{"id":"court_ctb_1885_1","court":"CTB","case_no":"22-50073","doc_number":1885,"sub_number":1,"doc_type":"ORDER","filed_date":"2023-06-06","title":"Exhibit A ESCROW AGREEMENT","summary_zh":"附件 A（托管协议） —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #1885-1（2023-06-06立案）。HK International Funds Investments (USA) Limited, LLC、无担保债权人官方委员会与托管代理行美国国家银行（U.S. Bank National Association）于 2022 年 4 月 28 日签订的托管协议，约定存入 3700 万美元的独立托管账户资金，用以担保「Lady May」号游艇的交付义务履行。","summary_en":"Exhibit A (Escrow Agreement) —— In re Ho Wan Kwok (Miles Guo / Guo Wengui / 郭文贵), CTB 22-50073 ECF #1885-1 (filed 2023-06-06). An Escrow Agreement dated April 28, 2022 among HK International Funds Investments (USA) Limited, LLC, the Official Committee of Unsecured Creditors, and U.S. Bank National Association as Escrow Agent, governing the terms and conditions of a $37 million segregated escrow deposit securing the delivery obligation of the yacht Lady May.","body_en":"# **Exhibit A**\n\nCase 22-50073 Doc 1885-1 Filed 06/06/23 Entered 06/06/23 16:18:00 Page 2 of\n\n21\n\nESCROW AGREEMENT\n\nby and among HK International Funds Investments (USA) Limited, LLC, a Delaware limited liability company (\"HK USA\"), the Official Committee of Unsecured Creditors (the \"Committee\") appointed in the Bankruptcy Case, and U.S. Bank National Association, a national banking association, as escrow agent hereunder (\"Escrow Agent\" and, together with HK USA and the Committee, sometimes referred to individually as a \"Party\" or collectively as the \"Parties\").\n\nBACKGROUND\n\nin-possession in that certain bankruptcy case captioned In re: Ho Wan Kwok, Case No. 22-50073\n\nA. J The individual, Ho Wan Kwok (the \"Debtor\"), is presently the debtor-\n\nThis ESCROW AGREEMENT, dated as of April 28, 2022 (this \"Escrow Agreement\"), is\n\n(the \"Bankruptcy Case\") presently pending before the United States Bankruptcy Court, District of Connecticut, Bridgeport Division, the Honorable Julie A. Manning presiding (the \"Bankruptcy\n\nCourt\").\n\nB. HK USA and the Committee, as well as certain other parties thereto, have stipulated and agreed to the terms and conditions set forth in that certain [Proposed] Stipulated Order Compelling HK International Funds Investments (USA) Limited, LLC To Transport and Deliver That Certain Yacht, The \"Lady May\" (\"Stipulated Order\").\n\nC. Solely as between HK USA and the Committee, capitalized terms used herein but not otherwise defined shall have the meanings ascribed to such terms in the Stipulated Order.\n\nD. The Stipulated Order provides that, among other things, HK USA shall deposit the Escrow Funds (as defined below in Section 3) contemporaneously with the execution of this Escrow Agreement into a segregated escrow account to be held by Escrow Agent for the purpose of securing the performance of the \"Delivery Obligation\" as provided for in Stipulated Order.\n\nE. Escrow Agent has agreed to accept, hold, and disburse the Escrow Funds in accordance with the terms of this Escrow Agreement.\n\nF. HK USA has appointed HK USA Representative(s) (as defined below in Section 1) to represent HK USA for all purposes in connection with the Escrow Funds and this Escrow Agreement.\n\nG. J The Committee has appointed the Committee Representative (as defined below in Section 1) to represent the Committee for all purposes in connection with the Escrow Funds and this Escrow Agreement.\n\n### PROVISIONS\n\nNOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties, for themselves, their successors and assigns, hereby agree as follows:\n\n1. Definitions. The following terms shall have the following meanings when used herein:\n\na. \" \"Business Day\" means any day other than a Saturday or Sunday in the United States, or any day on which the Federal Reserve Bank located in New York, New York is closed.\n\nb. \"Committee Representative(s)\" shall mean the person(s) so designated on Schedule B-2 hereto or any other person designated in a writing signed by the Committee and delivered to Escrow Agent and the other Parties in accordance with the notice provisions of this Escrow Agreement, to act as the Committee's representative(s) under this Escrow Agreement.\n\nc. \"HK USA Representative(s)\" shall mean the person(s) so designated on Schedule B-1 hereto or any other person designated in a writing signed by HK USA and delivered to Escrow Agent and the Paties in accordance with the notice provisions of this Escrow Agreement, to act as HK USA's representative(s) under this Escrow Agreement.\n\nd. \"HK USA Certification\" shall mean the \"HK USA Certification\" as defined by and in accordance with the Stipulated Order.\n\ne. \"Escrow Account\" shall mean a segregated account, which shall secure the performance of the Delivery Obligation of HK USA as provided in the Stipulated Order.\n\nf. \" \"Escrow Period\" shall mean the period commencing on the date hereof and ending at the close of Escrow Agent's Business Day on the date all of the Escrow Funds have been distributed by Escrow Agent pursuant to the terms hereof.\n\n2. Appointment of and Acceptance by Escrow Agent. HK USA hereby appoints Escrow Agent to serve as escrow agent hereunder. Escrow Agent hereby accepts such appointment and, upon receipt by wire transfer of the Escrow Funds in accordance with Section 3 below, agrees to hold, invest and disburse the Escrow Funds in accordance with this Escrow Agreement.\n\n3. Deposit of Escrow Funds. Simultaneously with the execution and delivery of this Escrow Agreement, HK USA will transfer cash in the amount of Thirty-Seven Million (\\$37,000,000) Dollars by wire transfer of immediately available funds (such amount, together with any interest and other income thereon (collectively \"Earnings\"), the \"Escrow Funds\"), to an account designated by Escrow Agent (the \"Escrow Account\"). The Escrow Account will be maintained as a segregated and separately named and numbered account.\n\n#### Disbursements of Escrow Funds. 4.\n\na. Escrow Agent shall disburse the Escrow Funds at any time upon receipt of, and in accordance with, (i) the HK USA Certification, accompanied by a certificate executed by HK USA's counsel, Zeisler, P.C., Bridgeport, Connecticut, to the effect that such HK USA Certification has been duly submitted to the Escrow Agent in accordance with the Stipulated Order, upon which documents Escrow Agent shall conclusively rely, (ii) a final, non-\n\nappealable order entered by the Bankruptcy Court on or after July 16, 2022, directing delivery of the Escrow Funds, accompanied by a certificate executed by the Party requesting disbursement to the effect that such order of the Bankruptcy Court is a final, non-appealable order of the Bankruptcy Court, upon which certificate Escrow Agent shall conclusively rely (a \"Final Order\"), (iii) a final, non-appealable award, order, decision, judgment or ruling of an arbitrator or court of competent jurisdiction entered on or after July 16, 2022, determining the rights of HK USA, the Debtor and the Committee, creditors of the Debtor, including, but not limited to, Pacific Alliance Asia Opportunity Fund, L.P., an investment fund organized as an exempted limited partnership under the laws of the Cayman Islands (\"PAX\"), with respect to the Escrow Funds or a portion thereof and directing delivery of the Escrow Funds, accompanied by a certificate executed by the Party requesting disbursement to the effect that such award, order, decision, judgment or ruling of an arbitrator or court is a final, non-appealable award, order, decision, judgment or ruling of an arbitrator or court of competent jurisdiction upon which certificate Escrow Agent shall\n\nconclusively rely (a \"Final Determination\") or (iv) an order not subject to any stay entered by the\n\nBankruptcy Court on or after July 16, 2022, directing delivery of the Escrow Funds in accordance with Section 9 of the Stipulated Order, accompanied by a certificate executed by the Party requesting disbursement to the effect that such order of the Bankruptcy Court is an order of the Bankruptcy Court not subject to any stay, upon which certificate Escrow Agent shall conclusively rely (a \"Section 9 Order\"). The Party requesting disbursement shall provide a copy of its certificate simultaneously via e-mail to all other Parties in accordance with Section 15 of this Escrow Agreement and Escrow Agent shall, prior to any disbursement, confirm based solely upon its review of such e-mail full compliance with the notice obligations set forth in this sentence. Such HK USA Certification, Final Determination, Section 9 Order (or certificate accompanying such HK USA Certification, Final Order, Final Determination Section 9 Order), as the case may be, shall contain complete payment instructions, including wiring instructions or an address to which a check shall be sent.\n\nb. Prior to any disbursement, Escrow Agent shall have received reasonable identifying information regarding any recipient(s) of such disbursement(s) such that Escrow Agent may comply with its regulatory obligations and commercially reasonable business practices, including without limitation a completed original United States Internal Revenue Service (\"IRS\") Form W-9 or IRS Form W-8, as applicable. All disbursements of funds from the Escrow Funds shall be subject to the fees and claims of Escrow Agent pursuant to Section 10 and Section 11.\n\nprovided herein.\n\nc. Escrow Agent shall not disburse any Escrow Funds except as\n\n5. Suspension of Performance; Disbursement into Court. If, at any time, (a) there shall exist any dispute between HK USA and the Committee with respect to the holding or disposition of all or any portion of the Escrow Funds or any other obligations of Escrow Agent hereunder, (b) Escrow Agent is unable to determine, in good faith, the proper disposition of all or any portion of the Escrow Funds or Escrow Agent's proper actions with respect to its obligations hereunder, or (c) HK USA and the Committee have not, within sixty (60) calendar days of the furnishing by Escrow Agent of a notice of resignation pursuant to Section 7, appointed a successor escrow agent to act hereunder, then Escrow Agent may, in its sole discretion, take either or both of the following actions:\n\n15. Wire Instruction and Notices. All notices, approvals, consents, requests, and other communications hereunder shall be in writing (provided that any communication sent to Escrow Agent hereunder must be in the form of a document that is signed manually or by way of a digital signature provided by DocuSign) and shall be delivered: (a) by hand delivery, (b) by FedEx or other similar overnight courier service, or (c) via email (to the extent the recipient has an email address below) by way of a PDF attachment thereto. Notice made in accordance with this Section 15 shall be deemed delivered on (a) receipt if delivered by hand or email (proving proof of sending), or (b) the next Business Day after deposit with an overnight courier service if delivered for next day delivery. Such notices shall be sent to the applicable Party or Parties at the address specified below:\n\n#### If to HK USA, at:\n\nZeisler & Zeisler, P.C. 10 Middle St., 15th Fl. Bridgeport, CT 06604\n\nAttn .: Stephen M. Kindseth, Esq. and Aaron Romney, Esq.\n\nEmail:\n\nStephen M. Kindseth, Esq. (skindseth(@zeislaw.com) and\n\nAaron Romney, Esq. (aromney(@zeislaw.com)\n\nWith copy to:\n\nHo Wan Kwok c/o William R. Baldiga (WBaldiga@brownrudnick.com) and Jeffrey L. Jonas (Jonas@brownrudnick.com)\n\n### If to the Committee, at:\n\nPullman & Comley, LLC 850 Main Street Bridgeport. CT 06601 Attn: Irve Goldman\n\nEmail: Irve Goldman, Esq. (igoldman@pullcom.com) and Jonathan Kaplan, Esq. (jkaplan(@pullcom.com)\n\nWith copy to:\n\nSamuel Nunberg, snunberg(@winstonashe.com)\n\nAnd with copy to:\n\nPacific Alliance Asia Opportunity Fund, L.P. Email: jlewis@pagasia.com\n\nPeter Friedman, Esq. (pfriedman(a)omm.com)\n\nCarollynn H.G. Callari, Esq. (ccallari(@callaripartners.com)\n\n### If to Escrow Agent at:\n\nU.S. Bank National Association, as Escrow Agent Attn: Global Corporate Trust 185 Asylum Street, 27th Floor Hartford, CT 06103 Email: laurel.casasanta@usbank.com\n\nand to:\n\nU.S. Bank National Association Attn: Jeffrey Biehn Trust Finance Management, Escrow Dept. 60 Livingston Street St. Paul, MN 55107 Email: jeffrey.biehn@usbank.com and tfmcorporateescrowshared(@usbank.com\n\nwhose wire transfer instructions for the Escrow Funds are as follows:\n\n|       | RBK: U.S. Bank N.A                                                |\n|-------|-------------------------------------------------------------------|\n| ABA:  |                                                                   |\n|       | BNF: U.S. Bank TFM Escrow                                         |\n|       | 777 E. Wisconsin Avenue                                           |\n|       | Milwaukee, WI 53202-5300                                          |\n| Acct: |                                                                   |\n|       | FFC: HK International Funds Investments (USA) Limited, LLC Escrow |\n|       | #                                                                 |\n\nor to such other address as each Party may designate for itself by like notice and unless otherwise provided herein shall be deemed to have been given on the date received. The other Parties agree to assume all risks arising out of the use of electronic methods to submit documentation contemplated by Section 4 of this Escrow Agreement and any other instructions or directions to\n\n16. Amendment, Waiver and Assignment. None of the terms or conditions of\n\n21\n\nEscrow Agent, including without limitation the risk of Escrow Agent acting on unauthorized\n\nthis Escrow Agreement may be changed, waived, modified, discharged, terminated or varied in any manner whatsoever unless ordered by the Bankruptcy Court or such other court having jurisdiction over this Escrow Agreement and the Escrow Funds. No course of conduct shall constitute a waiver of any of the terms and conditions of this Escrow Agreement, unless such waiver is specified in writing, and then only to the extent so specified. A waiver of any of the terms and conditions of this Escrow Agreement on one occasion shall not constitute a waiver of the other terms of this Escrow Agreement, or of such terms and conditions on any other occasion. Except as provided in Section 8, this Escrow Agreement may not be assigned by any Party without\n\ninstructions, and the risk of interception and misuse by third parties.\n\nthe written consent of the other Parties.\n\n17. Severability. To the extent any provision of this Escrow Agreement is prohibited by or invalid under applicable Law, such provision shall be ineffective to the extent of such prohibition or invalidity, without invalidating the remainder of such provision or the remaining provisions of this Escrow Agreement.\n\n18. Governing Law. This Escrow Agreement shall be construed and interpreted in accordance with the internal Laws of the State of Connecticut without giving effect to the conflict of laws principles thereof.\n\n19. Entire Agreement, No Third Party Beneficiaries. This Escrow Agreement constitutes the entire agreement between the Parties relating to the holding, investment and disbursement of the Escrow Funds and sets forth in their entirety the obligations and duties of Escrow Agent with respect to the Escrow Funds. Except as provided in Section 10, nothing in this Escrow Agreement, express or implied, is intended to or shall confer upon any other person any right, benefit or remedy of any nature whatsoever under or by reason of this Escrow Agreement.\n\n20. Execution in Counterparts, Facsimiles. This Escrow Agreement may be executed in two or more counterparts, which when so executed shall constitute one and the same agreement or direction. The delivery of copies of this Escrow Agreement or any Joint Written Direction and their respective signature pages by PDF or facsimile or other electronic transmission (including any electronic signature complying with the U.S. federal ESIGN Act of 2000, e.g., www.docusign.com) shall constitute effective execution and delivery as to the Parties and may be used in lieu of originals for all purposes.\n\n21. Termination. This Escrow Agreement shall terminate upon the distribution of all the Escrow Funds pursuant to any applicable provision of this Escrow Agreement.\n\n22. Dealings. Escrow Agent and any stockholder, director, officer or employee of Escrow Agent may buy, sell, and deal in any of the securities of HK USA and become pecuniarily interested in any transaction in which HK USA may be interested, and contract and lend money to HK USA and otherwise act as fully and freely as though it were not Escrow Agent under this Escrow Agreement. Nothing herein shall preclude Escrow Agent from acting in any other capacity for HK USA or for any other entity.\n\nthen as between HK USA and the Committee (but not as to the Escrow Agent), the terms of the Stipulated Order shall control and supersede any conflicting terms herein.\n\n28. No Right to Escrow Funds. Except as otherwise expressly set forth herein, HK USA and the Committee shall not have any right, title or interest in or possession of any of the Escrow Funds. Without limiting the generality of the foregoing: (i) HK USA and the Committee shall not have the ability to pledge, convey, hypothecate or grant a security interest in any portion of the Escrow Funds unless and until such portion of the Escrow Funds have been disbursed to such person in accordance with the provisions of this Escrow Agreement and (ii) until the Escrow Funds have been disbursed in accordance with the provisions of this Escrow Agreement, the Escrow Agent shall be in sole possession of the Escrow Funds and will not act or be deemed to act as custodian for any Party for purposes of perfecting a security interest therein.\n\n[Signature pages immediately follow.]\n\nIN WITNESS WHEREOF, the Parties have caused this Escrow Agreement to be executed as of the date first above written.\n\n## HK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC:\n\nBy: Name: Mei Guo Title: Sole Member\n\nIN WITNESS WHEREOF, the Parties have caused this Escrow Agreement to be executed as of the date first above written.\n\n#### ESCROW AGENT:\n\nU.S. BANK NATIONAL ASSOCIATION as Escrow Agent\n\n್ಳಾ By:\n\nName: Laurel Casasanta Title: Vice President\n\nIN WITNESS WHEREOF, the Parties have caused this Escrow Agreement to be executed as of the date first above written.\n\n> THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS, APPOINTED IN THE BANKRUPTCY CASE, IN RE: HO WAN KWOK, CASE NO. 22-50073(JAM)\n\nBy: Samuel Numberg\n\nName: Samuel Nunberg, Chairman\n\n#### SCHEDULE A\n\n#### Escrow Agent Compensation\n\n| Acceptance Fee         | \\$750.00           |\n|------------------------|--------------------|\n| Administration Fee     | \\$2,500.00         |\n| Trades/Investments     | \\$65.00 per trade* |\n| Wire Fees              | \\$35.00 each*      |\n| Counsel Fee            | Billed as incurred |\n| Out-of-Pocket Expenses | Billed as incurred |\n\n\\* Waived if funds are invested in U.S. Bank MMDA\n\n### Extraordinary Administration Expenses:\n\nFees for services not specifically set forth in this schedule will be determined by appraisal. Such services may include, but not be limited to, additional responsibilities and services incurred in connection with amendments or extensions of the governing documents, unusual time spent as in the case of litigation.\n\n#### Out-of-Pocket Expenses:\n\nAny out-of-pocket expenses incurred by us will be billed at cost. These items will include, but not be limited to, reasonable legal costs, travel expenses, document duplication and facsimiles, courier services, etc.\n\n#### Escrow Agent's Counsel:\n\nThe Escrow Agent has engaged Shipman & Goodwin LLP to represent it in this matter. Escrow Agent's reasonable Counsel fees and disbursements will be billed at cost directly by Shipman & Goodwin LLP.\n\n#### Payment Upon Execution of this Agreement:\n\nThe Acceptance Fee and the Administration Fee are due upon closing of the transaction without further invoice from the Escrow Agent to the responsible party. Wiring instructions for such payment are as set forth in Section 15. To the extent that fees are included in the incoming wire(s) of the escrow amounts and deposited in the Escrow Funds, the Escrow Agent is hereby authorized to debit such fees from the Escrow Funds.\n\n#### SCHEDULE A\n\n### Escrow Agent Compensation\n\n| Acceptance Fee         | \\$750.00           |\n|------------------------|--------------------|\n| Administration Fee     | \\$2,500.00         |\n| Trades/Investments     | \\$65.00 per trade* |\n| Wire Fees              | \\$35.00 each*      |\n| Counsel Fee            | Billed as incurred |\n| Out-of-Pocket Expenses | Billed as incurred |\n\n\\* Waived if funds are invested in U.S. Bank MMDA\n\n#### Extraordinary Administration Expenses:\n\nFees for services not specifically set forth in this schedule will be determined by appraisal. Such services may include, but not be limited to, additional responsibilities and services incurred in connection with amendments or extensions of the governing documents, unusual time spent as in the case of litigation.\n\n### Out-of-Pocket Expenses:\n\nAny out-of-pocket expenses incurred by us will be billed at cost. These items will include, but not be limited to, reasonable legal costs, travel expenses, document duplication and facsimiles, courier services, etc.\n\n### Escrow Agent's Counsel:\n\nThe Escrow Agent has engaged Shipman & Goodwin LLP to represent it in this matter. Escrow Agent's reasonable Counsel fees and disbursements will be billed at cost directly by Shipman & Goodwin LLP.\n\n### Payment Upon Execution of this Agreement:\n\nThe Acceptance Fee and the Administration Fee are due upon closing of the transaction without further invoice from the Escrow Agent to the responsible party. Wiring instructions for such payment are as set forth in Section 15. To the extent that fees are included in the incoming wire(s) of the escrow amounts and deposited in the Escrow Funds, the Escrow Agent is hereby authorized to debit such fees from the Escrow Funds.\n\n#### SCHEDULE C\n\n#### U.S. BANK NATIONAL ASSOCIATION Investment Authorization Form\n\n#### U.S. BANK MONEY MARKET DEPOSIT ACCOUNT\n\n#### Description and Terms\n\nThe U.S. Bank Money Market Deposit Account is a U.S. Bank National Association (\"U.S. Bank\") interest-bearing money market deposit account designed to meet the needs of U.S. Bank's Corporate Trust Escrow Group and other Corporate Trust customers of U.S. Bank. Selection of this investment includes authorization to place funds on deposit and invest with U.S. Bank.\n\nU.S. Bank uses the daily balance method to calculate interest on this account (actual/365 or 366). This method applies a daily periodic rate to the principal balance in the account each day. Interest is accrued daily and credited monthly to the account. Interest rates are determined at U.S. Bank's discretion, and may be tiered by customer deposit amount.\n\nThe owner of the account is U.S. Bank as agent for its Corporate Trust customers. U.S. Bank's Corporate Trust Escrow Group performs all account deposits and withdrawals. Deposit accounts are FDIC insured per depositor, as determined under FDIC Regulations, up to applicable FDIC limits.\n\nU.S. BANK IS NOT REQUIRED TO REGISTER AS A MUNICIPAL ADVISOR WITH THE SECURITIES AND EXCHANGE COMMISSION FOR PURPOSES OF COMPLYING WITH THE DODD-FRANK WALL STREET REFORM & CONSUMER PROTECTION ACT. INVESTMENT ADVICE, IF NEEDED, SHOULD BE OBTAINED FROM YOUR FINANCIAL ADVISOR.\n\n#### Automatic Authorization\n\nIn the absence of specific written direction to the contrary, U.S. Bank is hereby directed to invest and reinvest proceeds and other available moneys in the U.S. Bank Money Market Deposit Account. The customer(s) confirm that the U.S. Bank Money Market Deposit Account is a permitted investment under the operative documents and this authorization is the permanent direction for investment of the moneys until notified in writing of alternate instructions.","body_zh":"附件 A\n\nCase 22-50073 Doc 1885-1 Filed 06/06/23 Entered 06/06/23 16:18:00 Page 2 of\n托管协议\n\n由特拉华州有限责任公司 HK International Funds Investments (USA) Limited, LLC（香港国际基金投资（美国）有限公司，「HK USA」）、在破产案中指定的 Official Committee of Unsecured Creditors（无担保债权人官方委员会，「委员会」）以及作为本协议项下托管代理人的全国性银行协会 U.S. Bank National Association（美国合众银行全国协会，「托管代理人」；托管代理人与 HK USA 及委员会在此有时单称为「一方」，统称为「各方」）共同订立。\n\n背景\n\n本《托管协议》日期为 2022年4月28日（本「托管协议」），\n\nA. 个人 Ho Wan Kwok（郭文贵）（「债务人」）目前在案名为 In re: Ho Wan Kwok, Case No. 22-50073 的破产案（「破产案」）中担任占有债务人，该案目前由 United States Bankruptcy Court, District of Connecticut, Bridgeport Division（美国康涅狄格区破产法院布里奇波特分院）Julie A. Manning 法官主持审理（「破产法院」）。\n\nB. HK USA 与委员会以及该案的若干其他当事方，已就某份《[拟定]强制 HK International Funds Investments (USA) Limited, LLC 运输并交付特定游艇“Lady May”号的约定裁定》（「约定裁定」）中所载的条款与条件达成约定并同意。\n\nC. 仅在 HK USA 与委员会之间，本协议中使用但未另行定义的词语首字母大写术语，应具有约定裁定赋予该等术语的含义。\n\nD. 约定裁定规定，除其他事项外，HK USA 应在签署本托管协议的同时，将托管资金（定义见下文第 3 条）存入由托管代理人持有的独立隔离托管账户中，用于担保履行约定裁定中规定的「交付义务」。\n\nE. 托管代理人已同意按照本托管协议的条款接收、持有并拨付托管资金。\n\nF. HK USA 已指定 HK USA 代表（定义见下文第 1 条），就与托管资金和本托管协议相关的所有事宜代表 HK USA。\n\nG. 委员会已指定委员会代表（定义见下文第 1 条），就与托管资金和本托管协议相关的所有事宜代表委员会。\n条款\n\n据此，考虑到良好且有价值的对价（在此确认已收到该对价且其充分有效），各方谨此为其自身及其继承人和受让人达成协议如下：\n\n1. 定义。下列术语在本协议中使用时具有以下含义：\n\na. 「工作日」系指除美国境内的星期六或星期日以外的任何一天，或位于纽约州纽约市的联邦储备银行未营业的任何一天。\n\nb. 「委员会代表」系指本协议附件 B-2 中所指定的人员，或由委员会签署书面文件并按照本托管协议的通知条款送达托管代理人及其他各方的、在本托管协议项下担任委员会代表的任何其他指定人员。\n\nc. 「HK USA 代表」系指本协议附件 B-1 中所指定的人员，或由 HK USA 签署书面文件并按照本托管协议的通知条款送达托管代理人及各方的、在本托管协议项下担任 HK USA 代表的任何其他指定人员。\n\nd. 「HK USA 证明书」系指根据约定裁定定义并符合该裁定规定的「HK USA 证明书」。\n\ne. 「托管账户」系指用于担保 HK USA 履行约定裁定中所规定的交付义务的独立隔离账户。\n\nf. 「托管期」系指自本协议签署之日起，至托管代理人根据本协议条款分配完毕所有托管资金之日托管代理人工作日结束时止的期间。\n\n2. 托管代理人的指定与接受。HK USA 特此指定托管代理人担任本协议项下的托管代理人。托管代理人特此接受该指定，并同意在根据下文第 3 条通过电汇收到托管资金后，按照本托管协议持有、投资和拨付托管资金。\n\n3. 托管资金的存入。在签署并交付本托管协议的同时，HK USA 将通过立即立即可用的资金电汇方式，将金额为三千七百万美元（$37,000,000）的现金（该金额连同其上的任何利息及其他收益（统称「收益」），即「托管资金」）转入托管代理人指定的账户（「托管账户」）。托管账户应作为一个独立隔离、单独命名并编号的账户进行维护。\n4. 托管资金的拨付。\n\na. 托管代理人应在收到以下文件并按照该等文件随时拨付托管资金：(i) HK USA 证明书，并附有 HK USA 的法律顾问 Zeisler, P.C.（康涅狄格州布里奇波特）签署的证明，证明该 HK USA 证明书已按照约定裁定正式提交给托管代理人，托管代理人应完全信赖该等文件；(ii) 破产法院在 2022年7月16日 或之后作出的指示交付托管资金的终局且不可上诉的裁定，并附有申请拨付方签署的证明，证明破产法院的该裁定为破产法院终局且不可上诉的裁定，托管代理人应完全信赖该证明（「终局裁定」）；(iii) 仲裁员或具有管辖权的法院在 2022年7月16日 或之后作出的终局且不可上诉的裁决、命令、决定、判决或裁定，该裁决、命令、决定、判决或裁定判定 HK USA、债务人和委员会、债务人的债权人（包括但不限于 Pacific Alliance Asia Opportunity Fund, L.P.（太盟亚洲机会基金有限合伙），一家根据开曼群岛法律设立的受豁免有限合伙投资企业，「PAX」）对托管资金或其一部分的权利，并指示交付托管资金，且附有申请拨付方签署的证明，证明仲裁员或法院的该裁决、命令、决定、判决或裁定为仲裁员或具有管辖权的法院终局且不可上诉的裁决、命令、决定、判决或裁定，托管代理人应完全信赖该证明（「终局判定」）；或 (iv) 破产法院在 2022年7月16日 或之后作出的、指示按照约定裁定第 9 条交付托管资金且不受任何中止令约束的裁定，并附有申请拨付方签署的证明，证明破产法院的该裁定为不受任何中止令约束的破产法院裁定，托管代理人应完全信赖该证明（「第 9 条裁定」）。申请拨付方应按照本托管协议第 15 条的规定，通过电子邮件同时向所有其他各方提供其证明的副本，托管代理人在进行任何拨付之前，应仅根据对该电子邮件的审查确认已完全遵守本句所规定的通知义务。视情况而定，上述 HK USA 证明书、终局判定、第 9 条裁定（或随附于该等 HK USA 证明书、终局裁定、终局判定、第 9 条裁定的证明）应包含完整的付款指示，包括电汇指示或支票寄送地址。\n\nb. 在进行任何拨付之前，托管代理人应已收到有关该拨付的任何接收方的合理身份识别信息，以便托管代理人遵守其监管义务和商业上合理的业务惯例，包括但不限于已填妥的原版 United States Internal Revenue Service（美国国家税务局，「IRS」）W-9 表格或 IRS W-8 表格（视适用情况而定）。从托管资金中拨付的所有款项均应受制于托管代理人根据第 10 条和第 11 条享有的费用和索赔权。\n\nc. 除本协议另有规定外，托管代理人不得拨付任何托管资金。\n\n5. 履约的中止；向法院提存。如果在任何时候，(a) HK USA 与委员会之间就持有或处置全部或任何部分托管资金，或托管代理人在本协议项下的任何其他义务存在任何争议，(b) 托管代理人无法善意确定全部或任何部分托管资金的适当处置方式，或托管代理人就其本协议项下义务应采取的适当行动，或 (c) HK USA 和委员会在托管代理人根据第 7 条发出辞职通知后的六十（60）个日历天内，尚未指定继任托管代理人在此履职，则托管代理人可自行全权决定采取以下一项或两项行动：\n\n15. 电汇指示与通知。本协议项下的所有通知、批准、同意、请求和其他通信均应采用书面形式（但发送给本协议项下托管代理人的任何通信必须以经手写签署或通过 DocuSign 提供的数字签名形式的文件形式提供），并应按以下方式送达：(a) 专人送递，(b) 通过 FedEx 或其他类似的隔夜快递服务送达，或 (c) 通过电子邮件（在接收方在下文列有电子邮件地址的情况下）以 PDF 附件方式发送。按照本第 15 条作出的通知在下列情况下应视为已送达：(a) 若专人送递或通过电子邮件发送（需提供发送凭证），则在收到时视为送达；或 (b) 若通过隔夜快递服务寄送次日达，则在交付隔夜快递服务后的下一个工作日视为送达。该等通知应发送至下列指定地址的相关当事方：\n若发送给 HK USA，寄至：\n\nZeisler & Zeisler, P.C. 10 Middle St., 15th Fl. Bridgeport, CT 06604\n\n收件人：Stephen M. Kindseth 律师 及 Aaron Romney 律师\n\n电子邮件：\n\nStephen M. Kindseth 律师 (skindseth@zeislaw.com) 及\n\nAaron Romney 律师 (aromney@zeislaw.com)\n\n抄送：\n\nHo Wan Kwok（郭文贵） 转交 William R. Baldiga (WBaldiga@brownrudnick.com) 及 Jeffrey L. Jonas (Jonas@brownrudnick.com)\n若发送给委员会，寄至：\n\nPullman & Comley, LLC 850 Main Street Bridgeport, CT 06601 收件人：Irve Goldman\n\n电子邮件：Irve Goldman 律师 (igoldman@pullcom.com) 及 Jonathan Kaplan 律师 (jkaplan@pullcom.com)\n\n抄送：\n\nSamuel Nunberg (snunberg@winstonashe.com)\n\n并抄送：\n\nPacific Alliance Asia Opportunity Fund, L.P. 电子邮件：jlewis@pagasia.com\n\nPeter Friedman 律师 (pfriedman@omm.com)\n\nCarollynn H.G. Callari 律师 (ccallari@callaripartners.com)\n若发送给托管代理人，寄至：\n\nU.S. Bank National Association，作为托管代理人 收件人：Global Corporate Trust 185 Asylum Street, 27th Floor Hartford, CT 06103 电子邮件：laurel.casasanta@usbank.com\n\n并寄至：\n\nU.S. Bank National Association 收件人：Jeffrey Biehn Trust Finance Management, Escrow Dept. 60 Livingston Street St. Paul, MN 55107 电子邮件：jeffrey.biehn@usbank.com 及 tfmcorporateescrowshared@usbank.com\n\n其关于托管资金的电汇指示如下：\n\n收款银行 (RBK)：U.S. Bank N.A\n\n银行代号 (ABA)：\n受益人 (BNF)：U.S. Bank TFM Escrow\n777 E. Wisconsin Avenue\nMilwaukee, WI 53202-5300\n账号 (Acct)：\n最终收款人 (FFC)：HK International Funds Investments (USA) Limited, LLC Escrow\n或各方可通过类似通知为自身指定的其他地址，且除本协议另有规定外，应被视为在收到之日送达。其他各方同意承担因使用电子方式提交本托管协议第 4 条所设想的文件以及向托管代理人发出的任何其他指示或命令而产生的所有风险。\n\n16. 修改、弃权与转让。本托管协议（Escrow Agreement）的任何条款或条件均不得以任何方式变更、放弃、修改、免除、终止或更改，除非由破产法院（Bankruptcy Court）或对此托管协议及托管资金（Escrow Funds）拥有管辖权的其他法院作出裁定。任何行为过程均不构成对本托管协议任何条款和条件的放弃，除非该弃权以书面形式明确载明，且仅在明确载明的范围内有效。在某一次情形下对本托管协议任何条款和条件的放弃，并不构成对本托管协议其他条款的放弃，亦不构成在任何其他情形下对该等条款和条件的放弃。除第 8 条另有规定外，未经其他各方书面同意，任何一方均不得转让本托管协议。\n\n17. 可分割性。如果本托管协议的任何条款根据适用法律被禁止或无效，该条款仅在该等禁止或无效的范围内失效，而不影响该条款的其余部分或本托管协议其余条款的有效性。\n\n18. 管辖法律。本托管协议应根据康涅狄格州（State of Connecticut）的内部法律进行解释和说明，但不适用其法律冲突原则。\n\n19. 完整协议、无第三方受益人。本托管协议构成各方之间就托管资金的持有、投资及拨付达成的完整协议，并完整载明托管代理人（Escrow Agent）关于托管资金的义务和职责。除第 10 条另有规定外，本托管协议中明示或默示的任何内容，均无意也不得根据或由于本托管协议授予任何其他人任何性质的权利、利益或救济。\n\n20. 多份签署、传真件。本托管协议可以签署两份或多份副本，各副本在如此签署后应共同构成同一份协议或指示。通过 PDF、传真或其他电子传输方式（包括符合美国联邦 2000 年《电子签名法》（ESIGN Act of 2000）的任何电子签名，例如 www.docusign.com）交付本托管协议或任何联合书面指示及其各自的签署页副本，应视为对各方均构成有效的签署和交付，并可在所有目的下用以替代原件。\n\n21. 终止。本托管协议应在根据本托管协议的任何适用条款分配全部托管资金后终止。\n\n22. 交易往来。托管代理人以及托管代理人的任何股东、董事、高级职员或雇员均可购买、出售和交易 HK USA 的任何证券，并可在 HK USA 可能感兴趣的任何交易中获取金钱利益，亦可与 HK USA 订立合同并向其出借资金，以及完全且自由地行事，如同其不是本托管协议项下的托管代理人一样。本协议中的任何内容均不妨碍托管代理人以任何其他身份为 HK USA 或任何其他实体行事。\n\n则在 HK USA 与委员会（Committee）之间（但不对托管代理人），约定裁定（Stipulated Order）的条款应居于控制地位，并取代此处任何相冲突的条款。\n\n28. 对托管资金无权利。除本协议另有明确规定外，HK USA 和委员会对任何托管资金均不享有任何权利、所有权、权益或占有权。在不限制前述一般性原则的前提下：(i) HK USA 和委员会无权质押、转让、抵押或在托管资金的任何部分上设立担保权益，除非且直到该部分托管资金已根据本托管协议的规定拨付给该人；以及 (ii) 在托管资金根据本托管协议的规定拨付之前，托管代理人应单独占有托管资金，且不得为完善其中的担保权益之目的而作为或被视为作为任何一方的保管人。\n\n[紧接签署页。]\n\n以资证明，各方已促使本托管协议于文首首载日期正式签署。\nHK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC：\n\n签署人：\n姓名：Mei Guo（郭美）\n职务：唯一成员（Sole Member）\n\n以资证明，各方已促使本托管协议于文首首载日期正式签署。\n托管代理人：\n\nU.S. BANK NATIONAL ASSOCIATION（美国银行国家协会），作为托管代理人\n\n签署人：\n姓名：Laurel Casasanta\n职务：副总裁（Vice President）\n\n以资证明，各方已促使本托管协议于文首首载日期正式签署。\n\n破产案件中指定之官方无担保债权人委员会（THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS），案件：IN RE: HO WAN KWOK（郭文贵），案号：CASE NO. 22-50073(JAM)\n\n签署人：Samuel Nunberg\n姓名：Samuel Nunberg，主席\n附表 A（SCHEDULE A）\n托管代理人报酬\n\n承接费（Acceptance Fee） $750.00\n\n管理费（Administration Fee） $2,500.00\n交易/投资费（Trades/Investments） 每笔交易 $65.00*\n电汇费（Wire Fees） 每笔 $35.00*\n律师费（Counsel Fee） 按实际发生计费\n实报实销费用（Out-of-Pocket Expenses） 按实际发生计费\n\n* 若资金投资于美国银行货币市场存款账户（U.S. Bank MMDA），则免除此费用\n非常规管理费用：\n\n未在本附表中明确列出的服务费用将通过评估确定。该等服务可包括但不限于：因管理文件的修改或延期而产生的额外责任和服务，以及在诉讼情况下花费的异常时间。\n实报实销费用：\n\n我们发生的任何实报实销费用将按成本计收。这些项目将包括但不限于合理的法律费用、差旅费、文件复印和传真费、快递服务费等。\n托管代理人律师：\n\n托管代理人已聘请 Shipman & Goodwin LLP 在本事项中代表其行事。托管代理人合理的律师费和支出将由 Shipman & Goodwin LLP 直接按成本计收。\n签署本协议时的付款：\n\n承接费和管理费在交易完成（closing）时到期应付，无需托管代理人向责任方另行出具发票。用于该付款的电汇指示如第 15 条所述。如果费用已包含在托管金额的进账电汇中并存入托管资金，托管代理人特此获授权从托管资金中扣除该等费用。\n附表 A（SCHEDULE A）\n托管代理人报酬\n\n承接费（Acceptance Fee） $750.00\n\n管理费（Administration Fee） $2,500.00\n交易/投资费（Trades/Investments） 每笔交易 $65.00*\n电汇费（Wire Fees） 每笔 $35.00*\n律师费（Counsel Fee） 按实际发生计费\n实报实销费用（Out-of-Pocket Expenses） 按实际发生计费\n\n* 若资金投资于美国银行货币市场存款账户（U.S. Bank MMDA），则免除此费用\n非常规管理费用：\n\n未在本附表中明确列出的服务费用将通过评估确定。该等服务可包括但不限于：因管理文件的修改或延期而产生的额外责任和服务，以及在诉讼情况下花费的异常时间。\n实报实销费用：\n\n我们发生的任何实报实销费用将按成本计收。这些项目将包括但不限于合理的法律费用、差旅费、文件复印和传真费、快递服务费等。\n托管代理人律师：\n\n托管代理人已聘请 Shipman & Goodwin LLP 在本事项中代表其行事。托管代理人合理的律师费和支出将由 Shipman & Goodwin LLP 直接按成本计收。\n签署本协议时的付款：\n\n承接费和管理费在交易完成时到期应付，无需托管代理人向责任方另行出具发票。用于该付款的电汇指示如第 15 条所述。如果费用已包含在托管金额的进账电汇中并存入托管资金，托管代理人特此获授权从托管资金中扣除该等费用。\n附表 C（SCHEDULE C）\nU.S. BANK NATIONAL ASSOCIATION（美国银行国家协会）投资授权表\n美国银行货币市场存款账户（U.S. BANK MONEY MARKET DEPOSIT ACCOUNT）\n说明与条款\n\n美国银行货币市场存款账户是 U.S. Bank National Association（“U.S. Bank”/美国银行）的计息货币市场存款账户，旨在满足 U.S. Bank 企业信托托管组（Corporate Trust Escrow Group）及 U.S. Bank 其他企业信托客户的需求。选择此项投资即包含将资金存入 U.S. Bank 并由其进行投资的授权。\n\nU.S. Bank 采用每日余额法计算该账户的利息（实际天数/365 或 366）。该方法每天对账户中的本金余额适用每日定期利率。利息每日累计并按月计入账户。利率由 U.S. Bank 自行决定，并可根据客户存款金额实行分档利率。\n\n账户所有人为作为其企业信托客户之代理人的 U.S. Bank。U.S. Bank 的企业信托托管组负责执行所有账户的存入和支取。根据联邦存款保险公司（FDIC）法规的规定，存款账户按每位存款人享受 FDIC 保险，最高可达适用的 FDIC 限额。\n\n为了遵守《多德-弗兰克华尔街改革和消费者保护法》（DODD-FRANK WALL STREET REFORM & CONSUMER PROTECTION ACT），U.S. BANK 无需向美国证券交易委员会（SECURITIES AND EXCHANGE COMMISSION）登记为市政顾问。如需投资建议，应从您的财务顾问处获取。\n自动授权\n\n在没有相反的明确书面指示的情况下，特此指示 U.S. Bank 将收益及其他可用款项投资并再投资于美国银行货币市场存款账户。客户确认美国银行货币市场存款账户是生效文件项下的允许投资，且本授权为款项投资的永久指示，直至收到书面变更指示为止。","key_entities":["Je","Kwok","Ho Wan Kwok","CIPA","Guo"],"ecf_references":[],"word_count":3555,"status":"published","published_at":"2023-06-06 00:00:00","created_at":"2023-06-06","updated_at":"2026-08-23 13:45:42"}