{"id":"court_ctb_247_2","court":"CTB","case_no":"22-50073","doc_number":247,"sub_number":2,"doc_type":"ORDER","filed_date":"2022-04-22","title":"B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 247-2 Filed 04/22/22 Entered 04/22/22 1","summary_zh":null,"summary_en":null,"body_en":"B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 247-2 Filed 04/22/22 Entered 04/22/22 16:24:33 Page 1 of 11\n\n# UNITED STATES BANKRUPTCY COURT\n\nDistrict of Connecticut\n\n22-50073 (JAM) In re Ho Wan Kwok Case No.\n\ncCCTConnectic CoCConnecticut\n\nDebtor\n\nChapter 11\n\n# **SUBPOENA FOR RULE 2004 EXAMINATION**\n\nHK International Funds Investment (USA) Limited, LLC., by its Officer/Director/Managing Agent, Mei Guo To:\n\n*(Name of person to whom the subpoena is directed)*\n\nX *Testimony:* **YOU ARE COMMANDED** to appear at the time, date, and place set forth below to testify at an examination under Rule 2004, Federal Rules of Bankruptcy Procedure. A copy of the court order authorizing the examination is attached.\n\n| PLACE                      | DATE AND TIME            |\n|----------------------------|--------------------------|\n| Pullman & Comley, LLC      | May , 2022 at 10:00 a.m. |\n| 850 Main Street, 8th Floor |                          |\n| Bridgeport, CT 06604       |                          |\n|                            |                          |\n\nThe examination will be recorded by this method: Stenographic\n\nX *Production:* You, or your representatives, must produce the following documents, electronically stored information, or objects, and must permit inspection, copying, testing, or sampling of the material on or before May \\_\\_\\_, 2022 per Court Order (ECF No. 16) :\n\nSee attached Request for Production of Documents\n\nThe following provisions of Fed. R. Civ. P. 45, made applicable in bankruptcy cases by Fed. R. Bankr. P. 9016, are attached – Rule 45(c), relating to the place of compliance; Rule 45(d), relating to your protection as a person subject to a subpoena; and Rule 45(e) and 45(g), relating to your duty to respond to this subpoena and the potential consequences of not doing so.\n\nDate:\n\nCLERK OF COURT\n\nOR\n\n*Signature of Clerk or Deputy Clerk Attorney's signature*\n\nThe name, address, email address, and telephone number of the attorney representing *(name of party)* , who issues or requests this subpoena, are:\n\n### **Notice to the person who issues or requests this subpoena**\n\nIf this subpoena commands the production of documents, electronically stored information, or tangible things, or the inspection of premises before trial, a notice and a copy of this subpoena must be served on each party before it is served on the person to whom it is directed. Fed. R. Civ. P. 45(a)(4).\n\n| PROOF OF SERVICE<br>(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)                                                                                                                                                                                                                                                |                                 |\n|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------|\n| I received this subpoena for (name of individual and title, if any):<br>on (date)                                                                                                                                                                                                                                                                           |                                 |\n| I served the subpoena by delivering a copy to the named person as follows:                                                                                                                                                                                                                                                                                  |                                 |\n| □<br>on (date)                                                                                                                                                                                                                                                                                                                                              | ; or                            |\n| I returned the subpoena unexecuted because:                                                                                                                                                                                                                                                                                                                 |                                 |\n| Unless the subpoena was issued on behalf of the United States, or one of its officers or agents, I have also tendered to the<br>witness the fees for one day's attendance, and the mileage allowed by law, in the amount of \\$<br>□<br>My fees are \\$<br>for travel and \\$<br>I declare under penalty of perjury that this information is true and correct. | for services, for a total of \\$ |\n| Date:                                                                                                                                                                                                                                                                                                                                                       |                                 |\n|                                                                                                                                                                                                                                                                                                                                                             | Server's signature              |\n|                                                                                                                                                                                                                                                                                                                                                             | Printed name and title          |\n|                                                                                                                                                                                                                                                                                                                                                             | Server's address                |\n\nAdditional information concerning attempted service, etc.:\n\n### **Federal Rule of Civil Procedure 45(c), (d), (e), and (g) (Effective 12/1/13) (made applicable in bankruptcy cases by Rule 9016, Federal Rules of Bankruptcy Procedure)**\n\n*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a study that was not requested by a party.\n\n(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or\n\n(B) within the state where the person resides, is employed, or regularly conditions if the serving party: transacts business in person, if the person (i) shows a substantial need for the testimony or material that cannot\n\n(ii) is commanded to attend a trial and would not incur substantial (ii) ensures that the subpoenaed person will be reasonably expense. compensated.\n\n### *(2) For Other Discovery.* A subpoena may command: **(e) Duties in Responding to a Subpoena.**\n\n(A) production of documents, or electronically stored information, or things at a place within 100 miles of where the person resides, is employed, *(1) Producing Documents or Electronically Stored Information.* These or regularly transacts business in person; and procedures apply to producing documents or electronically stored\n\n(B) inspection of premises, at the premises to be inspected. information:\n\nattorney responsible for issuing and serving a subpoena must take reasonable steps to avoid imposing undue burden or expense on a person subject to the subpoena. The court for the district where compliance is *Specified.* If a subpoena does not specify a form for producing\n\na form or forms in which it is ordinarily maintained or in a reasonably which may include lost earnings and reasonable attorney's fees — on a party or attorney who fails to comply. usable form or forms.\n\ndocuments, electronically stored information, or tangible things, or to permit the inspection of premises, need not appear in person at the place of production or inspection unless also commanded to appear for a deposition, hearing, or trial.\n\n*(B) Objections*. A person commanded to produce documents or tangible things or to permit inspection may serve on the party or attorney designated in the subpoena a written objection to inspecting, copying, testing or sampling any or all of the materials or to inspecting the premises — or to producing electronically stored information in the form or forms requested. The objection must be served before the earlier of the time specified for compliance or 14 days after the subpoena is served. If an objection is made, *(2) Claiming Privilege or Protection.* the following rules apply: *(A) Information Withheld.* A person withholding subpoenaed\n\n(i) At any time, on notice to the commanded person, the serving party may move the court for the district where compliance is required for an order compelling production or inspection. (i) expressly make the claim; and\n\n(ii) These acts may be required only as directed in the order, and the order must protect a person who is neither a party nor a party's officer from significant expense resulting from compliance.\n\n### *(3) Quashing or Modifying a Subpoena.*\n\n*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:\n\n(i) fails to allow a reasonable time to comply;\n\n(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);\n\n(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or\n\n(iv) subjects a person to undue burden.\n\n*(B) When Permitted.* To protect a person subject to or affected by a subpoena, the court for the district where compliance is required may, on motion, quash or modify the subpoena if it requires: ...\n\n(i) disclosing a trade secret or other confidential research, development, or commercial information; or\n\n**(c) Place of compliance.** (ii) disclosing an unretained expert's opinion or information that does not describe specific occurrences in dispute and results from the expert's\n\nperson to attend a trial, hearing, or deposition only as follows: *(C) Specifying Conditions as an Alternative.* In the circumstances described in Rule 45(d)(3)(B), the court may, instead of quashing or modifying a subpoena, order appearance or production under specified\n\n(i) is a party or a party's officer; or be otherwise met without undue hardship; and\n\n**(d) Protecting a Person Subject to a Subpoena; Enforcement.** *(A) Documents.* A person responding to a subpoena to produce documents must produce them as they are kept in the ordinary course of business or must organize and label them to correspond to the categories in *(1) Avoiding Undue Burden or Expense; Sanctions.* A party or the demand.\n\n*(B) Form for Producing Electronically Stored Information Not* required must enforce this duty and impose an appropriate sanction electronically stored information, the person responding must produce it in\n\n*(C) Electronically Stored Information Produced in Only One Form.* The person responding need not produce the same electronically stored *(2) Command to Produce Materials or Permit Inspection.* information in more than one form. *(A) Appearance Not Required.* A person commanded to produce\n\n*(D) Inaccessible Electronically Stored Information.* The person responding need not provide discovery of electronically stored information from sources that the person identifies as not reasonably accessible because of undue burden or cost. On motion to compel discovery or for a protective order, the person responding must show that the information is not reasonably accessible because of undue burden or cost. If that showing is made, the court may nonetheless order discovery from such sources if the requesting party shows good cause, considering the limitations of Rule 26(b)(2)(C). The court may specify conditions for the discovery.\n\ninformation under a claim that it is privileged or subject to protection as trial-preparation material must:\n\n(ii) describe the nature of the withheld documents, communications, or tangible things in a manner that, without revealing information itself privileged or protected, will enable the parties to assess the claim.\n\n*(B) Information Produced.* If information produced in response to a subpoena is subject to a claim of privilege or of protection as trialpreparation material, the person making the claim may notify any party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has; must not use or disclose the information until the claim is resolved; must take reasonable steps to retrieve the information if the party disclosed it before being notified; and may promptly present the information under seal to the court for the district where compliance is required for a determination of the claim. The person who produced the information must preserve the information until the claim is resolved.\n\n**(g) Contempt.** The court for the district where compliance is required – and also, after a motion is transferred, the issuing court – may hold in contempt a person who, having been served, fails without adequate excuse to obey the subpoena or an order related to it.\n\nFor access to subpoena materials, see Fed. R. Civ. P. 45(a) Committee Note (2013)\n\n### **REQUESTS FOR PRODUCTION OF DOCUMENTS**\n\n### **I. INSTRUCTIONS**\n\nUnless otherwise indicated, the requests for documents set forth under the heading, \"Documents to be Produced for Inspection and Copying\" (the \"Document Requests\"), should be construed as calling for the production of all documents responsive hereto regardless of when such documents were created, and shall include all responsive documents generated through the date of production of documents. The Document Requests also shall be construed to require the production of all responsive documents regardless of whether such documents are deemed to be drafts, and regardless of whether such documents previously were disseminated to anyone.\n\nThe documents responsive to the Document Requests are to be produced as they are kept in the ordinary course of business and are to be labeled in such a way as to show which files and offices they came from, or they must be labelled to correspond to the categories in the Document Requests.\n\nIn producing documents in connection with the Document Requests, each document to be produced should include all attachments and all enclosures referred to in the documents or originally attached or enclosed with the document requested or to be produced.\n\nThis request for documents includes documents in possession of your agents, representatives, experts, persons or entities over which you have control for purposes of access to responsive documents, persons consulted concerning any factual matters or matters of opinion, and, unless privileged, your attorneys.\n\nThe Document Requests are continuing in nature and you are hereby instructed to make supplemental production if you obtain further or different information.\n\n**Unless otherwise expressly indicated, the period of time covered by the Document Requests is the period from January 1, 2014 to the date responses to the Document Requests are due.**\n\n## **DEFINITIONS**\n\nThe definitions supplied by D. Conn. L. Civ. R. 26(c) and the rules of construction supplied by D. Conn. L. Civ. R. 26(d), as incorporated by D. Conn. Bankr. L.R. 2004-1(a), shall apply to the Document Requests. In addition, the following terms used in these Document Requests shall have the following meanings:\n\n1. \"Debtor\" means Ho Wan Kwok, also known as Guo Wengui; Miles Guo and/or Miles Kwok, whose chapter 11 case is pending under Case No. 22-50073 (JAM).\n\n2. \"Golden Spring\" means Golden Spring (New York) Ltd.\n\n3. \"HK USA\" means HK International Funds Investment (USA) Limited, LLC.\n\n4. \"Lady May\" means the yacht whose legal title holder is claimed by the Debtor to be HK USA.\n\n5. \"You\" or \"Your\" refers to HK USA.\n\n### **LOST OR DESTROYED DOCUMENTS**\n\nIf any document or tangible thing identified herein was known at the time of responding to these Document Requests to have been in existence at one time, and has been lost, discarded, or destroyed, identify such document or thing as completely as possible, providing as much of the following information as possible:\n\n- 1) the type of document or thing;\n- 2) its date;\n- 3) the date or approximate date it was lost, discarded or destroyed;\n- 4) the circumstances and manner in which it was lost, discarded or destroyed;\n- 5) the reason(s) for disposing of the document (if discarded or destroyed);\n- 6) the identity of all persons authorized or having knowledge of the circumstances surrounding the disposal of the document or thing;\n- 7) the identity of the person(s) who lost, discarded or destroyed the document or thing; and\n- 8) the identity of all persons having knowledge of the contents thereof.\n\n## **PRIVILEGED OR PROPRIETARY MATTER**\n\nIf it is claimed that a response to any Document Request calls for information or an identification of documents that are claimed to be privileged, work product or otherwise protected from disclosure, and such privilege or work product is asserted, (a) identify the nature of the privilege (including work product) that is being claimed; and (b) prepare the required privilege log in accordance with D. Conn. L. Civ. R. 26(e). For any part of a Document Request as to which a claim of privilege or work product is not made, responsive documents should be provided in full.\n\n# **DOCUMENTS TO BE PRODUCED**\n\nHK USA is to produce the following documents:\n\n1. Documents consisting of HK USA's certificate of formation and all amendments thereto.\n\n2. Documents consisting of HK USA's limited liability operating agreement and all amendments thereto.\n\n3. Documents evidencing any members meetings or corporate action of HK USA.\n\n4. Documents identifying the members and managers of HK USA and any transfers of the membership interest.\n\n5. Documents identifying the management and any board or advisors of HK USA.\n\n6. All documents concerning any and all capital contributions, loans or advances made to HK USA from its inception to the present.\n\n7. All documents evidencing the identity, acquisition and disposition of HK USA's assets.\n\n8. All documents reflecting the source of funds used for the acquisition of HK USA's assets.\n\n9. All documents concerning HK USA's acquisition of the Certificate of British Registry for the Lady May.\n\n-4-\n\n10. All documents concerning the purchase and/or construction of the Lady May.\n\n11. All documents evidencing all prior registered owners of, or holders of title to, the Lady May.\n\n12. All documents concerning any and all sales or other transactions, including transfers of certificates or title documents, involving the Lady May.\n\n13. All documents concerning the source of funding for any and all purchases of, or transfers of title to, the Lady May.\n\n14. All documents evidencing the source of all monies received or revenues derived by HK USA.\n\n15. All financial statements prepared by or for HK USA from its inception to the present, including balance sheets, profit and loss statements and statements of cash flow.\n\n16. All federal and state tax returns prepared by or for HK USA for the years covering the year in which it was formed to the present, including all supporting documentation and issued W-2's and 1099's.\n\n17. All documents concerning the purpose for which HK USA was formed.\n\n18. All documents reflecting any communications by and between HK USA or any of its representatives, including Mei Guo, on the one hand, and the Debtor or any of his representatives on the other, concerning HK USA's business, financial affairs, acquisition of assets, or any loans or advances made to the Debtor.\n\n-5-\n\n19. All documents reflecting any communications by and between HK USA or any of its representatives, including Mei Guo, on the one hand, and the Debtor or any of his representatives on the other, concerning the Lady May.\n\n20. All documents concerning any transfers of money or other property HK USA has received from the Debtor either directly or indirectly.\n\n21. All documents concerning the existence and identity of any employees, agents, contractor and professionals of HK USA.\n\n22. All documents concerning the funding for the purchase or acquisition of the Lady May or for its maintenance, preservation, repairs, or storage, including the retention of HK USA's counsel and the \\$37 million being held by HK USA's counsel or an escrow agent.\n\n23. All documents concerning the Debtor's involvement or participation in the formation of HK USA or any aspect of its business, financial affairs or acquisition or preservation of its assets.\n\n24. All contracts to which HK USA is a party.\n\n25. Documents related to insurance policies to which HK USA is an insured, including any riders.\n\n26. Documents with Yachtzoo SARP or any other Yachtzoo entity, including contracts, invoices, payments and communications and records related to the Lady May's financial administration, technical support and management, safety management, and human resources services for the Lady May's crew members.\n\n-6-\n\n27. Documents reflecting any communications by and between HK USA or any of its representatives, including Mei Guo, on the one hand, and Golden Spring (New York) Ltd. or any of its representatives, including Yan Ping Wang and Qiang Guo, on the other, concerning HK USA, the Lady May, or the Debtor.\n\n28. Documents reflecting any use or request for use of the Lady May by the Debtor.\n\n29. Documents reflecting the passengers on the Lady May, including any guests.\n\n30. Documents concerning the Debtor's Proposed Chapter 11 Plan, including all communications concerning the use of the Lady May in the Proposed Plan of Reorganization.\n\n31. Documents with Quantum Marine Stabilizers, including communications, invoices, payment and agreements.\n\n32. Documents concerning MB92 La Ciotat SAS (\"MB92\"), , including communications, invoices, payment and agreements.\n\n33. Documents concerning the location and itinerary of the Lady May, including any transfers of the Lady May on freighters or other vessels.\n\n34. Documents concerning the Class Society and Flag State for the Lady May.\n\n35. Documents concerning Qu Guo Jiao, her interest in HK USA or the Lady May, and her transfer of said interest.\n\n36. Documents concerning Hong Kong Investments Limited, including its corporate documents, the acquisition, construction and funding of purchase of the Lady May, the\n\n-7-\n\nCase 22-50073 Doc 247-2 Filed 04/22/22 Entered 04/22/22 16:24:33 Page 11 of 11\n\nservice, maintenance and repair of the Lady May (and funding associated therewith) and the transfer of an interest in the Lady May.\n\n37. Documents concerning Russel Stockil and the Lady May's captains, including Captains Heaslop and Ivanov.\n\n38. Documents concerning any mortgages, liens, or encumbrances on the Lady May.\n\n39. Documents concerning the value of HK USA's assets, including the Lady May.","body_zh":"B2540（表格 2540 – 依第 2004 条质询传票）（12/15） 案件 22-50073 文件 247-2 提交于 04/22/22 录入于 04/22/22 16:24:33 第 1 页，共 11 页\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\nDistrict of Connecticut（康涅狄格区）\n\n关于：Ho Wan Kwok（郭文贵） 案号：22-50073 (JAM)\n\n康涅狄格\n\n债务人\n\n第 11 章\n依第 2004 条质询传票\n\n致：HK International Funds Investment (USA) Limited, LLC.（香港国际基金投资（美国）有限公司），通过其高级管理人员/董事/执行代理人 Mei Guo（郭美）\n\n（传票所指向的人员姓名）\n\nX 证言：命令你在下文载明的时间、日期和地点出庭，在依据《Federal Rules of Bankruptcy Procedure（联邦破产诉讼程序规则）》第 2004 条进行的质询中作证。随附授权进行该质询的法院命令副本。\n\n地点 日期与时间\n\nPullman & Comley, LLC 2022 年 5 月 日上午 10:00\n850 Main Street, 8th Floor\nBridgeport, CT 06604\n\n质询将采用以下方式记录：速记\n\nX 提供材料：你或你的代表必须在 2022 年 5 月 日或之前，依据法院命令（ECF No. 16）提供以下文件、电子存储信息或物品，并必须允许对材料进行检查、复制、测试或抽样：\n\n参见随附的《提供文件请求》\n\n随附依据《Fed. R. Bankr. P.（联邦破产诉讼程序规则）》第 9016 条适用于破产案件的《Fed. R. Civ. P.（联邦民事诉讼程序规则）》第 45 条之以下条款——涉及履行地点的第 45(c) 条；涉及对受传票约束者保护的第 45(d) 条；以及涉及你对本传票之回应义务及不予回应之潜在后果的第 45(e) 条与第 45(g) 条。\n\n日期：\n\n法院书记官\n\n或\n\n书记官或副书记官签名 律师签名\n\n签发或申请本传票之代表（当事人姓名）的律师姓名、地址、电子邮件地址及电话号码如下：\n致签发或申请本传票之人的须知\n\n若本传票命令在审判前提供文件、电子存储信息或有形物品，或允许检查场所，则必须在将本传票送达传票所指向的人员之前，将通知及本传票副本送达每一方当事人。《Fed. R. Civ. P.》45(a)(4)。\n\n送达证明\n（除非《Fed. R. Civ. P.》第 45 条要求，否则本部分不应提交给法院。）\n\n我收到了针对（个人姓名及职务，如有）的本传票：\n于（日期）\n我通过向指定人员交付副本送达了传票，具体如下：\n□\n于（日期） ；或\n我将传票退回且未予执行，原因为：\n除非传票是代表美国或其官员或代理人签发的，否则我还向证人支付了一天的出庭费以及法律允许的里程费，金额为 $\n□\n我的费用为：差旅费 $\n我谨在伪证罪的严厉制裁下声明，此信息真实且正确。 以及服务费 $ ，合计 $\n日期：\n送达人签名\n正楷姓名及职务\n送达人地址\n\n有关尝试送达等的补充信息：\n《Federal Rule of Civil Procedure（联邦民事诉讼程序规则）》第 45 条 (c)、(d)、(e) 及 (g)（自 12/1/13 起生效）（依据《Federal Rules of Bankruptcy Procedure（联邦破产诉讼程序规则）》第 9016 条适用于破产案件）\n\n(c) 履行地点。\n\n(1) 用于审判、听证或录供作证。传票仅得在以下情况下命令人员出席审判、听证或录供作证：\n\n(A) 在该人居住、受雇或定期亲自处理业务的地点 100 英里以内；或\n\n(B) 在该人居住、受雇或定期亲自处理业务的州内，前提是该人：\n(i) 为当事人或当事人的高级管理人员；或\n(ii) 被命令出席审判且不会产生重大开支。\n\n(2) 用于其他证据开示。传票可命令：\n\n(A) 在该人居住、受雇或定期亲自处理业务的地点 100 英里以内的地点提供文件、电子存储信息或物品；以及\n\n(B) 在待检查的场所检查该场所。\n\n(d) 保护受传票约束的人员；执行。\n\n(1) 避免不当负担或开支；制裁。负责签发和送达传票的当事人或律师必须采取合理措施，避免对受传票约束的人员施加不当负担或开支。要求履行所在区的法院必须执行本项义务，并对未履行的当事人或律师施加适当制裁——其中可能包括收入损失和合理的律师费。\n\n(2) 命令提供材料或允许检查。\n\n(A) 无需亲自出庭。被命令提供文件、电子存储信息或有形物品，或允许检查场所的人员，无需亲自前往提供或检查地点，除非同时被命令出席录供作证、听证或审判。\n\n(B) 异议。被命令提供文件或有形物品或允许检查的人员，可向传票中指定的当事人或律师送达书面异议，反对检查、复制、测试或抽样任何或全部材料，或反对检查场所——或反对以所请求的一种或多种形式提供电子存储信息。该异议必须在指定的履行时间或送达传票后 14 天（以较早者为准）之前送达。如果提出异议，适用以下规则：\n\n(i) 在任何时候，经通知被命令的人员，送达方可向要求履行所在区的法院申请强制提供或检查的命令。\n\n(ii) 这些行为仅能按照命令的指示被要求进行，且该命令必须保护既非当事人亦非当事人高级管理人员的人员免因履行而产生重大开支。\n\n(3) 撤销或修改传票。\n\n(A) 必须撤销或修改的情形。经及时提出动议，要求履行所在区的法院必须撤销或修改存在下列情形的传票：\n\n(i) 未能给予合理的履行时间；\n\n(ii) 要求人员在超出第 45(c) 条规定的地理限制范围外履行；\n\n(iii) 要求披露享有特权或其他受保护的事项，且不存在适用的例外或放弃情形；或\n\n(iv) 使人员承受不当负担。\n\n(B) 可以撤销或修改的情形。为保护受传票约束或受其影响的人员，要求履行所在区的法院可根据动议撤销或修改传票，若该传票要求：……\n\n(i) 披露商业秘密或其他机密的研究、开发或商业信息；或\n\n(ii) 披露未聘请专家的意见或未描述争议中具体事件且源于该专家未受当事人请求之研究的信息。\n\n(C) 指定替代条件。在第 45(d)(3)(B) 条所述的情况下，法院可以不撤销或修改传票，而是在送达方满足下列条件时命令在指定条件下出庭或提供材料：\n(i) 证明对该证言或材料有实质性需求，且非经不当困难以其他方式无法满足该需求；并且\n(ii) 确保受传票约束的人员将获得合理补偿。\n\n(e) 回应传票的义务。\n\n(1) 提供文件或电子存储信息。这些程序适用于提供文件或电子存储信息：\n\n(A) 文件。回应提供文件传票的人员必须按照其在通常业务过程中保存的状态提供文件，或者必须对其进行整理并标上与要求中的类别相对应的标签。\n\n(B) 未指定电子存储信息提供形式的情形。如果传票未指定提供电子存储信息的形式，则作出回应的人员必须以其通常保存的形式或合理可用的形式提供。\n\n(C) 仅以一种形式提供电子存储信息。作出回应的人员无需以多于一种形式提供相同的电子存储信息。\n\n(D) 不易获取的电子存储信息。对于作出回应的人员指明因不当负担或成本而无法合理获取的来源，该人员无需提供来自该来源的电子存储信息证据。在提出强制开示动议或保护令动议时，作出回应的人员必须证明该信息因不当负担或成本而无法合理获取。若作出了该项证明，但提出请求的当事人在考虑第 26(b)(2)(C) 条的限制后证明具有充分理由，法院仍可命令从这些来源进行证据开示。法院可为该证据开示指定条件。\n\n(2) 主张特权或保护。\n\n(A) 扣留的信息。依据享有特权或受审判准备材料保护的主张而扣留传票所要求信息的人员必须：\n\n(i) 明确提出该主张；并且\n\n(ii) 在不透露本身享有特权或受保护之信息的情况下，描述所扣留的文件、通信或有形物品的性质，以使各方当事人能够评估该主张。\n\n(B) 已提供的信息。如果针对传票提供的信息属于特权主张或审判准备材料保护主张的对象，提出主张的人员可将该主张及依据通知接收该信息的任何当事人。收到通知后，当事人必须迅速归还、隔离或销毁指定的信息及所持有的任何副本；在主张解决之前不得使用或披露该信息；如果当事人在收到通知前已披露了该信息，必须采取合理措施予以追回；并且可迅速将该信息在密封状态下呈交要求履行所在区的法院以对该主张作出裁定。提供信息的人员必须保存该信息，直至主张得到解决。\n\n(g) 藐视法庭。要求履行所在区的法院——以及在动议移送后，签发法院——可判定在已获送达后无合理解释而未能遵守传票或与其相关的命令的人员构成藐视法庭。\n\n有关查阅传票材料的信息，参见《Fed. R. Civ. P.》45(a) 委员会注释（2013 年）\n提供文件请求\nI. 指示\n\n除另有说明外，“拟提供以供检查和复制的文件”（简称“《文件请求》”）标题下载明的文件请求，应解释为要求提供与本请求相关的所有文件，无论此类文件于何时形成，并应包括截至提供文件之日生成的所有相关文件。《文件请求》还应被解释为要求提供所有相关文件，无论此类文件是否被视为草稿，亦无论此类文件此前是否已分发给任何人。\n\n与《文件请求》相符的文件应按其在通常业务过程中保存的状态予以提供，并应标明其来自哪些档案和办公室，或者必须标上与《文件请求》中的类别相对应的标签。\n\n在提供与《文件请求》相关的文件的过程中，每份拟提供的文件均应包括文件中提及的、或最初随所请求或拟提供文件附带或装入的所有附件及所有随附物品。\n\n本文件请求包括由你的代理人、代表、专家、为你获取相关文件之目的而受你控制的个人或实体、就任何事实问题或意见问题被咨询的人员，以及（除非享有特权）你的律师所持有的文件。\n\n《文件请求》具有持续性质，如果你获得进一步或不同的信息，特此指示你进行补充提供。\n\n除非另有明确说明，本《文件调取请求》所涵盖的时间范围为自2014年1月1日起至对本《文件调取请求》作出答复的截止日期止。\n\n定义\n\n由 D. Conn. Bankr. L.R. 2004-1(a) 援引并适用的《康涅狄格区联邦民事诉讼地方规则》（D. Conn. L. Civ. R.）第 26(c) 条所提供的定义以及第 26(d) 条所提供的解释规则，均应适用于本《文件调取请求》。此外，本《文件调取请求》中使用的下列术语应具有以下含义：\n\n1. “债务人”系指 Ho Wan Kwok（郭文贵），亦称 Guo Wengui、Miles Guo 及/或 Miles Kwok，其第 11 章破产案件正在审理中，案号为 Case No. 22-50073 (JAM)。\n\n2. “Golden Spring”系指 Golden Spring (New York) Ltd.。\n\n3. “HK USA”系指 HK International Funds Investment (USA) Limited, LLC。\n\n4. “Lady May”系指债务人声称其法定所有权人（title holder）为 HK USA 的游艇。\n\n5. “你方”或“你方的”系指 HK USA。\n\n遗失或损毁的文件\n\n如果在对本《文件调取请求》作出答复时，已知本文所指明的任何文件或有形物品曾一度存在，且现已遗失、丢弃或损毁，请尽可能完整地指明该等文件或物品，并尽可能多地提供以下信息：\n\n- 1) 该文件或物品的类型；\n- 2) 其日期；\n- 3) 其遗失、丢弃或损毁的日期或大致日期；\n- 4) 其遗失、丢弃或损毁的情况及方式；\n- 5) 处置该文件的原因（若属丢弃或损毁）；\n- 6) 经授权或知晓与处置该文件或物品相关情况的所有人员的身份；\n- 7) 遗失、丢弃或损毁该文件或物品的人员的身份；以及\n- 8) 知晓其内容的所有人员的身份。\n\n享有特权或具专有性质的事项\n\n如果主张对任何《文件调取请求》的答复要求提供被主张享有特权（privileged）、属于律师工作成果（work product）或以其他方式受保护免于披露的信息或对文件的指明，且主张了该等特权或工作成果保护，则 (a) 指明所主张的特权（包括工作成果）的性质；以及 (b) 根据 D. Conn. L. Civ. R. 26(e) 编制要求的特权清单（privilege log）。对于《文件调取请求》中未提出特权或工作成果主张的任何部分，应完整提供应答文件。\n\n须提交的文件\n\nHK USA 应提交下列文件：\n\n1. 由 HK USA 的设立证书及其所有修正案组成的文件。\n\n2. 由 HK USA 的有限责任公司运营协议及其所有修正案组成的文件。\n\n3. 证明 HK USA 的任何成员会议或公司行为的文件。\n\n4. 确认 HK USA 的成员和经理以及任何成员权益转让的文件。\n\n5. 确认 HK USA 的管理层以及任何董事会或顾问的文件。\n\n6. 涉及自 HK USA 成立至今向其进行的所有出资、贷款或预付款项的所有文件。\n\n7. 证明 HK USA 资产的身份、购置和处置的所有文件。\n\n8. 反映用于购置 HK USA 资产的资金来源的所有文件。\n\n9. 涉及 HK USA 取得 Lady May 的《英国船舶注册证书》（Certificate of British Registry）的所有文件。\n\n-4-\n\n10. 涉及 Lady May 的购买及/或建造的所有文件。\n\n11. 证明 Lady May 的所有先前登记所有权人或所有权持有人的所有文件。\n\n12. 涉及包含 Lady May 的任何及所有出售或其他交易（包括证书或所有权文件的转让）的所有文件。\n\n13. 涉及购买 Lady May 或转让其所有权的任何及所有资金来源的所有文件。\n\n14. 证明 HK USA 收到的所有款项或取得的所有收入的来源的所有文件。\n\n15. 自 HK USA 成立至今由其编制或为其编制的所有财务报表，包括资产负债表、损益表和现金流量表。\n\n16. 由 HK USA 编制或为其编制的涵盖自其成立之年至今各年度的所有联邦及州纳税申报表，包括所有证明支持文件以及出具的 W-2 表和 1099 表。\n\n17. 涉及 HK USA 成立目的的所有文件。\n\n18. 反映一方面为 HK USA 或其任何代表（包括 Mei Guo），另一方面为债务人或其任何代表之间就 HK USA 的业务、财务事务、资产购置，或向债务人提供的任何贷款或预付款项所进行的任何通信的所有文件。\n\n-5-\n\n19. 反映一方面为 HK USA 或其任何代表（包括 Mei Guo），另一方面为债务人或其任何代表之间就 Lady May 所进行的任何通信的所有文件。\n\n20. 涉及 HK USA 直接或间接从债务人处收到的任何资金或其他财产转让的所有文件。\n\n21. 涉及 HK USA 的任何雇员、代理人、承包商和专业人员的存在及身份的所有文件。\n\n22. 涉及用于购买或取得 Lady May，或用于其维护、保全、修理或存放的资金的所有文件，包括聘请 HK USA 的法律顾问以及由 HK USA 的法律顾问或托管代理人持有的 3700 万美元。\n\n23. 涉及债务人参与或卷入 HK USA 的设立，或其业务、财务事务或其资产的购置或保全的任何方面的所有文件。\n\n24. HK USA 作为当事方的所有合同。\n\n25. 与 HK USA 作为被保险人的保险单（包括任何附加条款）相关的文件。\n\n26. 与 Yachtzoo SARP 或任何其他 Yachtzoo 实体的文件，包括合同、发票、付款以及与 Lady May 的财务行政、技术支持和管理、安全管理，以及针对 Lady May 船员的人力资源服务相关的通信和记录。\n\n-6-\n\n27. 反映一方面为 HK USA 或其任何代表（包括 Mei Guo），另一方面为 Golden Spring (New York) Ltd. 或其任何代表（包括 Yan Ping Wang 和 Qiang Guo）之间就 HK USA、Lady May 或债务人所进行的任何通信的文件。\n\n28. 反映债务人对 Lady May 的任何使用或使用请求的文件。\n\n29. 反映 Lady May 上的乘客（包括任何宾客）的文件。\n\n30. 涉及债务人的《拟议第 11 章计划》的文件，包括涉及在《拟议重整计划》中使用 Lady May 的所有通信。\n\n31. 与 Quantum Marine Stabilizers 的文件，包括通信、发票、付款和协议。\n\n32. 涉及 MB92 La Ciotat SAS（“MB92”）的文件，包括通信、发票、付款和协议。\n\n33. 涉及 Lady May 的位置和行程的文件，包括在货船或其他船舶上对 Lady May 的任何转运。\n\n34. 涉及 Lady May 的船级社（Class Society）和船旗国（Flag State）的文件。\n\n35. 涉及 Qu Guo Jiao、其在 HK USA 或 Lady May 中的权益，以及其对上述权益转让的文件。\n\n36. 涉及 Hong Kong Investments Limited 的文件，包括其公司文件、Lady May 的购置、建造和购买资金，\n\n-7-\n\nCase 22-50073 Doc 247-2 Filed 04/22/22 Entered 04/22/22 16:24:33 Page 11 of 11\n\nLady May 的服务、维护和修理（以及与之相关的资金），以及在 Lady May 中权益的转让。\n\n37. 涉及 Russel Stockil 以及 Lady May 的船长（包括 Captains Heaslop 和 Ivanov）的文件。\n\n38. 涉及 Lady May 上的任何抵押、留置权或权利负担的文件。\n\n39. 涉及 HK USA 资产（包括 Lady May）价值的文件。","key_entities":["Je","Guo","Kwok","Ho Wan Kwok","Miles Guo","CIPA"],"ecf_references":[{"doc_number":16,"court":"CTB"}],"word_count":3254,"status":"published","published_at":"2022-04-22 00:00:00","created_at":"2022-04-22","updated_at":"2026-08-23 13:48:11"}