{"id":"court_ctb_2313_0","court":"CTB","case_no":"22-50073","doc_number":2313,"sub_number":0,"doc_type":"ORDER","filed_date":"2023-11-08","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":"签署修缮协议动议 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #2313（2023-11-08立案）。债务人 Genever Holdings LLC 依据《美国破产法典》第 363(b) 条提请法院授权其与 The Sherry-Netherland, Inc. 签署并履行标准修缮协议，以便对 2023 年 3 月 15 日遭受火灾损坏的雪梨荷兰酒店公寓开展修复工程，使其恢复具备可租售的市场化状态以实现破产财产价值最大化。","summary_en":"Motion to Enter Alteration Agreement —— In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #2313 (filed Nov 08, 2023). Debtor Genever Holdings LLC moved under Bankruptcy Code section 363(b) for court authorization to execute and perform a standard alteration agreement with The Sherry-Netherland, Inc. to carry out remediation and repair work on the Sherry Netherland apartment damaged by a fire on March 15, 2023, in order to restore it to marketable condition for sale or rent.","body_en":"#### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|---------------------------------------------------------|-------------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| HO WAN KWOK, et al.,1 | :
: | Case No. 22-50073 (JAM) |\n| Debtors. | :
:
: | (Jointly Administered) |\n| ------------------------------------------------------x | | |\n\n# **GENEVER HOLDINGS LLC'S MOTION, PURSUANT TO BANKRUPTCY CODE SECTION 363(b), FOR ENTRY OF ORDER AUTHORIZING GENEVER HOLDINGS LLC TO ENTER INTO, AND PERFORM UNDER, ALTERATION AGREEMENT WITH SHERRY NETHERLAND, INC. TO REMEDIATE AREAS OF SHERRY NETHERLAND APARTMENT AFFECTED BY MARCH 15, 2023 FIRE**\n\n Genever Holdings LLC (the \"Debtor\" or \"Genever US\"), by and through its undersigned counsel, hereby files this motion (the \"Motion\") seeking entry of an order, substantially in the form attached hereto as **Exhibit 1** (the \"Proposed Order\"), pursuant to section 363(b) of title 11 of the United States Code (the \"Bankruptcy Code\"), authorizing Genever US to enter into, and perform under, the alteration agreement (together with all exhibits and riders thereto, including the addendum, the \"Alteration Agreement\") with The Sherry-Netherland, Inc. (\"Sherry Netherland\"), substantially in the form attached hereto as **Exhibit 2**. In support of this Motion, Genever US respectfully states as follows:\n\n1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and 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#### **PRELIMINARY STATEMENT2**\n\n1. Genever US's primary goal in its chapter 11 case is to rent and/or sell the Sherry Netherland Apartment in a value-maximizing transaction. As this Court is aware, that goal has been delayed due to a March 15, 2023 fire (the \"March 15 Fire\") that occurred at the Sherry Netherland Apartment, resulting in significant damage to a portion of the apartment and leaving the apartment essentially unmarketable. In order to restore the Sherry Netherland Apartment to a marketable condition, the Court authorized, by order dated on September 19, 2023 [Docket No. 2213] (the \"Remediation Order\"), Genever US to remediate the area of the Sherry Netherland Apartment affected by the March 15 Fire.\n\n2. To proceed with the Remediation Project, Genever US must comply with Sherry Netherland's rules for renovating apartments located in the building. The Sherry Netherland building is a landmark building that functions as a co-operative apartment house and a luxury hotel, and is subject to a high level of regulation from various federal, state and local agencies. For this reason, Sherry Netherland has put in place a number policies and procedures that *all* shareholders of the co-operative must follow when making alterations, so as to comply with applicable regulations while protecting the safety, comfort, and privacy of all of its occupants. This requires that all shareholders seeking to alter their apartment, including remediation or renovation projects, enter into a standard form of alteration agreement with Sherry Netherland. If Genever US does not enter into the Alteration Agreement, it cannot remediate the damage from the March 15 Fire, with the practical effect that it would not be able to sell/rent the Sherry Netherland Apartment for the benefit of the estate. Thus, as previewed in the Remediation\n\n2 Capitalized terms not defined in the Preliminary Statement shall have the meaning ascribed to them later in the Motion.\n\nMotion, Genever US must enter into the Alteration Agreement with Sherry Netherland before it can commence the Remediation Project.\n\n3. To be clear, the Alteration Agreement is the *standard* agreement that Sherry Netherland requires all shareholders to sign before they can renovate their apartments, and the Sherry Netherland will not allow any modifications. As detailed below, the Alteration Agreement implements various procedures that will apply to the Remediation Project, including, among other things, that: (a) prior to commencing work, Genever US submit to Sherry Netherland necessary documentation, including but not limited to a description and specification of the work to be done, detailed plans, proof of licensing, proof of insurance, and the execution of specific riders addressing certain specific circumstances (such as asbestos removal and leadbased paint hazards); (b) Sherry Netherland may designate an architect to review plans and inspect alterations to the extent necessary to determine that the work is proceeding in conformity with their policies; (c) prior to commencing work, all appropriate permits and approvals have been obtained from the agencies having jurisdiction over the project; and (d) the Remediation Project comply with regulations regarding manner and materials for the work, including days and hours of work, the protection of hallways and heating, electrical and plumbing systems, and quality of materials. Genever US submits that the procedures in the Alteration Agreement are necessary and reasonable under the circumstances such as these where Sherry Netherland must comply with strict regulations and protect the residents in the building.\n\n4. In addition, the Alteration Agreement requires Genever US to pay a refundable \\$50,000 security deposit (which represents a reduction of \\$50,000 from the standard \\$100,000 security deposit).3 This security deposit will be returned upon completion of the Remediation\n\n3 The Alteration Agreement would also require an additional security deposit of \\$15,000 if the proposed work requires an amended Certificate of Occupancy. However, no such amended Certificate of Occupancy will be\n\nProject so long as Genever US complies with all of the provisions in the Alteration Agreement. In addition, the Alteration Agreement requires a management processing fee in the amount of \\$1,500 to cover the increase in administrative costs during the work. Upon completion of the Remediation Project, if Genever US fails to submit the necessary close-out documents, it would additionally have to pay a fee of \\$2,000 for each calendar month or portion thereof that such close-out documents have not been submitted. To be clear, Genever US intends to comply with all its obligations under the Alteration Agreement.\n\n5. Genever US also wishes to highlight that, as detailed in the Addendum to Apartment Alteration Agreement (the \"Addendum\"), Sherry Netherland has agreed to waive certain of the fees that would otherwise be required under its standard form of alteration agreement. In particular, the Sherry Netherland has agreed to waive:\n\n- a. The architect fee (in the amount of approximately \\$1,500 to \\$3,500);4\n- b. Any fees related to an extension of the Completion Date (in the amount of \\$500 or \\$1,000 per day);5 and\n- c. The monthly use-of-facilities fees (in the amount of \\$2,212.50 per month).6\n\nrequired in connection with the Remediation Project, and therefore Genever US will not be required to make this additional deposit.\n\n4 Under Section 3 of the standard form of alteration agreement, the Sherry Netherland would be entitled to charge an architect fee, typically in the range of \\$1,500 to \\$3,500, depending on the scope of the alterations. Given that the architect retained by Genever US is the architect usually engaged by the Sherry Netherland in such cases, no such fee will be required here.\n\n5 Section 14(a) of the standard form alteration agreement would require the shareholder to pay, in the event the Completion Date is extended, a \\$500 fee per day for each of the first 15 additional working days and a \\$1,000 fee per day for the 16th working day and each day thereafter that the Completion Date is extended.\n\n6 Section 14(b) of the standard form of alteration agreement would require the shareholder to pay a use-offacilities fee equal to \\$.75 multiplied by the number of shares allotted to Sherry Netherland Apartment for each calendar month, or portion thereof. In the case of Genever US (which owns 2,950 shares in the apartment), the waiver of this fee translates into a monthly savings of \\$2,212.50, or approximately \\$13,000 (assuming the Remediation Project will take six (6) month to complete).\n\n6. In addition, the Alteration Agreement requires Genever US to indemnify Sherry Netherland and its personnel under certain circumstances specified in the Alteration Agreement related to the Remediation Project, except nothing in the Alteration Agreement shall indemnify Sherry Netherland against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of Sherry Netherland and personnel. In any case, in accordance with the Proposed Order, all requests for indemnification during the pendency of Genever US's chapter 11 case will be brought before this Court and will be subject to the approval of this Court. In this regard, Genever US notes that the Proposed Order contains the same provisions as this Court had previously approved in connection with the retention of Epiq Corporate Restructuring, LLC and Kroll, LLC.\n\n7. Genever US submits that, for these reasons and the reasons explained below, the Court should approve Genever US's entry into, and performance under, the Alteration Agreement.\n\n#### **JURISDICTION, VENUE, AND STATUTORY BASIS**\n\n8. The United States Bankruptcy Court for the District of Connecticut (the \"Court\") has jurisdiction over this matter pursuant to 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut. This is a core proceeding within the meaning of 28 U.S.C. § 157(b).\n\n9. Venue in this District is proper pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n10. The statutory base for the relief requested in this Motion is section 363 of the Bankruptcy Code.\n\n#### **BACKGROUND**\n\n#### **I. Chapter 11 Cases**\n\n11. On October 12, 2020, Genever US filed its chapter 11 petition in the United States Bankruptcy Court for the Southern District of New York (the \"SDNY Bankruptcy Court\") thereby commencing case number 20-12411 (JLG) (the \"SDNY Bankruptcy Case\"). The 18th floor apartment and auxiliary units (collectively, the \"Sherry Netherland Apartment\") in the Sherry Netherland Hotel located at 781 Fifth Avenue, New York, New York 10022 (the \"Sherry Netherland Hotel\"), are Genever US's principal assets (in addition to the related security deposit). Sherry Netherland is a New York corporation that owns the Sherry Netherland Hotel.\n\n12. On February 15, 2022, Ho Wan Kwok (the \"Individual Debtor\") filed with the Court a voluntary petition for relief under chapter 11 of the Bankruptcy Court.\n\n13. On March 21, 2022, the United States Trustee appointed the Official Committee of Unsecured Creditors (the \"Committee\") in the Individual Debtor's chapter 11 case. No examiner has been appointed in the Individual Debtor's chapter 11 case.\n\n14. On June 15, 2022, the Court entered a memorandum of decision and order [Docket No. 465] (the \"Trustee Order\") directing the United States Trustee to appoint a chapter 11 trustee in the Individual Debtor's chapter 11 case. Pursuant to the Trustee Order, the United States Trustee selected Luc A. Despins (the \"Trustee\") as the trustee. On July 8, 2022, the Court entered an order [Docket No. 523] granting the appointment of the Trustee as the chapter 11 trustee in the Individual Debtor's chapter 11 case. On August 10, 2022, the Court entered an order [Docket No. 717] finding that the Trustee holds all of the Individual Debtor's economic and governance rights with respect to Genever Holdings Corporation (\"Genever BVI\"), which, in turn wholly owns Genever US.\n\n15. On September 30, 2022, the Trustee and Genever US filed a joint motion [Docket No. 211 in Case No. 22-50592] seeking an order from the SDNY Bankruptcy Court transferring the SDNY Bankruptcy Case to the Court. On November 3, 2022, the SDNY Bankruptcy Court entered an order [Docket No. 225 in Case No. 22-50592] granting the motion and the SDNY Bankruptcy Case was transferred to this Court.\n\n16. On October 11, 2022, Genever BVI filed its voluntary chapter 11 petition in this Court.\n\n17. By order dated November 21, 2022 [Docket No. 1141], the Court approved the joint administration of the chapter 11 cases of Genever US, Genever BVI, and the Individual Debtor.\n\n#### **II. Sherry Netherland Apartment Remediation Project in Preparation for Sale**\n\n18. On March 6, 2015, Genever US executed a proprietary lease (the \"Proprietary Lease\") with Sherry Netherland, a co-operative housing corporation through which Genever US owns a certain number of shares that are assigned to the Sherry Netherland Apartment leased by Genever US. Pursuant to Section 3.16 of the Proprietary Lease, Genever US acknowledged Sherry Netherland's consent was required to make alterations to the Sherry Netherland Apartment.7\n\n19. Prior to the transfer of the SDNY Bankruptcy Case to the Court, the SDNY Bankruptcy Court (a) approved a settlement agreement establishing the framework for the sale of\n\n7 Genever US has obviously considered the fact that this obligation is imposed under a prepetition lease, and, accordingly, Genever US would argue that it does not have to comply with such obligations under a prepetition agreement. However, given the importance of the Remediation Project, given Sherry Netherland's cooperative posture to date, and given that Sherry Netherland would likely oppose and litigate any attempt by Genever US not to comply with the terms of the Proprietary Lease, Genever US has decided, for purposes of this Motion, not to press such argument. However, this should not be construed as an acknowledgement that Genever US must comply with the provisions of the Proprietary Lease or any other prepetition contract or lease. Genever US reserves all rights in this regard.\n\nthe Sherry Netherland Apartment [Docket No. 141 in Case No. 22-50592], (b) approved Genever US's hiring of Melanie Cyganowski as sales offer [Docket No. 142 in Case No. 22-50592], and (c) approved the retention of Sotheby's International Realty (\"Sotheby\") as the real estate broker for the Sherry Netherland Apartment. [Docket No. 168 in Case No. 22-50592].\n\n20. On December 12, 2023, following the transfer of the SDNY Bankruptcy Case, the Court, upon motion of the Trustee, Genever US, and Genever BVI, the Court entered an order [Docket No. 1425] extending the sale process for the Sherry Netherland Apartment and the retention of Sotheby as broker. By consent of the parties, the sale process has been extended through April 30, 2024.\n\n21. On March 15, 2023, the Individual Debtor was arrested by federal law enforcement in the Sherry Netherland Apartment. Later that same day, the March 15 Fire broke out in the Sherry Netherland Apartment and caused significant damage to an area of approximately 2,000 square feet of the apartment (the \"Affected Area\") and the property therein.\n\n22. On August 23, 2023, Genever US filed a motion [Docket No. 2113] (the \"Remediation Motion\") seeking authorization to obtain services necessary to remediate the damage to the Affected Area of the Sherry Netherland Apartment (the \"Remediation Project\"). The Remediation Motion sought authorization for Genever US to (a) enter into the Architect Agreement (as defined in the Remediation Motion) pursuant to which Acheson Doyle Partners Architects, P.C. (\"Acheson Doyle\") would provide critical services (the \"Architectural Services\") for the remediation of the Sherry Netherland Apartment; (b) select and hire contractors, engineers, consultants, and other third-party service providers in the ordinary course of the Remediation Project, including to hire (i) Gallagher Bassett Services, Inc., Technical Services Division (\"GBTS\") to conduct an asbestos survey in the Affected Area to assess the\n\nextent of the asbestos exposure and (ii) ABF Environmental (\"ABF\") to handle the asbestos removal; and (c) pay such contractors, engineers, consultants, and other third-party service providers in the ordinary course of the Remediation Project (including as it relates to the removal of asbestos).\n\n23. On September 8, 2023, Genever US filed a supplement [Docket No. 2183] (the \"Supplement\") to the Remediation Motion additionally seeking authorization for (a) GBTS to provide air monitoring and related services; (b) George Breslaw Plumbing, LLC (\"Breslaw\") to connect a temporary shower for the asbestos removal work as well as disconnect and, upon completion of the asbestos removal project reconnect radiators; and (c) GEM Contracting Management LLC (\"GEM\") to provide related electrical services.\n\n24. On September 19, 2023, the Court entered the Remediation Order, granting the Remediation Motion (as supplemented) and authorizing Genever US to commence the Remediation Project.\n\n25. In accordance with the Remediation Order, on November 2, 2023, Genever US filed its first monthly status report [Docket No. 2303] (the \"First Monthly Status Report\"). As detailed in the report, the Remediation Projected (including the asbestos removal) has not yet commenced, as Genever US is awaiting approval of its permit application to conduct the asbestos abatement in the Affected Area. Moreover, also as detailed in the First Monthly Status Report, bids by general contractors to conduct the Remediation Project are due on November 17, 2023.\n\n#### **III. Alteration Agreement**\n\n26. Subject to approval of this Court, Genever US intends to enter into the Alteration Agreement with Sherry Netherland. Sherry Netherland has specific policies and procedures that all shareholders must follow when making major and minor alterations to the apartments in the\n\n## Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 10 of 117\n\nbuilding. Thus, Genever US, as a shareholder, must enter into the Alteration Agreement with\n\nSherry Netherland before moving forward with the Remediation Project.\n\n27. The chart below sets forth the material terms of the Alteration Agreement8\n\nbetween Genever US and Sherry Netherland:\n\n| Provision | Summary Description |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Initial Submissions (Alteration
Agreement § 1) | Genever US agrees, before the Work begins, to provide certain items and
documents and pay the nonrefundable fees and deposits detailed in the Initial
Submissions Checklist, attached Exhibit A to the Alteration Agreement,
which includes, among other things, a description and specifications of the
Work to be done, detailed plans, proof of licensing of workers, proof of
insurance, and execution of riders addressing certain specific circumstances
to be included in the Alteration Agreement such as asbestos removal and
lead-based paint hazards. |\n| Release of Claims (Alteration
Agreement § 2) | Genever US agrees to exculpate and not to make any claim against or seek to
recover from Sherry Netherland, its directors, officers, or shareholders or
Sherry Netherland's shareholders servants, agents, partners, guests,
licensees, invitees, tenants or employees for any damage to persons or
property by the perils within the scope of the insurance policies required in
paragraph 1 of the Alteration Agreement, unless the loss is due solely to the
negligence of such named parties, provided however that nothing in this
paragraph, nor in the Alteration Agreement, shall indemnify or hold
harmless Sherry Netherland against legal liability it might otherwise have for
damage arising out of bodily injury to persons or damage to property
contributed to or caused by or resulting from the negligence of Sherry
Netherland, its agents, servants or employees, whether such negligence be in
whole or in part. |\n| Designation of
Architect/Engineer; Retention of
Professionals; Inspections and
Storing of DOB and LPC Filings
(Alteration Agreement § 3;
Addendum § 2) | Pursuant to Section 2 of the Addendum, Sherry Netherland waives any
architect fee that may otherwise be due under Section 3 of the Alteration
Agreement.
If Sherry Netherland is required, or deems it wise, to seek legal, engineering,
electrical, architectural or other advice relating to the Work or this Alteration
Agreement, at any time and from time to time prior to or after granting
permission for the Work to be performed, Genever US agrees to reimburse
on demand all fees and disbursements incurred by Sherry Netherland with
respect to the same, whether or not Sherry Netherland grants permission for
performance of the Work. |\n| Acceptance of Responsibility
(Alteration Agreement § 4) | Genever US releases Sherry Netherland, its directors, officers, agents and
employees from any liability for damage to the portions of the Sherry |\n\n 8 The terms of the Alteration Agreement are summarized herein for the convenience of the Court and parties in interest. To the extent that there are any discrepancies, the terms of the Alteration Agreement shall govern. Capitalized terms used in this summary that are not defined herein shall have the meanings ascribed to them in the Alteration Agreement.\n\n| | Netherland Apartment affected by the Work which may occur in the
performance of Building maintenance repairs. |\n|----------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | Genever US accepts sole responsibility for the Work and costs in connection
with the maintenance, repair, restoration or replacement of the Work and any
portions of the Sherry Netherland Apartment and the Building affected by
the Work. |\n| | Should Sherry Netherland at any time require the removal of any of the
Work in order to gain access to a Building system or part of the Building to
perform a repair or improvement, Genever US shall provide such access and
will be responsible for the cost of providing the access and of restoring the
Work after Sherry Netherland performs its Work. Genever US acknowledges
and agrees that such responsibility shall pass to Genever US's successor-in
interest in the Sherry Netherland Apartment |\n| Notice of Commencement/Letter
to Neighbor
(Alteration Agreement § 5) | Genever US shall give not less than ten (10) days written notice, setting forth
the date Genever US plans to commence the Work and the duration of the
Work to the Executive Office and Sherry Netherland and provide to the
Executive Office an executed letter in the form of Exhibit \"C\" attached to the
Alteration Agreement addressed to each of the shareholders or occupants in
the apartments that are adjacent to and immediately above and below the
Sherry Netherland Apartment (the \"Adjacent Premises\"). |\n| | If the Work is not commenced within sixty (60) days of the execution of the
Alteration Agreement, the consent granted therein shall become null and
void. Genever US may request a reinstatement of such consent, in writing,
and approval thereto may be granted or denied in Sherry Netherland's sole
discretion |\n| Damage to Building (Alteration
Agreement § 6) | Any damage to any Adjacent Premises or other apartments or the common
elements of the Building resulting directly or indirectly from the
performance or existence of the Work shall be insured by Genever US's
insurance coverage required hereunder or that of the Contractors. However,
the existence of such insurance shall not relieve Genever US of liability
hereunder. |\n| | If Sherry Netherland advises of any damage which, in its opinion, was
caused by the Work, Genever US shall either immediately cause the damage
to be repaired or, at the option of the damaged party, submit any claim based
on such damage immediately to the Genever US's insurance carrier and the
insurance carrier of the Contractors without contest to the extent permitted
by the insurance policies. |\n| | In the event that the Contractors causes damage to any area of the Building,
Sherry Netherland shall temporarily suspend the Work until the Contractor
submits prompt payment to Sherry Netherland, in an amount reasonably
estimated by Sherry Netherland, for any and all expenses incurred by Sherry
Netherland due to such damage. |\n| Costs Incurred (Alteration
Agreement § 7) | All costs for labor, equipment and materials incurred by Sherry Netherland
in connection with the Work, in Sherry Netherland's sole discretion, shall be
charged to and paid for by Genever US as Additional Rent, including
overtime rates, if utilized. Any such charges shall be billed monthly and paid
within ten (10) days of billing. |\n\n| Assumption of Risk (Alteration
Agreement § 8) | Genever US assumes all risk of damage to the Building and its mechanical,
electrical, plumbing, ventilation (shafts and components), and fire protection
systems, and to persons and property in the Building which may result from
or be attributable to the performance or existence of the Work and all
responsibility for the maintenance, repair and replacement of any alterations
and installations during and after completion of the Work. |\n|--------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | Sherry Netherland is not responsible for any failure of performance of
Building services to the Sherry Netherland Apartment as a result of the
Work. If the operations of the Building, or any of the foregoing equipment,
is adversely affected by the Work, Genever US shall promptly correct the
cause of the problem. If, in Sherry Netherland's sole discretion, Genever US
does not promptly correct the problem, Sherry Netherland may have the
problem corrected and Genever US shall be liable for all costs and expenses
incurred therein, including any legal fees or other professional fees incurred
by Sherry Netherland. |\n| Days and Hours of Work
(Alteration Agreement § 9) | The Work may be performed Monday through Friday only between the
hours of 8:00 a.m. and 4:30 p.m. and shall not be performed on the
weekends, legal holidays or between December 24 and January 2. |\n| Conduct of Work; Status Report
(Alteration Agreement § 10) | All Work shall be confined to the Sherry Netherland Apartment and done in
a competent and workmen-like manner and in such a manner and at such
times so as to minimize disturbance to other occupants of the Building or the
operation of the Building's services. The Work shall be discontinued
immediately should Sherry Netherland deem that it is creating a disturbance
to other occupants of the Building. |\n| | The Sherry Netherland may direct Genever US or Contractors to take any
action or cease any action based on the Alteration Agreement or as
necessary. |\n| | Genever US shall prepare a monthly detailed written report describing the
status of the Work and shall submit same to the Executive Office. |\n| | In the event that Sherry Netherland determines, in its sole discretion, that
Genever US and/or the Contractors are not providing adequate supervision
for the Work, Sherry Netherland may provide such supervision at Genever
US's sole cost and expense. |\n| Completion of Work; Fees
(Alteration Agreement § 14;
Addendum § 2) | Completion of Work: Genever US shall use best efforts to ensure that the
proposed Work is completed expeditiously, but in any event all Work shall
be completed within an aggregate of 170 business days from the date of
commencement of the Work, or such other period as Sherry Netherland, in
writing, designates (the \"Completion Date\"). |\n| | If Genever US desires additional time to complete the Work, it shall at least
five (5) working days before the expiration of the Completion Date, advise
Sherry Netherland of the number of consecutive additional days being
requested to complete the Work following the Completion Date and, if
Sherry Netherland, in its sole discretion consents to an extension of the
Completion Date, Genever US shall pay to Sherry Netherland the sum of
\\$500 per day as consideration for each of the first fifteen (15) of such
additional working days that the Completion Date is extended and \\$1,000
per day for the 16th working day and each day thereafter that the Completion |\n\n# Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 13 of 117\n\n| | Date is so extended provided, unless Sherry Netherland's Executive Office
and architect determine otherwise. |\n|--------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | Pursuant to Section 2.b of the Addendum, Sherry Netherland waives the fees
under Section 14(a) of the Alteration Agreement. |\n| | Use of Facilities Fees: Pursuant to Section 2.c of the Addendum, Sherry
Netherland waives the use-of-facilities fee under Section 14(b) of the
Alteration Agreement. |\n| | Close-out Fee: Forty (40) days after the Work has been completed, as
determined by Sherry Netherland, if Genever US has not submitted the
required close-out documents as provided for in paragraph 32 of the
Alteration Agreement, Genever US shall pay to Sherry Netherland a fee of
\\$2,000 for each calendar month or portion thereof that such close-out
documents have not been submitted to the Executive Office. |\n| No Interference with Building
Systems (Alteration Agreement
§ 15) | Genever US will not interfere or permit interference with the Building's
intercommunication, gas, heating, electric systems or any other Building
system or service. |\n| | The Work will not alter or relocate the main plumbing and heating lines
without Sherry Netherland's prior written consent. No gas lines outside the
Sherry Netherland Apartment may be moved or shut down. |\n| Indemnification and Legal Fees
(Alteration Agreement § 22;
Addendum § 4) | Indemnification: Genever US agrees to defend, indemnify and hold harmless
Sherry Netherland, its directors, officers, shareholders, consultants and
Sherry Netherland's shareholders' agents, partners, servants, employees,
tenants, guests, licensees, invitees, and all other occupants of the Building
(each, an \"Indemnified Party\" and collectively, the \"Indemnified Parties\")
from and against any and all claims, damages, expenses (including
reasonable attorneys' fees and expenses) -- whether made by Genever US,
Sherry Netherland or a third party -- suffered by persons or property as a
result of or in any way related to: (i) the Work to the Sherry Netherland
Apartment or its adverse impact on the comfortable occupancy of other
apartments in the Building; (ii) Genever US's failure to comply with its
obligations hereunder (including without limitation the obligation to repair
and maintain the Work); (iii) Genever US's failure to perform the Work in
accordance with the approved plans and specifications and the terms and
conditions contained herein, unless caused solely by the negligence of the
Indemnified Parties, and/or (iv) Genever US's filing of required forms, and
for any and all liabilities arising therefrom or incurred in connection
therewith. |\n| | Nothing in the Alteration Agreement, shall indemnify or hold harmless
Sherry Netherland against legal liability it may otherwise have for damage
arising out of bodily injury to persons or damage to property contributed to
or caused by or resulting from the negligence of Sherry Netherland, its
agents, servants or employees whether such negligence be in whole or in
part. This indemnification shall survive the completion of the Work. |\n| | Legal Fees: Genever US shall indemnify the Indemnified Parties for all legal
and other professional fees and disbursements incurred by them (i) due
wholly or in part to this Alteration Agreement and/or the Work to be
performed under the Alteration Agreement, including but not limited to,
Genever US's breach or alleged breach of this Alteration Agreement or (ii) |\n\n| | in any action or proceeding between Genever US and such Indemnified Party
which relates to this Alteration Agreement and/or the Work to be performed
under the Alteration Agreement. This indemnification shall survive the
completion of the Work.
The foregoing provisions are subject to the protections set forth in
paragraphs 3, 4, and 5 of the Proposed Order. |\n|--------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Payment of Fines (Alteration | Genever US authorizes Sherry Netherland to pay from the deposit held by |\n| Agreement § 26) | Sherry Netherland pursuant to paragraph 28 of the Alteration Agreement any
sanitation or other fines which may be assessed against Sherry Netherland by
any government instrumentality by reason of Genever US's materials or
rubbish, or for any other reason. |\n| Security Deposit (Alteration
Agreement § 28; Addendum § 2) | Genever US shall deliver to Sherry Netherland a check in an amount equal to
\\$50,000, as a condition for its approval, the proceeds of which may be
deposited by Sherry Netherland upon its acceptance of the Alteration
Agreement. |\n| | If the deposit is diminished by one-half of the original amount, Genever US
shall replenish it to the full amount within three (3) days after Sherry
Netherland's demand. Genever US agrees that Sherry Netherland may use,
apply or retain the whole or any part of the security so deposited to the extent
required or permitted hereunder. |\n| | If Genever US complies with all of the terms and conditions of the Alteration
Agreement, the security deposit or remaining balance thereof shall be
promptly returned to Genever US. |\n| Required Work (Alteration
Agreement § 30) | Genever US shall, at its own sole cost and expense, perform the following as
part of the Work: (a) to install acoustical attenuation and sound proofing
materials in and under new or suspended ceilings and within new floors
and/or walls in the Sherry Netherland Apartment, as specified and directed
by Sherry Netherland's reviewing architect in his sole and absolute
discretion; and (b) the Work involves disturbance or replacement of interior
finishes at exterior walls, to expose the back-up masonry and existing damp
proofing and/or waterproofing materials and, prior to restoration or
replacement of such interior finishes, restore or provide such new materials
as are necessary to achieve a sound damp-proof and water-proof condition. |\n| Apartment Transfers (Alteration
Agreement § 30) | If, after making any alterations or installing any equipment pursuant to the
Work, Genever US shall seek to transfer Sherry Netherland's shares
allocated to the Sherry Netherland Apartment and the proprietary lease
appurtenant thereto, as a condition prior thereto, Genever US shall provide
Sherry Netherland with an agreement by Genever US's transferee in the
form of Exhibit D annexed to the Alteration Agreement pursuant to which
such transferee agrees to assume all of Genever US's obligations hereunder,
including Genever US's continuing obligations and understandings
expressed in the Alteration Agreement. |\n| Payment of Expenses; Discharge
of Mechanics' Liens (Alteration
Agreement § 31) | Genever US will bear the entire cost of alterations and installations and pay
all bills incurred in connection therewith, not later than thirty (30) days after
completion of the Work. |\n| | If any mechanic's liens are filed for Work claimed to have been done or
materials alleged to have been supplied, Genever US shall cause such liens |\n\n| | to be discharged of record within ten (10) days after such filing. If Genever
US fails to do so, Sherry Netherland may exercise any and all of its rights
and remedies under the Lease or the Alteration Agreement. |\n|------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | If Genever US fails to timely make such payment, such sums shall be
deemed to be and paid as Additional Rent under the Lease. Sherry
Netherland may also exercise all of its rights and remedies under the Lease. |\n| Close-Out of Work Permit;
Amendment to Certificate of
Occupancy (Alteration
Agreement § 32) | Within forty (40) business days after the completion of the Work, Genever
US will deliver to Sherry Netherland an amended certificate of occupancy
and a certificate of the Board of Fire Underwriters, if either be required, and
such other proof as may be necessary to demonstrate that all Work has been
done in accordance with all applicable laws, ordinances and government
regulations. If an amended certificate of occupancy or certificate of the
Board of Fire Underwriters or sign off or close-out documentation from the
New York City Bureau of Electrical Control is not required, Genever US's
architect must submit a statement to that effect. |\n| No Opinion; No Reliance
(Alteration Agreement § 33) | Sherry Netherland does not profess to express any opinion as to the design,
feasibility, cost or efficiency of the Work. In no event shall any approval or
consent granted hereunder be construed to relieve Genever US from any
responsibility or obligation contained herein or impose any liability on
Sherry Netherland with respect to the Work or Genever US's LPC or DOB
filings. |\n| | No reliance may be placed by Genever US on Sherry Netherland's architect
designated pursuant to paragraph 3 of the Alteration Agreement with regard
to the design, cost, feasibility, compliance with applicable laws or Building
codes, efficiency of the Work or Genever US's obligations. |\n| Failure to Comply (Alteration
Agreement § 34) | Genever US's failure to comply with any of the provisions hereof or the
directions or requirements issued by Sherry Netherland's consulting
Architect or any other designee shall be deemed a breach of the provisions of
the Lease, pursuant to which Sherry Netherland's consent to the Work has
been granted, and, in addition to all other rights, Sherry Netherland may
suspend all Work. In such event, Sherry Netherland may also revoke its
permission for Genever US to undertake the alteration Work. |\n| Correction of Work (Alteration
Agreement § 35) | Genever US shall promptly correct all Work rejected by Sherry Netherland
as (a) defective, (b) failing to conform to the Alteration Agreement or the
approved Work, Genever US's LPC and/or DOB filings authorized by
Sherry Netherland, or (c) creating any violation of any policy of any
insurance carrier, whether or not such Work is fabricated, installed or
completed. |\n| | Genever US shall bear all costs of correcting such rejected Work, including
compensation for the additional services of any architect, engineer, lawyer or
other consultant engaged by Sherry Netherland pursuant to the terms hereof
or made reasonable and necessary thereby, which shall be treated as
Additional Rent under the Lease. |\n| Release and Waiver of Claims
(Alteration Agreement § 36) | Genever US releases Sherry Netherlad, its directors, officers, agents,
employees and shareholders, from any and all liability for loss or damage to
any of Genever US's property which may result from or be in any way
connected with the Work, provided however that nothing in this paragraph,
nor in the Alteration Agreement, shall indemnify or hold harmless Sherry |\n\n| | Netherland against legal liability it might otherwise have for damage arising
out of bodily injury to persons or damage to property contributed to or
caused by or resulting from the negligence of Sherry Netherland, its agents,
servants or employees, whether such negligence be in whole or in part.
Genever US waives any claims which it may now or hereafter have against
Sherry Netherland and its respective former, current and future directors,
officers, employees, agents and shareholders based upon the interruption or
suspension of the Work by the Sherry Netherland regardless of the reason for
such interruption or suspension. |\n|---------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | |\n| Additional Rent (Alteration
Agreement § 37) | All amounts, fees, penalties and expenses incurred by Sherry Netherland
and/or required to be paid by Genever US pursuant to the Alteration
Agreement shall be considered Additional Rent pursuant to the Lease. |\n| Payment of Fees and | Upon commencement of the Work, Genever US releases Sherry Netherland |\n| Consideration (Alteration
Agreement § 50) | from any claims for or in any way related to Genever US's payment of fees,
deposits or other monies paid or payable hereunder. |\n| No Other Fees or Gratuities
(Alteration Agreement § 51) | Except as provided for herein, no other fees (and no gratuities and/or other
payments) are required or expected to be paid to Sherry Netherland its
employees or agents in connection with the performance or approval of the
Work. |\n| Proprietary Lease (Alteration
Agreement § 54) | The terms and conditions of the Alteration Agreement shall not relieve
Genever US of any obligation under the Lease for the Sherry Netherland
Apartment or Sherry Netherland's By-Laws and House Rules. |\n| No Personal Liability of the
Corporation's Officers,
Directors or Agents (Alteration
Agreement § 55) | Sherry Netherland's current, past and future officers, directors or agents, in
their capacity as such, shall have no personal liability to Genever US for
damages for any alleged breach of duty to Genever US in connection with or
in any way related to the Work or the Alteration Agreement. |\n\n28. In connection with the indemnification obligations, the Proposed Order will incorporate a procedural safeguard requiring that any request for indemnification during the pendency of Genever US's chapter 11 case will be brought before this Court and will be subject to the approval of this Court. Moreover, in no event will any Indemnified Party be indemnified in the case of gross negligence or willful misconduct.\n\n29. The Proposed Order contains the same indemnification provisions as this Court has previously approved in connection with the retention of Epiq Corporate Restructuring, LLC and Kroll, LLC. *See* Docket Nos. 1449, 2241.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 17 of 117\n\n30. Finally, as detailed in the Addendum, Sherry Netherland and Genever US have agreed that this Court has exclusive jurisdiction over any action or proceeding arising out of or in any way connected with the Addendum and the Alteration Agreement.\n\n#### **RELIEF REQUESTED**\n\n31. By this Motion, Genever US seeks entry of the Proposed Order, approving and authorizing Genever US to enter into, and perform under, the Alteration Agreement with Sherry Netherland.\n\n#### **BASIS FOR RELIEF**\n\n32. Section 363(b)(1) of the Bankruptcy Code provides in pertinent part, that a debtor in possession, \"after notice and a hearing, may use, sell or lease, other than in the ordinary course of business, property of the estate.\" *See, e.g., Comm. of Equity Sec. Holders v. Lionel Corp. (In re Lionel Corp.)*, 722 F.2d 1063, 1070 (2d Cir. 1983) (\"The rule we adopt requires that a judge determining a § 363(b) application expressly find from the evidence presented before him at the hearing a good business reason to grant such an application.\"); *Comm. of Asbestos-Related Litigants v. Johns-Manville Corp. (In re Johns-Manville Corp.)*, 60 B.R. 612, 616 (Bankr. S.D.N.Y. 1986) (\"Where the debtor articulates a reasonable basis for its business decisions (as distinct from a decision made arbitrarily or capriciously), courts will generally not entertain objections to the debtor's conduct\").\n\n33. Genever US's primary objective is to rent and/or sell the Sherry Netherland Apartment in a value-maximizing transaction. As the Court is aware, Sherry Netherland Apartment is effectively unmarketable in its present condition due to the damage caused therein by the March 15 Fire. For this reason, the Court approved and authorized the Remediation Project to remediate the damage to the Affected Area and restore the Sherry Netherland Apartment to marketable condition. An integral component of the Remediation Project is\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 18 of 117\n\ncompliance with Sherry Netherland's rules regarding alteration of the Sherry Netherland Apartment. Sherry Netherland, which functions as a cooperative apartment complex and luxury hotel, is a landmark building subject to numerous federal, state and local regulations. Sherry Netherland thus requires all shareholders follow certain procedures in altering their apartment to comply with these regulations while also protecting its occupants. Genever US acknowledged in Section 3.16 of the Proprietary Lease that Sherry Netherland's consent was required before making alterations to the Sherry Netherland Apartment.9 Thus, as previewed in the Remediation Motion, Genever US has little choice but to enter into the Alteration Agreement with Sherry Netherland to proceed with the Remediation Project.\n\n34. Sherry Netherland has informed Genever US that it cannot commence the Remediation Project or otherwise alter the Sherry Netherland Apartment in any manner if Genever US does not enter into the Alteration Agreement. The Alteration Agreement is the standard agreement Sherry Netherland requires shareholders execute and Sherry Netherland will not accept any modifications. If Genever US does not enter into the Alteration Agreement, that means it will be unable to remediate the damage from the March 15 Fire and ultimately cannot sell/rent the Sherry Netherland Apartment to create value for its creditors. Thus, it is critical Genever US enter into the Alteration Agreement with Sherry Netherland.\n\n35. As detailed above and in the Alteration Agreement, Genever US and Sherry Netherland have agreed to certain procedures and allocation of responsibility as it relates to the Remediation Project. Under the terms of the Alteration Agreement, Genever US has also agreed to indemnify, defend, and hold harmless Sherry Netherland and its directors, officers,\n\n9 As noted, the fact that Genever is not pressing the argument that it need not comply with its obligations under a prepetition lease shall not be construed as an acknowledgement that Genever US must comply with the provisions of the Proprietary Lease or any other prepetition contract or lease. Genever US reserves all rights in this regard.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 19 of 117\n\nshareholders, consultants and its shareholders' agents, partners, servants, employees, tenants, guests, licensees, invitees, and all other occupants of the apartment complex, and against any and all claims, damages, expenses (including reasonable attorneys' fees and expenses) under certain circumstances specified in the Alteration Agreement. However, nothing in the Alteration Agreement, shall indemnify Sherry Netherland against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of Sherry Netherland, its agents, servants or employees whether such negligence be in whole or in part. Importantly, the Proposed Order will require that any request for indemnification during the pendency of Genever US's chapter 11 case be brought before this Court and will be subject to the approval of this Court. Moreover, in no event will the Indemnified Parties be indemnified in the case of gross negligence or willful misconduct.\n\n36. Finally, as noted, the Sherry Netherland has agreed to reduce the security deposit from \\$100,000 to \\$50,000, as well as waive certain of the fees that would otherwise be required under its standard form of alteration agreement. In particular, the Sherry Netherland has agreed to waive:\n\n- a. The architect fee (in the amount of approximately \\$1,500 to \\$3,500);10\n- b. Any fees related to an extension of the Completion Date (in the amount of \\$500 or \\$1,000 per day);11 and\n- c. The monthly use-of-facilities fees (in the amount of \\$2,212.50 per month).12\n\n10 *See* Addendum § 2.a.\n\n11 *See id.* § 2.b.\n\n12 *See id.* § 2.c.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 20 of 117\n\n37. For all these reasons, Genever US has determined in its business judgment that entry into the Alteration Agreement is necessary for Genever US to commence the Remediation Project and ultimately sell the Sherry Netherland Apartment in a value-maximizing transaction.\n\n#### **WAIVER OF BANKRUPTCY RULE 6004(h)**\n\n38. Genever US requests a waiver of the fourteen-day stay requirements under Bankruptcy Rule 6004(h), such that the Proposed Order be effective immediately upon entry thereof. For all the reasons set forth above, it is critical to begin remediating the Sherry Netherland Apartment as soon as possible to facilitate a value-maximizing transaction for the benefit of Genever US's estate, which is conditioned on Genever US's entry into the Alteration Agreement.\n\n#### [*Remainder of page intentionally left blank*.]\n\nWHEREFORE, for the foregoing reasons, Genever US respectfully requests that the\n\nCourt enter the Proposed Order granting the relief requested herein.\n\nDated: November 8, 2023 New York, New York\n\n#### GENEVER HOLDINGS LLC\n\nBy: */s/ Luc A. Despins* Luc A. Despins (admitted *pro hac vice*) G. Alexander Bongartz (admitted *pro hac vice*) Douglass Barron (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 lucdespins@paulhastings.com alexbongartz@paulhastings.com douglassbarron@paulhastings.com\n\n*and*\n\nNicholas A. Bassett (admitted *pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nDouglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n*Counsel for Genever Holdings LLC*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|---------------------------------------------------------|----------------------------------------|--|\n| In re: | :
:
Chapter 11 | |\n| HO WAN KWOK, et al.,1 | :
:
Case No. 22-50073 (JAM)
: | |\n| Debtors. | :
(Jointly Administered)
: | |\n| ------------------------------------------------------x | | |\n\n#### **NOTICE OF CONTESTED MATTER RESPONSE DATE**\n\nGenever Holdings LLC (the \"Debtor\" or \"Genever US\") has filed its *Motion, Pursuant to Bankruptcy Code Section 363(b), for Entry of Order Authorizing Genever Holdings LLC to Enter Into, and Perform Under, Alteration Agreement with Sherry Netherland, Inc. to Remediate Areas of the Sherry Netherland Apartment Affected by March 15, 2023 Fire* (the \"Contested Matter\") with the United States Bankruptcy Court for the District of Connecticut. Notice is hereby given that any response to the Contested Matter must be filed with the Court no later than **November 29, 2023**, in accordance with Federal Rules of Bankruptcy Procedure 2002(a) and 9014.2 In the absence of a timely filed response, the proposed order in the Contested Matter may enter without further notice and hearing. *See* 11 U.S.C. § 102(1).\n\n1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and 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\n2 Pursuant to Federal Rule of Bankruptcy Procedure 9006(f), if service is made by mail, three days are added after the response date set in this notice.\n\nDated: November 8, 2023 New York, New York\n\n#### GENEVER HOLDINGS LLC\n\nBy: */s/ Luc A. Despins* Luc A. Despins (admitted *pro hac vice*) G. Alexander Bongartz (admitted *pro hac vice*) Douglass Barron (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 lucdespins@paulhastings.com alexbongartz@paulhastings.com douglassbarron@paulhastings.com\n\n*and*\n\nNicholas A. Bassett (admitted *pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nDouglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n*Counsel for Genever Holdings LLC*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|---------------------------------------------------------|----------------------------------------|--|\n| In re: | :
:
Chapter 11 | |\n| HO WAN KWOK, et al.,1 | :
:
Case No. 22-50073 (JAM)
: | |\n| Debtors. | :
(Jointly Administered)
: | |\n| ------------------------------------------------------x | | |\n\n# **CERTIFICATE OF SERVICE**\n\nThe undersigned hereby certifies that on November 8, 2023, the foregoing Motion was electronically filed. Notice of this filing was sent by e-mail to all parties to the above-captioned chapter 11 case by operation of the Court's electronic filing (\"CM/ECF\") system 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\nDated: November 8, 2023 By: */s/ G. Alexander Bongartz*\n\n New York, New York G. Alexander Bongartz (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 alexbongartz@paulhastings.com\n\n*Counsel for Genever Holdings LLC*\n\n1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and 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# **EXHIBIT 1**\n\n**Proposed Order**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|---------------------------------------------------------|-------------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| HO WAN KWOK, et al.,1 | :
: | Case No. 22-50073 (JAM) |\n| Debtors. | :
:
: | (Jointly Administered) |\n| ------------------------------------------------------x | | |\n\n# **ORDER, PURSUANT TO BANKRUPTCY CODE SECTION 363(b), AUTHORIZING GENEVER HOLDINGS LLC TO ENTER INTO, AND PERFORM UNDER, ALTERATION AGREEMENT WITH SHERRY NETHERLAND, INC.**\n\nUpon the motion (the \"Motion\")2 of debtor Genever Holdings LLC (\"Genever US\"), for an order (this \"Order\") authorizing Genever US to enter into the Alteration Agreement with Sherry Netherland as further detailed in the Motion; and the Court having reviewed the Motion and having considered the statements of counsel before the Court at a hearing held on \\_\\_\\_\\_\\_, 2023 (the \"Hearing\"); and the Court having found that (a) the Court has jurisdiction over this matter pursuant to 28 U.S.C. §§ 157 and 1334; (b) this is a core proceeding pursuant to 28 U.S.C. § 157(b); (c) venue is proper pursuant to 28 U.S.C. §§ 1408 and 1409; and (d) good and sufficient notice of the Motion having been given; and no other or further notice being required; and the Court having found and determined that the legal and factual bases set forth in the Motion establish just cause for the relief granted herein; and it appearing that the relief requested\n\n1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and 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\n2 Capitalized terms used but not otherwise defined herein shall have the meanings set forth in the Motion.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 27 of 117\n\nby the Motion, as modified by the terms of this Order is in the best interest of Genever US's estate and creditors; and upon all of the proceedings had before the Court and after due deliberation and sufficient cause appearing therefor, it is hereby\n\n#### ORDERED THAT:\n\n1. The Motion is GRANTED as set forth herein.\n\n2. Genever US is authorized to enter into, and perform under, the Alteration Agreement with Sherry Netherland including payment of fees and expense.\n\n3. The Indemnified Parties shall be entitled to indemnification to the extent required under the terms of the Alteration Agreement, as modified pursuant to this Order; *provided* that any request for indemnification by the Indemnified Parties shall be subject to review by the Court as set forth herein to ensure that payment of such indemnity conforms to the terms of the Alteration Agreement, as modified pursuant to this Order, and is reasonable under the circumstances of the litigation or settlement in respect of which indemnity is sought; *provided*, that in no event shall the Indemnified Parties be indemnified in the case of gross negligence or willful misconduct.\n\n4. If, before the earlier of (i) the entry of an order confirming a chapter 11 plan in these chapter 11 cases (that order having become a final order no longer subject to appeal), or (ii) the entry of an order closing these chapter 11 cases, any Indemnified Party believes that it is entitled to the payment of any amounts by Genever US on account of its indemnification obligations under the Alteration Agreement, as modified pursuant to this Order, the Indemnified Party must file an application therefor in the Court, and Genever US may not pay any such amounts to the Indemnified Parties before the entry of an order by this Court approving the payment. With respect to any amounts sought by any Indemnified Party as reimbursement for\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 28 of 117\n\nattorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to the Alteration Agreement, as modified by this Order, the invoices and supporting time records for the attorneys' fees and expenses shall be included in the Indemnified Party's application to the Court and these invoices and time records shall be subject to the Amended Guidelines and the approval of the Court pursuant to sections 330 and 331 of the Bankruptcy Code without regard to whether such attorneys have been retained under section 327 of the Bankruptcy Code, and without regard to whether such attorneys' services satisfy section 330(a)(3)(C) of the Bankruptcy Code. This paragraph is intended only to specify the period of time under which the Court shall have jurisdiction over any request for fees and expenses by the Indemnified Parties for indemnification, contribution, or reimbursement, and not a provision limiting the duration of the obligation to indemnify the Indemnified Parties. All parties in interest shall retain the right to object to any demand by the Indemnified Parties for indemnification, contribution, or reimbursement.\n\n5. The Indemnified Parties shall not be entitled to reimbursement by Genever US for any fees, disbursements and other charges of the Indemnified Parties' counsel other than those incurred in connection with a request of the Indemnified Parties for payment of indemnity approved by the Court.\n\n6. Notwithstanding the provisions of Bankruptcy Rule 6004(h) or any applicable provisions of the Local Rules, this Order shall not be stayed after the entry hereof, but shall be effective and enforceable immediately upon entry, and the 14-day stay provided in Bankruptcy Rule 6004(h) is hereby expressly waived and shall not apply.\n\n7. Genever US is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 29 of 117\n\n8. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n9. This Court retains exclusive jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.\n\n# **EXHIBIT 2**\n\n**Alteration Agreement**\n\n# **THE SHERRY-NETHERLAND, INC. 781 FIFTH AVENUE NEW YORK, NEW YORK 10022**\n\nTO: Shareholders\n\nFROM: The Board of Directors\n\n#### **IMPORTANT NOTICE REGARDING APARTMENT ALTERATIONS**\n\nThe Board of Directors has adopted new policies and procedures to be followed by shareholders when making major and minor alterations in apartments.\n\nIn formulating these policies and procedures, the goal of the Board of Directors has been to enable shareholders to exercise their individual tastes within their apartments while, at the same time, minimizing the disruption to building services and facilities and protecting the safety, comfort and privacy of fellow residents.\n\nThe Sherry-Netherland, as a \"landmark\" building, a co-operative apartment house and a luxury hotel, is a unique building. In addition to the normal New York City Buildings Department (\"DOB\") oversight, we are subject to a high level of regulation and scrutiny from various federal, state and local agencies. Contractual obligations require us to be sensitive to labor and union issues. In order to preserve our unique status, it is essential that our policies and procedures be followed.\n\nWe have worked closely with the Corporation's counsel and architect, as well as management, to develop a set of policies and procedures that reflects our special environment and shareholder concerns from past experiences in the building.\n\nAmong other things, we require shareholders to ensure that, before commencing alterations, all appropriate permits and approvals have been obtained from the agencies having jurisdiction, including the New York City Department of Buildings and Landmarks Preservation Commission (\"LPC\"). We also require that architects be engaged to plan and review the Work. To comply with the Corporation's collective bargaining agreement, Contractors must utilize only union laborers.\n\nTo minimize inconvenience to other shareholders, we have provided that Work may only be done during specific hours and days. We have also included regulations regarding demolition work; the use of freight elevators, the protection of hallways and the removal of debris. The agreement also contains provisions which are designed to prevent interference with the building's heating, electrical and plumbing systems.\n\nWe have also developed Riders addressing certain specific circumstances to be included in the Alteration Agreement when the Corporation determines it to be necessary. These deal with such issues as asbestos removal, lead-based paint hazards, and alterations impacting on the building's façade, systems and certificate of occupancy. Based upon the scope of the Work\n\nshown in the Alteration Application, the Corporation will determine which Riders to the Alteration Agreement are appropriate. An Apartment Alteration Agreement, including all designated riders, must be signed by the Shareholder and the President or Executive Vice President of the Corporation and the Shareholder must deliver to the Executive Office the required security deposit, documents and non-refundable fees detailed in Rider 1 to the Apartment Alteration Agreement before any alteration Work is commenced.\n\nThe Corporation's architect will review plans and inspect alterations to the extent necessary to determine that the Work is proceeding in conformity with our policies, approved plans and authorized DOB Work Permits. The architect's fees will be charged at the architect's regular hourly rate to a shareholder for these services, which amount will typically range from \\$1,500 to \\$3,500, depending on the scope of the alterations. The Corporation expects Shareholders who are performing alterations to understand that for the benefit of the general shareholder community as well as the Shareholder performing alterations, the Corporation's architect is Corporation's designated representative and the final arbiter with regard to the manner in which apartment alterations are to be performed. Also, the Corporation will charge the Shareholder a management processing fee in the amount of \\$1,500 to cover the increase in administrative costs during the Work\n\nWhenever a shareholder proposes to make alterations, an Alteration Application, including complete plans, specifications and architect's Working drawings and a \"layman's\" description of the Work to be performed, must be submitted to the Corporation. Probes in the ceiling, walls or floors of an apartment prior to submission of an Alteration Application and Agreement by a Shareholder will not be permitted without the express written consent of the Board of Directors of the Corporation and review by an architect or engineer on behalf of the Corporation, all at the Shareholder's expense. The Corporation does not consider the installation of wall-to-wall carpeting, wall-papering, painting, minor repairs and redecorating to be alteration Work, but all shareholders will be required to enter into a separate Minor Alteration Agreement prior to undertaking Work of this nature. A reasonable security deposit will be required, the amount of which will depend on the scope of the project.\n\nAn Alteration Application for consent to a proposed alteration must be submitted to the Executive Office and will be processed in the order received. No construction contract should be signed, alteration Work scheduled nor a NYC Department of Buildings (\"DOB\") application for a Work Permit submitted to the DOB or filings made with the Landmarks Preservation Commission (\"LPC\"), until the formal written approval of the Corporation with respect to the proposed Work and authorization for the Shareholder to file for a DOB Work Permit have been received. The amount of time a Shareholder will be granted to perform the alteration will depend upon the scope of the alteration to be performed. Authorization for alterations and LPC, DOB and LPC filings may be granted only by the Board of Directors of the Sherry-Netherland; no employee of or consultant to the Corporation has the power or authority to do so.\n\nThe Corporation's reviewing architect will determine whether to meet with a Shareholder planning an alteration prior to the review of plans in order to discuss the scope of Work and\n\n2\n\nprocedures to be followed. A further meeting may be required once plans have been submitted. If appropriate, the Shareholder's architect, engineer, and/or contractors should attend these planning meetings. Any questions concerning a proposed alteration should be submitted to the Executive Office, in writing.\n\nThe Shareholder must strictly adhere to the terms and conditions of the Apartment Alteration Agreement or Decorating Agreement, as the case may be. Any present or prospective Shareholder who is contemplating an alteration should obtain a copy of the Apartment Alteration Application, the Apartment Alteration Agreement from the Executive Office.\n\n**Shareholders are strongly encouraged to give a copy of the Agreement to their architect for consideration before the architect begins preparation of plans, specifications, and drawings.**\n\nSeptember, 2013\n\n# **APARTMENT THE SHERRY-NETHERLAND, INC. ALTERATION APPLICATION 781 FIFTH AVENUE NEW YORK, NEW YORK 10022** Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 34 of 117\n\n# *\\*\\*\\* SUBMIT IN TRIPLICATE TO THE SHERRY-NETHERLAND, INC., Attention Executive Office, 781 Fifth Avenue, New York, New York 10022 \\*\\*\\**\n\nName: Apartment Number: Fax Number: Present Residence (if Shareholder(s) are not occupying the apartment): Home Phone: Work Phone: Email Address: Requested Commencement Date for Work: Apartment Numbers and Names of Four (4) Neighbors (immediately above, below and adjacent to Shareholder's Apartment).\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Plans and Specifications of \\_\\_\\_\\_\\_ pages attached. This request cannot be processed unless plans and specifications are attached (include all architect's drawings). Room-by-room description of proposed alteration Work: (Attach additional pages if necessary) NO ALTERATION WORK CAN BE COMMENCED UNLESS AND UNTIL AN APARTMENT ALTERATION AGREEMENT SATISFACTORY TO THE CORPORATION HAS BEEN EXECUTED BY THE SHAREHOLDER AND BY THE PRESIDENT OR EXECUTIVE VICE\n\nPRESIDENT OF THE CORPORATION, THE SHAREHOLDER HAS FULLY COMPLIED WITH ALL THE TERMS OF SUCH APARTMENT ALTERATION AGREEMENT REQUIRED TO BE COMPLIED WITH BEFORE COMMENCEMENT OF THE WORK, AND THE SHAREHOLDER HAS MADE ALL REQUIRED FILINGS FOR WORK PERMITS WITH THE DOB AND LPC AS ARE AUTHORIZED IN WRITING BY THE CORPORATION AND SAME HAVE BEEN ISSUED.\n\n| Shareholder | | |\n|-------------|-------------------------------------|--|\n| | Date: | |\n| Shareholder | | |\n| | 4 | |\n| | ©2013 Stroock & Stroock & Lavan LLP | |\n\n| 1. | Initial Submissions1 | |\n|-----|--------------------------------------------------------------------------------|--|\n| 2. | Release of Claims
7 | |\n| 3. | Designation of Architect/Engineer; Retention of Professionals; Inspections and | |\n| | Monitoring of DOB and LPC Shareholder Filings7 | |\n| 4. | Acceptance of Responsibility
9 | |\n| 5. | Notice of Commencement/Letter to Neighbor
9 | |\n| 6. | Damage to Building
9 | |\n| 7. | Costs Incurred
10 | |\n| 8. | Assumption of Risk10 | |\n| 9. | Days and Hours of Work
10 | |\n| 10. | Conduct of Work; Status Report11 | |\n| 11. | Floor Surfaces; Dust Infiltration and Containment; Cleaning of Areas
11 | |\n| 12. | Access to Apartment12 | |\n| 13. | Location of Risers and Lines
12 | |\n| 14. | Completion of Work; Fees12 | |\n| 15. | No Interference With Building Systems14 | |\n| 16. | Use of Power Tools15 | |\n| 17. | No Deviation from Approved Plans and Shareholder's Authorized DOB and LPC | |\n| | Filings
15 | |\n| 18. | Quality of Work and Materials Used
15 | |\n| 19. | Safety: Installation of Smoke and Carbon Monoxide Detectors; Window Guards15 | |\n| 20. | Access to Fire Exit15 | |\n| 21. | No Violation of Law; Insurance Policies16 | |\n| 22. | Indemnification and Legal Fees16 | |\n| 23. | Shutdowns of Building Systems17 | |\n| 24. | Removal of Rubbish; Deliveries17 | |\n| 25. | Storage of Materials18 | |\n| 26. | Payment of Fines18 | |\n| 27. | Use of Service Elevators18 | |\n| 28. | Security Deposit18 | |\n| 29. | Required Work20 | |\n| 30. | Apartment Transfers
20 | |\n| 31. | Payment of Expenses; Discharge of Mechanics' Liens20 | |\n| 32. | Close-Out of Work Permit; Amendment to Certificate of Occupancy21 | |\n| 33. | No Opinion; No Reliance21 | |\n| 34. | Failure to Comply
22 | |\n| 35. | Correction of Work22 | |\n| 36. | Release and Waiver of Claims22 | |\n| 37. | Additional Rent23 | |\n| 38. | Security Procedures
23 | |\n| | | |\n\n| 39. | Conduct of Workers23 | |\n|-----|----------------------------------------------------------------------------|--|\n| 40. | No Amendment; No Assignment23 | |\n| 41. | Agreement Not Binding23 | |\n| 42. | No Waiver24 | |\n| 43. | New York Law24 | |\n| 44. | Entire Agreement24 | |\n| 45. | Severability
24 | |\n| 46. | Completed Alteration24 | |\n| 47. | Notices
24 | |\n| 48. | Headings
25 | |\n| 49. | Contractor Licensing25 | |\n| 50. | Payment of Fees and Consideration25 | |\n| 51. | No Other Fees or Gratuities25 | |\n| 52. | No Third-Party Beneficiaries25 | |\n| 53. | Waiver of Jury Trial25 | |\n| 54. | Proprietary Lease
25 | |\n| 55. | No Personal Liability of the Corporation's Officers, Directors or Agents25 | |\n\n# **INDEX OF EXHIBITS**\n\n# EXHIBIT A: **Checklist of Initial and Continuing Shareholder Submissions** -Documents and fees to be submitted (or paid) before the Work can commence, and thereafter.\n\n# EXHIBIT B: **Contractor Indemnification and Representation Letter** -Letter from Contractor indemnifying Corporation, Corporation's employees, shareholders and guests\n\n- EXHIBIT C: **Letter to Neighboring Shareholders** -Letter from shareholder performing alteration to neighboring shareholders informing them of alteration and indemnifying them for damage\n- EXHIBIT D: **Assumption of Responsibility for Alterations and Alteration Agreement** -Agreement from shareholder's transferee to assume all of the shareholders obligations under the Alteration Agreement\n\n# EXHIBIT E: **Contractor Insurance Endorsement** -Form of insurance endorsement to be obtained from all Contractors and Subcontractors\n\nEXHIBIT F: **Shareholder Indemnification and Representation Letter – NYC DOB Requirements, Including Forms PWI and PW3; LPC Filings**\n\n-Agreement from Shareholder to make all required filings and submissions to NYC DOB, as owner/applicant of the Apartment, and to LPC, with the Corporation as owner of the Building, and to indemnify the Corporation, its directors, officers, agents and employees in connection with same\n\n## **INDEX OF RIDERS**\n\n# RIDER 1: **Initial Architectural Submissions** -Required architectural drawings\n\n# RIDER 2: **Condition of Adjacent Premises**\n\n-Use for any major alteration, especially those involving demolition or extensive Work on \"party\" walls\n\n## RIDER 3: **Asbestos**\n\n-Use for any major alteration, especially those involving demolition, removal, relocation or alteration of walls, ceilings, floors or electrical, heating, ventilation, plumbing or air conditioning systems\n\n# RIDER 4: **Lead Based Paint/Dust and Debris Containment – Use of EPA Certified Contractors and Workers**\n\n-Use with any alteration which would disturb or in any way affect the paint on the walls, ceilings, doors, windows, trim and jambs, and/or wood work in the apartment.\n\n# RIDER 5: **Demolition**\n\n-Use for any alteration involving demolition\n\n# RIDER 6: **Location of Rooms/Construction of Interior Walls/Flooring/Ceilings**\n\n-Use when the alteration involves changes in uses of rooms, replacement of flooring and/or construction of new interior walls and/or ceilings\n\n## RIDER 7: **Amended Certificate of Occupancy**\n\n-Use when the number of rooms in an apartment will be changed or apartments will be combined or divided, except as exempted under Department of Buildings TPPN #3 of 1997\n\n# RIDER 8: **Alterations Visible from Exterior/Replacement of Windows/Air Conditioning Systems**\n\n-Use when through-the-wall air conditioning units or new windows are to be installed\n\n#### RIDER 9: **Plumbing/Heating/Gas**\n\n-Use for alterations involving plumbing Work, especially kitchen and bathroom renovations\n\n## RIDER 10: **Installation of Appliances**\n\n-Use when the alteration involves installation of any type of appliances\n\n#### RIDER 11: **Electric**\n\n-Use with major electrical modifications or rewiring or new wiring for air conditioners\n\n## RIDER 12: **Landscaping of Terraces and Roofs – Furniture and Other Installations**\n\n-Use when plantings or structures are to be placed or erected on roofs or terraces\n\n#### APARTMENT ALTERATION AGREEMENT\n\nDate:\n\nThe Sherry-Netherland, Inc. 781 Fifth Avenue New York, New York 10022\n\n> Re: Apartment #\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 781 Fifth Avenue New York, New York 10022\n\nDear Sir/Madame:\n\nPursuant to Paragraph 3.16 of the proprietary lease ( the \"Lease\") for the captioned apartment (collectively, with all terraces appurtenant thereto, the \"Apartment\"), the undersigned shareholder(s) (the \"Shareholder\") hereby requests permission to install the equipment and/or make the alterations described in the accompanying plans and specifications (individually and collectively, the \"Work\") in the Apartment, and the Shareholder agrees to the following terms and conditions:\n\n1. Initial Submissions. The Shareholder agrees, before any Work is begun: to provide the items and documents and pay the non-refundable fees and the deposits detailed in the Initial Submissions Checklist (Exhibit A to this Apartment Alteration Agreement), including:\n\n(a) To provide designated representatives of The Sherry-Netherland, Inc. (the \"Corporation\") with a narrative describing the Work in layman's terms.\n\n(b) To provide the Corporation with complete and detailed plans and specifications of the Work, including the specifications detailed in Rider 1 hereto, prepared by an architect or engineer licensed and in good-standing in New York State, if the nature of the alteration requires such person. Such plans shall also include a floor plan of the existing conditions. All fixtures and appliances proposed to be installed will be labeled on such plans and specifications. **The Corporation's designated reviewing architect shall not commence review of the proposed Work until complete plans and specifications have been submitted.**\n\n(c) To obtain the Corporation's written approval of all Contractors, subcontractors (hereinafter collectively referred to as \"Contractors\"), to be hired by the Shareholder in connection with the Work. The Contractor shall submit subcontractor's union affiliations and a copy of all plumbers' and electricians' master licenses prior to authorization of Work by the Corporation. If any Contractors are hired by the Shareholder after Work has begun, the Shareholder must obtain the Corporation's written approval of such Contractors prior to such Contractors' commencement of Work. Shareholder is responsible for selecting suitable Contractors. If, in the Corporation's sole determination, the Contractor selected by the Shareholder is not suitable for performing\n\nWork in the Building, including but not limited to violations of this Agreement by the Contractors, the Corporation may, in its absolute discretion, stop the Work, until such time as a different Contractor is engaged by the Shareholder.\n\n(d) The Shareholder agrees that all Contractors must be duly licensed, insured and employ only union-affiliated workers qualified in their respective trades in accordance with the collective bargaining agreement between The Sherry-Netherland, Inc. and the Hotel/Motel Trades Council. Workers should at all times during the Work have in their possession a current, valid union membership card for the trade/Work that they are scheduled to perform, which shall be displayed upon request made by the Corporation and/or its agents or representatives. Such union membership card shall be presented to the building's security desk on each day that the worker arrives at the Building. Workers who do not present such union membership cards will not be permitted to enter the building.\n\n(e) The Shareholder further agrees that all Contractors must be EPA certified with regard to lead-based paint remediation and safe work practices, unless, as detailed in Rider 4 of this Agreement, the Shareholder provides to the Corporation: (i) test results and a report that an EPA certified inspector or risk assessor has determined that leadbased paint conditions are not present in any part of the Apartment where the Work is to be performed, and (i) obtains an exemption granted by New York City under the HPD rules and provides a copy of such exemption certificate to the Corporation's Executive Office.\n\n(f) To provide the Corporation with a complete and conformed copy of every agreement made with Contractors and suppliers together with a signed statement from each Contractor that the portion of the Work that Contractor will be performing complies and will be performed in accordance with applicable laws, rules, orders or governmental regulation.\n\n(g) To cause the Shareholder's architect or Contractor to prepare and submit to the Corporation a schedule of all Work to be performed by each Contractor, setting forth the number of weeks and days of the various trades and affirming that the Work can be completed within the time allotted under Paragraph 14 hereof.\n\n(h) To cause the Shareholder's contractor to retain a qualified on-site and fulltime supervisor for the Work, who shall be solely dedicated to and have exclusive responsibility for supervising and managing the Work and the workers. If the Shareholder's contractor is performing work on another alteration project in the building, **each** project must have a separate full-time, dedicated and qualified on-site supervisor with exclusive responsibility for supervising and managing each such project. Such supervisor may not perform any Work and his/her role shall be limited solely to the supervision and management of the Work. The on-site supervisor's qualifications must include: no less than five (5) years of experience as an on-site project supervisor; satisfactory completion of a New York City Department of Buildings approved Site\n\nSafety Manager Orientation Course; and satisfactory completion of a 10-hour OSHA course.\n\n(i) The Shareholder agrees that neither the Shareholder nor any employee of or consultant to the Shareholder (including, but not limited to, designers, decorators and the like) shall cause or permit workers to perform any portion of the Work who do not meet the same criteria and requirements set forth in subparagraph (d) of this paragraph 1 of this Agreement, as well as paragraph 38 of this Agreement (Security Procedures).\n\n(j) The Corporation shall also have the right in its sole discretion to require the Shareholder to have a construction manager (Manager) who would work independently of the Contractors or persons employed by the Shareholder. All expenses of said Manager would be paid by the Shareholder. The Manager would be on the premises at all times when any Work is being performed, and be responsible for the ingress and egress of any workers who are on the premises. The Manager would also make a final check of the premises after all workmen have left the premises. The Shareholder will provide access to the Manager to observe the Work at any time, to discuss the matter with the Shareholder's architect, Contractors, or any persons employed by the Shareholder in connection with the Work. If the Corporation is not satisfied with the performance of the Manager whom the Shareholder employs, the Corporation shall have the right in its sole discretion to select a Manager, whose expenses would be paid by the Shareholder, who would work independently of the Shareholder or any of the Contractors or persons employed by the Shareholder and who would perform the services set forth above.\n\n(k) If required by laws, rules orders or governmental regulations, to file, at the Shareholder's sole cost and expense, plans, forms or applications (including without limitation any asbestos or lead-based paint abatement-related forms filed in support of any applications) with and procure approvals and permits from any governmental agencies, including but not limited to The Landmarks Preservation Commission, The New York City Buildings Department (\"DOB\"), the Department of Environmental Protection and the Board of Fire Underwriters, if required, having jurisdiction over the Work, provided that as to DOB Form PW 1, the Shareholder shall execute same as owner/applicant and that all such filings shall have been previously reviewed and authorized for filing by the Corporation, its architect or engineer. Not more than five (5) business days after receipt of such approval, Shareholder shall deliver to the Corporation every permit or certificate issued. If there is any doubt as to the need for such approval, the Corporation shall be the sole arbiter in resolving the doubt. No plans may be filed with the New York City Buildings Department under \"Professional Certification\" or \"Self Certification\". All Work must comply with the requirements of The New York City Building Code for a Class 1 fireproof building.\n\n(l) To cause the Shareholder's Contractors to prepare and submit to the Executive Office, for review by the Corporation's consulting architect or engineer or any other consultant designated by the Corporation, a Noise Management and Mitigation Plan in compliance with the provisions of the New York City Noise Control Code, which Plan shall be posted in the Apartment at all times during the Work.\n\n(m) To cause the Shareholder's Contractors and architect to participate in a walk-through of the Apartment, and the Building's service elevator, basement and stairwell with the Corporation's Architect to establish the Existing Conditions of these spaces.\n\n(n) To have the Shareholder's Contractor provide insurance of the types and in not less than the limits set forth below with a company or companies satisfactory to the Corporation, licensed to do business in the State of New York, and with an A.M. Best Financial Strength Rating of not less than A. All such policies shall, by specific endorsement, name the Corporation, its directors, officers, the Shareholder and the Corporation's reviewing architect, as additional named insureds (collectively, the \"Additional Insureds\"). No diminution of limits of insurance will be permitted without the written consent of the Board and the Corporation's reviewing Architect or Engineer.\n\n(i) WORKER'S COMPENSATION as required by all applicable Federal, State, or other laws including Employers Liability in accordance with the statutory requirements of the State of New York, together with Disability Benefits Insurance required by the State of New York, in an amount not less than \\$500,000.\n\n(ii) COMMERCIAL GENERAL LIABILITY with a minimum amount of \\$2,000,000 per occurrence and \\$3,000,000 aggregate, which insurance shall cover: premises and operations: liability, products/completed operations, broad form property damage, broad form Contractor's contractual liability (oral or written), personal injury coverage and independent contractors liability, which shall include mental anguish as well as standard conditions, all without any exclusion relating to Explosion, Collapse, bacteria, silica or silica-related dust, pollution, medical payments and Underground Property Damage.\\*\n\nThe policy will contain the \"Broad Form Comprehensive General Liability\" endorsement in Paragraph 1 of such form; the exclusion pertaining to liability assumed by the Contractor under any contract or agreement (Section II paragraph B(1)) is to be deleted. The completed operations coverage is to extend for a period of two (2) years following termination of the Work and contractual indemnity coverage is also to extend for two (2) years following termination of the Work. The policy is also to include (a) Owners Protective Liability Coverage, (b) Knowledge of Occurrence and Notice of Occurrence endorsements and (c) Unintentional Errors and Omissions clause. The policy shall also include coverage with respect to asbestos\n\n \\* Amounts of insurance required may be higher for major renovations or lower, depending on the scope of the Work, as determined by the Board of Directors in its sole discretion.\n\nexposure in an amount acceptable to the Corporation and as provided for in Rider 2 hereof, if the Work involves any asbestos-containing material, and shall not include a sunset clause without the Corporation's consent.\n\n> (iii) COMPREHENSIVE AUTOMOBILE LIABILITY, including nonownership and hired car coverage, as well as owned vehicles, with a minimum limit of \\$1,000,000\n\n# (iv) \\$5,000,000 UMBRELLA LIABILITY, BODILY INJURY, PERSONAL INJURY AND PROPERTY DAMAGE COMBINED\\*\n\nIf Umbrellas are written by more than one company any layers above the first one shall follow the form of the Primary Umbrella.\n\nContractor shall, by specific endorsement to its primary liability policy, cause the coverage afforded to the Additional Insureds to be primary to and not concurrent with other valid and collectible insurance available to the Additional Insureds. Contractor shall, by specific endorsement to its umbrella/excess liability policy cause the coverage afforded to the Additional Insureds thereunder to be first tier umbrella/excess coverage above the primary coverage afforded the Additional Insureds and not concurrent with or excess to other valid and collectible insurance available to the Additional Insureds.\n\nPrior to the commencement of any Work hereunder, copies of the policies together with detailed certificates of insurance and copies of all endorsements shall be furnished to the Corporation showing that such insurance is in full force and the premiums due thereunder have been paid. Such certificates shall provide that the said insurance may not be canceled, terminated or modified without thirty (30) days written advance notice thereof to the Corporation. The Contractor shall promptly furnish the Corporation with copies of any endorsements subsequently issued amending insurance coverage or limits.\n\nIn the event of the failure of the Contractor to furnish and maintain such insurance, the Corporation shall have the right, at its option, at any time, (a) to revoke permission to perform the Work and to deny entry into the Building of all workers, except that if such workers are escorted by a member of the Building's staff, they shall be permitted to remove their tools and supplies, or (b) to take out and maintain the said insurance for and in the name(s) of the Additional Insureds, the Corporation's name, the Shareholder's name and the name of the Contractor and the Shareholder agrees to pay the cost thereof and to furnish all necessary information and consents to permit the Corporation to take out and maintain such insurance for the account of the Additional Insureds, The Corporation, the Shareholder's account and the account of Contractor. Compliance with the foregoing requirements to carry insurance and furnish certificates shall not relieve the Shareholder or the Contractor from liability assumed under any provisions of this Contract.\n\nThe Contractor's insurance policy shall in addition to containing in substance the endorsement set forth in Exhibit E hereto, also contain in substance the following endorsements:\n\n\"This insurance shall not be invalidated should the insured waive, in writing, prior to a loss, any or all right of recovery against any party for the loss occurring to the property described herein.\"\n\n\"The Contractor hereby waives subrogation against The Sherry Netherland, Inc., its officers, directors and any of its agents and employees.\"\n\n# **CONTRACTOR'S PROPERTY INSURANCE**\n\nThe Contractor shall maintain insurance (the \"Contractor's Property Insurance\") on the Contractor's property and equipment at the Project for All Risks, including, without limitation, Fire and Extended coverage. The Contractor's Property Insurance policy or policies shall contain, in substance, the following endorsement:\n\n\"This insurance shall not be invalidated should the insured waive, in writing, prior to a loss, any or all right of recovery against any part for the loss occurring to the property described herein.\"\n\nThe Contractor shall not make any claim against or seek to recover from the Shareholder or the Additional Insureds for any loss or damage to the Contractor's property or equipment located at the Building, by the perils within the scope of the Contractor's Property Insurance, whether or not the loss or damage is due to its negligence or that of its servants, agents or employees. Nothing in this paragraph, nor in this Agreement, shall Exempt the Corporation from liability it may otherwise have for damages or injuries to persons or property caused by or resulting from the negligence of the Corporation, its agents, servants or employees.\n\nNothing in this paragraph 1(n) shall constitute a waiver of or limitation of any other rights or remedies the Corporation may have for consequential damages or otherwise.\n\n(o) To deliver to the Corporation a written indemnification agreement and agreement to perform the Work in accordance with the terms of this Agreement in the form of Exhibit B hereto, executed by each Contractor.\n\n(p) To deliver to the Corporation a certificate evidencing Shareholder's homeowners liability insurance, in amounts acceptable to the Corporation.\n\n(q) To deliver to the Corporation a written indemnification agreement and agreement to perform the Work in accordance with the terms of this Agreement in the form of Exhibit F hereto executed by the Shareholder.\n\n(r) To deliver to the Corporation a written indemnification agreement and an agreement to perform the Work in accordance with the terms of this Agreement, in the form of Exhibit B hereto, executed by each Contractor.\n\n(s) To deliver to the Corporation Rider 4 to this Agreement, executed by the Shareholder and the Contractor.\n\n2. Release of Claims. The Shareholder agrees to exculpate and not to make any claim against or seek to recover from the Corporation, its directors, officers or shareholders or the Corporation's shareholders servants, agents, partners, guests, licensees, invitees, tenants or employees for any damage to persons or property by the perils within the scope of the insurance policies required in paragraph 1 hereof, unless the loss is due solely to the negligence of such named parties provided however that nothing in this paragraph, nor in this Agreement, shall indemnify or hold harmless the Corporation against legal liability it might otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees, whether such negligence be in whole or in part.\n\n3. Designation of Architect/Engineer; Retention of Professionals; Inspections and Monitoring of DOB and LPC Shareholder Filings. The Shareholder acknowledges that the Corporation may designate an architect, who shall, at the Shareholder's expense based upon the architect's hourly rate, with an estimated range of \\$1,500-\\$3,500, depending on the scope of the Work, (a) review plans and specifications for the alterations in regard to how the intended Work may affect the common areas of the Building or other apartments and the use, security, safety, enjoyment of their apartments by other shareholders in the Building, (b) from time to time observe the Work to insure that all Work conforms to plans and specifications previously approved and is otherwise in conformity with the requirements of this Agreement, and that no conditions have been created by the Work which create a hazard or environment which is harmful to the health of individuals working or residing in the Building or to the structural integrity of the Building's other apartments or the systems therein or is in violation of laws, rules, orders or regulations of any governmental agency having jurisdiction and (c) monitor the Shareholder's filings with the DOB and LPC to ensure that no filings or submissions are made that have not been authorized in advance and in writing, by the Corporation and its architect.\n\nIf the Corporation is required, or deems it wise, to seek legal, engineering, electrical, architectural or other advice relating to the Work or this Apartment Alteration Agreement, at any time and from time to time prior to or after granting permission for the Work to be performed, the Shareholder hereby agrees to reimburse on demand all fees and disbursements incurred by the Corporation with respect to the same, whether or not the Corporation grants permission for performance of the Work. The Shareholder agrees to reimburse the Corporation for all such expenses promptly upon receipt of the Corporation's bill for the same at the respective professional's hourly rate and for disbursements incurred, and if permission is granted, then all fees incurred prior to commencement of the Work shall be reimbursed to the Corporation prior to such commencement. Any such charges shall be treated as Additional Rent under the Lease, billed monthly and paid within ten (10) days of billing.\n\nFurther, if the Shareholder files or submits forms or documents to the LPC and/or DOB that have not been reviewed and authorized for filing in advance and in writing by the Corporation and its architect or engineer, the Corporation may stop the Work, in its sole and absolute discretion, advise the DOB and LPC and request that the DOB permits issued for the Work be revoked and the entire job will be stopped by the Corporation.\n\nThe Shareholder agrees to provide access to the Corporation's reviewing architect or engineer as well as its designated agents (including, without limitation, the President or Executive Vice President of the Corporation and the Chief Engineer of the Building) to observe the Work from time to time, the frequency of which shall be in the sole and absolute discretion of the Corporation, and undertake to make all corrections specified by the Corporation as a result of nonconformance of the Work with the Shareholder's plans and specifications or as the result of a condition described in the preceding paragraph. Upon the herebyrequired notice from the Shareholder to the Corporation's architect, such observation visits will be scheduled on the following occasions:\n\n(a) Prior to commencement of the Work. Any structural defects which are considered by the Shareholder to be the Corporation's responsibility must be brought to the attention of the Corporation or its designated representatives prior to commencement of the Work; otherwise, the Shareholder assumes full responsibility for the condition of the Apartment, including any alleged structural defects.\n\n(b) Prior to any demolition Work and at least daily during the demolition phase of the Work.\n\n(c) Prior to inspections, testing or approvals as required by any public authority having jurisdiction over any portion of the Work.\n\n(d) Prior to the enclosure of any floor, wall or ceiling where acoustical attenuation or sound proofing is required to be installed by the Shareholder at the direction of the Corporation's architect or where pipes are exposed in the course of the Work.\n\n(e) Prior to the enclosure or obstruction of any concealed or inaccessible portions of the Work.\n\n(f) Prior to any other stage of progress of the Work, which has been designated for observation by the Corporation's architect or been designated for observation by the Corporation in its review of the Shareholder's Work plans and specifications.\n\n(g) Prior to final completion of the Work. The Contractor shall broom-clean the Apartment at the conclusion of the project prior to the Corporation's architect submitting a final inspection report stating whether the Work is complete and that the Contractors and subcontractors have removed all necessary materials, tools, equipment and debris from the Apartment.\n\n(h) Within a reasonable time after completion of the Work.\n\nThe architect shall make reasonable efforts to observe the Work as soon as possible, but in any event, within three (3) working days after receiving a request for an observation visit. The\n\nShareholder shall not proceed until Work has been observed and approved by the Corporation, which approval shall subsequently be confirmed promptly in writing by the Corporation. If any portion of the Work should be covered contrary to the request of the Corporation's architect, or before the required inspections specifically set forth in this Agreement, the Shareholder shall cause the enclosure to be uncovered at the Shareholder's expense for observation by the Corporation's architect and thereafter replaced at the Shareholder's expense.\n\nIf any Work other than as described herein, is performed or Shareholder DOB filings are made without being authorized in advance and in writing by the Corporation and its architect the Corporation may stop the Work, in its sole and absolute discretion, advise the DOB and request that the DOB permits issued for the Work be revoked.\n\n4. Acceptance of Responsibility. The Shareholder releases the Corporation, its directors, officers agents and employees from any liability for damage to the portions of the Apartment affected by the Work which may occur in the performance of Building maintenance repairs. The Shareholder accepts sole responsibility for the Work and costs in connection with the maintenance, repair, restoration or replacement of the Work and any portions of the Apartment and the Building affected by the Work. Should the Corporation at any time require the removal of any of the Work in order to gain access to a Building system or part of the Building to perform a repair or improvement, Shareholder shall provide such access and will be responsible for the cost of providing the access and of restoring the Work after the Corporation performs its work. Shareholder acknowledges and agrees that such responsibility shall pass to the Shareholder's successor-in-interest in the Apartment.\n\n5. Notice of Commencement/Letter to Neighbor. After obtaining approval of the proposed alteration Work, the Shareholder agrees to give not less than ten (10) days written notice, setting forth the date the Shareholder plans to commence the Work and the duration of the Work to the Executive Office and the Corporation and provide to the Executive Office an executed letter in the form of Exhibit \"C\" hereto addressed to each of the shareholders or occupants in the apartments that are adjacent to and immediately above and below the Apartment (the \"Adjacent Premises\"). If the Work is not commenced within sixty (60) days of the execution of this Agreement, the consent granted hereunder shall become null and void. The Shareholder may request a reinstatement of such consent, in writing, and approval thereto may be granted or denied in the Corporation's sole discretion.\n\n6. Damage to Building. Any damage to any Adjacent Premises or other apartments or the common elements of the Building, including but not limited to the common structure, infrastructure, equipment, elevators, doors and finishes of the Building, resulting directly or indirectly from the performance or existence of the Work shall be insured by the Shareholder's insurance coverage required hereunder or that of the Contractors. However, the existence of such insurance shall not relieve the Shareholder of liability hereunder. If the Corporation advises of any damage which, in its opinion, was caused by the Work, the Shareholder shall either immediately cause the damage to be repaired or, at the option of the damaged party, submit any claim based on such damage immediately to the Shareholder's insurance carrier and the\n\n9\n\ninsurance carrier of the Contractors without contest to the extent permitted by the insurance policies. The Shareholder agrees to use all reasonable efforts, and to cause the Contractors likewise to use all reasonable efforts, to cause any insurance carrier insuring the Shareholder or the Contractors, as the case may be, to expeditiously settle and pay any amounts for claimed damage for which the Shareholder or the Contractors are responsible hereunder to the Corporation or any impacted shareholder or occupant of the Building. In the event that the Contractors causes damage to any area of the Building, the Corporation shall temporarily suspend the Work until the Contractor submits prompt payment to the Corporation, in an amount reasonably estimated by the Corporation, for any and all expenses incurred by the Corporation due to such damage.\n\n7. Costs Incurred. The Shareholder understands and agrees that all costs for labor, equipment and materials incurred by the Corporation in connection with the Work, in the Corporation's sole discretion, for professional consultations, maintenance and supervision, elevator service, rubbish removal or protection services, including uniformed security guards, shall be charged to and paid for by the Shareholder as Additional Rent, including overtime rates, if utilized. Any such charges shall be billed monthly and paid within ten (10) days of billing.\n\n8. Assumption of Risk. The Shareholder assumes all risk of damage to the Building and its mechanical, electrical, plumbing, ventilation (shafts and components), and fire protection systems, and to persons and property in the Building which may result from or be attributable to the performance or existence of the Work and all responsibility for the maintenance, repair and replacement of any alterations and installations during and after completion of the Work. This responsibility covers all Work, whether or not structural, weathertightness of windows, exterior walls or roofs, waterproofing of every part of the Building directly or indirectly affected by the Work, and maintenance of all heating, plumbing, ventilation, air conditioning, mechanical, electrical and fire protection systems and other equipment installed or altered pursuant hereto. The Corporation is not responsible for any failure of performance of Building services to the Apartment as a result of the Work. If the operations of the Building, or any of the foregoing equipment, is adversely affected by the Work, the Shareholder shall promptly correct the cause of the problem. If, in the Corporation's sole discretion, the Shareholder does not promptly correct the problem, the Corporation may have the problem corrected and the Shareholder shall be liable for all costs and expenses incurred therein, including any legal fees or other professional fees incurred by the Corporation.\n\n9. Days and Hours of Work. The Work may be performed Monday through Friday only between the hours of 8:00 a.m. and 4:30 p.m., provided, however, that hammering or any other noisy Work which may disturb other occupants shall not be performed prior to 9:30 a.m. nor later than 4:00 p.m., Monday through Friday inclusive. The Corporation shall be the sole arbiter as to what constitutes noisy Work. Under no circumstances shall any Work whatsoever be performed on Saturdays, Sundays, legal holidays, between December 24 and January 2, and such other days as the Executive Office shall designate, in its sole discretion.\n\n10. Conduct of Work; Status Report. All Work shall be confined to the Apartment and done in a competent and workmen-like manner and in such a manner and at such times so as to minimize disturbance to other occupants of the Building or the operation of the Building's services. The Shareholder shall cause its Contractors to take all precautions to prevent noisy or disturbing conditions. The Work shall be discontinued immediately should the Corporation deem that it is creating a disturbance to other occupants of the Building, including without limitation, by creating excessive noise, or causing any interruption of the normal operation of the Building. In no event may any cabinetry be fabricated in the Apartment. Shareholder shall not permit the use of the Building's electric service by Contractors, including electrical risers and feeders. If during the course of the Work, the Corporation's architect or the Building's Chief Engineer directs the Shareholder or Contractors to take any action or cease any action based upon this Agreement or as necessary, in their judgment, for the safety, security or reasonable operation of the Building, Shareholder and Contractors shall immediately comply with such directives.\n\nThe Shareholder shall prepare a monthly detailed written report describing the status of the Work and shall submit same to the Executive Office.\n\nIn the event that the Corporation determines, in its sole discretion, that the Shareholder and/or the Contractors are not providing adequate supervision for the Work, the Corporation may provide such supervision by either retaining an independent supervisor or assigning a member of the Corporation's staff to provide such supervision, at the Shareholder's sole cost and expense.\n\n11. Floor Surfaces; Dust Infiltration and Containment; Cleaning of Areas. The Shareholder is solely responsible to prevent dust from escaping from the Apartment into other apartments or the Building's common areas. Prior to commencement of any Work in the Apartment, the entire floor surface area throughout the Apartment and any areas needed for access thereto, including all service hallways, are to be covered with sound-deadening masonite board of not less than one-quarter inch in thickness or such other protections as the Building's Chief Engineer, the Corporation's architect or other designated employee or agent shall specify. The Chief Engineer or other designated employee or agent reserves the right to inspect the protections to determine their adequacy and may require such additional protections as they, in their sole discretion, determine to be necessary or appropriate. Each section of masonite is to be joined together to form a complete stable floor covering throughout the entire Apartment and access areas. This cover is to remain in place until all Work which might in any way create noise is completed. The front door from the Apartment into the Building hallways shall be sufficiently sealed inside the Apartment to prevent the flow of dust into Building hallways but shall remain unlocked during the Work; the Building's Chief Engineer shall be provided with a set of keys to the Apartment. The back door of the Apartment shall be sealed with a zippered enclosure, which door shall be the only one used by Contractors to enter and exit the Apartment. The carpet and floor in the common hallways shall be protected with construction paper prior to commencement of construction. The paper shall be vacuumed using a HEPA filter and damp mop daily. **The Shareholder shall install an exhaust fan with a HEPA filter or a negative air fan, which must develop not less than 0.125\" static pressure, and which shall be operated in the**\n\n11\n\n**Apartment during all Work operations regardless of the size or scope of the Work.** In transporting waste out of the Apartment and the Building, the elevator, hallways and basement corridors must be protected so as to minimize dust, including but not limited to securely covering the dumpster or other transportation vehicle with a heavy-duty grade of plastic, so that no dust is released into the Building's common areas during such transporting. In the event the Building staff is required to perform additional cleaning as a result of the Work, the Shareholder will be responsible for any costs incurred and the same shall be charged to the Shareholder as Additional Rent under the Lease.\n\n# **Shareholder and its Contractors shall comply with the \"Lead-Based Paint/Dust and Debris Containment - Use of EPA Certified Contractors and Workers\" and \"Demolition\" procedures set forth in attached Riders 4 and 5 to this Agreement.**\n\n12. Access to Apartment. All access to and from the Apartment for labor, materials and rubbish removal shall be solely from the service entrance to the Building and the service elevator and via the service door to the Apartment.\n\n13. Location of Risers and Lines. Prior to the commencement of any demolition in the Apartment, all risers and lines, including electric risers and feeders, all plumbing and heating risers, drain lines, vent lines, branch lines, valves and other system components within the Apartment and the adjacent common areas and control valves which regulate supply to the Apartment, must be located and listed in an addendum to the construction plans, as well as how the proposed new lines will be routed to them. Such addendum must be posted in a conspicuous place within the Apartment during the entire alteration Work period.\n\n# 14. Completion of Work; Fees.\n\n(a) The Shareholder shall use the Shareholder's best efforts to ensure that the proposed Work is completed expeditiously, but in any event all Work shall be completed within an aggregate of 170 business days from the date of commencement of the Work, or such other period as the Corporation, in writing, designates (the \"Completion Date\"). The Completion Date will be strictly enforced. The Corporation expresses no opinion regarding the feasibility of completion of the Work within this time period. No Work other than decorative Work, such as painting, wallpapering or carpeting, such as is included in the Work, may be continued beyond the Completion Date without the Corporation's specific written consent. If the Shareholder desires additional time to complete the Work, the Shareholder shall at least five (5) working days before the expiration of the Completion Date, advise the Corporation of the number of consecutive additional days being requested to complete the Work following the Completion Date and, if the Corporation, in its sole discretion consents to an extension of the Completion Date, the Shareholder shall pay to the Corporation the sum of \\$500 per day as consideration for each of the first fifteen (15) of such additional Working days that the Completion Date is extended and \\$1,000 per day for the 16th working day and each day thereafter that the Completion Date is so extended provided, however, that if the Corporation's Executive Office and architect determine, in their sole discretion, that\n\neither: (i) unforeseeable existing conditions in the Apartment or the Building; or (ii) necessary Building work will delay completion of the Shareholder's Work (the \"Extenuating Circumstances\") and warrant an enlargement of the Completion Date, the Shareholder shall be afforded such additional number of Working days to complete the Work as the Corporation's Executive Office and architect determine in light of the Extenuating Circumstances without payment of the foregoing fees. The fees may not be withdrawn from the security deposit provided pursuant to paragraph 28 of this Apartment Alteration Agreement. The Shareholder acknowledges these amounts to be nonrefundable fees to be paid in consideration for amending the Corporation's consent so as to permit the Work to continue past the established, agreed upon Completion Date upon which the Corporation's consent to the proposed Work was given.\n\nThe Shareholder acknowledges and agrees that lengthy apartment alterations cause injury to the Corporation, other shareholders and tenants because of the disruption, dust, noise and other consequences of construction attendant to such alterations, as well as the diversion of Building and management resources, and that the Corporation, other shareholders and tenants cannot be fairly or adequately compensated for damages caused by alterations which continue beyond the Completion Date or any extended completion date. Thus, the Corporation shall have the right, in addition to any other rights that the Corporation may have, to seek entry of an injunction, enjoining construction of the Work. Moreover, recognizing and acknowledging the irreparable nature of the injuries caused by Work extending past the Completion Date or any extended completion date, the Shareholder consents to entry of such an injunction and further agrees to bear any attorneys' fees or other costs incurred by the Corporation in obtaining or enforcing said injunction, which amounts shall be deemed Additional Rent under the Corporation's proprietary lease.\n\nImmediately following the Completion Date, or the extension thereof as provided above, the Board of Directors, in its sole and absolute discretion, has both the right and the intention to stop Work on the project. At that time, the Work will be shut down completely and the Shareholder will be required, if the Shareholder desires to complete the project, to submit a proposed scope of Work, detailing among other things, a schedule for each trade showing the new proposed completion date for such trade and for project completion, and, if the Corporation consents to the same, to execute an amendment of this Apartment Alteration Agreement. The Board, in its sole and absolute discretion, may or may not enter into and/or approve an amendment and permit any further Work to be undertaken thereafter. Once so stopped, Work will only be allowed to begin again at the discretion of the Board and in compliance with the provisions of this paragraph 14, including the payment of all fees required and the costs incurred by the Corporation for reviewing the new proposed scope of Work which the Corporation shall be entitled to apply from the security deposit provided pursuant to paragraph 28 of this Apartment Alteration Agreement.\n\nNotwithstanding any other provision of this paragraph, if the Corporation elects to apply to the Shareholder's non-refundable fee for extension of the Completion Date or the use-offacilities fee the security deposit or any portion thereof that the Shareholder has provided\n\n13\n\npursuant to paragraph 28 of this Agreement, same shall be without prejudice and in addition to any remedies the Corporation may have, including the right to stop all Work. If the security deposit provided pursuant to paragraph 28 is diminished by one-half of the original amount, Shareholder shall replenish it to the full amount within three (3) days after the Corporation's demand. No Work shall be permitted to continue until the security deposit is replenished.\n\nThe determination of whether the Work is completed shall be made by the Corporation, and the Corporation's determination shall be conclusive. The Shareholder agrees that any consent to performance of Work after the Completion Date granted by the Corporation may be revoked by the Corporation immediately if the Shareholder fails to comply with any requirement of this Apartment Alteration Agreement or the amendment providing for an extended completion date. The Shareholder is aware of, and fully understands the consequences of breaching this agreement by failing to complete Work by the Completion Date, or any extended completion date which may include, but not be limited to, the termination of the Shareholder's right to perform Work before the Work is completed.\n\nAll time limitations set forth in this paragraph shall be subject to extension for delays, subject to approval by the Corporation, caused by or attributable to acts of God, unusual weather conditions or strikes not attributable to the Shareholder's or the Contractors' or other Shareholder's agents' bad faith, or delays due to Building work by the Corporation.\n\n(b) Use of Facilities Fee. In addition to all other amounts charged hereunder, the Shareholder shall pay to the Corporation, prior to the commencement of any Work, a non-refundable use-of-facilities fee in an amount equal to \\$.75 multiplied by the number of shares allotted to the Apartment for each calendar month, or portion thereof, that the Work continues. This is to allow the Corporation to address the demands on building staff and management and prevent interruption to normal Building service, as well as the extraordinary wear and tear on the Building's physical plant, including service elevators. The Shareholder's obligation to pay such use-of-facilities fee shall terminate if and when the Corporation's reviewing architect certifies to the Corporation that the Work is complete.\n\n(c) Close-out Fee. Forty (40) days after the Work has been completed, as determined by the Corporation, if the Shareholder has not submitted the required closeout documents as provided for in paragraph 32 of this Agreement, the Shareholder shall pay to the Corporation a fee of \\$2,000 for each calendar month or portion thereof that such close-out documents have not been submitted to the Executive Office.\n\n15. No Interference With Building Systems. The Shareholder will not interfere or permit interference with the Building's intercommunication, gas, heating, electric systems or any other Building system or service. The Shareholder agrees that the Work will not alter or relocate the main plumbing and heating lines without the Corporation's prior written consent. No gas lines outside the Apartment may be moved or shut down. Intercommunication lines shall be modified only by agents of the Corporation, at the Shareholder's cost and expense.\n\n14\n\n16. Use of Power Tools. The use of power tools such as electric hammers, automatic jack hammers, portable electric saws, and/or other pneumatic tools or sledge hammers which may disturb other occupants of the Building or cause cracks in the walls of other apartments and/or Building pipes, will not be permitted without the Corporation's prior written approval. A list of the power tools proposed to be used must be included in the plans and specifications for the Work. If the Corporation's written approval to use such tools is given, at least ten (10) days prior written notice of any noise producing Work must be given by the Shareholder to the residents of Adjacent Apartments. Heavy duty industrial type power tools are prohibited. The Corporation reserves the right, in its sole and absolute discretion, to stop any Work in the event of excessive noise and/or vibrations, if workers are using prohibited or unauthorized power tools or if such tools and/or their manner of use do not comply with the New York City Noise Control Code, as amended.\n\n17. No Deviation from Approved Plans and Shareholder's Authorized DOB and LPC Filings. All Work will be performed strictly in accordance with the approved plans and specifications and in accordance with the Shareholder's LPC and DOB filings authorized by the Corporation and its architect. The Shareholder agrees that no amendments to the approved plans and specifications or any changes of any kind in the scope of the proposed alteration Work shall be made without the written approval of the President or Executive Vice President of the Corporation. If any Work, other than as described herein is performed, or Shareholder DOB and LPC filings are made without being authorized in advance and in writing by the Corporation and its architect, the Corporation may stop the Work, in its sole and absolute discretion, advise the DOB and request that the DOB permits issued for the Work be revoked.\n\n18. Quality of Work and Materials Used. The alterations and materials used shall be of a quality and acoustical standards in keeping with the luxury class character of the Building. Should there be any doubt concerning the quality or style of the Work, the materials used or the acoustical standards to be met, the Corporation shall be the sole arbiter in resolving the doubt. **All materials used must be mold resistant.**\n\n19. Safety: Installation of Smoke and Carbon Monoxide Detectors; Window Guards. The Shareholder agrees that two (2) functioning ABC fire extinguishers are to be kept in the Apartment during the Work, with locations clearly labeled, and to install functioning smoke alarms, and carbon monoxide detectors, and such other precautions as the Board directs, in its sole discretion, which shall be maintained in the Apartment during the Work, and one of each such devices shall be installed for every 1,500 square feet within the Apartment. Temporary lighting shall be installed in the Apartment and one light will be lit at all times as necessary. In the event one or more children ten (10) years old or younger occupy the Apartment during the alteration Work, window guards must be installed by the Shareholder on all windows, as required by law.\n\n20. Access to Fire Exit. The Shareholder agrees that the Work shall not block access to any fire exits in the Building and to maintain unobstructed all fire exits to and from the Apartment.\n\n21. No Violation of Law; Insurance Policies. The Shareholder will not do or permit any act or thing to be done contrary to law, including OSHA Safety requirements and precautions, or which will invalidate or be in conflict with or cause an increase in the premiums payable by the Corporation for liability, multi-peril casualty or other insurance policies carried by the Corporation or for the Corporation's benefit.\n\n# 22. Indemnification and Legal Fees.\n\nIndemnification. The Shareholder agrees to defend, indemnify and hold harmless the Corporation, the Corporation's directors, officers, shareholders, consultants and the Corporation's shareholders' agents, partners, servants, employees, tenants, guests, licensees, invitees, and all other occupants of the Building (each, an \"Indemnified Party\" and collectively, the \"Indemnified Parties\") from and against any and all claims, damages, expenses (including reasonable attorneys' fees and expenses) -- whether made by the Shareholder, the Corporation or a third party -- suffered by persons or property as a result of or in any way related to: (i) the Work to the Shareholder's Apartment or its adverse impact on the comfortable occupancy of other apartments in the Building; (ii) the Shareholder's failure to comply with the Shareholder's obligations hereunder (including without limitation the obligation to repair and maintain the Work); (iii) the Shareholder's failure to perform the Work in accordance with the approved plans and specifications and the terms and conditions contained herein, unless caused solely by the negligence of the Indemnified Parties, and/or (iv) the Shareholder's filing of required forms (including DOB Form PW1 and submissions for a DOB work permit and the statements made therein whether such filing(s) were authorized by the Corporation or not, and for any and all liabilities arising therefrom or incurred in connection therewith, including, without limitation, any liability incurred in connection with the removal, encapsulation, enclosure or other abatement of asbestos containing material or the transportation and disposal of the same or any liability incurred in connection with the disturbance, sealing, containment, cleaning or removal of any lead based paint existing on any window, wall, floor board, trim, molding or other surface located in the Shareholder's Apartment or in an area contiguous with or adjacent to the Shareholder's Apartment of which the Shareholder is entitled to limited access or exclusive use thereof, and to defend, indemnify and hold harmless such Indemnified Parties against any claims by others for damages to persons or property resulting from the Work being undertaken, and to reimburse such parties for any costs and expenses, including, without limitation, attorneys' fees and disbursements, incurred as a result of the Work, including, without limitation, asbestos and lead-based paint abatement Work. Nothing in this paragraph, nor in this Agreement, shall indemnify or hold harmless the Corporation against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees whether such negligence be in whole or in part. This indemnification shall survive the completion of the Work.\n\nLegal Fees. In addition to the foregoing, the Shareholder hereby expressly indemnifies the Indemnified Parties for all legal and other professional fees and disbursements incurred by them (i) due wholly or in part to this Apartment Alteration Agreement and/or the\n\nWork to be performed hereunder, including but not limited to, Shareholder's breach or alleged breach of this Agreement or (ii) in any action or proceeding between the Shareholder and such Indemnified Party which relates to this Apartment Alteration Agreement and/or the Work to be performed hereunder. This indemnification shall survive the completion of the Work.\n\n23. Shutdowns of Building Systems. All Work that requires a temporary shutdown of the water, heating, ventilation or electrical system affecting areas in the Building outside the Apartment must be scheduled with the Building's Chief Engineer after approval of the Executive Office has been granted in writing. At least three (3) business days prior written notice of such shutdown shall be given by the Shareholder to the occupants of all affected apartments. The Shareholder acknowledges and agrees that the shutdown of such systems causes disruption and injury to other shareholders and occupants and that multiple shutdowns are therefore not warranted. Accordingly, if more than one shutdown of the aforementioned systems is requested by the Shareholder, approval of same shall be in the Corporation's sole and absolute discretion. Further, if approval of a temporary shutdown of any of the aforementioned systems is granted, the Shareholder shall pay to the Corporation \\$500 per day for the first day or portion thereof and \\$1,000 a day for each subsequent day or portion thereof. Shutdowns may not exceed three (3) hours in duration or take place on more than two (2) consecutive days. No Work that requires shutdown of the heating system will be permitted during the heating season. No work that requires a shutdown of the cooling system will be permitted during the cooling season. In no event will any shutdown of gas services affecting areas outside the Apartment be permitted.\n\n24. Removal of Rubbish; Deliveries. It is the Shareholder's responsibility to have all rubbish, discarded equipment, empty packing cartons and other materials removed from the Building and its environs by way of the service elevator at the Shareholder's own expense in containers approved by the Corporation, taking all due care to minimize dust in the Building's common hallways, elevator and basement. All materials and rubbish will be placed in barrels sprayed down with water or bags before being taken out of the Apartment. In no event shall any materials or bags of rubbish be placed, maintained or stored in the common areas of the Building or outside the Building or in its environs, nor shall any \"street containers\" or \"dumpsters\" for the storage of rubbish be placed, maintained or stored outside the Building or in its environs without the Corporation's prior written consent on such terms and conditions as the Corporation may prescribe. All carts, dumpsters and the like shall be kept inside the Apartment until removal arrangements are made and implemented. Removal of rubbish shall be allowed only as instructed by the Building's Chief Engineer and shall be allowed only between the hours of 9:30 a.m. and 4:00 p.m., Mondays through Fridays, and must be made at the end of every working day and shall be supervised by the Contractor. If, in the Corporation's discretion, the Shareholder has failed to remove the rubbish to the Corporation's satisfaction, the Corporation may have it removed and the Shareholder will be responsible to the Corporation for any and all costs and expenses incurred, which amounts shall be due from the Shareholder as Additional Rent under the Lease.\n\nAll deliveries will be coordinated with the Building's Chief Engineer. Deliveries may be made only on days and at times when Work is permitted, and only as directed by the\n\nBuilding's Chief Engineer. No more than one truck providing supplies or services to the Shareholder shall be parked within 50 feet of the front entrance of the Building.\n\nThe Shareholder acknowledges that leaving the service or street entrance to the Building open and unattended for any period of time constitutes a security hazard to the Building. Prior to any activity which may interfere with the security of the Building, the Shareholder will obtain approval from the Executive Office at least 48 hours in advance of such activity. The Shareholder agrees to reimburse the Corporation for any wages or related expenses incurred in connection with the Building's right to maintain security by posting a Building employee or a professional security person at Building locations during such activity, as Additional Rent under the Lease.\n\n25. Storage of Materials. No materials, including tools, may be stored overnight in the common areas of the Building without the prior written consent of the Executive Office and at Contractor's risk. Materials and tools may be left in the Apartment at the Contractor's risk.\n\n26. Payment of Fines. The Shareholder hereby authorizes the Corporation to pay from the deposit held by the Corporation pursuant to paragraph 28 hereof any sanitation or other fines which may be assessed against the Corporation by any government instrumentality by reason of the Shareholder's materials or rubbish, or for any other reason.\n\n27. Use of Service Elevators. The Shareholder recognizes that only the service elevator or such other elevator designated by the Corporation may be used (a) by the Contractors, (b) to transport any materials or equipment to or from the Apartment, and (c) to remove rubbish from the Apartment. No material will be taken on top of any elevator cabs. No materials may be hoisted without the written consent of the Corporation. The service or other such elevator designated by the Corporation shall be available for such purposes only at such times as the Corporation may direct and may be limited, depending on other Building activities or alterations. If the convenience of other tenant-shareholders requires that the service elevator or other such elevator designated by the Corporation requires a designated operator or be operated on all overtime basis, the Shareholder will promptly reimburse the Corporation for any wages or related expenses incurred in connection therewith upon demand, and shall be treated as Additional Rent under the Corporation's proprietary lease.\n\n28. Security Deposit. As security for the faithful performance and observance by the Shareholder of the terms and conditions of this Apartment Alteration Agreement, the Shareholder is concurrently herewith delivering to the Corporation the Shareholder's check payable to the order of The Sherry-Netherland, Inc. in an amount equal to \\$100,000 or such other amount (but not less than \\$25,000) as the Board of Directors shall determine in its sole discretion, as a condition for its approval,\\* the proceeds of which may be deposited by the Corporation upon the Corporation's acceptance of this Apartment Alteration Agreement. An additional security deposit payable by the Shareholder to the Corporation shall be required in the\n\n \\* This amount may be varied by the Board as a condition for its approval depending on the scope of the Work.\n\namount of \\$15,000 if the proposed Work requires an amended Certificate of Occupancy as determined by the Corporation's reviewing architect, so that in the event the Shareholder fails to timely obtain an amended Certificate of Occupancy, the Corporation may, in its discretion, do so. However, nothing herein shall relieve or excuse the Shareholder from the obligation to obtain such amended Certificate of Occupancy and deliver same to the Corporation. In the event that the Shareholder or persons engaged by the Shareholder to perform the Work cause loss, cost or expense to the Corporation or the Corporation's property, including without limitation any loss, costs or expense arising from or relating to (a) the fees of any architect, engineer or other professional or consultant engaged by the Corporation to review the plans and specifications or to review from time to time the progress of the Work, (b) the fees of the Corporation's attorneys engaged in the event of the Shareholder's breach or alleged breach of the provisions of this Apartment Alteration Agreement, or otherwise in connection with the Work, (c) damage to the Building, including carpeting, paint or wallpaper in the Building's hallways or to other common areas (including, without limitation, the cost of cleaning, shampooing, repairing or repainting the same if soiled or otherwise damaged), (d) damage to any other apartment in the Building, (e) Work extended beyond the Completion Date as provided for in paragraph 14 herein, (f) the use of facilities fee and/or close-out fee, as provided for in paragraph 14 hereof, or (g) any other expenses incurred by the Corporation in connection with any complaints or violations of this Apartment Alteration Agreement, the Corporation may deduct an appropriate sum from the deposit. The Corporation shall be the sole arbiter in the determination of the charges to be deducted from the deposit.\n\nIf the deposit is diminished by one-half of the original amount, the Shareholder shall replenish it to the full amount within three (3) days after the Corporation's demand. The Shareholder agrees that the Corporation may use, apply or retain the whole or any part of the security so deposited to the extent required or permitted hereunder.\n\nIf the Shareholder shall comply with all of the terms and conditions of this Apartment Alteration Agreement, the Shareholder understands that the security deposit or remaining balance thereof shall be promptly returned to the Shareholder after: completion of the Work; a statement, in a form acceptable to the Corporation, from the Shareholder's architect who signed the Shareholder's original plans that the Work has been completed in accordance with the approved plans and specifications and complies with all applicable laws; inspection of the Apartment by the Building's Chief Engineer and the Corporation's reviewing architect; delivery to the Corporation of two (2) sets of as-built plans showing all Building risers; copies of all Work permit close-out documentation filed with The New York City Department of Buildings; release of liens from all Contractors; a completed EPA Sample Renovation and Record-Keeping Checklist (Rider 4); receipt of an amended Certificate of Occupancy, if required; and receipt of a final sign off and close out with the Bureau of Electrical Control, if required.\n\n**No housekeeping services will be restored to the Apartment until the Shareholder has complied with the foregoing conditions for return of the Security Deposit, provided however that with regard to the Work permit close-out letter from the DOB, the amended Certificate of Occupancy and final sign-off and close-out documentation from the**\n\n19\n\n# **Bureau of Electrical Control, housekeeping services will be restored even in the absence of the delivery to the Corporation of these documents, upon a showing by the Shareholder to the satisfaction of the Corporation's architect, that the Shareholder is diligently pursuing the issuance of such documents.**\n\n29. Required Work. The Shareholder agrees that the Shareholder shall, at the Shareholder's sole cost and expense, perform the following as part of the Work:\n\n(a) Acoustical Attenuation and Sound Proofing.To install acoustical attenuation and sound proofing materials in and under new or suspended ceilings and within new floors and/or walls in the Apartment, as specified and directed by the Corporation's reviewing architect in his sole and absolute discretion. Such soundproofing shall include but not be limited to the Shareholder's obligation to finish ceiling and soffit construction in plaster, mold-resistant gypsum board, or other acoustic ceiling material, fastened with NYC code-compliant hung black-iron system or furred with resilient sound isolating channels, installed to achieve a minimum Noise Isolation Class Rating (NIC) of 55 NIC between vertically adjacent apartments and spaces.\n\n(b) Damp-Proofing and Waterproofing. When the Work involves disturbance or replacement of interior finishes at exterior walls, to expose the back-up masonry and existing damp-proofing and/or waterproofing materials and, prior to restoration or replacement of such interior finishes, restore or provide such new materials as are necessary to achieve a sound damp-proof and water-proof condition. Shareholder shall submit the clear extent of such work as well as the proposed materials and construction detailing for such damp-proofing and water-proofing Work for review and approval by the Corporation's consulting architect.\n\n30. Apartment Transfers. If, after making any alterations or installing any equipment pursuant to the Work, the Shareholder shall seek to transfer the Corporation's shares allocated to the Apartment and the proprietary lease appurtenant thereto, as a condition prior thereto, the Shareholder shall provide the Corporation with an agreement by the Shareholder's transferee in the form of Exhibit D annexed hereto pursuant to which such transferee agrees to assume all of the Shareholder's obligations hereunder, including the Shareholder's continuing obligations and understandings expressed herein.\n\n31. Payment of Expenses; Discharge of Mechanics' Liens. The Shareholder will bear the entire cost of alterations and installations and pay all bills incurred in connection therewith, not later than thirty (30) days after completion of the Work. If any mechanic's liens are filed for Work claimed to have been done or materials alleged to have been supplied, the Shareholder shall cause such liens to be discharged of record within ten (10) days after such filing. If the Shareholder fails to do so, the Corporation may exercise any and all of the Corporation's rights and remedies under the Lease or this Agreement including, in its sole discretion, pay such lien, bond such lien or take any other action to discharge such lien. In such event, within ten (10) days of a written demand by the Corporation, the Shareholder shall pay to the Corporation all amounts, plus interest from the date of payment by the Corporation at the highest New York\n\nState statutory rate for interest on judgments, paid or incurred by the Corporation, including but not limited to attorneys fees and disbursements and bond premiums. If the Shareholder fails to timely make such payment, such sums shall be deemed to be and paid as Additional Rent under the Lease. The Corporation may also exercise all of its rights and remedies under the Lease.\n\n32. Close-Out of Work Permit; Amendment to Certificate of Occupancy. Within forty (40) business days after the completion of the Work, the Shareholder will deliver to the Corporation an amended certificate of occupancy and a certificate of the Board of Fire Underwriters, if either be required, and such other proof as may be necessary to demonstrate that all Work has been done in accordance with all applicable laws, ordinances and government regulations, (including, without limitation, a New York City Department of Buildings (i) Letter of Completion, (ii) Certificate of Plumbing Inspection and (iii) Bureau of Electrical Control Certificate of Inspection), together with a statement from the architect or engineer who signed the Shareholder's original plans, in a form acceptable to the Corporation, that the Work has been executed in accordance with those plans and complies with all applicable laws, which statement shall be accompanied by two (2) sets of \"as built\" plans showing all Building risers and valves; copies of all Work permit close-out documentation filed with the New York City Department of Buildings; a completed EPA Sample Renovation and Record-Keeping checklist (Rider 4); a written statement from the Building's Chief Engineer that the Work has created no damage in Adjacent Premises or common areas of the Building which has not been repaired to the satisfaction of the injured party; and release of lien(s) from all Contractors. No appointments for a final DOB inspection to \"sign-off\" on the Work shall be made prior to the Corporation conducting an inspection to confirm that the Work complies with the approved plans and specifications and the Corporation shall have a reasonable time (not less than ten (10) business days) before the DOB inspection within which to make its inspection. If an amended certificate of occupancy or certificate of the Board of Fire Underwriters or sign off or close-out documentation from the New York City Bureau of Electrical Control is not required, the Shareholder's architect must submit a statement to that effect. If there is any doubt as to whether an amended Certificate of Occupancy is required at the completion of the Work, the Corporation's designated architect shall be the sole arbiter in resolving the doubt.\n\n33. No Opinion; No Reliance. The Shareholder recognizes that, by granting consent to the Work and authorizing Shareholder's LPC and/or DOB filings, the Corporation does not profess to express any opinion as to the design, feasibility, cost or efficiency of the Work. In no event shall any approval or consent granted hereunder be construed to relieve the Shareholder from any responsibility or obligation contained herein or impose any liability on the Corporation with respect to the Work or Shareholder's LPC or DOB filings. The Shareholder acknowledges and agrees that no reliance may be placed by the Shareholder on the Corporation's architect designated pursuant to paragraph 3 with regard to the design, cost, feasibility, compliance with applicable laws or Building codes, efficiency of the Work or Shareholder's obligations hereunder. Notwithstanding anything to the contrary contained herein, neither this Agreement nor the Corporation's consent to the making of alterations or the Work shall in any way be construed as giving the Shareholder any right to either: (i) perform any work or enter into an agreement for the performance of any work in; or (ii) obtain the right of access to any other\n\n21\n\napartment or any terrace, balcony or any common area in the Building, in connection with the performance of the alteration or approved Work contemplated under this Apartment Alteration Agreement. The Shareholder must obtain the consent of other shareholders if entry and/or access to their apartment, balcony or terrace is desired to complete the authorized Work and the consent of the Corporation if access to Building common areas is desired to complete the authorized Work.\n\n34. Failure to Comply. The Shareholder's failure to comply with any of the provisions hereof or the directions or requirements issued by the Corporation's consulting Architect or any other designee of the Corporation, shall be deemed a breach of the provisions of the Lease, pursuant to which the Corporation's consent to the Work has been granted, and, in addition to all other rights, the Corporation may suspend all Work and prevent workmen from entering the Building and/or the Apartment for any purpose, except that if they are accompanied by a member of the Building's staff they may remove their tools or equipment. In such event, the Corporation may also revoke the Corporation's permission for the Shareholder to undertake the alteration Work.\n\n35. Correction of Work. The Shareholder shall promptly correct all Work rejected by the Corporation as (a) defective, (b) failing to conform to this Alteration Agreement or the approved Work, the Shareholder's LPC and/or DOB filings authorized by the Corporation, performed pursuant to a DOB filing or Work permit issued that was not authorized in advance and in writing by the Corporation, or the laws, rules, orders or regulations of any governmental authority having jurisdiction over the Building or (c) creating any violation of any policy of any insurance carrier, whether or not such Work is fabricated, installed or completed. The Shareholder shall bear all costs of correcting such rejected Work, including compensation for the additional services of any architect, engineer, lawyer or other consultant engaged by the Corporation pursuant to the terms hereof or made reasonable and necessary thereby, which shall be treated as Additional Rent under the Lease.\n\n36. Release and Waiver of Claims. Shareholder releases the Corporation, its directors, officers, agents, employees and shareholders, from any and all liability for loss or damage to any of Shareholder's property which may result from or be in any way connected with the Work, provided however that nothing in this paragraph, nor in this Agreement, shall indemnify or hold harmless the Corporation against legal liability it might otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees, whether such negligence be in whole or in part.\n\nShareholder hereby waives any claims which Shareholder may now or hereafter have against the Corporation and its respective former, current and future directors, officers, employees, agents and shareholders based upon the interruption or suspension of the Work by the Corporation regardless of the reason for such interruption or suspension.\n\n37. Additional Rent. The Shareholder agrees that all amounts, fees, penalties and expenses incurred by the Corporation and/or required to be paid by the Shareholder pursuant to this Agreement shall be considered Additional pursuant to the Lease.\n\n38. Security Procedures. The Shareholder acknowledges that the Shareholder has been advised that no workers will be permitted in the Building without the express, prior authorization of an authorized representative of the Corporation. The Shareholder must provide the Executive Office with a list of the workers expected to be admitted to the Building by name and type of work they are to perform. Workers will not perform on any day any Work other than that identified by them on the daily log for that day. All workers must have and display a proper photo identification, a current and valid union membership card for the trade/Work that they are to perform, and must otherwise comply with Building security procedures. It is the Contractor's responsibility to ensure that an exclusively dedicated and qualified English-speaking foreman or supervisor with appropriate communication skills to communicate with the workers is at all times on site. The Shareholder further acknowledges and agrees that Contractor and Shareholder shall ensure that prior to entering and upon exiting the Building each day, the Shareholder's workers, including the Contractor and all subcontractors, will be required to sign the daily log to be maintained by the Corporation at the service entrance to the Building, and receive a daily pass. The Contractor shall employ a full-time project superintendent at the building, as detailed in paragraph 1(h) of this Agreement, and all Work shall be performed in the presence of the project superintendent. If required by the Corporation, the Shareholder will engage a person provided by the Corporation at the Shareholder's sole cost and expense to provide additional security for the Building and its occupants and to coordinate the Work in the Apartment with other activities in the Building while the Work is proceeding.\n\n39. Conduct of Workers. At no time during performance of the Work will a radio, tape player, compact disc player, television or similar sound-producing device be used in the Apartment or common areas of the Building. No workers may lounge or smoke in the Apartment or any part of the Building's common areas, nor on the sidewalks directly adjacent to the Building. Shareholder must provide bathroom facilities as well as a working slop sink for use by workers within the Apartment. Workers may not use bathroom facilities or sinks in any other part of the Building. Workers may not \"borrow\" tools or equipment owned by the Corporation.\n\n40. No Amendment; No Assignment. This Agreement may not be changed orally. This Agreement shall be binding on the Corporation and its successors, and the Shareholder and his, her or its successors, personal representatives and authorized assigns. No party may assign this Agreement or any of its rights or obligations hereunder without the prior written approval of the other party.\n\n41. Agreement Not Binding. This Agreement shall have no force or effect until (a) this Agreement has been executed by the President or a Vice-President of the Corporation or a member of the Board of Directors designated by the President, (b) the Shareholder's filings with the LPC and/or the DOB are authorized by the Corporation and its reviewing architect, and\n\n(c) the Corporation has received all documents, non-refundable fees and deposits pertaining to the Work required to be delivered by this Agreement. The Shareholder acknowledges that no employee of the Corporation has any authority to execute or approve this Agreement or to waive any provisions thereof. Any deviation from the Work approved in this Agreement or the authorized LPC and DOB filings made by the Shareholder shall void in its entirety the Corporation's permission to perform the Work granted hereby.\n\n42. No Waiver. No waiver or delay in the enforcement of any provision, condition and/or covenant of this Alteration Agreement by the Corporation or Shareholder shall be deemed to imply and/or constitute a further waiver of the same or any other provision, condition and/or covenant of this Agreement.\n\n43. New York Law. This Apartment Alteration Agreement shall be construed in accordance with the laws of New York and any action or proceeding arising out of or in any way connected with this Agreement may only be brought in a New York State court, venued in the County of New York.\n\n44. Entire Agreement. This Agreement supersedes any and all prior and/or concurrent representations, promises, understandings and agreements, oral and/or written, between the Shareholder and the Corporation, its shareholders, officers, directors, agents, employees, independent contractors and professionals and constitutes the entire Agreement between the Shareholder and the Corporation and shall not be modified, amended and/or changed in any way except by written agreement signed by the Corporation and the Shareholder.\n\n45. Severability. If any provision of this Apartment Alteration Agreement be adjudged void, voidable and/or illegal, such adjudication shall not affect the enforceability of the remaining provisions thereof.\n\n46. Completed Alteration. The Shareholder agrees to take all precautions to prevent the completed apartment alteration from creating a \"noisy\" or disturbing condition to any other shareholder. The Shareholder further agrees that, if despite preventative measures to avoid \"noisy\" and disturbing conditions to other shareholders, including but not limited to the installation of acoustical attenuation and sound-proofing materials, as directed by the Corporation's reviewing architect or engineer pursuant to paragraph 29 hereof, the Corporation determines in its reasonable discretion, based upon shareholder complaints, that the Apartment alteration has created a \"noisy\" or disturbing condition, the Shareholder shall take all steps, at its sole cost and expense, to repair or remove (if necessary) the alteration to alleviate the disturbing condition.\n\n47. Notices. Except as otherwise expressly provided for herein, all notices hereunder shall be in writing and sent by registered or certified mail, return receipt requested, addressed to the Shareholder at the Building and addressed to the Corporation at the Building with a duplicate notice addressed to the Corporation in care of the Executive Office. Notices hereunder shall be deemed given on the date when mailed.\n\n24\n\n48. Headings. The captions and titles in this Agreement are for convenience only and shall not be construed as part of this Agreement.\n\n49. Contractor Licensing. A law concerning home improvement contracts went into effect in New York State on March 1, 1998. The provisions of this law apply to all home improvement contracts for more than \\$500.00 and address the issues of required licensing, contracts and the conduct of the contractor's business operations. The Attorney General is responsible for enforcement of this law. Information may be obtained by contacting the Attorney General's Office at: New York Department of Law, Bureau of Consumer Frauds and Protection, 120 Broadway, 3rd Floor, New York, New York 10271, Tel: (212) 341-2000 or (212) 341-2314.\n\n50. Payment of Fees and Consideration. Shareholder acknowledges and agrees that it has entered into this Agreement freely and independently, having consulted with such counsel and advisors as Shareholder deems advisable. Shareholder further acknowledges and agrees that upon commencement by Shareholder of the Work, Shareholder thereby releases the Corporation from any claims for or in any way related to Shareholder's payment of fees, deposits or other monies paid or payable hereunder.\n\n51. No Other Fees or Gratuities. Except as provided for herein, no other fees (and no gratuities and/or other payments) are required or expected to be paid to the Corporation, its employees or agents in connection with the performance or approval of the Work. If any such payments are solicited, the Shareholder should report same to an officer of the Corporation.\n\n52. No Third-Party Beneficiaries. No person or entity not a party to this Agreement, including any other shareholder in the Corporation shall be deemed a third-party beneficiary hereunder nor, in pursuing any claims against the Shareholder or the Corporation that are parties to this Apartment Alteration Agreement, shall this Agreement form the basis for any claim by any person or entity not a party to this Agreement.\n\n53. Waiver of Jury Trial. In any dispute regarding, arising out of or in any way connected with this Agreement or the Work, the parties mutually waive any right to a trial by jury.\n\n54. Proprietary Lease. The terms and conditions of this Agreement Alteration Agreement shall not relieve the Shareholder of any obligation under the Lease for the Apartment or the Corporation's By-Laws and House Rules.\n\n55. No Personal Liability of the Corporation's Officers, Directors or Agents. The Corporation's current, past and future officers, directors or agents, in their capacity as such, shall have no personal liability to the Shareholder for damages for any alleged breach of duty to the Shareholder in connection with or in any way related to the Work or this Apartment Alteration Agreement.\n\n# EXHIBITS A-F AND RIDERS 1-12 ARE ATTACHED HERETO AND MADE A PART HEREOF\n\nVery truly yours,\n\nShareholder\n\nShareholder\n\n# PERMISSION GRANTED AND RECEIPT OF CHECK FOR SECURITY DEPOSIT IN THE SUM OF \\$\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ ACKNOWLEDGED\n\n# **THE SHERRY-NETHERLAND, INC.**\n\nBy:\n\nName:\n\nTitle:\n\n# **EXHIBIT A**\n\n### **CHECKLIST OF INITIAL AND CONTINUING SHAREHOLDER SUBMISSIONS**\n\nThe following information, fees and deposits must be provided to The Sherry-Netherland, Inc., in triplicate, in order for the alteration to proceed. Failure to provide the same may result in a delay in processing of the alteration application or the commencement or continuation of the Work.\n\n| | Initial Submissions (before Work may commence) | Date Submitted | |\n|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|--|\n| 1. | Alteration Application (3 copies) | | |\n| 2. | Executed Alteration Agreement (3 copies) | | |\n| 3. | Stamped Architect's drawings
with Detailed Specifications and a
Room-by-Room List of All Work (3 copies) | | |\n| 4. | Scope of Work/Narrative Description in Layman's Terms (3 copies) | | |\n| 5. | Indemnification and Representation Letters from Contractors | | |\n| 6. | List of Contractors and Subcontractors, License Information and
copies of Master License for Plumber and Electrician
and copies of
current and valid union membership cards for all Workers | | |\n| 7. | Name and required Qualifications of Dedicated On-Site Supervisor
for Work | | |\n| 8. | Contracts with Contractors and Subcontractors | | |\n| 9. | Contractors' and Subcontractors' Certificates of Insurance for
Additional Named Insureds | | |\n| 10. | Evidence of Shareholder's Homeowners' Liability Insurance and
Premium Payment | | |\n| 11. | Copies of Insurance Policies and all Endorsements and Evidence of
Premium Payment | | |\n| 12. | Evidence of Contractors' and Subcontractors' Lead-Based Paint
Remediation Certification | | |\n| 13. | HPD Lead-Based Paint Exemption Certificate | | |\n| 14. | Evidence of Contractor's EPA Lead-Based Paint Remediation
Certification, if required | | |\n| 15. | Lead-Based Paint Test Results and Report from EPA Certified
Inspector or Risk Assessor | | |\n| 16. | Schedule for Work | | |\n| | | | |\n\nCase 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 66 of 117\n\n| 17. | Contractor's Noise and Vibration Management/Mitigation Plan |\n|-----|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 18. | Contractor's Certification of Compliance with Dust Mitigation
Procedures Detailed in Rider
5 to
this Agreement |\n| 19. | Schedule of deliveries |\n| | \\$1,500 payable to The Sherry-Netherland, Inc., (processing fee) |\n| | \\$100,000 payable to The Sherry-Netherland, Inc., or such other
amount as is determined by the Corporation (security deposit)
\\$___ payable to The Sherry-Netherland, Inc., (use of facilities fees) |\n| | \\$___ payable to The Sherry-Netherland, Inc., (architectural, legal and
other fees incurred prior to commencement of Work) |\n| 20. | Completed DOB Form PW1, signed by Shareholder as
owner/applicant |\n| 21. | Copy of
DOB Form PW1, as filed by Shareholder with DOB |\n| 22. | Completed LPC Application Form |\n| 23. | Copy of LPC Application Form, as filed by Shareholder with LPC |\n| 24. | Indemnification and Representation Letter from Shareholder |\n| 25. | Rider 4 to this Agreement, executed by the Shareholder and
Contractor |\n| 26. | Work Permits Issued Pursuant to Authorized Shareholder DOB
Filing |\n| 27. | Letter to Neighboring Shareholders (4 copies) |\n| | Continuing Shareholder Submissions and Fees. |\n| 28. | Proposed Revisions to Plans |\n| 29. | Proposed Amendments or Supplements to DOB forms, signed by the
Shareholder LPC and as owner/applicant |\n| 30. | Copies of Amendments or Supplements to DOB forms, as filed by
Shareholder with DOB as owner/applicant |\n| 31. | Amended/Supplemental Work Permits Issued Pursuant to Authorized
Shareholder
LPC and DOB Filings |\n| 32. | Monthly Reports on Status of Work |\n| 33. | Amendments to Contracts |\n| 34. | \\$___ payable to The Sherry Netherland, Inc., (consideration for
extension of Work Completion Date) |\n\n| 35. | Revisions to Schedule of Work; if Required | |\n|-----|---------------------------------------------------------------------------------------------------------------------------------------------|--|\n| 36. | Revisions to Schedule of Deliveries | |\n| 37. | Amended Certificate of Occupancy, if Required, Unless Exempted
Under Department of Buildings TPPN #3 of 1997 | |\n| 38. | Certificate of Board of Fire Underwriters, if Required | |\n| 39. | Architect's Statement of Compliance with Plans and 2 sets of \"as
built\" plans (including all building risers) | |\n| 40. | Department of Building Close-Out Documentation | |\n| 41. | Completed EPA Sample Renovation Record Keeping Checklist
(Rider 4) | |\n| 42. | Contractors' Release of Lien(s) | |\n| 43. | Lead-Based Paint Exemption Certificate | |\n| 44. | \\$___ payable to The Sherry-Netherland, Inc., if Required, for
Shareholder Addition of Electrical Service | |\n| 45. | Bureau of Electrical Control Final Sign-Off and Closeout
Documentation, if Required, for Shareholder's Addition of Electrical
Service | |\n| 46. | Bureau of Electrical Control Final Sign-Off and Closeout
Documentation, if Required | |\n\n# **EXHIBIT B**\n\n# **CONTRACTOR INDEMNIFICATION AND REPRESENTATION LETTER (ON CONTRACTOR'S LETTERHEAD)**\n\nDate:\n\nThe Sherry-Netherland, Inc. 781 Fifth Avenue New York, New York 10022\n\n> Re: Apartment #\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ (the \"Apartment\") 781 Fifth Avenue New York, New York 10022 Shareholde (the \"Shareholder\")\n\nDear Sir/Madame:\n\nThis letter will confirm that the undersigned has (i) reviewed and fully understands the terms and provisions of an Apartment Alteration Agreement dated \\_\\_\\_\\_\\_\\_\\_\\_\\_, 2012 (the \"Agreement\") between The Sherry-Netherland, Inc. (the \"Corporation\") and the Shareholder and (ii) agrees to abide by the terms of the Agreement and the rules and regulations of the Corporation from time to time in effect.\n\nThe undersigned hereby represents that all insurance that Contractor is required to provide under this Agreement is in full force and effect, the policy limits shown on the insurance certificates provided to the Corporation are available and have not been and will not be reduced by prior or later claims and that the policies comply with the requirements of paragraph 1 of this Agreement.\n\nThe undersigned further agrees that it will not make any claim against, or seek to recover from (a) the Corporation, its directors and officers or (b) the Corporation's shareholders' servants, agents, directors, officers, partners, guests, licensees, invitees, tenants or employees (each, an \"Indemnified Party\" and collectively, the \"Indemnified Parties\") for any damage to persons or property by the perils within the scope of the policies described in the Agreement, unless the loss or damage is due solely to the negligence of that Indemnified Party.\n\nThe undersigned further agrees to defend, indemnify and hold harmless the Indemnified Parties and all other occupants of the Building, against any and all liability, including legal costs and expenses on account of loss of life or injury to any person or damage to property, happening in or arising out of or in any way relating to the performance of the Work. This agreement to indemnify specifically contemplates full indemnity in the event of liability imposed against the Indemnified Parties, or any of them, without negligence and solely by reason of statute, operation of law or otherwise, and partial indemnity in the event of any actual negligence on the part of an Indemnified Party either causing or contributing to the underlying claim. In that event, indemnification will be limited to any liability imposed over and above that percentage\n\nattributable to actual fault, whether by statute, by operation of law, or otherwise, except as limited herein, provided however that nothing in this paragraph, letter or Agreement, shall indemnify or hold harmless the Corporation against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees, whether such negligence be in whole or in part.\n\nThe undersigned further agrees that it will perform the Work in compliance with all applicable laws, rules, orders and governmental regulations, including, but not limited to, the New York City Noise Control Code, as amended, and the Law, regulations and procedures defined and detailed in Riders 4 and 5 of this Agreement.\n\nSincerely,\n\n[Name of Contractor]\n\nBy:\n\nName: Title: Address: Telephone Number: Fax Number: Email Address: Cell Phone Number:\n\n# **EXHIBIT C**\n\nTO: [Addressed to the shareholders or occupants of the apartments adjacent to, and immediately above and below, the Shareholder's apartment]\n\nDear \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\nIn accordance with the Apartment Alteration Agreement between me and The Sherry-Netherland, Inc. (the \"Corporation\") covering the alterations to be performed in Apartment \\_\\_\\_, you are advised as follows:\n\n- 1. Alterations will be performed in Apartment \\_\\_\\_ commencing on or about \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_. The Apartment Alteration Agreement with the Corporation permits me an aggregate of \\_\\_\\_ days to complete the alterations. Please be advised that while we will endeavor to minimize noise, some noise will occur sporadically throughout the Work period. We hope that you will understand and bear with us.\n- 2. I hereby agree to indemnify you for any damage whatsoever to your apartment caused by the alterations performed in my apartment as determined by the Corporation's reviewing architect. I agree to pay the reasonable cost of repair of such damage. At your option, such repair may be performed, at my expense, by contractors of your choice or by my contractors.\n- 3. In order to take advantage of the foregoing indemnification, you must permit my and the Corporation's designated representatives to inspect and document the condition of your apartment, at your convenience, prior to the commencement of my alterations. Please call me at \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ to arrange the inspection. You may have your own architect or other representative present at the inspection to take photographs and record the condition of your apartment. You must also permit the Corporation's representative to document the condition of your apartment, which documentation shall be retained by the Corporation. You must also permit my designated representative to inspect any damage you claim my alterations have caused.\n- 4. If you elect not to take advantage of the foregoing indemnification, I remain responsible for any damage to your apartment under the indemnification contained in paragraph 22 of the Apartment Alteration Agreement executed by me and the Corporation.\n\nVery truly yours,\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Shareholder\n\nApartment No.:\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nDat\n\n32\n\n# **EXHIBIT D**\n\n## **ASSUMPTION OF RESPONSIBILITY FOR APARTMENT ALTERATIONS AND ALTERATION AGREEMENT**\n\nWHEREAS, by a certain Assignment of Proprietary Lease, dated \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ (\"Assignee\") will acquire all of the right, title, and interest of \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ (\"Assignor\") in and to a certain lease (the \"Lease\") dated \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, between The Sherry-Netherland, Inc. (the \"Corporation\"), as Lessor, and Assignor, or [her][his] predecessor in interest (collectively, the \"Predecessor Tenants\"), as lessee, for apartment \\_\\_\\_, including terrace(s) and balconies appurtenant thereto (\"Apartment\") in premises known as 781 Fifth Avenue, New York, New York; and\n\nWHEREAS, by instrument dated \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ (\"Assumption of Lease\") Assignee will assume all of the obligations of Assignor as lessee under the Lease, and is about to become the lessee of the Apartment by virtue of said instrument or the execution of a new lease.\n\nWHEREAS, the interior, windows and terrace(s) of the Apartment, among other things, may have been altered by Predecessor Tenants (the \"Alterations\");\n\nNOW THEREFORE, in consideration of the premises and the consent of the Corporation or its directors to the assignment of the Lease to Assignee and to the transfer to Assignee of the shares of Lessor Corporation which accompany the Lease, Assignee hereby ASSUMES AND AGREES TO PERFORM the obligation to maintain and repair, at Assignee's sole expense, the portions or elements of the interior and exterior of the Apartment altered in any way by the Alterations including any structures, additions, fixtures, appliances, or other items installed or built in connection with such Alterations; indemnifies the Corporation, its officers, directors, agents and shareholders from any damage, loss or claim in any way related to the existence of the Alterations; and agrees that if Assignee shall seek to transfer the Lease and shares appurtenant to the Apartment, Assignee shall, as a condition precedent to any such transfer, cause his or her assignor to assume all of Assignees foregoing obligations.\n\nAssignee hereby further ASSUMES AND AGREES TO PERFORM AND COMPLY with all the terms, covenants and conditions of that certain Alteration Agreement between Assignor and the Corporation dated \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ (copy attached hereto), including, without limitation, the obligation to maintain and repair, at Assignee's expense, the alteration Work which was the subject of the Apartment Alteration Agreement and any structures, fixtures, appliances, or other items installed or built in connection with such alteration Work.\n\nAny breach of this Assumption Agreement or the obligations assumed hereby shall be a breach of the Lease.\n\nThis Assumption Agreement and all of its provisions shall be binding on Assignee and [her][his] estate, heirs, executors, administrators, personal representatives, successors and assigns.\n\nNew York, N.Y.\n\nDate: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, Assignee\n\n| Case 22-50073 | Doc 2313 | Filed 11/08/23
117 | Entered 11/08/23 15:56:48 | | Page 72 of |\n|--------------------------------------------------------------------------------------------------|-------------|----------------------------------------------------------------------|---------------------------|--|-----------------|\n| State of New York | } | | | | |\n| County of New York | } ss.:
} | | | | |\n| | | On this ________________ day of __________________, _____, before me | | | personally came |\n| ________________________, to me known and known to me to be the individual described in and who | | | | | |\n| executed the foregoing instrument, and duly acknowledged to me that [she][he] executed the same. | | | | | |\n\nNotary Public\n\n# **EXHIBIT E**\n\n#### **CONTRACTOR INSURANCE ENDORSEMENT**\n\n#### ADDITIONAL INSURED – CONTRACTORS\n\nThis endorsement modified insurance provided under the following:\n\n## COMMERCIAL GENERAL LIABILITY COVERAGE PART\n\n# **SCHEDULE**\n\nName of Person or Organization:\n\nThe Sherry-Netherland, Inc., its directors and officers\n\n[Name of Shareholder]\n\nWHO IS AN INSURED (Section II) is amended to included as an insured the person or organization shown in the Schedule, but only with respect to liability arising out of \"your Work\" for that insured by or for you.\n\nIt is further agreed that such insurance as is afforded by this policy for the benefit of the Additional Insured shown shall be primary insurance, and any other insurance maintained by the Additional Insured shall be excess and non-contributory, but only as respects any claim, loss or liability arising out of the operations of the Named Insured, and only if such claim, loss or liability is determined to be solely the negligence or responsibility of the Named Insured.\n\nThis endorsement modifies insurance provided under the following:\n\nCommercial General Liability Coverage Form\n\nThe following changes are made to Section IV – Commercial General Liability Conditions:\n\nThe following is added to Condition 4. Other Insurance as subparagraph d. Additional Insured:\n\nd. Additional Insured\n\nWhere you have entered into a written contract or agreement to name a person or organization as an insured under this coverage part and that written contract or agreement requires this insurance to be primary and noncontributory, we will not seek contribution from any other insurance unless the \"Amendment of Other Insurance Condition\" CG 00 55 03 97 endorsement applies.\n\n#### **EXHIBIT F**\n\n# **SHAREHOLDER INDEMNIFICATION AND REPRESENTATION LETTER – NYC DOB REQUIREMENTS, INCLUDING FORMS PW1 AND PW3; LPC FILINGS**\n\nThe Sherry-Netherland, Inc. 781 Fifth Avenue New York, NY 10022\n\n> Re: Apartment # \\_\\_\\_\\_ 781 Fifth Avenue New York, NY 10022\n\nDear Sir/Madam:\n\nThis letter will confirm that the Shareholder has (i) reviewed and fully understands the terms and provisions of an Apartment Alteration Agreement dated \\_\\_\\_\\_\\_\\_\\_\\_\\_, 2012 (the \"Agreement\") between The Sherry-Netherland, Inc. (the \"Corporation\") and the Shareholder and (ii) agrees to abide by the terms of the Agreement and the rules and regulations of the Corporation from time to time in effect.\n\nThe undersigned further agrees and confirms that it is solely responsible for filing DOB Forms PW1, PW3 and TR-1 and any amendments or supplemental filings related thereto or required by the DOB as owner/applicant of the Apartment, and all LPC filings for permits, provided however that the undersigned shall not file nor cause such forms to be filed without, in each instance, prior written authorization from the Corporation and its architect. The undersigned shall provide to the Corporation and its architect a copy of all DOB and LPC filings made by the Shareholder, within five (5) business days of filing. The undersigned further agrees and confirms that it is solely responsible for the accuracy of the contents of DOB Forms PW1, PW3, all LPC filings, and any supplements or amendments thereto. The undersigned hereby agrees that Form PW1 shall be completed as shown on the sample form attached hereto and that it will not make any claim against, or seek to recover from (a) the Corporation, its directors and officers and agents or (b) the Corporation's shareholders or such shareholders' servants, directors, officers, partners, guests, licensees, invitees, tenants or employees (each an \"Indemnified Party and collectively, the \"Indemnified Parties\") and to fully defend, indemnify, release and hold harmless the Indemnified Parties and all other occupants of the Building against any and all liability, including legal costs and expenses on account of loss of life or injury to any person or damage to property, happening or arising out of or in any way relating to the performance of the Work or the Shareholder's LPC and/or DOB filings, provided however that nothing in this paragraph, letter or Agreement shall indemnify or hold harmless the Corporation against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees, whether such negligence be in whole or in part.\n\nThe undersigned further agrees that it will perform the Work in compliance with all applicable laws, rules, orders and governmental regulations, including, but not limited to, the New York City Noise Control Code, as amended, the Law, regulations and procedures detailed in Riders 4 and 5 of this Agreement and the terms of the Agreement.\n\nSincerely,\n\nShareholder\n\nShareholder\n\nDate:\n\n| IDCAS
Falsification of any statement is a misdemeanor and is punishable by a fine or Owner type: Inclividual
HHC
imprisonment, or both. It is unlawful to give to a city employee, or for a city
HPD
DOE
Partnership
employee to accept, any benefit, monetary or otherwise, either as a gratuity for
Corporation 26A
properly performing the job or in exchange for special consideration. Violation is
punishable by imprisonment or fine or both. I understand that if I am found after
Condo Unit Owner or Co-Op Tenant-shareholder 26A
hearing to have knowingly or negligently made a false statement or to have
Is the owner a non-profit organization? [ Yes []No
knowingly or negligently falsified or allowed to be falsified any certificate, form,
signed statement, application, report or certification of the correction of a
Name (please print):
violation required under the provisions of this code or of a rule of any agency, I
may be barred from filing further applications or documents with the
Relationship to Owner: SHAREHOLDER
Department. Furthermore, I understand that I am responsible for insuring that a
final inspection be performed when the permitted work is complete, and that a
Business Name/Agency: OR UNIT OWNER
satisfactory report of final inspection be submitted, along with all required
submittal documents, so that the NYC Department of Buildings may issue a
Street Address: FILL OUT AND SIGN
letter of completion or certificate of occupancy within the time prescribed by law.
City: HERE
State:
I have authorized the applicant to file this application for the work specified
herein and all future amendments. I will not knowingly authorize any work that
Fax:
Telephone Number:
is not in compliance with the New York City Energy Conservation Code
(NYCECC).
E-Mail Address:
Yes No
Signature and Date
19
Fee Deferred Request Statement
1
I hereby request a fee deferral for the work proposed on this
application and understand that all fees must be paid before
26A Condo/Co-Op Board or Corporation Second Officer
Issuance of any Certificate of Occupancy or lob sign off.
Name (please print):
O Fee Exemption Request Statement
In accordance with §28-112.1 of the NYC Administrative Code I
Title: BOARD OFFICER
hereby state that the proposed work involves a building or property
owned or used exclusively for the purposes indicated in such section.
Street Address: FILL OUT AND
O Owner's Certifications Regarding Occupied Housing
City: SIGN HERE
State:
The site of the building to be altered or demolished, or the site of the
new building to be constructed, contains one or more occupied
Telephone Number:
Fax:
dwelling units that will remain occupied during construction. These
occupied dwelling units have been clearly indentified on the
E-Mail Address:
submitted construction documents.
Signature and Date*
>
The site of the building to be altered or demolished, or the site of the
new building to be constructed, contains occupied housing
* Signature required for authorized representative of Condo or Co-Op board.
accommodations subject to rent control or rent stabilization under
Second officer signature not required for corporations.
Chapters 3 and 4 of Title 26 of the New York City Administrative
Code. If yes, select one of the following:
The owner is not required to notify the Division of Housing and
Community Renewal (DHCR) of the owner's intention to file
Name (please print):
because the nature and scope of the work proposed, pursuant to
DHCR regulations, does not require notification.
Relationship to Owner:
The owner has notified the Division of Housing and Community
Business Name/Agency:
Renewal (DHCR) of its intention to file such construction
documents/apply for such permit and has complied with all
Street Address:
requirements imposed by the regulations of such agency as
preconditions for such [filing/application].
State:
City:
Provide date DHCR notified:
Telephone Number:
Fax:
Owner's Certification for Adult Establishments
I authorize and intend to create, enlarge, or extend an establishment
E-Mail Address:
with adult activity and/or adult material as defined in ZR §12-10
\"adult establishment\" or related sign at the subject premises. | INYCHA
INYS
Other Government
Zip:
SIGN HERE
Zip: | | |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------|--|--|\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | SIGN HER | | |\n| | | | |\n| | 26B Lessee Responsible for Annual Sign or Marquee Permit | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | Zip: | | |\n| | | | |\n| | | | |\n| Internal Use Only
Owner's Certification for Directive 14 Applications (If applicable) | | | |\n| I have read and am fully aware of the applicant's statement that the
Pre-Filer Name:
construction documents submitted and all construction documents
Date: | | | |\n| Pre-Filer Signature:
related to this application will not require a new or amended
Certificate of Occupancy as there is no change in use, exits, or
Cost Estimate: S | | | |\n| occupancy. Furthermore, I understand that I am responsible for
retaining a qualified design professional to perform a final
Amount Due: \\$
Verified by ▼ | Date T | | |\n| inspection when the permitted work is complete and this professional
Initial Amount Paid: \\$
must submit a satisfactory final inspection report to the NYC | | | |\n| Department of Buildings within the time following inspection
Balance Due: \\$ | | | |\n| prescribed by Department rule.
Stamps, Certifications and Notes: | | | |\n| | | | |\n| | | | |\n| | | | |\n\n# **INITIAL ARCHITECTURAL SUBMISSIONS**\n\nThe Shareholder agrees to deliver, with this executed Alteration Agreement, as many copies of the following as are requested by the Corporation:\n\n- a. Architectural Drawings\n\t- 1. Plot Plan.\n\t- 2. Key Plan to locate apartment with respect to building, elevator, egress stairs, street.\n\n- 3. Demolition Plans.\n- 4. Floor Plans.\n- 5. Reflected Ceiling Plans.\n- 6. Wall Elevations.\n- 7. Partition Schedule.\n- 8. Finish Schedule.\n- 9. Door Schedule.\n- 10. Details of construction including all new ceiling and soffit details.\n- 11. Tenant Safety Notes.\n- 12. Egress Notes as required.\n- 13. Fireproofing Notes as required.\n- b. Electrical Drawings, including Riser Diagrams, as required, and Electrical Load Letter showing existing and proposed loads for Lighting, Power and Air Conditioning, respectively.\n- c. Plumbing Drawings, including Riser Diagrams, as required.\n- d. Mechanical Drawings, as required.\n- e. Appliance Fixture and Fittings Specifications, as required.\n- f. Project Specifications, as required\n- g. Acoustical STC Ratings for Floor Assemblies, Ceiling Assemblies, and Demising Wall Assemblies\n\n### **CONDITION OF ADJACENT PREMISES**\n\nThe Shareholder shall not commence any Work until the Chief Engineer and/or the Corporation's architect and, if requested, the representatives of the Shareholder or resident of the Adjacent Premises, has made an inspection of the Adjacent Premises and the Corporation's designee has recorded its condition, with photographs or video recording, if deemed necessary, and created a report and documentation to be retained by the Corporation.\n\n#### **ASBESTOS**\n\n1. The Shareholder hereby agrees to do the following prior to the commencement of the Work:\n\n(a) At the Shareholder's expense, retain an asbestos investigator, selected from a list of approved investigators supplied by the Corporation to either\n\n> (a) review the building's construction and renovation records as well as any prior inspection reports to determine the existence and possible disturbance of any asbestos-containing material (\"ACM\"); or\n\n(b) inspect the areas to be renovated to determine the existence and possible disturbance of any ACM.\n\n(b) If the results of the review or investigation reveal the presence of ACM in a friable condition, but said friable ACM is less than ten (10) square feet or twenty-five (25) linear feet, the Shareholder will present the Corporation with proof of the investigator's filing of FORM ACP5 (\"Not an Asbestos Project\" form). If the results of the review or investigation determine that more than ten (10) square feet or twenty-five (25) linear feet of ACM is in a friable condition, the Shareholder will present the Corporation with proof of the investigator's filing of FORM ACP7 (\"Asbestos Inspection Report\" form).\n\n(c) If, in the Corporation's sole opinion, based upon the results of the review or investigation, no abatement Work is required, the Shareholder will be entitled to commence the Shareholder's alteration Work, subject to the requirements of this Alteration Agreement.\n\n(d) If, in the Corporation's sole opinion, the review or investigation reveals that abatement Work is required, the Shareholder will proceed as follows:\n\n> (c) Prior to the performance of any asbestos abatement Work, the Shareholder will submit to the Corporation the name(s) and qualifications (including any licenses, liability insurance policies, and resume) of any asbestos consultant(s) and Contractor(s) the Shareholder intends to use for asbestos abatement Work, along with the name and qualifications (including licenses and insurance policies) of the Contractor's hauler(s) and the licenses of all asbestos supervisors and handlers who are to perform the abatement Work.\n\n> (d) Upon receipt of the Corporation's approval of the consultant(s) and Contractor(s), the Shareholder will retain such consultant(s) and Contractor(s) to encapsulate, enclose, treat or otherwise abate, as appropriate, all friable ACM. Said abatement, as well as the removal, hauling and disposal of the ACM shall be performed in conformance with all federal, state, and local laws and regulations.\n\n(e) In connection with such abatement Work, the Shareholder will furnish the Corporation with copies of all reports and tests that are required by applicable laws and regulations, and with a copy of the final report which is to be provided by the Shareholder's asbestos consultant.\n\n(f) In connection with asbestos removal and disposal, the Shareholder will cause the asbestos hauler to furnish the Corporation with lists of all dump locations to be used, and a certification that the dump sites are EPA approved, and thereafter furnish to the Corporation all dump tickets and disposal manifests.\n\n2. The Shareholder and the consultants(s) and Contractor(s) retained by the Shareholder shall comply with all Federal, State and local laws, rules and regulations pertaining to asbestos control, as the same have been or may be promulgated, supplemented or amended from time to time prior to and during the Work, including, without limitation New York City Local Law 76 of 1985. In addition, the Shareholder agrees to indemnify the Corporation for any loss, cost, expense (including without limitation attorneys' fees and disbursements), damages, liabilities or fines arising (i) from any failure by the Shareholder or any consultant or Contractor retained by the Shareholder to fully conform to all of the foregoing or (ii) in the defense of any suit, action, claim or violation in connection with the abatement Work.\n\n3. The Shareholder's Contractors shall obtain, in addition the insurance required under Paragraph 1(h) of this Agreement, hazardous material transportation liability insurance with limits not less than \\$2,000,000 for bodily injury and property damage. The Shareholder's Contractors shall obtain such a policy or arrange for the Corporation, its directors, officers and agents to be named as additional insureds on the policy of the Contractors' waste transporter. Such policy shall specifically cover all claims and groups of people who might bring claims relating to asbestos.\n\n# **LEAD-BASED PAINT/DUST AND DEBRIS CONTAINMENT– USE OF EPA CERTIFIED CONTRACTORS AND WORKERS**\n\n#### A. **Prior to Commencement of the Work**\n\nPrior to commencement of the Work, the Shareholder shall have the Apartment tested for lead-based paint conditions by an Environmental Protection Agency (\"EPA\") certified inspector or risk assessor, using an EPA recognized test kit and following the manufacturer's instructions, and an independent New York State licensed laboratory, and submit the results of same to the Corporation. If lead-based paint conditions are found to be present in the Apartment, or if Shareholder fails to provide the results of such tests to the Corporation, the Shareholder shall comply with all provisions of this Rider 4 detailed below.\n\nShareholder shall also apply for the exemption from presumption of lead based paint, as provided in Sec. 11-08 of the HPD Rules and furnish the Corporation with a copy of Shareholder's application and exemption granted by the City of New York.\n\nIf the Shareholder: (a) provides to the Corporation test results and a report that a determination has been made by an EPA certified inspector or risk assessor that lead-based paint conditions are not found to be present in any part of the Apartment where Work is to be done, or paint or other surface coating in those components of the Apartment affected by the Work do not contain lead equal to or in excess of 1.0 milligrams/per square centimeter or 0.5% by weight, and (b) applies for and obtains an exemption under Section 11-08 of the HPD Rules and furnishes the Corporation with a copy of such exemption certificate granted by the City of New York, the Shareholder shall be exempt from complying with any further obligations under the EPA Regulations and Rules which became effective in 2010.\n\nIn any event, the Shareholder shall cause its Contractors to comply with the Dust Mitigation Procedures set forth in Rider 5 (Demolition) of this Agreement.\n\n# B. **Work Requirements**\n\nIf not exempt hereunder, the Shareholder shall cause the Shareholder's contractors to use only workers who are trained and certified by the EPA in the use of safe work practices and take precautions to prevent the spread of dust and debris which may contain lead. The Shareholder and the Corporation shall receive from the Contractors and each worker copies of their respective photo identification certification cards approved by the EPA and assurances that they have knowledge of lead-based paint hazards, are certified in lead safe practices and they will perform the Work and clean-up the Work in a manner which will avoid creating lead-based paint hazards.\n\nThe federal Task Force on Lead-Based Paint Hazard Reduction has recommended certain maintenance practices during the Work, including: (1) limiting access to the Work area to only workers, (2) covering the Work area with six mil polyethylene plastic or equivalent, (3) protecting the workers, (4) protecting the Shareholder's belongings by covering or removing them from the Work area, (5) wetting the painted surfaces before disturbing the paint and (6)\n\nwetting the debris before sweeping. The Shareholder shall cause the Shareholder's contractor or workers not to use unsafe paint removal practices, including (1) open flame burning, (2) power sanding or sandblasting (unless a special vacuum attachment is used to contain dust), and (3) dry scraping more than a de minimis surface area (de minimis means an area of less than one square foot per room). The Shareholder shall cause the Shareholder's Contractors and/or workers to perform their Work consistently with the recommendations of the Task Force and the requirements detailed on the last page of this Rider 4 and shall upon completion of the Work perform specialized cleaning of the Work area using methods designed to safely remove dust and debris which may contain lead. The Shareholder shall also cause the Shareholder's Contractor and/or workers to comply with the Dust Mitigation Procedure as set forth in Rider 5 (Demolition) of this Apartment Alteration Agreement and to perform clearance testing, as required on the Checklist on the last page of this Rider 4.\n\nShareholder and its contractor and subcontractor(s) shall comply as applicable with all federal, state and local laws and implementing regulations, regarding lead-based paint hazards, including without limitation, the New York City Childhood Lead Poisoning Prevention Act of 2003 (New York City Local Law 1 of 2004), Chapter 11 Title 28 of the Rules of the City of New York (the \"HPD Rules\"), and United States Department of Housing and Urban Development Regulations, 40 Code of Federal Regulations 745 and all EPA requirements (collectively, the \"Law\"). The Law concern precautions in preventing spreading dust and debris, disclosure, Work rules (including but not limited to the use of only EPA certified Contractors and Workers, if required), testing, notification to other residents, and retention of records by the owner of the Apartment, copies of which must be provided to the Corporation's Executive Office. This Rider is intended to and hereby does allocate complete responsibility of owner for compliance with the HPD Rules and the Law and all requirements thereunder as regards the Apartment to the Shareholder. Shareholder hereby releases and agrees to defend, indemnify, and hold harmless the Corporation, its officers, directors and Executive Office, and all Building residents from any claims or costs arising from their violation of the HPD Rules, the Law, and all other applicable rules and laws regarding lead-based paint hazards with regard to the Apartment, provided, however, that nothing in this paragraph, letter or Agreement shall indemnify or hold harmless the Corporation against legal liability it may otherwise have for damage arising out of bodily injury to persons or damage to property contributed to or caused by or resulting from the negligence of the Corporation, its agents, servants or employees, whether such negligence be in whole or in part.\n\n# C. **Additional Documentation Requirements**\n\nNo more than sixty (60) days prior to beginning renovation activities in the Apartment, the contractor shall provide the Shareholder with the Environmental Protection Agency (EPA) pamphlet entitled, Protecting Your Family from Lead in the Home, (the \"Pamphlet\"). If the Apartment is occupied by other than the Shareholder, the contractor shall provide the occupant with the Pamphlet. The contractor shall be responsible for obtaining the Shareholder's or the occupant's written acknowledgment of receipt of the Pamphlet or a certificate of mailing evidencing same. The Shareholder hereby acknowledges that the Corporation has no liability or obligation in connection with this notification requirement of the EPA.\n\n**When the final invoice for the Work is delivered to the Shareholder, or within 30 days of completion of the Work (whichever is earlier), Shareholder shall cause the Contractor to complete and provide the attached completed form, \"EPA SAMPLE RENOVATION RECORDKEEPING CHECKLIST,\" to the Executive Office.**\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nShareholder Contractor\n\n# **EPA SAMPLE RENOVATION RECORDKEEPING CHECKLIST**\n\n| Name of Firm: | | | | |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--|\n| Date and Location of Renovation: | | | | |\n| Brief Description of Renovation: | | | | |\n| | | | | |\n| Name of Assigned Renovator: | | | | |\n| Name(s) of Trained Workers, if used: | | | | |\n| Name of Dust Sampling Technician, Inspector, or Risk Assessor: | | | | |\n| Copies of renovator and dust sampling technician qualifications (training certificates, certifications) on
file.
Certified renovator provided training to workers on (check all that apply):
Posting warning signs Setting up plastic containment barriers
Maintaining containment
Avoiding spread of dust to adjac
Waste handling Post-renovation cleaning
Test kits used by certified renovator to determine whether lead was present on components affected by | | | | |\n| renovation (identify kits used and describe sampling locations and results): | | | | |\n| Warning signs posted at entrance to work area.
Work area contained to prevent spread of dust and debris
All objects in the work area removed or covered (interiors)
HVAC ducts in the work area closed and covered(interiors)
Windows in the work area closed (interiors)
Windows in and within 20 feet of the work area closed (exteriors)
Doors in the work area closed and sealed (interiors)
Doors in and within 20 feet of the work area closed and sealed (exteriors)
Doors that must be used in the work area covered to allow passage but prevent spread of dust
Floors in the work area covered with taped-down plastic (interiors)
Ground covered by plastic extending 10 feet from work area—plastic anchored to building and
weighted down by heavy objects (exteriors)
If necessary, vertical containment installed to prevent migration of dust and debris to adjacent property
(exteriors)
Waste contained on-site and while being transported off-site
Work site properly cleaned after renovation
All chips and debris picked up, protective sheeting misted, folded dirty side inward, and taped for
removal
Work area surfaces and objects cleaned using HEPA vacuum and/or wet cloths or mops (interiors)
Certified renovator performed post-renovation cleaning verification (describe results, including
the number of wet and dry cloths used): | | | | |\n| If dust clearance testing was performed instead, attach a copy of report.
I certify under penalty of law that the above information is true and complete. | | | | |\n\nName and Title Date\n\n# **DEMOLITION**\n\nThe Shareholder agrees to give the Corporation, the Executive Office and the owners or occupants of Adjacent Premises telephone notice at least three (3) Working days prior to the date any demolition is scheduled to commence. The Shareholder acknowledges that any and all demolition Work will be done only between the hours of 10:00 a.m. and 4:00 p.m., Monday through Friday only, and must be completed within ten (10) consecutive Working days from its commencement unless otherwise approved in writing by the Corporation. The Shareholder further agrees to cause its Contractors and/or workers to comply in all respects with the requirements set forth in Rider 4 (Lead-Based Paint/Dust and Debris Containment - Use of EPA Certified Contractors and Workers) including but not limited to Shareholder's obligations to comply with all federal, state and local laws, and implementing regulations, regarding lead-based paint hazards and to indemnify the Corporation, its directors, officers and agents for any violations thereof, as set forth in Rider 4. The Shareholder understands that such demolition Work or any Work may be halted at any time if, in the Corporation's sole discretion, the Corporation shall determine that such Work is excessively noisy or creates undue hardship for any other shareholder(s) or occupants; however, the Shareholder may recommence the Work if the Shareholder ameliorates such situation.\n\n# **DUST MITIGATION PROCEDURES**\n\nIn connection with any demolition, the Shareholder shall comply, and cause its Contractors/workers to comply with the methods and technologies developed and directed by the Corporation, so as to minimize vibrations and excessive noise, especially as regards removal of ceilings and floors and including but not limited to the use of water to reduce the dust when walls and/or ceilings are removed, and to cause its Contractors/workers to comply with the following procedures:\n\nI. Equipment (unless otherwise is specified by the Corporation's reviewing architect or the Building's Chief Engineer):\n\nA. Polyethylene sheeting: Provide 6.0 mils thick minimum flame-resistant polyethylene sheeting that conforms to requirements set by the National Fire Protection Association Standard 701, Small Scale Fire Test for Flame-Resistant Textiles and Films. Provide largest size possible to minimize seams.\n\nB. Reinforced Polyethylene Sheeting: Provide 10 mils thick minimum translucent, nylon reinforced or woven polyethylene, laminated flame resistant, polyethylene film that conforms to requirements set forth by the National Fire Protection Association Standard 701, Small Scale Fire Test for Flame-Resistant Textiles and Films. Provide largest size possible to minimize seams.\n\nC. Duct Tape: Provide duct tape in 2\" of 3\" width as indicated, with an adhesion which is formulated to stick aggressively to sheet polyethylene.\n\nD. Rebond Carpet Padding.\n\nE. Masonite board, 1/8\" thick.\n\nF. Heavy duty zippered closure similar to American Dust Control Zip Wall.\n\nII. Construction of Dust Control Work Areas: Completely isolate Work areas from other parts of the Building so as to prevent dust or debris from passing beyond the isolated area:\n\n# In Public Areas:\n\nA. Cover carpeted public halls with one layer of reinforced polyethylene sheeting 6 mils in thickness. Place continuously taped Masonite sheets on top of the sheeting.\n\nB. During delivery and removal of material, the walls must be protected up to 4 feet in height with Masonite in all public areas.\n\nC. Provide protection of Ground Floor delivery path, as per direction of the Building's Chief Engineer.\n\n# Within the Work Area:\n\nA. Provide a heavy duty zippered closure on the outside (Public Hall side). Just inside the door, place a damp cloth.\n\nB. Individually seal all ventilation openings (supply and exhaust), thermostatic control valves, doorways, windows, convectors, door grills, and other openings inside the Work area including fan coil heating and cooling units, and duct registers in Adjacent Apartments, with duct tape alone or with polyethylene sheeting at least 6 mil in thickness, taped securely in place with duct tape. Maintain seal until all Work is completed. Take care in sealing of convector to avoid melting or burning of sheeting.\n\nC. **Install exhaust fans, as directed and specified by the Corporation, which must develop not less than 0.125° static pressure, which shall be operated until midnight during the drying of highly volatile paint or staining procedures. Such exhaust fans must be HEPA filtered exhaust units for negative air for those phases of the Work which generate dust and/or chemical odors. Such negative air must be generated in all portions of the Work area, so that any air movement egresses the Building via HEPA fans and not into any part of the Building. Such fans shall be operated during all phases of the Work regardless of the size or scope of the Work.**\n\nD. Cover floors and any carpeting in public hall with one (1) layer of reinforced polyethylene sheeting at least 10 mils in thickness. Place corrugated cardboard or \"masonite\" sheets on top of the polyethylene sheeting.\n\nE. Cover floors that are not carpeted with one (1) layer of reinforced polyethylene sheeting at least 10-mils in thickness. Place corrugated cardboard or \"masonite\" sheets on top of the polyethylene sheeting. Duct tape all seams in floor covering. Install Rebond carpet at 90°\n\nangle to the poly sheet and continuously duct tape. Cover with Masonite at 90° angle to the padding and continuously duct tape.\n\nF. Sheet Plastic: Protect surfaces of the Work area with one (1) layer of plastic sheeting on floor and walls.\n\nG. Cover floor of the Work area with one (1) layer of polyethylene sheeting, each at least 6 mils in thickness, turned up walls at least 12 inches. Form a sharp right angle bend at junction of floor and wall so that there is no radius which could be stepped on causing the wall attachment to be pulled loose. Duct tape all seams in floor covering. Locate seam in top layer six feet from, or a right angle to, seam in bottom layer. Install sheeting so that top layer can be removed independently of bottom layer.\n\nH. Cover all perimeter walls in Work area with one layer of polyethylene sheeting, at least 6-mil in thickness, mechanically supported and sealed with duct tape (overlap sheets 4\" – 6\") in the same manner. Tape all joints including the joining with the floor covering with duct tape.\n\nI. Generally, prevent fumes and odors from escaping the Apartment and entering other apartments or the common areas of the Building.\n\nJ. In extreme dust situations, at the discretion of the Building's Chief Engineer or architect, a dust control enclosure vestibule shall be constructed at the entrance to the Work area. The dust control enclosure shall have a flap opening (of at least 5' high x 3' wide) in one vertical side of the enclosure by sealing an extra layer of polyethylene sheeting with duct tape to the top side of the enclosure. All openings in floors, walls and ceilings must be sealed. A negative air machine must be utilized with proper filters.\n\nK. At the discretion of the Executive Office and/or the Corporation's consulting architect, foam sealant or similar product may be required to be used in pipe chases or other slab penetrations so as to minimize traveling dust or debris.\n\nL. Shareholder and Contractors shall comply with any additional or different dust control and/or sound-proofing measures, as directed by the Corporation's reviewing architect or the Building's Chief Engineer, including, but not limited to, air quality monitoring by an independent professional monitor and testing by a New York State certified laboratory.\n\nM. Materials and workers must enter and exit through the service pathway unless another path is approved.\n\nN. Any infringement of egress is prohibited.\n\nO. Demolition shall be managed to coincide with the amount of debris that can be properly removed in that day. All debris is to be properly spray wetted, sealed in bags or wetted down in removal containers that will not permit dust to leave the vestibule or enter the public halls. Building requirements for site protection are to be indicated on the Shareholder's drawings.\n\nP. Excessive dust or noise infiltration and/or excessive vibrations will permit the Corporation to stop the Work.\n\nQ. Repair, patch and paint to match existing any and all damage at hallways, landings and stairs.\n\nR. Removal of original concrete fill slabs in the Apartment shall be performed by prior saw cutting with a diamond blade, cut in a 1\" diamond pattern, removing individual squares with an electric hammer and/or hammer and chisel.\n\n# **LOCATION OF ROOMS/CONSTRUCTION OF INTERIOR WALLS/FLOORING/CEILINGS**\n\n1. The Shareholder agrees that in the event granite, ceramic tile, marble or similar hard-surfaced flooring is installed in any area other than the kitchen, bath and entry foyer, the ongoing maintenance and repair of such flooring will be the responsibility of the Shareholder. No removals of floor slab materials will take place in those locations. Locations where there is no topping slab or finished floor system may not be disturbed for the purpose of depressing the level of the slab to accommodate new finish floors. In all cases, the Corporation will require installation of a sound retardant underlayment beneath such flooring, the details of such underlayment to be approved by the Corporation. No threshold saddle between the Apartment and the Building's public hall may be raised above its existing height.\n\n2. When ceilings or floors are demolished, all exposed ceiling and floor slabs shall be inspected for holes, penetrations, voids or cracks and, if any such conditions are found, they shall be fire-safed and smoke-safed, at Shareholder's sole cost and expense. Shareholder also agrees, at its sole cost and expense, to install acoustical attenuation and sound-proofing material in such ceilings, walls and/or floors, as required by Code and/or as same shall be specified and directed by the Corporation's reviewing architect or engineer, in his or her sole and absolute discretion.\n\n3. Shareholder is required to finish ceiling and soffit construction in plaster, moldresistant gypsum board, or other acoustic ceiling material fastened with NYC code-compliant hung black-iron system or furred with resilient sound isolating channels, installed to achieve a minimum Noise Isolation Class Rating (NIC) of 55 NIC between vertically adjacent apartments and spaces.\n\n4. No structural slabs, demising walls, floor slabs or exterior walls may be channeled or cut.\n\n5. All new interior walls shall be constructed of block and plaster or plaster on wire lath, metal studs, metal or gypsum lath and plaster, or metal studs with a double layer of Quiet Rock Fiberock Cement Board, other base material acceptable to the Corporation's consulting architect. **Only mold resistant materials may be used.**\n\n6. The Shareholder agrees that no Work shall be done that will change the \"footprints of the building\" i.e., no noisy room such as a kitchen may be relocated above a quiet room such as a bedroom, except in the Corporation's sole and absolute discretion and upon submission and review of all structural details required by the Corporation's consulting architect.\n\n7. The walls separating the Apartment from an Adjacent Apartment in the Building must be left intact and sound proofing must be installed by Shareholder in such walls. At the Corporation's sole discretion and direction, the Shareholder may be required to add acoustic improvements to these walls. Cutting into or penetrating such walls is prohibited, unless the Corporation and the Shareholder owning the affected apartment consents to same, in writing and in advance. Work performed adjacent to such walls must be done in a manner that does not disturb the fire ratings and sound transmission coefficient ratings of such walls and Shareholder shall use best efforts to not disturb either the occupants or the contents of the Adjoining Premises.\n\n8. The Shareholder agrees to take all precautions to prevent any completed alteration from creating a \"noisy\" or disturbing condition to any other shareholder. The Shareholder further agrees that, if despite preventive measure to avoid \"noisy\" and disturbing conditions to other shareholders, the Corporation determines in its reasonable discretion, based upon shareholder complaints and expert technical adviser, that the alteration has created a \"noisy\" or disturbing condition, the Shareholder shall take all steps, at its sole cost and expense, to repair or remove (if necessary) the alteration Work to alleviate the disturbing condition.\n\n- 9. Procedures for Installation of Hard Floor Surfaces\n\t- A New Finished Wood Flooring\n\t\t- (a) Existing finished flooring and sub flooring shall be removed to the slab level, however, new finished wood flooring may be installed on existing wood subflooring, provided that the latter is in suitable condition.\n\t\t- (b) Where the wood subflooring is also to be removed, it shall be replaced on existing wood sleepers with one layer of 3/4\" plywood prior to wood finish floor installation. The new floor construction must include a properly detailed installation of \"Kinetics SR Floorboard\" or \"Akzo Enkasonic Mat\" or similarly acoustically effective material, subject to review and approval by the Corporation and its architect.\n\t\t- (c) Tape or tack-glue perimeter isolation of 3/8\" thick fiberglass board to isolate the floor and break the sound transmission path between floor and walls. Perimeter isolation to be full height of underlayment and plywood layers.\n\t- B Stone or Tile Flooring\n\t\t- (a) In dry areas:\n\n(i) Upon removal of existing flooring and the wood subflooring and partial removal of the slag fill, level concrete or cement – mortar setting slab with reinforcing wire shall be installed over the existing slag fill, upon curing.\n\n(ii) A resilient membrane (Strataflex, Kinetics or AKZO Enkasonic Mat or Laticrete 170, or approved equal) shall be applied on the concrete surface.\n\n(iii) Finish stone or tile flooring using Laticrete #125 thin set or mud set method shall be installed.\n\nC In wet areas.\n\nSame as in (i) thru (iii) above, except a continuous waterproofing membrane (Laticrete or approved equal) shall be applied on the concrete setting slab extending on a two stage drain and up onto the surrounding walls or curbs. Finish stone or tile flooring using Laticrete #125 thin set or mud set method shall be installed.\n\n10. All required/proposed waterproofing installation details shall be submitted to the Corporation's reviewing architect and the Board for prior review and approval.\n\n## **AMENDED CERTIFICATE OF OCCUPANCY**\n\nIf the Work requires an amended Certificate of Occupancy for the Building:\n\n(a) The Shareholder shall have, at the Shareholder's expense, an application in the form of an \"Alteration\" describing the proposed Work on file with the New York City Buildings Department within thirty (30) days after the Corporation's written approval of the Shareholder's alteration request. This application, if required, shall note that an amended Certificate of Occupancy will be sought. A copy of any such application shall be simultaneously submitted to the Corporation. The Shareholder will file, at the Shareholder's expense, an application for an amended Certificate of Occupancy within thirty (30) days after completion of the Work. The Shareholder shall diligently pursue obtaining an amended Certificate of Occupancy and shall keep the Corporation informed of the status of this process on a regular basis. No appointments for final Building Department inspection to \"sign-off\" on the Work shall be made prior to the Corporation or the Corporation's representatives conducting an inspection to confirm compliance with the approved plans and specifications, and the Corporation will have reasonable time to make such inspection. The Shareholder shall furnish a copy of the amended Certificate of Occupancy to the Corporation promptly after receipt.\n\n(b) Prior to the commencement of any Work requiring an amended Certificate of Occupancy for the Building, the Shareholder shall deliver to the Corporation an additional security deposit in the amount of \\$15,000, in addition to the deposit provided for in paragraph 28 of this Apartment Alteration Agreement to secure the Shareholder's obligations regarding obtaining such amended Certificate of Occupancy, and the Shareholder agrees that the Corporation may use such funds to obtain an amended Certificate of Occupancy if Shareholder fails to perform said obligations in a timely manner. This security shall be in addition to any other security the Shareholder may be required to deliver in connection with the Work. The Shareholder shall be entitled to receive a refund of such security, or any balance thereof, after: completion of the Work; inspection of the Apartment by the Building's Chief Engineer and the Corporation's reviewing architect or engineer; a statement from the architect or engineer who signed the Shareholder's original plans, in a form acceptable to the Corporation, that the Work has been executed in accordance with such plans and complies with all applicable laws; delivery to the Corporation of two (2) sets of as-built plans showing all Building risers and valves; copies of all Work permit close-out documentation filed with The New York City Department of Buildings; receipt of a release of lien(s) from the Contractors, and delivery to the Corporation of an amended Certificate of Occupancy.\n\n# **ALTERATIONS VISIBLE FROM EXTERIOR/REPLACEMENT OF WINDOWS/AIR CONDITIONING SYSTEMS/THROUGH THE WALL AND CENTRAL SYSTEMS**\n\n1. No window shall be replaced except in compliance with the following:\n\n(a) Prior to the installation of replacement windows, the Shareholder shall cause the Shareholder's contractor to provide a sample of the proposed replacement windows, as well as installation details including plans, sections and elevations of window extensions, profiles and waterproofing details, to the Corporation for the Corporation's review and approval to assure that such replacement windows conform in color, style and dimensions to existing windows in the Building and that such windows meet the requirements of any federal, state, or city department or agency having jurisdiction over the replacement of windows in the Building, including the New York City Landmarks Commission. No replacement window will be installed without the approval of the Corporation.\n\n(b) If a consent, permit or approval is required from any federal, state, or city department or agency to lawfully perform such window installation, the Shareholder shall first obtain such consent, permit or approval and provide a copy of such consent to the Corporation before proceeding with such installation. **Window installation and replacement and exterior HVAC grille installation and replacement must conform with the Building's Master Plans filed with the New York City Landmarks Commission.**\n\n2. The installation of windows must comply with the following specifications:\n\n(a) Windows must be installed to fit the openings in accordance with the submitted specifications. The windows shall have a finish coat to match the Building's exterior windows in color.\n\n(b) New frames must be installed in masonry openings set true and plumb and anchored to masonry.\n\n(c) Exterior perimeter must be caulked between new frames and masonry with butyl type compound applied to hand pressure gun and trowelled off neatly.\n\n(d) Any broken plaster around windows must be repaired and trowelled to a hard smooth finish.\n\n3. It is understood that the windows Shareholder installs will become the responsibility of the Shareholder, and thereafter any defects or malfunctioning of these windows will be repaired at the expense of the Shareholder. Any exterior leaks resulting from this installation are also the responsibility of the Shareholder.\n\n4. New windows must meet an HC-40 Performance class or better as defined by ANSI/AAMA/WWDA 101/I.S.2-97 and an AAMA Certification label is required.\n\n5. The contractor is to maintain site safety and is fully responsible for complying with all applicable city regulations regulating site safety.\n\n6. Windows may not be closed off without Board approval. Previously closed off windows must be made accessible and vented.\n\n7. Exterior brick walls shall not be penetrated for any purpose other than installation of through-the-wall air conditioning systems, which shall only be permitted upon the Corporation's approval of plans and specifications for same in its sole discretion. All openings shall be made through brickwork and not granite, ledges or decorative stonework. All such openings shall be centered under the window(s) of the room(s) where the units are to be installed.\n\n8. Exterior limestone and masonry walls and appurtenances shall not be penetrated or modified for any purpose whatsoever.\n\n9. No air-conditioning system shall be installed or replaced except in compliance with the following:\n\n10. Prior to the installation of any air conditioning unit, the Shareholder shall cause the Shareholder's Contractor to supply to the Corporation, for its review and approval, architectural and engineering details of the unit and its installation, including plans, sections, elevations showing waterproofing, sleeve and support details as well as the unit specifications.\n\nAll exterior grilles of air-conditioning equipment shall conform to Building requirements, and must be centered (wherever possible) beneath a window or pair of windows and shall be mounted flush with the Building's façade and shall be maintained by the Shareholder and shall be replaced when they deteriorate. The exterior grilles, bolts and screws shall be of noncorrosive material so as to prevent staining of the Building by corrosion. The Corporation shall have the right to paint the exterior grilles a uniform color at the expense of the Shareholder. No unit may project beyond the Building's facade. All exterior grilles will be flush with the brickwork. Each unit must be installed in line with other units in the Building. The Shareholder shall install temporary weather panel and waterproof enclosure at louver area during the period between sleeve installation and unit/louver installation.\n\n11. Any HVAC units installed or replaced must be units of similar operation to the Building's standard, approved by the Corporation's reviewing architect or engineer and must be fully waterproofed to prevent water or steam infiltration to other apartments in the Building. All HVAC and AHU units must be equipped with drip pans, water sensor, automatic shutoffs and alarms.\n\n12. The installation of any air-conditioning unit will be made secure, weather tight and water tight and in such manner as to create no disturbance, nuisance or damage due to noise, vibration, air or water leakage or other cause and shall be insulated on the exterior and interior of the Building to prevent heat loss.\n\n13. Any permission granted to install or replace an air-conditioning unit shall not to be deemed a license or easement and is revocable by the Corporation at any time on written notice in the event of a violation by the Shareholder of any of the provisions of this Apartment Alteration Agreement or if required by any State, Federal, City department or agency having jurisdiction thereof.\n\n14. The Shareholder recognizes that there will be no change in the operation of the Building's heating system or air conditioning system to facilitate the functioning of any heating or air conditioning units the Shareholder may install.\n\n15. All required consents, approvals and permits from all federal, state and local agencies having jurisdiction, including the New York City Landmarks Commission, shall be obtained and provided to the Executive Office before any through-the-wall air conditioning system is installed.\n\n16. Any installation of central air conditioning shall be accompanied by a report from an acoustical engineer acceptable to the Corporation demonstrating that no excessive noise will be made by such equipment. The Shareholder agrees to take all precautions to prevent any \"noisy\" or disturbing condition to other shareholders. The Shareholder further agrees that if the Corporation determines in its reasonable discretion, based upon shareholder complaints, that the equipment has created a \"noisy\" or disturbing condition, the Shareholder shall take all steps, at its sole cost and expense, to repair or remove (if necessary) the equipment to alleviate the disturbing condition. No part of any central air conditioning unit may be mounted on the exterior of Building walls or terraces without express board approval. All requests for central air conditioning units must be filed with the Department of Buildings and an Equipment Use Permit obtained. Copies of annual Equipment Use Permits or renewals thereof must be filed with the Superintendent as and when renewable.\n\n17. The installation of any through-the-wall air-conditioning system shall use nonstaining and rust-resistant material and shall include a waterproofing membrane at floor level for each existing or new air-conditioning unit, constructed as per Building standard detail. Such required waterproofing detail shall be set forth in the scope of renovation Work and shown on the relevant alteration documents. The waterproofing membrane must be tested and shown to be effective prior to final Board approval. The installation of any air-handling, air conditioning or condensing unit shall, in addition to the foregoing, include a waterproofing pan with an electrical sensor that will automatically shut off such unit if the unit is leaking and the drain is not working.\n\n18. All operating portion's of the Building's heating system including steam pipe expansion joints, steam valves and steam traps, shall be accessible by access doors properly sized for maintenance and replacement of the operating parts.\n\n19. All through-the-wall air conditioning units must have back up electric heat to accommodate the shut off of the boiler. In the event the installation of any through-the-wall air\n\nconditioning units require the removal of the radiator, the branch steam piping must be removed and capped at the riser.\n\n20. Where Work is being performed that affects the exterior of the Building, the sidewalk below shall be protected by the Shareholder at all times.\n\n21. Shareholder and his/her successors shall be responsible for maintenance and repair of windows and air conditioners installed by Shareholder\n\n22. Where air conditioning systems are removed, the masonry and/or stonework must be restored to match the pre-existing facade conditions\n\n### **PLUMBING**\n\n1. All Work on plumbing piping and components must be performed by a New York City or State licensed master plumber; must conform to New York City Building Code requirements; and must conform to and be compatible with existing Building plumbing systems.\n\n2. All new copper piping shall be properly separated from piping of dissimilar material to prevent galvanic corrosion. Only threaded brass or type \"K\" copper piping may be used where plumbing is concealed. No hot or cold piping is permitted below the floor.\n\n3. Where new plumbing fixtures or gas pipe systems are installed and where any part of any existing plumbing fixture or gas pipe system is altered, all new roughing and conveniently located shut-off valves and check valves will be easily accessible. The Shareholder shall be responsible for locating and testing all plumbing shut-off valves, and all branch plumbing from the riser to the new fixtures including hot and cold shut-off valves must be replaced by the Shareholder, at the Shareholder's sole expense. All steam traps must be located, inspected and approved by the Building's architect and replaced by the Shareholder at the expense of Shareholder. The Shareholder will not, without the Corporation's prior approval, enclose or obstruct access to the existing heat or water pipes, valves or other equipment not presently enclosed. No plumbing or heating risers may be relocated without the Corporation's specific written consent. In any event, whether or not approval is granted, the Corporation shall have the right to remove any impediments to access to such heat or water pipes, valves and equipment for the purpose of repair or any other purpose, and the Shareholder shall pay any expenses the Corporation may incur in removing these impediments, and shall assume all costs of restoring the same. Access doors must be provided at all plumbing valves, and at all operating parts of all plumbing and mechanical systems, including steam piping expansion joints and valves.\n\n4. The Shareholder agrees that the Shareholder and the Shareholder's successor-ininterest shall assume full responsibility for the future repair and maintenance of the plumbing lines located in the Apartment and any equipment installed as part of the Work. The Shareholder further agrees that the Shareholder and the Shareholder's successor-in-interest shall bear any and all costs for any plumbing leaks or other conditions which cause damage to the Adjacent Premises or other apartments in the Building, if such leakage or damage results from the Work or the equipment installed as part of the Work.\n\n5. The details of all plumbing installations, including materials and methods of installation, shall be noted on the plans and specifications for the Work and subject to the Corporation's approval and shall be designed to allow access to radiators and valves. Any such radiator enclosure must be easily removed.\n\n6. The details of all radiator enclosures and method of installation shall be set forth on the Shareholder's plans and specifications and shall be designed to allow access to radiators and valves. Any such radiator enclosure must be easily removed.\n\n7. Hammer arrestors shall comply with the New York City Building code and be of a sealed cylinder type; air, columns shall not be permitted. All hammer arrestor installations must be inspected by the Corporation or its consulting architect prior to the wall being enclosed.\n\n8. Only legal gravity fed toilets shall be permitted to be installed in the Building. Only 1.6 gallon models or any others specified by the U.S. Department of Environmental Protection may be installed.\n\n9. In the event the Work involves exposing and/or moving plumbing pipes, the Corporation shall inspect the exposed pipes and make a determination as to whether they are required to be replaced. If the Corporation determines, in its sole discretion, that such pipes are required to be replaced, the Shareholder shall do so at the Shareholder's sole cost and expense, whether the exposed pipes serve the Apartment or an adjacent apartment. The Corporation shall have the right to install new risers at the Corporation's expense, where plumbing is in the Building's original configuration. In any event, Shareholder must replace all branch piping and lines at the Shareholder's sole cost and expense, as detailed below and as may be further directed by the Corporation.\n\n10. All new bathrooms must comply with Local Law 86 of 1996 with respect to the installation of Anti-Scald Valves on all tubs and showers.\n\n11. All tubing to refrigerator for icemaker or cold water service shall be configured in a loop back to a valve and then drain so that this low volume feed may be flushed out from time to time as necessary. Installation of same must be observed by the Building's Chief Engineer.\n\n12. All water supply lines will fed through walls and not floors unless approved by the Board. Cutting or channeling into structural floor or ceiling slabs is prohibited.\n\n1. The Corporation reserves the right to request smoke testing of concealed duct Work.\n\n2. All domestic hot and cold water branch line pipes and mixing valves shall have check valves to prevent backflow and cross connect and all hot and cold water piping shall be insulated.\n\n3. All branch piping (hot water, cold water, waste, and vent piping) must be replaced with accessible branch valves for the hot and cold water branches where:\n\n- (a) Bathroom tile is replaced.\n- (b) Kitchen cabinets are replaced.\n- (c) Fixtures are relocated.\n- (d) In all areas of the Apartment where all finishes and fixtures are being replaced or reconfigured.\n\n4. Branch pipe sections shall be removed as close to the risers as possible, so that the abandoned stubs or pipe sections remain in contact with the Building's potable water network.\n\n5. Moving of risers and stacks including gas, steam, water and waste is not permitted.\n\n6. Replacement of branch piping is to include new branch shut-off and soft-seated, spring loaded check valves to be located just beyond the shut off valves. All hot water connections to the Riser \"T\" must incorporate a minimum of three (3) elbow swings using threaded brass, to allow for expansion.\n\n**7.** Where branch piping is being replaced, galvanized branch domestic water piping which feeds fixtures within the Apartment must be removed and replaced with copper or other piping material approved by the Corporation's consulting architect. **The branch pipe sections shall be removed as close to the risers as possible, so that no abandoned stubs or pipe sections remain in contact with the Building's potable water network.**\n\n8. An air chamber is required at all hot and cold branch lines that feed sinks, lavatories, water closets and washing machines; or, provide one air chamber per fixture.\n\n9. If any alteration to the heating system fails to supply adequate heat, the Shareholder will be responsible for supplemental heating.\n\n10. When radiators are replaced or relocated, branch steam piping shall be replaced to the risers and returns. Steam supply piping in walls and floors shall be insulated.\n\n# **INSTALLATION OF APPLIANCES**\n\n1. The Shareholder agrees not to cause or permit without the Corporation's specific prior written approval, (a) the installation of a jacuzzi/whirlpool tub, sauna, steamroom, steam showers or the like (collectively, \"Whirlpool\") or (b) the enlargement of existing bathrooms or the installation of additional bathing facilities which would cause a \"wet\" area to be located over a \"dry\" area in the apartment below. In no event shall the Shareholder install a kiln or similar oven not for cooking purposes, or perform any alterations which would entail cutting into the floor or ceiling slab of the Apartment for electrical or plumbing Work or for any other purpose. The Shareholder understands and acknowledges that any approval of the Shareholder's installation and operation of a Whirlpool is a conditional approval. The Shareholder agrees that if, at any time, any shareholder of any apartment in the building is determined by the Corporation, in the Corporation's reasonable judgment, to have suffered any damage, disturbance or inconvenience caused by the Whirlpool, including without limitation, the effects of noise or seepage from the installation or operation of the Whirlpool, the Corporation may, in the Corporation's sole discretion, require the Shareholder (i) to immediately cease the operation and use of the Whirlpool and/or (ii) to disconnect the Whirlpool mechanism within thirty (30) days. If the Shareholder fails to cease the operation or fail to disconnect the Whirlpool mechanism as set forth in the immediately preceding sentence, the Corporation may enter the Apartment (upon telephone notice) and cause such cessation and/or disconnect of the Whirlpool mechanism at the Shareholder's cost and expense.\n\n2. In no event shall an existing bathroom be enlarged or reconfigured or any additional bathing facilities be installed which would cause a \"wet\" area to be located over a \"dry\" area in the apartment below, without the Corporation's express written consent.\n\n3. The Shareholder further expressly agrees not to cause or permit the installation of any other appliance or fixture whatsoever unless the same shall have been labeled on the plans and specifications submitted to the Corporation herewith and approved by the Corporation in writing, provided, however, that appliances and fixtures may be installed in the place of appliances and fixtures set forth in the plans and specifications approved by the Corporation if such substitute appliances and fixtures are of like kind, function and basic specifications as the appliances and fixtures set forth in the plans and specifications approved by the Corporation. The Executive Office shall be notified in advance of such substitute installations. The Corporation strongly encourages the installation of appliances with the highest Efficiency Star rating.\n\n4. The design and scope of electrical appliances must conform with the existing electrical capacity of the building.\n\n5. Existing gas-service range appliances, if replaced, shall be replaced with gasservice range appliances.\n\n6. No portable dishwasher or clothes washer shall be installed in the Apartment. All appliances must be installed directly into the Building's plumbing systems and installation must\n\nbe approved by the Corporation's consulting architect. All appliances shall be properly vented. Venting details shall appear on the Shareholder's plans. Should new or additional vents be approved by the Corporation's consulting architect, such vents must be located in the non-street facades of the Building and must correspond exactly to the location of existing vents in that line. All vents must be keyed into the brick work, and properly waterproofed and hooded to prevent water infiltration and masonry deterioration. Kitchen exhaust fans may not be connected to existing kitchen exhaust shafts. Range hoods with a capacity greater than 900 CFM are prohibited.\n\n7. In the event that there is a complaint concerning noise, vibration or exhaust heat from any appliance or other equipment installed, the Shareholder agrees to take immediate steps to eliminate the cause for the complaint and, in the event the situation is not resolved to the satisfaction of the Board of Directors, to remove such appliance or equipment.\n\n8. **In no event shall any Shareholder be permitted to install a garbage disposal unit in the Apartment.**\n\n# **ELECTRIC**\n\n1. No alteration Work which will affect the electric service or relocation of any electric riser to the Apartment shall be permitted unless and until a proposed electrical plan is submitted to and approved by the Corporation's architect and/or a consulting engineer of the architect's choice. The proposed electrical plan must be detailed, must show branch circuit design, must include complete load capacity analysis of pre-existing and proposed conditions, and shall be submitted for lighting and power systems and air conditioning systems, respectively. The Shareholder shall also furnish a letter from a licensed electrician, engineer or architect who shall certify that the electrical loads required as a result of the Work will not be in excess of the present electrical capacity of the Apartment and will not adversely affect the Building's electric service. Electrical plans, riser diagrams and engineering calculations shall be accompanied by catalog cut sheets for proposed appliances and mechanical equipment. If the Shareholder's proposed electrical load and requirements are in excess of the present electrical capacity of the Apartment, no additional electric service will be brought into the Apartment without the Corporation's approval.\n\n2. All electrical Work must conform to NYC Electrical Code. A separate letter documenting the proposed modifications and electrical loads being added shall be prepared by Shareholder's engineer and submitted to the utility company (Consolidated Edison) prior to final approval by the Corporation, a copy of which will be submitted to the Corporation's consulting architect and/or a consulting electrical engineer of the architect's choice.\n\n3. If, in the Corporation's sole discretion, the Corporation approves additional electric service to be brought into the Building at the Shareholder's sole cost and expense, the Shareholder agrees to pay to the Corporation a one-time fee of \\$300 per single phase amp for such additional electric service, in addition to the professional fees as detailed in paragraph 6 of this Rider.\n\n4. Any major electrical modifications or rewiring must be accompanied by a separate electrical riser and separate metering approved by the Corporation. If a new riser is installed, all existing wiring replaced by such riser must be removed from the basement level to the Apartment, and the Shareholder must repair all damage caused by such removal, including but not limited to, all plastering and painting at the Shareholder's expense.\n\n5. Actual hookup of any electric service to the Building's main service must be handled by the Building's electrician at the Shareholder's expense.\n\n6. Any proposed electrical upgrade will be reviewed by the Corporation's reviewing architect or engineer or an electrical engineer retained by the Corporation with regard to available service, points of connection, and real estate issues for new conduit runs. The Shareholder agrees to bear all professional fees associated with any review, correction or amendment to the Shareholder's proposed electrical plan prepared by the Corporation's architect or engineer and/or a consulting engineer of the architect's or engineer's choice.\n\n7. The Corporation requires conduits or risers to major power sources to be placed outside the Building in the rear. (Positioning of lines in the Building's basement to outside conduits or risers will be determined by the Building's architect.) Note: If it is necessary to have a rigger's license to install new wires or conduits, the Shareholder will be so advised by the Executive Office and the Shareholder will be responsible for such charges, as Additional Rent under the Lease.\n\n8. Upon completion of the project, the Shareholder shall provide to the Executive Office final sign-off and close out documentation with the New York City Bureau of Electrical Control.\n\n## **LANDSCAPING OF TERRACES, ROOFS OR BALCONIES/FURNITURE AND OTHER INSTALLATIONS**\n\nThe following regulations and guidelines shall be adhered to by all Shareholders owning apartments with adjoining terrace areas or roofs.\n\n1. No surfaces of the floor, walls, railings, or doors may be painted, coated and/or decorated in any fashion, unless approval has been requested in writing, and granted, in writing, by the Board of Directors.\n\n2. No irrigation, watering or lighting system shall be placed onto the terrace decks unless approval has been granted, in writing, by the Board of Directors. Maintenance of such systems, including but not limited to weatherproofing, trip-hazard protection, shall be the exclusive responsibility of the Shareholder. No irrigation or watering system may spill water on the parapet walls.\n\n3. All planters placed onto the terrace decks, shall conform with all the requirements as set forth by the New York City Department of Buildings, and the New York City Building Code, as well as all Memoranda issued by the Housing Preservation and Development Agency, Department of Code Enforcement, as well as the Guidelines set forth below.\n\n4. Nothing shall be attached to the Building's exterior, including, but not limited to the Building's parapets and chimney.\n\n# **TERRACE PLANTER GUIDELINES**\n\nThis document is provided as a guideline for the construction, placement and support of earth-filled planting containers located on terrace surfaces. In all cases such containers shall be subject to review and approval by the Board of Directors of this Corporation.\n\n# **Submission Requirements**\n\nA DRAWING AT THE SCALE OF 1/4\" = 1'- 0\" INDICATING THE LAYOUT OF PLANTERS AND THE DIMENSION AND CALCULATED WEIGHT OF EACH PLANTER SHALL BE SUBMITTED FOR EACH TERRACE PRIOR TO CONSTRUCTION OR INSTALLATION OF PLANTERS. THE BOARD OF DIRECTORS WILL APPROVE OR PROVIDE THEIR COMMENTS IN DISAPPROVING EACH PLAN IN WRITING. COSTS OF PREPARATION AND REVIEW OF SUCH PLANS ARE TO BE BORNE BY THE SHAREHOLDER.\n\nAPPROVED TERRACE PLANS WILL BECOME PART OF THE CORPORATION'S FILES, AND ANY CONSTRUCTION NOT APPROVED BY THE BOARD WILL BE REMOVED AT SHAREHOLDER'S EXPENSE FOLLOWING TWO WEEK ADVANCE NOTICE TO THE SHAREHOLDER BY THE BUILDING MANAGEMENT.\n\n#### **Weight of Planters**\n\nThe total calculated weight of all planters on any terrace surface shall not exceed five (5) pounds per square foot on the total terrace area (i.e., a 300 square foot terrace may have no more than 1500 pounds of planters).\n\nThe maximum calculated weight of any planters without soil and dunnage, shall be 25 pounds, so that each such planter shall be light enough to be moved, by hand, by two people. Planters of construction exceeding 25 pounds shall have their soil capacity reduced accordingly.\n\nThe maximum weight of saturated soil within any planter shall be 350 pounds.\n\nThe maximum volume of any planter shall not exceed 7.7 cubic feet. Any combination of internal dimensions may be used to achieve this volume (e.g., 18\"h x 20.5\"w x 36\"1)\n\nThe maximum height of any planting shall be eight (8) feet with a maximum spread of four (4) feet. The tops of all plants, shrubs and trees shall not extend more than 72\" above the balcony or terrace deck surface. All plants, shrubs and trees must be pruned as often as is necessary to stay within the maximum allowable size (72\" above the balcony or terrace deck surface and the Building line.)\n\n#### **Placement of Planters**\n\nPlanters shall be spaced so as not to create weight in excess of 30 pounds per square foot over any contiguous area of 30 square feet or more.\n\nPlanters shall not be placed closer than 2\" to any wall or parapet, nor within 10\" of any drain or pitch box.\n\nPlanters shall not block access or egress from or to any area of roof or terrace and may not block any legal means of egress.\n\nPlanters shall not be placed on any parapet or railing structure.\n\nNo climbing plants shall be allowed to adhere directly to any surface of the\n\nBuilding.\n\nNo planter shall be placed on any area of the roof not containing a paving system approved by the Building Architect.\n\nNo planter shall be placed directly on gravel ballast or directly on roofing membranes.\n\nPlanters shall not be placed on or hung from any raised structure, penthouse wall or roof, or attached in any way to the Building exterior.\n\nPlanters shall not cover more than 10% of the deck surface area.\n\n# **Support of Planters**\n\nNo planter shall rest directly on a roof or deck surface.\n\nBearing blocks of stone or concrete measuring 6\" x 6\" x 2\" shall be placed under each planter; one block shall be provided for each two (2) square feet of base area. Such dunnage shall be arranged in a manner to allow free flow of surface run-off water draining from all areas of the balcony or terrace deck to the drain.\n\n# **Planter Construction**\n\nPlanters shall be constructed so as to be self-supporting.\n\nPlanters shall be constructed of rot-resistant wood species, plastic or other durable lightweight materials. Non-ferrous fasteners shall be used.\n\nPlanters must have an adequate number of drainage holes at the bottom of the container or not higher than 2-1/2\" from the bottom.\n\n# **Soil**\n\nPlanters shall be filled with a mix of Perlite and topsoil. The weight of the mixture shall not exceed 65 pounds per cubic foot when saturated. A combination of 1/3 Perlite and 2/3 topsoil will normally weigh less than 65 pounds per cubic foot, when saturated with water.\n\n# **Anchorage**\n\nLarge plants and shrubs shall be anchored to their planters with guy wires to prevent their being uprooted in high winds. Perlite and soil mixture is not as dense as natural soil and provides less root support.\n\n# **Maintenance**\n\nShareholders shall be entirely responsible for the maintenance of all plant materials and containers, and shall maintain all decks, roof drains and drain covers clear of debris and leaves and all other debris which may clog drains or drain lines.\n\nWind driven soil and/or debris shall not be allowed to accumulate on the deck surface and act as a medium for the germination of seeds.\n\nThe responsibility for, and the cost of, moving any Shareholder installed planting to permit the Building to do normal and/or emergency repairs or maintenance shall be borne by the Shareholder.\n\nAutomatic watering systems are not permitted, unless specifically approved by the Board of Directors. If such approval is given, Shareholder must enter into a maintenance\n\nagreement with a landscape company insuring that water is properly drained during the winter season. Agreements must be updated and submitted to management.\n\nOutdoor carpeting, wood decks, or other terrace surface covers are prohibited.\n\n# **General Notes**\n\nWhen roof loading is at or near the loads specified herein, an engineer designated by the Corporation shall be consulted at Shareholder's expense, to review plan and, if he/she so determines, to require modifications to same.\n\nThese specifications do not take into account extraordinary loads imposed by unmovable furniture, sculpture, fountains, gazebos or other structures. All such installations shall be subject to review and approval by the Board of Directors.\n\n# FURNITURE AND OTHER INSTALLATIONS\n\n1. Every effort shall be made to distribute the weight of terrace installations over the greatest possible surface area to avoid the compression or movement of underlying waterproofing membranes which may result in leakage. Concentration of weight may also cause bending in Building structure, masonry displacement and damage to interior plaster.\n\n2. Any furniture erected as a permanent fixture to the roof or terrace, shall have plans submitted to, and approved, by the New York City Department of Buildings, and the Board of Directors.\n\n3. Placement of furniture must not block any legal means of egress.\n\n4. Shareholders of apartments with direct access to terraces or roof areas are responsible for the maintenance of the deck surface and drains. All drain covers and deck surfaces must be kept free of leaves, plant debris and all other debris which may clog the drain covers or drain lines.\n\n5. Wind driven soil and/or debris shall not be allowed to accumulate on the deck surface and act as a medium for the germination of the wind driven seeds.\n\n6. No objects may rest on top of a terrace or roof parapet wall and/or be supported from railings or soffited areas.\n\n7. Terrace or roof areas are not to be used for storage of bicycles, carts, snow tires, furniture, firewood, etc.\n\n8. All installations placed on deck surfaces shall be constructed of materials that will not rust, to prevent staining of the exterior envelope of the Building.\n\n9. All installations shall be of sufficient weight, or secured to the terrace, to prevent them from being blown over the surface, and possibly over the side of the terrace or roof.\n\n10. Sun umbrellas shall not be placed onto the terraces or roofs.\n\n11. The installation of awnings is not permitted, without prior Board approval.\n\n12. Wood fencing and sheds shall not be erected on terraces or roofs. Fencing or dividers on a roof or terrace shall comply with all pertinent building code and government regulations, subject to the Board's approval and:\n\n(e) shall be constructed from non-combustible materials;\n\n(f) shall be of such height and design and be appropriately anchored so as not to impair the structural integrity of either the Terrace, roof or parapet wall;\n\nInitials \\_\\_\\_\\_\\_\n\n(g) shall be attached to the building in a manner that does not impair the waterproofing integrity thereof nor the guarantee, if any, of the Lessor's contractors regarding waterproofing;\n\n- (h) shall be attached in a manner structurally satisfactory to the Lessor; and\n- (i) shall not cause excessive vibrations.\n\n13. In order to comply with Local Fire Codes and prevent fires, neither gas nor charcoal grills are permitted on the terraces or roof and no cooking or grilling is permitted.\n\n14. All electrical fixtures and wiring on the terraces must conform with the NYC Building Codes and must be approved for outdoor use. All electrical installations must be performed by a licensed electrician and approved by the Board of Directors.\n\n15. No roof areas may be enclosed.\n\n16. It is the responsibility of the Shareholder to move all installations and structures as necessary for Building maintenance needs at the Shareholder's sole expense. If the Shareholder fails or refuses to remove same, the Corporation retains the right to remove or relocate such structure(s), which will be performed at the sole expense of the Shareholder and charged to Shareholder as Additional Rent under the Lease.\n\n17. Shareholder is solely responsible for the cost of repairs resulting from damage caused by its actions, its failure to properly maintain the terrace or roof area, and/or for any damage which may be caused, directly or indirectly, by the presence of planters, objects or installations placed on the terrace or roof.\n\n18. Wood decking shall not be placed on the terraces. The decking on terraces shall not impede water drainage, and/or cause the railing and/or parapet heights to be less than 3'-6\" above the finished deck surface.\n\n19. The Corporation reserves the right to withdraw permission to have any planters or objects on the terraces or roof areas by written notice to the Shareholder(s) and Shareholder(s) shall comply with the provisions of the Lease and any House Rules from time to time in effect regarding terraces or roofs, as the case may be.\n\n20. The Executive Office and/or the Corporation's consulting architect are required and shall be permitted by the Shareholder to regularly monitor all plantings and/or other installations for their compliance with these guidelines. The Corporation may also enlist the services of a professional engineer to determine the appropriateness of same and the Corporation's determination will be final. Any costs related to such an evaluation shall be the sole responsibility of the Shareholder.\n\n21. The Corporation retains the right, in its sole discretion, to modify these guidelines as circumstances warrant.\n\nInitials \\_\\_\\_\\_\\_\n\n22. The installation of awnings is not permitted.\n\n23. Installation of planting and watering systems will require a maintenance agreement with a landscape company insuring that water is properly drained during the winter season. Agreements must be updated and submitted to management.\n\n24. Exterior lighting may not be installed on terraces or roofs, without prior Board approval.\n\n25. No audio systems, stereo speakers or loud music will be permitted on any roof or terrace.\n\n#### **ADDENDUM TO APARTMENT ALTERATION AGREEMENT**\n\nThis addendum (the \"Addendum\") is to be made part of, and incorporated into the Apartment Alteration Agreement, dated as of \\_\\_\\_\\_\\_, 2023 (the \"Apartment Alteration Agreement\"), between The Sherry-Netherland, Inc. (the \"Corporation\") and Genever Holdings LLC (the \"Shareholder\") for Apartment 1801 at 781 Fifth Avenue, New York, New York 10022. In the event of a conflict between any terms of the Addendum and terms of the Apartment Alteration Agreement, the terms of the Addendum shall govern.\n\n1. Jurisdiction. Notwithstanding anything to the contrary in the Apartment Alteration Agreement, any action or proceeding arising out of or in any way connected with this Addendum and the Apartment Alteration Agreement may only be brought in the United States Bankruptcy Court for the District of Connecticut (the \"Bankruptcy Court\").\n\n2. Fees and Security Deposits. Notwithstanding anything to the contrary in the Apartment Alteration Agreement:\n\n- a. The Corporation waives the architect fee under Section 3 of the Apartment Alteration Agreement;\n- b. The Corporation waives all fees related to the completion of work under Section 14(a) of the Apartment Alteration Agreement;\n- c. The Corporation waives the use-of-facilities fee under Section 14(b) of the Apartment Alteration Agreement;\n- d. The amount of the refundable security deposit in Section 28 of the Apartment Alteration Agreement shall be \\$50,000; and\n- e. No additional \\$15,000 security deposit will be required under Section 28 of the Apartment Alteration Agreement because the proposed Work does not require an amended Certificate of Occupancy.\n\n3. Bankruptcy Court Approval. The obligations of the Shareholder under this Addendum and the Apartment Alteration Agreement are subject to approval of the Bankruptcy Court.\n\n4. Terms of Order. This Addendum and the Apartment Alteration Agreement are subject to the terms of the order of the Bankruptcy Court approving the Addendum and Apartment Alteration Agreement, substantially in the proposed form attached hereto as **Schedule 1**.\n\n#### **THE SHERRY-NETHERLAND, INC.**\n\nBy: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Name: Title:\n\n#### **GENEVER HOLDINGS LLC**\n\nBy: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Name: Title:\n\n#### **Schedule 1**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|---------------------------------------------------------|-------------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| HO WAN KWOK, et al.,1 | :
: | Case No. 22-50073 (JAM) |\n| Debtors. | :
:
: | (Jointly Administered) |\n| ------------------------------------------------------x | | |\n\n# **ORDER, PURSUANT TO BANKRUPTCY CODE SECTION 363(b), AUTHORIZING GENEVER HOLDINGS LLC TO ENTER INTO, AND PERFORM UNDER, ALTERATION AGREEMENT WITH SHERRY NETHERLAND, INC.**\n\nUpon the motion (the \"Motion\")2 of debtor Genever Holdings LLC (\"Genever US\"), for an order (this \"Order\") authorizing Genever US to enter into the Alteration Agreement with Sherry Netherland as further detailed in the Motion; and the Court having reviewed the Motion and having considered the statements of counsel before the Court at a hearing held on \\_\\_\\_\\_\\_, 2023 (the \"Hearing\"); and the Court having found that (a) the Court has jurisdiction over this matter pursuant to 28 U.S.C. §§ 157 and 1334; (b) this is a core proceeding pursuant to 28 U.S.C. § 157(b); (c) venue is proper pursuant to 28 U.S.C. §§ 1408 and 1409; and (d) good and sufficient notice of the Motion having been given; and no other or further notice being required; and the Court having found and determined that the legal and factual bases set forth in the Motion establish just cause for the relief granted herein; and it appearing that the relief requested\n\n 1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and 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\n2 Capitalized terms used but not otherwise defined herein shall have the meanings set forth in the Motion.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 115 of 117\n\nby the Motion, as modified by the terms of this Order is in the best interest of Genever US's estate and creditors; and upon all of the proceedings had before the Court and after due deliberation and sufficient cause appearing therefor, it is hereby\n\n#### ORDERED THAT:\n\n1. The Motion is GRANTED as set forth herein.\n\n2. Genever US is authorized to enter into, and perform under, the Alteration Agreement with Sherry Netherland including payment of fees and expense.\n\n3. The Indemnified Parties shall be entitled to indemnification to the extent required under the terms of the Alteration Agreement, as modified pursuant to this Order; *provided* that any request for indemnification by the Indemnified Parties shall be subject to review by the Court as set forth herein to ensure that payment of such indemnity conforms to the terms of the Alteration Agreement, as modified pursuant to this Order, and is reasonable under the circumstances of the litigation or settlement in respect of which indemnity is sought; *provided*, that in no event shall the Indemnified Parties be indemnified in the case of gross negligence or willful misconduct.\n\n4. If, before the earlier of (i) the entry of an order confirming a chapter 11 plan in these chapter 11 cases (that order having become a final order no longer subject to appeal), or (ii) the entry of an order closing these chapter 11 cases, any Indemnified Party believes that it is entitled to the payment of any amounts by Genever US on account of its indemnification obligations under the Alteration Agreement, as modified pursuant to this Order, the Indemnified Party must file an application therefor in the Court, and Genever US may not pay any such amounts to the Indemnified Parties before the entry of an order by this Court approving the payment. With respect to any amounts sought by any Indemnified Party as reimbursement for attorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 116 of 117\n\nthe Alteration Agreement, as modified by this Order, the invoices and supporting time records for the attorneys' fees and expenses shall be included in the Indemnified Party's application to the Court and these invoices and time records shall be subject to the Amended Guidelines and the approval of the Court pursuant to sections 330 and 331 of the Bankruptcy Code without regard to whether such attorneys have been retained under section 327 of the Bankruptcy Code, and without regard to whether such attorneys' services satisfy section 330(a)(3)(C) of the Bankruptcy Code. This paragraph is intended only to specify the period of time under which the Court shall have jurisdiction over any request for fees and expenses by the Indemnified Parties for indemnification, contribution, or reimbursement, and not a provision limiting the duration of the obligation to indemnify the Indemnified Parties. All parties in interest shall retain the right to object to any demand by the Indemnified Parties for indemnification, contribution, or reimbursement.\n\n5. The Indemnified Parties shall not be entitled to reimbursement by Genever US for any fees, disbursements and other charges of the Indemnified Parties' counsel other than those incurred in connection with a request of the Indemnified Parties for payment of indemnity approved by the Court.\n\n6. Notwithstanding the provisions of Bankruptcy Rule 6004(h) or any applicable provisions of the Local Rules, this Order shall not be stayed after the entry hereof, but shall be effective and enforceable immediately upon entry, and the 14-day stay provided in Bankruptcy Rule 6004(h) is hereby expressly waived and shall not apply.\n\n7. Genever US is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n#### Case 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 117 of 117\n\n8. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n9. This Court retains exclusive jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格联邦地区破产法院布里奇波特分院）\n\n------------------------------------------------------ x\n\n关于： ：\n： 第11章\nHO WAN KWOK（郭文贵）等人，1 ：\n： 案件编号：22-50073 (JAM)\n债务人。 ：\n：\n： （合并管理）\n\nGENEVER HOLDINGS LLC（Genever Holdings有限责任公司）根据《破产法典》第363(b)条请求作出命令，以授权 GENEVER HOLDINGS LLC 与 SHERRY NETHERLAND, INC.（Sherry Netherland公司）订立并履行改建协议，以修复受 2023 年 3 月 15 日火灾影响的 SHERRY NETHERLAND 公寓区域之动议\n\nGenever Holdings LLC（以下简称“债务人”或“Genever US”）通过其下列签署的律师，特此提出本动议（以下简称“本动议”），请求根据《美国法典》第11编（以下简称“《破产法典》”）第363(b)条作出一项命令，其形式实质上如随附本动议作为附件1的命令草案（以下简称“拟议命令”），授权 Genever US 与 The Sherry-Netherland, Inc.（以下简称“Sherry Netherland”）订立并履行改建协议（连同其所有附件及附加条款，包括补充协议，以下简称“改建协议”），其形式实质上如随附本动议作为附件2的协议。为支持本动议，Genever US 谨陈述如下：\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 和 Miles Kwok，以及诸多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（税务识别号码后四位：8202）及 Genever Holdings Corporation（Genever Holdings股份有限公司）。受托人、Genever Holdings LLC 及 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（卢克·A·德斯平斯），作为 Ho Wan Kwok 遗产的受托人（仅为通知和通信之目的）。\n\n初步陈述2\n\n1. Genever US 在其第11章案件中的首要目标，是以实现价值最大化的交易出租和/或出售 Sherry Netherland 公寓。正如本院所知，该目标因发生于 Sherry Netherland 公寓的 2023 年 3 月 15 日火灾（以下简称“3月15日火灾”）而被延误；该火灾对公寓的一部分造成重大损坏，并使该公寓实际上无法上市销售。为使 Sherry Netherland 公寓恢复至可上市状态，本院于 2023 年 9 月 19 日作出命令 [Docket No. 2213]（以下简称“修复命令”），授权 Genever US 修复受3月15日火灾影响的 Sherry Netherland 公寓区域。\n\n2. 为推进修复项目，Genever US 必须遵守 Sherry Netherland 关于翻修该楼宇内公寓的规则。Sherry Netherland 大楼是一座地标建筑，兼具合作公寓楼和豪华酒店功能，并受到多个联邦、州及地方机构的高度监管。因此，Sherry Netherland 制定了若干政策和程序，所有合作公寓股东在进行改建时均须遵守，以在保护全体住户安全、舒适和隐私的同时遵守适用法规。这要求所有寻求改建其公寓的股东，包括进行修复或翻修项目的股东，均须与 Sherry Netherland 订立标准格式的改建协议。如 Genever US 不订立改建协议，则无法修复3月15日火灾造成的损害，其实际后果是其将无法为遗产利益出售/出租 Sherry Netherland 公寓。因此，如修复动议中所预告，Genever US 必须在能够启动修复项目之前与 Sherry Netherland 订立改建协议。\n\n2 本初步陈述中未定义的首字母大写术语，应具有本动议后文赋予其的含义。\n\n3. 为免疑义，改建协议是 Sherry Netherland 要求所有股东在翻修其公寓前签署的标准协议，且 Sherry Netherland 不允许作出任何修改。如以下详述，改建协议规定适用于修复项目的各项程序，包括但不限于：(a) Genever US 在开工前向 Sherry Netherland 提交必要文件，包括但不限于拟进行工作内容及规范说明、详细图纸、执照证明、保险证明，以及签署处理特定情形的特定附加条款（例如石棉清除及含铅油漆危害）；(b) Sherry Netherland 可指定一名建筑师审查图纸，并在判断工作是否按照其政策推进所必需的范围内检查改建工程；(c) 在开工前，已从对该项目具有管辖权的机构取得所有适当的许可和批准；以及 (d) 修复项目须遵守有关工作方式和材料的规定，包括工作日期和时间、对走廊以及供暖、电气和管道系统的保护，以及材料质量。Genever US 主张，在 Sherry Netherland 必须遵守严格法规并保护楼内住户的此类情形下，改建协议中的程序是必要且合理的。\n\n4. 此外，改建协议要求 Genever US 支付可退还的 $50,000 押金（较标准 $100,000 押金减少 $50,000）。3 只要 Genever US 遵守改建协议的全部规定，该押金将在修复项目完成后返还。此外，改建协议要求支付金额为 $1,500 的管理处理费，以支付施工期间增加的行政成本。修复项目完成后，如 Genever US 未提交必要的结项文件，则对于尚未提交该等结项文件的每个日历月或其不足一个月的部分，还须额外支付 $2,000 的费用。为免疑义，Genever US 拟遵守其在改建协议下的全部义务。\n\n3 如拟议工作需要修订后的 Certificate of Occupancy，则改建协议还将要求额外支付 $15,000 押金。然而，修复项目不需要任何该等修订后的 Certificate of Occupancy，因此 Genever US 无须支付该额外押金。\n\n5. Genever US 还希望强调，如《公寓改建协议补充协议》（以下简称“补充协议”）所详述，Sherry Netherland 已同意免除原本根据其标准格式改建协议应支付的若干费用。具体而言，Sherry Netherland 已同意免除：\n\na. 建筑师费用（金额约为 $1,500 至 $3,500）；4\n\nb. 与延长完工日期有关的任何费用（每日金额为 $500 或 $1,000）；5 以及\n\nc. 每月设施使用费（每月金额为 $2,212.50）。6\n\n4 根据标准格式改建协议第3条，Sherry Netherland 有权收取建筑师费用，通常视改建工程范围而定，金额在 $1,500 至 $3,500 之间。鉴于 Genever US 聘请的建筑师通常亦由 Sherry Netherland 在此类情形中聘用，本案无需支付该等费用。\n\n5 标准格式改建协议第14(a)条规定，如完工日期延长，股东须就前15个额外工作日的每一日支付 $500 费用，并就完工日期延长后的第16个工作日及其后每一日支付 $1,000 费用。\n\n6 标准格式改建协议第14(b)条规定，股东须就每个日历月或其不足一个月的部分支付设施使用费，金额等于 $.75 乘以分配给 Sherry Netherland 公寓的股份数。就 Genever US 而言（其拥有该公寓的 2,950 股股份），免除此项费用意味着每月节省 $2,212.50，或约 $13,000（假设修复项目将耗时六 (6) 个月完成）。\n\n6. 此外，改建协议要求 Genever US 在改建协议规定的、与修复项目有关的特定情形下，对 Sherry Netherland 及其人员作出赔偿，但改建协议中的任何规定均不得使 Sherry Netherland 就其本可能因 Sherry Netherland 及其人员的过失所促成、导致或造成的人身伤害或财产损害而承担的法律责任获得赔偿。无论如何，根据拟议命令，在 Genever US 的第11章案件待决期间，任何赔偿请求均将提交本院，并须经本院批准。就此，Genever US 指出，拟议命令包含与本院此前就聘用 Epiq Corporate Restructuring, LLC（Epiq Corporate Restructuring有限责任公司）和 Kroll, LLC（Kroll有限责任公司）所批准的相同规定。\n\n7. Genever US 主张，基于上述理由及下文说明的理由，本院应批准 Genever US 订立并履行改建协议。\n\n管辖权、审判地及法定依据\n\n8. United States Bankruptcy Court for the District of Connecticut（美国康涅狄格联邦地区破产法院，以下简称“本院”）依据 28 U.S.C. §§ 157 和 1334，以及 United States District Court for the District of Connecticut（美国康涅狄格联邦地区法院）的常设移交令，对本事项具有管辖权。本事项属于 28 U.S.C. § 157(b) 所称的核心程序。\n\n9. 依据 28 U.S.C. §§ 1408 和 1409，本地区为适格审判地。\n\n10. 本动议所请求救济的法定依据为《破产法典》第363条。\n\n背景\n\nI. 第11章案件\n\n11. 2020 年 10 月 12 日，Genever US 向 United States Bankruptcy Court for the Southern District of New York（纽约南区美国联邦破产法院，以下简称“SDNY破产法院”）提交其第11章申请，从而启动编号为 20-12411 (JLG) 的案件（以下简称“SDNY破产案件”）。位于 781 Fifth Avenue, New York, New York 10022 的 Sherry Netherland Hotel（Sherry Netherland酒店）内的第18层公寓及附属单元（统称“Sherry Netherland 公寓”）是 Genever US 的主要资产（另加相关押金）。Sherry Netherland 是一家拥有 Sherry Netherland 酒店的纽约公司。\n\n12. 2022 年 2 月 15 日，Ho Wan Kwok（以下简称“个人债务人”）向本院提交了根据《破产法典》第11章请求救济的自愿申请。\n\n13. 2022 年 3 月 21 日，United States Trustee（美国受托人）在个人债务人的第11章案件中任命了 Official Committee of Unsecured Creditors（无担保债权人官方委员会，以下简称“委员会”）。个人债务人的第11章案件中尚未任命审查员。\n\n14. 2022 年 6 月 15 日，本院作出裁决备忘录及命令 [Docket No. 465]（以下简称“受托人命令”），指示美国受托人在个人债务人的第11章案件中任命一名第11章受托人。根据受托人命令，美国受托人选定 Luc A. Despins（以下简称“受托人”）担任受托人。2022 年 7 月 8 日，本院作出命令 [Docket No. 523]，批准任命该受托人为个人债务人第11章案件中的第11章受托人。2022 年 8 月 10 日，本院作出命令 [Docket No. 717]，认定受托人持有个人债务人就 Genever Holdings Corporation（以下简称“Genever BVI”）享有的全部经济权利和治理权利，而 Genever BVI 继而全资拥有 Genever US。\n\n15. 2022年9月30日，受托人和 Genever US（Genever 美国）提交了一项联合动议［案件编号 22-50592 中的 Docket No. 211］，请求 Southern District of New York Bankruptcy Court（纽约南区破产法院）作出命令，将纽约南区破产案件移送至本院。2022年11月3日，纽约南区破产法院作出命令［案件编号 22-50592 中的 Docket No. 225］，准许该动议，纽约南区破产案件随即移送至本院。\n\n16. 2022年10月11日，Genever BVI（Genever 英属维尔京群岛）在本院提交了其自愿第11章破产申请。\n\n17. 根据日期为2022年11月21日的命令［Docket No. 1141］，本院批准对 Genever US、Genever BVI 及个人债务人的第11章案件进行联合管理。\n\nII. 为出售准备的 Sherry Netherland 公寓修复项目\n\n18. 2015年3月6日，Genever US 与 Sherry Netherland（谢里·内瑟兰）签署了一份专有租赁协议（以下简称“专有租赁协议”）。Sherry Netherland 是一家合作住房公司，Genever US 通过该公司持有一定数量的股份，该等股份被分配给由 Genever US 租赁的 Sherry Netherland 公寓。根据专有租赁协议第3.16条，Genever US 确认，对 Sherry Netherland 公寓进行改造须取得 Sherry Netherland 的同意。7\n\n19. 在纽约南区破产案件移送至本院之前，纽约南区破产法院：(a) 批准了一项和解协议，确立出售 Sherry Netherland 公寓的框架［案件编号 22-50592 中的 Docket No. 141］；(b) 批准 Genever US 聘请 Melanie Cyganowski（梅拉妮·西加诺夫斯基）担任销售负责人［案件编号 22-50592 中的 Docket No. 142］；以及 (c) 批准聘请 Sotheby's International Realty（苏富比国际地产，以下简称“Sotheby”）担任 Sherry Netherland 公寓的房地产经纪人［案件编号 22-50592 中的 Docket No. 168］。\n\n7 Genever US 显然已考虑到该义务系根据一份申请破产前租赁协议施加，因此，Genever US 会主张其无需遵守申请破产前协议项下的该等义务。然而，鉴于修复项目的重要性，鉴于 Sherry Netherland 至今所采取的合作态度，以及鉴于 Sherry Netherland 很可能会反对并就 Genever US 任何不遵守专有租赁协议条款的尝试提起诉讼，Genever US 已决定，为本动议之目的，不主张该论点。然而，这不应被解释为承认 Genever US 必须遵守专有租赁协议或任何其他申请破产前合同或租赁协议的规定。Genever US 保留与此有关的一切权利。\n\n20. 2023年12月12日，在纽约南区破产案件移送后，经受托人、Genever US 和 Genever BVI 提出动议，本院作出命令［Docket No. 1425］，延长 Sherry Netherland 公寓的出售程序及继续聘用 Sotheby 担任经纪人。经各方同意，出售程序已延长至2024年4月30日。\n\n21. 2023年3月15日，个人债务人在 Sherry Netherland 公寓内被联邦执法部门逮捕。当日稍后，3月15日火灾在 Sherry Netherland 公寓内发生，致使该公寓约2,000平方英尺的区域（以下简称“受影响区域”）及其中财产遭受重大损毁。\n\n22. 2023年8月23日，Genever US 提交了一项动议［Docket No. 2113］（以下简称“修复动议”），请求授权取得修复 Sherry Netherland 公寓受影响区域损毁所必需的服务（以下简称“修复项目”）。修复动议请求授权 Genever US：(a) 签订建筑师协议（定义见修复动议），据此 Acheson Doyle Partners Architects, P.C.（阿奇森·多伊尔合伙建筑师事务所，以下简称“Acheson Doyle”）将为修复 Sherry Netherland 公寓提供关键服务（以下简称“建筑服务”）；(b) 在修复项目正常过程中选择和聘请承包商、工程师、顾问及其他第三方服务提供商，包括聘请：(i) Gallagher Bassett Services, Inc., Technical Services Division（加拉格尔·巴塞特服务公司技术服务部，以下简称“GBTS”）对受影响区域进行石棉调查，以评估石棉暴露的程度；以及 (ii) ABF Environmental（ABF 环境公司，以下简称“ABF”）负责石棉清除；以及 (c) 在修复项目正常过程中向该等承包商、工程师、顾问及其他第三方服务提供商付款（包括与石棉清除有关的付款）。\n\n23. 2023年9月8日，Genever US 就修复动议提交了一份补充文件［Docket No. 2183］（以下简称“补充文件”），进一步请求授权：(a) GBTS 提供空气监测及相关服务；(b) George Breslaw Plumbing, LLC（乔治·布雷斯劳管道有限责任公司，以下简称“Breslaw”）为石棉清除工作连接临时淋浴设施，并拆除散热器，且在石棉清除项目完成后重新连接散热器；以及 (c) GEM Contracting Management LLC（GEM 承包管理有限责任公司，以下简称“GEM”）提供相关电气服务。\n\n24. 2023年9月19日，本院作出修复命令，准许修复动议（经补充）并授权 Genever US 开始修复项目。\n\n25. 根据修复命令，2023年11月2日，Genever US 提交了其第一份月度状态报告［Docket No. 2303］（以下简称“第一份月度状态报告”）。如该报告所详述，修复项目（包括石棉清除）尚未开始，因为 Genever US 正在等待其在受影响区域进行石棉消减工程的许可申请获得批准。此外，如第一份月度状态报告所详述，承包商就实施修复项目提交投标的截止日期为2023年11月17日。\n\nIII. 改造协议\n\n26. 经本院批准后，Genever US 拟与 Sherry Netherland 签订改造协议。Sherry Netherland 制定了具体政策和程序，所有股东在对大楼内公寓进行重大或轻微改造时均须遵守。因此，Genever US 作为股东，必须在推进修复项目之前与 Sherry Netherland 签订改造协议。\n\n27. 下图载列 Genever US 与 Sherry Netherland 之间改造协议的实质性条款8：\n\n条款\n\n概要说明\n\n初始提交材料（改造协议第1条）\n\nGenever US 同意，在工程开始前，提供初始提交材料清单中详列的某些物品和文件，并支付不可退还的费用和保证金。该清单作为改造协议附件A附后，其中包括但不限于：拟进行工程的说明和规格、详细图纸、工人执照证明、保险证明，以及签署针对应纳入改造协议的某些特定情形的附加条款，例如石棉清除和含铅油漆危害。\n\n索赔放弃（改造协议第2条）\n\nGenever US 同意免除 Sherry Netherland、其董事、高级职员或股东，以及 Sherry Netherland 股东的雇员、代理人、合伙人、客人、被许可人、受邀人、承租人或雇员的责任，且不向其提出任何索赔或寻求追偿，以赔偿因改造协议第1款要求的保险单承保风险造成的任何人身或财产损害，除非该等损失完全系因上述具名方的过失所致；但前提是，本款及改造协议中的任何内容均不得就 Sherry Netherland 原本可能就人身伤害或财产损害承担的法律责任，对 Sherry Netherland 作出赔偿或使其免责，若该等损害系由 Sherry Netherland、其代理人、雇员或工作人员的过失促成、造成或导致，无论该等过失是全部或部分过失。\n\n指定建筑师／工程师；聘用专业人员；检查并保存 DOB 和 LPC 申报文件（改造协议第3条；附录第2条）\n\n根据附录第2条，Sherry Netherland 放弃改造协议第3条项下原本可能应付的任何建筑师费用。\n\n如 Sherry Netherland 被要求或认为明智之举，需要在准许工程实施之前或之后的任何时间，不时就该工程或本改造协议寻求法律、工程、电气、建筑或其他意见，Genever US 同意应要求偿还 Sherry Netherland 就此产生的所有费用和支出，无论 Sherry Netherland 是否准许实施该工程。\n\n承担责任（改造协议第4条）\n\nGenever US 免除 Sherry Netherland、其董事、高级职员、代理人和雇员就大楼维修作业过程中可能发生的、对受工程影响的 Sherry Netherland 公寓部分造成损害的任何责任。\n\n8 此处对改造协议条款的概述，是为方便本院及利害关系方而作出。如存在任何不一致之处，应以改造协议的条款为准。本概述中使用但未在此定义的首字母大写术语，具有改造协议中赋予该等术语的含义。\n\nGenever US（杰尼弗美国）对与工程及受工程影响的Sherry Netherland（谢里·内瑟兰德）公寓单元和大楼任何部分的维护、修理、修复或更换相关的工程及费用承担全部责任。\n\n如Sherry Netherland在任何时候为进入大楼系统或大楼的一部分以进行修理或改进而需要拆除任何工程，Genever US应提供该等进入条件，并负责提供进入条件的费用，以及Sherry Netherland完成其工程后恢复工程的费用。Genever US确认并同意，该等责任应转移给Genever US在Sherry Netherland公寓单元中的权益继受人。\n\n开工通知/致邻居函\n（改造协议第5条） Genever US应至少提前十（10）日向执行办公室和Sherry Netherland发出书面通知，载明Genever US计划开工的日期及工程工期，并向执行办公室提交一份已签署的函件，其格式应与作为改造协议附件“C”的函件一致，该函件应致送Sherry Netherland公寓单元相邻、紧邻其上方及下方的各公寓的每一位股东或住户（以下简称“毗邻房屋”）。\n\n如工程未在改造协议签署之日起六十（60）日内开工，其中授予的同意应失效并作废。Genever US可书面请求恢复该等同意，Sherry Netherland可自行决定批准或拒绝该请求。\n\n对大楼的损害（改造协议第6条） 因工程的实施或存在而直接或间接导致对任何毗邻房屋、其他公寓或大楼共用部分造成的任何损害，应由Genever US依本协议所要求的保险保障或承包商的保险保障承保。然而，该等保险的存在并不免除Genever US在本协议项下的责任。\n\n如Sherry Netherland通知其认为由工程造成的任何损害，Genever US应立即促使修复该损害，或者，由受损方选择，在保险单允许的范围内，立即将基于该等损害的任何索赔提交给Genever US的保险承保人及承包商的保险承保人，且不得提出异议。\n\n如承包商对大楼任何区域造成损害，Sherry Netherland应暂时暂停工程，直至承包商向Sherry Netherland及时付款，金额为Sherry Netherland就因该等损害所发生的任何及全部费用作出的合理估算金额。\n\n发生的费用（改造协议第7条） Sherry Netherland就工程所发生的一切劳务、设备及材料费用，由Sherry Netherland自行决定，应作为附加租金向Genever US收取并由其支付，包括如有使用的加班费率。任何该等费用应按月开具账单，并应于开具账单后十（10）日内支付。\n\n风险承担（改造协议第8条） Genever US承担因工程的实施或存在所导致或可归因于工程的、对大楼及其机械、电气、管道、通风（竖井及部件）和消防系统，以及大楼内人员及财产造成损害的一切风险，并承担在工程完成期间及完成后对任何改造及安装进行维护、修理和更换的全部责任。\n\nSherry Netherland不对因工程导致向Sherry Netherland公寓单元提供的大楼服务未能履行承担责任。如工程对大楼或任何上述设备的运行造成不利影响，Genever US应立即纠正问题原因。如Genever US未能按照Sherry Netherland自行决定的要求立即纠正问题，Sherry Netherland可促使纠正该问题，且Genever US应对由此发生的一切成本及费用负责，包括Sherry Netherland发生的任何律师费或其他专业费用。\n\n工程日期和时间\n（改造协议第9条） 工程仅可于星期一至星期五上午8:00至下午4:30之间进行，且不得于周末、法定节假日或12月24日至1月2日期间进行。\n\n工程实施；状态报告\n（改造协议第10条） 所有工程均应限于Sherry Netherland公寓单元内进行，并应以胜任且符合行业规范的方式实施，并以尽量减少对大楼其他住户或大楼服务运行干扰的方式和时间实施。如Sherry Netherland认定工程正在对大楼其他住户造成干扰，工程应立即停止。\n\nSherry Netherland可依据改造协议或在必要时指示Genever US或承包商采取任何行动或停止任何行动。\n\nGenever US应编制说明工程状态的月度详细书面报告，并将其提交给执行办公室。\n\n如Sherry Netherland自行认定Genever US和/或承包商未对工程提供充分监督，Sherry Netherland可提供该等监督，费用及支出全部由Genever US承担。\n\n工程完成；费用\n（改造协议第14条；\n补充条款第2条） 工程完成：Genever US应尽最大努力确保拟议工程迅速完成，但无论如何，所有工程均应自工程开工之日起累计170个营业日内完成，或于Sherry Netherland书面指定的其他期限内完成（以下简称“完成日期”）。\n\n如Genever US希望获得额外时间完成工程，其应至少在完成日期届满前五（5）个工作日告知Sherry Netherland，请求在完成日期后用于完成工程的连续额外天数；如Sherry Netherland自行决定同意延长完成日期，Genever US应就完成日期获延长的该等额外工作日中的前十五（15）日，每日向Sherry Netherland支付\\$500作为对价，并就第16个工作日及完成日期此后获延长的每一日，每日支付\\$1,000，\n案号 22-50073 文件 2313 于 11/08/23 提交 于 11/08/23 15:56:48 登记 第 13 页，共 117 页\n\n除非Sherry Netherland的执行办公室和建筑师另有决定。\n\n根据补充条款第2.b条，Sherry Netherland免除改造协议第14(a)条项下的费用。\n\n设施使用费：根据补充条款第2.c条，Sherry Netherland免除改造协议第14(b)条项下的设施使用费。\n\n结案费用：在Sherry Netherland认定工程完成四十（40）日后，如Genever US尚未按照改造协议第32段的规定提交所需结案文件，Genever US应就该等结案文件尚未提交给执行办公室的每个日历月或其任何部分，向Sherry Netherland支付\\$2,000的费用。\n\n不得干扰大楼系统\n（改造协议第15条） Genever US不得干扰或允许干扰大楼的内部通信、燃气、供暖、电力系统或任何其他大楼系统或服务。\n\n未经Sherry Netherland事先书面同意，工程不得改变或迁移主供水管线和供暖管线。不得移动或关闭Sherry Netherland公寓单元外的任何燃气管线。\n\n赔偿及律师费\n（改造协议第22条；\n补充条款第4条） 赔偿：Genever US同意就因下列事项导致或以任何方式与下列事项有关、由人员或财产遭受的任何及全部索赔、损害、费用（包括合理的律师费和支出）——无论该等索赔、损害或费用由Genever US、Sherry Netherland或第三方提出——为Sherry Netherland、其董事、高级职员、股东、顾问及Sherry Netherland股东的代理人、合伙人、受雇人、雇员、租户、客人、被许可人、受邀人及大楼所有其他住户（各称“受赔偿方”，统称“受赔偿各方”）进行抗辩、赔偿并使其免受损害：(i) 对Sherry Netherland公寓单元实施工程，或其对大楼内其他公寓舒适居住的不利影响；(ii) Genever US未遵守其在本协议项下的义务（包括但不限于修理和维护工程的义务）；(iii) Genever US未按照经批准的图纸和规范以及本协议所载条款和条件实施工程，除非完全系由受赔偿各方的过失所致；和/或(iv) Genever US提交所需表格，以及由此产生或与此相关的一切责任。\n\n改造协议中的任何内容均不得就Sherry Netherland因Sherry Netherland、其代理人、受雇人或雇员的全部或部分过失所促成、造成或导致的人身伤害损害或财产损害而原本可能承担的法律责任，为Sherry Netherland提供赔偿或使其免受损害。该等赔偿义务在工程完成后继续有效。\n\n律师费：Genever US应就受赔偿各方发生的全部法律及其他专业费用和支出，对其作出赔偿，该等费用和支出(i)全部或部分因本改造协议和/或根据改造协议将实施的工程所致，包括但不限于Genever US违反或被指称违反本改造协议，或(ii)发生于Genever US与该等受赔偿方之间的、与本改造协议和/或根据改造协议将实施的工程有关的任何诉讼或程序中。该等赔偿义务在工程完成后继续有效。\n\n上述规定受拟议命令第3、4和5段所载保护措施的约束。\n\n罚款的支付（改建协议第26条） Genever US（杰尼弗美国）授权Sherry Netherland（谢里·内德兰）根据改建协议第28段，从谢里·内德兰持有的保证金中支付任何政府机构因杰尼弗美国的材料或垃圾，或因任何其他原因而可能向谢里·内德兰征收的任何卫生或其他罚款。\n\n保证金（改建协议第28条；补充协议第2条） 作为获得批准的条件，杰尼弗美国应向谢里·内德兰交付金额等于$50,000的支票；谢里·内德兰在接受改建协议后可将该支票所得款项存入保证金。\n\n如保证金减少至原金额的一半，杰尼弗美国应于谢里·内德兰提出要求后三（3）日内将其补足至全额。杰尼弗美国同意，谢里·内德兰可在本协议项下要求或允许的范围内使用、抵扣或保留所存保证金的全部或任何部分。\n\n如杰尼弗美国遵守改建协议的全部条款和条件，保证金或其剩余余额应及时返还给杰尼弗美国。\n\n必要工程（改建协议第30条） 作为工程的一部分，杰尼弗美国应自行独自承担全部费用，实施下列事项：(a) 按照谢里·内德兰审查建筑师依其独自及绝对酌情决定权所具体说明和指示，在谢里·内德兰公寓的新建或吊顶之中及之下，以及新建地板和/或墙体之内，安装隔音和声音衰减材料；以及(b) 如工程涉及对外墙内饰面的扰动或更换，应暴露后备砌体以及现有防潮和/或防水材料，并在修复或更换该等内饰面之前，修复或提供实现良好防潮、防水状况所必需的新材料。\n\n公寓转让（改建协议第30条） 如在依照工程作出任何改建或安装任何设备后，杰尼弗美国拟转让分配给谢里·内德兰公寓的谢里·内德兰股份及其附属专有租约，则作为该转让的先决条件，杰尼弗美国应向谢里·内德兰提供由杰尼弗美国受让人签署的、采用改建协议所附附件D格式的协议；根据该协议，该受让人同意承担杰尼弗美国在本协议项下的全部义务，包括改建协议中载明的杰尼弗美国持续承担的义务和约定。\n\n费用支付；解除机械师留置权（改建协议第31条） 杰尼弗美国将承担改建和安装的全部费用，并于工程完成后不迟于三十（30）日内支付与此有关的所有账单。\n\n如就据称已完成的工程或据称已供应的材料提出任何机械师留置权登记，杰尼弗美国应在该等登记后十（10）日内促使该等留置权在记录上予以解除。如杰尼弗美国未能如此办理，谢里·内德兰可行使其根据租约或改建协议享有的任何及全部权利和救济。\n\n如杰尼弗美国未能及时作出该等付款，该等款项应视为并作为租约项下的附加租金支付。谢里·内德兰亦可行使其根据租约享有的全部权利和救济。\n\n工程许可证结案；使用证修改（改建协议第32条） 工程完成后四十（40）个营业日内，杰尼弗美国将向谢里·内德兰交付经修改的使用证和消防承保人委员会证明（如其中任一文件为必需），以及证明所有工程均已按照一切适用法律、条例和政府规章完成所可能必需的其他证据。如不需要经修改的使用证、消防承保人委员会证明、纽约市电气管制局的签核或结案文件，杰尼弗美国的建筑师必须提交一份说明该情况的声明。\n\n不发表意见；不得依赖（改建协议第33条） 谢里·内德兰并不声称就工程的设计、可行性、成本或效率发表任何意见。在任何情况下，本协议项下给予的任何批准或同意，均不得解释为免除杰尼弗美国在本协议中载明的任何责任或义务，或就工程或杰尼弗美国向LPC和/或DOB提交的文件向谢里·内德兰施加任何责任。\n\n杰尼弗美国不得就工程的设计、成本、可行性、对适用法律或建筑规范的遵守情况、效率或杰尼弗美国的义务，依赖根据改建协议第3段指定的谢里·内德兰建筑师。\n\n未遵守（改建协议第34条） 杰尼弗美国未遵守本协议任何规定，或未遵守谢里·内德兰咨询建筑师或任何其他指定人员作出的指示或要求，应视为违反租约规定；谢里·内德兰对工程的同意系根据该租约作出。除其他一切权利外，谢里·内德兰可暂停全部工程。在该等情况下，谢里·内德兰亦可撤销其允许杰尼弗美国进行改建工程的许可。\n\n工程纠正（改建协议第35条） 杰尼弗美国应立即纠正谢里·内德兰以以下理由拒绝接受的全部工程：(a) 存在缺陷；(b) 不符合改建协议、获批准的工程、经谢里·内德兰授权的杰尼弗美国LPC和/或DOB申报文件；或(c) 违反任何保险承保人的任何政策，无论该等工程是否已制作、安装或完成。\n\n杰尼弗美国应承担纠正该等被拒绝工程的全部费用，包括根据本协议条款由谢里·内德兰聘请，或因此而合理且必要的任何建筑师、工程师、律师或其他顾问所提供额外服务的报酬；该等费用应作为租约项下的附加租金处理。\n\n索赔解除及放弃（改建协议第36条） 杰尼弗美国解除谢里·内德兰及其董事、高级职员、代理人、雇员和股东就杰尼弗美国任何财产可能因工程产生、或以任何方式与工程有关的损失或损害所负的一切责任；但本段或改建协议中的任何内容，均不得就因谢里·内德兰、其代理人、受雇人员或雇员的过失全部或部分促成、造成或导致的人身伤害或财产损害，使谢里·内德兰免于其原本可能承担的法律责任或获得赔偿。\n\n杰尼弗美国放弃其现在或将来可能基于谢里·内德兰对工程的中断或暂停（无论该等中断或暂停的原因为何）而对谢里·内德兰及其各自过去、现任和未来的董事、高级职员、雇员、代理人和股东提出的任何索赔。\n\n附加租金（改建协议第37条） 谢里·内德兰发生的和/或杰尼弗美国根据改建协议必须支付的一切金额、费用、罚金和支出，均应视为租约项下的附加租金。\n\n费用及对价的支付（改建协议第50条） 工程开始时，杰尼弗美国解除谢里·内德兰就杰尼弗美国支付或应支付的本协议项下费用、保证金或其他款项所提出或以任何方式与之有关的任何索赔。\n\n无其他费用或酬金（改建协议第51条） 除本协议另有规定外，无须亦不预期就工程的实施或批准向谢里·内德兰、其雇员或代理人支付其他任何费用（以及任何酬金和/或其他款项）。\n\n专有租约（改建协议第54条） 改建协议的条款和条件不应免除杰尼弗美国根据谢里·内德兰公寓租约或谢里·内德兰章程及住户规则承担的任何义务。\n\n公司高级职员、董事或代理人不承担个人责任（改建协议第55条） 谢里·内德兰现任、过去及未来的高级职员、董事或代理人，以其该等身份行事时，对于任何据称与工程或改建协议有关或以任何方式与之相关的、对杰尼弗美国所负义务的违反，均不应对杰尼弗美国承担个人损害赔偿责任。\n\n28. 关于赔偿义务，拟议命令将纳入一项程序性保障措施，要求在杰尼弗美国第11章案件审理期间提出的任何赔偿请求均须提交本法院，并须经本法院批准。此外，在任何情况下，如存在重大过失或故意不当行为，任何受赔偿方均不得获得赔偿。\n\n29. 拟议命令包含与本法院此前就聘用Epiq Corporate Restructuring, LLC（Epiq企业重组有限责任公司）和Kroll, LLC（克罗尔有限责任公司）所批准的相同赔偿条款。见案卷编号1449、2241。\n案件22-50073 文件2313 于11/08/23提交 于11/08/23 15:56:48录入 第17页，共117页\n\n30. 最后，如补充协议中所详述，谢里·内德兰和杰尼弗美国已同意，本法院对因补充协议和改建协议产生或以任何方式与其有关的任何诉讼或程序享有专属管辖权。\n请求的救济\n\n31. 杰尼弗美国通过本动议，请求作出拟议命令，批准并授权杰尼弗美国与谢里·内德兰订立改建协议并依该协议履行。\n救济依据\n\n32. 《破产法典》第363(b)(1)条相关部分规定，占有中的债务人“在通知和听证后，可以使用、出售或租赁不属于正常营业过程中的遗产财产。”例如，见 Comm. of Equity Sec. Holders v. Lionel Corp. (In re Lionel Corp.), 722 F.2d 1063, 1070 (2d Cir. 1983)（“我们采纳的规则要求，法官在审理§ 363(b)申请时，须根据听证会上提交给其的证据，明确认定存在批准该申请的良好商业理由。”）；Comm. of Asbestos-Related Litigants v. Johns-Manville Corp. (In re Johns-Manville Corp.), 60 B.R. 612, 616 (Bankr. S.D.N.Y. 1986)（“如债务人为其商业决定提出合理依据（有别于任意或反复无常作出的决定），法院通常不会审理对债务人行为的异议。”）。\n\n33. 杰尼弗美国的主要目标是通过实现价值最大化的交易出租和/或出售谢里·内德兰公寓。如本法院所知，由于March 15 Fire（3月15日火灾）在其中造成的损害，谢里·内德兰公寓目前实际上无法在市场上交易。因此，本法院批准并授权修复项目对受影响区域的损害进行修复，并使谢里·内德兰公寓恢复至可销售状态。修复项目的一个组成部分是\n案件22-50073 文件2313 于11/08/23提交 于11/08/23 15:56:48录入 第18页，共117页\n\n遵守关于改造 Sherry Netherland Apartment（雪莉·尼德兰公寓）的 Sherry Netherland（雪莉·尼德兰）规则。Sherry Netherland 作为合作公寓综合体和豪华酒店运营，是一座受众多联邦、州及地方法规约束的地标性建筑。因此，Sherry Netherland 要求所有股东在改造其公寓时遵循特定程序，以遵守这些法规并保护其住户。Genever US（Genever美国公司）在专有租约第 3.16 条中确认，在对 Sherry Netherland Apartment 进行改造前，须取得 Sherry Netherland 的同意。9 因此，如修复动议中所预告，为推进修复项目，Genever US 几乎别无选择，只能与 Sherry Netherland 签订改造协议。\n\n34. Sherry Netherland 已告知 Genever US，若 Genever US 不签订改造协议，其不得启动修复项目，亦不得以任何方式改造 Sherry Netherland Apartment。改造协议是 Sherry Netherland 要求股东签署的标准协议，Sherry Netherland 不会接受任何修改。若 Genever US 不签订改造协议，即意味着其将无法修复 3 月 15 日火灾造成的损害，并最终无法出售/出租 Sherry Netherland Apartment，以为其债权人创造价值。因此，Genever US 与 Sherry Netherland 签订改造协议至关重要。\n\n35. 如上文及改造协议所详述，就修复项目而言，Genever US 与 Sherry Netherland 已就若干程序及责任分配达成一致。根据改造协议的条款，Genever US 还同意在改造协议规定的特定情形下，就任何及所有索赔、损害赔偿、费用（包括合理的律师费和支出），赔偿、抗辩并使 Sherry Netherland 及其董事、高级职员、\n\n9 如前所述，Genever 未主张其无需履行破产申请前租约项下义务，并不应被解释为承认 Genever US 必须遵守专有租约或任何其他破产申请前合同或租约的规定。Genever US 保留与此相关的一切权利。\nCase 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 19 of 117\n\n股东、顾问及其股东的代理人、合伙人、雇员、雇工、承租人、客人、被许可人、受邀人以及该公寓综合体的所有其他住户免受损害。然而，改造协议中的任何内容均不应就 Sherry Netherland 因人身伤害或财产损害而可能承担的法律责任向其提供赔偿，若该等损害系由 Sherry Netherland、其代理人、雇工或雇员的过失所促成、造成或导致，无论该等过失是全部或部分原因。重要的是，拟议命令将要求，在 Genever US 的第 11 章案件审理期间提出的任何赔偿请求均须提交本法院，并须经本法院批准。此外，在任何情况下，获赔偿方均不得在重大过失或故意不当行为的情形下获得赔偿。\n\n36. 最后，如前所述，Sherry Netherland 已同意将保证金从 \\$100,000 降至 \\$50,000，并免除其标准改造协议表格项下原本应支付的若干费用。具体而言，Sherry Netherland 已同意免除：\n\na. 建筑师费用（金额约为 \\$1,500 至 \\$3,500）；10\n\nb. 与竣工日期延期有关的任何费用（每日金额为 \\$500 或 \\$1,000）；11 以及\n\nc. 每月设施使用费（每月金额为 \\$2,212.50）。12\n\n10 见附件 § 2.a。\n\n11 同上 § 2.b。\n\n12 同上 § 2.c。\nCase 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 20 of 117\n\n37. 基于上述所有理由，Genever US 根据其商业判断认定，签订改造协议对于 Genever US 启动修复项目并最终通过价值最大化交易出售 Sherry Netherland Apartment 是必要的。\n\n豁免《破产程序规则》6004(h)\n\n38. Genever US 请求豁免《破产程序规则》6004(h)项下十四日期限暂停要求，以便拟议命令在作出后立即生效。基于上述所有理由，尽快开始修复 Sherry Netherland Apartment 对于促成一项使 Genever US 财产受益的价值最大化交易至关重要，而该交易以 Genever US 签订改造协议为条件。\n\n[本页其余部分特意留白。]\n\n因此，基于前述理由，Genever US 恭请本\n\n法院作出拟议命令，准予本动议所请求的救济。\n\n日期：November 8, 2023 纽约州纽约市\nGENEVER HOLDINGS LLC（Genever控股有限责任公司）\n\n签署人：/s/ Luc A. Despins Luc A. Despins（获准临时出庭） G. Alexander Bongartz（获准临时出庭） Douglass Barron（获准临时出庭） PAUL HASTINGS LLP 200 Park Avenue 纽约州纽约市 10166 (212) 318-6079 lucdespins@paulhastings.com alexbongartz@paulhastings.com douglassbarron@paulhastings.com\n\n以及\n\nNicholas A. Bassett（获准临时出庭） PAUL HASTINGS LLP 2050 M Street NW 华盛顿哥伦比亚特区，20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n以及\n\nDouglas S. Skalka（ct00616） Patrick R. Linsey（ct29437） NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor 康涅狄格州纽黑文 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\nGenever Holdings LLC 的代理律师\nUNITED STATES BANKRUPTCY COURT（美国破产法院） DISTRICT OF CONNECTICUT（康涅狄格州联邦地区） BRIDGEPORT DIVISION（布里奇波特分院）\n\n------------------------------------------------------ x\n\n关于： ：\n：\n第 11 章\nHO WAN KWOK（郭文贵）等人，1 ：\n：\n案号 22-50073 (JAM)\n\n债务人。 ：\n（合并管理）\n\n争议事项答复日期通知\n\nGenever Holdings LLC（“债务人”或“Genever US”）已向 United States Bankruptcy Court for the District of Connecticut（康涅狄格州联邦地区美国破产法院）提交其依据《破产法》第 363(b) 条提出的动议，请求作出命令，授权 Genever Holdings LLC 与 Sherry Netherland, Inc.（Sherry Netherland股份有限公司）签订并履行改造协议，以修复受 March 15, 2023 火灾影响的 Sherry Netherland Apartment 区域（“争议事项”）。特此通知，对争议事项的任何答复必须依照《联邦破产程序规则》2002(a) 和 9014，最迟于 November 29, 2023 向法院提交。2 如未及时提交答复，争议事项中的拟议命令可在无需进一步通知和听证的情况下作出。见 11 U.S.C. § 102(1)。\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（又名 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号后四位：9595）、Genever Holdings LLC（税务识别号后四位：8202）以及 Genever Holdings Corporation（Genever控股公司）。受托人、Genever Holdings LLC 和 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP, 200 Park Avenue, New York, NY 10166，转交 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅用于通知和通信）。\n\n2 根据《联邦破产程序规则》9006(f)，如通过邮寄方式送达，则在本通知所载答复日期后增加三日。\n\n日期：November 8, 2023 纽约州纽约市\nGENEVER HOLDINGS LLC\n\n签署人：/s/ Luc A. Despins Luc A. Despins（获准临时出庭） G. Alexander Bongartz（获准临时出庭） Douglass Barron（获准临时出庭） PAUL HASTINGS LLP 200 Park Avenue 纽约州纽约市 10166 (212) 318-6079 lucdespins@paulhastings.com alexbongartz@paulhastings.com douglassbarron@paulhastings.com\n\n以及\n\nNicholas A. Bassett（获准临时出庭） PAUL HASTINGS LLP 2050 M Street NW 华盛顿哥伦比亚特区，20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n以及\n\nDouglas S. Skalka（ct00616） Patrick R. Linsey（ct29437） NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor 康涅狄格州纽黑文 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\nGenever Holdings LLC 的代理律师\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION\n\n------------------------------------------------------ x\n\n关于： ：\n：\n第 11 章\nHO WAN KWOK 等人，1 ：\n：\n案号 22-50073 (JAM)\n\n债务人。 ：\n（合并管理）\n\n送达证明\n\n下列签署人特此证明，前述动议已于 November 8, 2023 以电子方式提交。该提交的通知已通过法院电子提交（“CM/ECF”）系统的运行，以电子邮件发送给上述标题第 11 章案件的所有当事人，或按电子提交通知所示，通过邮寄方式发送给无法接受电子提交的任何人士。当事人可通过法院的 CM/ECF 系统查阅该提交文件。\n\n日期：November 8, 2023 签署人：/s/ G. Alexander Bongartz\n\n纽约州纽约市 G. Alexander Bongartz（获准临时出庭） PAUL HASTINGS LLP 200 Park Avenue 纽约州纽约市 10166 (212) 318-6079 alexbongartz@paulhastings.com\n\nGenever Holdings LLC 的代理律师\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（又名 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号后四位：9595）、Genever Holdings LLC（税务识别号后四位：8202）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC 和 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP, 200 Park Avenue, New York, NY 10166，转交 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅用于通知和通信）。\n\n附件 1\n\n拟议命令\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION\n\n------------------------------------------------------ x\n\n关于： ：\n： 第 11 章\nHO WAN KWOK 等人，1 ：\n： 案号 22-50073 (JAM)\n债务人。 ：\n：\n： （合并管理）\n\n依据《破产法》第 363(b) 条授权 GENEVER HOLDINGS LLC 与 SHERRY NETHERLAND, INC. 签订并履行改造协议的命令\n\n经债务人 Genever Holdings LLC（“Genever US”）提出动议（“动议”）2，请求作出命令（本“命令”），授权 Genever US 按动议中进一步详述与 Sherry Netherland 签订改造协议；且法院已审阅动议，并已考虑律师在 \\_\\_\\_\\_\\_, 2023 举行的听证会（“听证会”）上向法院所作陈述；且法院已认定：(a) 法院依 28 U.S.C. §§ 157 and 1334 对本事项具有管辖权；(b) 根据 28 U.S.C. § 157(b)，本事项属于核心程序；(c) 根据 28 U.S.C. §§ 1408 and 1409，审判地适格；以及 (d) 已就动议作出充分且适当的通知；无需其他或进一步通知；且法院已认定并确定，动议所载法律和事实依据确立了准予本命令所载救济的正当理由；且请求的救济看来\n\n2. 本文中使用但未另行定义的首字母大写术语，应具有《动议》中规定的含义。\n案号 22-50073 文件 2313 提交日期 11/08/23 录入日期 11/08/23 15:56:48 第 27 页，共 117 页\n\n经本裁定条款修改的《动议》所请求的救济，符合 Genever US（Genever US）破产财产及债权人的最佳利益；并且鉴于本院先前进行的所有程序，经适当审议且有充分理由，特此\n命令如下：\n\n1. 《动议》按本裁定所述予以批准。\n\n2. 授权 Genever US 与 Sherry Netherland（雪莉-尼德兰）订立并履行《改造协议》，包括支付费用和开支。\n\n3. 受补偿方应有权按照经本裁定修改的《改造协议》条款所要求的范围获得补偿；但受补偿方提出的任何补偿请求，均应按本裁定所述接受本院审查，以确保该等补偿款的支付符合经本裁定修改的《改造协议》条款，并且在与所请求补偿有关的诉讼或和解情形下属合理；但在任何情况下，如存在重大过失或故意不当行为，受补偿方均不得获得补偿。\n\n4. 如在以下两者中较早发生者之前：(i) 在本第 11 章案件中作出确认第 11 章计划的裁定（该裁定已成为不再可上诉的终局裁定），或 (ii) 作出结案本第 11 章案件的裁定，任何受补偿方认为其有权因 Genever US 根据经本裁定修改的《改造协议》所承担的补偿义务而获得任何款项支付，则该受补偿方必须就此向本院提交申请，并且 Genever US 不得在本院作出批准该项支付的裁定之前向受补偿方支付任何该等款项。对于任何受补偿方就下列事项请求作为偿还的任何款项：\n案号 22-50073 文件 2313 提交日期 11/08/23 录入日期 11/08/23 15:56:48 第 28 页，共 117 页\n\n根据经本裁定修改的《改造协议》支付补偿请求所产生的律师费和开支，律师费和开支的发票及相关工时记录应纳入受补偿方向本院提交的申请中，该等发票和工时记录应受《修订指南》约束，并须根据《破产法典》第 330 条和第 331 条获得本院批准，而不论该等律师是否根据《破产法典》第 327 条受聘，亦不论该等律师的服务是否符合《破产法典》第 330(a)(3)(C)条。本段仅旨在规定本院对受补偿方提出的有关补偿、分担或偿还的任何费用和开支请求拥有管辖权的期间，而非限制对受补偿方承担补偿义务的期限。所有利害关系方均保留对受补偿方提出的任何补偿、分担或偿还请求提出异议的权利。\n\n5. 除受补偿方就经本院批准支付补偿所提出的请求而产生的费用外，受补偿方无权要求 Genever US 偿还其律师的任何费用、垫款及其他收费。\n\n6. 尽管《破产程序规则》第 6004(h)条或任何适用《地方法规》另有规定，本裁定在作出后不得中止，而应于作出后立即生效并可执行；《破产程序规则》第 6004(h)条规定的 14 日期限特此明确放弃，且不适用。\n\n7. 授权并赋予 Genever US 采取实施本裁定所授予救济所必需的一切行动的权力。\n案号 22-50073 文件 2313 提交日期 11/08/23 录入日期 11/08/23 15:56:48 第 29 页，共 117 页\n\n8. 本裁定的条款和条件应于作出后立即生效并可执行。\n\n9. 对于因实施、解释和执行本裁定而产生或与之相关的一切事项，本院保留专属管辖权。\n\n附件 2\n\n《改造协议》\n\nTHE SHERRY-NETHERLAND, INC.（雪莉-尼德兰公司） 781 FIFTH AVENUE NEW YORK, NEW YORK 10022\n\n致：股东\n\n发件人：董事会\n\n关于公寓改造的重要通知\n\n董事会已通过新的政策和程序，供股东在对公寓进行重大和轻微改造时遵循。\n\n在制定这些政策和程序时，董事会的目标是在使股东能够在其公寓内行使个人品味的同时，尽量减少对大楼服务和设施的干扰，并保障其他住户的安全、舒适和隐私。\n\n作为一栋“地标”建筑、合作公寓楼和豪华酒店，The Sherry-Netherland（雪莉-尼德兰）是一栋独特的建筑。除纽约市建筑局（New York City Buildings Department，“DOB”）的常规监管外，我们还受到多个联邦、州和地方机构的高度规制和审查。合同义务要求我们重视劳工和工会问题。为保持我们的独特地位，遵守我们的政策和程序至关重要。\n\n我们与公司律师和建筑师以及管理层密切合作，制定了一套反映我们特殊环境以及股东从大楼既往经验中提出的关切的政策和程序。\n\n除其他事项外，我们要求股东确保，在开始改造前，已从具有管辖权的机构取得一切适当的许可和批准，包括纽约市建筑局和地标保护委员会（Landmarks Preservation Commission，“LPC”）。我们还要求聘请建筑师对工程进行规划和审查。为遵守公司的集体谈判协议，承包商只能使用工会劳工。\n\n为尽量减少对其他股东的不便，我们规定工程只能在特定的时段和日期进行。我们还纳入了有关拆除工程、货运电梯的使用、走廊保护和废弃物清运的规定。该协议还载有旨在防止干扰大楼供暖、电力和管道系统的条款。\n\n我们还制定了针对某些特定情形的附加条款，当公司认为必要时，将其纳入《改造协议》。这些条款涉及石棉清除、含铅油漆危害以及影响大楼外立面、系统和使用许可证的改造等问题。公司将根据《改造申请》中所示工程的范围，确定《改造协议》的哪些附加条款适当。任何公寓改造工程开始前，股东和公司总裁或执行副总裁必须签署一份《公寓改造协议》，包括所有指定的附加条款，且股东必须向执行办公室交付《公寓改造协议》附加条款 1 中详列的所需保证金、文件和不可退还费用。\n\n公司的建筑师将审查图纸并在必要范围内检查改造工程，以确定工程是否按照我们的政策、获批图纸和经授权的 DOB 工程许可证进行。建筑师就该等服务将按其通常的小时费率向股东收费，金额通常为 \\$1,500 至 \\$3,500，具体取决于改造范围。公司期望进行改造的股东理解，为了全体股东群体以及进行改造的股东的利益，公司的建筑师是公司指定的代表，并且是有关公寓改造应如何进行的最终裁决者。此外，公司将向股东收取金额为 \\$1,500 的管理处理费，以弥补工程期间增加的行政成本。\n\n任何股东拟进行改造时，必须向公司提交《改造申请》，其中包括完整的图纸、规格说明、建筑师施工图以及对拟进行工程的“外行人”说明。在股东提交《改造申请》和协议之前，未经公司董事会明确书面同意，并由代表公司的一名建筑师或工程师审查，不得对公寓的天花板、墙壁或地板进行探测，且所有费用由股东承担。公司不将安装满铺地毯、贴墙纸、粉刷、轻微维修和重新装饰视为改造工程，但所有股东在进行此类工程前均须签署单独的《轻微改造协议》。将要求缴纳合理的保证金，具体金额取决于项目范围。\n\n拟议改造的同意《改造申请》必须提交至执行办公室，并按收到的先后顺序处理。在收到公司对拟议工程的正式书面批准以及授权股东申请 DOB 工程许可证之前，不得签署任何施工合同、安排改造工程，亦不得向 NYC Department of Buildings（纽约市建筑局，“DOB”）提交工程许可证申请，或向 Landmarks Preservation Commission（地标保护委员会，“LPC”）提交备案。股东获准进行改造的期限将取决于拟进行改造的范围。改造授权以及向 LPC、DOB 和 LPC 提交备案，仅可由 The Sherry-Netherland 董事会授予；公司的任何雇员或顾问均无权或无权限授予该等授权。\n\n公司的审查建筑师将决定是否在审查图纸前与计划进行改造的股东会面，以讨论工程范围和应遵循的程序。提交图纸后可能需要进一步会面。如适当，股东的建筑师、工程师和/或承包商应出席这些规划会议。有关拟议改造的任何问题，均应以书面形式提交至执行办公室。\n\n视具体情况而定，股东必须严格遵守《公寓改造协议》或《装饰协议》的条款和条件。任何正在考虑改造的现有或潜在股东，均应从执行办公室取得《公寓改造申请》和《公寓改造协议》的副本。\n\n强烈鼓励股东在建筑师开始准备图纸、规格说明和制图之前，将协议副本交给其建筑师审阅。\n\nSeptember, 2013\n\n公寓 THE SHERRY-NETHERLAND, INC. 改造申请 781 FIFTH AVENUE NEW YORK, NEW YORK 10022 案号 22-50073 文件 2313 提交日期 11/08/23 录入日期 11/08/23 15:56:48 第 34 页，共 117 页\n\n\\\\\\ 请一式三份提交至 THE SHERRY-NETHERLAND, INC.，收件人：执行办公室，781 Fifth Avenue, New York, New York 10022 \\\\\\**\n\n姓名：公寓号码：传真号码：现住址（如股东未居住于该公寓）：住宅电话：工作电话：电子邮件地址：申请工程开工日期：位于股东公寓正上方、正下方及相邻的四（4）位邻居的公寓号码及姓名。\n随附____页图纸和技术规范。除非附上图纸和技术规范（包括所有建筑师图纸），否则无法处理本申请。拟议改造工程的逐房间说明：（如有必要，请附加页面）除非且直至股东以及公司总裁或执行副总裁已签署令公司满意的公寓改造协议，股东已完全遵守该公寓改造协议中要求在工程开工前遵守的所有条款，且股东已就经公司书面授权的工程许可向 DOB 和 LPC 提交所有必要申请并已获签发，否则不得开始任何改造工程。\n\n股东\n\n日期：\n股东\n\n©2013 Stroock & Stroock & Lavan LLP（斯特鲁克、斯特鲁克与拉文律师事务所）\n\n1. 初始提交材料1\n\n2. 权利主张解除\n\n3. 建筑师/工程师的指定；专业人员的聘用；对 DOB 和 LPC 股东申报事项的检查和监督7\n\n4. 责任承担\n\n5. 开工通知/致邻居函\n\n6. 对建筑物的损害\n\n7. 发生的费用\n\n8. 风险承担10\n\n9. 工作日期和时间\n\n10. 工程实施；状态报告11\n\n11. 地面表层；灰尘渗入和控制；区域清洁\n\n12. 进入公寓12\n\n13. 立管和管线的位置\n\n14. 工程完工；费用12\n\n15. 不得干扰建筑物系统14\n\n16. 电动工具的使用15\n\n17. 不得偏离经批准的图纸及股东获授权的 DOB 和 LPC 申报事项\n\n18. 工程质量及所用材料\n\n19. 安全：安装烟雾和一氧化碳探测器；窗户防护栏15\n\n20. 消防出口通道15\n\n21. 不得违反法律；保险单16\n\n22. 赔偿及律师费16\n\n23. 建筑物系统停运17\n\n24. 垃圾清运；交付17\n\n25. 材料存放18\n\n26. 罚款支付18\n\n27. 服务电梯的使用18\n\n28. 保证金18\n\n29. 必需工程20\n\n30. 公寓转让\n\n31. 费用支付；解除工程留置权20\n\n32. 工程许可证结案；修改使用证书21\n\n33. 不发表意见；不得依赖21\n\n34. 未予遵守\n\n35. 工程整改22\n\n36. 权利主张的解除和放弃22\n\n37. 额外租金23\n\n38. 安保程序\n\n39. 工人行为23\n\n40. 不得修改；不得转让23\n\n41. 协议不具约束力23\n\n42. 不放弃24\n\n43. 纽约州法律24\n\n44. 完整协议24\n\n45. 可分割性\n\n46. 已完成的改造24\n\n47. 通知\n\n48. 标题\n\n49. 承包商许可25\n\n50. 费用及对价支付25\n\n51. 不得收取其他费用或酬谢25\n\n52. 无第三方受益人25\n\n53. 放弃陪审团审判25\n\n54. 专有租约\n\n55. 公司高级职员、董事或代理人不承担个人责任25\n\n附件目录\n附件 A：股东初始及持续提交材料清单——工程开工前以及其后须提交（或支付）的文件和费用。\n附件 B：承包商赔偿及声明函——承包商就公司、公司雇员、股东及来宾获得赔偿的函件\n\n－附件 C：致相邻股东函——进行改造的股东致相邻股东的函件，告知其改造事宜并就损害向其作出赔偿\n－附件 D：改造责任承担及改造协议——股东受让人承担股东在改造协议项下全部义务的协议\n附件 E：承包商保险批单——须从所有承包商和分包商取得的保险批单格式\n\n附件 F：股东赔偿及声明函——纽约市 DOB 要求，包括 PWI 和 PW3 表格；LPC 申报\n\n－股东作为公寓的所有人/申请人，向纽约市 DOB 及 LPC 作出所有必要申报和提交，而公司作为建筑物的所有人；并且股东就此向公司、其董事、高级职员、代理人和雇员作出赔偿的协议\n附加条款目录\n附加条款 1：初始建筑图纸提交材料——所需建筑图纸\n附加条款 2：相邻场所的状况\n\n－适用于任何重大改造，尤其是涉及拆除或对“共用”墙体进行大范围工程的改造\n附加条款 3：石棉\n\n－适用于任何重大改造，尤其是涉及拆除、移除、重新定位或改造墙体、天花板、地板或电气、供暖、通风、管道或空调系统的改造\n附加条款 4：含铅油漆/灰尘和碎屑控制——使用经 EPA 认证的承包商和工人\n\n－适用于将扰动或以任何方式影响公寓内墙体、天花板、门、窗、装饰条和门框及/或木制品上油漆的任何改造。\n附加条款 5：拆除\n\n－适用于涉及拆除的任何改造\n附加条款 6：房间位置/室内墙体/地板/天花板的施工\n\n－适用于改造涉及改变房间用途、更换地板及/或建造新的室内墙体及/或天花板的情形\n附加条款 7：修改后的使用证书\n\n－适用于公寓内房间数量将发生变化，或公寓将被合并或分割的情形，但建筑局 1997 年 TPPN #3 规定豁免的情形除外\n附加条款 8：从外部可见的改造/更换窗户/空调系统\n\n－适用于将安装穿墙式空调机组或新窗户的情形\n附加条款 9：管道/供暖/燃气\n\n－适用于涉及管道工程的改造，尤其是厨房和浴室翻新\n附加条款 10：安装电器\n\n－适用于改造涉及安装任何类型电器的情形\n附加条款 11：电气\n\n－适用于重大电气改造或重新布线，或为空调设备进行的新布线\n附加条款 12：露台和屋顶绿化——家具及其他安装物\n\n－适用于将在屋顶或露台放置或搭建植物或构筑物的情形\n公寓改造协议\n\n日期：\n\nThe Sherry-Netherland, Inc.（夏利-尼德兰公司）\n781 Fifth Avenue\nNew York, New York 10022\n\n> 事由：Apartment #____________\n781 Fifth Avenue\nNew York, New York 10022\n\n尊敬的先生/女士：\n\n根据上述公寓的专有租约（以下简称“租约”）第 3.16 段，上述公寓（连同其所有附属露台，以下统称“公寓”）的下列签署股东（以下简称“股东”）特此请求许可在公寓内安装设备及/或进行随附图纸和技术规范所述的改造（单独及合称“工程”），股东同意以下条款和条件：\n\n1. 初始提交材料。股东同意，在开始任何工程之前：提供初始提交材料清单（本公寓改造协议附件 A）所详列的物品和文件，并支付不可退还的费用和保证金，包括：\n\n(a) 向 The Sherry-Netherland, Inc.（以下简称“公司”）指定的代表提供一份以通俗语言说明工程的叙述。\n\n(b) 如改造的性质要求由该等人员编制，则向公司提供由在纽约州获许可且执业资格良好的建筑师或工程师编制的完整、详细的工程图纸和技术规范，包括本协议附加条款 1 所详列的技术规范。该等图纸还应包括现状平面图。拟安装的所有固定装置和电器均应在该等图纸和技术规范中标明。在提交完整图纸和技术规范之前，公司指定的审核建筑师不得开始审核拟议工程。\n\n(c) 获得公司对股东拟就工程聘用的所有承包商、分包商（以下统称“承包商”）的书面批准。在公司授权工程之前，承包商应提交分包商的工会隶属关系以及所有水管工和电工的主许可证副本。如股东在工程开始后聘用任何承包商，股东必须在该等承包商开始工程前获得公司对该等承包商的书面批准。股东负责选择合适的承包商。如公司自行认定股东选择的承包商不适合在建筑物内进行工程，包括但不限于承包商违反本协议，公司可自行决定停止工程，直至股东聘用另一承包商为止。\n\n(d) 股东同意，所有承包商均必须依法获得许可并投保，且仅雇用根据 The Sherry-Netherland, Inc. 与 Hotel/Motel Trades Council（酒店/汽车旅馆行业委员会）之间的集体谈判协议、具备各自工种资格的工会关联工人。工人在工程期间应始终随身携带其预定从事的工种/工程的现行有效工会会员证，并应公司及/或其代理人或代表要求出示。工人每次抵达建筑物当日，均应向建筑物安保服务台出示该工会会员证。未出示该等工会会员证的工人不得进入建筑物。\n\n(e) 股东进一步同意，所有承包商就含铅油漆修复和安全工作规范而言均必须获得 EPA 认证，除非如本协议附加条款 4 所详述，股东向公司提供：(i) 经 EPA 认证的检查员或风险评估员确定将在其中实施工程的公寓任何部分不存在含铅油漆状况的检测结果和报告；以及 (i) 获得纽约市根据 HPD 规则授予的豁免，并向公司的执行办公室提供该豁免证书副本。\n\n(f) 向公司提供与承包商和供应商签订的每份协议的完整、经核对无误的副本，以及每名承包商签署的声明，确认该承包商将实施的工程部分符合并将按照适用的法律、规则、命令或政府规章实施。\n\n(g) 促使股东的建筑师或承包商编制并向公司提交由各承包商实施的全部工程进度表，列明各工种所需的周数和天数，并确认工程可在本协议第 14 段规定的期限内完成。\n\n(h) 促使股东的承包商为工程配备一名合格的现场全职主管，该主管应专职负责且独自承担监督和管理工程及工人的责任。如股东的承包商正在大楼内另一改造项目中施工，则每个项目均须配备一名独立、全职、专职且合格的现场主管，由其独自负责监督和管理各该项目。该主管不得从事任何工程，其职责应仅限于监督和管理工程。现场主管的资格必须包括：不少于五（5）年的现场项目主管经验；圆满完成纽约市建筑局批准的现场安全经理入门课程；以及圆满完成一项为期10小时的 OSHA 课程。\n\n(i) 股东同意，股东及股东的任何雇员或顾问（包括但不限于设计师、装饰师及类似人员）均不得使不符合本协议第1条第(d)项以及本协议第38条（安保程序）所载相同标准和要求的工人从事或获准从事工程的任何部分。\n\n(j) 公司亦有权自行酌情要求股东聘用一名施工经理（经理），该经理应独立于承包商或股东雇用的人员开展工作。该经理的一切费用均由股东支付。任何工程施工期间，经理应始终在场，并负责在场所有工人的进出管理。所有工人离开现场后，经理亦应对现场进行最终检查。股东应允许经理随时进入观察工程，并与股东的建筑师、承包商或股东就工程雇用的任何人员讨论相关事项。如公司对股东所雇经理的履职不满意，公司有权自行酌情选择一名经理，其费用由股东支付，该经理应独立于股东、任何承包商或股东雇用的人员开展工作，并提供上述服务。\n\n(k) 如法律、规则、命令或政府规章要求，则由股东独自承担费用，向对工程具有管辖权的任何政府机构（包括但不限于地标保护委员会、纽约市建筑局（“DOB”）、环境保护部及消防承保人委员会）提交图纸、表格或申请（包括但不限于为支持任何申请而提交的任何与石棉或含铅油漆清除有关的表格），并取得批准及许可，但就 DOB Form PW 1 而言，股东应以业主/申请人身份签署该表格，且所有该等提交文件均须事先经公司、其建筑师或工程师审阅并授权提交。股东应于收到该等批准后不超过五（5）个营业日内，向公司交付签发的每一份许可证或证书。如对是否需要该等批准存在任何疑问，公司应为解决该疑问的唯一裁决者。不得以“Professional Certification”或“Self Certification”方式向纽约市建筑局提交任何图纸。所有工程均须符合纽约市建筑规范关于1类防火建筑的要求。\n\n(l) 促使股东的承包商编制并向执行办公室提交一份符合纽约市噪声控制法典规定的噪声管理与缓解计划，供公司的顾问建筑师或工程师或公司指定的任何其他顾问审阅；该计划应在工程期间始终张贴于公寓内。\n\n(m) 促使股东的承包商及建筑师与公司的建筑师一同对公寓以及大楼的服务电梯、地下室和楼梯间进行现场踏勘，以确定该等空间的现状。\n\n(n) 要求股东的承包商向经公司认可、获准在纽约州开展业务且 A.M. Best 财务实力评级不低于 A 的一家公司或多家公司投保下列类型且限额不低于下列规定的保险。所有该等保单均应通过特别批单，将公司、其董事、高级管理人员、股东及公司的审阅建筑师列为附加具名被保险人（统称“附加被保险人”）。未经董事会及公司的审阅建筑师或工程师书面同意，不得降低保险限额。\n\n(i) 工人赔偿保险，应符合所有适用的联邦、州或其他法律的要求，包括依照纽约州法定要求的雇主责任保险，以及纽约州要求的伤残福利保险，金额不得低于 $500,000。\n\n(ii) 商业综合责任保险，每次事故最低限额为 $2,000,000，总计限额为 $3,000,000，该保险应涵盖：场所和经营责任、产品/完工业务责任、广义财产损失、广义承包商合同责任（口头或书面）、人身伤害保险及独立承包商责任，其中应包括精神痛苦以及标准条款，且不得排除与爆炸、坍塌、细菌、硅石或含硅石粉尘、污染、医疗付款及地下财产损失有关的任何责任。*\n\n该保单应在该表格第1段中载有“广义综合一般责任”批单；应删除关于承包商根据任何合同或协议承担责任的免责条款（第II节第B(1)段）。完工业务保险应在工程终止后延续两（2）年，合同赔偿保险亦应在工程终止后延续两（2）年。该保单还应包括：(a) 业主保护责任保险，(b) 知悉事故及事故通知批单，以及 (c) 非故意错误和遗漏条款。若工程涉及任何含石棉材料，该保单还应按公司可接受的金额并依照本协议附录2的规定，提供石棉暴露保险，且未经公司同意，不得包含日落条款。\n\n* 对于重大翻新工程，或视工程范围而定，所要求的保险金额可能更高或更低，由董事会自行酌情确定。\n\n(iii) 综合汽车责任保险，包括非自有及租赁车辆保险，以及自有车辆保险，最低限额为 $1,000,000。\n\n(iv) $5,000,000 伞式责任保险，合并人身伤害、个人伤害及财产损失保险*\n\n如伞式保险由多家公司承保，则第一层以上的任何保险层均应遵循主伞式保险的格式。\n\n承包商应通过其主要责任保险保单的特别批单，使向附加被保险人提供的保险优先于且不与附加被保险人可获得的其他有效且可收回的保险并期适用。承包商应通过其伞式/超额责任保险保单的特别批单，使其项下向附加被保险人提供的保险，构成高于向附加被保险人提供的主要保险的第一层伞式/超额保险，且不与附加被保险人可获得的其他有效且可收回的保险并期适用或作为其超额保险。\n\n在本协议项下任何工程开始前，应向公司提供保单副本、详细保险证明以及所有批单副本，以证明该等保险完全有效，且其项下到期保费已支付。该等证明应规定，未经提前三十（30）日向公司发出书面通知，不得取消、终止或修改该等保险。承包商应及时向公司提供其后签发的、修改保险范围或限额的任何批单副本。\n\n如承包商未能提供及维持该等保险，公司有权自行选择随时：(a) 撤销施工许可并拒绝所有工人进入大楼，但如该等工人由大楼员工陪同，则应允许其搬离工具和物资；或 (b) 为附加被保险人、公司、股东及承包商的名义投保并维持该等保险，且股东同意支付相关费用，并提供一切必要信息及同意，以使公司能够代附加被保险人、公司、股东及承包商投保并维持该等保险。遵守前述投保及提供保险证明的要求，不解除股东或承包商根据本合同任何条款承担的责任。\n\n除实质上包含本协议附件E所载批单外，承包商的保险保单还应实质上包含下列批单：\n\n“如被保险人在损失发生前以书面方式放弃就本协议所述财产发生的损失向任何一方追偿的任何或全部权利，本保险不因此失效。”\n\n“承包商特此放弃对 The Sherry Netherland, Inc.（雪莉荷兰公司）、其高级管理人员、董事及其任何代理人和雇员的代位求偿权。”\n\n承包商财产保险\n\n承包商应就项目中的承包商财产及设备维持全险保险（“承包商财产保险”），包括但不限于火灾及扩展保险。承包商财产保险保单应实质上包含下列批单：\n\n“如被保险人在损失发生前以书面方式放弃就本协议所述财产发生的损失向任何一方追偿的任何或全部权利，本保险不因此失效。”\n\n承包商不得就位于大楼内的承包商财产或设备因属于承包商财产保险承保范围内的风险所造成的任何损失或损害，向股东或附加被保险人提出任何索赔或寻求追偿，无论该等损失或损害是否因其自身或其雇员、代理人或员工的过失所致。本段或本协议中的任何内容，均不免除公司原本可能就因公司、其代理人、雇员或员工的过失所造成或引起的人身或财产损害承担的责任。\n\n本第1(n)项中的任何内容均不构成对公司可能就间接损害或其他损害享有的任何其他权利或救济的放弃或限制。\n\n(o) 向公司交付由各承包商签署的书面赔偿协议及按照本协议条款实施工程的协议，格式应为本协议附件B。\n\n(p) 向公司提交证明股东已投保房主责任保险的证书，保险金额须为公司可接受的金额。\n\n(q) 向公司提交由股东签署的书面赔偿协议及按照本协议条款实施工程的协议，格式应为本协议附件F的格式。\n\n(r) 向公司提交由各承包商签署的书面赔偿协议及按照本协议条款实施工程的协议，格式应为本协议附件B的格式。\n\n(s) 向公司提交本协议附表4，该附表须由股东和承包商签署。\n\n2. 权利主张的放弃。股东同意免除公司、其董事、高级管理人员或股东，以及公司股东的雇员、代理人、合伙人、宾客、被许可人、受邀人、租户或雇员的责任，并且不对其提出任何索赔或寻求向其追偿，针对本协议第1款所要求保险单承保范围内风险造成的人身或财产损害；但损失完全因该等列名主体的过失所致的除外。但前提是，本款或本协议的任何规定均不得就公司可能本应就因公司、其代理人、雇员或员工的全部或部分过失所促成、造成或导致的人身伤害或财产损害而承担的法律责任，对公司作出赔偿或使其免责。\n\n3. 建筑师/工程师的指定；专业人士的聘用；对股东向DOB（纽约市建筑局）和LPC（纽约市地标保护委员会）提交文件的检查与监督。股东确认，公司可指定一名建筑师，该建筑师应由股东按其小时费率承担费用，预计费用范围为$1,500-$3,500，具体取决于工程范围，并负责：(a) 审查改造工程的图纸和技术规范，以评估拟议工程可能如何影响建筑物的公共区域或其他公寓，以及建筑物内其他股东对其公寓的使用、安全、防护和享用；(b) 不时察看工程，以确保所有工程符合先前批准的图纸和技术规范，并在其他方面符合本协议的要求，且工程未造成任何危害或环境，该等危害或环境有害于在建筑物内工作或居住的个人的健康，或有害于建筑物其他公寓或其中系统的结构完整性，或违反任何具有管辖权的政府机构的法律、规则、命令或法规；以及(c) 监督股东向DOB和LPC提交的文件，以确保不会提交任何未经公司及其建筑师事先书面授权的文件或材料。\n\n如公司在准许实施工程之前或之后的任何时间，认为有必要或明智就工程或本《公寓改造协议》寻求法律、工程、电气、建筑或其他意见，股东特此同意，应公司要求偿还公司就此产生的全部费用和支出，无论公司是否准许实施工程。股东同意，在收到公司就此开具的账单后，立即按相关专业人士的小时费率及已发生的支出向公司偿还所有该等费用；如获准实施工程，则在工程开始前产生的全部费用均应在该工程开始前偿还给公司。任何该等费用应根据租约作为附加租金处理，按月计费，并应在计费后十（10）日内支付。\n\n此外，如股东向LPC和/或DOB提交未经公司及其建筑师或工程师事先书面审查并授权提交的表格或文件，公司可自行全权决定停止工程，通知DOB和LPC，并请求撤销DOB就该工程签发的许可，且公司将停止全部工程。\n\n股东同意允许公司的审查建筑师或工程师以及其指定代理人（包括但不限于公司总裁或执行副总裁及建筑物总工程师）进入，以不时察看工程，察看频率由公司自行全权决定；并承诺因工程不符合股东的图纸和技术规范，或因前款所述情形，而进行公司指定的所有纠正。经股东向公司建筑师发出本协议要求的通知后，该等察看访问应在下列情形安排：\n\n(a) 工程开始前。股东认为应由公司负责的任何结构缺陷，必须在工程开始前提请公司或其指定代表注意；否则，股东应对公寓状况承担全部责任，包括任何声称的结构缺陷。\n\n(b) 任何拆除工程开始前，以及在工程拆除阶段期间至少每日一次。\n\n(c) 在对工程任何部分具有管辖权的任何公共机构所要求的检查、测试或批准之前。\n\n(d) 在封闭任何地板、墙体或天花板之前，如公司建筑师指示股东安装隔音减弱材料或隔音材料，或者在工程过程中管道暴露的。\n\n(e) 在封闭或遮挡工程任何隐蔽或无法进入的部分之前。\n\n(f) 在工程进度的任何其他阶段之前，如该阶段已由公司建筑师指定进行察看，或公司在审查股东工程图纸和技术规范时指定进行察看。\n\n(g) 工程最终完成前。承包商应在项目结束时清扫公寓；在公司建筑师提交最终检查报告、说明工程是否完成且承包商和分包商已从公寓中移走所有必要材料、工具、设备及废弃物之前，承包商应完成该项清扫。\n\n(h) 工程完成后合理期间内。\n\n建筑师应作出合理努力，尽快察看工程，但无论如何，应在收到察看访问请求后三（3）个工作日内进行。股东在工程经公司察看并批准前不得继续施工，该批准随后应由公司立即以书面形式确认。如工程的任何部分违反公司建筑师的要求被覆盖，或在本协议明确规定的所需检查之前被覆盖，股东应自费将封闭部分打开，以供公司建筑师察看，之后再由股东自费恢复。\n\n如实施本协议所述以外的任何工程，或在未经公司及其建筑师事先书面授权的情况下提交股东DOB文件，公司可自行全权决定停止工程，通知DOB，并请求撤销DOB就该工程签发的许可。\n\n4. 责任承担。股东免除公司、其董事、高级管理人员、代理人和员工因在进行建筑物维护修理时可能对受工程影响的公寓部分造成损害而产生的任何责任。股东对工程以及与工程和受工程影响的公寓任何部分及建筑物的维护、修理、修复或更换相关的费用承担唯一责任。如公司在任何时候为进入建筑物系统或建筑物的一部分以进行修理或改进而要求拆除任何工程，股东应提供该等进入条件，并负责提供进入条件的费用及公司完成其工作后恢复工程的费用。股东确认并同意，该等责任应转移至股东在该公寓中的权利继受人。\n\n5. 开工通知/致邻居函。在获得对拟议改造工程的批准后，股东同意至少提前十（10）日向执行办公室和公司发出书面通知，说明股东计划开工的日期及工程持续时间，并向执行办公室提交一份已签署的、本协议附件“C”格式的函件，该函件应致送与该公寓相邻、紧邻其上方和下方各公寓内的每名股东或住户（“相邻房产”）。如工程未在本协议签署后六十（60）日内开始，则根据本协议授予的同意应失效且无效。股东可书面请求恢复该等同意，公司可自行决定批准或拒绝该请求。\n\n6. 对建筑物的损害。因实施或存在工程而直接或间接导致的、对任何相邻房产或其他公寓或建筑物公共要素造成的任何损害，包括但不限于对建筑物公共结构、基础设施、设备、电梯、门及装修的损害，均应由本协议要求的股东保险保障或承包商的保险保障承保。但是，该等保险的存在并不免除股东在本协议项下的责任。如公司通知存在其认为由工程造成的任何损害，股东应立即促使修复该损害，或者应受损方选择，在保险单允许的范围内不提出异议地立即将基于该等损害的任何索赔提交给股东的保险承保人和承包商的保险承保人。股东同意作出一切合理努力，并促使承包商同样作出一切合理努力，以促使为股东或承包商提供保险的任何保险承保人（视情况而定）迅速就本协议项下应由股东或承包商负责的任何主张损害向公司或建筑物内任何受影响的股东或住户解决并支付所有款项。如承包商对建筑物任何区域造成损害，公司应暂时停止工程，直至承包商向公司及时支付公司合理估计的、公司因该等损害产生的任何及全部费用。\n\n7. 已发生费用。股东理解并同意，公司自行决定就工程产生的所有人工、设备和材料费用，以及专业咨询、维护和监督、电梯服务、垃圾清运或保护服务（包括制服保安人员）的费用，均应作为附加租金向股东收取并由股东支付，包括如有使用的加班费率。任何该等费用应按月计费，并应在计费后十（10）日内支付。\n\n8. 风险承担。股东承担因工程的实施或存在而可能导致或可归因于工程的、对大楼及其机械、电气、管道、通风（竖井及组件）和消防系统造成损害的全部风险，以及对大楼内人员和财产造成损害的全部风险；并承担在工程进行期间及完成后，对任何改造和安装进行维护、修理和更换的全部责任。该责任涵盖所有工程，无论是否属于结构性工程，涵盖工程直接或间接影响的窗户、外墙或屋顶的防风雨性能、大楼每一部分的防水，以及依据本协议安装或改造的所有供暖、管道、通风、空调、机械、电气和消防系统及其他设备的维护。公司不对因工程导致向公寓提供的大楼服务发生任何性能失效负责。如工程对大楼的运行或上述任何设备造成不利影响，股东应立即纠正问题原因。如公司自行决定股东未及时纠正该问题，公司可安排纠正该问题，股东应承担由此发生的一切成本和费用，包括公司产生的任何律师费或其他专业费用。\n\n9. 工程日期和时间。工程仅可于星期一至星期五上午8:00至下午4:30期间进行；但可能干扰其他住户的锤击或任何其他噪声工程，不得于星期一至星期五上午9:30之前或下午4:00之后进行。何为噪声工程应由公司单独裁定。在任何情况下，任何工程均不得于星期六、星期日、法定节假日、12月24日至1月2日期间，以及执行办公室自行决定指定的其他日期进行。\n\n10. 工程实施；状态报告。所有工程均应限于公寓内进行，并应以熟练且符合工艺标准的方式进行，且应以尽量减少对大楼其他住户或大楼服务运行干扰的方式和时间进行。股东应促使其承包商采取一切预防措施，以防止产生噪声或干扰性状况。如公司认为工程对大楼其他住户造成干扰，包括但不限于产生过度噪声或导致大楼正常运行发生任何中断，工程应立即停止。在任何情况下，均不得在公寓内制作任何橱柜。股东不得允许承包商使用大楼的供电服务，包括电气立管和馈线。如在工程期间，公司建筑师或大楼总工程师根据本协议，或基于其判断为保障大楼安全、安保或合理运行所必需，而指示股东或承包商采取任何行动或停止任何行动，股东和承包商应立即遵从该等指示。\n\n股东应编制一份说明工程状态的每月详细书面报告，并将其提交给执行办公室。\n\n如公司自行决定股东和/或承包商未对工程提供充分监督，公司可通过聘请独立监督人员或指派公司工作人员提供该等监督，费用完全由股东承担。\n\n11. 地面；灰尘渗入和控制；区域清洁。股东全权负责防止灰尘从公寓逸散至其他公寓或大楼公共区域。在公寓内开始任何工程之前，公寓内全部地面区域及为进入该等区域所需的任何区域，包括所有服务走廊，均应铺设厚度不低于四分之一英寸的隔音硬质纤维板，或大楼总工程师、公司建筑师或其他指定雇员或代理人指定的其他防护措施。总工程师或其他指定雇员或代理人保留检查该等防护措施以确定其充分性的权利，并可自行决定要求其认为必要或适当的额外防护措施。每块硬质纤维板均应相互连接，以在整个公寓及出入区域形成完整、稳固的地面覆盖层。该覆盖层应保留至所有可能以任何方式产生噪声的工程完成为止。公寓通往大楼走廊的前门应在公寓内侧予以充分密封，以防止灰尘流入大楼走廊，但在工程期间应保持未锁状态；应向大楼总工程师提供一套公寓钥匙。公寓后门应以带拉链的封闭装置密封，该门应为承包商进出公寓唯一使用的门。在施工开始前，公共走廊内的地毯和地面应以建筑用纸加以保护。该纸张应每日使用配备 HEPA 过滤器的吸尘器清洁，并进行湿拖。股东应安装配备 HEPA 过滤器的排风机或负压风机，其必须产生不低于 0.125\" 的静压，并且无论工程规模或范围如何，均应在所有工程作业期间于公寓内运行。在将废弃物运出公寓和大楼时，电梯、走廊和地下室通道必须加以保护，以尽量减少灰尘，包括但不限于使用重型塑料牢固覆盖垃圾箱或其他运输车辆，以确保在该等运输过程中不会向大楼公共区域释放灰尘。如因工程而要求大楼工作人员进行额外清洁，股东应负责由此发生的任何费用，该等费用应根据租约作为额外租金向股东收取。\n\n股东及其承包商应遵守本协议所附附录4和5中规定的“含铅油漆/灰尘和碎屑控制——使用经 EPA 认证的承包商和工人”及“拆除”程序。\n\n12. 进入公寓。所有与公寓之间的劳工、材料和垃圾清运出入，均应仅经由大楼服务入口、服务电梯及通往公寓的服务门进行。\n\n13. 立管和管线的位置。在公寓内开始任何拆除前，必须确定所有立管和管线的位置，包括电气立管和馈线、所有管道和供暖立管、排水管线、通风管线、支管、阀门及位于公寓和相邻公共区域内的其他系统组件，以及调节公寓供应的控制阀；并须在施工图纸的附录中列明，及说明拟议新管线将如何连接至该等管线。该附录必须在整个改造工程期间张贴于公寓内显著位置。\n\n14. 工程完成；费用。\n\n(a) 股东应尽最大努力确保拟议工程迅速完成，但无论如何，所有工程均应自工程开工之日起合计170个工作日内完成，或于公司以书面指定的其他期限内完成（“完成日期”）。完成日期将被严格执行。公司不就工程能否在该期限内完成发表任何意见。除工程所包括的装饰性工程，例如粉刷、贴壁纸或铺设地毯外，未经公司特别书面同意，任何工程均不得在完成日期后继续进行。如股东希望获得额外时间完成工程，股东应至少在完成日期届满前五（5）个工作日，告知公司其请求在完成日期后连续增加的完成工程工作日数；如公司自行决定同意延长完成日期，股东应就完成日期获延长的前十五（15）个额外工作日中的每一日向公司支付 \\$500，作为对价，并就第16个工作日及其后完成日期如此延长的每一日支付 \\$1,000；但如公司的执行办公室和建筑师自行决定认为：(i) 公寓或大楼中不可预见的既存状况；或 (ii) 必要的大楼工程，将延迟股东工程的完成（“情有可原的情况”），并有理由延长完成日期，则应由公司的执行办公室和建筑师根据情有可原的情况确定给予股东额外的工作日数以完成工程，而无需支付前述费用。该等费用不得从根据本《公寓改造协议》第28段提供的保证金中提取。股东确认，该等金额为不可退还的费用，作为修改公司同意以允许工程在既定且约定的完成日期后继续进行的对价而支付；公司正是基于该完成日期同意拟议工程。\n\n股东确认并同意，长期的公寓改造会因与该等改造相关的施工扰乱、灰尘、噪声及其他后果，以及对大楼和管理资源的分流，而对公司、其他股东和租户造成损害；且公司、其他股东和租户无法就超过完成日期或任何延长完成日期后仍在继续的改造所造成的损害获得公平或充分的赔偿。因此，除公司可能享有的任何其他权利外，公司有权申请作出禁令，禁止工程施工。此外，鉴于并确认超过完成日期或任何延长完成日期继续进行工程所造成损害的不可弥补性质，股东同意作出该等禁令，并进一步同意承担公司为取得或执行该禁令所产生的任何律师费或其他费用；该等金额应根据公司的专有租约视为额外租金。\n\n在完成日期（Completion Date）届满后立即，或在按上述规定延期后立即，董事会（Board of Directors）可自行全权酌定，有权且有意停止该项目的工程。在该时点，工程将被完全停止；如股东希望完成该项目，股东须提交拟议工程范围，其中应详细列明（除其他事项外）各工种的进度安排，载明该工种拟议的新完成日期及项目完成日期；如公司同意该等内容，则股东须签署本《公寓改建协议》（Apartment Alteration Agreement）的修正案。董事会可自行全权酌定决定是否订立和/或批准修正案，并是否允许其后继续进行任何工程。工程一经停止，仅可由董事会酌情决定重新开始，且须遵守本第14条的规定，包括支付所有应付费用以及公司审查新的拟议工程范围所产生的费用；公司有权从根据本《公寓改建协议》第28条提供的保证金中扣抵该等费用。\n\n尽管本条有任何其他规定，如公司选择将股东根据本协议第28条提供的保证金或其任何部分，用于支付股东就完成日期延期应付的不可退还费用或设施使用费，则该等使用不影响且不排除公司可能享有的任何救济，包括停止全部工程的权利。如根据第28条提供的保证金减少至原金额的一半，股东应在公司提出要求后三（3）日内将其补足至全额。在保证金补足前，不得允许继续进行任何工程。\n\n工程是否完成应由公司作出认定，且公司的认定为终局性认定。股东同意，公司在完成日期后同意进行工程的任何许可，如股东未遵守本《公寓改建协议》或规定延长完成日期的修正案中的任何要求，公司可立即撤销该许可。股东知悉并充分理解，未能在完成日期或任何延长后的完成日期前完成工程而违反本协议的后果，可能包括但不限于在工程完成前终止股东进行工程的权利。\n\n本条规定的所有时限，如因不可抗力、异常天气状况或并非归因于股东、承包商或其他股东代理人恶意的罢工，或因公司进行大楼工程而造成或可归因于该等情形的延误，经公司批准后，均可予以延长。\n\n(b) 设施使用费。除本协议项下收取的所有其他款项外，股东应在任何工程开始前，向公司支付不可退还的设施使用费，金额为每个日历月或其部分期间（工程在该期间持续进行），以分配给该公寓的股份数乘以\\$.75计算。该费用旨在使公司能够应对对大楼工作人员和管理层提出的需求，防止正常大楼服务中断，并补偿包括服务电梯在内的大楼物理设施的异常磨损。股东支付该等设施使用费的义务，应在且仅在公司的审查建筑师向公司证明工程已完成时终止。\n\n(c) 收尾费。自公司认定工程完成之日起四十（40）日后，如股东未按本协议第32条的规定提交所需的收尾文件，则股东应就该等收尾文件尚未提交至执行办公室（Executive Office）的每个日历月或其部分期间，向公司支付\\$2,000的费用。\n\n15. 不得干扰大楼系统。股东不得干扰或允许他人干扰大楼的内部通信、燃气、供暖、电力系统或任何其他大楼系统或服务。股东同意，未经公司事先书面同意，工程不得改变或迁移主给排水和供暖管线。不得移动或关闭公寓外的燃气管线。内部通信线路仅可由公司的代理人改动，费用由股东承担。\n\n16. 使用电动工具。未经公司事先书面批准，不得使用可能干扰大楼其他住户，或导致其他公寓墙壁和/或大楼管道开裂的电动工具，例如电锤、自动风镐、便携式电锯和/或其他气动工具或大锤。拟议使用的电动工具清单必须列入工程的图纸和技术规范中。如公司书面批准使用该等工具，股东必须至少在进行任何产生噪音的工程前十（10）日，向相邻公寓（Adjacent Apartments）的住户发出书面通知。禁止使用重型工业型电动工具。如噪音和/或振动过大，工人使用被禁止或未经授权的电动工具，或该等工具和/或其使用方式不符合经修订的 New York City Noise Control Code（纽约市噪声控制法典），公司保留自行全权酌定停止任何工程的权利。\n\n17. 不得偏离经批准的图纸及股东获授权提交的 DOB 和 LPC 文件。所有工程均须严格按照经批准的图纸和技术规范，以及经公司及其建筑师授权的股东 LPC 和 DOB 文件进行。股东同意，未经公司总裁或执行副总裁书面批准，不得对经批准的图纸和技术规范作出任何修正，亦不得对拟议改建工程的范围作出任何种类的变更。如进行本协议所述以外的任何工程，或股东未经公司及其建筑师事先书面授权而提交 DOB 和 LPC 文件，公司可自行全权酌定停止工程，通知 DOB，并请求撤销就该工程签发的 DOB 许可证。\n\n18. 工程和所用材料的质量。改建工程及所用材料的质量和声学标准，应与大楼的豪华等级特性相一致。如对工程质量或风格、所用材料或应达到的声学标准存在任何疑问，公司应为解决该疑问的唯一裁决者。所有所用材料必须防霉。\n\n19. 安全：安装烟雾和一氧化碳探测器；窗户护栏。股东同意，在工程期间，公寓内须配备两（2）个可正常使用的 ABC 灭火器，并清楚标明其位置；安装可正常使用的烟雾报警器、一氧化碳探测器及董事会自行酌定指示的其他预防措施，并在工程期间将其维持于公寓内；公寓内每1,500平方英尺须安装上述每种设备各一个。公寓内须安装临时照明，并应在必要时始终保持一盏灯点亮。如在改建工程期间，一名或多名十（10）岁或以下儿童居住于该公寓，股东必须依法在所有窗户上安装窗户护栏。\n\n20. 消防出口通道。股东同意，工程不得阻塞通往大楼任何消防出口的通道，并保持往返公寓的所有消防出口畅通无阻。\n\n21. 不得违法；保险单。股东不得实施或允许实施任何违反法律的行为或事项，包括违反 OSHA（职业安全与健康管理局）安全要求和预防措施的行为或事项，或任何将使公司持有或为公司利益持有的责任险、多重危险事故险或其他保险单失效、与之冲突，或导致公司就该等保险单应付保费增加的行为或事项。\n\n22. 赔偿及法律费用。\n\n赔偿。股东同意，就因下列事项造成或以任何方式与下列事项有关的人身或财产所遭受的任何及全部索赔、损害、费用（包括合理的律师费及支出）——无论由股东、公司或第三方提出——为公司、公司的董事、高级职员、股东、顾问及公司股东的代理人、合伙人、雇员、雇工、承租人、客人、被许可人、受邀人以及大楼的所有其他住户（各称“受赔偿方”，合称“受赔偿方”）进行抗辩、赔偿并使其免受损害：(i) 对股东公寓进行的工程，或其对大楼内其他公寓舒适居住造成的不利影响；(ii) 股东未履行其在本协议项下的义务（包括但不限于修理和维护工程的义务）；(iii) 股东未按照经批准的图纸和技术规范以及本协议所载条款和条件进行工程，除非该等情形完全由受赔偿方的过失造成；和/或 (iv) 股东提交所需表格（包括 DOB Form PW1 以及申请 DOB 工程许可的文件，及其中作出的陈述），无论该等提交是否获得公司授权，以及由此产生或与此有关的任何及全部责任，包括但不限于因移除、包封、封闭或以其他方式消除含石棉材料，或运输和处置该等材料而产生的任何责任，或因扰动、密封、控制、清洁或移除位于股东公寓内，或位于与股东公寓相连或相邻且股东有权有限进入或专属使用的区域内的任何窗户、墙壁、地板、饰边、线脚或其他表面上的任何含铅油漆而产生的任何责任；并就他人因所进行的工程导致人身或财产损害而提出的任何索赔，为该等受赔偿方进行抗辩、赔偿并使其免受损害，并补偿该等当事人因工程产生的任何成本和费用，包括但不限于律师费及支出，以及石棉和含铅油漆消除工程。本段或本协议中的任何规定，均不应就公司因人身伤害或财产损害所产生、公司本应承担的法律责任，对公司进行赔偿或使其免受损害；该等损害系由公司、其代理人、雇员或工作人员的过失所促成、造成或导致，无论该等过失为全部或部分。本赔偿义务在工程完成后继续有效。\n\n法律费用。除前述规定外，股东特此明确就受赔偿方因本《公寓改建协议》和/或本\n\n本协议项下拟进行的工程，包括但不限于股东违反或被指称违反本协议，或 (ii) 股东与该受偿方之间与本《公寓改建协议》和/或本协议项下拟进行的工程有关的任何诉讼或程序。本赔偿义务在工程完成后仍然有效。\n\n23. 大楼系统的停运。凡任何工程需要临时停运影响公寓外大楼区域的供水、供暖、通风或电力系统，均须在执行办公室书面批准后，与大楼总工程师安排。股东应至少提前三 (3) 个工作日向所有受影响公寓的住户发出有关该等停运的书面通知。股东确认并同意，该等系统的停运会对其他股东和住户造成干扰和损害，因此不应进行多次停运。据此，如股东要求对上述系统进行一次以上的停运，是否批准应由公司全权酌定。进一步地，如批准临时停运上述任何系统，股东应就第一日或其任何部分向公司支付每日 \\$500，并就其后每一日或其任何部分支付每日 \\$1,000。停运持续时间不得超过三 (3) 小时，且不得连续超过两 (2) 日。供暖季期间，不得进行任何需要停运供暖系统的工程。制冷季期间，不得进行任何需要停运制冷系统的工程。在任何情况下，均不得允许任何影响公寓外区域燃气服务的停运。\n\n24. 垃圾清运；交付。股东应自行承担费用，负责通过服务电梯，使用经公司批准的容器，将所有垃圾、废弃设备、空包装箱及其他材料从大楼及其周边清运，并尽一切应有注意，最大限度减少大楼公共走廊、电梯及地下室的灰尘。所有材料和垃圾在搬离公寓前，均应置于经喷水处理的桶内或袋中。在任何情况下，任何材料或袋装垃圾均不得放置、保留或存放于大楼公共区域、大楼外部或其周边；未经公司事先书面同意并遵守公司可能规定的条款和条件，亦不得在大楼外部或其周边放置、保留或存放用于储存垃圾的任何“街道容器”或“垃圾箱”。所有手推车、垃圾箱及类似物品，在作出并实施清运安排前，均应存放于公寓内。仅可依照大楼总工程师的指示清运垃圾，且仅可在周一至周五上午 9:30 至下午 4:00 之间进行；垃圾必须在每个工作日结束时清运，并由承包商监督。如公司酌情认定股东未能以令公司满意的方式清运垃圾，公司可安排清运，股东应向公司承担因此发生的任何及所有成本和费用；该等款项应由股东作为租约项下的额外租金支付。\n\n所有交付均应与大楼总工程师协调。仅可在允许进行工程的日期和时间进行交付，并且仅可按照大楼总工程师的指示进行。在距离大楼正门 50 英尺范围内，停放的向股东提供物资或服务的卡车不得超过一辆。\n\n股东确认，在任何期间使大楼服务入口或街道入口处于开放且无人看管状态，均构成对大楼的安全隐患。在进行任何可能干扰大楼安全的活动前，股东应至少在该活动开始前 48 小时取得执行办公室的批准。股东同意，就大楼为维持安全而在该等活动期间于大楼地点安排大楼雇员或专业安保人员所产生的任何工资或相关费用，作为租约项下的额外租金向公司偿还。\n\n25. 材料储存。未经执行办公室事先书面同意，任何材料（包括工具）不得在大楼公共区域过夜存放，且风险由承包商承担。材料和工具可存放于公寓内，风险由承包商承担。\n\n26. 罚款的支付。股东特此授权公司，从公司根据本协议第 28 段持有的保证金中支付任何政府机构因股东的材料或垃圾，或因任何其他原因而可能向公司征收的任何卫生罚款或其他罚款。\n\n27. 服务电梯的使用。股东确认，仅可使用服务电梯或公司指定的其他电梯：(a) 供承包商使用，(b) 用于向公寓运送或从公寓运出任何材料或设备，及 (c) 用于从公寓清运垃圾。不得将任何材料置于任何电梯轿厢顶部运输。未经公司书面同意，不得吊运任何材料。服务电梯或公司指定的其他此类电梯，仅可在公司指示的时间用于该等目的，并可因大楼其他活动或改建而受到限制。如其他租户股东的便利需要服务电梯或公司指定的其他此类电梯配备指定操作员或以全加班方式运行，股东应在收到要求后立即向公司偿还因此产生的任何工资或相关费用，并应视为公司专有租约项下的额外租金。\n\n28. 保证金。为担保股东忠实履行及遵守本《公寓改建协议》的条款和条件，股东特此同时向公司交付一张以 The Sherry-Netherland, Inc.（谢里-荷兰公司）为抬头的股东支票，金额为 \\$100,000，或董事会全权酌定作为其批准条件确定的其他金额（但不得低于 \\$25,000）；公司接受本《公寓改建协议》后，可将该支票款项存入账户。如公司审查建筑师认定拟议工程需要修订后的居住证，股东还须向公司支付 \\$15,000 的额外保证金，以便在股东未能及时取得修订后的居住证时，公司可酌情代为取得。但本协议任何规定均不解除或免除股东取得该等修订后的居住证并将其交付给公司的义务。如股东或股东聘请进行工程的人员使公司或公司的财产遭受损失、成本或费用，包括但不限于因下列事项产生或与之有关的任何损失、成本或费用：(a) 公司聘请的任何建筑师、工程师或其他专业人士或顾问为审查图纸和规格说明，或不时审查工程进度而收取的费用；(b) 在股东违反或被指称违反本《公寓改建协议》的规定时，或以其他方式与工程有关时，公司聘请的律师的费用；(c) 对大楼造成的损害，包括对大楼走廊内的地毯、油漆或墙纸或其他公共区域造成的损害（包括但不限于，如其被弄脏或以其他方式受损，对其进行清洁、洗涤、修理或重新粉刷的费用）；(d) 对大楼内任何其他公寓造成的损害；(e) 如本协议第 14 段所规定，工程延续至完工日期之后；(f) 如本协议第 14 段所规定，设施使用费和/或结项费；或 (g) 公司因与本《公寓改建协议》有关的任何投诉或违规行为而发生的任何其他费用，公司可从保证金中扣除适当金额。公司应为确定从保证金中扣除费用的唯一裁决者。\n\n＊ 该金额可由董事会根据工程范围作为其批准条件予以变更。\n\n如保证金减少至原金额的一半，股东应在公司提出要求后三 (3) 日内补足至全额。股东同意，公司可在本协议要求或允许的范围内使用、抵扣或保留如此缴存的全部或任何部分保证金。\n\n如股东遵守本《公寓改建协议》的所有条款和条件，股东理解，保证金或其剩余余额应在下列事项完成后立即返还给股东：工程完成；由签署股东原始图纸的股东建筑师出具一份公司可接受形式的声明，确认工程已按照经批准的图纸和规格说明完成，并符合所有适用法律；大楼总工程师及公司审查建筑师对公寓进行检查；向公司交付两 (2) 套显示所有大楼立管的竣工图；提交给 The New York City Department of Buildings（纽约市建筑局）的所有工程许可证结项文件副本；所有承包商出具的留置权解除文件；已完成的 EPA Sample Renovation and Record-Keeping Checklist（EPA 样本翻新及记录保存核对清单）（附件 4）；如有要求，收到修订后的居住证；以及如有要求，收到与 Bureau of Electrical Control（电气控制局）完成最终签核和结项的文件。\n\n在股东遵守上述返还保证金的条件之前，公寓的任何家政服务均不会恢复；但就 DOB 的工程许可证结项函、修订后的居住证以及电气控制局的最终签核和结项文件而言，即使尚未向公司交付该等文件，如股东向公司建筑师证明并令其满意，股东正在勤勉地推动签发该等文件，家政服务仍将恢复。\n\n29. 必需工程。股东同意，股东应作为工程的一部分，自行承担全部成本和费用，完成下列事项：\n\n(a) 隔音减振与隔声。按照公司审查建筑师依其单独及绝对裁量所作的规定和指示，在公寓内的新建或吊顶天花板内及其下方，以及新建地板和/或墙体内安装隔音减振及隔声材料。该隔声措施应包括但不限于：股东有义务以灰泥、防霉石膏板或其他吸音天花材料完成天花板及檐口结构，并采用符合纽约市规范的吊挂式黑铁系统加以固定，或采用弹性隔音龙骨进行衬垫，以实现垂直相邻公寓及空间之间最低 55 NIC 的噪声隔离等级（NIC）。\n\n(b) 防潮与防水。当工程涉及扰动或更换外墙内侧饰面时，应暴露基层砌体及现有防潮和/或防水材料；并且，在修复或更换该等内侧饰面之前，修复或提供为达到良好防潮及防水状态所必需的新材料。股东应向公司咨询建筑师提交该等防潮及防水工程的明确范围，以及拟议材料和施工详图，以供审查和批准。\n\n30. 公寓转让。如股东在根据本工程进行任何改建或安装任何设备后，拟转让分配给该公寓的公司股份及附随的专有租约，则作为此前提条件，股东应向公司提供由股东受让人签署的、采用随附附件 D 格式的协议，据此该受让人同意承担股东在本协议项下的全部义务，包括本协议所载股东持续承担的义务及约定。\n\n31. 费用支付；解除机械师留置权。股东应承担改建及安装的全部费用，并于工程完成后不迟于三十（30）日支付与此相关发生的全部账单。若就据称已完成的工程或据称已供应的材料提交任何机械师留置权，股东应在该等提交后十（10）日内使该等留置权从登记中解除。如股东未能如此办理，公司可行使其在租约或本协议项下的任何及全部权利和救济，包括依其单独裁量支付该等留置权、为该等留置权提供保证，或采取任何其他行动解除该等留置权。在此情况下，股东应在收到公司书面要求后十（10）日内，向公司支付公司已支付或发生的全部款项，加上自公司付款之日起按纽约州判决利息的最高法定利率计算的利息，包括但不限于律师费、垫付款及保证金保费。如股东未及时作出该等付款，该等款项应视为并作为租约项下的附加租金支付。公司亦可行使其在租约项下的全部权利及救济。\n\n32. 工程许可证结案；居住证修订。工程完成后四十（40）个营业日内，股东应向公司提交经修订的居住证及消防承保人委员会证明（如任何一项为必需），以及证明全部工程均已按照所有适用法律、条例和政府规章完成所可能必需的其他证明材料（包括但不限于纽约市建筑局（New York City Department of Buildings）出具的：(i) 完工函、(ii) 管道检查证书及 (iii) 电气控制局检查证书）；并应一并提交由签署股东原始图纸的建筑师或工程师出具、且形式为公司可接受的声明，证明工程已按照该等图纸实施并符合所有适用法律。该声明应附有两（2）套“竣工”图纸，显示建筑物全部立管和阀门；向纽约市建筑局提交的全部工程许可证结案文件副本；已完成的 EPA 样本装修和记录保存核对清单（附录 4）；建筑物总工程师出具的书面声明，证明工程未对建筑物相邻处所或公共区域造成任何未修复至受损方满意程度的损害；以及所有承包商出具的留置权解除文件。在公司进行检查以确认工程符合经批准的图纸及规范之前，不得预约纽约市建筑局（DOB）对工程进行“签核”的最终检查；且公司应在 DOB 检查前有合理时间（不少于十（10）个营业日）进行其检查。如无需经修订的居住证、消防承保人委员会证明，或纽约市电气控制局出具的签核或结案文件，股东的建筑师必须提交说明该情况的声明。如对工程完成时是否需要经修订的居住证存有任何疑问，应由公司指定的建筑师作为解决该疑问的唯一裁决者。\n\n33. 不表示意见；不得依赖。股东确认，公司同意工程并授权股东提交 LPC 和/或 DOB 文件，并不表示公司对工程的设计、可行性、成本或效率发表任何意见。在任何情况下，本协议项下授予的任何批准或同意，均不得解释为免除股东在本协议项下的任何责任或义务，或使公司就工程或股东的 LPC 或 DOB 文件承担任何责任。股东确认并同意，股东不得就工程的设计、成本、可行性、对适用法律或建筑规范的遵守情况、效率或股东在本协议项下的义务，依赖根据第 3 段指定的公司建筑师。尽管本协议载有任何相反规定，本协议或公司对进行改建或工程的同意，均不得以任何方式解释为赋予股东以下任何权利：(i) 在任何其他公寓内进行任何工作或订立任何工作实施协议；或 (ii) 为实施本《公寓改建协议》所设想的改建或经批准工程，而取得进入任何其他公寓、建筑物内任何露台、阳台或任何公共区域的权利。如为完成获授权工程而希望进入和/或使用其他股东的公寓、阳台或露台，股东必须取得该等其他股东的同意；如为完成获授权工程而希望使用建筑物公共区域，股东必须取得公司的同意。\n\n34. 未遵守约定。股东未遵守本协议任何条款，或公司咨询建筑师或公司的任何其他指定人发出的指示或要求，应视为违反公司据以同意工程的租约条款；除所有其他权利外，公司可暂停全部工程，并阻止工人因任何目的进入建筑物和/或公寓，但如工人由建筑物工作人员陪同，则可搬走其工具或设备。在此情况下，公司亦可撤销其允许股东进行改建工程的许可。\n\n35. 工程纠正。对于公司认定为以下情形的全部工程，股东应立即予以纠正：(a) 存在缺陷；(b) 不符合本《改建协议》或经批准的工程、经公司授权的股东 LPC 和/或 DOB 文件、依据未经公司事先书面授权的 DOB 文件或工程许可证所实施的工程，或不符合对建筑物具有管辖权的任何政府机关的法律、规则、命令或规章；或 (c) 造成违反任何保险承保人任何保单的情形，无论该等工程是否已制作、安装或完成。股东应承担纠正该等被拒绝工程的全部费用，包括公司根据本协议条款聘请的任何建筑师、工程师、律师或其他顾问的额外服务报酬，或由此合理且必要产生的额外服务报酬；该等费用应作为租约项下的附加租金处理。\n\n36. 解除及放弃索赔。股东解除公司及其董事、高级职员、代理人、雇员和股东因任何可能因工程产生或以任何方式与工程有关的股东财产损失或损害而承担的一切责任；但本段或本协议中的任何规定，均不得就公司、其代理人、受雇人或雇员全部或部分过失所促成、造成或导致的人身伤害或财产损害，使公司免于承担其原本可能承担的法律责任或使其免责。\n\n股东在此放弃股东现在或日后可能对公司及其各自过去、现任和未来的董事、高级职员、雇员、代理人和股东提出的、基于公司中断或暂停工程的任何索赔，不论该等中断或暂停的原因为何。\n\n37. 附加租金。股东同意，公司发生的和/或根据本协议要求由股东支付的所有款项、费用、罚金及开支，均应视为租约项下的附加租金。\n\n38. 安保程序。股东确认，已被告知，未经公司授权代表事先明确授权，任何工人不得进入大厦。股东必须向执行办公室提供预计获准进入大厦的工人名单，包括其姓名及拟从事的工作类型。工人在任何一天均不得从事其当日每日日志中所列明工作以外的任何工作。所有工人必须持有并出示适当的带照片身份证明、其拟从事行业/工作所对应的现行有效工会会员证，并须在其他方面遵守大厦安保程序。承包商有责任确保始终有一名专职、合格、英语流利且具备与工人沟通所需适当沟通能力的工头或主管在现场。股东进一步确认并同意，承包商和股东应确保，在每日进入及离开大厦之前，股东的工人，包括承包商及所有分包商，均须在公司于大厦服务入口处保存的每日日志上签字，并领取当日通行证。承包商应按本协议第1(h)款所述，在大厦配备一名全职项目总监，且所有工作均须在该项目总监在场的情况下进行。如公司要求，股东应自行承担全部成本和费用，聘用由公司提供的人员，为大厦及其住户提供额外安保，并在工作进行期间协调公寓内工作与大厦内其他活动。\n\n39. 工人行为。在进行工作期间的任何时候，均不得在公寓或大厦公共区域内使用收音机、录音机、光盘播放器、电视机或类似发声设备。任何工人不得在公寓、大厦公共区域的任何部分或紧邻大厦的人行道上闲坐或吸烟。股东必须在公寓内提供供工人使用的卫生设施及可用的污水池。工人不得使用大厦其他任何部分的卫生设施或水槽。工人不得“借用”公司所有的工具或设备。\n\n40. 不得修改；不得转让。本协议不得以口头方式变更。本协议对公司及其继承人，以及股东及其继承人、遗产代理人和获授权受让人均具有约束力。未经另一方事先书面批准，任何一方均不得转让本协议或其项下的任何权利或义务。\n\n41. 协议不具约束力。在以下条件满足前，本协议不具任何效力：(a) 本协议已由公司总裁、副总裁或由总裁指定的一名董事会成员签署；(b) 股东向LPC和/或DOB提交的申报已获公司及其审核建筑师授权；以及\n\n(c) 公司已收到本协议要求交付的、与工作有关的全部文件、不可退还的费用和保证金。股东确认，公司任何雇员均无权签署或批准本协议，或放弃本协议的任何条款。任何偏离本协议所批准工作的行为，或偏离股东已获授权提交的LPC和DOB申报的行为，均将使公司据此授予进行该工作的许可全部失效。\n\n42. 不放弃权利。公司或股东未放弃执行或延迟执行本改建协议的任何条款、条件和/或约定，不应被视为意味着和/或构成对本协议相同或任何其他条款、条件和/或约定的进一步放弃。\n\n43. 纽约州法律。本公寓改建协议应依纽约州法律解释，因本协议产生或以任何方式与本协议有关的任何诉讼或程序，仅可在审判地位于纽约县的纽约州法院提起。\n\n44. 完整协议。本协议取代股东与公司、其股东、高级管理人员、董事、代理人、雇员、独立承包商及专业人士之间此前和/或同时作出的任何及所有口头和/或书面陈述、承诺、谅解和协议，构成股东与公司之间的完整协议；除非经公司和股东签署书面协议，否则不得以任何方式修改、修订和/或变更。\n\n45. 可分割性。如本公寓改建协议的任何条款被裁定为无效、可撤销和/或违法，该裁定不影响其余条款的可执行性。\n\n46. 已完成的改建。股东同意采取一切预防措施，防止已完成的公寓改建对任何其他股东造成“噪音”或干扰状况。股东进一步同意，如尽管已采取预防措施以避免对其他股东造成“噪音”和干扰状况，包括但不限于按照本协议第29款由公司审核建筑师或工程师指示安装隔音和隔声材料，公司基于股东投诉并依其合理酌情决定权认定公寓改建已造成“噪音”或干扰状况，则股东应自行承担全部成本和费用，采取一切措施修复或拆除（如有必要）该改建，以消除干扰状况。\n\n47. 通知。除非本协议另有明确规定，本协议项下所有通知均应以书面形式作出，并以挂号或认证邮件寄送，要求回执；致股东的通知应寄送至大厦内的股东，致公司的通知应寄送至大厦内的公司，并另向执行办公室代收的公司寄送一份副本通知。本协议项下通知应视为于邮寄之日发出。\n\n48. 标题。本协议中的说明和标题仅为方便起见，不应解释为本协议的一部分。\n\n49. 承包商许可。纽约州一项有关住宅改善合同的法律于1998年3月1日生效。该法律条款适用于所有金额超过$500.00的住宅改善合同，并涉及所需许可、合同及承包商业务经营行为等事项。总检察长负责执行该法律。可通过以下方式联系总检察长办公室获取信息：New York Department of Law（纽约州法律部），Bureau of Consumer Frauds and Protection（消费者欺诈与保护局），120 Broadway, 3rd Floor, New York, New York 10271，电话：(212) 341-2000 或 (212) 341-2314。\n\n50. 费用和对价的支付。股东确认并同意，其是在自由、独立的情况下签订本协议，并已咨询股东认为适宜的律师和顾问。股东进一步确认并同意，股东一旦开始进行工作，即由此免除公司对于因股东支付或以任何方式与股东支付本协议项下已付或应付费用、保证金或其他款项有关的任何索赔。\n\n51. 无其他费用或酬金。除本协议规定外，就工作之进行或批准，无须或不预期向公司、其雇员或代理人支付任何其他费用（以及任何酬金和/或其他款项）。如有人索取任何此类款项，股东应向公司的一名高级管理人员报告。\n\n52. 无第三方受益人。任何非本协议当事方的个人或实体，包括公司的任何其他股东，均不应被视为本协议项下的第三方受益人；任何非本协议当事方的个人或实体在对作为本公寓改建协议当事方的股东或公司提出任何索赔时，本协议亦不得构成任何该等索赔的依据。\n\n53. 放弃陪审团审判。在有关、因本协议或工作产生或以任何方式与之有关的任何争议中，各方相互放弃任何由陪审团审判的权利。\n\n54. 专有租约。本改建协议的条款和条件不得免除股东根据公寓租约或公司章程和住户规则承担的任何义务。\n\n55. 公司高级管理人员、董事或代理人不承担个人责任。公司现任、前任和未来的高级管理人员、董事或代理人，以该等身份行事时，对于因工作或本公寓改建协议有关或以任何方式与之有关的、其被指称对股东违反义务所造成的损害，不对股东承担任何个人责任。\n\n附件A-F及附加条款1-12随附于本协议，并构成本协议的一部分\n\n谨致，\n\n股东\n\n股东\n已授予许可，并确认收到金额为$___________的保证金支票\nTHE SHERRY-NETHERLAND, INC.（雪莉-荷兰公司）\n\n签署人：\n\n姓名：\n\n职务：\n附件A\n股东初始及持续提交材料清单\n\n为使改建得以进行，必须向The Sherry-Netherland, Inc.（雪莉-荷兰公司）一式三份提供下列资料、费用和保证金。未能提供该等材料可能导致改建申请的处理，或工作的开始或继续延迟。\n\n初始提交材料（工作开始前） 提交日期\n\n1. 改建申请表（3份）\n2. 已签署的改建协议（3份）\n3. 经盖章的建筑师图纸，\n附有详细规格说明和\n逐房间的全部工作清单（3份）\n4. 以通俗术语说明的工作范围/叙述性说明（3份）\n5. 承包商出具的赔偿及陈述函\n6. 承包商和分包商名单、许可资料以及\n水管工和电工总许可证副本\n以及所有工人现行有效工会会员证副本\n7. 工作专职现场主管的姓名及所需资格\n8. 与承包商和分包商签订的合同\n9. 承包商和分包商为附加列名被保险人出具的保险证明\n10. 股东房主责任保险及保费支付证明\n11. 保险单副本及所有批单和保费支付证明\n12. 承包商和分包商含铅油漆治理认证证明\n13. HPD含铅油漆豁免证书\n14. 如有要求，承包商EPA含铅油漆治理认证证明\n15. EPA认证检查员或风险评估师出具的含铅油漆检测结果及报告\n16. 工作计划\n\nCase 22-50073 Doc 2313 Filed 11/08/23 Entered 11/08/23 15:56:48 Page 66 of 117\n\n17. 承包商噪音和振动管理/缓解计划\n\n18. 承包商关于遵守本协议附录5中详述的粉尘减缓程序的证明\n\n19. 交付时间表\n\n$1,500 payable to The Sherry-Netherland, Inc.（谢里-内瑟兰公司）（手续费）\n\n$100,000 payable to The Sherry-Netherland, Inc.，或由公司确定的其他金额（保证金）\n\n$___ payable to The Sherry-Netherland, Inc.（设施使用费）\n\n$___ payable to The Sherry-Netherland, Inc.（工程开工前发生的建筑师、法律及其他费用）\n\n20. 已填写完整的DOB（建筑局）表格PW1，由股东作为所有人/申请人签署\n\n21. 股东作为所有人/申请人向DOB提交的DOB表格PW1副本\n\n22. 已填写完整的LPC申请表\n\n23. 股东向LPC提交的LPC申请表副本\n\n24. 股东出具的赔偿及陈述函\n\n25. 本协议附录4，由股东和承包商签署\n\n26. 根据经授权的股东DOB申报所签发的施工许可证\n\n27. 致相邻股东的信函（4份）\n\n股东持续提交的文件及费用。\n\n28. 拟议的图纸修订\n\n29. 拟议对DOB表格作出的修正或补充，由股东及LPC作为所有人/申请人签署\n\n30. 股东作为所有人/申请人向DOB提交的DOB表格修正或补充副本\n\n31. 根据经授权的股东LPC和DOB申报所签发的经修正/补充的施工许可证\n\n32. 工程状态月度报告\n\n33. 合同修正\n\n34. $___ payable to The Sherry-Netherland, Inc.（工程完成日期延期的对价）\n\n35. 工程进度表修订；如需要\n\n36. 交付时间表修订\n\n37. 经修正的入住证书，如需要，除非根据建筑局1997年TPPN #3获豁免\n\n38. 消防保险人委员会证明，如需要\n\n39. 建筑师关于遵守图纸的声明及两套“竣工”图纸（包括所有建筑立管）\n\n40. 建筑局结案文件\n\n41. 已填写完整的EPA翻新工程记录保存核对清单（附录4）\n\n42. 承包商留置权解除文件\n\n43. 含铅油漆豁免证明\n\n44. $___ payable to The Sherry-Netherland, Inc.，如需要，用于股东增设电力服务\n\n45. 电气控制局关于股东增设电力服务的最终核签及结案文件，如需要\n\n46. 电气控制局最终核签及结案文件，如需要\n\n附件B\n\n承包商赔偿及陈述函（使用承包商抬头纸）\n\n日期：\n\nThe Sherry-Netherland, Inc. 781 Fifth Avenue New York, New York 10022\n\n事由：781 Fifth Avenue New York, New York 10022，公寓#____________（“该公寓”）股东（“该股东”）\n\n尊敬的先生/女士：\n\n本函确认，以下签署人：(i) 已审阅并完全理解The Sherry-Netherland, Inc.（“公司”）与该股东之间于__________, 2012签订的《公寓改造协议》（“本协议”）的条款和规定；以及(ii) 同意遵守本协议条款及公司不时有效的规则和规章。\n\n以下签署人特此声明，承包商根据本协议须提供的所有保险均完全有效，向公司提供的保险证明中所示保单限额可供使用，且未因先前或后来的索赔而减少，也不会因该等索赔而减少，并且该等保单符合本协议第1款的要求。\n\n以下签署人进一步同意，其不会就本协议所述保单承保范围内的危险所造成的人身或财产损害，向下列任何一方提出任何索赔或寻求追偿：(a) 公司、其董事和高级管理人员；或(b) 公司股东的雇员、代理人、董事、高级管理人员、合伙人、宾客、被许可人、受邀人、承租人或雇员（各称“一名受偿方”，合称“各受偿方”），除非该损失或损害完全因该受偿方的过失所致。\n\n以下签署人进一步同意，就因工程实施过程中发生、由其引起、与其有关或以任何方式与其相关的任何死亡、人身伤害或财产损害所产生的一切责任，包括法律成本和费用，为各受偿方及该建筑物的所有其他住户进行抗辩、予以赔偿并使其免受损害。本赔偿协议特别规定，如各受偿方或其中任何一方在无过失的情况下，仅因法规、法律效力或其他原因被判承担责任，则应获得全额赔偿；如某一受偿方存在实际过失，且该过失造成或促成了基础索赔，则应获得部分赔偿。在该情形下，赔偿应限于超出可归因于实际过错之比例的任何责任，无论该责任系因法规、法律效力或其他原因产生，但以本协议所载限制为限；然而，本款、本函或本协议中的任何规定，均不得就公司因公司、其代理人、雇员或员工的全部或部分过失所促成、造成或导致的人身伤害或财产损害而可能依法承担的责任，对公司予以赔偿或使其免受损害。\n\n以下签署人进一步同意，其将遵守所有适用的法律、规则、命令及政府规章实施工程，包括但不限于经修订的《纽约市噪声控制法典》，以及本协议附录4和附录5所界定和详述的法律、规章及程序。\n\n谨致，\n\n[承包商名称]\n\n签署人：\n\n姓名：职务：地址：电话号码：传真号码：电子邮箱地址：手机号码：\n\n附件C\n\n致：[收件人为与股东公寓相邻，以及紧邻该公寓上方和下方的公寓股东或住户]\n\n尊敬的____________：\n\n根据我与The Sherry-Netherland, Inc.（“公司”）之间就拟在公寓___进行的改造所订立的《公寓改造协议》，现告知您如下：\n\n1. 公寓___将自_____________当日或前后开始进行改造。与公司订立的《公寓改造协议》允许我合计___日完成改造。请注意，尽管我们将尽力减少噪声，工程期间仍会不时产生一些噪声。希望您能够理解并予以包涵。\n\n2. 我特此同意，就经公司审核建筑师认定由在我公寓内进行的改造造成的、对您公寓产生的任何损害，向您予以赔偿。我同意支付修复该等损害的合理费用。您可自行选择由您指定的承包商或由我的承包商进行该等修复，费用由我承担。\n\n3. 为享有上述赔偿，您必须允许我和公司指定的代表在您方便时、于我的改造开工前检查并记录您公寓的状况。请致电_____________与我安排检查。您可安排您自己的建筑师或其他代表出席检查，以拍照并记录您公寓的状况。您还必须允许公司的代表记录您公寓的状况，该等记录应由公司保存。您还必须允许我指定的代表检查您主张系我的改造所造成的任何损害。\n\n4. 如您选择不享有上述赔偿，我仍应根据我与公司签署的《公寓改造协议》第22款所载赔偿条款，对您公寓的任何损害负责。\n\n谨致，\n\n________________________________________ 股东\n\n公寓编号：________________________________\n\n日期\n\n附件D\n\n公寓改造责任承担及改造协议\n\n鉴于，根据日期为____________（“受让人”）的某份专有租约转让书，受让人将取得____________（“转让人”）对一份日期为____________的租约（“该租约”）所享有的一切权利、所有权及权益；该租约由The Sherry-Netherland, Inc.（“公司”）作为出租人，与转让人或[她][他]的权益前手（合称“前任承租人”）作为承租人订立，涉及位于781 Fifth Avenue, New York, New York的公寓___，包括其附属露台及阳台（“该公寓”）；以及\n\n鉴于，根据日期为____________的文书（“租约承担书”），受让人将承担转让人作为该租约承租人所负的全部义务，并将根据该文书或新租约的签署成为该公寓的承租人。\n\n鉴于，该公寓的内部、窗户及露台等可能已被前任承租人改造（“该等改造”）；\n\n因此，鉴于前述事项，以及公司或其董事同意将该租约转让给受让人，并将随该租约附带的出租人公司股份转让给受让人，受让人特此承担并同意履行以下义务：由受让人独自承担费用，维护和修理因该等改造而以任何方式被改造的该公寓内部和外部部分或构件，包括与该等改造有关而安装或建造的任何结构、增建部分、固定装置、电器或其他物品；就以任何方式与该等改造存在有关的任何损害、损失或索赔，赔偿公司、其高级管理人员、董事、代理人及股东；并同意，如受让人拟转让该租约及该公寓附带的股份，受让人应作为任何该等转让的先决条件，使其受让人承担受让人前述全部义务。\n\n受让人进一步特此承担并同意履行及遵守转让人与公司之间于____________签订的某份《改造协议》（副本附后）的所有条款、约定和条件，包括但不限于由受让人承担费用维护和修理作为《公寓改造协议》标的的改造工程，以及与该等改造工程有关而安装或建造的任何结构、固定装置、电器或其他物品的义务。\n\n对本承担协议或据此承担的义务的任何违约，均构成对该租约的违约。\n\n本承担协议及其全部条款对受让人及[她][他]的遗产、继承人、遗嘱执行人、遗产管理人、个人代表、继受人和受让人均具有约束力。\n\nNew York, N.Y.\n\n日期：__________________。\n\n____________________________，受让人\n\nCase 22-50073 Doc 2313 Filed 11/08/23\n\n117 Entered 11/08/23 15:56:48 Page 72 of\n\n纽约州 }\n\n纽约县 } ss.：\n\n}\n\n于____年____月____日，本人面前亲自到场________________________，本人知悉其身份，并知悉其为前述文书中所述且签署该文书的个人；其已向本人正式确认，[她][他]签署了该文书。\n\n公证人\n\n附件E\n\n承包商保险批单\n\n附加被保险人——承包商\n\n本批单修改下列项下提供的保险：\n商业综合责任保险承保部分\n附表\n\n个人或组织名称：\n\nThe Sherry-Netherland, Inc.（谢里-内瑟兰公司）、其董事及高级管理人员\n\n［股东姓名］\n\n“谁是被保险人”（第二节）经修订，将附表所示的个人或组织列为被保险人，但仅限于因您为该被保险人或代表该被保险人所进行的“您的工作”而产生的责任。\n\n另行约定，本保单为所示附加被保险人的利益而提供的该等保险应为第一顺位保险；附加被保险人维持的任何其他保险应为超额且不分担的保险，但仅就因记名被保险人的经营活动而产生的任何索赔、损失或责任而言，且仅在该等索赔、损失或责任被认定完全系因记名被保险人的过失或责任所致时适用。\n\n本批单修改下列项下提供的保险：\n\n商业综合责任保险表格\n\n对第四节——商业综合责任保险条件作出如下变更：\n\n在条件4“其他保险”中增列以下第d项“附加被保险人”：\n\nd. 附加被保险人\n\n如您已订立书面合同或协议，约定将某个人或组织列为本承保部分项下的被保险人，且该书面合同或协议要求本保险为第一顺位且不分担的保险，除非适用“其他保险条件修订”CG 00 55 03 97 批单，否则我们不会向任何其他保险寻求分摊。\n附件 F\n股东赔偿及声明函——纽约市建筑局要求，包括 PW1 和 PW3 表格；LPC 申报文件\n\nThe Sherry-Netherland, Inc.（谢里-内瑟兰公司） 781 Fifth Avenue New York, NY 10022\n\n事由：公寓 # ______ 781 Fifth Avenue New York, NY 10022\n\n敬启者：\n\n本函确认，股东已：(i) 审阅并完全理解 The Sherry-Netherland, Inc.（下称“公司”）与股东之间于 __________, 2012 签订的《公寓改造协议》（下称“协议”）的条款和规定；以及 (ii) 同意遵守协议条款及公司不时有效的规章制度。\n\n下述签署人进一步同意并确认，其作为公寓的所有人／申请人，应独自负责提交纽约市建筑局（DOB）表格 PW1、PW3 和 TR-1，以及与之相关或 DOB 要求的任何修订或补充申报文件，并独自负责所有许可申请的 LPC（地标保护委员会）申报文件；但下述签署人不得在未就每一情形事先获得公司及其建筑师书面授权的情况下提交或促使提交该等表格。下述签署人应在股东提交后五（5）个营业日内，向公司及其建筑师提供股东所作全部 DOB 和 LPC 申报文件的副本。下述签署人进一步同意并确认，其独自负责 DOB 表格 PW1、PW3、所有 LPC 申报文件以及对其作出的任何补充或修订内容的准确性。下述签署人特此同意，表格 PW1 应按随附样表所示填写；并且不得向以下主体提出任何索赔或寻求追偿：(a) 公司、其董事、高级管理人员及代理人，或 (b) 公司股东或该等股东的雇员、董事、高级管理人员、合伙人、宾客、被许可人、受邀人、承租人或雇员（各称“受赔偿方”，合称“受赔偿各方”）；并应就因工作履行或股东的 LPC 和／或 DOB 申报文件而发生、产生或以任何方式与之有关的任何及全部责任，包括因人身死亡或伤害或财产损失而产生的法律成本和费用，对受赔偿各方及大楼内所有其他住户进行充分抗辩、赔偿、免责并使其免受损害；但本段、本函或本协议中的任何内容均不得就公司原本可能就因公司、其代理人、雇员或工作人员的全部或部分过失所促成、造成或导致的人身伤害或财产损失而承担的法律责任，对公司进行赔偿或使其免受损害。\n\n下述签署人进一步同意，其将遵守所有适用法律、规则、命令及政府规章履行工作，包括但不限于经修订的《纽约市噪声控制法典》、本协议附录4和5所详述的法律、规章和程序，以及本协议条款。\n\n谨启，\n\n股东\n\n股东\n\n日期：\n\nIDCAS\n任何陈述的伪造均属轻罪，可处以罚款或监禁，或并处二者。向城市雇员提供任何利益（无论金钱或其他形式），或城市雇员接受任何利益，作为适当履行工作的小费或换取特别照顾，均属违法。违规者可处以监禁或罚款，或并处二者。我理解，如经听证后认定我明知或因疏忽作出虚假陈述，或明知或因疏忽伪造或允许伪造本法典或任何机构规则要求的违法行为纠正证明、表格、签署声明、申请、报告或证明，我可能被禁止再向本局提交申请或文件。此外，我理解，我负责确保在获准工作完成时进行最终检查，并在法律规定期限内提交令人满意的最终检查报告及所有要求提交的文件，以便纽约市建筑局能够签发完工函或使用证书。\n\nHHC\n\nHPD\n\nDOE\n\n所有人类型：个人\n\n合伙企业\n\n公司 26A\n\n共管公寓单元所有人或合作公寓承租人—股东 26A\n\n所有人是否为非营利组织？［是 ［］否\n\n姓名（请用印刷体）：\n\n与所有人的关系：股东\n\n企业名称／机构：或单元所有人\n\n街道地址：填写并签署\n\n城市：此处\n\n州：\n\n我已授权申请人就本文件所述工作及未来所有修订提交本申请。我不会明知授权任何不符合《纽约市能源节约法典》（NYCECC）的工作。\n\n传真：\n\n电话号码：\n\n电子邮箱地址：\n\n是 否\n\n签名及日期\n\n费用延期申请声明\n\n本人特此申请对本申请所提议工作延期收取费用，并理解在签发任何使用证书或工作签核之前必须支付所有费用。\n\n26A 共管／合作公寓董事会或公司第二高级管理人员\n\n姓名（请用印刷体）：\n\n费用豁免申请声明\n\n根据《纽约市行政法典》§28-112.1，本人特此声明，所提议工作涉及由该条所述目的专属拥有或使用的建筑物或财产。\n\n职务：董事会高级管理人员\n\n街道地址：填写并\n\n已入住住房相关所有人证明\n\n城市：在此签署\n\n州：\n\n拟改造或拆除建筑物所在地，或拟建新建筑物所在地，包含一套或多套在施工期间仍将有人居住的住宅单元。该等已入住住宅单元已在已提交的施工文件中明确标识。\n\n电话号码：\n\n传真：\n\n电子邮箱地址：\n\n签名及日期*\n\n拟改造或拆除建筑物所在地，或拟建新建筑物所在地，包含受《纽约市行政法典》第26编第3章和第4章租金管制或租金稳定规定约束的已入住住房。若是，请选择下列一项：\n\n* 共管公寓或合作公寓董事会授权代表必须签名。公司无需第二高级管理人员签名。\n\n鉴于依 DHCR（住房和社区更新司）规章，所提议工作的性质和范围无需通知，所有人无须将其拟提交申请的意向通知住房和社区更新司（DHCR）。\n\n姓名（请用印刷体）：\n\n所有人已将其拟提交该等施工文件／申请该等许可的意向通知住房和社区更新司（DHCR），并已遵守该机构规章规定的作为该等［提交／申请］前提条件的全部要求。\n\n与所有人的关系：\n\n企业名称／机构：\n\n街道地址：\n\n州：\n\n城市：\n\n提供通知 DHCR 的日期：\n\n电话号码：\n\n传真：\n\n成人场所所有人证明\n\n本人授权并拟在所涉场所设立、扩大或延伸《分区决议》§12-10 所定义的具有成人活动和／或成人材料的“成人场所”，或设置相关标志。\n\n电子邮箱地址：\n\nINYCHA\n\nINYS\n\n其他政府机构\n\n邮政编码：\n\n在此签署\n\n邮政编码：\n\n在此签署\n\n26B 对年度标志或雨篷许可负责的承租人\n\n邮政编码：\n\n仅供内部使用\n\n第14号指令申请的所有人证明（如适用）\n\n本人已阅读并充分知悉申请人的声明，即所提交的施工文件及与本申请相关的全部施工文件均无需新的或经修订的使用证书，因为使用、出口或占用情况均无变化。此外，我理解，我负责聘请合格设计专业人员在获准工作完成时进行最终检查，该专业人员必须在部门规则规定的检查后期限内向纽约市建筑局提交令人满意的最终检查报告。\n\n预提交人姓名：\n\n日期：\n\n预提交人签名：\n\n成本估算：$\n\n应付金额：$\n\n核验人 ▼ 日期\n\n初始已付金额：$\n\n应付余额：$\n\n印章、证明及备注：\n\n初步建筑设计文件\n\n股东同意，连同本已签署的《改造协议》，按公司要求的份数提交下列文件：\n\na. 建筑图纸\n\n1. 总平面图。\n\n2. 用于标示公寓相对于建筑物、电梯、疏散楼梯及街道位置的定位图。\n\n3. 拆除图。\n\n4. 平面图。\n\n5. 天花反射图。\n\n6. 墙体立面图。\n\n7. 隔墙明细表。\n\n8. 饰面明细表。\n\n9. 门明细表。\n\n10. 施工详图，包括所有新增天花板和檐口详图。\n\n11. 承租人安全说明。\n\n12. 所要求的疏散说明。\n\n13. 所要求的防火说明。\n\nb. 电气图纸，包括所要求的竖向系统图，以及分别显示照明、动力和空调现有及拟议负荷的电气负荷函。\n\nc. 管道图纸，包括所要求的竖向系统图。\n\nd. 所要求的机械图纸。\n\ne. 所要求的器具、固定装置及配件规格。\n\nf. 所要求的项目规格。\n\ng. 楼板构造、天花构造及分户墙构造的隔声等级（STC）。\n\n相邻场所状况\n\n在总工程师和／或公司建筑师以及（如有要求）股东或相邻场所住户的代表对相邻场所完成检查，且公司指定人员已记录其状况，并在认为必要时拍摄照片或进行录像，制作由公司留存的报告和文件之前，股东不得开始任何工作。\n\n石棉\n\n1. 股东特此同意在工作开始前采取下列措施：\n\n(a) 由股东承担费用，从公司提供的经批准调查人员名单中聘请一名石棉调查人员，以进行下列任一事项：\n\n(a) 审查建筑物的施工和翻修记录以及任何先前检查报告，以确定是否存在任何含石棉材料（“ACM”）以及该等材料可能受到的扰动；或\n\n(b) 检查拟改造区域，以确定是否存在任何 ACM（含石棉材料）以及是否可能对其造成扰动。\n\n(b) 如审查或调查结果显示存在处于易碎状态的 ACM，但该等易碎 ACM 少于十（10）平方英尺或二十五（25）线性英尺，股东应向公司提交调查人员已提交 FORM ACP5（“Not an Asbestos Project”表格）的证明。如审查或调查结果确定，处于易碎状态的 ACM 超过十（10）平方英尺或二十五（25）线性英尺，股东应向公司提交调查人员已提交 FORM ACP7（“Asbestos Inspection Report”表格）的证明。\n\n(c) 如公司根据审查或调查结果自行认为无需进行任何清除工程，股东有权在遵守本改造协议要求的前提下开始进行股东的改造工程。\n\n(d) 如公司自行认为审查或调查显示需要进行清除工程，股东应按如下方式进行：\n\n(c) 在进行任何石棉清除工程之前，股东应向公司提交拟用于石棉清除工程的任何石棉顾问和承包商的姓名及资质（包括任何许可证、责任保险单及履历），以及承包商运输人员的姓名及资质（包括许可证和保险单），并提交将进行清除工程的所有石棉监督人员和处理人员的许可证。\n\n(d) 在收到公司对顾问和承包商的批准后，股东应聘用该等顾问和承包商，以视情况对所有易碎 ACM 进行封装、封闭、处理或以其他方式清除。该等清除以及 ACM 的拆除、运输和处置，应符合所有联邦、州和地方的法律及法规。\n\n(e) 就该等清除工程而言，股东应向公司提供适用法律和法规所要求的所有报告和测试的副本，以及股东的石棉顾问应提供的最终报告副本。\n\n(f) 就石棉拆除和处置而言，股东应促使石棸运输人员向公司提供将使用的所有倾倒地点清单，以及证明该等倾倒地点已获 EPA 批准的证明；其后，股东应向公司提供所有倾倒收据和处置清单。\n\n2. 股东及股东聘用的顾问和承包商应遵守与石棉控制有关的所有联邦、州和地方法律、规则和法规，包括但不限于 New York City Local Law 76 of 1985（1985年纽约市地方法律第76号）；该等法律、规则和法规可在工程开始前及工程期间不时予以颁布、补充或修订。此外，股东同意就以下事项向公司作出赔偿：（i）股东或股东聘用的任何顾问或承包商未能完全遵守上述任何规定而产生的任何损失、成本、费用（包括但不限于律师费和支出）、损害、责任或罚款；或（ii）就与清除工程有关的任何诉讼、行动、索赔或违法行为进行抗辩。\n\n3. 除本协议第1(h)款规定的保险外，股东的承包商还应取得危险材料运输责任保险，其人身伤害和财产损失保额不得低于 \\$2,000,000。股东的承包商应取得该等保险，或安排将公司、其董事、高级职员和代理人列为承包商废物运输人员保险单下的附加被保险人。该保险单应明确涵盖与石棉有关的所有索赔及可能提出索赔的所有群体。\n含铅涂料/粉尘和碎屑控制——使用经 EPA 认证的承包商和工人\nA. 工程开始前\n\n在工程开始前，股东应聘请经 Environmental Protection Agency（美国环境保护署，简称“EPA”）认证的检查员或风险评估员，使用 EPA 认可的测试套件并遵循制造商说明，以及独立的 New York State（纽约州）持证实验室，对公寓的含铅涂料状况进行检测，并将检测结果提交给公司。如发现公寓内存在含铅涂料状况，或股东未向公司提供该等检测结果，股东应遵守下文详述的本附件4全部规定。\n\n股东还应按照 HPD Rules（HPD 规则）第11-08节的规定申请免除含铅涂料推定，并向公司提供股东的申请副本及 City of New York（纽约市）授予的豁免副本。\n\n如股东：（a）向公司提供检测结果和报告，证明经 EPA 认证的检查员或风险评估员已作出认定，在公寓内任何将进行工程的部分均未发现含铅涂料状况，或公寓中受工程影响的构件上的涂料或其他表面涂层不含每平方厘米等于或超过 1.0 毫克的铅，或按重量计不含等于或超过 0.5% 的铅；且（b）根据 HPD 规则第11-08节申请并获得豁免，并向公司提供纽约市授予的该等豁免证明副本，则股东无需再遵守于2010年生效的 EPA 法规和规则项下的任何进一步义务。\n\n无论如何，股东应促使其承包商遵守本协议附件5（拆除）规定的粉尘缓解程序。\nB. 工程要求\n\n如未根据本协议获得豁免，股东应促使股东的承包商仅使用经 EPA 培训和认证、能够采用安全作业方法的工人，并采取预防措施，防止可能含铅的粉尘和碎屑扩散。股东和公司应从承包商及每名工人处收到其各自经 EPA 批准的带照片身份证明认证卡副本，以及其知悉含铅涂料危害、已获得铅安全作业认证，并将以避免造成含铅涂料危害的方式进行工程和工程清理的保证。\n\n联邦含铅涂料危害降低特别工作组建议在工程期间采取某些维护做法，包括：（1）将工程区域的进入权限仅限于工人；（2）用六码聚乙烯塑料或同等材料覆盖工程区域；（3）保护工人；（4）通过覆盖或将其从工程区域移走来保护股东的物品；（5）在扰动涂料前润湿已涂漆表面；以及（6）在清扫碎屑前润湿碎屑。股东应促使股东的承包商或工人不采用不安全的涂料清除做法，包括：（1）明火焚烧；（2）机械打磨或喷砂（除非使用特殊真空附属装置以控制粉尘）；以及（3）对超过最低限度面积的区域进行干刮（最低限度是指每个房间少于一平方英尺的面积）。股东应促使股东的承包商和/或工人按照特别工作组的建议及本附件4最后一页详述的要求进行工程，并应在工程完成后，采用旨在安全清除可能含铅粉尘和碎屑的方法，对工程区域进行专门清洁。股东还应促使股东的承包商和/或工人遵守本公寓改造协议附件5（拆除）规定的粉尘缓解程序，并按照本附件4最后一页清单的要求进行清场检测。\n\n股东及其承包商和分包商应在适用范围内遵守有关含铅涂料危害的所有联邦、州和地方法律及实施条例，包括但不限于 New York City Childhood Lead Poisoning Prevention Act of 2003（2003年纽约市儿童铅中毒预防法）（New York City Local Law 1 of 2004（2004年纽约市地方法律第1号））、Rules of the City of New York（纽约市规则）第28编第11章（“HPD Rules”），以及 United States Department of Housing and Urban Development（美国住房和城市发展部）条例、40 Code of Federal Regulations 745（联邦法规汇编第40编第745部分）和所有 EPA 要求（统称“法律”）。该等法律涉及防止粉尘和碎屑扩散的预防措施、披露、工程规则（包括但不限于在需要时仅使用经 EPA 认证的承包商和工人）、检测、通知其他住户，以及由公寓所有人保存记录；其副本必须提供给公司的执行办公室。本附件旨在且特此将与公寓有关的遵守 HPD 规则、法律及其项下一切要求的全部所有人责任分配给股东。股东特此免除公司、其高级职员、董事和执行办公室以及所有楼宇住户的责任，并同意就其违反有关公寓含铅涂料危害的 HPD 规则、法律及所有其他适用规则和法律而产生的任何索赔或费用，为其进行抗辩、作出赔偿并使其免受损害；但条件是，本款、本条或本协议的任何内容均不得就公司因公司、其代理人、受雇人或雇员的过失全部或部分造成、促成或导致的人身伤害或财产损害所应承担的法律责任，对公司作出赔偿或使公司免受损害。\nC. 补充文件要求\n\n在开始公寓翻新活动前不超过六十（60）日，承包商应向股东提供 Environmental Protection Agency（EPA）题为 Protecting Your Family from Lead in the Home（保护您的家人免受家中铅危害）的宣传册（“宣传册”）。如公寓由股东以外的人占用，承包商应向该住户提供宣传册。承包商应负责取得股东或住户对收到宣传册的书面确认，或证明同一事项的邮寄证明。股东特此确认，公司对 EPA 的该项通知要求不承担任何责任或义务。\n\n在工程最终发票交付给股东时，或工程完成后30日内（以较早者为准），股东应促使承包商填写并向执行办公室提供所附已填写完成的表格“EPA SAMPLE RENOVATION RECORDKEEPING CHECKLIST”。\n\n__________________________________________________ _________________________________________________\n\n股东承包商\nEPA 翻新记录保存示例清单\n\n公司名称：\n\n翻新日期和地点：\n翻新简要说明：\n\n指定装修承包人姓名：\n\n如使用，经培训工人姓名：\n\n粉尘采样技术员、检查员或风险评估员姓名：\n\n 装修承包人和粉尘采样技术员资质（培训证书、认证证书）副本已存档。\n\n 经认证的装修承包人已就以下事项向工人提供培训（请勾选所有适用项）：\n\n 张贴警示标志 设置塑料隔离屏障\n\n 维持隔离措施\n\n 避免粉尘扩散至相邻区域\n\n 废弃物处理 装修后清洁\n\n 经认证的装修承包人用于确定受装修影响部件是否存在铅的检测试剂盒（请注明所用试剂盒，并描述采样地点及结果）：\n\n 在工作区域入口处张贴警示标志。\n\n 对工作区域进行隔离，以防止粉尘和碎屑扩散。\n\n 工作区域内所有物品均已移走或覆盖（室内）。\n\n 工作区域内的暖通空调管道均已关闭并覆盖（室内）。\n\n 工作区域内的窗户均已关闭（室内）。\n\n 工作区域内及其 20 feet 范围内的窗户均已关闭（室外）。\n\n 工作区域内的门均已关闭并密封（室内）。\n\n 工作区域内及其 20 feet 范围内的门均已关闭并密封（室外）。\n\n 工作区域内必须使用的门已加以覆盖，以允许通行但防止粉尘扩散。\n\n 工作区域内的地面已覆盖用胶带固定的塑料布（室内）。\n\n 工作区域起 10 feet 范围内的地面已用塑料布覆盖——塑料布已固定于建筑物并由重物压住（室外）。\n\n 如有必要，已安装垂直隔离设施，以防止粉尘和碎屑迁移至相邻物业（室外）。\n\n 废弃物已在现场及运离现场期间得到妥善封存。\n\n 装修后已对施工现场进行适当清洁。\n\n 所有碎片和碎屑均已清理；防护覆盖材料已喷湿，污面向内折叠，并用胶带封好以便移除。\n\n 已使用 HEPA 吸尘器和/或湿布或湿拖把清洁工作区域表面及物品（室内）。\n\n 经认证的装修承包人已进行装修后清洁核验（请描述结果，包括所使用湿布和干布的数量）：\n\n 如改为进行了粉尘清除检测，请附上报告副本。\n\n 本人证明，上述信息在法律责任处罚下真实且完整。\n\n姓名及职务 日期\n\n拆除\n\n股东同意，在任何拆除工程计划开始日期至少三（3）个工作日前，向公司、执行办公室以及相邻场所的所有人或占用人发出电话通知。股东确认，任何及所有拆除工程仅可在周一至周五上午 10:00 至下午 4:00 之间进行，且除非公司另行书面批准，必须自开始之日起十（10）个连续工作日内完成。股东进一步同意促使其承包商和/或工人在各方面遵守附件 4（含铅油漆/粉尘和碎屑隔离——使用经 EPA 认证的承包商和工人）所规定的要求，包括但不限于股东遵守所有有关含铅油漆危害的联邦、州和地方法律及实施条例的义务，并按附件 4 所述，就任何违反前述规定的行为赔偿公司、其董事、高级管理人员和代理人。股东理解，如公司依其全权酌情决定认定该等拆除工程或任何工程噪声过大，或给任何其他股东或占用人造成不当困难，则该等工程可随时停止；但是，如股东改善该等情形，股东可重新开始工程。\n\n粉尘减缓程序\n\n对于任何拆除工程，股东应遵守并促使其承包商/工人遵守公司制定和指示的方法及技术，以尽量减少振动和过度噪声，尤其是关于拆除天花板和地板，包括但不限于在拆除墙壁和/或天花板时使用水以减少粉尘，并促使其承包商/工人遵守以下程序：\n\nI. 设备（除非公司审核建筑师或大楼总工程师另有规定）：\n\nA. 聚乙烯薄膜：提供厚度至少为 6.0 mils 的阻燃聚乙烯薄膜，符合 National Fire Protection Association Standard 701《阻燃纺织品和薄膜小型火灾测试》规定的要求。应提供尽可能大尺寸的薄膜，以尽量减少接缝。\n\nB. 加强型聚乙烯薄膜：提供厚度至少为 10 mils 的半透明、尼龙增强或编织聚乙烯、层压阻燃聚乙烯薄膜，符合 National Fire Protection Association Standard 701《阻燃纺织品和薄膜小型火灾测试》规定的要求。应提供尽可能大尺寸的薄膜，以尽量减少接缝。\n\nC. 管道胶带：按指示提供宽度为 2\" 或 3\" 的管道胶带，其粘合剂应配制为能够牢固粘附于聚乙烯薄膜。\n\nD. Rebond 地毯衬垫。\n\nE. 厚度为 1/8\" 的 Masonite 板。\n\nF. 与 American Dust Control Zip Wall 类似的重型拉链式封闭装置。\n\nII. 粉尘控制工作区域的构建：将工作区域与大楼其他部分完全隔离，以防止粉尘或碎屑越过隔离区域：\n\n在公共区域内：\n\nA. 用一层厚度为 6 mils 的加强型聚乙烯薄膜覆盖铺设地毯的公共走廊。于薄膜上铺设连续用胶带固定的 Masonite 板。\n\nB. 在材料运入和运出期间，所有公共区域的墙壁必须使用 Masonite 板保护至 4 feet 高。\n\nC. 应按照大楼总工程师的指示，对底层交付路径提供保护。\n\n在工作区域内：\n\nA. 在外侧（公共走廊一侧）设置重型拉链式封闭装置。门内侧紧邻处放置一块湿布。\n\nB. 使用单独的管道胶带，或使用厚度至少为 6 mil 的聚乙烯薄膜并以管道胶带牢固固定，逐一密封工作区域内的所有通风口（送风和排风）、恒温控制阀、门洞、窗户、对流器、门格栅及其他开口，包括相邻公寓内的风机盘管供暖和制冷装置及风管风口。应维持密封直至所有工程完成。密封对流器时应注意避免薄膜熔化或燃烧。\n\nC. 按公司指示和规定安装排风扇，其必须产生不低于 0.125° 的静压；在高挥发性油漆或染色工序干燥期间，该等排风扇应运行至午夜。对于产生粉尘和/或化学气味的工程阶段，该等排风扇必须为用于负压的 HEPA 过滤排风装置。工作区域的所有部分均必须产生该等负压，以使任何气流均经由 HEPA 风扇排出大楼，而不进入大楼的任何部分。无论工程的规模或范围如何，该等风扇均应在工程的所有阶段运行。\n\nD. 用一（1）层厚度至少为 10 mils 的加强型聚乙烯薄膜覆盖公共走廊内的地面及任何地毯。在聚乙烯薄膜上铺设瓦楞纸板或 “masonite” 板。\n\nE. 用一（1）层厚度至少为 10-mils 的加强型聚乙烯薄膜覆盖未铺设地毯的地面。在聚乙烯薄膜上铺设瓦楞纸板或 “masonite” 板。用管道胶带封住地面覆盖物的所有接缝。以与聚乙烯薄膜成 90° 角铺设 Rebond 地毯衬垫，并连续用管道胶带固定。以与衬垫成 90° 角覆盖 Masonite 板，并连续用管道胶带固定。\n\nF. 塑料薄膜：用一（1）层塑料薄膜保护工作区域的地面和墙面。\n\nG. 用一（1）层厚度各至少为 6 mils 的聚乙烯薄膜覆盖工作区域地面，并向上延伸覆盖墙面至少 12 inches。在地面与墙面交接处形成锐直角弯折，以确保不存在可被踩踏并导致墙面固定处被拉松的弧度。用管道胶带封住地面覆盖物的所有接缝。顶层的接缝应位于距底层接缝 six feet 处，或与底层接缝成直角。安装薄膜时，应使顶层能够独立于底层移除。\n\nH. 用一层厚度至少为 6-mil 的聚乙烯薄膜覆盖工作区域内所有周边墙壁，以机械方式支撑，并同样使用管道胶带密封（薄膜重叠 4\" – 6\"）。用管道胶带封住所有接缝，包括与地面覆盖物连接处的接缝。\n\nI. 一般而言，应防止烟气和气味逸出公寓并进入其他公寓或大楼公共区域。\n\nJ. 在粉尘极为严重的情形下，大楼总工程师或建筑师可酌情要求在工作区域入口处建造粉尘控制封闭前室。粉尘控制封闭前室的一侧垂直面应设有帘状开口（至少 5' 高 x 3' 宽），方法是在封闭前室顶部的一侧用管道胶带密封额外一层聚乙烯薄膜。地面、墙壁和天花板上的所有开口均必须密封。必须使用配有适当过滤器的负压设备。\n\nK. 执行办公室和/或公司咨询建筑师可酌情要求在管道井或其他楼板穿透处使用泡沫密封剂或类似产品，以尽量减少粉尘或碎屑扩散。\n\nL. 股东和承包商应遵守公司审核建筑师或大楼总工程师指示的任何额外或不同的粉尘控制和/或隔音措施，包括但不限于由独立专业监测人员进行空气质量监测，以及由经纽约州认证的实验室进行检测。\n\nM. 材料和工人必须经由服务通道进出，除非另有批准其他路径。\n\nN. 禁止任何妨碍通行出口的行为。\n\nO. 拆除工程的管理应与当日能够妥善清除的碎屑数量相匹配。所有碎屑均应适当喷湿，装入密封袋，或在不允许粉尘离开前室或进入公共走廊的清运容器中加湿。大楼对现场保护的要求应在股东图纸中标明。\n\nP. 过量粉尘或噪声渗入和/或过度振动将允许公司停止工程。\n\nQ. 修复、修补并涂漆，使走廊、平台和楼梯的任何及所有损坏恢复至与现有状态一致。\n\nR. 公寓内原有混凝土填充板的移除，应先使用金刚石锯片切割，切成 1\" 的金刚石图案，再使用电锤和/或锤子及凿子移除各个方块。\n\n房间位置/室内墙体构建/地板/天花板\n\n1. 股东同意，如在厨房、浴室和入口门厅以外的任何区域安装花岗岩、瓷砖、大理石或类似硬质表面地板，该等地板的持续维护和修理由股东负责。不得在该等位置移除地板板材。不存在找平板或成品地板系统的位置，不得为降低楼板标高以容纳新的饰面地板而受到扰动。在所有情况下，公司将要求在该等地板下方安装隔音垫层，该等垫层的细节须经公司批准。公寓与大楼公共走廊之间的门槛鞍座不得高于其现有高度。\n\n2. 拆除天花板或地板时，应检查所有暴露的顶板和楼板是否存在孔洞、穿孔、空隙或裂缝；如发现任何此类情况，应由股东自行承担全部费用进行防火和防烟处理。股东还同意，由其自行承担全部费用，在该等天花板、墙壁和/或地板中安装法规要求和/或公司审核建筑师或工程师依其单独且绝对酌情权指定和指示的隔音及隔声材料。\n\n3. 股东须以灰泥、防霉石膏板或其他声学天花板材料完成天花板和檐口的施工；该等材料应采用符合 NYC 规范的悬挂式黑铁系统固定，或采用弹性隔声龙骨衬垫，以实现垂直相邻的公寓及空间之间最低为 55 NIC 的噪声隔离等级（NIC）。\n\n4. 不得对任何结构楼板、分户墙、楼板或外墙进行开槽或切割。\n\n5. 所有新建内墙均应采用砌块抹灰、钢丝网抹灰、金属龙骨配金属或石膏板网及灰泥，或金属龙骨配双层 Quiet Rock Fiberock Cement Board，或公司咨询建筑师认可的其他基层材料建造。仅可使用防霉材料。\n\n6. 股东同意，不得进行任何会改变“建筑物平面布局”的工程，即不得将厨房等嘈杂房间迁至卧室等安静房间之上，但公司依其单独且绝对酌情权作出决定，并已提交公司咨询建筑师要求的全部结构细节供审查的除外。\n\n7. 必须保持公寓与建筑物内相邻公寓之间的墙壁完整无损，且股东须在该等墙壁中安装隔声材料。公司可依其单独酌情权和指示，要求股东对该等墙壁增加声学改进措施。除非公司及受影响公寓的股东事先以书面形式同意，否则禁止切入或穿透该等墙壁。紧邻该等墙壁进行的工程必须以不扰动该等墙壁的防火等级和隔声系数等级的方式完成，且股东应尽最大努力不干扰相邻房产的住户或其物品。\n\n8. 股东同意采取一切预防措施，防止任何已完成的改造对任何其他股东造成“嘈杂”或干扰性状况。股东进一步同意，如尽管已采取预防措施以避免对其他股东造成“嘈杂”和干扰性状况，公司基于股东投诉及专家技术顾问，依其合理酌情权认定该改造已造成“嘈杂”或干扰性状况，则股东应自行承担全部费用，采取一切措施修复或移除（如有必要）该改造工程，以减轻该干扰性状况。\n\n9. 硬质地面铺装的安装程序\n\nA. 新成品木地板\n\n(a) 现有成品地板和底层地板应拆除至楼板层面；但如现有木质底层地板状况适宜，则可在其上安装新的成品木地板。\n\n(b) 如木质底层地板亦需拆除，则应在现有木垫条上更换为一层 3/4\" 胶合板，然后再安装木质成品地板。新地板构造必须包括经适当细化的 “Kinetics SR Floorboard” 或 “Akzo Enkasonic Mat” 或具有类似隔声效果的材料的安装，但须经公司及其建筑师审查和批准。\n\n(c) 应采用胶带或钉胶方式，在周边设置厚度为 3/8\" 的玻璃纤维板隔离层，以隔离地板并切断地板与墙壁之间的声音传递路径。周边隔离层的高度应覆盖垫层和胶合板层的全高。\n\nB. 石材或瓷砖地板\n\n(a) 在干燥区域：\n\n(i) 拆除现有地板和木质底层地板，并部分拆除矿渣填料后，应在现有矿渣填料上安装带钢丝加固的平整混凝土或水泥砂浆找平层，待其养护固化后进行后续施工。\n\n(ii) 应在混凝土表面铺设弹性膜层（Strataflex、Kinetics 或 AKZO Enkasonic Mat 或 Laticrete 170，或经批准的同等材料）。\n\n(iii) 应采用 Laticrete #125 薄贴法或湿砂浆铺贴法安装成品石材或瓷砖地板。\n\nC. 在潮湿区域。\n\n与上述 (i) 至 (iii) 相同，但应在混凝土找平层上铺设连续防水膜（Laticrete 或经批准的同等材料），该防水膜应延伸至两级排水口并上翻至周围墙壁或挡水坎。应采用 Laticrete #125 薄贴法或湿砂浆铺贴法安装成品石材或瓷砖地板。\n\n10. 所有要求/拟议的防水安装细节均应提交公司审核建筑师及董事会事先审查和批准。\n\n经修订的使用证\n\n如工程需要取得建筑物经修订的使用证：\n\n(a) 股东应在公司书面批准股东改造申请后 thirty (30) days 内，由股东承担费用，向纽约市建筑局提交一份以“改造”（Alteration）形式提出、描述拟议工程的申请并存档。如需要，该申请应注明将申请经修订的使用证。任何该等申请的副本应同时提交公司。股东将在工程完成后 thirty (30) days 内，自行承担费用提交经修订的使用证申请。股东应勤勉推进取得经修订的使用证，并定期向公司通报该程序的进展情况。在公司或公司代表进行检查以确认符合经批准的图纸和规格之前，不得预约建筑局对工程进行最终检查并“验收签字”；公司应有合理时间进行该等检查。股东应在收到经修订的使用证后立即向公司提供副本。\n\n(b) 在开始任何需要取得建筑物经修订的使用证的工程之前，除本《公寓改造协议》第 28 段规定的保证金外，股东还应向公司交付金额为 $15,000 的额外保证金，以担保股东就取得该经修订使用证所承担的义务；股东同意，如股东未及时履行该等义务，公司可使用该等资金取得经修订的使用证。该保证金应为股东可能被要求就工程交付的任何其他保证金之外的额外保证金。股东有权在满足以下条件后获得该保证金或其任何余额的退还：工程完成；建筑物总工程师及公司审核建筑师或工程师检查公寓；签署股东原始图纸的建筑师或工程师出具公司可接受形式的声明，说明工程已按照该等图纸实施并符合所有适用法律；向公司交付两 (2) 套显示所有建筑物立管和阀门的竣工图；向公司提供提交给纽约市建筑局的所有工程许可证结案文件副本；收到承包商出具的留置权解除文件；以及向公司交付经修订的使用证。\n\n从外部可见的改造/更换窗户/空调系统/穿墙式及中央系统\n\n1. 除非符合下列规定，否则不得更换任何窗户：\n\n(a) 在安装替换窗户之前，股东应促使股东的承包商向公司提供拟议替换窗户的样品，以及包括窗户延伸部分的平面图、剖面图和立面图、窗户型材和防水细节在内的安装细节，供公司审查和批准，以确保该等替换窗户在颜色、样式和尺寸方面符合建筑物现有窗户，并确保该等窗户符合对建筑物窗户更换具有管辖权的任何联邦、州或市部门或机构，包括纽约市地标委员会的要求。未经公司批准，不得安装任何替换窗户。\n\n(b) 如为合法进行该等窗户安装而须取得任何联邦、州或市部门或机构的同意、许可或批准，股东应首先取得该等同意、许可或批准，并在进行该等安装前向公司提供该等同意的副本。窗户的安装和更换，以及外部 HVAC 格栅的安装和更换，必须符合向纽约市地标委员会备案的建筑物总体方案。\n\n2. 窗户的安装必须符合下列规格：\n\n(a) 窗户必须按照所提交的规格安装，以适配开口。窗户的面漆颜色应与建筑物外部窗户相匹配。\n\n(b) 新框架必须安装于校正且垂直的砌体开口中，并固定于砌体上。\n\n(c) 新框架与砌体之间的外部周边必须采用手压胶枪施加丁基类密封胶进行填缝，并整齐刮平。\n\n(d) 窗户周围任何破损的灰泥必须修复，并抹平至坚硬光滑的表面。\n\n3. 应理解，股东安装的窗户将成为股东的责任，此后该等窗户的任何缺陷或故障均应由股东承担费用修复。因该安装造成的任何外部渗漏亦由股东负责。\n\n4. 新窗户必须符合 ANSI/AAMA/WWDA 101/I.S.2-97 所定义的 HC-40 性能等级或更高等级，并须具有 AAMA 认证标签。\n\n5. 承包商应维护施工现场安全，并对遵守所有规范施工现场安全的适用市级法规承担全部责任。\n\n6. 未经董事会批准，不得封堵窗户。此前被封堵的窗户必须恢复可进入状态并进行通风。\n\n7. 除安装穿墙式空调系统外，不得为任何目的穿透外部砖墙；该等系统仅在公司依其单独酌情权批准有关图纸和规格后方可安装。所有开口均应穿过砖砌体，不得穿过花岗岩、窗台或装饰性石材。所有该等开口均应居中设置于拟安装设备的房间窗户下方。\n\n8. 不得为任何目的穿透或改动外部石灰岩和砌体墙壁及其附属物。\n\n9. 除非符合下列规定，否则不得安装或更换任何空调系统：\n\n10. 在安装任何空调设备之前，股东应促使股东的承包商向公司提供该设备及其安装的建筑和工程细节，供公司审查和批准；该等细节应包括显示防水、套筒和支撑细节的平面图、剖面图、立面图以及设备规格。\n\n空调设备的所有外部格栅均应符合大楼要求，并且必须（在可能的情况下）居中设置于一扇窗户或一对窗户下方，且应与大楼立面齐平安装，由股东负责维护，并在其老化时予以更换。外部格栅、螺栓和螺钉应采用非腐蚀性材料，以防止腐蚀对大楼造成污渍。公司有权由股东承担费用，将外部格栅漆成统一颜色。任何设备均不得突出于大楼立面之外。所有外部格栅均应与砖砌体齐平。每台设备必须与大楼内其他设备对齐安装。自套管安装至设备／百叶窗安装期间，股东应在百叶窗区域安装临时防风雨面板和防水围护设施。\n\n11. 任何安装或更换的暖通空调设备均必须为与大楼标准运行方式相似、经公司审核建筑师或工程师批准的设备，并且必须采取充分防水措施，以防止水或蒸汽渗入大楼内其他公寓。所有暖通空调设备和空气处理机组均必须配备接水盘、水传感器、自动关闭装置和警报装置。\n\n12. 任何空调设备的安装均应牢固、防风雨和防水，并应以不会因噪音、振动、空气或水泄漏或其他原因造成任何干扰、妨害或损害的方式进行；该设备应在大楼外部和内部加装保温层，以防止热量损失。\n\n13. 对安装或更换空调设备所授予的任何许可，不得视为许可权或地役权；如股东违反本《公寓改造协议》的任何规定，或任何具有管辖权的州、联邦或市级部门或机构要求，公司可在任何时候通过书面通知撤销该许可。\n\n14. 股东确认，为便利股东可能安装的任何供暖或空调设备运行，大楼供暖系统或空调系统的运行不会发生任何改变。\n\n15. 在安装任何穿墙式空调系统之前，应取得所有具有管辖权的联邦、州和地方机构所要求的全部同意、批准和许可，包括 New York City Landmarks Commission（纽约市地标委员会）的同意、批准和许可，并提交给执行办公室。\n\n16. 任何中央空调的安装均应附有公司认可的声学工程师出具的报告，证明该设备不会产生过度噪音。股东同意采取一切预防措施，防止对其他股东造成任何“嘈杂”或干扰性状况。股东进一步同意，如公司根据股东投诉，在合理行使其裁量权后认定该设备已造成“嘈杂”或干扰性状况，股东应自负全部成本和费用，采取一切措施修理或移除（如有必要）该设备，以消除该干扰性状况。未经董事会明确批准，任何中央空调设备的任何部分均不得安装于大楼墙体或露台的外部。所有中央空调设备申请均必须向建筑局提交，并取得设备使用许可证。年度设备使用许可证或其续期副本，必须在可续期时提交给大楼管理员。\n\n17. 任何穿墙式空调系统的安装均应使用不留污渍且耐锈蚀的材料，并应为每一现有或新建空调设备在地面高度设置防水膜，按照大楼标准详图施工。该等所需的防水详图应列入改造工程范围，并在相关改造文件中显示。防水膜必须在董事会最终批准前经过测试并证明有效。除上述要求外，任何空气处理、空调或冷凝设备的安装还应包括一个带电气传感器的防水盘；如设备发生泄漏且排水装置失效，该传感器将自动关闭该设备。\n\n18. 大楼供暖系统的所有运行部件，包括蒸汽管膨胀节、蒸汽阀门和疏水阀，均应可通过尺寸适当的检修门进行检修和更换运行部件。\n\n19. 所有穿墙式空调设备均必须配备备用电加热装置，以应对锅炉关闭。如任何穿墙式空调设备的安装需要拆除散热器，则必须拆除支路蒸汽管道，并在立管处封堵。\n\n20. 如进行影响大楼外部的工程，股东应始终保护下方人行道。\n\n21. 股东及其继受人应负责维护和修理由股东安装的窗户和空调设备。\n\n22. 如拆除空调系统，砖石结构和／或石材工程必须恢复至与原有立面状况相符。\n\n给排水工程\n\n1. 所有给排水管道和部件工程必须由持有 New York City（纽约市）或州执照的主管水暖工完成；必须符合纽约市建筑规范的要求；并且必须符合并兼容大楼现有给排水系统。\n\n2. 所有新铜管均应与不同材料的管道适当隔离，以防止电偶腐蚀。给排水设施隐蔽时，仅可使用螺纹黄铜管或“K”型铜管。地板下方不得铺设热水或冷水管道。\n\n3. 如安装新的给排水器具或燃气管道系统，或改动任何现有给排水器具或燃气管道系统的任何部分，所有新的粗装配管以及位置便利的截止阀和止回阀均应易于检修。股东应负责确定并测试所有给排水截止阀的位置；从立管至新器具的所有支路给排水管道，包括热水和冷水截止阀，均必须由股东自负全部成本和费用予以更换。所有疏水阀均须由大楼建筑师确定位置、检查和批准，并由股东承担费用予以更换。未经公司事先批准，股东不得封闭或妨碍通往现有供热或水管、阀门或其他目前未被封闭设备的通道。未经公司明确书面同意，不得迁移任何给排水或供暖立管。无论是否获得批准，公司均有权为修理或其他任何目的，移除妨碍通往该等供热或水管、阀门和设备的任何障碍物；股东应支付公司为移除该等障碍物可能产生的任何费用，并承担恢复原状的全部费用。所有给排水阀门以及所有给排水和机械系统的运行部件，包括蒸汽管膨胀节和阀门，均必须设置检修门。\n\n4. 股东同意，股东及股东的权益继受人应对位于公寓内的给排水管线以及作为工程一部分安装的任何设备的日后维修和保养承担全部责任。股东进一步同意，如任何给排水泄漏或其他状况对相邻房产或大楼内其他公寓造成损害，而该等泄漏或损害源于工程或作为工程一部分安装的设备，则股东及股东的权益继受人应承担任何及全部费用。\n\n5. 所有给排水安装的细节，包括材料和安装方法，均应在工程的图纸和规范中注明，并须经公司批准；其设计应允许接近散热器和阀门。任何该等散热器罩均必须易于拆卸。\n\n6. 所有散热器罩的细节和安装方法均应载于股东的图纸和规范中，并应设计为允许接近散热器和阀门。任何该等散热器罩均必须易于拆卸。\n\n7. 水锤消除器应符合纽约市建筑规范，并应为密封圆筒式；不得使用空气柱。在墙体封闭之前，所有水锤消除器的安装均必须由公司或其咨询建筑师检查。\n\n8. 大楼内仅允许安装合法的重力冲水马桶。仅可安装 1.6 gallon 型号或 U.S. Department of Environmental Protection（美国环境保护部）指定的其他型号。\n\n9. 如工程涉及暴露和／或移动给排水管道，公司应检查已暴露的管道，并确定是否需要更换。如公司自行裁量认定该等管道需要更换，股东应自负全部成本和费用予以更换，无论该等暴露管道服务于公寓还是相邻公寓。若给排水系统保持大楼原始配置，公司有权由公司承担费用安装新的立管。无论如何，股东均必须自负全部成本和费用，按照下文详述及公司可能进一步指示的方式，更换所有支路管道和线路。\n\n10. 所有新浴室均必须遵守 Local Law 86 of 1996，即在所有浴缸和淋浴设施上安装防烫阀的规定。\n\n11. 通往冰箱的所有用于制冰机或冷水供应的管线，均应配置成回路并回接至阀门，然后通向排水口，以便在必要时不时冲洗该低流量供水管线。该等安装必须由大楼总工程师监督。\n\n12. 除非经董事会批准，所有供水管线均应穿过墙体，而非地板。禁止切割或在结构楼板或顶板内开槽。\n\n1. 公司保留要求对隐蔽风管工程进行烟雾测试的权利。\n\n2. 所有生活热水和冷水支管及混水阀均应设置止回阀，以防止回流和交叉连接；所有热水和冷水管道均应进行保温。\n\n3. 在下列情形下，所有支路管道（热水、冷水、废水和通气管道）均必须更换，并为热水和冷水支路设置可检修的支路阀门：\n\n（a）更换浴室瓷砖。\n\n（b）更换厨房橱柜。\n\n（c）迁移器具。\n\n（d）公寓内所有饰面和器具均被更换或重新配置的所有区域。\n\n4. 支管部分应尽可能靠近立管处拆除，以使废弃的短管或管段仍与大楼饮用水网络接触。\n\n5. 不得移动包括燃气、蒸汽、水和废水在内的立管和竖向管道。\n\n6. 更换支路管道应包括新的支路截止阀和软阀座、弹簧加载式止回阀，止回阀应设置在截止阀的紧后方。所有通往立管“T”形接头的热水连接均必须采用螺纹黄铜管至少设置三个（3）弯头回转，以适应膨胀。\n\n7. 如更换支路管道，则向公寓内器具供水的镀锌生活用水支管必须拆除，并以铜管或公司咨询建筑师批准的其他管道材料替换。支管部分应尽可能靠近立管处拆除，以确保不留任何与大楼饮用水网络接触的废弃短管或管段。\n\n8. 所有向水槽、洗手盆、坐便器和洗衣机供水的冷热支管均须设置空气室；或者，每个器具设置一个空气室。\n\n9. 如对供暖系统作出的任何改造未能提供充足供热，股东应负责补充供暖。\n\n10. 更换或移位散热器时，支路蒸汽管道应一直更换至立管和回水管。墙体及地板内的蒸汽供给管道应予以保温。\n\n电器设备安装\n\n1. 未经公司事先明确书面批准，股东同意不得促成或允许：(a) 安装按摩浴缸/涡流浴缸、桑拿房、蒸汽房、蒸汽淋浴房或类似设施（统称“涡流设施”）；或 (b) 扩大现有浴室或安装额外沐浴设施，从而导致“湿”区域位于下层公寓“干”区域的上方。在任何情况下，股东均不得安装非用于烹饪的窑炉或类似烤炉，亦不得实施任何为电气或管道工程或任何其他目的而需要切入该公寓地板或天花板板面的改造。股东理解并确认，对股东安装及运行涡流设施的任何批准均为附条件批准。股东同意，如在任何时候，公司依其合理判断认定大楼内任何公寓的任何股东因涡流设施而遭受任何损害、干扰或不便，包括但不限于涡流设施安装或运行所产生的噪音或渗漏影响，公司可依其全权酌定，要求股东：(i) 立即停止运行和使用涡流设施，及/或 (ii) 在三十 (30) 日内断开涡流设施装置。如股东未能按照紧接前一句所述停止运行或未能断开涡流设施装置，公司可进入该公寓（经电话通知后），并由股东承担费用和开支，使涡流设施停止运行及/或断开其装置。\n\n2. 未经公司明确书面同意，在任何情况下均不得扩大或重新配置现有浴室，或安装任何额外沐浴设施，从而导致“湿”区域位于下层公寓“干”区域的上方。\n\n3. 股东进一步明确同意，除非任何其他电器设备或装置已标注于随附提交给公司的图纸和规格说明中并经公司书面批准，否则不得促成或允许安装该等电器设备或装置；但前提是，如替代电器设备和装置与公司批准的图纸和规格说明中载明的电器设备和装置在种类、功能及基本规格方面相同，则可在公司批准的图纸和规格说明中所列电器设备和装置的位置安装该等替代电器设备和装置。应事先通知执行办公室该等替代安装。公司强烈鼓励安装具有最高能源之星效率评级的电器设备。\n\n4. 电器设备的设计和范围必须符合大楼现有的电力容量。\n\n5. 现有燃气灶具如予以更换，应更换为燃气灶具。\n\n6. 不得在该公寓内安装便携式洗碗机或洗衣机。所有电器设备必须直接接入大楼的管道系统，且安装必须经公司的咨询建筑师批准。所有电器设备均应适当通风。通风细节应载于股东的图纸中。如公司的咨询建筑师批准新增或额外通风口，该等通风口必须位于大楼非临街立面，并且必须与该列现有通风口的位置完全对应。所有通风口均必须嵌入砖砌体，并妥善防水及加装罩盖，以防止水分渗入和砌体劣化。厨房排风扇不得接入现有厨房排风竖井。禁止使用风量超过 900 CFM 的抽油烟机。\n\n7. 如就任何已安装电器设备或其他设备所产生的噪音、振动或排气热量提出投诉，股东同意立即采取措施消除投诉原因；如该情形未能以董事会满意的方式解决，则移除该等电器设备或设备。\n\n8. 在任何情况下，均不得允许任何股东在该公寓内安装食物垃圾处理器。\n\n电气\n\n1. 除非且直至拟议电气图纸已提交给公司建筑师及/或由该建筑师选择的咨询工程师并获其批准，不得实施任何将影响该公寓电力服务或迁移任何电气立管的改造工程。拟议电气图纸必须详尽，必须显示支路电路设计，必须包括改造前既有状况和拟议状况的完整负载容量分析，并应分别就照明及动力系统和空调系统提交。股东还应提供由持证电工、工程师或建筑师出具的信函，证明因该工程所需的电力负载不会超过该公寓现有电力容量，且不会对大楼的电力服务造成不利影响。电气图纸、立管图及工程计算应附有拟议电器设备和机械设备的产品目录页。如股东拟议的电力负载及要求超过该公寓现有电力容量，未经公司批准，不得向该公寓引入额外电力服务。\n\n2. 所有电气工程必须符合 NYC Electrical Code（纽约市电气规范）。股东的工程师应编制一份单独信函，记录拟议修改和增加的电力负载，并在公司最终批准之前提交给公用事业公司 Consolidated Edison（联合爱迪生公司）；该信函副本将提交给公司的咨询建筑师及/或由该建筑师选择的咨询电气工程师。\n\n3. 如公司依其全权酌定批准由股东独自承担费用和开支向大楼引入额外电力服务，股东同意就该等额外电力服务向公司一次性支付每单相安培 \\$300 的费用，另加本附加条款第 6 段所详述的专业费用。\n\n4. 任何重大电气改造或重新布线必须配备经公司批准的独立电气立管和独立计量装置。如安装新立管，则该立管所替换的所有既有线路均必须自地下室楼层至该公寓予以移除，且股东必须自费修复因该等移除造成的所有损害，包括但不限于所有抹灰和粉刷。\n\n5. 任何电力服务与大楼主电力服务的实际连接，必须由大楼电工负责办理，费用由股东承担。\n\n6. 任何拟议电力升级均将由公司的审查建筑师或工程师，或公司聘请的电气工程师，就可用服务、连接点及新导管敷设的房地产问题进行审查。股东同意承担与公司建筑师或工程师及/或由该建筑师或工程师选择的咨询工程师对股东拟议电气图纸进行任何审查、更正或修订相关的全部专业费用。\n\n7. 公司要求通向主要电源的导管或立管设置在大楼后部外侧。（大楼地下室内线路通向外部导管或立管的位置，将由大楼建筑师确定。）注：如安装新电线或导管须取得起重工执照，执行办公室将通知股东，且股东应作为租约项下的额外租金负责该等费用。\n\n8. 项目完成后，股东应向执行办公室提供 New York City Bureau of Electrical Control（纽约市电气控制局）的最终签署及结案文件。\n\n露台、屋顶或阳台的景观布置/家具及其他安装\n\n以下规章和指引应由拥有相邻露台区域或屋顶的公寓的所有股东遵守。\n\n1. 除非已书面申请并获得董事会书面批准，不得以任何方式对地板、墙壁、栏杆或门的任何表面进行涂漆、涂层及/或装饰。\n\n2. 除非已获得董事会书面批准，不得在露台地面上设置任何灌溉、浇水或照明系统。该等系统的维护，包括但不限于防风雨处理和绊倒危险防护，应由股东独自负责。任何灌溉或浇水系统不得向女儿墙溢水。\n\n3. 放置于露台地面上的所有花槽，均应符合 New York City Department of Buildings（纽约市建筑局）、New York City Building Code（纽约市建筑规范）规定的全部要求，以及 Housing Preservation and Development Agency（住房保护与发展机构）、Department of Code Enforcement（法规执行部门）发布的所有备忘录，并符合下述指引。\n\n4. 不得将任何物品附着于大楼外部，包括但不限于大楼的女儿墙和烟囱。\n\n露台花槽指引\n\n本文件作为关于设置于露台表面的填土种植容器的建造、放置和支撑的指引。在所有情况下，该等容器均须经本公司董事会审查和批准。\n\n提交要求\n\n每个露台均须在建造或安装花槽之前，提交一份比例为 1/4\" = 1'- 0\" 的图纸，标明花槽布置以及每个花槽的尺寸和计算重量。董事会将以书面形式批准每项图纸，或提供其不予批准的意见。编制及审查该等图纸的费用应由股东承担。\n\n获批准的露台图纸将成为公司档案的一部分，任何未经董事会批准的建造工程，将在大楼管理方提前两周通知股东后，由股东承担费用予以拆除。\n\n花槽重量\n\n任何露台表面上所有花槽的计算总重量，不得超过露台总面积每平方英尺五 (5) 磅（即，300 平方英尺的露台最多可放置 1500 磅花槽）。\n\n任何不含土壤和垫木的花槽的最大计算重量不得超过 25 磅，以使每个该等花槽足够轻，可由两人手工搬动。建造重量超过 25 磅的花槽应相应减少其土壤容量。\n\n任何花槽内饱和土壤的最大重量不得超过 350 磅。\n\n任何花槽的最大容积不得超过 7.7 立方英尺。可采用任何内部尺寸组合以达到该容积（例如，18\"高 x 20.5\"宽 x 36\"长）\n\n任何种植物的最大高度不得超过八（8）英尺，最大冠幅不得超过四（4）英尺。所有植物、灌木和树木的顶部不得高出阳台或露台平台表面超过72\"。所有植物、灌木和树木必须按必要频率修剪，以保持在允许的最大尺寸范围内（即高出阳台或露台平台表面72\"以内，且不得越过大厦边界）。\n\n花盆的放置\n\n花盆之间应留有间距，以避免在任何连续30平方英尺或以上的区域内造成每平方英尺超过30磅的重量。\n\n花盆不得放置在距任何墙体或女儿墙不足2\"处，也不得放置在距任何排水口或排水坡箱10\"以内。\n\n花盆不得阻碍通往或离开屋顶或露台任何区域的通行或出入，且不得阻碍任何法定疏散通道。\n\n花盆不得放置于任何女儿墙或栏杆结构上。\n\n不得允许任何攀援植物直接附着于大厦的任何表面。\n\n花盆不得放置在屋顶上任何未设有经大厦建筑师批准的铺装系统的区域。\n\n花盆不得直接放置于碎石压载层或直接放置于屋面防水膜上。\n\n花盆不得放置于或悬挂于任何抬高结构、顶层套房墙体或屋顶上，亦不得以任何方式附着于大厦外部。\n\n花盆覆盖面积不得超过平台表面积的10%。\n\n花盆的支撑\n\n花盆不得直接置于屋顶或平台表面。\n\n每个花盆下方应放置尺寸为6\" x 6\" x 2\"的石材或混凝土承重垫块；每两（2）平方英尺的底部面积应设置一个垫块。该等垫垫材料应以允许阳台或露台平台所有区域的地表径流水自由流向排水口的方式布置。\n\n花盆构造\n\n花盆应构造成可自行支撑。\n\n花盆应由耐腐木材品种、塑料或其他耐用轻质材料制成。应使用非铁质紧固件。\n\n花盆容器底部必须设有足够数量的排水孔，或者排水孔距底部不得高于2-1/2\"。\n\n土壤\n\n花盆应填充珍珠岩和表层土的混合物。该混合物在饱和时的重量不得超过每立方英尺65磅。由1/3珍珠岩和2/3表层土组成的混合物，在水分饱和时通常重量低于每立方英尺65磅。\n\n固定\n\n大型植物和灌木应使用拉线固定于其花盆，以防止其在强风中被连根拔起。珍珠岩和土壤混合物不如天然土壤密实，对根部的支撑较少。\n\n维护\n\n股东应完全负责维护所有植物材料和容器，并应保持所有平台、屋顶排水口和排水口盖板无树叶及可能堵塞排水口或排水管线的其他杂物。\n\n不得允许风吹来的土壤和/或杂物积聚于平台表面并成为种子萌发的介质。\n\n为使大厦能够进行正常和/或紧急维修或维护而移动任何由股东安装的种植物的责任及费用，应由该股东承担。\n\n除非经董事会特别批准，否则不得使用自动浇水系统。如获该等批准，股东必须与景观公司签订维护协议，确保在冬季妥善排水。协议必须更新并提交给管理部门。\n\n禁止使用室外地毯、木质平台或其他露台表面覆盖物。\n\n一般说明\n\n当屋顶荷载达到或接近本文件规定的荷载时，应由公司指定的工程师进行咨询，费用由股东承担，以审查方案，并在其认为必要时要求对方案作出修改。\n\n本规范未考虑由不可移动的家具、雕塑、喷泉、凉亭或其他结构所施加的特殊荷载。所有该等装置均须经董事会审查和批准。\n\n家具及其他装置\n\n1．应尽一切努力将露台装置的重量分散于尽可能大的表面积上，以避免压缩或移动下方的防水膜，从而可能导致渗漏。重量集中亦可能导致大厦结构弯曲、砌体移位及内部灰泥损坏。\n\n2．任何作为永久固定装置安装于屋顶或露台的家具，均应将图纸提交给纽约市建筑局（New York City Department of Buildings）及董事会，并获得其批准。\n\n3．家具的放置不得阻碍任何法定疏散通道。\n\n4．可直接进入露台或屋顶区域的公寓股东负责维护平台表面和排水口。所有排水口盖板和平台表面必须保持无树叶、植物残渣及可能堵塞排水口盖板或排水管线的其他杂物。\n\n5．不得允许风吹来的土壤和/或杂物积聚于平台表面并成为风吹来种子萌发的介质。\n\n6．任何物品不得置于露台或屋顶女儿墙顶部和/或由栏杆或檐底区域支撑。\n\n7．露台或屋顶区域不得用于存放自行车、手推车、雪地轮胎、家具、柴火等。\n\n8．放置于平台表面的所有装置应由不会生锈的材料制成，以防止大厦外立面染色。\n\n9．所有装置应具有足够重量，或固定于露台，以防止其被风吹过表面，并可能吹落露台或屋顶边缘。\n\n10．不得在露台或屋顶上放置遮阳伞。\n\n11．未经董事会事先批准，不得安装遮阳篷。\n\n12．不得在露台或屋顶上建造木栅栏和棚屋。屋顶或露台上的围栏或隔断应遵守所有相关建筑规范和政府规定，并须经董事会批准，且：\n\n（e）应由不可燃材料建造；\n\n（f）其高度和设计应适当，并应妥善固定，以免损害露台、屋顶或女儿墙的结构完整性；\n\n首字母缩写 \\_\\_\\_\\_\\_\n\n（g）应以不损害其防水完整性，亦不损害出租人承包商就防水所作任何保证的方式附着于大厦；\n\n（h）应以在结构上令出租人满意的方式附着；以及\n\n（i）不得造成过度振动。\n\n13．为遵守当地消防法规并防止火灾，露台或屋顶上均不得使用燃气或木炭烤架，且不得进行烹饪或烧烤。\n\n14．露台上的所有电气设备和布线必须符合纽约市建筑规范，并且必须获准用于室外。所有电气安装必须由持证电工进行，并经董事会批准。\n\n15．不得封闭任何屋顶区域。\n\n16．股东有责任根据大厦维护需要移动所有装置和结构，费用完全由股东承担。如股东未能或拒绝移除该等装置或结构，公司保留移除或重新安置该等结构的权利，相关工作费用完全由股东承担，并根据租约作为额外租金向股东收取。\n\n17．股东应独自负责因其行为、未能妥善维护露台或屋顶区域，和/或因放置于露台或屋顶上的花盆、物品或装置的存在而直接或间接造成的任何损害所引起的维修费用。\n\n18．不得在露台上铺设木质地板。露台上的地板不得妨碍排水，和/或导致栏杆和/或女儿墙高度低于完工平台表面以上3'-6\"。\n\n19．公司保留通过向股东发出书面通知而撤回在露台或屋顶区域放置任何花盆或物品的许可的权利，股东应遵守租约及届时有效的任何有关露台或屋顶的住户规则（视情况而定）。\n\n20．股东须允许执行办公室和/或公司的咨询建筑师定期监督所有种植物和/或其他装置是否遵守本准则。公司亦可聘请专业工程师服务，以确定其适当性，且公司的决定为最终决定。与该等评估相关的任何费用应完全由股东承担。\n\n21．公司保留自行酌情根据情况修改本准则的权利。\n\n首字母缩写 \\_\\_\\_\\_\\_\n\n22．不得安装遮阳篷。\n\n23．安装种植和浇水系统须与景观公司签订维护协议，确保在冬季妥善排水。协议必须更新并提交给管理部门。\n\n24．未经董事会事先批准，不得在露台或屋顶安装室外照明。\n\n25．任何屋顶或露台均不得使用音响系统、立体声扬声器或播放大声音乐。\n\n公寓改建协议补充协议\n\n本补充协议（以下简称“补充协议”）构成并纳入日期为2023年\\_\\_\\_\\_\\_的公寓改建协议（以下简称“公寓改建协议”），该协议由 The Sherry-Netherland, Inc.（雪莉-内德兰公司，以下简称“公司”）与 Genever Holdings LLC（吉尼弗控股有限责任公司，以下简称“股东”）就位于纽约州纽约市第五大道781号1801号公寓订立。如本补充协议的任何条款与公寓改建协议的条款发生冲突，应以本补充协议的条款为准。\n\n1．管辖权。尽管公寓改建协议中有任何相反规定，因本补充协议和公寓改建协议引起或以任何方式与其有关的任何诉讼或程序，仅可在 United States Bankruptcy Court for the District of Connecticut（康涅狄格联邦地区破产法院，以下简称“破产法院”）提起。\n\n2．费用和保证金。尽管公寓改建协议中有任何相反规定：\n\na．公司免除公寓改建协议第3条规定的建筑师费用；\n\nb．公司免除与根据公寓改建协议第14(a)条完成工作有关的所有费用；\n\nc．公司免除公寓改建协议第14(b)条规定的设施使用费；\n\nd．公寓改建协议第28条规定的可退还保证金金额应为\\$50,000；以及\n\ne．由于拟议工程无需修改后的使用许可证，故根据公寓改建协议第28条无需另行缴纳\\$15,000保证金。\n\n3．破产法院批准。股东在本补充协议和公寓改建协议项下的义务须经破产法院批准。\n\n4．裁定条款。本补充协议和公寓改建协议须遵守破产法院批准本补充协议和公寓改建协议的裁定条款，该裁定的拟议格式基本上如随附的附表1所示。\n\nTHE SHERRY-NETHERLAND, INC.\n\n签署人：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 姓名： 职务：\n\nGENEVER HOLDINGS LLC\n\n签署人：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 姓名： 职务：\n\n附表1\n\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION\n\n------------------------------------------------------ x\n\n关于： ：\n： 第11章\nHO WAN KWOK（郭文贵）等人，1 ：\n： 案件编号 22-50073 (JAM)\n债务人。 ：\n：\n： （联合管理）\n\n根据《破产法典》第363(b)条授权 GENEVER HOLDINGS LLC（杰尼弗控股有限责任公司）签订并履行与 SHERRY NETHERLAND, INC.（雪莉内德兰公司）的改造协议的命令\n\n兹经债务人 Genever Holdings LLC（“Genever US”）提出动议（“本动议”）2，请求作出命令（“本命令”），授权 Genever US 与 Sherry Netherland 签订改造协议，详见本动议；本院审阅了本动议，并考虑了律师在本院于 \\_\\_\\_\\_\\_, 2023 举行的听证会（“听证会”）上所作的陈述；本院认定：(a) 本院根据 28 U.S.C. §§ 157 and 1334 对本事项具有管辖权；(b) 根据 28 U.S.C. § 157(b)，本事项属于核心程序；(c) 根据 28 U.S.C. §§ 1408 and 1409，审理地点适当；以及 (d) 已就本动议发出充分且适当的通知；无需其他或进一步通知；本院已认定并裁定，本动议所列法律和事实依据构成授予本命令所载救济的正当理由；并且，本动议所请求的救济，经本命令条款修改后，符合 Genever US 破产财产及债权人的最佳利益；经本院此前进行的所有程序，并经适当审议且有充分理由，特此\n\n1 本第11章案件中的债务人为 Ho Wan Kwok（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及其他众多别名）（税务识别号后四位：9595）、Genever Holdings LLC（税务识别号后四位：8202）及 Genever Holdings Corporation（杰尼弗控股公司）。受托人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（保罗·黑斯廷斯律师事务所）, 200 Park Avenue, New York, NY 10166，转交 Luc A. Despins（卢克·A·德斯平斯），作为 Ho Wan Kwok 遗产的受托人（仅为通知和通信之目的）。\n\n2 本文所用但未另行定义的首字母大写术语，具有本动议中规定的含义。\n案件 22-50073 文档 2313 提交日期 11/08/23 登记日期 11/08/23 15:56:48 第 115 页，共 117 页\n\n命令如下：\n\n1. 本动议按本命令所载内容获准。\n\n2. 授权 Genever US 与 Sherry Netherland 签订并履行改造协议，包括支付费用和开支。\n\n3. 受偿方有权在改造协议条款所要求的范围内获得赔偿，但该协议应按照本命令予以修改；但条件是，受偿方提出的任何赔偿请求均应按本命令规定接受本院审查，以确保支付该等赔偿符合经本命令修改的改造协议条款，并且就寻求赔偿所涉及的诉讼或和解情形而言属合理；但无论如何，受偿方在重大过失或故意不当行为的情况下均无权获得赔偿。\n\n4. 如在以下两者中较早者之前：(i) 本第11章案件中确认第11章计划的命令作出之时（该命令已成为不再受上诉约束的终局命令），或 (ii) 结案本第11章案件的命令作出之时，任何受偿方认为其有权因 Genever US 根据经本命令修改的改造协议所负赔偿义务而向其支付任何款项，则该受偿方必须就此向本院提交申请，且 Genever US 不得在本院作出批准付款的命令之前向受偿方支付任何该等款项。对于任何受偿方根据\n案件 22-50073 文档 2313 提交日期 11/08/23 登记日期 11/08/23 15:56:48 第 116 页，共 117 页\n\n经本命令修改的改造协议，就支付赔偿请求而寻求偿还的律师费和开支，律师费和开支的发票及相应工时记录应附入该受偿方向本院提交的申请中，且该等发票和工时记录应受经修订指引约束，并依照《破产法典》第330和331条接受本院批准，而不论该等律师是否依据《破产法典》第327条受聘，亦不论该等律师的服务是否符合《破产法典》第330(a)(3)(C)条。本款仅旨在规定本院对受偿方提出的赔偿、分担或偿还费用及开支请求具有管辖权的期间，并非限制向受偿方提供赔偿义务期限的条款。所有利害关系方均保留对受偿方提出的任何赔偿、分担或偿还请求提出异议的权利。\n\n5. 除受偿方就经本院批准的赔偿付款提出请求所产生的费用、支出及其他收费外，受偿方无权要求 Genever US 偿还其律师的任何费用、支出及其他收费。\n\n6. 尽管《破产程序规则》6004(h)或地方法规的任何适用规定另有规定，本命令在作出后不应中止，而应在作出后立即生效并可执行，且《破产程序规则》6004(h)规定的14日期限特此明确豁免且不适用。\n\n7. 授权并赋予 Genever US 采取一切必要行动，以实现本命令所授予的救济。\n案件 22-50073 文档 2313 提交日期 11/08/23 登记日期 11/08/23 15:56:48 第 117 页，共 117 页\n\n8. 本命令的条款和条件应于其作出后立即生效并可执行。\n\n9. 本院对因实施、解释及执行本命令而产生或与之相关的所有事项保留专属管辖权。","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Despins","Paul Hastings","Miles Guo","CIPA"],"ecf_references":[],"word_count":40831,"status":"published","published_at":"2023-11-08 00:00:00","created_at":"2023-11-08","updated_at":"2026-08-23 23:27:50"}