{"id":"court_ctb_2038_0","court":"CTB","case_no":"22-50073","doc_number":2038,"sub_number":0,"doc_type":"ORDER","filed_date":"2023-07-28","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT | In re:<br>HO WAN KWOK, et al.,<br>Debtors.1","summary_zh":"法院裁定 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #2038（2023-07-28立案）。破产法院依据破产规则第 9019 条裁定批准第 11 章受托人 Luc A. Despins 与 HCHK 相关实体（HCHK Technologies、HCHK Property Management、Lexington Property and Staffing）债权人利益受让人 Brian Hofmeister 达成的和解协议，指令受让人将 HCHK 资金临时移交并存入受托人第 345 条账户，并相应修改了先前的临时限制令（TRO）。","summary_en":"Court Order — In re Ho Wan Kwok (Miles Guo / Guo Wengui / Ho Wan Kwok), CTB 22-50073 ECF #2038 (filed 2023-07-28). The Bankruptcy Court approved the Chapter 11 Trustee Luc A. Despins's settlement agreement with Brian Hofmeister, Assignee for the benefit of creditors of HCHK entities (HCHK Technologies, HCHK Property Management, Lexington Property and Staffing) pursuant to Bankruptcy Rule 9019, directing the prompt transfer of HCHK funds to the Trustee's Section 345 accounts on an interim basis and modifying the prior temporary restraining order accordingly.","body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT**\n\n| In re:<br>HO WAN KWOK, et al.,<br>Debtors.1                                                                                                                                                                                                                          | )<br>)<br>Chapter 11<br>)<br>Case No. 22-50073 (JAM)<br>)<br>(Jointly Administered)<br>)<br>)<br>Re: ECF No. 1936 |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------|\n| LUC A. DESPINS, CHAPTER 11 TRUSTEE FOR THE<br>ESTATE OF HO WAN KWOK,<br>Plaintiff,<br>v.                                                                                                                                                                             | )<br>)<br>)<br>Adv. P. No. 23-05013 (JAM)<br>)<br>)<br>Re: ECF No. 25<br>)<br>)<br>)                              |\n| HCHK TECHNOLOGIES, INC., HCHK PROPERTY<br>MANAGEMENT, INC., LEXINGTON PROPERTY AND )<br>STAFFING, INC., HOLY CITY HONG KONG<br>VENTURES, LTD., ANTHONY DIBATTISTA,<br>YVETTE WANG, and BRIAN W. HOFMEISTER,<br>ASSIGNEE FOR THE BENEFIT OF CREDITORS,<br>Defendants. | )<br>)<br>)<br>)<br>)<br>)<br>)<br>)<br>)                                                                         |\n\n# **ORDER APPROVING, PURSUANT TO BANKRUPTCY RULE 9019, CHAPTER 11 TRUSTEE'S SETTLEMENT WITH ASSIGNEE OF HCHK ENTITIES UNDER NEW YORK COURT ASSIGNMENT PROCEEDINGS**\n\nUpon the Motion,2 of Luc A. Despins, in his capacity as the Chapter 11 Trustee (the\n\n\"Trustee\") appointed in the above-captioned chapter 11 case (the \"Chapter 11 Case\") of Ho Wan\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, 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> [Main Case, Docket No. 1936; Adv. Proc. 23-05013, Docket No. 25.] Capitalized terms used but not defined in this Order have the meanings set forth in the Motion.\n\nKwok (the \"Debtor\"), for entry of an order, approving a settlement agreement between the Trustee and the Assignee, as more fully described in the Motion; the Court having jurisdiction to consider the Motion and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334 and Fed. R. Bankr. P. 9019; and the Court having carefully considered (i) the Motion and the Settlement; (ii) the Objections to the Motion [Main Case, Docket Nos. 1977, 1978; Adv. Proc. 23-05013; Docket Nos. 37, 40, 41]; (iii) the Supplemental Objections to the Motion [Main Case, Docket Nos. 2006, 2007; Adv. Proc. 23-05013, Docket No. 58], which include objections to the revised proposed order; (iv) the oral reservations of rights regarding the submission of a revised proposed order stated on the record during the hearing held on July 11, 2023; and (v) the arguments of the parties during the initial and continued hearings held on July 11, 2023 and July 18, 2023, it is hereby\n\n#### **ORDERED:**\n\n1. In accordance with Bankruptcy Rule 9019, because the Trustee's settlement with the Assignee does not fall \"below the lowest point in the range of reasonableness,\" *In re W.T. Grant Co.*, 699 F.2d 599, 608 (2d Cir. 1983), because \"while a court 'may consider a creditor's objection to the proposed compromise, the objection is not controlling, and will not bar approval when a review of the settlement shows it does not 'fall below the lowest point in the range of reasonableness,'\" *In re Friedberg*, 502 B.R. 8, 16 (Bankr. D. Conn. 2013) (quoting *In re SageCrest II,* LLC, Case No. 08-50754, 2010 WL 1981041, at \\*4–5 (Bankr. D. Conn. May 18, 2010) (citing *Vaughn v. Drexel Burnham Lampert Grp., Inc.* (*In re Drexel Burnham Lampert Grp., Inc.)*, 134 B.R. 499, 506 (Bankr. S.D.N.Y. 1991))), and because a \"decision to either accept or reject a compromise and settlement is within the sound discretion of the Court,\" *In re*\n\n*Friedberg*, 502 B.R. at 17 (internal citations omitted), the Motion is **GRANTED** as set forth in this Order.\n\n2. All objections to the Motion have been resolved by modifications to the original proposed order as set forth in this Order, or have been overruled, including all assertions of reservations of rights with respect to this Order.\n\n3. The Settlement Agreement, as modified by the terms of this Order, between the Trustee and the Assignee is approved pursuant to Bankruptcy Rule 9019.\n\n4. **Modification of TRO Order:** The *Order Granting in Part Emergency* Ex Parte *Motion for Temporary Restraining Order and Preliminary Injunction* [Adv. Proc. 23-05013, Docket No. 18] (the \"TRO Order\") is hereby modified to the extent it enjoins any action set forth herein.\n\n5. **Initial HCHK Funds Transfer.** Promptly following entry of this Order, the Assignee3 shall transfer the HCHK Funds to the Trustee's section 345 accounts with East West Bank (the \"Trustee Accounts\"), where such funds shall be held on an interim basis pending this Court's ruling on the alter ego and/or equitable ownership causes of action set forth in the Complaint (any such ruling by this Court, a \"Dispositive Ruling\") in the Adversary Proceeding; provided that, pending the Dispositive Ruling in the Adversary Proceeding, the Trustee may invest all or a portion of the HCHK Funds deposited in the Trustee Accounts (with such portion to be determined in the sole discretion of the Trustee) in U.S. Treasury bills (of terms to be selected by the Trustee in his sole discretion, up to maximum maturity of six months) to be purchased or acquired directly from the U.S. Treasury to be held separate and apart from other\n\n<sup>3</sup> References herein to the \"Parties,\" \"Trustee,\" and \"Assignee\" include the respective attorneys, advisors, and/or professionals of the Parties, as applicable.\n\naccounts of the Trustee and not subject to hypothecation, use, or other forms of encumbrance by the Trustee. The HCHK Funds shall constitute all the funds of the HCHK Entities within the Assignee's control, including cash deposited in accounts at ConnectOne Bancorp., Inc., in the approximate amount of \\$38,835,734.27. For the avoidance of doubt, pending the issuance of a Dispositive Ruling, the Trustee shall not be authorized to use the HCHK Funds for any purpose other than as set forth herein.\n\n#### 6. **Corporate Records:**\n\n(a) The Assignee shall immediately secure and safeguard all corporate records (including in electronic form) and other documents pertaining to the HCHK Entities in the possession of the Assignee. Within ten (10) days from the date of the entry of this Order, the Assignee shall make available to the Trustee all non-privileged corporate records (including in electronic form) and other documents pertaining to the HCHK Entities in the possession of the Assignee, except those that were at any point the property of G-Club Operation LLC (\"G-Club\"). All such corporate records and other documents shall be considered documents designated as \"confidential\" and subject to the protective order entered in this Chapter 11 Case on October 6, 2022 [Main Case Docket No. 923] (the \"Protective Order\"). Also within ten (10) days from the date of the entry of this Order, the Assignee shall make available to G-Club all corporate records (including in electronic form) and other documents pertaining to the HCHK Entities in the possession of the Assignee, which were at any point the property of G-Club. Upon receipt, G-Club shall immediately review such corporate records and other documents for privilege and responsiveness to the Trustee's Rule 2004 subpoena of G-Club and produce a privilege log and responsiveness log. G-Club may designate materials it will produce to the Trustee as \"confidential\" or \"highly confidential\" in accordance with the Protective Order.\n\n(b) On or before August 11, 2023, the Trustee shall file a brief in support of the Trustee's argument that G-Club has waived any privilege and has no right to object to responsiveness. On or before August 18, 2023, G-Club shall file any response to the Trustee's brief. The Court will determine if a hearing on the Trustee's brief and any response shall be held.\n\n7. **Assignee to Take No Position in Adversary Proceeding.** The Assignee shall take no position and file no pleadings with respect to the relief sought by the Trustee in (a) the Complaint, (b) the TRO Motion, or (c) any Dispositive Motion filed in the Adversary Proceeding, as long as such Dispositive Motion is consistent with the settlement set forth herein and that appropriate notice of the requested relief is provided. Moreover, the Assignee shall not oppose, or assist any party opposing, the relief sought in the Adversary Proceeding or any pleadings filed therein, shall not assign to anyone his rights under the Deeds of Assignment, and shall not agree to modify any such rights.\n\n8. **No Prejudice.** The entry of this Order and the occurrence of the Initial HCHK Funds Transfer shall be without prejudice to the rights of any party (other than the Assignee) to file pleadings and take positions in connection with the Adversary Proceeding, including by opposing a Dispositive Motion, subject to standing requirements; provided that, all rights of the Trustee to oppose any party, including by challenging such party's standing, shall be reserved.\n\n9. **Authorized Assignee Actions.** Following the entry of this Order and the occurrence of the Initial HCHK Funds Transfer, the Assignee shall be authorized, solely pursuant to the terms of the Settlement Agreement and for the sole purpose of implementing the Settlement Agreement, to take certain Authorized Assignee Actions. The Authorized Assignee Actions shall consist of (1) the Assignee seeking relief from the New York Court, subject to the review and prior approval of the Trustee, with respect to (a) the commencement of the Assignment\n\nProceedings; (b) the approval of the retention of the Assignee's counsel Cole Schotz P.C. and McManimon, Scotland & Baumann, LLC; (c) the approval of the retention of the Assignee's financial advisor, DLA, LLC; (d) the approval of retention of the Assignee's appraiser, A. Atkins Appraisal Corp., (e) the procedural consolidation and joint administration of the Assignment Proceedings; and (f) the approval of the Assignee's efforts to secure the HCHK Entities' funds by opening accounts with ConnectOne Bancorp, Inc. and depositing such funds across multiple accounts so that the funds in each account are within the federally-insured limit of \\$250,000; and (g) the discharge of the Assignee and the closing of the Assignment Proceedings; (2) the Assignee's termination of the IMA with G-News and withdrawal of the Application filed in the New York Court with respect to the IMA with G-News; (3) the Assignee's continued administration of the HCHK Entities pending a Dispositive Ruling, subject to the prior approval of the Trustee, including by (a) securing the Columbus Circle Offices as well as the Columbus Circle Assets; (b) notifying the landlord and/or sublandlord of the Columbus Circle Offices of the intention to vacate, when appropriate; (c) arranging for the storage and/or disposition of the Columbus Circle Assets; (d) complying with subpoenas issued by the United States Department of Justice; (e) securing the HCHK Entities' books, records, and other material stored on company devices pending a Dispositive Ruling; (f) cancelling security and utility services at the Columbus Circle Offices; and (g) addressing payroll and termination issues related to the HCHK Entities' three remaining employees and any employee benefit plans; and (4) such other actions as the Trustee and Assignee agree are reasonable and necessary to effectuate the Settlement Agreement, the preservation and transition of the HCHK Entities' assets to the Trustee, and conclusion of the Assignment Proceedings. The Trustee may advance to the Assignee a portion of the HCHK Funds from the Trustee's Accounts in connection with funding Authorized\n\nAssignee Actions, from which the Assignee may pay expenses (other than professional fees and expenses which are governed by paragraph 11 below) associated with the Authorized Assignee Actions subject to the approval of the Trustee. The Trustee shall file monthly reports in this Court, to be filed on the twenty-first day of the following month, with respect to expenses paid in connection with the Authorized Assignee Actions, and shall provide three days' advance notice with respect to any individual expense in an amount over \\$50,000.00 to the United States Trustee and the official committee of unsecured creditors in this Chapter 11 Case.\n\n10. **New York Court Orders Not Binding:** Any relief granted by the New York Court in connection with the Assignment Proceedings shall not be binding on this Court with respect to issues within this Court's exclusive jurisdiction, such as the chapter 11 estate's payment to the Assignee's professionals or the Assignee himself under the Settlement Agreement.\n\n11. **Approval of Settlement Payment:** In the event the Court issues a Dispositive Ruling in favor of the Trustee, the Trustee shall pay from the Trustee Accounts, as a settlement payment pursuant to section 363 of the Bankruptcy Code (and subject to the Trustee's review of documentation supporting the Assignee's professionals' fees), the following amounts payable to the Assignee and his professionals: (1) with respect to the Assignee, an amount of \\$550,000.00; (2) with respect to Cole Schotz P.C. (\"Cole Schotz\"), an amount equal to the reasonable fees and expenses incurred by Cole Schotz in connection with the preparation and prosecution of the Assignment Proceedings since March 22, 2023 through filing of the Motion, which amount shall be no greater than \\$400,000.00; (3) with respect to McManimon, Scotland & Baumann, LLC (\"MSB\"), an amount equal to the reasonable fees and expenses incurred by MSB, as proposed counsel to the Assignee, since April 20, 2023 through the filing of the Motion, which amount shall be no greater than \\$75,000.00; (4) with respect to A. Atkins Appraisal Corp., an amount of\n\n\\$7,800.00; (5) with respect to DLA, LLC (\"DLA\"), an amount equal to the reasonable fees and expenses incurred by DLA, as proposed financial advisor to the Assignee, since May 1, 2023 through the filing of the Motion, which amount shall be no greater than \\$155,000.00; and (6) with respect to each of Cole Schotz, MSB and DLA, an amount equal to the incremental reasonable fees and expenses incurred by each firm from and after the filing of the Motion, subject to the Trustee's approval of such fees and expenses prior to their incurrence, in connection with Authorized Assignee Actions. The official committee of unsecured creditors in this Chapter 11 Case shall have the same access to the documentation supporting the Assignee's professionals' fees, and review rights with respect to such fees, as the Trustee.\n\n12. **Modification of Bar Date Order:** In the event the Court issues a Dispositive Ruling in favor of the Trustee, the Trustee shall be authorized and directed to seek an amendment to this Court's bar date order to allow creditors (if any) of the HCHK Entities to file claims in the Debtor's chapter 11 case.\n\n13. **Debtor Release:** Only in the event of a Dispositive Ruling in favor of the Trustee, the Assignee and his professionals (each a \"Released Party\" and collectively, the \"Released Parties\") shall be deemed released and discharged by the Trustee, on behalf of the Debtor and Debtor's estate, from any and all claims, damages, remedies, causes of action, demands, rights, actions, suits, obligations, liabilities, accounts, defenses and offsets of any kind or character whatsoever, whether known or unknown, foreseen or unforeseen, existing or hereinafter arising, contingent or non-contingent, matured or unmatured, suspected or unsuspected, in tort, law, equity, or otherwise, including, but not limited to, any derivative claims of the Debtor and Debtor's estate (the \"Release\"). The entry of this Order, subject to the ultimate grant of the Dispositive Ruling, shall constitute the Bankruptcy Court's finding that the Release is: (a) in\n\nexchange for the good and valuable consideration among the parties; (b) a good faith settlement and compromise of the claims released by the Release set forth above; (c) in the best interests of the Debtor and Debtor's estate; (d) fair, equitable, and reasonable; and (e) given and made after reasonable investigation by the Trustee, on behalf of the Debtor and Debtor's estate.\n\n14. **Gatekeeper Function:** In the event the Release set forth in paragraph 13 becomes effective, all creditors and/or equity holders of the HCHK Entities shall first be required to seek approval from this Court, which approval shall be sought by motion prior to asserting any request, claim, or cause of action, including but not limited to, causes of action for contribution or indemnification, however denominated, against any Released Party in this Court (and not in any other forum). If such a motion is filed, the Court shall determine whether such request, claim, or cause of action is released pursuant to the Release set forth above.\n\n15. **Return of HCHK Funds to Assignee:** In the event of a final order against the Trustee on both the alter ego and equitable ownership claims, the Trustee shall promptly return the HCHK Funds in his control to the Assignee.\n\n16. **Approval of Notice of Order:** The Court hereby approves the form of the Settlement Order Notice, attached as **Exhibit A** hereto, to be served on the Assignment Proceedings Notice Parties as set forth in the Settlement Order Notice.\n\n17. This Order shall be effective and enforceable immediately upon entry pursuant to Bankruptcy Rule 6004(h).\n\n18. This Court shall retain jurisdiction to hear and determine all matters arising from or related to this Order.\n\nDated at Bridgeport, Connecticut this 28th day of July, 2023.\n\n![](_page_8_Picture_8.jpeg)\n\nCase 22-50073 Doc 2038 Filed 07/28/23 Entered 07/28/23 12:34:36 Page 10 of 12\n\n## **EXHIBIT A**\n\n**Settlement Order Notice**\n\n| COUNTY OF NEW YORK                                                                                                                                      | SUPREME COURT OF THE STATE OF NEW YORK                                   |                  |                       |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|------------------|-----------------------|\n| -----------------------------------------------------------------------x<br>In the Matter of the General Assignment for the<br>Benefit of Creditors of: |                                                                          | :<br>:           |                       |\n| HCHK TECHNOLOGIES, INC.,                                                                                                                                |                                                                          | :<br>:<br>:      | Index No. 510008/2023 |\n|                                                                                                                                                         | Assignor,                                                                | :<br>:           |                       |\n| - to -                                                                                                                                                  |                                                                          | :<br>:           |                       |\n| BRIAN HOFMEISTER,                                                                                                                                       | Assignee.                                                                | :<br>:<br>:<br>: |                       |\n|                                                                                                                                                         | -----------------------------------------------------------------------x |                  |                       |\n\n### **NOTICE OF ENTRY OF ORDER BY BANKRUPTCY COURT APRPOVING ASSIGNEE'S SETTLEMENT WITH CHAPTER 11 TRUSTEE**\n\nPLEASE TAKE NOTICE that on June 8, 2023, Luc A. Despins (the \"**Chapter 11 Trustee**\"), in his capacity as the chapter 11 trustee appointed in the chapter 11 bankruptcy case of Ho Wan Kwok (\"**Kwok**\") pending in the United States Bankruptcy Court for the District of Connecticut (the \"**Bankruptcy Court**\") under Case No. 22-50073 (JAM) (the \"**Chapter 11 Case**\"), filed an adversary complaint (the \"**Complaint**\") in the Chapter 11 Case, under Adversary Proceeding No. 23-05013 (the \"**Adversary Proceeding**\"), against, among other defendants, HCHK Technologies, Inc. (\"**HCHK Technologies**\"), HCHK Property Management, Inc. (\"**HCHK Property**\"), Lexington Property and Staffing, Inc. (\"**Lexington Property**,\" and together with HCHK Technologies and HCHK Property, the \"**Assignors**\"), and Brian Hofmeister, in his capacity as assignee for the benefit of creditors of the Assignors (the \"**Assignee**\"), seeking declaratory judgment that the Assignors are alter egos of, or such entities and/or their assets are equitably owned by, Kwok and, in addition, seeking an injunction against any commencement or continuation of the Assignors' assignment for the benefit of creditor proceedings (the \"**Assignment Proceedings**\");\n\nPLEAST TAKE FURTHER NOTICE that on June 8, 2023, the Chapter 11 Trustee also filed an emergency *ex parte* motion seeking a temporary restraining order (the \"**TRO Motion**\"). On June 12, 2023, the Bankruptcy Court issued a temporary restraining order (the \"**TRO**\") which, *inter alia*, temporarily restrains and enjoins the Assignee from commencing or continuing the Assignment Proceedings (or any other judicial, administrative, or other actions or proceedings with respect to the Assignors and/or their assets);\n\nPLEASE TAKE FURTHER NOTICE that, following extensive good faith negotiations and discussions, the Assignee and the Chapter 11 Trustee have reached a settlement agreement pursuant to Fed. R. Bankr. P. 9019 (the \"**Settlement Agreement**\") regarding the TRO and Adversary Proceeding, the terms of which are set forth in the Chapter 11 Trustee's motion\n\nseeking the Bankruptcy Court's approval of the Settlement Agreement (the \"**Settlement Approval Motion**\"), which was filed in the Adversary Proceeding on June , 2023;\n\nPLEASE TAKE FURTHER NOTICE that, following hearings held in the Bankruptcy Court, on July 11, 2023 and July 18, 2023, the Bankruptcy Court entered an Order (the \"**Settlement Order**\"), a copy of which is attached hereto, granting the Settlement Approval Motion and approving the Settlement Agreement.\n\nDated: New York, New York June \\_\\_, 2023\n\nCOLE SCHOTZ P.C.\n\nBy: */s/ DRAFT*\n\nWarren A. Usatine Ryan T. Jareck Nolan E. Shanahan 1325 Avenue of the Americas 19th Floor New York, NY 10019 (212) 752-8000\n\n*Proposed Counsel to Brian Hofmeister, Assignee*\n\nTO:\n\nThis notice is being served upon all parties in interest in the Assignment Proceedings, including, but not limited, to the assignors and all creditors, secured, general or otherwise, of the assigned estates by first class mail to each party's last known address, where available, or by email if a party has affirmatively consented to service by email.\n\nOn or before August 18, 2023, the Assignee shall file in the Chapter 11 Bankruptcy Case, a certificate of service demonstrating compliance with the service provision of this Notice.","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT（美国康涅狄格区破产法院）\n\n案由：\nHO WAN KWOK（郭文贵）等，\n债务人。1\n第 11 章\n案号：22-50073 (JAM)\n（合并审理）\n关于：ECF No. 1936\n\nLUC A. DESPINS（卢克·A·德斯平斯），作为 HO WAN KWOK（郭文贵）破产财产的第 11 章受托人，\n原告，\n诉\n对抗诉讼案号：23-05013 (JAM)\n关于：ECF No. 25\nHCHK TECHNOLOGIES, INC.、HCHK PROPERTY MANAGEMENT, INC.、LEXINGTON PROPERTY AND STAFFING, INC.、HOLY CITY HONG KONG VENTURES, LTD.、ANTHONY DIBATTISTA（安东尼·迪巴蒂斯塔）、YVETTE WANG（王雁平）以及 BRIAN W. HOFMEISTER（布赖恩·W·霍夫迈斯特，为债权人利益之受让人），\n被告。\n\n依据《破产程序规则》第 9019 条批准第 11 章受托人与 HCHK 实体在纽约州法院转让程序下的受让人之间和解协议的裁定\n\n鉴于 Luc A. Despins（卢克·A·德斯平斯）以在上述 Ho Wan Kwok（郭文贵）（“债务人”）的第 11 章案件（“第 11 章案件”）中被任命的第 11 章受托人（“受托人”）身份提出动议2，请求作出裁定，批准受托人与受让人之间的和解协议，具体详见动议所述；本法院根据 28 U.S.C. §§ 157 及 1334 以及 Fed. R. Bankr. P. 9019 对审理该动议及其所请求的救济具有管辖权；且本法院已审慎审议 (i) 该动议及该和解协议；(ii) 对该动议的异议 [主案卷号：1977、1978；对抗诉讼案号：23-05013；卷号：37、40、41]；(iii) 对该动议的补充异议 [主案卷号：2006、2007；对抗诉讼案号：23-05013，卷号：58]，其中包括对修订后的拟定裁定的异议；(iv) 在 2023年7月11日 举行的听证会上记录在案的关于提交修订后拟定裁定的口头权利保留；以及 (v) 各方在 2023年7月11日 和 2023年7月18日 举行的首次及续行听证会上的辩论主张，现特此\n裁定如下：\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Guo Wengui、Miles Guo、Miles Kwok 以及其他诸多化名）（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（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 转交 Luc A. Despins（作为 Ho Wan Kwok 破产财产的受托人）（仅用于通知和通信目的）。\n\n2 [主案，卷宗号 1936；对抗诉讼 23-05013，卷宗号 25。] 本裁定中使用但未予定义的大写术语具有动议中所规定的含义。\n\n1. 根据《破产程序规则》第 9019 条，鉴于受托人与受让人的和解并未跌入“合理范围的最低点以下”（In re W.T. Grant Co., 699 F.2d 599, 608 (2d Cir. 1983)）；鉴于“尽管法院‘可以考虑债权人对拟定妥协方案的异议，但该异议不具控制力，且在对和解协议的审查表明其未‘跌入合理范围的最低点以下’时，异议不会阻碍批准’”（In re Friedberg, 502 B.R. 8, 16 (Bankr. D. Conn. 2013) (引用 In re SageCrest II, LLC, Case No. 08-50754, 2010 WL 1981041, at *4–5 (Bankr. D. Conn. May 18, 2010) (引用 Vaughn v. Drexel Burnham Lampert Grp., Inc. (In re Drexel Burnham Lampert Grp., Inc.), 134 B.R. 499, 506 (Bankr. S.D.N.Y. 1991)))）；且鉴于“接受或拒绝妥协与和解的决定属于法院的自由裁量权范围”（In re Friedberg, 502 B.R. at 17（引用内部文献省略）），特按照本裁定之规定准予（GRANTED）该动议。\n\n2. 对该动议的所有异议均已通过本裁定中对原始拟定裁定的修改予以解决，或已被驳回，包括针对本裁定主张的所有权利保留。\n\n3. 受托人与受让人之间根据本裁定条款修改后的和解协议，依据《破产程序规则》第 9019 条予以批准。\n\n4. 修改临时限制令：在限制本裁定所载任何行动的范围内，特此对《部分准予紧急单方申请临时限制令及初步禁令动议的裁定》[对抗诉讼 23-05013，卷宗号 18]（“临时限制令”）予以修改。\n\n5. 初始 HCHK 资金转移。在作出本裁定后，受让人3 应立即将 HCHK 资金转移至受托人在 East West Bank（华美银行）开设的第 345 条账户（“受托人账户”），在该对抗诉讼中本法院就起诉状中阐明的另我（alter ego）和/或衡平所有权诉由作出裁决（本法院作出的任何此类裁决统称“终局性裁决”）之前，该等资金应以临时形式存放于该账户中；但前提是，在对抗诉讼作出终局性裁决之前，受托人可将存入受托人账户的全部或部分 HCHK 资金（具体比例由受托人全权决定）投资于直接从美国财政部购买或获取的美国国库券（期限由受托人全权选择，最长到期期限为六个月），且须独立于受托人的其他账户单独存放，不受受托人的质押、使用或其他形式的权利负担限制。\n\n3 本文中所提及的“各方”、“受托人”和“受让人”酌情包括各方各自的律师、顾问和/或专业人士。\n\nHCHK 资金应由受让人控制下的 HCHK 实体的全部资金组成，包括存放在 ConnectOne Bancorp., Inc. 账户中的约 38,835,734.27 美元现金。为免生疑义，在作出终局性裁决之前，除本文规定之外，受托人无权将 HCHK 资金用于任何其他目的。\n\n6. 公司记录：\n\n(a) 受让人应立即妥善保管并保全受让人占有的与 HCHK 实体相关的所有公司记录（包括电子形式）及其他文件。自作出本裁定之日起十（10）日内，受让人应向受托人提供受让人占有的与 HCHK 实体相关的所有非特权公司记录（包括电子形式）及其他文件，但在任何时期属于 G-Club Operation LLC（“G-Club”）财产的除外。所有此类公司记录及其他文件均应被视为标有“机密”字样的文件，并受本第 11 章案件于 2022年10月6日 作出的保护令 [主案卷宗号 923]（“保护令”）的约束。同样在自作出本裁定之日起十（10）日内，受让人应向 G-Club 提供受让人占有的与 HCHK 实体相关的、在任何时期属于 G-Club 财产的所有公司记录（包括电子形式）及其他文件。收到后，G-Club 应立即审查该等公司记录及其他文件是否存在特权以及是否响应受托人针对 G-Club 发出的第 2004 条传票，并出具特权清单及响应清单。G-Club 可根据保护令将其向受托人提供的材料标为“机密”或“高度机密”。\n\n(b) 在 2023年8月11日 或之前，受托人应提交一份辩护状，支持受托人关于 G-Club 已放弃任何特权且无权对响应性提出异议的主张。在 2023年8月18日 或之前，G-Club 应就受托人的辩护状提交任何答辩。法院将决定是否就受托人的辩护状及任何答辩举行听证会。\n\n7. 受让人在对抗诉讼中不持立场。只要终局性动议与本文所载的和解相符且已就所请求的救济提供了适当通知，受让人不得就受托人在 (a) 起诉状、(b) 临时限制令动议、或 (c) 在对抗诉讼中提交的任何终局性动议中所寻求的救济表明任何立场或提交任何诉答文书。此外，受让人不得反对、亦不得协助任何主体反对对抗诉讼中所寻求的救济或在其中提交的任何诉答文书，不得向任何人转让其在转让契约下的权利，亦不得同意修改任何此类权利。\n\n8. 不得损害权利。本裁定的作出及初始 HCHK 资金转移的发生，不得损害任何当事方（受让人除外）在符合诉讼资格要求的前提下，就对抗诉讼提交诉答文书和表明立场的权利（包括反对终局性动议）；但受托人反对任何当事方（包括质疑该当事方诉讼资格）的所有权利应予以保留。\n\n9. 授权受让人行动。在作出本裁定及发生初始 HCHK 资金转移后，受让人应被授权仅根据和解协议的条款且仅为履行和解协议之目的，采取若干授权受让人行动。授权受让人行动应包括：(1) 受让人在受托人审查并事先批准的前提下，向纽约州法院就以下事项寻求救济：(a) 启动转让程序；(b) 批准聘请受让人的律师 Cole Schotz P.C. 以及 McManimon, Scotland & Baumann, LLC；(c) 批准聘请受让人的财务顾问 DLA, LLC；(d) 批准聘请受让人的评估师 A. Atkins Appraisal Corp.；(e) 转让程序的程序性合并与合并审理；以及 (f) 批准受让人通过在 ConnectOne Bancorp, Inc. 开设账户并将该等资金存入多个账户以确保每个账户内的资金均在 250,000 美元的联邦保险限额内来保全 HCHK 实体资金的努力；以及 (g) 解除受让人的责任并终结转让程序；(2) 受让人终止与 G-News 的投资管理协议（IMA），并撤回在纽约州法院提交的关于与 G-News 的投资管理协议的申请；(3) 在终局性裁决作出前，受让人在受托人事先批准的前提下继续管理 HCHK 实体，包括通过 (a) 控制并保全哥伦布圆环办公室（Columbus Circle Offices）以及哥伦布圆环资产（Columbus Circle Assets）；(b) 在适当的时候通知哥伦布圆环办公室的房东和/或转租房东腾退意向；(c) 安排哥伦布圆环资产的仓储和/或处置；(d) 遵守美国司法部发出的传票；(e) 在终局性裁决作出前，保全 HCHK 实体的账簿、记录以及存储在公司设备上的其他材料；(f) 取消哥伦布圆环办公室的安保和公用事业服务；以及 (g) 处理与 HCHK 实体剩余的三名雇员及任何员工福利计划相关的薪资和离职解雇事宜；以及 (4) 受托人与受让人一致认为是合理且必要的其他行动，以落实和解协议、保全 HCHK 实体的资产并将其移交予受托人，以及终结转让程序。受托人可从受托人账户中向受让人垫付部分 HCHK 资金，用于资助授权\n\n受让人诉讼，受让人可从中支付与经授权受让人诉讼相关的费用（受下文第 11 段管辖的专业人员费用及开支除外），但须经受托人批准。受托人应于次月二十一日向本法院提交月度报告，说明与经授权受让人诉讼相关的已付费用，并应就金额超过 $50,000.00 的任何单笔费用提前三天向 United States Trustee（美国联邦受托人）以及本第 11 章案件中的无担保债权人官方委员会发出通知。\n\n10. 纽约州法院命令不具约束力：New York Court（纽约州法院）就转让程序所给予的任何救济，在本法院专属管辖范围内的事项（例如第 11 章破产财产根据《和解协议》向受让人的专业人员或受让人本人支付款项）上，对本法院不具有约束力。\n\n11. 批准和解款项：若法院作出有利于受托人的决定性裁决，受托人应根据《破产法典》第 363 条作为和解款项从受托人账户中支付（且须经受托人审查支持受让人专业人员费用的文件证明）以下应付给受让人及其专业人员的金额：(1) 关于受让人，金额为 $550,000.00；(2) 关于 Cole Schotz P.C.（“Cole Schotz”），金额等于 Cole Schotz 自 2023 年 3 月 22 日起至提交动议之日止在准备和进行转让程序中所产生的合理费用及开支，该金额不得超过 $400,000.00；(3) 关于 McManimon, Scotland & Baumann, LLC（“MSB”），金额等于 MSB 作为受让人的拟任律师自 2023 年 4 月 20 日起至提交动议之日止所产生的合理费用及开支，该金额不得超过 $75,000.00；(4) 关于 A. Atkins Appraisal Corp.，金额为 $7,800.00；(5) 关于 DLA, LLC（“DLA”），金额等于 DLA 作为受让人的拟任财务顾问自 2023 年 5 月 1 日起至提交动议之日止所产生的合理费用及开支，该金额不得超过 $155,000.00；以及 (6) 关于 Cole Schotz、MSB 和 DLA 各方，金额等于各机构自提交动议之日及其后就经授权受让人诉讼所产生的额外合理费用及开支，但该等费用及开支在发生前须经受托人批准。本第 11 章案件中的无担保债权人官方委员会应享有与受托人相同的查阅支持受让人专业人员费用的文件证明之权利，以及对该等费用的审查权利。\n\n12. 修改债权申报截止期命令：若法院作出有利于受托人的决定性裁决，受托人应获授权并被指示寻求修改本法院的债权申报截止期命令，以允许 HCHK 实体的债权人（如有）在债务人的第 11 章案件中申报债权。\n\n13. 债务人免除：仅在作出有利于受托人的决定性裁决的情况下，受让人及其专业人员（各自称为“被免责方”，合称为“被免责各方”）应被视为由受托人代表债务人及债务人破产财产免除并解除任何及所有索赔、损害赔偿、救济、诉由、请求、权利、行动、诉讼、义务、责任、账目、抗辩及抵销，无论其性质或特征为何，无论已知或未知、预见或未预见、现存或嗣后产生、附条件或不附条件、到期或未到期、涉嫌或未涉嫌，无论属于侵权、法律、衡平法或其他层面，包括但不限于债务人及债务人破产财产的任何衍生性索赔（以下简称“免责”）。本命令的录入（以最终作出决定性裁决为前提）即构成破产法院认定该免责：(a) 乃作为各方之间良好且有价值之对价的交换；(b) 属于对上述免责条款所免除之索赔的善意和解与妥协；(c) 符合债务人及债务人破产财产的最佳利益；(d) 公平、公正且合理；以及 (e) 由受托人代表债务人及债务人破产财产经合理调查后给予并作出。\n\n14. 把关职能：若第 13 段规定的免责生效，HCHK 实体的所有债权人和/或股权持有人在本法院（且不得在任何其他法院或裁判机构）对任何被免责方主张任何请求、索赔或诉由（包括但不限于无论何种命名的分摊或补偿诉由）之前，均应首先被要求通过动议向本法院寻求批准。若提交了该等动议，法院应裁定该等请求、索赔或诉由是否已根据上述免责条款予以免除。\n\n15. 向受让人返还 HCHK 资金：若法院就人格混同诉求及衡平法所有权诉求均作出不利于受托人的终审判决/终审命令，受托人应立即将其控制下的 HCHK 资金返还给受让人。\n\n16. 批准命令通知书：法院特此批准随附于本文件作为附件 A 的《和解命令通知书》的格式，该通知书应按《和解命令通知书》中的规定送达转让程序通知各方。\n\n17. 本命令应根据《联邦破产诉讼规则》第 6004(h) 条自录入时起立即生效并具有可执行力。\n\n18. 本法院应保留管辖权，以审理和裁决因本命令引起的或与本命令相关的所有事项。\n\n签署于康涅狄格州布里奇波特，日期：2023 年 7 月 28 日。\n\nCase 22-50073 Doc 2038 Filed 07/28/23 Entered 07/28/23 12:34:36 Page 10 of 12\n\n附件 A\n\n和解命令通知书\n\n纽约州最高法院 纽约县\n\n关于为以下主体债权人利益进行总转让之事项：\nHCHK TECHNOLOGIES, INC.，转让人，\n诉\nBRIAN HOFMEISTER，受让人。\n索引编号：510008/2023\n\n关于破产法院批准受让人与第 11 章受托人和解之命令录入的通知\n\n请注意，2023 年 6 月 8 日，Luc A. Despins（“第 11 章受托人”）以其在 United States Bankruptcy Court for the District of Connecticut（康涅狄格区美国破产法院，简称“破产法院”）审理的案件编号为 22-50073 (JAM) 的 Ho Wan Kwok（郭文贵，“郭”）第 11 章破产案件（“第 11 章案件”）中被任命的第 11 章受托人身份，在第 11 章案件中针对（除其他被告外的）HCHK Technologies, Inc.（“HCHK Technologies”）、HCHK Property Management, Inc.（“HCHK Property”）、Lexington Property and Staffing, Inc.（“Lexington Property”，与 HCHK Technologies 及 HCHK Property 合称为“转让人”），以及 Brian Hofmeister（以其作为转让人债权人利益受让人的身份，“受让人”）提起对抗制申诉（“申诉”），对抗制诉讼案号为 23-05013（“对抗制诉讼”），请求确认判决认定转让人系郭的人格混同体，或该等实体和/或其资产由郭享有衡平法上的所有权，此外还请求发出禁令，禁止启动或继续进行转让人的债权人利益转让程序（“转让程序”）；\n\n请进一步注意，2023 年 6 月 8 日，第 11 章受托人还提交了一项寻求临时限制令的紧急单方动议（“临时限制令动议”）。2023 年 6 月 12 日，破产法院发出临时限制令（“临时限制令”），除其他事项外，该命令暂时限制并禁止受让人启动或继续进行转让程序（或就转让人和/或其资产进行任何其他司法、行政或其他诉讼或程序）；\n\n请进一步注意，经过广泛的善意谈判和讨论，受让人与第 11 章受托人根据 Fed. R. Bankr. P. 9019 就临时限制令及对抗制诉讼达成了和解协议（“和解协议”），其条款载于第 11 章受托人于 2023 年 6 月 __ 日在对抗制诉讼中提交的请求破产法院批准和解协议的动议（“和解批准动议”）；\n\n请进一步注意，在破产法院于 2023 年 7 月 11 日及 2023 年 7 月 18 日举行听证会后，破产法院录入了一项命令（“和解命令”，其副本随附于本通知），准予和解批准动议并批准了和解协议。\n\n日期：纽约州纽约市 2023 年 6 月 __ 日\n\nCOLE SCHOTZ P.C.\n\n签署人：/s/ 草案\n\nWarren A. Usatine\nRyan T. Jareck\nNolan E. Shanahan\n1325 Avenue of the Americas\n19th Floor\nNew York, NY 10019\n(212) 752-8000\n\n受让人 Brian Hofmeister 之拟任律师\n\n致：\n\n本通知正通过普通平信邮寄至各方的最后已知地址（如有），或在当事方明确同意通过电子邮件送达的情况下通过电子邮件，送达给转让程序中的所有利害关系方，包括但不限于转让人以及被转让财产的所有担保、一般或其他债权人。\n\n在 2023 年 8 月 18 日或之前，受让人应在第 11 章破产案件中提交一份送达证明书，证明其已遵守本通知的送达规定。","key_entities":["HCHK","Je","Kwok","Ho Wan Kwok","Despins","Guo","Miles Guo","Paul Hastings"],"ecf_references":[{"doc_number":25,"court":"CTB"},{"doc_number":1936,"court":"CTB"}],"word_count":3432,"status":"published","published_at":"2023-07-28 00:00:00","created_at":"2023-07-28","updated_at":"2026-08-23 13:51:05"}