{"id":"court_ctb_148_0","court":"CTB","case_no":"22-50073","doc_number":148,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-03-31","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT :","summary_zh":null,"summary_en":null,"body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT**\n\n:\n\n:\n\n: :\n\n:\n\nDebtor.[1](#page-0-0) :\n\nIn re: : Chapter 11\n\nHO WAN KWOK, : Case No. 22-50073 (JAM)\n\n## **DEBTOR'S MOTION PURSUANT TO 11 U.S.C. §§ 105(a) AND 331 TO ESTABLISH PROCEDURES FOR INTERIM COMPENSATION AND REIMBURSEMENT OF EXPENSES OF PROFESSIONAL FEE PARTIES**\n\nMr. Ho Wan Kwok, the debtor and debtor-in-possession (the \"Debtor\") in the abovecaptioned chapter 11 case (the \"Chapter 11 Case\"), by and through his undersigned counsel, hereby files this Motion (the \"Motion\") to implement certain procedures for the interim payment of compensation and reimbursement of expenses of professionals and fiduciaries and respectfully represent as follows:\n\n# **RELIEF REQUESTED**\n\n1. Pursuant to this Motion, the Debtor requests entry of an order, substantially in the form of Exhibit A annexed hereto, establishing an orderly, regular process for the monthly allowance and payment of compensation and reimbursement of expenses (the \"Interim Compensation Procedures\") for retained professionals and/or estate fiduciaries whose services are authorized by this Court pursuant to sections 363, 327 or section 1103 of chapter 11 of title 11 of the United States Code (the \"Bankruptcy Code\") and who will be required to file applications for allowance of compensation and reimbursement of expenses pursuant to sections 330 and 331 of the Bankruptcy Code and Bankruptcy Rule 2016(a) (such persons, the \"Fee\n\n<span id=\"page-0-0\"></span><sup>1</sup> The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\nParties\"). In addition, the Debtor seeks approval of a procedure for reimbursement of reasonable out-of-pocket expenses incurred by members of the Committee.\n\n#### **BACKGROUND**\n\n2. On February 15, 2022 (the \"Petition Date\"), the Debtor commenced the Chapter 11 Case by filing a voluntary petition for relief under Chapter 11 of Title 11 of the Bankruptcy Code (the \"Chapter 11 Case\").\n\n3. The Debtor is a debtor-in-possession pursuant to Bankruptcy Code sections 1107(a) and 1108.\n\n4. No trustee or examiner has been appointed in this Chapter 11 Case. On March 21, 2022, the Office of the United States Trustee for the District of Connecticut (the \"U.S. Trustee\") appointed the official committee of unsecured creditors (the \"Committee\") pursuant to section 1102 of the Bankruptcy Code.\n\n5. The factual background regarding the Debtor, including the events leading to the filing of the Chapter 11 Case, is set forth in detail in the *Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* (the \"Kwok Declaration\") [Docket No. 107] filed on March 20, 2022.\n\n#### **JURISDICTION**\n\n6. This Court has subject matter jurisdiction to consider and determine this matter pursuant to 28 U.S.C. § 1334. This is a core proceeding pursuant to 28 U.S.C. § 157(b). Venue is proper pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n#### **RETENTION OF FEE PARTIES**\n\n7. By separate applications filed contemporaneously herewith, the Debtor seeks authority to employ: (i) Brown Rudnick LLP as its attorney in this Chapter 11 Case; (ii)\n\n2\n\nVerdolino & Lowey, P.C. as Financial Advisor; and (iii) Stretto as its claims and notice agent.\n\nThe Debtor may also file applications to employ additional professionals and fiduciaries in\n\nconnection with the continued prosecution of this Chapter 11 Case. In addition, it is expected\n\nthat the Committee will retain certain professionals.\n\n# **PROPOSED COMPENSATION AND REIMBURSEMENT PROCEDURES**\n\n8. The Debtor proposes that the payment of compensation and reimbursement of\n\nexpenses of Fee Parties be structured as follows:\n\n- a. This case was filed on February 15, 2022; accordingly, fees will be sought and processed in this case on the basis of monthly periods ending on the final day of each calendar month (each a \"Fee Period\"). Except as provided in paragraph (b) below, on or before the final day of each month following the last day of the Fee Period for which compensation is sought, each Fee Party seeking compensation will serve a monthly statement (the \"Monthly Fee Statement\") by hand or overnight delivery (or, as to the Debtor and Debtor's counsel only, by electronic mail as indicated below), on (i) counsel to the Debtor, Brown Rudnick LLP, 7 Times Square, New York, NY 10036 (Attn: William R. Baldiga, Esq., wbaldiga@brownrudnick.com; and Bennett Silverberg, Esq., bsilverberg@brownrudnick.com); (ii) the Office of the United States Trustee for the District of Connecticut (the \"U.S. Trustee\"), 150 Court Street, New Haven, CT 06510 (Attn: Holley L. Claiborn, Holley.L.Claiborn@usdoj.gov); (iii) counsel to Golden Spring (New York) Ltd, Cohn Birnbaum, & Shea P.C., 100 Pearl Street, 12th Floor, Hartford, CT 06103, (Attn: Scott D. Rosen, srosen@cbshealaw.com); (iv) the Committee; and anyone else the Court may designate (each a \"Notice Party\" and, collectively, the \"Notice Parties\").\n- b. No earlier than the tenth (10th) day of each month and no later than the last day of each month following the Fee Period for which compensation is sought, each Fee Party seeking compensation shall file a Monthly Fee Statement; however, a courtesy copy need not be delivered to Judge's chambers. This proposed procedure Motion is not intended to alter the fee application requirements outlined in sections 330 and 331 of the Bankruptcy Code. Fee Parties are required to serve and file interim and final applications for approval of fees and expenses in accordance with the relevant provisions of the Bankruptcy Code, the Federal Rules of Bankruptcy Procedure, and the Local Bankruptcy Rules for the United States Bankruptcy Court, District of Connecticut (the :\"Local Rules\").\n- c. Each Monthly Fee Statement must contain a list of the individuals and the respective titles of such individuals (*e.g.* attorney, accountant, paralegal, etc.) who provided services during the period covered by the Monthly Fee Statement, their respective billing rates, the aggregate hours spent by each individual, a reasonably detailed breakdown of the disbursements incurred (no Fee Party should seek reimbursement of an expense that would otherwise not be allowed pursuant to the United States Trustee Guidelines for Reviewing Applications for Compensation and Reimbursement of Expenses Filed under 11 U.S.C. § 330, as amended), and contemporaneously maintained time entries for each individual in increments of tenths (1/10) of an hour.\n- d. If any party in interest has an objection to the compensation or reimbursement sought in a particular Monthly Fee Statement (the \"Objection\"), such party shall, by no later than the fourteenth **(**14th) day following receipt of the Monthly Fee Statement for which compensation is sought (the \"Objection Deadline\"), serve upon the Fee Party whose Monthly Fee Statement is objected to and the other Notice Parties, a written \"Notice of Objection to Fee Statement,\" setting forth the nature of the Notice Party's objection and the amount of fees or expenses at issue.\n- e. At the expiration of the Objection Deadline, the Debtor shall promptly pay 80% of the fees and 100% of the expenses identified in each Monthly Fee Statement to which no Objection has been served in accordance with paragraph (d) above.\n- f. If an Objection is filed, the Debtor shall withhold payment of that portion of the Monthly Fee Statement to which the Objection is directed and promptly pay the remainder of the fees and disbursements in the percentages set forth in paragraph (e) above unless the Fee Party whose statement is objected to seeks an order from the Court, upon notice and a hearing, directing payment to be made.\n- g. If the parties to an Objection are able to resolve their dispute following the filing of a Notice of Objection to Fee Statement and if the party whose Monthly Fee Statement was objected to files a statement indicating that the Objection has been withdrawn and describing in detail the terms of the resolution, then the Debtor shall promptly pay, in accordance with paragraph (e) above, that portion of the Monthly Fee Statement that was withheld and is no longer subject to the Objection.\n- h. All Objections that are not resolved by the parties or court order, shall be preserved and presented to the Court at the next interim or final fee application hearing to be heard by the Court in accordance with paragraph (j) below.\n- i. The service of an Objection in accordance with paragraph (d) above shall not prejudice the objecting party's right to object to any fee application filed with the Court in accordance with the Bankruptcy Code on any ground, whether raised in the Objection or not. Furthermore, the decision by any party not to object to a Monthly Fee Statement shall not be a waiver of any kind, or prejudice that party's right to object to any fee application subsequently filed with the Court, in accordance with the Bankruptcy Code.\n- j. Approximately every 120 days, but not more than every 150 days (the \"Interim Fee Period\"), each of the Fee Parties shall file with the Court an application (an \"Interim Fee Application\") for interim Court approval and allowance, pursuant to sections 330 and 331 of the Bankruptcy Code (as the case may be) of the compensation and reimbursement of expenses requested.\n- k. Any Fee Party who fails to timely file an Interim Fee Application seeking approval of compensation and expenses previously paid pursuant to a Monthly Fee Statement shall (1) be ineligible to receive further monthly payments of fees or reimbursements of expenses as provided herein until such further order of the Court, and (2) may be required to disgorge any fees paid since retention or the last fee application, whichever is later.\n- l. The pendency of an application or a court order that payment of compensation or reimbursement of expenses was improper as to a particular Monthly Fee Statement shall not disqualify a Fee Party from the future payment of compensation or reimbursement of expenses as set forth above, unless otherwise ordered by the Court.\n- m. Neither the payment of, nor the failure to pay, in whole or in part, monthly compensation and reimbursement as provided herein shall have any effect on this Court's interim or final allowance of compensation and reimbursement of expenses of any Fee Party.\n- n. Counsel for any official committee may, in accordance with the foregoing procedure for monthly compensation and reimbursement of Fee Parties, collect and submit statements of expenses, with supporting vouchers, from members of such committee; pr*ovided, however,* that such committee counsel ensures that these reimbursement requests comply with the Guidelines for Fees and Disbursements for Professionals in District of Connecticut Bankruptcy Cases.\n- 9. The Debtor proposes that each Fee Party that has been approved and/or appointed\n\nby the Court as of the Petition Date may seek, in its first Monthly Fee Statement, compensation\n\nfor work performed and reimbursement for expenses incurred during the period beginning on the\n\nPetition Date and ending on March 31, 2022. The first Interim Fee Application for such Fee Party shall cover the Interim Fee Period from the Petition Date through and including May 31, 2022. All Fee Parties not retained or appointed as of the Petition Date shall file their first Monthly Fee Statement for the period from the effective date of their retention through the final calendar day of the first full month following the effective date of their retention, and otherwise in accordance with the procedures set forth in this Motion.\n\n## **THE PROPOSED INTERIM COMPENSATION PROCEDURES SHOULD BE APPROVED BY THE COURT**\n\n10. Pursuant to section 331 of the Bankruptcy Code, all Fee Parties are entitled to submit applications for interim compensation and reimbursement of expenses every 120 days, or more often if the Court permits. Section 331 of the Bankruptcy Code provides, in part, as follows:\n\n> A trustee, an examiner, a debtor's attorney, or any professional person employed under section 327 or 1103 of this title may apply to the court not more than once every 120 days after an order for relief in a case under this title, or more often if the court permits, for such compensation for services rendered before the date of such an application or reimbursement for expenses incurred before such date as is provided under section 330 of this title. After notice and a hearing, the court may allow and disburse to such applicant such compensation or reimbursement.\n\n11 U.S.C. § 331.[2](#page-5-0) Section 105(a) of the Bankruptcy Code authorizes the Court to issue any order \"that is necessary or appropriate to carry out the provisions\" of the Bankruptcy Code. Id. § 105(a). Thus, the Court has ample authority to enter an order authorizing the interim monthly compensation and reimbursement of expenses procedures requested herein.\n\n<span id=\"page-5-0\"></span><sup>2</sup> Section 331 permits trustees and professional persons to apply to the court not more than once every 120 days for interim compensation and reimbursement payments. The court may permit more frequent applications if the circumstances warrant, such as in very large cases where the legal work is extensive and merits more frequent payments. See H.R. Rep. No. 95-595 (1990); S. Rep. No. 95-989 (1978).\n\n11. The Debtor seeks approval of procedures that are in accordance with the *Appendix D* of the Local Rules, guidelines for compensation and expense reimbursement of professionals, establishing procedures for monthly compensation and reimbursement of expenses of professionals, and pursuant to sections 105(a) and 331 of the Bankruptcy Code and Bankruptcy Rule 2016(a).\n\n12. The proposed Interim Compensation Procedures will enable the Debtor to closely monitor the costs of administration, forecast cash flows, and implement efficient cash management procedures. They also will allow the Court and the key parties in interest, including the U.S. Trustee, to ensure the reasonableness and necessity of the compensation and reimbursement requested.\n\n13. Based upon the foregoing, the Debtor submits that the relief requested herein is essential, appropriate, and in the best interest of the Debtor's estate, creditors, and all parties in interest, and therefore should be granted in this Chapter 11 Case. Notably, courts within this District have approved substantially similar interim compensation procedures in other large chapter 11 cases. See, e.g., In re Latex Foam Int'l, LLC, et al., Case No. 19-51064-JAM (Bankr. D. Conn. Nov. 25, 2019); In re Spectrum Healthcare, LLC, et al., 16-21635-JJT (Bankr. D. Conn. Dec. 16, 2016); In re Sagecrest II LLC, et al., Case No. 08-50754-AHWS (Bankr. D. Conn. Jan. 30, 2009).\n\n#### **NOTICE**\n\n14. No trustee or examiner has been appointed in this chapter 11 case. The Debtor will provide notice of this Motion to: (a) the United States Trustee; (b) the Committee; (c) the Internal Revenue Service; (d) the United States Attorney's Office for the District of Connecticut;\n\n7\n\nand (e) any party that has requested notice pursuant to Bankruptcy Rule 2002. The Debtor\n\nsubmits that, under the circumstances, no other or further notice is required.\n\nWHEREFORE the Debtor respectfully request that the Court grant the relief requested herein and such other and further relief as it deems just and proper.\n\nDated: March 31, 2022\n\n## **BROWN RUDNICK LLP**\n\nBy: */s/ William R. Baldiga* 185 Asylum Street Hartford, CT 06103 Attn: Dylan Kletter, Esq. Telephone: (860) 509-6500 Facsimile: (860) 509-6653 Email: dkletter@brownrudnick.com\n\nSeven Times Square New York, NY 10036 Attn: William R. Baldiga, Esq. (*pro hac* pending) Attn: Bennett S. Silverberg, Esq. (*pro hac* pending) Attn: Uriel Pinelo, Esq. (*pro hac* pending) Telephone: (212) 209-4800 Facsimile: (212) 209-4801 Email: wbaldiga@brownrudnick.com bsilverberg@brownrudnick.com upinelo@brownrudnick.com\n\n*Proposed Counsel to Debtor*\n\nCase 22-50073 Doc 148 Filed 03/31/22 Entered 03/31/22 13:52:00 Page 9 of 14\n\n# **EXHIBIT A**\n\n**Proposed Order**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT**\n\n:\n\n:\n\n: :\n\n:\n\nIn re: : Chapter 11\n\nHO WAN KWOK, : Case No. 22-50073 (JAM)\n\nDebtor. :\n\n## **ORDER PURSUANT TO 11 U.S.C. §§ 105(a) AND 331 TO ESTABLISH PROCEDURES FOR INTERIM COMPENSATION AND REIMBURSEMENT OF EXPENSES OF PROFESSIONAL FEE PARTIES**\n\nUpon the Debtor's motion (the \"Motion\"),[1](#page-9-0) pursuant to sections 105(a) and 331 of title 11 of the United States Code (the \"Bankruptcy Code\"), establishing procedures for monthly compensation and reimbursement of expenses of professionals retained and estate fiduciaries appointed by order of this Court, and this Court having determined that the requested relief is in the best interests of the Debtor, his estate, creditors, and all parties in interest; and the Debtor having provided notice of the Motion and Hearing (as defined below) to the Motion Notice Parties; and no other or further notice is necessary; and the Court having held a hearing to consider the requested relief (the \"Hearing\"); and upon the record of the Hearing; and after due deliberation thereon; and good and sufficient cause appearing therefor,\n\n#### **IT IS HEREBY ORDERED THAT:**\n\n1. The Motion is granted to the extent set forth herein.\n\n2. Except as otherwise provided in Court orders authorizing the retention of specific persons, all Fee Parties in this case may seek interim compensation in accordance with the following procedure:\n\n<span id=\"page-9-0\"></span><sup>1</sup> Unless the context indicates otherwise, capitalized terms not defined herein shall have the meaning ascribed to them in the Motion.\n\n- a. This case was filed on February 15, 2022; accordingly, fees will be sought and processed in this case on the basis of monthly periods ending on the final day of each calendar month (each a \"Fee Period\"). Except as provided in paragraph (b) below, on or before the final day of each month following the last day of the Fee Period for which compensation is sought, each Fee Party seeking compensation will serve a monthly statement (the \"Monthly Fee Statement\") by hand or overnight delivery (or, as to the Debtor and Debtor's counsel only, by electronic mail as indicated below), on (i) counsel to the Debtor, Brown Rudnick LLP, 7 Times Square, New York, NY 10036 (Attn: William R. Baldiga, Esq., wbaldiga@brownrudnick.com; and Bennett Silverberg, Esq., bsilverberg@brownrudnick.com); (ii) the Office of the United States Trustee for the District of Connecticut (the \"U.S. Trustee\"), 150 Court Street, New Haven, CT 06510 (Attn: Holley L. Claiborn, Holley.L.Claiborn@usdoj.gov); (iii) counsel to Golden Spring (New York) Ltd, Cohn Birnbaum, & Shea P.C., 100 Pearl Street, 12th Floor, Hartford, CT 06103, (Attn: Scott D. Rosen, srosen@cbshealaw.com; (iv) the Committee; and anyone else the Court may designate (each a \"Notice Party\" and, collectively, the \"Notice Parties\").\n- b. No earlier than the tenth (10th)following the Fee Period and no later than the last day of the month for which compensation is sought, each Fee Party seeking compensation shall file a Monthly Fee Statement; however, a courtesy copy need not be delivered to Judge's chambers. This proposed procedure Motion is not intended to alter the fee application requirements outlined in sections 330 and 331 of the Bankruptcy Code. Fee Parties are required to serve and file interim and final applications for approval of fees and expenses in accordance with the relevant provisions of the Bankruptcy Code, the Federal Rules of Bankruptcy Procedure, and the Local Bankruptcy Rules for the United States Bankruptcy Court, District of Connecticut.\n- c. Each Monthly Fee Statement must contain a list of the individuals and the respective titles of such individuals (*e.g.* attorney, accountant, paralegal, etc.) who provided services during the period covered by the Monthly Fee Statement, their respective billing rates, the aggregate hours spent by each individual, a reasonably detailed breakdown of the disbursements incurred (no Fee Party should seek reimbursement of an expense that would otherwise not be allowed pursuant to the United States Trustee Guidelines for Reviewing Applications for Compensation and Reimbursement of Expenses Filed under 11 U.S.C. § 330, as amended), and contemporaneously maintained time entries for each individual in increments of tenths (1/10) of an hour.\n- d. If any party in interest has an objection to the compensation or reimbursement sought in a particular Monthly Fee Statement (the \"Objection\"), such party shall, by no later than the fourteenth **(**14th) day following receipt of the Monthly Fee Statement for which compensation is sought (the \"Objection Deadline\"), serve upon the Fee Party whose Monthly Fee Statement is objected to and the other Notice Parties, a written \"Notice of Objection to Fee Statement,\" setting forth the nature of the Notice Party's objection and the amount of fees or expenses at issue.\n- e. At the expiration of the Objection Deadline, the Debtor shall promptly pay 80% of the fees and 100% of the expenses identified in each Monthly Fee Statement to which no Objection has been served in accordance with paragraph (d) above.\n- f. If an Objection is filed, the Debtor shall withhold payment of that portion of the Monthly Fee Statement to which the Objection is directed and promptly pay the remainder of the fees and disbursements in the percentages set forth in paragraph (e) above unless the Fee Party whose statement is objected to seeks an order from the Court, upon notice and a hearing, directing payment to be made.\n- g. If the parties to an Objection are able to resolve their dispute following the filing of a Notice of Objection to Fee Statement and if the party whose Monthly Fee Statement was objected to files a statement indicating that the Objection has been withdrawn and describing in detail the terms of the resolution, then the Debtor shall promptly pay, in accordance with paragraph (e) above, that portion of the Monthly Fee Statement that was withheld and is no longer subject to the Objection.\n- h. All Objections that are not resolved by the parties or court order, shall be preserved and presented to the Court at the next interim or final fee application hearing to be heard by the Court in accordance with paragraph (j) below.\n- i. The service of an Objection in accordance with paragraph (d) above shall not prejudice the objecting party's right to object to any fee application filed with the Court in accordance with the Bankruptcy Code on any ground, whether raised in the Objection or not. Furthermore, the decision by any party not to object to a Monthly Fee Statement shall not be a waiver of any kind, or prejudice that party's right to object to any fee application subsequently filed with the Court, in accordance with the Bankruptcy Code.\n- j. Approximately every 120 days, but not more than every 150 days (the \"Interim Fee Period\"), each of the Fee Parties shall file with the Court an application (an \"Interim Fee Application\") for interim Court approval and allowance, pursuant to sections 330 and 331 of the Bankruptcy Code (as the case may be) of the compensation and reimbursement of expenses requested.\n- k. Any Fee Party who fails to timely file an Interim Fee Application seeking approval of compensation and expenses previously paid pursuant to a Monthly Fee Statement shall (1) be ineligible to receive further monthly payments of fees or reimbursements of expenses as provided herein until such further order of the Court, and (2) may be required to disgorge any fees paid since retention or the last fee application, whichever is later.\n- l. The pendency of an application or a court order that payment of compensation or reimbursement of expenses was improper as to a particular Monthly Fee Statement shall not disqualify a Fee Party from the future payment of\n\ncompensation or reimbursement of expenses as set forth above, unless otherwise ordered by the Court.\n\n- m. Neither the payment of, nor the failure to pay, in whole or in part, monthly compensation and reimbursement as provided herein shall have any effect on this Court's interim or final allowance of compensation and reimbursement of expenses of any Fee Party.\n- n. Counsel for any official committee may, in accordance with the foregoing procedure for monthly compensation and reimbursement of Fee Parties, collect and submit statements of expenses, with supporting vouchers, from members of such committee; pr*ovided, however,* that such committee counsel ensures that these reimbursement requests comply with the Guidelines for Fees and Disbursements for Professionals in District of Connecticut Bankruptcy Cases.\n- 3. Each Fee Party that has been approved by the Court as of the Petition Date may\n\nseek, in its first Monthly Fee Statement, compensation for work performed and reimbursement for expenses incurred during the period beginning on the Petition Date and ending on March 31, 2022. The first Interim Fee Application for such Fee Party shall cover the Interim Fee Period from the Petition Date through and including May 31, 2022. All Fee Party not retained or appointed as of the Petition Date shall file their first Monthly Fee Statement for the period from the effective date of their retention through the final calendar day of the first full month following the effective date of their retention, and otherwise in accordance with the procedures set forth in this Motion.\n\n4. The amount of fees and disbursements sought shall be set out in U.S. dollars (if the fees and disbursements are to be paid in foreign currency, the amount shall be set out in U.S. dollars and the conversion amount of the foreign currency, calculated at the time of the submission of the application).\n\n5. The Debtor shall include all payments to Fee Parties on their monthly operating reports, detailed so as to state the amount paid to each Fee Party.\n\n4\n\n6. Any party may object to requests for payments made pursuant to this Order on the grounds that the Debtor has not timely filed monthly operating reports, remained current with their administrative expenses and 28 U.S.C. § 1930 fees, or a manifest exigency exists seeking a further order of this Court, otherwise, this Order shall continue and shall remain in effect during the pendency of this case.\n\n7. All time periods set forth in this Order shall be calculated in accordance with Rule 9006(a) of the Federal Rules of Bankruptcy Procedure.\n\n8. Any and all other and further notice of the relief requested in the Motion shall be, and hereby is, dispensed with and waived; provided, however, that the Debtor shall serve a copy of this Order on each of the Fee Parties once retained.","body_zh":"美国康涅狄格州联邦破产法院（UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT）\n\n债务人。[1] ：\n\n关于：：第11章\n\nHO WAN KWOK（郭文贵），：案号：22-50073 (JAM)\n\n债务人依据 11 U.S.C. §§ 105(a) 和 331 提出的动议，请求确立专业费用当事人临时报酬及费用偿还程序\n\nHo Wan Kwok（郭文贵）先生，即上述第11章案件（以下简称“第11章案件”）中的债务人及占有中的债务人（以下简称“债务人”），通过其下署律师，特此提交本动议（以下简称“本动议”），以实施有关专业人士及受托人的报酬临时支付和费用偿还的若干程序，并谨陈述如下：\n\n请求的救济\n\n1. 依据本动议，债务人请求作出一项裁定，其形式应基本符合随附本动议的附件A，以确立一项有序、定期的程序，按月核准并支付为受聘专业人士和/或破产财产受托人提供的报酬及费用偿还（以下简称“临时报酬程序”）；该等人士的服务已根据《美国法典》第11编（以下简称“破产法”）第11章第 363、327 或 1103 条获本院授权，且将被要求依破产法第 330 和 331 条以及《联邦破产程序规则》第 2016(a) 条提交报酬核准及费用偿还申请（该等人士以下简称“费用当事人”）。此外，债务人请求批准一项程序，以偿还委员会成员产生的合理自付费用。\n\n1 债务人还以以下姓名为人所知：Guo Wengui；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n背景\n\n2. 于 February 15, 2022（以下简称“申请日”），债务人通过提交依据破产法《美国法典》第11编第11章申请救济的自愿申请，启动了本第11章案件（以下简称“第11章案件”）。\n\n3. 债务人根据破产法第 1107(a) 和 1108 条，为占有中的债务人。\n\n4. 本第11章案件中尚未任命任何受托人或审查人。于 March 21, 2022，United States Trustee for the District of Connecticut（康涅狄格州美国受托人办公室，以下简称“美国受托人”）依据破产法第 1102 条任命了无担保债权人官方委员会（以下简称“委员会”）。\n\n5. 有关债务人的事实背景，包括导致提起本第11章案件的事件，已在 Ho Wan Kwok（郭文贵）先生于 March 20, 2022 提交的《Ho Wan Kwok 支持第11章案件及若干动议的声明》（以下简称“Kwok 声明”）[Docket No. 107] 中予以详细阐述。\n\n管辖权\n\n6. 本院依据 28 U.S.C. § 1334 对审理及裁定本事项具有事项管辖权。本事项依据 28 U.S.C. § 157(b) 属于核心程序。依据 28 U.S.C. §§ 1408 和 1409，审判地点适格。\n\n费用当事人的聘任\n\n7. 债务人通过与本动议同时提交的单独申请，请求授权聘任：(i) Brown Rudnick LLP（布朗·鲁德尼克律师事务所）作为其在本第11章案件中的律师；(ii) Verdolino & Lowey, P.C.（Verdolino & Lowey, P.C.）作为财务顾问；以及 (iii) Stretto（Stretto）作为其债权及通知代理人。\n\n债务人还可能就为继续推进本第11章案件而聘任其他专业人士和受托人提交申请。此外，预计委员会将聘任若干专业人士。\n\n拟议的报酬及费用偿还程序\n\n8. 债务人提议，费用当事人的报酬支付及费用偿还应按如下方式安排：\n\na. 本案于 February 15, 2022 提交；因此，本案中的费用将按截至每个日历月最后一日的月度期间（每一期间以下简称“费用期间”）申请和处理。除下文第 (b) 款另有规定外，于申请报酬的费用期间最后一日后每月最后一日或之前，每一申请报酬的费用当事人应通过专人递送或隔夜递送（但仅就债务人及债务人律师而言，可按如下所示通过电子邮件）向以下人员送达月度账单（以下简称“月度费用账单”）：(i) 债务人律师 Brown Rudnick LLP（布朗·鲁德尼克律师事务所），7 Times Square, New York, NY 10036（收件人：William R. Baldiga, Esq.（威廉·R·巴尔迪加），wbaldiga@brownrudnick.com；以及 Bennett Silverberg, Esq.（本内特·西尔弗伯格），bsilverberg@brownrudnick.com）；(ii) United States Trustee for the District of Connecticut（康涅狄格州美国受托人办公室，以下简称“美国受托人”），150 Court Street, New Haven, CT 06510（收件人：Holley L. Claiborn（霍莉·L·克莱伯恩），Holley.L.Claiborn@usdoj.gov）；(iii) Golden Spring (New York) Ltd（金泉〔纽约〕有限公司）的律师 Cohn Birnbaum, & Shea P.C.（Cohn Birnbaum, & Shea P.C.），100 Pearl Street, 12th Floor, Hartford, CT 06103（收件人：Scott D. Rosen（斯科特·D·罗森），srosen@cbshealaw.com）；(iv) 委员会；以及本院可能指定的其他任何人（各称“通知当事人”，合称“通知当事人”）。\n\nb. 每一申请报酬的费用当事人不得早于申请报酬的费用期间后每月第十（10）日，且不得迟于该月最后一日，提交月度费用账单；但无需向法官办公室递送礼节性副本。本拟议程序动议无意变更破产法第 330 和 331 条所规定的费用申请要求。费用当事人须依照破产法、《联邦破产程序规则》以及 United States Bankruptcy Court, District of Connecticut（康涅狄格州联邦破产法院）的地方法则（以下简称“地方法则”）的相关规定，送达并提交有关批准费用及开支的临时和最终申请。\n\nc. 每份月度费用账单必须载明：在该月度费用账单所涵盖期间提供服务的个人名单及其各自职务（例如律师、会计师、律师助理等）；其各自计费费率；每名个人花费的总小时数；对产生的支出的合理详细分类（任何费用当事人均不得请求偿还根据经修订的《美国受托人审查依据 11 U.S.C. § 330 提交的报酬及费用偿还申请指南》本不得获准的费用）；以及以每小时十分之一（1/10）为增量、同时保存的每名个人的工时记录。\n\nd. 如任何利害关系方对某一月度费用账单中请求的报酬或费用偿还提出异议（以下简称“异议”），该方应不迟于收到申请报酬的月度费用账单后第十四（14）日（以下简称“异议期限”），向被提出异议的月度费用账单所属费用当事人及其他通知当事人送达书面《费用账单异议通知》，载明通知当事人异议的性质以及所涉费用或开支的金额。\n\ne. 异议期限届满后，债务人应立即向每份未依照上文第 (d) 款送达异议的月度费用账单支付其中所列费用的 80% 及开支的 100%。\n\nf. 如已提交异议，债务人应暂缓支付月度费用账单中异议所针对的部分，并应立即按上文第 (e) 款规定的比例支付其余费用和支出，除非其账单被提出异议的费用当事人经通知及听证后请求本院作出命令，指示进行支付。\n\ng. 如异议各方在提交《费用账单异议通知》后能够解决其争议，且月度费用账单曾被提出异议的一方提交声明，表明异议已被撤回并详细说明解决条款，则债务人应依照上文第 (e) 款，立即支付此前被暂缓支付且不再受异议约束的该部分月度费用账单款项。\n\nh. 对于未由各方或法院命令解决的所有异议，应予保留，并在下一次临时或最终费用申请听证会上提交本院，依照下文第 (j) 款由本院审理。\n\ni. 根据上文第 (d) 款送达异议，不应损害提出异议一方基于任何理由对依破产法向本院提交的任何费用申请提出异议的权利，无论该理由是否已在异议中提出。此外，任何一方决定不对月度费用账单提出异议，不应构成任何形式的放弃，亦不应损害该方依照破产法对随后向本院提交的任何费用申请提出异议的权利。\n\nj. 大约每 120 天一次，但不得超过每 150 天一次（以下简称“临时费用期间”），每一费用当事人应根据破产法第 330 和 331 条（视情况而定），向本院提交申请（以下简称“临时费用申请”），请求本院临时批准及核准所请求的报酬和费用偿还。\n\nk. 任何未及时提交临时费用申请、以请求批准此前依月度费用账单支付的报酬及开支的费用当事人，均应：(1) 在本院进一步作出命令前，无资格按本文件规定收取进一步的月度费用支付或费用偿还；以及 (2) 可能被要求返还自受聘之日或上次费用申请之日以来支付的任何费用，以较晚者为准。\n\nl. 就某一特定月度费用账单而言，申请尚在审理中或法院作出命令认定支付报酬或费用偿还不当，均不应使费用当事人丧失按上述规定在未来获得报酬支付或费用偿还的资格，除非本院另有命令。\n\nm. 按本文件规定全部或部分支付或未支付月度报酬及费用偿还，均不应影响本院对任何费用当事人报酬及费用偿还的临时或最终核准。\n\nn. 任何官方委员会的律师可依照上述费用当事人月度报酬及费用偿还程序，向该委员会成员收集并提交费用报表及支持凭证；但前提是，该委员会律师应确保该等费用偿还请求符合《康涅狄格州地区破产案件专业人士费用及支出指南》。\n\n9. 债务人提议，截至申请日已获本院批准和/或任命的每一费用当事人，可在其首份月度费用账单中申请偿付自申请日起至 March 31, 2022 止期间所完成工作的报酬及所发生费用。该费用当事人的首份临时费用申请应涵盖自申请日起至 May 31, 2022（包括该日）止的临时费用期间。截至申请日尚未受聘或任命的所有费用当事人，应就自其受聘生效之日起至其受聘生效日后第一个完整月份的最后一个日历日止期间提交首份月度费用账单，并在其他方面依照本动议规定的程序办理。\n\n本院应批准拟议的临时报酬程序\n\n10. 根据破产法第 331 条，所有费用当事人均有权每 120 天提交临时报酬及费用偿还申请一次，或在本院准许时更频繁地提交。破产法第 331 条部分规定如下：\n\n受托人、审查员、债务人的律师，或根据本法典第 327 条或第 1103 条聘用的任何专业人士，可在本法典项下案件作出救济令后，每 120 日不超过一次，或经法院准许可更频繁地，向法院申请支付其在该申请日期之前提供服务的报酬，或偿还其在该日期之前发生的费用，具体依本法典第 330 条规定。在通知及举行听证后，法院可准许并向该申请人支付该等报酬或费用偿还。\n\n11 U.S.C. § 331.[2] 《破产法典》第 105(a) 条授权法院作出“为实施”《破产法典》规定所“必要或适当”的任何命令。Id. § 105(a)。因此，法院拥有充分权限作出命令，授权本案请求的临时每月报酬及费用偿还程序。\n\n2 第 331 条允许受托人和专业人士每 120 日不超过一次向法院申请临时报酬及费用偿还付款。如情况需要，法院可准许更频繁地提出申请，例如在法律工作广泛且应当更频繁付款的特大型案件中。参见 H.R. Rep. No. 95-595 (1990); S. Rep. No. 95-989 (1978)。\n\n11. 债务人请求批准符合《地方法院规则》附录 D，即有关专业人士报酬及费用偿还的指引，并根据《破产法典》第 105(a) 条和第 331 条及《破产程序规则》第 2016(a) 条制定的程序，以确立专业人士每月报酬及费用偿还程序。\n\n12. 拟议的临时报酬程序将使债务人能够密切监控管理成本、预测现金流，并实施高效的现金管理程序。该等程序还将使法院及主要利害关系方，包括美国受托人，能够确保所请求报酬及费用偿还的合理性和必要性。\n\n13. 基于上述情况，债务人主张，本案请求的救济对于债务人的破产财产、债权人及全体利害关系方而言属必要、适当且符合其最佳利益，因此应在本 Chapter 11 案件中予以准许。尤其是，本地区法院已在其他大型 Chapter 11 案件中批准实质相似的临时报酬程序。参见，例如，In re Latex Foam Int'l, LLC, et al., Case No. 19-51064-JAM (Bankr. D. Conn. Nov. 25, 2019); In re Spectrum Healthcare, LLC, et al., 16-21635-JJT (Bankr. D. Conn. Dec. 16, 2016); In re Sagecrest II LLC, et al., Case No. 08-50754-AHWS (Bankr. D. Conn. Jan. 30, 2009)。\n\n通知\n\n14. 本 Chapter 11 案件中尚未指定受托人或审查员。债务人将向以下各方送达本动议的通知：(a) 美国受托人；(b) 委员会；(c) 美国国税局；(d) 美国康涅狄格州联邦检察官办公室；以及 (e) 根据《破产程序规则》第 2002 条请求通知的任何一方。债务人主张，在此情况下，无需其他或进一步通知。\n\n因此，债务人谨请求法院准许本案请求的救济，以及法院认为公正和适当的其他及进一步救济。\n\n日期：March 31, 2022\n\nBROWN RUDNICK LLP（布朗·拉德尼克律师事务所）\n\n签署人：/s/ William R. Baldiga（威廉·R·巴尔迪加）\n185 Asylum Street\nHartford, CT 06103\n收件人：Dylan Kletter, Esq.（迪伦·克莱特律师）\n电话：(860) 509-6500\n传真：(860) 509-6653\n电子邮件：dkletter@brownrudnick.com\n\nSeven Times Square\nNew York, NY 10036\n收件人：William R. Baldiga, Esq.（威廉·R·巴尔迪加律师）（临时出庭许可待决）\n收件人：Bennett S. Silverberg, Esq.（本内特·S·西尔弗伯格律师）（临时出庭许可待决）\n收件人：Uriel Pinelo, Esq.（乌列尔·皮内洛律师）（临时出庭许可待决）\n电话：(212) 209-4800\n传真：(212) 209-4801\n电子邮件：wbaldiga@brownrudnick.com\nbsilverberg@brownrudnick.com\nupinelo@brownrudnick.com\n\n债务人拟议代理律师\n\nCase 22-50073 Doc 148 Filed 03/31/22 Entered 03/31/22 13:52:00 Page 9 of 14\n\n附件 A\n\n拟议裁定\n\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT（美国康涅狄格地区破产法院）\n\n关于：                                                    Chapter 11\n\nHO WAN KWOK（郭文贵），                         Case No. 22-50073 (JAM)\n\n债务人。\n\n根据 11 U.S.C. §§ 105(a) 和 331 制定专业费用当事方临时报酬及费用偿还程序的裁定\n\n经审议债务人根据《美国法典》第 11 编（以下简称“《破产法典》”）第 105(a) 条和第 331 条提出的动议（以下简称“本动议”）[1]，以制定由本院命令聘用的专业人士及指定的破产财产受托人每月报酬及费用偿还程序；且本院已认定所请求的救济符合债务人、其破产财产、债权人及全体利害关系方的最佳利益；且债务人已向动议通知对象送达本动议及听证通知（定义见下文）；且无需其他或进一步通知；且本院已举行听证以审议所请求的救济（以下简称“听证”）；且根据听证记录；并经适当审议；且有充分正当理由证明如下，\n\n现据此命令：\n\n1. 本动议在本裁定规定的范围内获准。\n\n2. 除法院授权聘用特定人士的命令另有规定外，本案所有费用当事方均可依照下列程序申请临时报酬：\n\n1 除非上下文另有说明，本文未定义的首字母大写术语应具有本动议中赋予该等术语的含义。\n\na. 本案于 February 15, 2022 提交；因此，本案将按截至每个日历月最后一日的月度期间（各称“费用期间”）申请和处理费用。除如下文第 (b) 款所规定外，至迟于紧接请求报酬的费用期间最后一日之后的每月最后一日，每一请求报酬的费用当事方应以专人递送或隔夜递送方式（但仅就债务人及债务人律师而言，可按下述方式通过电子邮件）向下列各方送达每月报酬陈述（以下简称“每月费用陈述”）：(i) 债务人的律师 Brown Rudnick LLP（布朗·拉德尼克律师事务所），7 Times Square, New York, NY 10036（收件人：William R. Baldiga, Esq.（威廉·R·巴尔迪加律师），wbaldiga@brownrudnick.com；及 Bennett Silverberg, Esq.（本内特·西尔弗伯格律师），bsilverberg@brownrudnick.com）；(ii) 美国康涅狄格地区受托人办公室（以下简称“美国受托人”），150 Court Street, New Haven, CT 06510（收件人：Holley L. Claiborn（霍利·L·克莱伯恩），Holley.L.Claiborn@usdoj.gov）；(iii) Golden Spring (New York) Ltd（金泉〈纽约〉有限公司）的律师 Cohn Birnbaum, & Shea P.C.（科恩、伯恩鲍姆及谢伊律师事务所），100 Pearl Street, 12th Floor, Hartford, CT 06103（收件人：Scott D. Rosen（斯科特·D·罗森），srosen@cbshealaw.com）；(iv) 委员会；以及法院可能指定的任何其他人士（各称“通知当事方”，合称“通知当事方”）。\n\nb. 每一请求报酬的费用当事方不得早于费用期间结束后第十（10）日，且不得迟于请求报酬所在月份的最后一日，提交每月费用陈述；但是，无须向法官办公室递交礼节性副本。本拟议程序动议无意改变《破产法典》第 330 条和第 331 条所规定的费用申请要求。费用当事方须根据《破产法典》、《联邦破产程序规则》及《美国康涅狄格地区破产法院地方法院破产规则》的相关规定，送达并提交批准费用及开支的临时及最终申请。\n\nc. 每一每月费用陈述必须载明：在该每月费用陈述涵盖期间提供服务的人员名单及各该人员的职务（例如，律师、会计师、律师助理等）、各自的计费费率、各人员投入的合计小时数、对发生的垫付款项作出合理详细的明细说明（任何费用当事方均不得请求偿还根据经修订的《美国受托人审查根据 11 U.S.C. § 330 提交的报酬及费用偿还申请指引》本不得获准的费用），以及各人员按每小时十分之一（1/10）为单位同步保存的工时记录。\n\nd. 如任何利害关系方对某一特定每月费用陈述中请求的报酬或费用偿还提出异议（以下简称“异议”），该方应至迟于收到请求报酬的每月费用陈述后第十四（14）日（以下简称“异议截止日”），向其每月费用陈述被提出异议的费用当事方及其他通知当事方送达书面“费用陈述异议通知”，载明通知当事方异议的性质及争议中的费用或开支金额。\n\ne. 异议截止日届满后，债务人应立即向未依照上文第 (d) 款送达异议的每月费用陈述所列费用当事方支付 80% 的费用及 100% 的开支。\n\nf. 如已提交异议，债务人应暂缓支付每月费用陈述中异议所针对的部分，并立即按上文第 (e) 款规定的比例支付其余费用及垫付款项，除非其陈述被提出异议的费用当事方在通知及举行听证后请求法院作出命令，指示进行付款。\n\ng. 如异议各方在提交费用陈述异议通知后能够解决其争议，且其每月费用陈述被提出异议的一方提交陈述，表明异议已被撤回并详细说明解决条款，则债务人应依照上文第 (e) 款，立即支付此前被暂缓且不再受异议约束的每月费用陈述部分。\n\nh. 凡未经各方或法院命令解决的异议，均应予以保留，并在下一次临时或最终费用申请听证时提交法院，供法院依照下文第 (j) 款审理。\n\ni. 依照上文第 (d) 款送达异议，不得损害提出异议的一方就任何根据《破产法典》向法院提交的费用申请，以异议中提出或未提出的任何理由提出异议的权利。此外，任何一方决定不对每月费用陈述提出异议，不构成任何形式的放弃，亦不得损害该方根据《破产法典》对其后向法院提交的任何费用申请提出异议的权利。\n\nj. 大约每 120 日一次，但不得超过每 150 日一次（以下简称“临时费用期间”），各费用当事方应向法院提交申请（以下简称“临时费用申请”），以根据《破产法典》第 330 条和第 331 条（视情况而定）取得法院对所请求报酬及费用偿还的临时批准和准许。\n\nk. 任何费用当事方如未及时提交临时费用申请，请求批准此前根据每月费用陈述已支付的报酬及开支，则该方：(1) 在法院进一步命令作出前，无资格获得本文规定的进一步每月费用付款或费用偿还；以及 (2) 可能被要求返还自受聘之时或上一次费用申请之时起已支付的任何费用，以较晚者为准。\n\nl. 就某一特定每月费用陈述而言，申请尚未审结或法院裁定报酬或费用偿还付款不当，并不取消费用当事方日后按上述规定获得报酬或费用偿还付款的资格，除非法院另有命令。\n\nm. 无论支付还是未支付本文件规定的全部或部分月度报酬及费用偿还，均不影响本院对任何费用方的报酬和费用偿还作出临时或最终核准。\n\nn. 任何正式委员会的律师均可依照上述费用方月度报酬及费用偿还程序，向该委员会成员收集并提交费用报表及支持性凭证；但前提是，该委员会律师应确保此类费用偿还请求符合《康涅狄格地区破产案件专业人士费用及支出指引》。\n\n3. 截至申请日已获本院批准的每一费用方，均可在其首份月度费用报表中请求就自申请日起至2022年3月31日止期间所完成的工作获得报酬，并就该期间发生的费用获得偿还。该费用方的首份临时费用申请应涵盖自申请日起至2022年5月31日（含）止的临时费用期间。所有在申请日尚未受聘或获任命的费用方，应就自其受聘生效之日起至其受聘生效后首个完整月份的最后一个日历日止期间提交其首份月度费用报表，并在其他方面遵守本动议所载程序。\n\n4. 所请求的费用及支出金额应以美元列明（如费用及支出将以外币支付，则应以美元列明该金额及按提交申请时计算的外币折算金额）。\n\n5. 债务人应在其月度经营报告中列明向费用方支付的所有款项，并详细说明向各费用方支付的金额。\n\n6. 任何一方均可基于以下理由对依据本命令提出的付款请求提出异议：债务人未及时提交月度经营报告、未持续及时支付其管理费用及28 U.S.C. § 1930费用，或存在明显紧急情况而需请求本院作出进一步命令；否则，本命令应在本案审理期间继续有效并保持效力。\n\n7. 本命令所规定的所有期间均应依照《联邦破产程序规则》第9006(a)条计算。\n\n8. 对本动议所请求救济的任何及所有其他进一步通知，均予以免除和放弃；但前提是，债务人应在聘用各费用方后向其送达本命令副本。","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Miles Guo"],"ecf_references":[],"word_count":4302,"status":"published","published_at":"2022-03-31 00:00:00","created_at":"2022-03-31","updated_at":"2026-08-23 18:19:12"}