{"id":"court_ctb_1162_0","court":"CTB","case_no":"22-50073","doc_number":1162,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-11-28","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION In re:","summary_zh":"送达证明 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #1162（2022-11-28立案）。第 11 章受托人律师证明已向相关方律师电邮送达部分解决藐视法庭动议的拟定命令，该命令涉及确认债务人对 Ace Decade Holdings Limited 及 Dawn State Limited 的实益所有权与控制权。","summary_en":"Certificate of Service — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #1162 (filed 2022-11-28). Counsel for the Chapter 11 Trustee certifies email service of the proposed order resolving the Trustee's contempt motion regarding debtor's beneficial ownership and control of Ace Decade Holdings Limited and Dawn State Limited.","body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nHO WAN KWOK, *et al.*<sup>1</sup>\n\nChapter 11 Case No.\n\n22-50073 (JAM)\n\nDebtor.\n\n(Jointly Administered)\n\n### **CERTIFICATE OF SERVICE**\n\nThe undersigned hereby certifies that on November 15, 2022, the *Notice of Proposed Order Partially Resolving Trustee's Contempt Motion* and appended *Order Regarding Debtor's Beneficial Ownership and Control of Ace Decade Holdings Limited and Dawn State Limited* [ECF No. 1098] (collectively, the \"Proposed Order\") was electronically filed. Notice of the Proposed Order was sent by e-mail to all parties to the above-captioned chapter 11 case by operation of the Court's electronic filing (\"CM/ECF\") system.<sup>2</sup> The undersigned further certifies that the Proposed Order, together with a further notice appended hereto as **Exhibit A**, were served on November 15, 2022 via email on James Latham (jlatham@wedlakebell.com), counsel to Ace Decade Holdings Limited and Dawn State Limited, and Alex Lipman (alexlipman@lipmanpllc.com), counsel to Yanping \"Yvette\" Wang. Parties may access these filings through the Court's CM/ECF system.\n\n*[THE REST OF THIS PAGE IS INTENTIONALLY BLANK.]*\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), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and the Genever Holdings Corporation 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> To the extent that the foregoing was filed outside regular business hours, service by mail on recipients unable or not qualified to accept electronic notice was made on the next business day.\n\nDated: November 28, 2022 New Haven, Connecticut\n\n> By: */s/ Patrick R. Linsey* Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n> > *and*\n\nNicholas A. Bassett (admitted *pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nAvram E. Luft (admitted *pro hac vice*) Douglass Barron (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n*Counsel for the Chapter 11 Trustee*\n\n# **EXHIBIT A**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------<br>x |             |                         |  |  |\n|-------------------------------------------------------------|-------------|-------------------------|--|--|\n| In re:                                                      | :<br>:      | Chapter 11              |  |  |\n| HO WAN KWOK, et al.,                                        | :<br>:      | Case No. 22-50073 (JAM) |  |  |\n| Debtors.1                                                   | :<br>:<br>: | Jointly Administered    |  |  |\n| ------------------------------------------------------      | x           |                         |  |  |\n\n# **NOTICE OF PROPOSED ORDER REGARDING DEBTOR'S BENEFICIAL OWNERSHIP AND CONTROL OF ACE DECADE HOLDINGS LIMITED AND DAWN STATE LIMITED**\n\n#### **TO: YANPING \"YVETTE\" WANG AND ACE DECADE HOLDINGS LIMITED**\n\nOn October 4, 2022, 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\"), filed his motion (the \"Contempt Motion\") for the entry of an order holding the Debtor in civil contempt for failure to comply with the *Order, Pursuant to Bankruptcy Code Sections 363, 521, 541, 1108, and 105, (A) Confirming that Chapter 11 Trustee Holds All of Debtor's Economic and Corporate Governance Rights in Debtor-Controlled Entities, (B) Authorizing Chapter 11 Trustee to Act in Any Foreign Country on Behalf of Estate, and (C) Granting Related Relief* [Docket No. 761] (the \"Corporate Governance Rights Order\").\n\nAmong other things, the Contempt Motion seeks to hold the Debtor in contempt for refusing to comply with the Corporate Governance Rights Order, and, specifically, refusing to transfer the shares in Ace Decade Holdings (\"Ace Decade\") to the Trustee or provide the Trustee with any corporate documents regarding Ace Decade or its wholly owned subsidiary Dawn State Limited (\"Dawn State\"), even though the Debtor has attested on multiple occasions—at the creditors' meeting in this chapter 11 case as well as in various in court filings—that he owns Ace Decade and that Ace Decade wholly owns Dawn State.\n\nOn October 25, 2022, the Debtor file his objection [Docket No. 1026] (the \"Objection\") to the Contempt Motion.\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\nThe hearing (the \"Hearing\") on the Contempt Motion is scheduled to be commenced on **November 16, 2022, at 1:00 p.m. (prevailing Eastern Time)** and will continue on **November 17, 2022 at 10:00 a.m. (prevailing Eastern Time)** before the Honorable Julie A. Manning, in the United States Bankruptcy Court for the District of Connecticut (the \"Court\").\n\nPrior to the Hearing, the Trustee and the Debtor have engaged in discussions to attempt to resolve the Contempt Motion. As a result of these discussions, the Trustee will present, at the Hearing, for approval by the Court, the proposed order attached hereto as **Exhibit A** (the \"Proposed Order\"). Among other things, the Proposed Order would contain findings that:\n\n- the Debtor exclusively beneficially owned and controlled 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;\n- Dawn State Limited (\"Dawn State\") is Ace Decade's wholly-owned subsidiary and is exclusively owned and controlled by Ace Decade;\n- Yanping \"Yvette\" Wang is not and has never been a beneficial owner of the shares in Ace Decade or Dawn State; and\n- 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 entry of the Proposed Order.\n\n**The Debtor does not oppose or otherwise object to entry of the Proposed Order.** To be clear, as detailed in the Proposed Order, entry of the Proposed Order will not resolve the Contempt Motion in its entirety.\n\n**Please take notice that the Proposed Order, if entered by the Court, may affect your rights.**\n\nDated: November 15, 2022\n\n# LUC A. DESPINS, CHAPTER 11 TRUSTEE\n\nDouglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n*and*\n\nNicholas A. Bassett *(pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nDouglass Barron (*pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 douglassbarron@paulhastings.com\n\n*Counsel for the Chapter 11 Trustee*\n\n# **Exhibit A**\n\n**Proposed Order**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------<br>x |             |                         |  |  |\n|-------------------------------------------------------------|-------------|-------------------------|--|--|\n| In re:                                                      | :<br>:      | Chapter 11              |  |  |\n| HO WAN KWOK, et al.,                                        | :<br>:      | Case No. 22-50073 (JAM) |  |  |\n| Debtors.1                                                   | :<br>:<br>: | Jointly Administered    |  |  |\n| ------------------------------------------------------      | x           |                         |  |  |\n\n### **ORDER REGARDING DEBTOR'S BENEFICIAL OWNERSHIP AND CONTROL OF ACE DECADE HOLDINGS LIMITED AND DAWN STATE LIMITED**\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\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\nU.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 under 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.\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\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.\n\n3. The Court shall hold a hearing on November 17, 2022 (the \"Compliance Hearing\") on the issue of the Debtor's obligations under the Corporate Governance Rights Order and the Bankruptcy Code, in light of the entry of this Order. As part of such hearing and in light of the entry of this Order, the Court shall decide what the Debtor will be required to do to comply with the Corporate Governance Rights Order and the Bankruptcy Code and to not be held in contempt of Court. The parties reserve all rights as to this issue, 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 Debtor 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\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.","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关于：\n\nHO WAN KWOK（郭文贵）等1\n\n第11章破产案号：\n\n22-50073 (JAM)\n\n债务人。\n\n（合并审理）\n送达证明书\n\n下签人特此证明，于2022年11月15日，《关于部分解决受托人藐视法庭动议的拟定裁定及附带的关于债务人对Ace Decade Holdings Limited和Dawn State Limited的实益所有权与控制权的裁定的通知》[ECF No. 1098]（统称“《拟定裁定》”）已通过电子方式归档。通过法院电子归档（“CM/ECF”）系统的运行，已向上述第11章案件的所有当事人发送了关于《拟定裁定》的电子邮件通知。2 下签人进一步证明，《拟定裁定》连同作为附件A附于本文件的进一步通知，已于2022年11月15日通过电子邮件送达给Ace Decade Holdings Limited和Dawn State Limited的法律顾问James Latham（jlatham@wedlakebell.com），以及Yanping \"Yvette\" Wang（王雁平）的法律顾问Alex Lipman（alexlipman@lipmanpllc.com）。各当事人可通过法院的CM/ECF系统查阅这些归档文件。\n\n[本页其余部分有意留白。]\n\n1 这些第11章案件中的债务人为Ho Wan Kwok（郭文贵，亦称Guo Wengui、Miles Guo和Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）和Genever Holdings Corporation。受托人、Genever Holdings LLC和Genever Holdings Corporation的邮寄地址为Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins，作为Ho Wan Kwok破产财产的受托人（仅用于接收通知和联络之目的）。\n\n2 在上述文件系在正常工作时间之外归档的范围内，对无法或不具备接收电子通知资格的接收人，已于下一个工作日通过邮寄方式送达。\n\n日期：2022年11月28日 康涅狄格州纽黑文\n\n签署：/s/ Patrick R. Linsey Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n及\n\nNicholas A. Bassett（经特许出庭） PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n及\n\nAvram E. Luft（经特许出庭） Douglass Barron（经特许出庭） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n第11章受托人律师\n附件 A\nUNITED 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\nx\n\n关于：　:\n:　第11章\nHO WAN KWOK等，　:\n:　案号 22-50073 (JAM)\n债务人。1　:\n:\n:　合并审理\n------------------------------------------------------　x\n关于债务人对ACE DECADE HOLDINGS LIMITED和DAWN STATE LIMITED的实益所有权与控制权的拟定裁定的通知\n致：YANPING \"YVETTE\" WANG（王雁平）及ACE DECADE HOLDINGS LIMITED\n\n于2022年10月4日，在Ho Wan Kwok（债务人）第11章破产案中获任命的第11章受托人（“受托人”）Luc A. Despins先生提出动议（“《藐视法庭动议》”），请求做出裁定，判定债务人因未能遵守《根据破产法典第363、521、541、1108和105条（A）确认第11章受托人享有债务人在债务人控制的实体中的全部经济和公司治理权利、（B）授权第11章受托人代表破产财产在任何外国行事、以及（C）给予相关救济的裁定》[Docket No. 761]（“《公司治理权利裁定》”）而构成民事藐视法庭。\n\n除其他事项外，《藐视法庭动议》请求判定债务人藐视法庭，理由是其拒绝遵守《公司治理权利裁定》，特别是拒绝将Ace Decade Holdings（“Ace Decade”）的股份转让给受托人，或拒绝向受托人提供有关Ace Decade或其全资子公司Dawn State Limited（“Dawn State”）的任何公司文件，尽管债务人已多次证明——在此第11章案件的债权人会议上以及在各种法院归档文件中——其拥有Ace Decade，且Ace Decade全资拥有Dawn State。\n\n于2022年10月25日，债务人对《藐视法庭动议》提出了异议[Docket No. 1026]（“《异议》”）。\n\n1 这些第11章案件中的债务人为Ho Wan Kwok（郭文贵，亦称Guo Wengui、Miles Guo和Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）（“债务人”）和Genever Holdings Corporation（“Genever BVI”）。受托人和Genever BVI的邮寄地址为Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins，作为Ho Wan Kwok破产财产的受托人（仅用于接收通知和联络之目的）。\n\n关于《藐视法庭动议》的听证会（“听证会”）定于2022年11月16日下午1:00（美国东部通用时间）开始，并于2022年11月17日上午10:00（美国东部通用时间）在United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州破产法院）（“法院”）Julie A. Manning法官面前继续进行。\n\n在听证会之前，受托人和债务人已进行沟通，试图解决《藐视法庭动议》。作为这些沟通的结果，受托人将在听证会上提请法院批准附于本文件作为附件A的拟定裁定（“《拟定裁定》”）。除其他事项外，《拟定裁定》将包含以下认定：\n\n- 债务人在2022年2月15日破产申请日（“申请日”）排他性地实益拥有并控制Ace Decade，并且该排他性实益所有权与控制权一直维持至受托人获任命之日的前一刻（含该时刻）；\n- Dawn State Limited（“Dawn State”）系Ace Decade的全资子公司，由Ace Decade排他性地拥有和控制；\n- Yanping \"Yvette\" Wang现在不是、也从未是Ace Decade或Dawn State股份的实益所有人；以及\n- 若非受托人获任命及其根据《破产法典》和《公司治理权利裁定》所享有的权利，截至《拟定裁定》签署做出之日，债务人仍将排他性地实益拥有并控制Ace Decade。\n\n债务人不反对亦未对做出《拟定裁定》提出其他异议。需要明确的是，正如《拟定裁定》中所详述，做出《拟定裁定》并不会完全解决《藐视法庭动议》。\n\n请注意，《拟定裁定》若由法院做出，可能会影响您的权利。\n\n日期：2022年11月15日\nLUC A. DESPINS，第11章受托人\n\nDouglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n及\n\nNicholas A. Bassett（经特许出庭） PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n及\n\nDouglass Barron（经特许出庭） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 douglassbarron@paulhastings.com\n\n第11章受托人律师\n附件 A\n\n拟定裁定\nUNITED 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\nx\n\n关于：　:\n:　第11章\nHO WAN KWOK等，　:\n:　案号 22-50073 (JAM)\n债务人。1　:\n:\n:　合并审理\n------------------------------------------------------　x\n关于债务人对ACE DECADE HOLDINGS LIMITED和DAWN STATE LIMITED的实益所有权与控制权的裁定\n\n根据在Ho Wan Kwok（债务人）第11章破产案中获任命的第11章受托人（“受托人”）Luc A. Despins先生的动议（“《动议》”）2，请求依据《美国法典》第11篇（“《破产法典》”）第105条以及《联邦破产诉讼规则》（“《破产规则》”）第9014条和第9020条做出裁定（本“《裁定》”），判定Ho Wan Kwok（“债务人”）因未能遵守《公司治理权利裁定》而构成民事藐视法庭并施加适当制裁，均如《动议》中所进一步详述；且本法院根据 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）的《常设移交裁定》（经修订）具有管辖权审理该《强制执行动议》及其所请求的救济；且根据 28 U.S.C. § 157(b)，审理《动议》及其所请求的救济属于核心程序；且根据 28\n\n1 这些第11章案件中的债务人为Ho Wan Kwok（郭文贵，亦称Guo Wengui、Miles Guo和Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）（“债务人”）和Genever Holdings Corporation（“Genever BVI”）。受托人和Genever BVI的邮寄地址为Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins，作为Ho Wan Kwok破产财产的受托人（仅用于接收通知和联络之目的）。\n\n2 本文件中使用但未另行定义的以大写字母开头的术语，具有《动议》中赋予它们的含义。\n\nU.S.C. §§ 1408 及 1409，本法院管辖地适当；且在特定情况下已就《动议》给出了正当且充分的通知；且看似无需再发出其他或进一步的通知；以及基于在本法院进行的所有诉讼程序；以及在考量并依赖所提交证据的基础上，包括(a)根据《破产法典》第341条于2022年4月6日举行的债权人会议记录[受托人证据 7 和 10]3（“《第341条会议》”），(b)于2020年9月23日订立、在案名为 Kwok Ho Wan & Ors. v. UBS, Cl-2020-000345, 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）的案件中归档的《诉讼请求详述》[受托人证据 6]（“《英国起诉书》”），以及(c)债务人于2016年2月5日签署、在案名为 Ace Decade vs. UBS AG, Index No. 653316/2015 (N.Y. Sup. Ct.)（纽约州最高法院）的案件中归档的宣誓书[受托人证据 15]（“《郭氏宣誓书》”），上述证据已被采纳为证据（且未收到异议）；且债务人并未反对或以其他方式对做出本《裁定》提出异议；经审慎研议并存在充分理由，特此裁定如下：\n\n1. 法院特此认定：(i) 债务人在2022年2月15日破产申请日（“申请日”）排他性地实益拥有并控制Ace Decade Holdings Limited（“Ace Decade”），并且该排他性实益所有权与控制权一直维持至受托人获任命之日的前一刻（含该时刻），以及 (ii) Dawn State Limited（“Dawn State”，并与Ace Decade合称“Ace Decade实体”）系Ace Decade的全资子公司，由Ace Decade排他性地拥有和控制。为免生疑问，Yanping \"Yvette\" Wang现在不是、也从未是Ace Decade或Dawn State股份的实益所有人。\n\n3 对受托人证据的引用系指随2022年11月15日《修订后证据清单》[Docket No. 1096]归档的证据。\n\n2. 债务人声明自申请日以来，其从未将Ace Decade的任何所有权或控制权转让或意图转让给任何其他人或实体。据此，法院进一步认定，若非受托人获任命及其根据《破产法典》和《公司治理权利裁定》所享有的权利，截至本裁定做出之日，债务人仍将排他性地实益拥有并控制Ace Decade。\n\n3. 本法院应于 November 17, 2022 就鉴于本命令之作出而在《Corporate Governance Rights Order（公司治理权命令）》和《Bankruptcy Code（破产法典）》项下 Debtor（债务人）之义务问题举行听证会（以下简称“合规听证会”）。作为该听证会的一部分并鉴于本命令之作出，本法院应判定债务人为遵守《公司治理权命令》和《破产法典》且不被认定构成藐视法庭而被要求采取何种行为。各方当事人保留关于该问题的所有权利，且为免生疑问，Trustee（受托人）明确保留请求作出单独命令以要求债务人在特定日期前促成将 Ace Decade Entities（Ace Decade 实体）的股份所有权转让给受托人的权利；债务人明确保留请求作出命令以认定其为遵守《公司治理权命令》和《破产法典》所采取的行动已足以不被认定构成藐视法庭的权利。\n\n4. 出于合规听证会之目的，债务人就债务人与 Yanping \"Yvette\" Wang（王雁平）之间关系的问题，同意受托人证据展品（Trustee Exhibits）第 13 号（第 3 页）、第 28-30 号、第 34 号、第 36-37 号以及第 39 号（第 55:23-25 页）的可采性。债务人保留通过其法律顾问陈述债务人将作证王女士并非其雇员且不听从其指示的权利。各方当事人就本法院对上述证据展品和陈述应赋予何种证明力（如有）保留所有权利。\n\n5. 债务人不得以任何方式干预或阻碍受托人行使对 Ace Decade 实体的所有权和控制权，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寻求任何命令以认定 (i) 在受托人获任命之日紧前，债务人未直接或间接排他性地享有 Ace Decade 实体的实益所有权及控制权，(ii) 受托人目前未排他性地享有 Ace Decade 的实益所有权及控制权，或 (iii) 债务人在 Petition Date（破产申请日）之后曾向（受托人以外的）任何其他个人或实体转让或企图转让 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）任何其他方提出本段第 (a)(i) 项至第 (a)(iii) 项所列的任何主张。尽管有前述规定，本命令中的任何内容均不得阻止债务人在收到对其具有管辖权且依法强制其提供证词的法院或其他机构发出的有效传票或同等法律程序时，经宣誓如实作证。\n\n6. 本命令中的任何内容均不得排除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在过去或现在属于可撤销行为，或主张根据适用法律应不予理会任何此类企图转让。\n\n7. 债务人已声明其对本命令中的任何认定不持异议，因此其不会就本命令提起上诉。\n\n8. 受托人获授权并被赋予权力采取一切必要行动以落实本命令所授予的救济。\n\n9. 本命令的条款与条件一经作出，即刻生效并具有执行力。\n\n10. 本法院应就因本命令的实施、解释和执行而引起的或与之相关的所有事项保留管辖权。","key_entities":["Kwok","Ho Wan Kwok","Paul Hastings","Guo","Despins","Je","Miles Guo"],"ecf_references":[{"doc_number":1098,"court":"CTB"}],"word_count":2534,"status":"published","published_at":"2022-11-28 00:00:00","created_at":"2022-11-28","updated_at":"2026-08-23 13:19:06"}