序；且经审议并依据所提交之证据，包括：(a) 依据《破产法典》第 341 条于 2022 年 4 月 6 日召开之债权人会议记录 [受托人证据 7 及 10]3（“第 341 条会议”），(b) 案号为 Cl-2020-000345、在 High Court of Justice of England and Wales Queen's Bench Division Commercial Court（英格兰和威尔士高等法院王座法庭商事法庭）提起的案名为 Kwok Ho Wan & Ors. v. UBS 一案中于 2020 年 9 月 23 日提交之《诉讼请求要点》[受托人证据 6]（“英国起诉书”），以及 (c) 案号为 Index No. 653316/2015、在 N.Y. Sup. Ct.（纽约州最高法院）提起的案名为 Ace Decade vs. UBS AG 一案中提交之债务人于 2016 年 2 月 5 日出具的宣誓书 [受托人证据 15]（“郭氏宣誓书”），上述证据均已被采纳为证据（无人异议）；且债务人未反对或以其他方式对本裁定的作出提出异议；且经审慎研议并具备充分理由，特此裁定如下：\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称为郭文贵、Miles Guo 以及 Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）（“债务人”）以及 Genever Holdings Corporation（“Genever BVI”）。受托人与 Genever BVI 的邮寄地址为 Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok（仅用于接收通知与通信之目的）。\n\n2 本文中已大写使用但未另行定义的术语，具有本动议中赋予它们的含义。\n\n3 文中提及的“受托人证据”是指随 2022 年 11 月 15 日的《修订后证据清单》一同提交的证据 [案卷编号 1096]。\n\n1. 本法院特此认定：(i) 债务人在 2022 年 2 月 15 日申请日（“申请日”）排他性地享有 Ace Decade Holdings Limited（“Ace Decade”）的实际所有权和控制权，并维持该排他性实际所有权和控制权直至受托人被任命之日紧接之前（含该时刻），以及 (ii) Dawn State Limited（“Dawn State”，与 Ace Decade 合称“Ace Decade 实体”）为 Ace Decade 的全资子公司，由 Ace Decade 排他性地所有并控制。为免生疑问，Yanping \"Yvette\" Wang（王雁平）现在不是、也从未是 Ace Decade 或 Dawn State 股份的实际所有人。债务人对本段中的认定不持异议，且不对该等认定提起上诉。\n\n2. 债务人陈述，自申请日以来，其从未向任何其他人或实体转让或企图转让 Ace Decade 的任何所有权或控制权。因此，本法院进一步认定，若非受托人的任命及其依据《破产法典》和《公司治理权裁定》所享有的权利，债务人截至本裁定作出之日仍将排他性地享有 Ace Decade 的实际所有权和控制权。债务人对本段中的认定不持异议，且不对该等认定提起上诉。\n\n3. 本法院应于 2022 年 11 月 17 日就本动议尚未解决之部分举行听证会（“合规听证会”）。各方保留就本动议未解决部分的所有权利，且为免生疑问，受托人明确保留请求作出单独裁定要求债务人在特定日期前促成将 Ace Decade 实体的股份所有权转让给受托人的权利，且债务人明确保留请求作出裁定认定其为遵守《公司治理权裁定》和《破产法典》所采取的行动已足够而不构成蔑视法庭的权利。\n\n4. 就合规听证会而言，关于债务人与 Yanping \"Yvette\" Wang（王雁平）之间关系的问题，债务人同意受托人证据 13（第 3 页）、28-30、34、36-37 及 39（第 55:23-25 页）的可采性。债务人保留通过其律师作出陈述的权利，即债务人将作证王女士不是其雇员且不接受其指示。各方就本法院对上述证据和陈述应赋予的证明力（如有）保留一切权利。\n\n5. 债务人不得以任何方式干涉或阻碍受托人对 Ace Decade 实体行使所有权和控制权，债务人亦不得：(a) 在任何场合主张或向任何司法或仲裁机构请求作出裁定以支持以下事项：(i) 债务人在紧接受托人被任命之日前未直接或间接排他性地实际拥有并控制 Ace Decade 实体，(ii) 受托人目前未排他性地实际拥有并控制 Ace Decade，或 (iii) 债务人在申请日之后曾向任何其他人或实体（受托人除外）转让或企图转让 Ace Decade 的任何所有权或控制权；或 (b) 自愿协助（包括通过提供证词或声明的方式）任何其他方主张本段第 (a)(i) 项至第 (a)(iii) 项所列之任何立场。尽管有前述规定，本裁定中的任何内容均不妨碍债务人在具有对债务人管辖权的法院或其他机构依法强制其提供证词的有效传票或同等程序要求下，经宣誓后如实作证。\n\n6. 本裁定中的任何内容均不妨碍受托人在针对任何第三方的任何后续诉讼中主张债务人对 Ace Decade 或 Dawn State 之一方或双方的所有权或控制权的任何企图转让根据任何适用法律曾属于或属于可撤销情形，或根据适用法律应不予承认任何该等企图转让。\n\n7. 债务人已陈述其对本裁定中的任何认定均不持异议，因此其不对本裁定提起上诉。\n\n8. 授权并赋予受托人权力以采取一切必要行动以落实本裁定所准予的救济。\n\n9. 本裁定的各项条款及条件在签署作出后立即生效并具有执行力。\n\n10. 本法院对由本裁定的执行、解释和强制执行所引起的或与之相关的所有事项保留管辖权。\n\n日期：2022 年 11 月 17 日，签署于康涅狄格州布里奇波特。","key_entities":["Kwok","Ho Wan Kwok","Guo","Despins","Je","Miles Guo","Paul Hastings"],"ecf_references":[],"word_count":1316,"status":"published","published_at":"2020-09-23 00:00:00","created_at":"2020-09-23","updated_at":"2026-08-23 12:49:19"}