{"id":"court_ctb_248_2","court":"CTB","case_no":"22-50073","doc_number":248,"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 248-2 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 248-2 Filed 04/22/22 Entered 04/22/22 16:29:37 Page 1 of 13\n\nUNITED STATES BANKRUPTCY COURT\n\nDistrict of Connecticut\n\n22-50073 (JAM) In re Ho Wan Kwok Case No.\n\nDebtor\n\nChapter 11\n\n# **SUBPOENA FOR RULE 2004 EXAMINATION**\n\nGolden Spring (New York) Ltd., by its Officer/Director/Managing Agent, Qiang 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<br>Pullman & Comley, LLC<br>850 Main Street, 8th Floor<br>Bridgeport, CT 06604 | DATE AND TIME<br>May , 2022 at 10:00 a.m. |\n|--------------------------------------------------------------------------------------|-------------------------------------------|\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\nexpense. 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(ii) is commanded to attend a trial and would not incur substantial (ii) ensures that the subpoenaed person will be reasonably\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, 2015 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. \"DIP Loan\" means the loan Golden Spring has proposed to make to the Debtor and/or to the Debtor's bankruptcy estate as set forth in the Debtor's Motion for Entry of Order of Interim and Final DIP Orders (I) Authorizing the Debtor to Obtain Unsecured, Subordinated Postpetition Financing and (II) Scheduling Interim and Final Hearings, and (III) Granting Related Relief, and in the Omnibus Reply of Debtor in Support of Entry of Order Approving DIP Facilities.\n\n3. \"Golden Spring\" or \"GSNY\" means Golden Spring (New York) Ltd.\n\n-2-\n\n- 4. \"HK USA\" means HK International Funds Investment (USA) Limited, LLC.\n- 5. \"Lady May\" means the yacht whose legal title holder is claimed by the\n\nDebtor to be HK USA.\n\n6. \"You\" or \"Your\" refers to Golden Spring.\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\n\nidentification of documents that are claimed to be privileged, work product or otherwise\n\nprotected from disclosure, and such privilege or work product is asserted, (a) identify the\n\nnature of the privilege (including work product) that is being claimed; and (b) prepare the\n\nrequired 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\nGolden Spring is to produce the following documents:\n\n1. Documents consisting of Golden Spring's articles of incorporation and bylaws and all amendments thereto, and a copy of GSNY's minute book and all annual reports filed on GSNY's behalf.\n\n2. Documents identifying the officers, directors and shareholders of Golden Spring.\n\n3. All documents evidencing any board of directors or shareholders' meetings of Golden Spring.\n\n4. All documents concerning any and all GSNY Board meetings and minutes of the Board concerning matters related to, or for the benefit of, the Debtor.\n\n5. All documents concerning any and all capital contributions, loans or advances made to Golden Spring from its inception to the present.\n\n6. All documents concerning any loans or advances Golden Spring contends to have made to the Debtor or any other person.\n\n7. All financial statements prepared by or for Golden Spring from its inception to the present, including balance sheets, profit and loss statements and statements of cash flow.\n\n-4-\n\n8. All federal and state tax returns prepared by or for Golden Spring 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\n9. All documents provided to or received from accountants and tax preparers related to Golden Spring.\n\n10. All contracts to which Golden Spring is a party.\n\n11. All documents concerning the purpose for which Golden Spring was formed.\n\n12. All documents reflecting communications by and between Golden Spring or any of its representatives, including Qiang Guo, on the one hand, and the Debtor or any of his representatives on the other, concerning Golden Spring's business, financial affairs, acquisition of assets, or any loans, advances or gifts made to or for the benefit of the Debtor.\n\n13. All documents concerning any transfers of money or other property Golden Spring has received from the Debtor either directly or indirectly.\n\n14. All documents concerning the existence and identity of any employees, consultants, contractors, agents or professionals of Golden Spring.\n\n15. All documents concerning the Debtor's involvement or participation in the formation of Golden Spring or any aspect of its business, financial affairs or acquisition or preservation of its assets.\n\n16. All documents reflecting the source of funds used for the acquisition of Golden Spring's assets, including but not limited to transfers from UBS accounts or from Bravo Luck Ltd.\n\n-5-\n\n17. All documents concerning any funding provided by Golden Spring for the purchase or acquisition of the Lady May or for its maintenance, preservation, repairs, or storage.\n\n18. All documents concerning HK USA, including any funding provided to or for the benefit of HK USA including for the retention of HK USA's counsel and the \\$37 million being held by HK USA's lawyer (or escrow agent).\n\n19. All documents evidencing any and all communications between Golden Spring and any of its representatives and the Debtor and any of his representatives concerning the DIP Loan, including all drafts of the DIP Loan Agreement.\n\n20. All documents identifying any person or entity with any beneficial interest in or control over GSNY, directly or indirectly.\n\n21. All documents, including ledgers, books and records, of GSNY concerning GSNY's current assets and liabilities.\n\n22. GSNY's bank statements, including but not limited to GSNY's JPMorgan Chase bank account.\n\n23. GSNY's credit card statements.\n\n24. GSNY's debit card statements.\n\n25. All documents concerning litigation funding provided by Golden Spring to or for the benefit of the Debtor and any requests for litigation funding by the Debtor (including any denied requests), including documents related to the claim against UBS AG (London\n\n-6-\n\nBranch) (the UBS Claim) and the claim against Clark Hill PLC and Thomas K Ragaland (the Clark Hill Claim).\n\n26. Documents concerning GSNY's charter being voided, including correspondence from the Delaware Secretary of State, and documents concerning attempts to revoke the voiding of, or reinstate, the charter.\n\n27. Documents and communications with Jerry Shulman of Williams & Connolly, LLP concerning GSNY's corporate charter, including a copy of any agreement between GSNY and Williams & Connolly, LLP\n\n28. A copy of GSNY's Lease for 162 E 64th Street, New York, New York and any subleases.\n\n29. Documents sufficient to identify all e-mail address used by GSNY, including with suffix \"gsnyus.com\" and with suffix \"protonmail.com\".\n\n30. All documents concerning the relationship between the Debtor and the following entities, including the basis for any obligations any of them may have to the Debtor for indemnification or contribution:\n\nAAGV Limited Ace Decade Holdings Limited Alfa Global Ventures Limited Alfonso Global Limited Allied Capital Global Limited Anton Development Limited\n\n-7-\n\nCase 22-50073 Doc 248-2 Filed 04/22/22 Entered 04/22/22 16:29:37 Page 11 of\n\n# 13\n\nBeijing Zenith Holdings Co.\n\nBeijing Pangu Investment Co.,\n\nBravo Luck Ltd\n\nBSA Strategic Fund I\n\nChina Golden Spring Group (Hong Kong) Limited\n\nCreative Apex Investments Limited\n\nCrystal Breeze Investments Limited\n\nElite Global Well Limited\n\nG Club Operations, LLC\n\nGenever Holdings Corp\n\nGenever Holdings\n\nGlobalist International Limited\n\nGNews, LLC\n\nGTV Media Group, Inc.\n\nHong Kong International Funds Investments Limited\n\nInfinite Increase Limited\n\nInfinitum Developments Limited\n\nInsight Phoenix Fund\n\nLeading Shine Limited\n\nNoble Fame Global Limited\n\nRule of Law Society, IV, Inc.\n\n13\n\nRule of Law Foundation III, Inc.\n\nSaraca Media Group, Inc.\n\nVoice Guo Media, Inc.\n\nVoice of Guo Media, Inc.\n\n31. All documents concerning Himalaya Exchange, Himalaya Coin, H Coin, Himalaya Dollar, and H Dollar, including any documents concerning the Debtor's and GSNY's relationship to said entities or projects.\n\n32. All documents concerning assets, such as patents, held by Glenn Mellor or Alpina Fiduciaries, SA as to which the Debtor or GSNY were involved in any way in procuring.\n\n32. All documents evidencing the ownership interests in, and assets of, China Golden Spring Group (Hong Kong) Limited a/k/a Golden Spring Hong Kong.\n\n33. Any documents evidencing Debtor's request for funds, loans, advance or purchases from GSNY.\n\n34. Any documents evidencing GSNY's refusal of Debtor's request for funds, loans, advance or purchases from GSNY.\n\n35. Documents concerning vehicles owned or leased by GSNY, including Maybach Limosine, including those that are used by or provided to the Debtor.\n\n36. Documents related to Daniel Phodaskie's role at or on behalf of GSNY, including all communications with Debtor and agreements.\n\n-9-\n\n37. Documents related to Arethusa Forsyth role at or on behalf of GSNY, including all communications with Debtor and agreements.\n\n38. Documents related to Melissa Francis role at or on behalf of GSNY, including all communications with Debtor and agreements.\n\n39. Documents related to insurance policies for the benefit of GSNY or paid for by GSNY, including all riders and the identity of additional insureds.\n\n400 All documents concerning Himalaya Exchange, Himalaya Coin, H Coin, Himalaya Dollar, and H Dollar, including any documents concerning the Debtor's and GSNY's relationship to said entities or projects.","body_zh":"B2540（表格 2540 – 依据规则 2004 进行审查的传票）（12/15） 案件编号 22-50073 文件 248-2 提交于 04/22/22 录入于 04/22/22 16:29:37 第 1 页，共 13 页\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\nDistrict of Connecticut（康涅狄格区）\n\n案件编号：22-50073 (JAM)\n关于：Ho Wan Kwok（郭文贵）\n债务人\n\n第 11 章\n依据规则 2004 进行审查的传票\n\n致：Golden Spring (New York) Ltd.（金泉（纽约）有限公司），由其高级管理人员/董事/经办管理代理人 Qiang Guo（郭强）代表\n（传票送达对象姓名/名称）\n\nX 证言：现命令你于下文列明的时间、日期及地点出庭，根据《Federal Rules of Bankruptcy Procedure》（联邦破产程序规则）第 2004 条的审查提供证言。授权进行该审查的法院裁定副本附后。\n\n地点：\nPullman & Comley, LLC\n850 Main Street, 8th Floor\nBridgeport, CT 06604\n日期和时间：\n2022 年 5 月 日，上午 10:00\n\n审查将采用以下方式记录：速记\n\nX 提供证据材料：你或你的代表必须根据法院裁定（ECF No. 16）于 2022 年 5 月 ___ 日或之前提供下列文件、电子存储信息或实物，并必须允许对材料进行检查、复制、测试或取样：\n\n参见所附《文件提供请求》\n\n附有《Fed. R. Civ. P.》（联邦民事诉讼规则）第 45 条的以下规定（通过《Fed. R. Bankr. P.》（联邦破产程序规则）第 9016 条适用于破产案件）——关于履行地点的第 45(c) 条；关于受传票约束之人的保护的第 45(d) 条；以及关于你回应本传票的义务及不履行之后果的第 45(e) 条和第 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\n律师签名\n\n签发或申请本传票的代表（当事人姓名/名称）的律师姓名、地址、电子邮件地址和电话号码如下：\n致签发或申请本传票之人的通知\n\n如果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，则在向传票送达对象送达之前，必须向每一方当事人送达本传票的通知及副本。《Fed. R. Civ. P.》（联邦民事诉讼规则）第 45(a)(4) 条。\n\n送达证明\n（除非《Fed. R. Civ. P.》（联邦民事诉讼规则）第 45 条要求，否则本部分不应提交至法院。）\n\n我收到本传票，用于送达（个人姓名及头衔，如有）：\n日期：\n我通过向上述指定人员交付副本的方式送达了传票，具体如下：\n□\n日期： ；或\n我退回未执行的传票，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补贴，金额为 $\n□\n我的费用为：差旅费 $ ，服务费 $ ，合计 $\n我声明上述信息真实且正确，如有虚假愿受伪证罪处罚。\n日期：\n送达人签名\n印刷体姓名及头衔\n送达人地址\n\n关于尝试送达等情况的附加信息：\n《Federal Rule of Civil Procedure》（联邦民事诉讼规则）第 45(c)、(d)、(e) 和 (g) 条（2013 年 12 月 1 日生效）（根据《Federal Rules of Bankruptcy Procedure》（联邦破产程序规则）第 9016 条适用于破产案件）\n\n(c) 履行地点。\n\n(1) 针对审判、听证会或采录证言。传票仅可命令某人按如下方式参加审判、听证会或采录证言：\n\n(A) 在该人居住、受雇或经常亲自处理业务的地点 100 英里以内；或\n\n(B) 在该人居住、受雇或经常亲自处理业务的州内，如果该人：\n\n(i) 是一方当事人或当事人的高级管理人员；或\n\n(ii) 被命令参加审判且不会产生重大费用。\n\n(2) 针对其他开示。传票可命令：\n\n(A) 在该人居住、受雇或经常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) 保护受传票约束之人；执行。\n\n(1) 避免造成不当负担或费用；制裁。负责签发和送达传票的一方当事人或律师必须采取合理措施，避免给受传票约束的人造成不当负担或费用。被要求履行义务所在区的法院必须强制执行此项义务，并对未能遵守的当事人或律师施加适当的制裁——其中可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，无需亲自到提供材料或进行检查的地点出庭，除非其同时被命令出席采录证言、听证会或审判。\n\n(B) 异议。被命令提供文件或有形物品或允许检查的人，可以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——或者反对以所要求的形式提供电子存储信息。异议必须在规定的履行时间或传票送达后 14 天中较早的时间之前送达。如果提出异议，则适用以下规则：\n\n(i) 在任何时候，在通知被命令的人后，送达传票的一方当事人均可向被要求履行义务所在区的法院申请强制提供材料或允许检查的命令。\n\n(ii) 只有按照命令中的指示方可要求进行这些行为，且该命令必须保护既非当事人也非当事人的高级管理人员免因履行义务而产生重大费用。\n\n(3) 撤销或修改传票。\n\n(A) 必须撤销或修改的情形。经适时提出动议，被要求履行义务所在区的法院必须撤销或修改具有下列情形的传票：\n\n(i) 未能留出合理的履行时间；\n\n(ii) 要求某人在超出第 45(c) 条规定的地理限制范围以外履行义务；\n\n(iii) 要求披露享有特权或其他受保护的事项，且不存在任何例外或放弃适用的情形；或\n\n(iv) 使某人承受不当负担。\n\n(B) 允许撤销或修改的情形。为保护受传票约束或受传票影响的人，被要求履行义务所在区的法院可根据动议撤销或修改传票，如果该传票要求：\n\n(i) 披露商业秘密或其他机密研究、开发或商业信息；或\n\n(ii) 披露未聘请专家的意见或信息，而该信息未描述争议中的特定事件，且系该专家非因当事人请求而进行的研究的结果。\n\n(C) 作为替代方案指定条件。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的情况下命令在指定条件下出庭或提供材料：\n\n(i) 证明对该证言或材料有实质性需求，且若无过分困难则无法通过其他方式满足；并且\n\n(ii) 确保被传票传唤之人将获得合理补偿。\n\n(e) 回应传票的义务。\n\n(1) 提供文件或电子存储信息。以下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和标注以与要求中的类别相对应。\n\n(B) 未指定提供电子存储信息的形式。如果传票未指定提供电子存储信息的形式，则回应人必须以其通常保存的形式或一种或多种合理可用的形式提供。\n\n(C) 电子存储信息仅以一种形式提供。回应人无需以一种以上的形式提供同一电子存储信息。\n\n(D) 无法访问的电子存储信息。对于回应人认定因不当负担或成本而无法合理访问的来源，其无需提供其中的电子存储信息。在申请强制开示或申请保护命令的动议中，回应人必须证明该信息因不当负担或成本而无法合理访问。如果作出了该项证明，但如果请求方在考虑第 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开示证据。法院可为开示指定条件。\n\n(2) 主张特权或保护。\n\n(A) 扣留的信息。主张信息享有特权或作为审判准备材料受保护而扣留传票所要求信息的人必须：\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信息的情况下，描述被扣留文件、通信或有形物品的性质，使当事人能够评估该主张。\n\n(B) 已提供的信息。如果回应传票所提供的信息受到特权或作为审判准备材料保护的主张约束，提出主张的人可以通知任何接收到该信息的当事人该主张及其依据。在收到通知后，当事人必须迅速归还、隔离或销毁指定的信息及当事人拥有的任何副本；在主张得到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，则必须采取合理措施追回该信息；并可迅速向被要求履行义务所在区的法院密封提交该信息以对该主张作出裁定。提供该信息的人必须保存该信息，直至该主张得到解决。\n\n(g) 蔑视法庭。被要求履行义务所在区的法院——以及在动议移送之后的签发法院——可以将送达后无充分理由不服从传票或与传票相关命令的人判定为蔑视法庭。\n\n关于查阅传票材料的信息，参见《Fed. R. Civ. P.》（联邦民事诉讼规则）第 45(a) 条委员会说明（2013 年）\n\n文件提供请求\n\nI. 指示说明\n\n除非另有说明，在“待提供以供检查和复制的文件”标题下提出的文件请求（以下简称“《文件请求》”），应解释为要求提供与本请求相符的所有文件，不论该等文件于何时生成，并应包括直至提供文件之日所生成的所有相符文件。《文件请求》还应解释为要求提供所有相符文件，不论该等文件是否被视为草稿，也不论该等文件此前是否曾分发给任何人。\n\n与《文件请求》相符的文件应按照其在通常业务过程中保存的状态予以提供，并应进行标注以显示其来自哪些卷宗和办事处，或者必须进行标注以与《文件请求》中的类别相对应。\n\n在提供与《文件请求》相关的文件时，每份待提供文件应包括文件中提及的、或原先随所请求或待提供文件一起附上或随附的所有附件和所有随附文件。\n\n本文件请求包括由你的代理人、代表、专家、为你获取相符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，以及你的律师（除非享有特权）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，本文件调取要求所涵盖的时间范围为自2015年1月1日起至对本文件调取要求的答复到期之日止。\n\n定义\n\n由 D. Conn. Bankr. L.R. 2004-1(a) 并入的 D. Conn. L. Civ. R. 26(c) 所提供的定义以及 D. Conn. L. Civ. R. 26(d) 所提供的解释规则，均应适用于本文件调取要求。此外，本文件调取要求中使用的下列术语应具有以下含义：\n\n1. “债务人”（Debtor）系指 Ho Wan Kwok（郭文贵），亦称 Guo Wengui、Miles Guo 及/或 Miles Kwok，其破产法第11章案件目前正在审理中，案号为 22-50073 (JAM)。\n\n2. “DIP贷款”（DIP Loan）系指 Golden Spring 提议向债务人和/或债务人破产财团发放的贷款，具体载于债务人的《关于作出（I）授权债务人获得无担保、次级申请后融资、（II）安排临时及最终听证会、以及（III）准予相关救济的临时及最终DIP命令的动议》，以及债务人的《支持作出批准DIP融资机制命令的总括答辩》。\n\n3. “Golden Spring”或“GSNY”系指 Golden Spring (New York) Ltd.。\n\n-2-\n\n- 4. “HK USA”系指 HK International Funds Investment (USA) Limited, LLC。\n- 5. “Lady May”（梅号）系指债务人声称其法定产权所有人为 HK USA 的游艇。\n\n6. “你方”或“你方的”指 Golden Spring。\n\n遗失或损毁的文件\n\n如果在对本文件调取要求作出答复时，已知本文所指明的任何文件或有形物品曾一度存在，但已遗失、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) 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、丢弃或损毁的情形及方式；\n- 5) 处置该文件的理由（如属丢弃或损毁）；\n- 6) 所有获授权或知悉处置该文件或物品相关情形之人员的身份；\n- 7) 遗失、丢弃或损毁该文件或物品之人员的身份；以及\n- 8) 知悉其内容的所有人员的身份。\n\n享有特权或专有的事项\n\n如果声称对任何文件调取要求的答复所要求提供的信息或文件指明属于享有特权、工作成果或以其他方式受保护免于披露的内容，并据此主张该等特权或工作成果，则 (a) 指明所主张的特权（包括工作成果）的性质；以及 (b) 按照 D. Conn. L. Civ. R. 26(e) 编制所要求的特权清单。对于未提出特权或工作成果主张的任何部分文件调取要求，均应完整提供应答文件。\n\n待出示的文件\n\nGolden Spring 应出示下列文件：\n\n1. 包含 Golden Spring 的公司注册证书和公司章程细则及对其的所有修正案的文件，以及 GSNY 的会议记录簿副本和代表 GSNY 提交的所有年度报告。\n\n2. 指明 Golden Spring 的高级职员、董事和股东的文件。\n\n3. 证明 Golden Spring 的任何董事会或股东会议的所有文件。\n\n4. 涉及与债务人相关或为债务人利益之事项的任何及所有 GSNY 董事会会议及董事会会议记录的所有文件。\n\n5. 涉及自 Golden Spring 成立之日起至今向其进行之任何及所有出资、贷款或预付款项的所有文件。\n\n6. 涉及 Golden Spring 主张曾向债务人或任何其他人员发放之任何贷款或预付款项的所有文件。\n\n7. 自 Golden Spring 成立之日起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\n-4-\n\n8. 自 Golden Spring 成立之年起至今由其编制或为其编制的所有联邦和州税务申报表，包括所有支持性文件以及签发的 W-2 和 1099 表格。\n\n9. 向与 Golden Spring 相关的会计师和税务筹划人员提供或从其处收到的所有文件。\n\n10. Golden Spring 作为一方当事人的所有合同。\n\n11. 涉及 Golden Spring 设立目的的所有文件。\n\n12. 反映一方面由 Golden Spring 或其任何代表（包括 Qiang Guo），与另一方面债务人或其任何代表之间进行的，涉及 Golden Spring 的业务、财务事务、资产收购，或向债务人或为债务人利益提供的任何贷款、预付款项或赠与的通信的所有文件。\n\n13. 涉及 Golden Spring 直接或间接从债务人处收到的任何资金或其他财产转移的所有文件。\n\n14. 涉及 Golden Spring 任何雇员、顾问、承包商、代理人或专业人士的存在及其身份的所有文件。\n\n15. 涉及债务人参与或卷入 Golden Spring 的设立或其业务、财务事务或其资产的收购或保全之任何方面的所有文件。\n\n16. 反映用于收购 Golden Spring 资产的资金来源的所有文件，包括但不限于从 UBS（瑞士银行）账户或从 Bravo Luck Ltd. 转移的资金。\n\n-5-\n\n17. 涉及 Golden Spring 为购买或收购 Lady May 号或为其维护、保全、维修或存放而提供的任何资金的所有文件。\n\n18. 涉及 HK USA 的所有文件，包括向 HK USA 或为其利益提供的任何资金，包括用于聘请 HK USA 的律师的资金以及由 HK USA 的律师（或托管代理人）持有的3,700万美元。\n\n19. 证明 Golden Spring 及其任何代表与债务人及其任何代表之间涉及 DIP 贷款的任何及所有通信的所有文件，包括 DIP 贷款协议的所有草案。\n\n20. 指明直接或间接在 GSNY 中拥有任何实益权益或对其拥有控制权的任何个人或实体之身份的所有文件。\n\n21. GSNY 涉及 GSNY 当前资产和负债的所有文件，包括总分类账、账簿和记录。\n\n22. GSNY 的银行对账单，包括但不限于 GSNY 的 JPMorgan Chase（摩根大通）银行账户。\n\n23. GSNY 的信用卡对账单。\n\n24. GSNY 的借记卡对账单。\n\n25. 涉及 Golden Spring 向债务人或为其利益提供的诉讼资助以及债务人提出的任何诉讼资助请求（包括任何被拒绝的请求）的所有文件，包括与针对 UBS AG (London Branch)（瑞士银行伦敦分行）的索赔（即 UBS 索赔）以及针对 Clark Hill PLC 和 Thomas K Ragaland 的索赔（即 Clark Hill 索赔）相关的文件。\n\n-6-\n\n26. 涉及 GSNY 的公司章程被宣布无效的文件，包括来自 Delaware Secretary of State（特拉华州州务卿）的往来函件，以及涉及试图撤销无效宣告或恢复公司章程效力的文件。\n\n27. 与 Williams & Connolly, LLP 的 Jerry Shulman 涉及 GSNY 公司章程的文件及通信，包括 GSNY 与 Williams & Connolly, LLP 之间的任何协议副本。\n\n28. GSNY 就纽约州纽约市 East 64th Street 162 号所签署的租约及任何转租租约的副本。\n\n29. 足以指明 GSNY 使用的所有电子邮件地址的文件，包括带有后缀“gsnyus.com”和带有后缀“protonmail.com”的邮箱。\n\n30. 涉及债务人与下列实体之间关系的所有文件，包括其中任何实体可能对债务人承担的任何赔偿或分摊补偿义务的依据：\n\nAAGV Limited\nAce Decade Holdings Limited\nAlfa Global Ventures Limited\nAlfonso Global Limited\nAllied Capital Global Limited\nAnton Development Limited\n\n-7-\n\nCase 22-50073 Doc 248-2 Filed 04/22/22 Entered 04/22/22 16:29:37 Page 11 of\nBeijing Zenith Holdings Co.（北京政泉控股有限公司）\n\nBeijing Pangu Investment Co.,（北京盘古氏投资有限公司）\n\nBravo Luck Ltd\n\nBSA Strategic Fund I\n\nChina Golden Spring Group (Hong Kong) Limited（中国金泉集团(香港)有限公司）\n\nCreative Apex Investments Limited\n\nCrystal Breeze Investments Limited\n\nElite Global Well Limited\n\nG Club Operations, LLC\n\nGenever Holdings Corp\n\nGenever Holdings\n\nGlobalist International Limited\n\nGNews, LLC\n\nGTV Media Group, Inc.\n\nHong Kong International Funds Investments Limited\n\nInfinite Increase Limited\n\nInfinitum Developments Limited\n\nInsight Phoenix Fund\n\nLeading Shine Limited\n\nNoble Fame Global Limited\n\nRule of Law Society, IV, Inc.（法治社会）\nRule of Law Foundation III, Inc.（法治基金）\n\nSaraca Media Group, Inc.\n\nVoice Guo Media, Inc.\n\nVoice of Guo Media, Inc.\n\n31. 涉及 Himalaya Exchange（喜马拉雅交易所）、Himalaya Coin（喜币）、H Coin、Himalaya Dollar（喜美元）及 H Dollar 的所有文件，包括涉及债务人及 GSNY 与上述实体或项目之关系的任何文件。\n\n32. 涉及由 Glenn Mellor 或 Alpina Fiduciaries, SA 持有、且债务人或 GSNY 以任何方式参与获取的资产（如专利）的所有文件。\n\n32. 证明 China Golden Spring Group (Hong Kong) Limited（亦称 Golden Spring Hong Kong）的所有权权益及资产的所有文件。\n\n33. 证明债务人向 GSNY 请求资金、贷款、预付款项或采购的任何文件。\n\n34. 证明 GSNY 拒绝债务人向 GSNY 请求资金、贷款、预付款项或采购的任何文件。\n\n35. 涉及 GSNY 拥有或租赁之车辆的文件，包括 Maybach Limosine（迈巴赫豪华轿车），包括由债务人使用或提供给债务人使用的车辆。\n\n36. 与 Daniel Phodaskie 在 GSNY 担任或代表 GSNY 履行的角色相关的各类文件，包括与债务人的所有通信及协议。\n\n-9-\n\n37. 与 Arethusa Forsyth 在 GSNY 担任或代表 GSNY 履行的角色相关的各类文件，包括与债务人的所有通信及协议。\n\n38. 与 Melissa Francis 在 GSNY 担任或代表 GSNY 履行的角色相关的各类文件，包括与债务人的所有通信及协议。\n\n39. 与为 GSNY 的利益而订立或由 GSNY 支付保费之保险单相关的文件，包括所有附加条款以及附加被保险人的身份。\n\n400 涉及 Himalaya Exchange、Himalaya Coin、H Coin、Himalaya Dollar 及 H Dollar 的所有文件，包括涉及债务人及 GSNY 与上述实体或项目之关系的任何文件。","key_entities":["Je","Guo","Himalaya","Kwok","Ho Wan Kwok","Himalaya Exchange","Miles Guo","GTV","Saraca","CIPA"],"ecf_references":[{"doc_number":16,"court":"CTB"}],"word_count":3573,"status":"published","published_at":"2022-04-22 00:00:00","created_at":"2022-04-22","updated_at":"2026-08-23 13:56:04"}