{"id":"court_ctb_1544_0","court":"CTB","case_no":"22-50073","doc_number":1544,"sub_number":0,"doc_type":"ORDER","filed_date":"2019-04-01","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | In re:                                | Cha","summary_zh":null,"summary_en":null,"body_en":"## UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION\n\n| In re:                                | Chapter 11              |\n|---------------------------------------|-------------------------|\n| HO WAN KWOK, et al.,                  | Case No: 22-50073 (JAM) |\n| Debtors.                              |                         |\n|                                       |                         |\n| HO WAN KWOK,                          |                         |\n| Movant,                               |                         |\n| v.                                    |                         |\n| LUC A. DESPINS,<br>CHAPTER 11 TRUSTEE |                         |\n\nRespondent.\n\n# DECLARATION OF MEI GUO, IN HER CAPACITY AS THE SOLE MEMBER OF HK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC\n\nI, Mei Guo, hereby declare:\n\n1. I am the sole member of HK International Funds Investments (USA) Limited, LLC (\"HK USA\"). I make this declaration in order to demonstrate HK USA's compliance with the Trustee's Rule 2004 subpoena directed to HK USA (the \"Subpoena\"), and in response to the Court's March 10, 2023 Order (ECF No. 1537), holding HK USA in contempt and issuing sanctions for purported discovery violations.\n\n## RELEVANT BACKGROUND REGARDING HK USA\n\n2. In order for the Court to understand HK USA's compliance with the Subpoena, some background is important for the Court to understand what HK USA is, and what it is not.\n\n3. HK USA was formed on September 11, 2018.\n\n4. I am the sole member of HK USA, as memorialized in the HKI International Funds Investments (USA) Limited, LLC Agreement, dated April 1, 2019.\n\n5. On or about April 17, 2020, I transferred ownership of the Lady May from Hong Kong International Funds Investments Limited (\"HK International\") to HK USA.\n\n6. The Trustee is well familiar with these facts, as HK USA's corporate and formation documents were produced to the Trustee long ago, along with the transfer documents, which have been utilized by the Trustee in the adversary proceeding captioned HK International Funds Investments (USA) Limited, LLC v. Ho Wan Kwok, Adversary Proceeding No. 22-05003 (the \"Adversary Proceeding\").\n\n7. The Trustee also understands, and confirmed during my deposition in the Adversary Proceeding, that the Lady May is the only asset of HK USA. The \\$37 million loan that HK USA took from Himalaya International Financial Group Limited (\"Himalaya\") in connection with the April 29, 2022 Stipulated Order \"Compelling HK [USA] to Transport and Deliver That Certain Yacht, The 'Lady May'\" (ECF No. 294) is not an asset; it is a liability.\n\n8. During my deposition, Trustee's counsel confirmed:\n\nQ. Today, other than the Lady May and the \\$37 million that you took as a loan from Himalaya, does Hong Kong International USA have any other assets? … A. No. BY MR. LUFT: Q. Hong Kong International USA has no bank accounts, correct? A. Correct.\n\n(Tr. 140:2-11).\n\n9. Trustee's counsel also confirmed that HK USA has \"no directors, officers, or employees; has no dedicated email servers or email suffixes; does not file tax returns; and has no bank account and it is not otherwise capitalized.\" (Tr. 141:9-14).\n\n10. This is correct, and has been true since HK USA's formation in 2018.\n\n2\n\n#### THE RULE 2004 SUBPOENA\n\n11. On August 19, 2022, HK USA was served with the Subpoena. HK USA thereafter served timely objections to the document requests attached to the Subpoena, asserting objections to certain of the enumerated Instructions and Definitions included with the requests for production, as well as objections to certain of the requests for production.\n\n12. On or about October 28, 2022, the Trustee filed a motion pursuant to Rules 26 and 37 of the Federal Rules of Civil Procedure and Rules 2004 and 9016 of the Federal Rules of Bankruptcy Procedure seeking among other things, to compel HK USA to comply with the Subpoena.\n\n13. HK USA, however, did produce documents in response to the Subpoena.\n\n14. Specifically, on September 19, 2022, HK USA produced documents bates numbered HK/MG-0001-HK/MG-00093, consisting of HK USA's corporate documents and records. Shortly thereafter, on September 28, 2022, HK USA supplemented its production by producing documents within the possession of its counsel, Zeisler & Zeisler, P.C., bates numbered HK-MG 00094-HK-MG 02206. This production included documents and correspondence related to the return of the Lady May to Connecticut, the loan from Himalaya, and the agreement that became a Stipulated Order of this Court related to the Lady May, and the release of the proceeds of the Himalaya Loan from escrow.\n\n15. HK USA also produced copies of other agreements in its possession, including agreements with the crew members of the Lady May, and a non-disclosure agreement given to crew members, as well as documents relating to the management of the yacht.\n\n16. On November 14, 2022, HK USA filed its opposition to the Trustee's motion to compel and represented that \"Ms. Guo and HK USA produced documents responsive to requests\n\n3\n\nrelated to HK USA and the Lady May. Other than documents related to their personal assets, HK USA and Ms. Guo have not withheld any responsive documents. HK USA owns the Lady May and nothing more so documents related to its assets were produced.\" (ECF No. 1090).\n\n17. Thus, HK USA represented as early as November 2022 that it was not withholding documents responsive to the Subpoena.\n\n18. HK USA supplemented its production on January 4, 2023, and produced additional\n\ndocuments responsive to the Subpoena, including email correspondence relating to the loan from Himalaya.\n\n19. In total, HK USA and I have produced over two-thousand pages of documents in response to the Subpoena.\n\n20. On January 20, 2023, the Court entered an Order granting the Trustee's motion to\n\ncompel, in part (the \"January 20 Order\") (ECF #1353).\n\n21. Relevant to the Subpoena, the January 20 Order directed that:\n\nMei Guo and HK (USA) shall, by 5:00 p.m. on January 31, 2023, search for and produce to the Trustee:\n\n(i) documents responsive to the Trustee's requests, except as to the documents that concern the Lady May, dated June 1, 2014, or later, unless a particular request specifies a different time period and such time period does not begin before June 1, 2014;\n\n(ii) documents responsive to the Trustee's requests, except as the documents concern the Lady May, as to both assets the Debtor acknowledges he owns and assets that allegedly belong to persons or entities other than the Debtor, including without limitation his family members, including Mei Guo herself, and associated entities, including HK (USA) itself; and\n\n(iii) documents responsive to the Trustee's requests that are within their custody, possession, or control, except as to the documents that concern the Lady May, including without limitation documents in the files of their current or former counsel and other agents and advisors, unless such documents have already been produced by their current or former counsel and other agents and advisors but without consideration of any potential future production by their current or former counsel and other agents and advisors.\n\n(ECF #1353) (emphasis added).\n\n### HK USA'S COMPLIANCE WITH THE SUBPOENA AND COURT ORDER\n\n22. Upon receipt of the January 20 Order, I re-reviewed the Subpoena to HK USA, along with the documents previously produced by HK USA.\n\n23. In so doing, I confirmed that HK USA previously produced to the Trustee all responsive documents in its possession, custody and control, in its productions of September 19, 2022, September 28, 2022, and January 4, 2023.\n\n24. As explained above, I am the sole owner of HK USA, and HK USA does not have any employees or maintain any bank accounts. Indeed, the Lady May is HK USA's sole asset.\n\n25. Moreover, the only documents and communications that I maintain for HK USA relate to the Lady May, which documents were excluded from the January 20 Order.\n\n26. I further reviewed the email accounts I utilize for matters relating to the Lady May, XXXXXX1989@gmail.com and XXXXXXXX@gmail.com, and confirmed that there were no non-privileged communications responsive to the Subpoena, relating to the Lady May or otherwise.\n\n27. Moreover, while I do not use my personal email account for matters relating to HK USA, I nonetheless searched my personal email account for communications relating to HK USA and the Lady May, and did not find any responsive communications.\n\n28. I previously produced my text message correspondence with Craig Heaslop, who previously captained the Lady May.\n\n29. I have conducted a diligent search for documents responsive to the Rule 2004 Subpoena, and have not found any additional documents or communications on behalf of HK USA beyond the two-thousand pages previously produced to the Trustee.\n\n5\n\n30. As previously represented, HK USA has not withheld documents responsive to the Subpoena, and respectfully submits that it is in compliance with both the Subpoena and the Court's subsequent orders.\n\nPursuant to 28 U.S.C. § 1746, to the best of my knowledge, information and belief, and after reasonable inquiry, I declare under penalty of perjury that the foregoing is true and correct.\n\nDated at New York, NY this 13<sup>h</sup> day of March, 2023.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Mei Guo\n\n### CERTIFICATE OF SERVICE\n\nI hereby certify that on this 13th day of March, 2023, a copy of foregoing was filed electronically. Notice of this filing will be sent by e-mail to all parties by operation of the Court's electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. Parties may access this filing through the Court's CM/ECF System.\n\n> /s/ Lee Vartan Lee Vartan","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区联邦破产法院布里奇波特分院）\n\n关于：第11章\nHO WAN KWOK（郭文贵）等，\n债务人。\n案号：22-50073 (JAM)\n\nHO WAN KWOK（郭文贵），\n动议人，\n诉\nLUC A. DESPINS，\n第11章托管人\n被申请人。\n\nMEI GUO（郭美）以HK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC唯一成员身份所作之声明\n\n本人Mei Guo（郭美），谨此声明如下：\n\n1. 本人系HK International Funds Investments (USA) Limited, LLC（下称“HK USA”）的唯一成员。本人作出本声明，旨在证明HK USA遵守了托管人向HK USA发出的《破产程序规则》第2004条传票（下称“《传票》”），并回应法院于2023年3月10日作出的裁定（ECF No. 1537），该裁定认定HK USA构成藐视法庭并因涉嫌违反证据开示规定而对其处以制裁。\n\n有关HK USA的相关背景\n\n2. 为使法院了解HK USA对《传票》的遵守情况，了解HK USA的性质及其实质情况的若干背景信息至关重要。\n\n3. HK USA成立于2018年9月11日。\n\n4. 本人系HK USA的唯一成员，此情况记载于2019年4月1日的《HK International Funds Investments (USA) Limited, LLC协议》中。\n\n5. 2020年4月17日或前后，本人将Lady May号游艇的所有权从Hong Kong International Funds Investments Limited（香港阿森特斯有限公司，下称“HK International”）转让予HK USA。\n\n6. 托管人对这些事实十分清楚，因为HK USA的公司文件和成立文件早已向托管人提交，连同转让文件一并提供，托管人已在标题为HK International Funds Investments (USA) Limited, LLC诉Ho Wan Kwok（郭文贵）、案号为No. 22-05003的对抗性程序（下称“对抗性程序”）中使用了这些文件。\n\n7. 托管人亦知悉并在对抗性程序中对本人的宣誓作证笔录期间确认，Lady May号系HK USA的唯一资产。HK USA根据2022年4月29日关于“强令HK [USA]运输并交付该特定游艇‘Lady May’号”的约定裁定（ECF No. 294）而从Himalaya International Financial Group Limited（喜马拉雅国际金融集团有限公司，下称“Himalaya”）借入的$37 million贷款并非资产，而是一项负债。\n\n8. 在本人的宣誓作证过程中，托管人律师确认如下：\n\n问：截至今日，除Lady May号以及您从Himalaya借入的$37 million贷款之外，Hong Kong International USA是否还有任何其他资产？…… 答：没有。LUFT律师提问：问：Hong Kong International USA没有任何银行账户，对吗？答：对。\n\n(Tr. 140:2-11)。\n\n9. 托管人律师亦确认HK USA“没有董事、高级职员或员工；没有专用电子邮件服务器或电子邮件后缀；不申报纳税申报单；没有银行账户，亦未以其他方式注资”。(Tr. 141:9-14)。\n\n10. 上述情况属实，且自HK USA于2018年成立以来一直如此。\n\n第2004条传票\n\n11. 2022年8月19日，HK USA收到送达的《传票》。HK USA随后对《传票》所附的文件调取要求及时提出了异议，对调取证据要求所含的部分列明说明及定义提出异议，并对部分调取证据要求本身提出异议。\n\n12. 2022年10月28日或前后，托管人依据《联邦民事诉讼规则》第26条和第37条以及《联邦破产程序规则》第2004条和第9016条提出动议，请求（除其他事项外）强令HK USA遵守《传票》。\n\n13. 然而，HK USA确实针对《传票》提供了文件。\n\n14. 具体而言，2022年9月19日，HK USA提供了Bates编码为HK/MG-0001至HK/MG-00093的文件，包含HK USA的公司文件和记录。此后不久，于2022年9月28日，HK USA进一步补充提交，提供了其代理律师事务所Zeisler & Zeisler, P.C.占管的文件，Bates编码为HK-MG 00094至HK-MG 02206。该批文件包括与Lady May号返回康涅狄格州有关的文件和往来函电、来自Himalaya的贷款、成为本法院关于Lady May号的约定裁定的协议，以及从托管账户中释放Himalaya贷款收益的相关文件。\n\n15. HK USA还提供了其占管的其他协议的副本，包括与Lady May号船员签署的协议，向船员出具的保密协议，以及与该游艇管理相关的各种文件。\n\n16. 2022年11月14日，HK USA就托管人的强令动议提交了反对意见，并陈述称：“Guo（郭）女士及HK USA已针对与HK USA及Lady May号相关的要求提供了响应性文件。除与其个人资产相关的文件外，HK USA及Guo（郭）女士未隐瞒任何响应性文件。HK USA仅拥有Lady May号而无其他资产，因此与其资产相关的文件均已提供。”（ECF No. 1090）。\n\n17. 因此，HK USA早在2022年11月便已陈述其并未隐瞒任何响应《传票》的文件。\n\n18. HK USA于2023年1月4日补充提交了证据，提供了响应《传票》的补充文件，包括与来自Himalaya的贷款有关的电子邮件往来。\n\n19. HK USA与本人针对《传票》总计已提供超过两千页的文件。\n\n20. 2023年1月20日，法院作出裁定，部分准许托管人的强令动议（下称“1月20日裁定”）（ECF #1353）。\n\n21. 关于《传票》，1月20日裁定指令：\n\nMei Guo（郭美）及HK (USA)应于2023年1月31日下午5:00前，检索并向托管人提供：\n\n(i) 响应托管人要求的文件，但涉及Lady May号且日期在2014年6月1日或之后的文件除外，除非特定要求明确了不同的时间范围且该时间范围不早于2014年6月1日；\n\n(ii) 响应托管人要求的文件，但涉及Lady May号的文件除外，范围既包括债务人承认其拥有的资产，也包括据称属于债务人以外之个人或实体的资产，包括但不限于其家庭成员（包括Mei Guo（郭美）本人）以及关联实体（包括HK (USA)本身）；以及\n\n(iii) 属于其保管、占有或控制之下的响应托管人要求的文件，但涉及Lady May号的文件除外，包括但不限于其现任或前任律师以及其他代理人和顾问卷宗中的文件，除非该等文件已由其现任或前任律师以及其他代理人和顾问提供，但无需考虑其现任或前任律师以及其他代理人和顾问未来可能提供的任何文件。\n\n（ECF #1353）（强调为原文所加）。\n\nHK USA对传票及法院裁定的遵守情况\n\n22. 收到1月20日裁定后，本人重新审查了发给HK USA的《传票》，连同HK USA此前提供的文件一并进行了审查。\n\n23. 在此过程中，本人确认HK USA此前在2022年9月19日、2022年9月8日和2023年1月4日的证据提供中，已向托管人提供了其占有、保管和控制之下的全部响应性文件。\n\n24. 如上所述，本人系HK USA的唯一所有人，且HK USA没有任何员工，亦未开设任何银行账户。事实上，Lady May号系HK USA的唯一资产。\n\n25. 此外，本人为HK USA保存的唯一文件和往来通信均与Lady May号有关，而该等文件已在1月20日裁定中被排除。\n\n26. 本人进一步审查了本人用于处理与Lady May号相关事务的电子邮件账户XXXXXX1989@gmail.com及XXXXXXXX@gmail.com，并确认不存在任何与Lady May号有关或以其他方式响应《传票》的非特权通信。\n\n27. 此外，尽管本人不使用个人电子邮件账户处理与HK USA相关的事务，但本人仍检索了个人电子邮件账户中与HK USA及Lady May号相关的通信，未发现任何响应性通信。\n\n28. 本人此前已提供了本人与此前担任Lady May号船长的Craig Heaslop之间的短信往来记录。\n\n29. 本人已对响应《第2004条传票》的文件进行了勤勉检索，未发现除此前向托管人提供的两千多页文件之外代表HK USA的任何其他文件或通信。\n\n30. 正如先前所述，HK USA未隐瞒任何响应《传票》的文件，并谨此提请确认其已完全遵守《传票》及法院随后的各项裁定。\n\n依据28 U.S.C. § 1746，据本人所知、所悉并确信，且在进行合理查询后，本人在愿受伪证罪处罚的前提下声明：上述内容均属真实无误。\n\n于纽约州纽约市签署，日期：2023年3月13日。\n\n___________________________ Mei Guo（郭美）\n\n送达证明\n\n本人特此证明，于2023年3月13日，上述文书的副本已通过电子方式归档。本归档通知将通过法院电子归档系统的运行以电子邮件形式发送给各方当事人，或按照《电子归档通知》所示以邮寄方式发送给任何无法接收电子归档的人员。各方当事人可通过法院的CM/ECF系统查阅本归档文件。\n\n/s/ Lee Vartan\nLee Vartan","key_entities":["Guo","Himalaya","Kwok","Ho Wan Kwok","Je","Despins"],"ecf_references":[{"doc_number":294,"court":"CTB"},{"doc_number":1090,"court":"CTB"},{"doc_number":1353,"court":"CTB"},{"doc_number":1537,"court":"CTB"}],"word_count":1547,"status":"published","published_at":"2019-04-01 00:00:00","created_at":"2019-04-01","updated_at":"2026-08-23 12:54:43"}