{"id":"court_ctb_404_3","court":"CTB","case_no":"22-50073","doc_number":404,"sub_number":3,"doc_type":"EXHIBIT","filed_date":"2022-05-20","title":"EXHIBIT PAX 03 Global Notes and Statements of Limitations, Methodology, and Disclaimers Regarding the Debtor's Schedules","summary_zh":null,"summary_en":null,"body_en":"# **EXHIBIT PAX 03**\n\nGlobal Notes and Statements of Limitations, Methodology, and Disclaimers Regarding the Debtor's Schedules of Assets and Liabilities and Statement of Financial Affairs\n\n### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| --------------------------------------------------------------------X | | | |\n|-----------------------------------------------------------------------|---------|---|-------------------------|\n| | | : | |\n| In re: | | : | Chapter 11 |\n| | | : | |\n| HO WAN KWOK, | | : | Case No. 22-50073 (JAM) |\n| | | : | |\n| | Debtor. | : | |\n| | | : | |\n| --------------------------------------------------------------------X | | | |\n\n### **GLOBAL NOTES AND STATEMENTS OF LIMITATIONS, METHODOLOGY, AND DISCLAIMERS REGARDING THE DEBTOR'S SCHEDULES OF ASSETS AND LIABILITIES AND STATEMENT OF FINANCIAL AFFAIRS**\n\nHo Wan Kwok (the \"Debtor\"), is filing his Schedules of Assets and Liabilities (each, a \"Schedule,\" and, collectively, the \"Schedules\") and Statement of Financial Affairs (the \"SOFA\") in the Bankruptcy Court for the District of Connecticut (the \"Bankruptcy Court\") pursuant to section 521 of chapter 11 of title 11 of the United States Code (the \"Bankruptcy Code\") and Rule 1007 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\").\n\nThese Global Notes and Statements of Limitations, Methodology, and Disclaimers Regarding the Debtor's Schedules of Assets and Liabilities and SOFA (collectively, the \"Global Notes\") pertain to, are incorporated by reference in, and comprise an integral part of all of the Schedules and SOFA. The Global Notes are in addition to the specific notes set forth below with respect to particular Schedules and SOFA (the \"Specific Notes\" and, together with the Global Notes, the \"Notes\").\n\nThe Global Notes should be referred to, and referenced in connection with, any review of the Schedules and SOFA. The Debtor prepared the Schedules and SOFA with the assistance of his advisors and other professionals. The Schedules and SOFA are unaudited and subject to potential adjustment. In preparing the Schedules and SOFA, the Debtor relied on information that was available to him at the time of preparation. The Debtor has made reasonable efforts to ensure that the Schedules and SOFA are as accurate and complete as possible under the circumstances; however, subsequent information or discovery may result in material changes to the Schedules and SOFA and inadvertent errors or omissions may exist.\n\nThe Debtor reserves all rights to amend or supplement the Schedules and SOFA from time to time, in all respects, as may be necessary or appropriate, including the right to dispute or otherwise assert offsets or defenses to any claim reflected on the Schedules and SOFA as to amount, liability, classification, or to otherwise subsequently designate any claim as \"disputed,\" \"contingent,\" or \"unliquidated.\" Further, nothing contained in the Schedules, SOFA, or Notes shall constitute a waiver of the Debtor's rights or an admission with respect to his chapter 11 case.\n\n### GLOBAL NOTES\n\n- 1. Description of the Case. On February 15, 2022 (the \"Petition Date\"), the Debtor commenced a voluntary case under chapter 11 of the Bankruptcy Code.\n- 2. Aliases of Debtor. Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n- 3. Basis of Presentation. The Schedules and SOFA do not purport to represent financial statements prepared in accordance with Generally Accepted Accounting Principles in the United States (\"GAAP\"). The Schedules and SOFA reflect the Debtor's reasonable efforts to report the assets and liabilities of the Debtor.\n- 4. Reporting Date. Unless otherwise noted, the reported asset values in Schedules A and B align with the asset values as of the Petition Date, and the liability values in Schedules D, E, and F are as of the Petition Date.\n- 5. Accuracy. The financial information disclosed herein was not prepared in accordance with federal or state securities laws or other applicable non-bankruptcy law. Persons and entities trading in or otherwise purchasing, selling, or transferring the claims against the Debtor should evaluate this financial information in light of the purposes and context for which it was prepared. The Debtor is not liable for, and undertakes no responsibility to indicate, variations from securities laws or for any evaluations of the Debtor based on this financial information or any other information.\n- 6. Estimates and Assumptions. The preparation of the Schedules and SOFA required the Debtor to make estimates and assumptions that affected the reported amounts of certain assets and liabilities, the disclosure of certain contingent assets and liabilities and the reported amounts of revenue and expense. Actual results could differ materially from these estimates. In nearly all instances, current market valuations are not maintained by, or readily available to, the Debtor. It would be prohibitively expensive, unduly burdensome, and an inefficient use of resources for the Debtor to obtain current market valuations for all assets. When necessary, the Debtor has indicated that the value of certain assets is \"Unknown\" or \"Undetermined.\" Amounts ultimately realized may vary materially from the estimated value.\n- 7. Currency. Unless otherwise indicated, all amounts shown in the Schedules and SOFA are in U.S. Dollars.\n- 8. Debtors' Reservation of Rights. Nothing contained in the Schedules, SOFA, or Notes shall constitute a waiver of rights with respect to this chapter 11 case, including, but not limited to, the following:\n\t- a. Any failure to designate a claim listed on the Schedules and SOFA as \"disputed,\" \"contingent,\" or \"unliquidated\" does not constitute an admission by the Debtor that such amount is not \"disputed,\" \"contingent,\" or \"unliquidated.\" The Debtor reserves the right to dispute and to assert setoff rights, counterclaims, and defenses to any claim reflected on his Schedules as to amount, liability, and classification,\n\nand to otherwise subsequently designate any claim as \"disputed,\" \"contingent,\" or \"unliquidated.\"\n\n- b. The listing of a claim on Schedule D as \"secured,\" on Schedule E as \"priority,\" or on Schedule F as \"unsecured priority,\" or the listing of a contract or lease on Schedule G as \"executory\" or \"unexpired\" does not constitute an admission by the Debtor of the legal rights of the claimant, or a waiver of the Debtor's rights to recharacterize or reclassify such claim or contract pursuant to a schedule amendment, claim objection or otherwise. Moreover, although the Debtor may have scheduled claims of various creditors as secured claims for informational purposes, no current valuation of the Debtor's assets in which such creditors may have a security interest has been undertaken. The Debtor reserves all rights to dispute and challenge the secured nature or amount of any such creditor's claims or the characterization of the structure of any transaction, or any document or instrument related to such creditor's claims.\n- c. The claims of individual creditors may not reflect credits, allowances or other adjustments due from such creditors to the Debtor. The Debtor reserves all of his rights with regard to such credits, allowances and other adjustments, including the right to assert claims objections and/or setoffs with respect to the same.\n- d. Although the Debtor has exercised reasonable efforts to ensure the accuracy of his Schedules and SOFA, they nevertheless may contain errors and omissions. The Debtor hereby reserves all of his rights to dispute the validity, status, and enforceability of any contracts, agreements, and leases set forth on the Schedules and SOFA, and to amend and supplement the Schedules and SOFA as necessary.\n- e. The Debtor further reserves all of his rights, claims, and causes of action with respect to the contracts and agreements listed on the Schedules and SOFA, including, but not limited to, the right to dispute and challenge the characterization or the structure of any transaction, document, and instrument related to a creditor's claim.\n- f. Listing a contract or lease on the Schedules and SOFA shall not be deemed an admission that such contract is an executory contract, such lease is an unexpired lease, or that either necessarily is a binding, valid, and enforceable contract. The Debtor hereby expressly reserves the right to assert that any contract listed on the Schedules and SOFA does not constitute an executory contract within the meaning of section 365 of the Bankruptcy Code, as well as the right to assert that any lease so listed does not constitute an unexpired lease within the meaning of section 365 of the Bankruptcy Code.\n- 9. Global Notes Control. In the event that the Schedules or SOFA differ from any of the Global Notes, the Global Notes shall control.\n\n### SPECIFIC NOTES\n\nIn addition to the foregoing, the following conventions were adopted by the Debtor in the preparation of the Schedules and SOFA:\n\n- 1. Schedule A/B.\n\t- a. Generally. To the extent a line item pertaining to the Debtor's assets indicates a value of \"\\$0.00,\" the Debtor notes that such amount is either \"unknown\" or \"undetermined\" and such \"\\$0.00\" designation does not constitute an admission that assets are, in fact, valued at \"\\$0.00.\" Because certain assets or liabilities are noted as \"\\$0.00,\" summary line items in Schedule A/B reflect totals that may be less than the ultimate value of such assets or liabilities.\n\t- b. Question 1 Do you own or have any legal or equitable interest in any residence, building, land, or similar property?\n\t\t- i. The Debtor has use and occupancy of real estate located at 373 Taconic Road, Greenwich, CT 06831 (the \"Residence\"). The Debtor has no legal title to the Residence and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in it. All related costs and expenses associated with the Residence are paid directly by family and family-controlled enterprises. The Residence is owned by Greenwich Land, LLC (\"Greenwich Land\"). The sole member of Greenwich Land is the Debtor's spouse.\n\t\t- ii. The Debtor also has access to an apartment located at the Sherry-Netherlands Hotel, 781 Fifth Avenue, New York, NY 10022 (the \"Apartment\"). The cooperative shares in the Apartment are held by Genever Holdings LLC (the \"US SPV\"). The membership interests in the US SPV are held by Genever Holdings Corporation (the \"BVI Company\"). The Debtor holds all of the equity of the BVI Company; however, pursuant to a Declaration of Trust and Agreement, dated as of February 17, 2015 (the \"Trust Date\"), the Debtor holds such equity in trust for Bravo Luck Limited (the \"Apartment Owner\"). The Debtor's son owns the equity of the Apartment Owner. On or about the Trust Date, the Apartment Owner funded the US SPV with the purchase price for the Apartment. These funds came from entities owned or controlled by the Debtor's son and not from the Debtor.\n\nThe US SPV commenced its own chapter 11 case before the United States Bankruptcy Court for the Southern District of New York on October 12, 2020 (Case No. 20-12411 (JLG)). The US SPV's disclosure statement with respect to its reorganization plan states that the US SPV \"sought Chapter 11 relief . . . in the face of multiple court disputes relating primarily to the beneficial ownership of the Residence as between Bravo Luck Limited . . . and [Pacific Alliance Asia Opportunity Fund LP (\"PAX\")].\" [Docket No. 165]. In litigation seeking to determine the ownership of the Apartment, the Apartment Owner contends that it is the beneficial owner of the Apartment. The ultimate ownership of the Apartment will be resolved outside of the US SPV's chapter 11 case. Before the BVI courts, PAX has sought the turnover of the US SPV's membership interests based upon its judgment (which remains under appeal) against the Debtor.\n\nThe Apartment is currently marketed for sale by Sotheby's International Realty under the authority of Melanie L. Cyganowski, Esq., the US SPV's sales officer. For these reasons, the Debtor does not report the value of the Apartment as an asset.\n\n- c. Question 3 Do you own, lease, or have legal or equitable interest in any vehicles, whether they are registered or not? Cars, vans, trucks, tractors, sport utility vehicles, motorcycles. The Debtor has use of automobiles, including luxury automobiles and motorcycles. The Debtor has no legal title to any vehicle of any type and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in any such vehicle. All costs and expenses associated with such vehicles are provided for directly by family and family-controlled enterprises.\n- d. Question 4 Do you own, lease, or have legal or equitable interest in any vehicles, whether they are registered or not? Watercraft, aircraft, motor homes, ATVs and other recreational vehicles, other vehicles, and accessories. The Debtor previously had access to the use of a yacht named the \"Lady May.\" The Lady May is owned by HK International Funds Investments (USA) Limited, LLC, which is owned by the Debtor's daughter. The Lady May is currently in port in Europe. The Debtor currently has no access to the Lady May and has had no access to the Lady May for over a year.\n\nThe ownership and/or control of the Lady May was disputed by the Debtor in the New York State Supreme Court action commenced by PAX against the Debtor in response to sanctions and contempt proceedings initiated by PAX. Following an evidentiary hearing, conducted on February 9, 2021, Justice Barry Ostrager found (the \"February 9 Decision\"), among other things, that that the evidence established that the Debtor \"beneficially owns and controls\" the Lady May. The Debtor disagrees with the February 9 Decision and has appealed it. Due to the pending appeal (which is currently stayed), the Debtor does not include the Lady May as an asset of his estate. However, if included as an asset (which the Debtor anticipates will be resolved through this Chapter 11 Case) of his estate, the Lady May may have significant value – in 2015, the sales price for the Lady May was €28 million.\n\ne. Question 6 – Household goods and furnishings. Numerous items fitting the personal and household items definition are located at the Residence and the Apartment. Except as set forth herein, the Debtor has no legal title to the contents of either the Residence or the Apartment, and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in any such items.\n\n- f. Question 7 Electronics Televisions, radios, audio, video, etc. Numerous items fitting the electronics items definition are located at the Residence and the Apartment including, but not limited to, computers, cell phones, and broadcasting equipment. Except as set forth herein, the Debtor has no legal title to the contents of either the Residence or the Apartment, and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in any such items.\n- g. Question 8 Collectibles of value. Any items at the Residence or the Apartment fitting the definition of this category are the property of family or family-controlled enterprises. Except as set forth herein, the Debtor has no legal title to the contents of either the Residence or the Apartment, and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in such items.\n- h. Question 9 Equipment for sports or hobbies. Any items at the Residence or the Apartment fitting the definition of this category are the property of family or family-controlled enterprises. Except as set forth herein, the Debtor has no legal title to the contents of either the Residence or the Apartment, and no court has made any determination that the Debtor has any other interest, equitable or otherwise, in any such items.\n- i. Question 11 Clothes. The Debtor owns both business and casual clothing, including suits, shoes and sneakers from various manufacturers, including high-end brands.\n- j. Question 17 Deposits of money. On October 23, 2018, the High Court of the Hong Kong Special Administrative Region, Court of First Instance (the \"High Court\"), entered a Restraint Order Prohibiting Disposal of Assets In Hong Kong and Elsewhere (the \"Restraint Order\"), dated October 18, 2018. The Restraint Order stated that it would remain in force up to and including April 30, 2019, with the understanding that it would remain in effect pursuant to a further order of the High Court entered on May 3, 2019. The effect of the Restraint Order was to freeze HK\\$3.7 million of funds alleged to belong to the Debtor. As much as billions more of funds and property, including real estate in Hong Kong, of individuals and entities purportedly subject to the Debtor's \"effective control\" (according to the Restraint Order) were also frozen and/or seized. Due to the freezing/seizure of these assets, the Debtor does not include them in his estate.\n- k. Question 18 Bonds, mutual funds, or publicly traded stocks. Out of an abundance of caution, the Debtor refers you to Schedule B Notes, Question 17.\n- l. Question 19 Non-publicly traded stock or interest in incorporated and unincorporated businesses, LLCs, partnerships or joint ventures. The Debtor was the sole shareholder of two controlled foreign corporations: Shiny Times Holdings Ltd. (\"Shiny Times\") and Well Origin Ltd. (\"Well Origin\"). For the following reasons, the Debtor ascribes no value to the interests in these entities.\n- i. In September and October 2017, the Chinese government raided the offices of Shiny Times and seized all accounting corporate records and many personal financial records. Access to the records was not possible after this time. Online access to the bank accounts is frozen and there are no copies or backup of the data available. The Debtor has made all reasonable attempts to obtain the data, but since the seizure, has been unable to obtain financial records for the corporation. Shiny Times has been inactive since that time. The Debtor has not had control of Shiny Times since November 2, 2017.\n- ii. As to Well Origin, a company incorporated in the British Virgin Islands, in April of 2018, UBS took control of the shares of Well Origin, which it held as collateral, as the result of a default on a loan. After taking the shares of Well Origin and selling its assets, UBS put the company into liquidation in the British Virgin Islands. The Debtor has not had control of Well Origin since December 31, 2017.\n\nAs discussed above, in response to Statement Question 1, the Debtor holds the membership interests of the US UPV. The Debtor holds these membership interests in trust for the Apartment Owner.\n\nSee also Schedule B Notes, Question 17, related to numerous entities that are subject to the Restraint Order, and SOFA, Question 9, related to Eastern Profit (as defined below).\n\n- m. Question 20 Government and corporate bonds and other negotiable and nonnegotiable instruments. The Debtor has received the identified refund checks from the United States Treasury and the State of New York Department of Taxation and Finance. These checks are non-negotiated and may be dishonored if deposited because they were issued more than six months ago.\n- n. Question 22 Security deposits and prepayments. In connection with the acquisition of the Apartment, the US SPV provided the cooperative with respect to the Apartment, a security deposit (the \"Apartment Security Deposit\") of \\$5 million for the payment of taxes and other maintenance charges. The Apartment Owner funded the Apartment Security Deposit not from assets of the Debtor. Once the US SPV ceased regularly paying its maintenance charges, the cooperative began applying amounts due against the security deposit. On information and belief, approximately \\$2.065 million of the original Apartment Security Deposit remains. Due to the trust arrangement discussed above, in response to Question 1, the Debtor does not include the value of the remaining Apartment Security Deposit as an asset of his estate.\n- o. Question 25 Trusts, equitable or future interests in property and rights or powers exercised for your benefit. See Schedule B Notes, Questions 17, 19 and 22.\n- p. Question 26 Patents, copyrights, trademarks, trade secrets, and other intellectual property. The Debtor has possible unregistered copyrights and other intellectual property interests in music and videos posted to various digital and media platforms, such as YouTube, GTV, Twitter and GETTR. The Debtor ascribes no value to his social media assets and has made no attempts to monetize his social media presence.\n- q. Question 30 Other amounts someone owes you. See SOFA Notes, Part 4, Question 9 for identification of lawsuits to which the Debtor is asserting a claim.\n\nIn addition, in certain jurisdictions, the prevailing party to a matter is entitled to reimbursement of its costs. In the case captioned *Kwok Ho Wan, Ace Decade Holdings Limited, and Dawn State Limited v. UBS AG (London Branch)*, pending before the High Court of Justice, Business and Property Courts of England and Wales, Queen's Bench Division, Commercial Court, the Debtor may be entitled to the reimbursement of costs related to a recent jurisdictional dispute alongside the other plaintiffs. The amount awarded by the court to all plaintiffs to the action was £94,292.20. The Debtor's ratable entitlement to this amount is undetermined. Further, the defendant has been granted permission to appeal by the court and a successful appeal may result in the plaintiffs being ordered to repay the amount awarded by the court.\n\nIn the case captioned *Wengui Guo v. Baosheng Guo*, pending before the United States District Court for the Eastern District of Virginia, counsel for the Debtor is in receipt of the \\$12,000 judgment awarded in his favor.\n\n- r. Question 31 Interests in insurance policies. The Debtor is covered by his spouse's health insurance policy which has no cash value.\n- s. Question 33 Claims against third parties, whether or not a lawsuit has been filed or made a demand for payment. The Debtor is a claimant in certain litigation identified on the SOFA Notes, Part 4, question 9.\n- t. Question 37 Legal or equitable interest in any business-related property. See Schedule B Notes, Questions 17 and 19 above.\n- u. Question 39 Office equipment furnishings or supplies. There is nothing in this category that is not already covered by responses to Schedule B Notes, Questions 6 and 7 above.\n- v. Question 42 Interests in Partnership or Joint Ventures. See Schedule B Notes, Questions 17 and 19.\n- w. Question 53 Property of the kind not already listed. The Debtor is identified as the member for his family's membership at The Mar-a-Lago Club, located in Palm Beach, Florida. The membership has been active since 2015. The Debtor is not responsible for the payment of the membership dues, nor is he entitled to the refund\n\nof any deposits that may have previously been paid upon termination of the membership.\n\n- 2. Schedule C.\n\t- a. The Debtor does not identify any exempt property at this time. However, the Debtor reserves the right to amend such exemption selection should he be found to own assets in excess of his clothing and his dog during the pendency of the bankruptcy.\n\n### 3. Schedule D.\n\n- a. Based on the information currently available to the Debtor, the Debtor believes that Schedule D accurately reflects all creditors with secured claims against the Debtor. To the extent the Debtor discovers that any additional secured claims exist, the Debtor may amend Schedule D accordingly to reflect such claims.\n- b. The Debtor reserves all of his rights to amend Schedule D to the extent that the Debtor determines that any claims should be reported on Schedule D. Nothing herein shall be construed as an admission by the Debtor of the legal rights of the claimant, deemed a modification or interpretation of the terms of any agreement, or considered a waiver of the Debtor's rights to recharacterize or reclassify any claim or contract.\n- c. The Debtor has not included on Schedule D parties that may believe their claims are secured through setoff rights or inchoate statutory lien rights.\n- d. Except as otherwise agreed or ordered by the Bankruptcy Court, the Debtor reserves his rights to dispute or challenge the validity, perfection or immunity from avoidance of any lien purported to be granted or perfected in any specific asset of a secured creditor of the Debtor. Moreover, the Debtor reserves all of his rights to dispute or challenge the secured nature of any such creditor's claim or the characterization of the structure of any such transaction or any document or instrument related to such creditor's claim.\n- e. The Debtor is party to litigation funding agreements (\"Litigation Funding Agreements\") wherein the Debtor pledged a security interest in, among other things, certain claims and the proceeds thereof to certain entities owned or controlled by the Debtor's son (each, a \"Litigation Funder\"). The Debtor does not believe the security interests were perfected.\n\n### 4. Schedule E/F.\n\na. The Debtor has used reasonable efforts to report all unsecured claims against him on Schedule E/F. The claims listed on Schedule E/F arose or were incurred on various dates. In certain instances, the date on which a claim arose is an open issue of fact. Although reasonable efforts have been made to identify the date of incurrence of each claim, the determination of the date that each claim in Schedule E/F was incurred or arose would be unduly burdensome and cost prohibitive.\n\nTherefore, while the Debtor does not provide a date for each claim listed on Schedule E/F, to the best of the Debtor's knowledge, all claims listed on Schedule E/F have arisen or were incurred before the Petition Date.\n\n- b. The Debtor reserves the right to assert that any such claims are contingent, unliquidated and/or disputed, as applicable.\n- c. The Debtor reserves the right to assert that any claim listed on Schedule E/F does not constitute a priority claim under section 507 of the Bankruptcy Code and thus constitutes an unsecured nonpriority claim.\n- d. The claims of individual creditors may not reflect credits and/or allowances due from creditors to the Debtor. The Debtor reserves all of his rights with respect to any such credits and/or allowances, including the right to assert objections and/or setoffs with respect to same.\n- e. Schedule E/F may include pending litigations or legal actions involving the Debtor. These pending litigations or legal actions are also reflected in response to SOFA Question 7. In all instances, the amount that is the subject of the litigation is uncertain or undetermined. The Debtor believes that the amount of any potential claims associated with any such pending litigation is contingent, unliquidated, and disputed. The inclusion of any litigation in the Schedules and/or SOFA or otherwise does not constitute an admission of liability alleged in such litigation.\n- f. To the extent they are known, Schedule E/F represents the prepetition amounts owing to counterparties to executory contracts and unexpired leases. Such prepetition amounts, however, may be paid in connection with the assumption or the assumption and assignment of an executory contract or unexpired lease. Additionally, Schedule E/F does not include potential rejection damage claims, if any, of the counterparties to executory contracts and unexpired leases that may be rejected.\n\n### 5. Schedule G.\n\n- a. Although the Debtor used reasonable efforts to identify and schedule executory contracts and unexpired leases, inadvertent errors or omissions may have occurred. The Debtor reserves all rights to dispute the validity, status, or enforceability of any contracts, agreements, or leases set forth in Schedule G and to amend or supplement Schedule G as necessary. The contracts, agreements and leases listed therein may have expired or been modified, amended, or supplemented from time to time by various amendments, restatement, waivers, estoppel certificates, letters, memoranda and other documents, instruments, and agreements which may not be listed therein.\n- b. The presence of a contract or agreement on Schedule G does not constitute an admission as to the existence, validity or enforceability of the contract or agreement, or that such contract or agreement is an executory contract or unexpired lease, and the omission of a contract or agreement from Schedule G does not\n\nconstitute an admission that a contract or agreement does not exist. The Debtor reserves all rights, claims, and causes of action with respect to the contracts and agreements listed on Schedule G, including the rights to dispute or challenge the characterization or the structure of any transaction document or instrument. Certain executory agreements may not have been memorialized in writing and could be subject to dispute.\n\n### 6. Schedule H.\n\na. The Debtor is involved in pending or threatened litigation. These matters may involve multiple plaintiffs and defendants, some or all of whom may assert crossclaims and counter-claims against other parties. Because all such claims are contingent, disputed and/or unliquidated, such claims have been set forth on both Schedules F (and flagged as contingent, liquidated and disputed) and H.\n\n### 7. Schedule I.\n\na. The Debtor has no income that meets any definition of income on Schedule I. The Debtor does receive support funded by family and companies controlled by family for housing, household and living expenses. None of the funding related to housing, household or living expenses is subject to any claim by the funding source and all housing, household and living expense funding is without any agreement or expectation to be repaid. The Debtor plans to amend Form 122B, filed on February 15, 2022 [Docket No. 3], in which the Debtor erroneously claimed monthly income of \\$19,488.00. Such funds stated were as described herein and are not properly defined or described as income.\n\n### 8. Schedule J.\n\na. Consistent with the reporting on Schedule I, all expenses of any kind including housing, household and living, are funded by third party family members or by companies they control. The Debtor has no expenses for which he is personally liable. The Debtor reserves his right to amend this Schedule in the future should his circumstances change.\n\n### 9. Specific Notes Regarding the Debtor's Statement of Financial Affairs (SOFA).\n\n- a. SOFA Question 1. The Debtor and his spouse consider themselves married even though they do not have a certificate from China evidencing their marriage. The couple has been living together for over 30 years, file joint tax returns, and have two children together.\n- b. SOFA Question 2. The Debtor previously lived at the Apartment from on or about March/April 2015 through September 2015 and then from March/April 2017 through February 2020.\n- c. SOFA Question 5. The Debtor has no income that meets any definition of income for this question or on 122B or Schedule I. The debtor does receive support funded\n\nby family and companies controlled by family for housing, household and living expenses. None of the funding related to the housing, household or living expenses is subject to any claim by the funding source and there is no expectation or agreement in place relative to repayment. The Debtor is amending Form 122B, in which the Debtor erroneously claimed monthly income of \\$19,488.00. Such funds stated are as described herein and are not properly defined or described as income.\n\n- d. SOFA Question 6. Professional payments listed in this category were made on behalf of the Debtor by family or companies controlled by family and are subject to the Litigation Funding Agreements. The payments are reported because there is an expectation of repayment from any proceeds contingent upon the resolution of the litigation. In addition, the Debtor does receive support funded by family and companies controlled by family for housing, household and living expenses. None of the funding related to the housing, household or living expenses is subject to any claim by the funding source, and there is no expectation or agreement in place relative to repayment. They are therefore excluded from this list. There were two payments made by the family totaling \\$109,827.12 that were inadvertently made post-petition, on February 16, 2022. These payments are being treated as gifts.\n- e. SOFA Question 8. The Debtor borrowed funds from Litigation Funders (see SOFA Question 12, below) to pursue and defend against litigation. In certain instances, entities affiliated with the Debtor's son are party to the litigation. He is not responsible for the costs incurred by such parties to the litigation. To the extent the Litigation Funder inadvertently allocated such third-party costs to the Debtor, the Debtor intends to dispute such liability.\n- f. SOFA Question 9. The Debtor has made reasonable best efforts to identity all current pending litigation, investigations and other legal actions involving the Debtor. However, certain omissions may have inadvertently occurred. The inclusion of any legal action in this question does not constitute an admission by the Debtor of any liability, the validity of any litigation or the amount of any potential claim that may result from any claims with respect to any legal action and the amount and treatment of any potential claim resulting from any legal action currently pending or that may arise in the future. The Debtor is a party to numerous lawsuits that are currently in various stages, as a plaintiff, defendant, or codefendant. All litigation costs for the benefit of the Debtor are funded by companies controlled by family or through various Litigation Funding Agreements, all of which are listed on Schedule G.\n\nIn ruling that Eastern Profit Corporation Limited (\"Eastern Profit\") prevailed on its breach of contract claim against Strategic Vision US LLC (\"Strategic Vision\"), and was thus entitled to collect on its \\$1 million judgment against Strategic Vision, the United States District Court for the Southern District of New York made a passing remark concerning the Debtor's purported relationship to Eastern Profit, that the company was \"in essence, a shell corporation for\" the Debtor and his family. For this reason alone, the Debtor schedules this action. Eastern Profit is owned and\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 14 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 13 of 25 26\n\ncontrolled by the Debtor's daughter, and the Debtor disputes that he has an interest in the company.\n\n- g. SOFA Question 10. See Schedule B Notes, Questions 17 (assets subject to the Restraint Order) and 19 (Shiny Times Holdings Ltd. and Well Origin Ltd.).\n- h. SOFA Question 12. See Schedule B Notes, Questions 1 (the Apartment), 17 (assets subject to the Restraint Order) and 19 (Shiny Times Holdings Ltd. and Well Origin Ltd.).\n- i. SOFA Question 16. Prior to the Petition Date, on each of February 14, 2021, and February 15, 2021, Brown Rudnick was paid a retainer of \\$500,000. The source of \\$1 million in retainer payments (the \"BR Retainer\") was Lamp Capital LLC (\"Lamp\"). Lamp loaned the Debtor \\$1 million, and the Debtor directed Lamp to remit the proceeds of the loan directly to Brown Rudnick\n- j. SOFA Question 18. Within two years of the Debtor's Chapter 11 case, the Debtor entered into Litigation Funding Agreements with Litigation Funders. The most recent Litigation Funding Agreement is dated November 8, 2021. Pursuant to the Litigation Funding Agreements, the Litigation Funder has agreed to advance loans in connection with the Debtor's efforts to collect on judgments or damages he suffered. The Litigation Funding Agreements provide for a grant of a security interest in the Debtor's underlying claims and litigation proceeds to the applicable Litigation Funder.\n- k. SOFA Question 22. The Debtor continues to have access to the Apartment. Accordingly, he continues to store certain clothing and personal items there.\n- l. SOFA Question 23. See SOFA Notes, Question 12. See Schedules Notes Questions 1, 3, 4, 6, 7, 8, 9, and 11. The Debtor has use of the Residence, various vehicles and numerous items fitting the personal and household items definition, such property being located at the Residence. The Debtor has no legal title to the Residence, the vehicles or its contents, and no court has made any determination that the Debtor has any other interest, equitable or otherwise in any such items.\n- m. SOFA Question 27. See Schedule B Notes, Questions 17 and 19.\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 15 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 14 of 25 26\n\n| | Fill in this information to identify your case: | | | |\n|-----------------------------------------|-------------------------------------------------|-------------------------|-----------|--|\n| Debtor 1 | Ho Wan Kwok | | | |\n| | First Name | Middle Name | Last Name | |\n| Debtor 2 | | | | |\n| (Spouse if, filing) | First Name | Middle Name | Last Name | |\n| United States Bankruptcy Court for the: | | DISTRICT OF CONNECTICUT | | |\n| Case number | 22-50073 | | | |\n| (if known) | | | | |\n\n## Official Form 107 **Statement of Financial Affairs for Individuals Filing for Bankruptcy 4/19**\n\n**Be as complete and accurate as possible. If two married people are filing together, both are equally responsible for supplying correct information. If more space is needed, attach a separate sheet to this form. On the top of any additional pages, write your name and case number (if known). Answer every question.**\n\n**Part 1: Give Details About Your Marital Status and Where You Lived Before**\n\n### **1. What is your current marital status?**\n\nMarried Not married\n\n**2. During the last 3 years, have you lived anywhere other than where you live now?**\n\nYes. List all of the places you lived in the last 3 years. Do not include where you live now.\n\n| Debtor 1 Prior Address: | Dates Debtor 1
lived there | Debtor 2 Prior Address: | Dates Debtor 2
lived there |\n|--------------------------------------|-----------------------------------------|-------------------------|-------------------------------|\n| 781 5th Avenue
New York, NY 10022 | From-To:
March 2015 to
March 2020 | Same as Debtor 1 | Same as Debtor 1
From-To: |\n\n**3. Within the last 8 years, did you ever live with a spouse or legal equivalent in a community property state or territory?** (*Community property states and territories* include Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Puerto Rico, Texas, Washington and Wisconsin.)\n\n| | No
Yes. Make sure you fill out Schedule H: Your Codebtors (Official Form 106H). |\n|--------|------------------------------------------------------------------------------------|\n| Part 2 | Explain the Sources of Your Income |\n\n**4. Did you have any income from employment or from operating a business during this year or the two previous calendar years?** Fill in the total amount of income you received from all jobs and all businesses, including part-time activities. If you are filing a joint case and you have income that you receive together, list it only once under Debtor 1.\n\nNo Yes. Fill in the details.\n\n> **Debtor 1 Debtor 2 Sources of income** Check all that apply.\n\n**Gross income** (before deductions and exclusions)\n\n**Sources of income** Check all that apply.\n\n**Gross income** (before deductions and exclusions)\n\n| Case 22-50073
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Page 16 of |\n|--------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|\n| | 26 |\n\n| Debtor 1 | | | Ho Wan Kwok | |\n|----------|--|--|-------------|--|\n|----------|--|--|-------------|--|\n\nDebtor 1 **Ho Wan Kwok** Case number (*if known*) **22-50073**\n\n#### **5. Did you receive any other income during this year or the two previous calendar years?**\n\nInclude income regardless of whether that income is taxable. Examples of *other income* are alimony; child support; Social Security, unemployment, and other public benefit payments; pensions; rental income; interest; dividends; money collected from lawsuits; royalties; and gambling and lottery winnings. If you are filing a joint case and you have income that you received together, list it only once under Debtor 1.\n\nList each source and the gross income from each source separately. Do not include income that you listed in line 4.\n\n| | | No | Yes. Fill in the details. | | | | | | | | | | |\n|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------|----------------------------|---------------------------------------|------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------|------------------------------------------------------------|-------------------------|--------------------------------------|--------------------------|-------------------------------------------------------|--------|\n| | | | | | Debtor 1 | | | | Debtor 2 | | | | |\n| | | | | | Describe below. | Sources of income | exclusions) | Gross income from
each source
(before deductions and | | Sources of income
Describe below. | | Gross income
(before deductions
and exclusions) | |\n| | Part 3: | | | | | List Certain Payments You Made Before You Filed for Bankruptcy | | | | | | | |\n| 6. | | No. | | | | Are either Debtor 1's or Debtor 2's debts primarily consumer debts?
Neither Debtor 1 nor Debtor 2 has primarily consumer debts. Consumer debts are defined in 11 U.S.C. § 101(8) as \"incurred by an
individual primarily for a personal, family, or household purpose.\" | | | | | | | |\n| | | | | | | During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$6,825* or more? | | | | | | | |\n| | | | No. | Go to line 7. | | | | | | | | | |\n| | | | Yes | | | List below each creditor to whom you paid a total of \\$6,825* or more in one or more payments and the total amount you
paid that creditor. Do not include payments for domestic support obligations, such as child support and alimony. Also, do
not include payments to an attorney for this bankruptcy case.
* Subject to adjustment on 4/01/22 and every 3 years after that for cases filed on or after the date of adjustment. | | | | | | | |\n| | | Yes. | | | | Debtor 1 or Debtor 2 or both have primarily consumer debts.
During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$600 or more? | | | | | | | |\n| | | | No. | Go to line 7. | | | | | | | | | |\n| | | | Yes | attorney for this bankruptcy case. | | List below each creditor to whom you paid a total of \\$600 or more and the total amount you paid that creditor. Do not
include payments for domestic support obligations, such as child support and alimony. Also, do not include payments to an | | | | | | | |\n| | Creditor's Name and Address | | | | Dates of payment | | Total amount
paid | | Amount you
still owe | | Was this payment for | | |\n| | | | See attached schedule # 6 | | | | | \\$2,054,671.92 | | \\$732,212.31 | Mortgage
Car
Other | Credit Card
Loan Repayment
Suppliers or vendors | |\n| 7. | Within 1 year before you filed for bankruptcy, did you make a payment on a debt you owed anyone who was an insider?
Insiders include your relatives; any general partners; relatives of any general partners; partnerships of which you are a general partner; corporations
of which you are an officer, director, person in control, or owner of 20% or more of their voting securities; and any managing agent, including one for
a business you operate as a sole proprietor. 11 U.S.C. § 101. Include payments for domestic support obligations, such as child support and
alimony.
No | | | | | | | | | | | | |\n| | | | Insider's Name and Address | Yes. List all payments to an insider. | | Dates of payment | | Total amount | | Amount you | | Reason for this payment | |\n| | | | | | | | | paid | | still owe | | | |\n| 8. | | insider? | | | | Within 1 year before you filed for bankruptcy, did you make any payments or transfer any property on account of a debt that benefited an
Include payments on debts guaranteed or cosigned by an insider. | | | | | | | |\n| | | No | | Yes. List all payments to an insider | | | | | | | | | |\n| | | | Insider's Name and Address | | | Dates of payment | | Total amount
paid | | Amount you
still owe | Include creditor's name | Reason for this payment | |\n| | | Official Form 107 | | | | Statement of Financial Affairs for Individuals Filing for Bankruptcy | | | | | | | page 2 |\n\n| Case 22-50073
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Page 17 of |\n|--------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|\n| | 26 |\n\n| Debtor 1 | Ho Wan Kwok | Case number (if known) | 22-50073 |\n|----------|-------------|------------------------|----------|\n| | | | |\n\n| | Part 4:
Identify Legal Actions, Repossessions, and Foreclosures | | | | | | |\n|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|-----------------|-----------------------------------|--------------------------|--|--|\n| Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?
9.
List all such matters, including personal injury cases, small claims actions, divorces, collection suits, paternity actions, support or custody
modifications, and contract disputes. | | | | | | | |\n| | No
Yes. Fill in the details. | | | | | | |\n| | Case title
Case number | Nature of the case | Court or agency | Status of the case | | | |\n| | See Attached Schedule # 9 | | | Pending
On appeal
Concluded | | | |\n| 10. | Within 1 year before you filed for bankruptcy, was any of your property repossessed, foreclosed, garnished, attached, seized, or levied?
Check all that apply and fill in the details below.
No. Go to line 11. | | | | | | |\n| | Yes. Fill in the information below. | | | | | | |\n| | Creditor Name and Address | Describe the Property | | Date | Value of the
property | | |\n| | | Explain what happened | | | | | |\n| 11. | Within 90 days before you filed for bankruptcy, did any creditor, including a bank or financial institution, set off any amounts from your
accounts or refuse to make a payment because you owed a debt?
No
Yes. Fill in the details. | | | | | | |\n| | Creditor Name and Address | Describe the action the creditor took | | Date action was
taken | Amount | | |\n| 12. | Within 1 year before you filed for bankruptcy, was any of your property in the possession of an assignee for the benefit of creditors, a
court-appointed receiver, a custodian, or another official? | | | | | | |\n| | No
Yes | | | | | | |\n| | Part 5:
List Certain Gifts and Contributions | | | | | | |\n| 13. | Within 2 years before you filed for bankruptcy, did you give any gifts with a total value of more than \\$600 per person?
No
Yes. Fill in the details for each gift. | | | | | | |\n| | Gifts with a total value of more than \\$600
per person | Describe the gifts | | Dates you gave
the gifts | Value | | |\n| | Person to Whom You Gave the Gift and
Address: | | | | | | |\n| 14. | Within 2 years before you filed for bankruptcy, did you give any gifts or contributions with a total value of more than \\$600 to any charity?
No
Yes. Fill in the details for each gift or contribution. | | | | | | |\n| | Gifts or contributions to charities that total
more than \\$600 | Describe what you contributed | | Dates you
contributed | Value | | |\n\n**Charity's Name**\n\n**Address (Number, Street, City, State and ZIP Code)**\n\nCase 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 18 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 17 of 25\n\n26\n\nDebtor 1 **Ho Wan Kwok** Case number (*if known*) **22-50073**\n\n#### **Part 6: List Certain Losses**\n\n15. **Within 1 year before you filed for bankruptcy or since you filed for bankruptcy, did you lose anything because of theft, fire, other disaster, or gambling?**\n\n| No
Yes. Fill in the details. | | | |\n|-------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------|---------------------------|\n| Describe the property you lost and
how the loss occurred | Describe any insurance coverage for the loss
Include the amount that insurance has paid. List pending
insurance claims on line 33 of Schedule A/B: Property. | Date of your
loss | Value of property
lost |\n\n#### **Part 7: List Certain Payments or Transfers**\n\n16. **Within 1 year before you filed for bankruptcy, did you or anyone else acting on your behalf pay or transfer any property to anyone you consulted about seeking bankruptcy or preparing a bankruptcy petition?**\n\nInclude any attorneys, bankruptcy petition preparers, or credit counseling agencies for services required in your bankruptcy.\n\n| No
Yes. Fill in the details. | | | |\n|-------------------------------------------------------------------------------------------------------|------------------------------------------------------|--------------------------------------------------------|----------------------|\n| Person Who Was Paid
Address
Email or website address
Person Who Made the Payment, if Not You | Description and value of any property
transferred | Date payment
or transfer was
made | Amount of
payment |\n| Brown Rudnick LLP
1 Financial Center
Boston, MA 02111
Lamp Capital LLC | | \\$500,000 on
2/14/2022
\\$500,000 on
2/15/2022 | \\$1,000,000.00 |\n\n17. **Within 1 year before you filed for bankruptcy, did you or anyone else acting on your behalf pay or transfer any property to anyone who promised to help you deal with your creditors or to make payments to your creditors?** Do not include any payment or transfer that you listed on line 16.\n\n| | No
Yes. Fill in the details. | | | | |\n|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|----------------------------------------------------------------------------|-----------------------------------------|---------------------------|\n| | Person Who Was Paid
Address | Description and value of any property
transferred | | Date payment
or transfer was
made | Amount of
payment |\n| 18. | Within 2 years before you filed for bankruptcy, did you sell, trade, or otherwise transfer any property to anyone, other than property
transferred in the ordinary course of your business or financial affairs?
Include both outright transfers and transfers made as security (such as the granting of a security interest or mortgage on your property). Do not
include gifts and transfers that you have already listed on this statement.
No
Yes. Fill in the details. | | | | |\n| | Person Who Received Transfer
Address | Description and value of
property transferred | Describe any property or
payments received or debts
paid in exchange | | Date transfer was
made |\n| | Person's relationship to you | | | | |\n| 19. | Within 10 years before you filed for bankruptcy, did you transfer any property to a self-settled trust or similar device of which you are a
beneficiary? (These are often called asset-protection devices.)
No
Yes. Fill in the details. | | | | |\n\n**Name of trust Description and value of the property transferred Date Transfer was**\n\n**made**\n\n| Case 22-50073
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Page 19 of | |\n|--------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|--|\n| | | |\n\n26\n\nDebtor 1 **Ho Wan Kwok** Case number (*if known*) **22-50073**\n\n#### **Part 8: List of Certain Financial Accounts, Instruments, Safe Deposit Boxes, and Storage Units**\n\n20. **Within 1 year before you filed for bankruptcy, were any financial accounts or instruments held in your name, or for your benefit, closed, sold, moved, or transferred?**\n\n**Include checking, savings, money market, or other financial accounts; certificates of deposit; shares in banks, credit unions, brokerage houses, pension funds, cooperatives, associations, and other financial institutions.**\n\n**No**\n\n**Yes. Fill in the details.**\n\n**Name of Financial Institution and Address (Number, Street, City, State and ZIP Code)**\n\n**Last 4 digits of account number** **Type of account or instrument**\n\n**Date account was closed, sold, moved, or transferred**\n\n**Last balance before closing or transfer**\n\n21. **Do you now have, or did you have within 1 year before you filed for bankruptcy, any safe deposit box or other depository for securities, cash, or other valuables?**\n\n| No
Yes. Fill in the details. | | | | | |\n|--------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------|----------------------------------------------------------|--------------------------|--|--|\n| Name of Financial Institution
Address (Number, Street, City, State and ZIP Code) | Who else had access to it?
Address (Number, Street, City,
State and ZIP Code) | Describe the contents | Do you still
have it? | | |\n| 22.
Have you stored property in a storage unit or place other than your home within 1 year before you filed for bankruptcy? | | | | | |\n| No
Yes. Fill in the details. | | | | | |\n| Name of Storage Facility
Address (Number, Street, City, State and ZIP Code) | Who else has or had access
to it?
Address (Number, Street, City,
State and ZIP Code) | Describe the contents | Do you still
have it? | | |\n| The Sherry-Netherland Hotel
781 5th Avenue
New York, NY 10022 | | Business and Casual Clothes
and other household items | No
Yes | | |\n\n#### **Part 9: Identify Property You Hold or Control for Someone Else**\n\n23. **Do you hold or control any property that someone else owns? Include any property you borrowed from, are storing for, or hold in trust for someone.**\n\n| No
Yes. Fill in the details. | | | |\n|--------------------------------------------------------------------|-------------------------------------------------------------------------|-----------------------|--------|\n| Owner's Name
Address (Number, Street, City, State and ZIP Code) | Where is the property?
(Number, Street, City, State and ZIP
Code) | Describe the property | Value |\n| Refer to Global Notes Question 23 | | | \\$0.00 |\n\n#### **Part 10: Give Details About Environmental Information**\n\n**For the purpose of Part 10, the following definitions apply:**\n\n- *Environmental law* **means any federal, state, or local statute or regulation concerning pollution, contamination, releases of hazardous or toxic substances, wastes, or material into the air, land, soil, surface water, groundwater, or other medium, including statutes or regulations controlling the cleanup of these substances, wastes, or material.**\n- *Site* **means any location, facility, or property as defined under any environmental law, whether you now own, operate, or utilize it or used to own, operate, or utilize it, including disposal sites.**\n- *Hazardous material* **means anything an environmental law defines as a hazardous waste, hazardous substance, toxic substance, hazardous material, pollutant, contaminant, or similar term.**\n\n**Report all notices, releases, and proceedings that you know about, regardless of when they occurred.**\n\n26\n\nDebtor 1 **Ho Wan Kwok** Case number (*if known*) **22-50073**\n\n**24. Has any governmental unit notified you that you may be liable or potentially liable under or in violation of an environmental law?**\n\n| | No
Yes. Fill in the details. | | | | |\n|-----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------|-----------------------|--|\n| | Name of site
Address (Number, Street, City, State and ZIP Code) | Governmental unit
Address (Number, Street, City, State and
ZIP Code) | Environmental law, if you
know it | Date of notice | |\n| 25. | Have you notified any governmental unit of any release of hazardous material?
No | | | | |\n| | Yes. Fill in the details. | | | | |\n| | Name of site
Address (Number, Street, City, State and ZIP Code) | Governmental unit
Address (Number, Street, City, State and
ZIP Code) | Environmental law, if you
know it | Date of notice | |\n| 26. | Have you been a party in any judicial or administrative proceeding under any environmental law? Include settlements and orders. | | | | |\n| | No
Yes. Fill in the details. | | | | |\n| | Case Title
Case Number | Court or agency
Name
Address (Number, Street, City,
State and ZIP Code) | Nature of the case | Status of the
case | |\n| | Part 11:
Give Details About Your Business or Connections to Any Business | | | | |\n| | A partner in a partnership
An officer, director, or managing executive of a corporation
No. None of the above applies. Go to Part 12.
Business Name
Address
(Number, Street, City, State and ZIP Code)
Genever Holdings Corporation
P.O. Box 3170
Tortola, British Virgin Islands | A sole proprietor or self-employed in a trade, profession, or other activity, either full-time or part-time
A member of a limited liability company (LLC) or limited liability partnership (LLP)
An owner of at least 5% of the voting or equity securities of a corporation
Yes. Check all that apply above and fill in the details below for each business.
Describe the nature of the business
Name of accountant or bookkeeper
Holding Company for Genever
Holdings LLC | Employer Identification number
Do not include Social Security number or ITIN.
Dates business existed
EIN:
From-To | | |\n| | Shiny Times Holdings, LTD
173 Des Voex Road Cntrl
4/F Nan Fung Twr, R411
Hong Kong, 9990777 Hong Kong | Investment Vehicle
MICHAEL LI & CO. , C/O HENRY
WONG 19/F PROSPERITY
TOWER, NO 39
QUEENS ROAD CENTRAL
HONG KONG | EIN:
From-To
12/13/2007 to 12/31/2020 | | |\n| | Well Origin Limited
173 Des Voex Road Cntrl
4/F Nan Fung Twr, R411 | Investment Vehicle
MICHAEL LI & CO. , C/O HENRY
WONG 19/F PROSPERITY
TOWER, NO 39
QUEENS ROAD CENTRAL
HONG KONG | EIN:
From-To
4/1/2010 to 12/31/2020 | | |\n\n| V
No | |\n|--------------------------------------------|----------|\n| Yes. Fill in the details below. | |\n| Name | Date Iss |\n| Address | |\n| (Number, Street, City, State and ZIP Code) | |\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 22 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 21 of 25\n\n| 26 | | | | | | | | | | | |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------------|------------------------|--------------|-------|-------|----------------------------|------------------------------------|-----------------|-------------------------|------------------------------|\n| Ho Wan Kwok | | | | | | | | | | | |\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | | | | | | | |\n| Statement of Financial Affairs- (Question # 6 - During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$600 or more) | | | | | | | | | | | |\n| | | | | | | | | | | | |\n| Creditor Name | Address1 | Address2 | Address3 | City | State | Zip | Date | Dates of Payment
Amount
Paid | Total Amount | Amount You Still
Owe | Reason for Payment |\n| Andrew Sulner/Forensic Document Examinations, LLC | 220 East 57th Street | Suite 200 | | New York | NY | 10022 | 12/20/21 \\$ | 52,566.25 \\$ | 52,566.25 | Unknown | Other- Professional Services |\n| Baker Hostetler LLP | 45 Rockefeller Plaza | | | New York | NY | 10111 | 12/27/21 \\$ | 275,000.00 \\$ | 275,000.00 | \\$452,294.38 | Other- Professional Services |\n| | | | | | | | | | | | |\n| Clayman & Rosenberg LLP | | | | | | | 12/16/21 \\$ | 116,454.73 | | | |\n| Clayman & Rosenberg LLP
Clayman & Rosenberg LLP | 305 Madison Avenue | Suite 650 | | New York | NY | 10165 | 01/11/22 \\$
02/16/22 \\$ | 40,172.34
89,508.91 \\$ | 246,135.98 | \\$13,899.04 | Other- Professional Services |\n| Counsel Press Inc. | 460 West 34th Street | 4th Floor | | New York | NY | 10001 | 01/19/22 \\$ | 36,729.37 \\$ | 36,729.37 | Unknown | Other- Professional Services |\n| Eric Goldsmith MD, LLC | 420 Madison Avenue | Suite 1201 | | New York | NY | 10017 | 02/09/22 \\$ | 11,700.00 \\$ | 11,700.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| Forbes Hare
Forbes Hare | Qwomar Building, PO Box 4649 | Road Town Tortola VG1110 | British Virgin Islands | | | | 12/10/21 \\$
01/28/22 \\$ | 27,032.01
14,577.01 \\$ | 41,609.02 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| Ganfer Shore Leeds & Zauderer LLP
Ganfer Shore Leeds & Zauderer LLP | | | | | | | 12/07/21 \\$
12/31/21 \\$ | 20,350.18
22,753.02 | | | |\n| Ganfer Shore Leeds & Zauderer LLP | 360 Lexington Avenue | | | New York | NY | 10017 | 02/09/22 \\$ | 14,119.22 \\$ | 57,222.42 | \\$60,133.05 | Other- Professional Services |\n| Harcus Parker | 7th Floor, Melbourne House | 44-46 Aldwych | London, WC2B 4LL | | | | 02/09/22 \\$ | 109,780.43 \\$ | 109,780.43 | Unknown | Other- Professional Services |\n| Janover LLC | 100 Quentin Roosevelt Blvd | Suite 516 | | Garden City | NY | 11530 | 12/10/21 \\$ | 29,164.95 \\$ | 29,164.95 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| Lawall & Mitchell, LLC
Lawall & Mitchell, LLC | 55 Madison Avenue | 4th Floor | | Morristown | NJ | 07960 | 11/29/21 \\$
1/18/22 \\$ | 1,720.00
2,160.00 \\$ | 3,880.00 | \\$4,880.00 | Other- Professional Services |\n| | | | | | | | | | | | |\n| Petrillo Klein & Boxer LLP
Petrillo Klein & Boxer LLP | | | | | | | 12/17/21 \\$
01/26/22 \\$ | 65,848.00
44,490.50 | | | |\n| Petrillo Klein & Boxer LLP | 655 Third Avenue | 22nd Floor | | New York | NY | 10017 | 02/03/22 \\$ | 17,581.00 \\$ | 127,919.50 | \\$10,634.50 | Other- Professional Services |\n| Roy D. Simon | | | | | | | 01/12/22 \\$ | 48,708.00 | | | |\n| Roy D. Simon | 205 West End Avenue | Suite 8N | | New York | NY | 10023 | 01/18/22 \\$ | 9,523.20 \\$ | 58,231.20 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| Schulman Bhattacharya, LLC | | | | | | | 11/17/21 \\$ | 114,515.42 | | | |\n| Schulman Bhattacharya, LLC
Schulman Bhattacharya, LLC | | | | | | | 11/19/21 \\$
12/20/21 \\$ | 94,033.12
135,632.31 | | | |\n| Schulman Bhattacharya, LLC | 6116 Executive Boulevard | Suite 425 | | Bethesda | MD | 20852 | 02/09/22 \\$ | 256,061.00 \\$ | 600,241.85 | \\$173,987.48 | Other- Professional Services |\n| | | | | | | | | | | | |\n| Selas Montbrial Avocats | 10, Rue Cimarosa | 75116 | Paris- France | | | | 02/16/22 \\$ | 20,318.21 \\$ | 20,318.21 | \\$9,120.87 | Other- Professional Services |\n| The Casper Firm | | | | | | | 11/17/21 \\$ | 77,934.00 | | | |\n| The Casper Firm | | | | | | | 12/21/21 \\$ | 141,197.55 | | | |\n| The Casper Firm
The Casper Firm | 400 E. Pratt Street | Suite 903 | | Baltimore, | MD | 21202 | 01/26/22 \\$
02/09/22 \\$ | 125,663.00
28,013.00 \\$ | 372,807.55 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| The Francis Firm PLLC | | | | | | | 12/7/21 \\$ | 10,000.00 | | | |\n| The Francis Firm PLLC | | | | | | | 1/11/22 \\$ | 10,000.00 | | | |\n| The Francis Firm PLLC | 33 W 60th Street | Floor 2 | | New York | NY | 10023 | 2/7/22 | 10,000.00 \\$
\\$ | 30,000.00 | \\$2,500.00 | Other- Professional Services |\n| | | | | | | | | | | | |\n| U.S. Legal Support, Inc.
U.S. Legal Support, Inc. | 200 West Jackson | Suite 600 | | Chicago | IL | 60606 | 01/12/22 \\$
02/03/22 \\$ | 1,028.75
2,034.03 \\$ | 3,062.78 | \\$1,638.00 | Other- Professional Services |\n| Una Manyee Wilkinson | | | | | | | 12/01/21 \\$ | 600.00 | | | |\n| Una Manyee Wilkinson | | | | | | | 01/12/22 \\$ | 1,200.00 | | | |\n| Una Manyee Wilkinson | 68-18 Juno Street | | | Forest Hills | NY | 11375 | 02/03/22 \\$ | 1,600.00 \\$ | 3,400.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| Veritext | 290 West Mt. Pleasant Ave. | | | | | | 12/10/21 \\$ | 943.00 | | | |\n| Veritext | | Suite 3200 | | Livingston | NJ | 07039 | 01/12/22 \\$ | 13,967.00 \\$ | 14,910.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | | |\n| VX Cerda & Associates | 601 Brickell Key Drive | Suite 700 | | Miami | FL | 33131 | 12/22/21 \\$ | 3,055.33 \\$ | 3,055.33 | \\$3,124.99 | Other- Professional Services |\n| William Bradley Wendel | 123 Burleigh Drive | | | Ithaca | NY | 14850 | 01/12/22 \\$ | 9,503.33 \\$ | 9,503.33 | Unknown | Other- Professional Services |\n| | | | | | | | | | \\$ 2,054,671.92 | \\$732,212.31 | |\n| | | | | | | | | | | | |\n| | | | | | | | | | | | |\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 23 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 22 of 25\n\n| | | 26 | | | |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|-------------------------|---------------------------------------|------------------------------|--------|\n| Ho Wan Kwok | | | | | |\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | |\n| Statement of Financial Affairs - Question # 9 (Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?) | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status |\n| | | | | | |\n| | | | | | |\n| Pacific Alliance Asia Opportunity Fund L.P. v. Kwok Ho Wan (and | | | | New York County Courthouse | |\n| other a/k/a names), Genever Holdings Corporation, and Genever | | | | 60 Centre Street | |\n| Holdings LLC | 652077/2017 | Breach of Contract | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | | |\n| Pacific Alliance Asia Opportunity Fund L.P. v. Genever Holdings | | | | | |\n| Corp., Bravo Luck Ltd., Kwok Ho Wan (and other a/k/a names), | | | Eastern Caribbean Sup. Ct, Virgin | | |\n| and Qiang Guo (and other a/k/a names) | BVIHCM 0137 of 2020 | Collection | Islands, High Court of Justice | | Active |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Rui Ma v. Guo Wengui a/k/a Miles Kwok and Golden Spring (New | | | | 60 Centre Street | |\n| York) Ltd | 158140/2017 | Tort | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Guo Wengui (a/k/a Miles Kwok) v. Clark Hill PLC and Thomas | | | | 333 Constitution Avenue N.W. | |\n| Ragland | 1:19-cv-3195-JEB | Tort/Breach of Contract | D.D.C. | Washington D.C. 20001 | Active |\n| | | | | | |\n| | | | High Court of Justice, Business and | | |\n| | | | Property Courts of England and Wales, | | |\n| Kwok Ho Wan, Ace Decade Holdings Limited, and Dawn State | | | Queen's Bench Division, Commercial | | |\n| Limited v. UBS AG (London Branch) | CL-2020-000345 | Negligence | Court | | Active |\n| | | | | | |\n| | | | | | |\n| | | | Civil Court Basel-City, Conciliation | | |\n| Ace Decade Holdings Limited and Kwok Ho Wan v. UBS AG | CL-2020-000345 | Negligence | Authority | | Active |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Zheng Wu (a/k/a Bruno Wu) and Yang Lan v. Guo Wengui (a/k/a | | | | 60 Centre Street | |\n| Miles Kwok) | 152123/2018 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Weican (\"Watson\") Meng and Boxun, Inc. v. Guo Wengui (a/k/a | | | | 60 Centre Street | |\n| Miles Kwok) | 159636/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| Xiqui (\"Bob\") Fu v. Guo Wengui (and other a/k/a names), GTV | | | | | |\n| Media Group, Inc., Saraca Media Group, Inc., Voice of Guo | | | | U.S. District Clerk's Office | |\n| Media, Inc., Lihong Wei Lafrenz (a/k/a Sara Wei), and Dongna | | | | 200 East Wall, Room 222 | |\n| Fang | MO:20-CV-257-DC | Tort (Defamation) | W.D. Tex | Midland, Texas 79701 | Active |\n| | | | | Martin Luther King Building | |\n| | | | | & U.S. Courthouse | |\n\nWengui Guo (a/k/a Miles Kwok) v. Jun Chen (a/k/a Jonathan Ho)\n\nNo. 18-CV-03800\n\n(MCA)(MAH) Tort (Defamation) NJ Dist.\n\n50 Walnut Street\n\nNewark, NJ 07102 Active\n\nAttachment to SOFA Question # 9\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 24 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 23 of 25\n\n| Attachment to SOFA Question # 9 | | |\n|---------------------------------|--|--|\n| | | |\n\n| | | 26 | | | |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|---------------------------------------------------|--------------|-----------------------------------------|--------|\n| Ho Wan Kwok | | | | | |\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | |\n| Statement of Financial Affairs - Question # 9 (Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?) | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status |\n| | | | | | |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| | | | | 60 Centre Street | |\n| Samuel Dan Nunberg v. Guo Wengui (a/k/a Miles Kwok) | 150141/2020 | Tort (Defamation) | NY Sup. | New York, NY 10007
Thurgood Marshall | Active |\n| | | | | United States Courthouse | |\n| | | | | 40 Foley Square | |\n| Logan Cheng (f/k/a Shuiyan Cheng) v. Guo Wengui | 1:20-cv-05678-KPF | Anti-SLAPP | SDNY | New York, NY 10007 | Active |\n| Liehong Zhuang and Xiao Yan Zhu v. Wengui Guo (and other | | | | New York County Courthouse | |\n| a/k/a names), Saraca Media Group Inc., ABC Company 1-10, John | | | | 60 Centre Street | |\n| Doe 1-10 | 654999/2020 | Tort/Breach of Contract | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| Jonathan Young v. Guo Wengui (a/k/a Miles Kwok), Saraca | | | | New York County Courthouse | |\n| Media Group, Inc., Golden Spring (New York) Ltd, and Rule of | | | | 60 Centre Street | |\n| Law Foundation III | 154683/2020 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| Zhengjun Dong, Wen Lin, Kaixin Hong, and Chenglong Wang v. | | | | New York County Courthouse | |\n| GTV Media Group, Inc., Saraca Media Group, Inc., and Wengui | | | | 60 Centre Street | |\n| Guo | 652190/2021 | Putative Class Action (Securities) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | | |\n| Rong Zhang, Xiaodan Wang, and Chong Shen Raphanella v. Voice | | | | | |\n| of Guo Media, Inc., GTV Media Group, Inc., Saraca Media Group | | | | Sandra Day O'Connor United States | |\n| Inc., Rule of Law Foundation III, Inc., Rule of Law Society IV Inc., | | | | Courthouse | |\n| Sara Wei (a/k/a Lihong Wei Lafrenz), and Wengui Guo (and other | | | | 401 W. Washington St., Suite 130, SPC 1 | |\n| a/k/a names) | CV-21-01079-PHX-SMB | Putative Class Action (Securities; Tort) AZ Dist. | | Phoenix, AZ 85003-2118 | Active |\n| | | | | | |\n| | | | | | |\n| | | | | ABRAHAM RIBICOFF FEDERAL BUILDING | |\n| | | | | United States Courthouse | |\n| Haihong Wang v. GTV Media Group, Inc., Saraca Media Group, | | | | 450 Main Street – Room 725 | |\n| Inc., and Wengui Guo | 3:21-cv-00359-VLB | Securities | D. Conn. | Hartford, Connecticut 06103 | Active |\n| | | | | | |\n| | | | | Everett McKinley Dirksen United States | |\n| | | | | Courthouse | |\n| June Shi v. GTV Media Group, Inc., Saraca Media Group, Inc., and | | | | 219 South Dearborn Street | |\n| Wengui Guo | 21-CV-1408 | Securities; Tort | N.D. Ill. | Chicago, IL 60604 | Active |\n| | | | | | |\n| | | | | Thurgood Marshall | |\n| | | | | United States Courthouse | |\n| Jianhu Yi and Quiju Jia v. GTV Media Group, Inc., Saraca Media | | | | 40 Foley Square | |\n| Group, Inc., and Wengui Guo | 1:21 Civ 02669 (VM) | Securities | SDNY | New York, NY 10007 | Active |\n| | | | | | |\n| Weiguo Sun, Linda He Cheung, Jia Li Wang, Jiamei Lu, Jun Liu, | | | | | |\n| Moa-Fu, Weng, Ruquin Wang, Teli Chen, Weixiang Ge, Shuang | | | | | |\n| Wang, Xingyu Yan, Yan Gao, Yi Li, and Ying Liu. v. GTV Media | | | | Thurgood Marshall | |\n| Group, Inc., Saraca Media Group, Inc., Wengui Guo (a/k/a Ho | | | | United States Courthouse | |\n| Wan Kwok), Voice Guo Media, Inc. [sic], and Lihong Wei Lafrenz | | | | 40 Foley Square | |\n| (and other a/k/a names) | 1:21-cv-04529 | Securities; Tort | SDNY | New York, NY 10007 | Active |\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 25 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 24 of 25\n\n| Attachment to SOFA Question # 9 | | | |\n|---------------------------------|--|--|--|\n| | | | |\n\n| 26 | | | | | | | | |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------|-------------------------|---------------------------------------|------------------------------------------------|--------------------------------|--|--|--|\n| Ho Wan Kwok | | | | | | | | |\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | | | | |\n| Statement of Financial Affairs - Question # 9 (Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?) | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| Keyi Zilkie, Huizhen Wang, Chao-Chih Chiu, and Yunxia Wu v. | | | | New York County Courthouse | | | | |\n| GTV Media Group, Inc., Saraca Media Group, Inc., and Wengui | | | | 60 Centre Street | | | | |\n| Guo | 652843/2021 | Securities; Tort | NY Sup. | New York, NY 10007 | Active | | | |\n| | | | | | | | | |\n| | | | | Albert V. Bryan U.S. Courthouse | | | | |\n| | | | | 401 Courthouse Square | | | | |\n| Wengui Guo (a/k/a Miles Kwok) v. Yeliang Xia | 1:18-CV-00174-LO-TCB | Tort (Defamation) | E.D. Va. | Alexandria, VA 22314 | Active | | | |\n| | | | | New York County Courthouse
60 Centre Street | | | | |\n| Guo v. Hong Zeng | 157025/2020 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active | | | |\n| | | | | | | | | |\n| | | | Sup. Court of British Columbia, | | | | | |\n| Guo v. Gao BingChen | VLC-S-S-187450 | Tort (Defamation) | Vancouver, Canada | | Active | | | |\n| Beijing Zhong Xian Wei Ye Stainless Decoration Center, et al. v. | | | | | | | | |\n| Wengui Guo, Beijing Zenith Holdings Co, Beijing Pangu | | | | New York County Courthouse | | | | |\n| Investment Co., Genever Holdings LLC, and Golden Spring (New | | | | 60 Centre Street | | | | |\n| York) Ltd. | 653176/2017 | Collection Matter | NY Sup. | New York, NY 10007 | Active | | | |\n| | | | High Court of The Hong Kong Special | | | | | |\n| The Hong Kong High Court forfeiture proceedings against Guo | | | Administrative Region: Court of First | | | | | |\n| and numerous individuals & entities | | Asset Seizure | Instance | | Unknown | | | |\n| | | | | | | | | |\n| | | | | 33 Admin Drive, Wickhams Cay 1, Road | | | | |\n| Kwok v. MacDonald | 2019/0048 | | British Virgin Islands | Town, Tortola, Virgin Islands (British | Active | | | |\n| FAN BINGBING v. GUO WENGUI a/k/a GUO WEN GUI a/k/a GUO | | | | | | | | |\n| WEN-GUI a/k/a GUO HAOYUN a/k/a HAOUN GUO a/k/a WAN | | | | New York County Courthouse | | | | |\n| GUE HAOYUN a/k/a MILES KWOK a/k/a KWOK HO WAN a/k/a | | | | 60 Centre Street | | | | |\n| KWOK HO | 156619/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Inactive | | | |\n| JIANSHENGXIE and JIEFU ZHENG v. WENGUI GUO a/k/a | | | | | | | | |\n| HAOYUNGUO, a/k/a MILES KWOK, a/k/a HO WANKWOK, a/k/a | | | | New York County Courthouse | | | | |\n| HO KWOK, a/k/a WEN GUI GWO, a/k/a WAN GUE HAOYUN, | | | | 60 Centre Street | | | | |\n| a/k/a GUO HAOYUN | 155995/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Inactive | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | King County Superior Court | | | | |\n| WA&HF LLC, RUIZHENG AN V. SARACA MEDIA GROUP, INC. and | | | | 516 Third Avenue, Room C-203 | | | | |\n| WENGUI GUO | No. 20-2-12680-2 SEA | Tort/Breach of Contract | WA Sup. Ct | Seattle, WA 98104 | Active (but inactive as to MK) | | | |\n| | | | | | | | | |\n| | | | | New York County Courthouse | | | | |\n| GUO WENGUI a/k/a KWOK HO WAN a/k/a MILES
KWOK v. GUO BAOSHENG, YAN ZHAO, and NING YE | 151251/2019 | Tort/Breach of Contract | NY Sup. | 60 Centre Street
New York, NY 10007 | Active | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| KUI CHENG v. G CLUB OPERATIONS LLC and WENGUI GUO A/K/A | | | | | | | | |\n| HO WAN KWOK A/K/A MILES KWOK A/K/A MILES GUO | No. S21-0093J5 | Breach of Contract | Texas small claims court | | Active | | | |\n| | | | | | | | | |\n\n### Case 22-50073 Doc 404-3 Filed 05/20/22 Entered 05/20/22 11:52:18 Page 26 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 25 of 25\n\n| Attachment to SOFA Question # 9
26 | | | | | | | | |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------|------------------------------|----------------------------|---------------------------------------|---------------------------|--|--|--|\n| Ho Wan Kwok | | | | | | | | |\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | | | | |\n| Statement of Financial Affairs - Question # 9 (Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?) | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | Matthew J. Perry, Jr. U.S. Courthouse | | | | |\n| Wengui Guo a/k/a Miles Kwok v. | | | | 901 Richland Street | Resolved within 1 year of | | | |\n| Danyu Lin | No. 2018-CP-03623 | Tort (Defamation) | South Carolina state court | Columbia, South Carolina 29201 | bankruptcy filing. | | | |\n| | | | | | | | | |\n| | | | | | | | | |\n| | | | | New York County Courthouse | | | | |\n| | | | | 60 Centre Street | Resolved within 1 year of | | | |\n| Yan Huang v. Wengui Guo | No. 156552/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | bankruptcy filing. | | | |\n| | | | | | | | | |\n| | | | | Albert V. Bryan U.S. Courthouse | | | | |\n| | | | | 401 Courthouse Square | Resolved within 1 year of | | | |\n| WENGUI GUO V. BAOSEHNG GUO | No. 1:18-cv-1064 | Tort (Defamation/Fraud) | ED Va. | Alexandria, VA 22314 | bankruptcy filing. | | | |\n| BAIQIAO TANG a/k/a TANG BAIQIAO and | | | | | | | | |\n| JING GENG v. WENGUI GUO a/k/a MILES KWOK a/k/a | | | | | | | | |\n| GUO WEN GUI a/k/a HO WAN KWOK, | | | | | | | | |\n| GOLDEN SPRING (NEW YORK) LTD., | | | | Thurgood Marshall | | | | |\n| RULE OF LAW FOUNDATION III INC., | | | | United States Courthouse | | | | |\n| RULE OF LAW SOCIETY IV INC., SARACA | | | | 40 Foley Square | Resolved within 1 year of | | | |\n| MEDIA GROUP, INC. | No. 1:17-cv-09031-JFK | Tort (Defamation/Commercial) | SDNY | New York, NY 10007 | bankruptcy filing. | | | |","body_zh":"证物 PAX 03\n\n关于债务人资产和负债清单及财务状况说明书的总体说明、限制、方法论和免责声明\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国破产法院康涅狄格州地区布里奇波特分庭）\n\n关于： ： 第11章\n\nHO WAN KWOK（郭文贵）， ： Case No. 22-50073 (JAM)\n\n债务人。 ：\n\n关于债务人资产和负债清单及财务状况说明书的总体说明、限制、方法论和免责声明\n\nHo Wan Kwok（郭文贵）（以下简称“债务人”）根据《美国法典》第11编（以下简称“破产法”）第11章第521条以及《联邦破产程序规则》（以下简称“破产程序规则”）第1007条，向 Bankruptcy Court for the District of Connecticut（康涅狄格州地区破产法院）（以下简称“破产法院”）提交其资产和负债清单（各称“一份清单”，合称“清单”）及财务状况说明书（以下简称“SOFA”）。\n\n本关于债务人资产和负债清单及SOFA的总体说明、限制、方法论和免责声明（合称“总体说明”）适用于全部清单和SOFA，通过援引纳入全部清单和SOFA，并构成其不可分割的一部分。除下文就特定清单和SOFA所载的具体说明（以下简称“具体说明”，与总体说明合称“说明”）外，另有本总体说明。\n\n审阅清单和SOFA时，应参照并援引总体说明。债务人在其顾问及其他专业人士协助下编制清单和SOFA。清单和SOFA未经审计，并可能需要调整。债务人在编制清单和SOFA时，依赖于编制时可获得的信息。债务人已作出合理努力，以确保在当时情形下清单和SOFA尽可能准确、完整；但后续获得的信息或发现的事实可能导致清单和SOFA发生重大变更，且可能存在非故意的错误或遗漏。\n\n债务人保留不时在所有方面对清单和SOFA作出修正或补充的一切权利，只要该等修正或补充属必要或适当，包括就清单和SOFA所反映的任何债权之金额、责任或分类提出争议，或以其他方式主张抵销或抗辩的权利，或在其后将任何债权指定为“有争议”、“或有”或“未定额”。此外，清单、SOFA或说明所载任何内容均不构成债务人放弃其权利，或就其第11章案件作出承认。\n\n总体说明\n\n1．案件说明。2022年2月15日（以下简称“申请日”），债务人根据破产法第11章启动自愿案件。\n\n2．债务人的别名。债务人还以以下姓名为人所知：Guo Wengui；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n3．列报基础。清单和SOFA并非旨在作为依照美国公认会计原则（“GAAP”）编制的财务报表。清单和SOFA反映债务人为报告其资产和负债所作出的合理努力。\n\n4．报告日期。除非另有说明，清单A和B所报告的资产价值与申请日的资产价值一致，清单D、E和F所列的负债价值截至申请日。\n\n5．准确性。本文披露的财务信息并非根据联邦或州证券法或其他适用的非破产法编制。交易债务人债权，或以其他方式购买、出售或转让债务人债权的个人和实体，应结合编制该财务信息的目的和背景评估该等财务信息。债务人不对与证券法存在的任何差异，或基于该财务信息或任何其他信息对债务人作出的任何评估承担责任，也不承诺指出该等差异。\n\n6．估计和假设。编制清单和SOFA要求债务人作出估计和假设，该等估计和假设影响某些资产和负债的报告金额、某些或有资产和负债的披露以及收入和费用的报告金额。实际结果可能与该等估计存在重大差异。几乎在所有情况下，债务人均未维持或无法随时获得当前市场估值。债务人为所有资产取得当前市场估值，将成本高昂、负担过重且属于对资源的低效使用。在必要时，债务人已注明某些资产的价值为“未知”或“未确定”。最终实现的金额可能与估计价值存在重大差异。\n\n7．货币。除非另有说明，清单和SOFA中列示的所有金额均以美元计。\n\n8．债务人保留权利。清单、SOFA或说明所载任何内容均不构成放弃与本第11章案件有关的权利，包括但不限于以下权利：\n\na．未将清单和SOFA中列示的债权指定为“有争议”、“或有”或“未定额”，并不构成债务人承认该金额并非“有争议”、“或有”或“未定额”。债务人保留就其清单所反映的任何债权之金额、责任及分类提出争议，并主张抵销权、反诉及抗辩的权利，以及在其后以其他方式将任何债权指定为“有争议”、“或有”或“未定额”的权利。\n\nb．在清单D中将某项债权列为“有担保”，在清单E中列为“优先”，或在清单F中列为“无担保优先”，或在清单G中将合同或租约列为“待履行”或“未届满”，并不构成债务人承认债权人的法律权利，亦不构成债务人放弃根据清单修正、债权异议或其他方式重新定性或重新分类该等债权或合同的权利。此外，尽管债务人可能出于信息披露目的将各债权人的债权列为有担保债权，但尚未对该等债权人可能享有担保权益的债务人资产进行当前估值。债务人保留就任何该等债权人的债权的担保性质或金额、任何交易结构的定性，或与该等债权人的债权有关的任何文件或文书提出争议和质疑的一切权利。\n\nc．个别债权人的债权可能未反映该等债权人应向债务人提供的贷记、减让或其他调整。债务人保留与该等贷记、减让及其他调整有关的一切权利，包括就其提出债权异议和/或抵销的权利。\n\nd．尽管债务人已作出合理努力以确保其清单和SOFA的准确性，但其中仍可能包含错误和遗漏。债务人特此保留对清单和SOFA所列任何合同、协议和租约的有效性、状态及可执行性提出争议的一切权利，以及在必要时修正和补充清单和SOFA的权利。\n\ne．债务人还保留与清单和SOFA中列示的合同和协议有关的一切权利、请求权及诉因，包括但不限于对与债权人债权有关的任何交易、文件和文书的定性或结构提出争议和质疑的权利。\n\nf．在清单和SOFA中列示合同或租约，不应被视为承认该合同属于待履行合同、该租约属于未届满租约，或二者中任一者必然属于具有约束力、有效且可执行的合同。债务人特此明确保留主张清单和SOFA中列示的任何合同不构成破产法第365条含义内的待履行合同的权利，以及主张其中列示的任何租约不构成破产法第365条含义内的未届满租约的权利。\n\n9．总体说明优先。如清单或SOFA与任何总体说明存在差异，应以总体说明为准。\n\n具体说明\n\n除上述内容外，债务人在编制清单和SOFA时采用以下惯例：\n\n1．清单A/B。\n\na．一般规定。若与债务人资产有关的某一项目显示价值为“\\$0.00”，债务人说明，该金额为“未知”或“未确定”，且该“\\$0.00”标注并不构成承认相关资产事实上价值为“\\$0.00”。由于某些资产或负债被标注为“\\$0.00”，清单A/B中的汇总项目反映的合计金额可能低于该等资产或负债的最终价值。\n\nb．问题1：您是否拥有或对任何住所、建筑物、土地或类似财产享有任何法定或衡平权益？\n\ni．债务人对位于 373 Taconic Road, Greenwich, CT 06831 的不动产（以下简称“住宅”）享有使用和居住权。债务人不拥有该住宅的法定所有权，且任何法院均未认定债务人对该住宅享有任何其他权益，无论是衡平权益或其他权益。与该住宅有关的一切成本和费用均由家庭及家庭控制的企业直接支付。该住宅归 Greenwich Land, LLC（以下简称“Greenwich Land”）所有。Greenwich Land 的唯一成员为债务人的配偶。\n\nii．债务人还可使用位于 Sherry-Netherlands Hotel, 781 Fifth Avenue, New York, NY 10022 的一套公寓（以下简称“公寓”）。该公寓的合作公寓股份由 Genever Holdings LLC（以下简称“US SPV”）持有。US SPV 的成员权益由 Genever Holdings Corporation（以下简称“BVI Company”）持有。债务人持有BVI Company的全部股权；但是，根据日期为2015年2月17日的《信托声明及协议》（以下简称“信托日期”），债务人为 Bravo Luck Limited（以下简称“公寓所有人”）以信托形式持有该等股权。债务人的儿子拥有公寓所有人的股权。在信托日期当日或前后，公寓所有人以该公寓的购买价款向US SPV提供资金。该等资金来自债务人儿子拥有或控制的实体，而非来自债务人。\n\nUS SPV于2020年10月12日在 United States Bankruptcy Court for the Southern District of New York（纽约南区美国破产法院）自行启动第11章案件（Case No. 20-12411 (JLG)）。US SPV就其重组计划所作的披露声明称，US SPV“因面临多起法院争议而寻求第11章救济……该等争议主要涉及 Bravo Luck Limited……与 [Pacific Alliance Asia Opportunity Fund LP（“PAX”）]之间对住宅受益所有权的争议。”[Docket No. 165]。在寻求确定公寓所有权的诉讼中，公寓所有人主张其为该公寓的受益所有人。公寓的最终所有权将在US SPV的第11章案件之外解决。在英属维尔京群岛法院，PAX依据其针对债务人的判决（该判决仍在上诉中），寻求交付US SPV的成员权益。\n\n该公寓目前由US SPV的出售负责人 Melanie L. Cyganowski, Esq.（梅拉妮·L·西加诺夫斯基律师）授权 Sotheby's International Realty（苏富比国际地产）挂牌出售。基于上述原因，债务人未将该公寓的价值报告为资产。\n\nc. 问题3 您是否拥有、租赁或对任何车辆享有法定或衡平权益，无论其是否已登记？汽车、厢式货车、卡车、拖拉机、运动型多用途车、摩托车。债务人使用汽车，包括豪华汽车和摩托车。债务人对任何类型的车辆均无法定所有权，且任何法院均未认定债务人对任何该等车辆享有任何其他权益，无论是衡平权益或其他权益。与该等车辆有关的一切成本和费用均由家庭成员及家庭控制的企业直接承担。\n\nd. 问题4 您是否拥有、租赁或对任何车辆享有法定或衡平权益，无论其是否已登记？船舶、航空器、房车、全地形车及其他休闲车辆、其他车辆及配件。债务人此前可使用一艘名为“Lady May”的游艇。Lady May由HK International Funds Investments (USA) Limited, LLC所有，该公司由债务人的女儿所有。Lady May目前停泊在欧洲。债务人目前无法使用Lady May，且已逾一年无法使用Lady May。\n\nLady May的所有权和／或控制权在PAX针对债务人提起的纽约州最高法院诉讼中受到债务人争议，该诉讼系为回应PAX发起的制裁及藐视法庭程序而提起。经于February 9, 2021举行证据听证后，Barry Ostrager法官在其认定（“February 9 Decision”）中作出认定，其中包括，证据证明债务人“实益拥有并控制”Lady May。债务人不同意February 9 Decision，并已对其提起上诉。鉴于上诉尚未审结（目前已中止），债务人未将Lady May列为其破产财产的资产。但是，如将其列为其破产财产的资产（债务人预计该问题将通过本Chapter 11 Case得到解决），Lady May可能具有重大价值——2015年，Lady May的售价为€28 million。\n\ne. 问题6——家居用品及陈设。住所和公寓内存放有大量符合个人物品和家居用品定义的物品。除本文所述外，债务人对住所或公寓内的物品均无法定所有权，且任何法院均未认定债务人对任何该等物品享有任何其他权益，无论是衡平权益或其他权益。\n\nf. 问题7 电子产品：电视机、收音机、音频、视频等。住所和公寓内存放有大量符合电子产品定义的物品，包括但不限于计算机、手机和广播设备。除本文所述外，债务人对住所或公寓内的物品均无法定所有权，且任何法院均未认定债务人对任何该等物品享有任何其他权益，无论是衡平权益或其他权益。\n\ng. 问题8 有价值的收藏品。住所或公寓内符合本类别定义的任何物品均为家庭成员或家庭控制的企业之财产。除本文所述外，债务人对住所或公寓内的物品均无法定所有权，且任何法院均未认定债务人对该等物品享有任何其他权益，无论是衡平权益或其他权益。\n\nh. 问题9 运动或爱好设备。住所或公寓内符合本类别定义的任何物品均为家庭成员或家庭控制的企业之财产。除本文所述外，债务人对住所或公寓内的物品均无法定所有权，且任何法院均未认定债务人对任何该等物品享有任何其他权益，无论是衡平权益或其他权益。\n\ni. 问题11 衣物。债务人拥有商务和休闲服装，包括来自各种制造商的西装、鞋和运动鞋，其中包括高端品牌。\n\nj. 问题17 货币存款。于October 23, 2018，High Court of the Hong Kong Special Administrative Region, Court of First Instance（香港特别行政区高等法院原讼法庭，以下简称“High Court”）作出一项日期为October 18, 2018的《禁止处分在香港及其他地区资产的限制令》（“Restraint Order”）。Restraint Order规定，其效力持续至并包括April 30, 2019，并理解为其将根据High Court于May 3, 2019作出的进一步命令继续有效。Restraint Order的效力是冻结据称属于债务人的HK$3.7 million资金。据Restraint Order所称，个人和实体在香港的房地产等数额高达数十亿的资金和财产，如据称受债务人“有效控制”，亦被冻结和／或扣押。由于该等资产被冻结／扣押，债务人未将其列入其破产财产。\n\nk. 问题18 债券、共同基金或公开交易股票。出于审慎考虑，债务人请您参阅附表B说明，问题17。\n\nl. 问题19 非公开交易股票，或在法人和非法人企业、LLC、合伙企业或合资企业中的权益。债务人曾是两家受控外国公司的唯一股东：Shiny Times Holdings Ltd.（“Shiny Times”）和Well Origin Ltd.（“Well Origin”）。基于以下理由，债务人不对其在该等实体中的权益赋予任何价值。\n\ni. 于September和October 2017，中国政府突击搜查了Shiny Times的办公室，并扣押了所有公司会计记录及许多个人财务记录。此后无法查阅该等记录。对银行账户的在线访问已被冻结，且没有可用的数据副本或备份。债务人已作出一切合理努力以获取该等数据，但自扣押以来，一直无法取得该公司的财务记录。Shiny Times自此一直未开展经营活动。债务人自November 2, 2017起未再控制Shiny Times。\n\nii. 关于在英属维尔京群岛注册成立的Well Origin，于April 2018，UBS因贷款违约而接管其作为担保品持有的Well Origin股份。在取得Well Origin股份并出售其资产后，UBS将该公司置于英属维尔京群岛清算程序。债务人自December 31, 2017起未再控制Well Origin。\n\n如上文就Statement Question 1所述，债务人持有US UPV的成员权益。债务人以信托方式为公寓所有人持有该等成员权益。\n\n另请参阅附表B说明，问题17，该问题涉及受Restraint Order约束的众多实体；以及SOFA，问题9，该问题涉及Eastern Profit（定义见下文）。\n\nm. 问题20 政府和公司债券及其他可流通和不可流通票据。债务人已收到由United States Treasury（美国财政部）和State of New York Department of Taxation and Finance（纽约州税务和财政部）签发的所列退款支票。该等支票尚未办理兑现，且如予存入，可能因其签发已超过六个月而被拒付。\n\nn. 问题22 保证金和预付款。就取得公寓而言，US SPV向与该公寓有关的合作公寓公司提供了$5 million保证金（“Apartment Security Deposit”），用于支付税款和其他维护费用。公寓所有人并非以债务人的资产为Apartment Security Deposit提供资金。US SPV停止定期支付维护费用后，合作公寓公司开始以保证金抵扣应付款项。据所知及确信，原Apartment Security Deposit中约有$2.065 million尚余。由于上文就问题1所述的信托安排，债务人未将剩余Apartment Security Deposit的价值列为其破产财产的资产。\n\no. 问题25 信托、对财产的衡平或未来权益，以及为您的利益行使的权利或权力。参见附表B说明，问题17、19和22。\n\np. 问题26 专利、著作权、商标、商业秘密及其他知识产权。债务人对发布于各种数字和媒体平台（例如YouTube、GTV、Twitter和GETTR）的音乐和视频，可能享有未经注册的著作权及其他知识产权权益。债务人未对其社交媒体资产赋予任何价值，且未曾尝试将其社交媒体影响力变现。\n\nq. 问题30 他人欠您的其他款项。关于债务人正在主张请求权的诉讼的识别，请参阅SOFA说明，第4部分，问题9。\n\n此外，在某些司法辖区，事项的胜诉方有权获得其费用的补偿。在High Court of Justice, Business and Property Courts of England and Wales, Queen's Bench Division, Commercial Court（英格兰和威尔士高等法院商业及财产法院王座法庭商事法院）审理中的Kwok Ho Wan（郭文贵）、Ace Decade Holdings Limited和Dawn State Limited v. UBS AG (London Branch)一案中，债务人可能有权与其他原告一同获得与近期管辖权争议有关的费用补偿。法院判给该案全体原告的金额为£94,292.20。债务人对该金额按比例应享有的份额尚未确定。此外，被告已获法院准许上诉，成功上诉可能导致原告被命令偿还法院判给的金额。\n\n在United States District Court for the Eastern District of Virginia（美国弗吉尼亚东区联邦地区法院）审理中的Wengui Guo（郭文贵）v. Baosheng Guo一案中，债务人的律师已收到判给债务人胜诉的$12,000判决款。\n\nr. 问题31 保险单权益。债务人受其配偶的健康保险单保障，该保险单没有现金价值。\n\ns. 问题33 对第三方的请求权，无论是否已提起诉讼或提出付款要求。债务人是SOFA说明第4部分问题9所列某些诉讼中的请求权人。\n\nt. 问题37 对任何与企业有关财产的法定或衡平权益。参见上文附表B说明，问题17和19。\n\nu. 问题39 办公设备、陈设或用品。本类别中没有任何未被上文附表B说明问题6和7的答复涵盖的事项。\n\nv. 问题42 合伙企业或合资企业中的权益。参见附表B说明，问题17和19。\n\nw. 问题53 尚未列出的种类财产。债务人被列为其家庭在位于佛罗里达州棕榈滩的The Mar-a-Lago Club的会员资格成员。该会员资格自2015年起一直有效。债务人不负责支付会员费，亦无权在会员资格终止时获得对任何此前可能已支付保证金的退款。\n\n2. 附表C。\n\na. 债务人目前未列明任何豁免财产。但是，如在破产程序进行期间认定债务人拥有超过其衣物和其狗的资产，债务人保留修改该等豁免选择的权利。\n\n3. 附表D。\n\n- a. 根据债务人目前可获得的信息，债务人认为附表D准确反映了对债务人享有担保债权的所有债权人。如债务人发现存在任何其他担保债权，债务人可相应修改附表D以反映该等债权。\n\n- b. 如债务人认定任何债权应在附表D中申报，债务人保留修改附表D的所有权利。本文任何内容均不得被解释为债务人承认债权人的法律权利、视为对任何协议条款的修改或解释，或视为债务人放弃将任何债权或合同重新定性或重新分类的权利。\n\n- c. 债务人未在附表D中列入可能认为其债权因抵销权或未完全形成的法定留置权而获得担保的当事方。\n\n- d. 除非另有约定或破产法院命令，债务人保留对据称在债务人任何担保债权人的任何特定资产上设定或完善的任何留置权之有效性、完善性或免于被撤销性提出异议或质疑的权利。此外，债务人保留对任何该等债权人债权的担保性质，或任何该等交易或与该债权人债权相关的任何文件或文书之结构定性提出异议或质疑的所有权利。\n\n- e. 债务人是诉讼融资协议（“Litigation Funding Agreements”）的一方，根据该等协议，债务人向由债务人之子拥有或控制的某些实体（各称为“Litigation Funder”）质押了其在若干事项中的担保权益，包括某些债权及其收益。债务人认为该等担保权益未经完善。\n\n4. 附表E/F。\n\na. 债务人已尽合理努力在附表E/F中申报对其享有的所有无担保债权。附表E/F所列债权产生或发生于不同日期。在某些情况下，债权产生之日是一个尚待认定的事实问题。尽管已尽合理努力确定每项债权的发生日期，但确定附表E/F中每项债权发生或产生的日期将造成不当负担且成本过高。\n\n因此，尽管债务人未为附表E/F所列每项债权提供日期，但据债务人所知，附表E/F所列的所有债权均在申请日之前产生或发生。\n\n- b. 债务人保留在适用情况下主张任何该等债权为附条件、未确定金额和／或有争议债权的权利。\n\n- c. 债务人保留主张附表E/F所列任何债权不构成《破产法典》第507条规定的优先债权，因而构成无担保非优先债权的权利。\n\n- d. 个别债权人的债权可能未反映债权人应向债务人提供的贷项和／或津贴。债务人保留与任何该等贷项和／或津贴有关的所有权利，包括就其提出异议和／或主张抵销的权利。\n\n- e. 附表E/F可能包括涉及债务人的待决诉讼或法律程序。该等待决诉讼或法律程序亦在对SOFA问题7的答复中反映。在所有情况下，作为诉讼标的的金额均不确定或尚未确定。债务人认为，与任何该等待决诉讼相关的任何潜在债权金额均为附条件、未确定金额且有争议。将任何诉讼列入附表和／或SOFA或以其他方式列示，不构成承认该诉讼中所主张的责任。\n\n- f. 在已知范围内，附表E/F列示应向待履行合同和未到期租赁的相对方支付的申请前金额。然而，该等申请前金额可能会因承接，或承接并转让待履行合同或未到期租赁而支付。此外，附表E/F未包括任何可能被拒绝的待履行合同和未到期租赁之相对方可能提出的拒绝损害赔偿债权。\n\n5. 附表G。\n\n- a. 尽管债务人已尽合理努力识别并列出待履行合同和未到期租赁，但可能发生无意的错误或遗漏。债务人保留对附表G所列任何合同、协议或租赁的有效性、状态或可执行性提出异议的所有权利，并保留在必要时修改或补充附表G的权利。其所列合同、协议和租赁可能已届满，或不时经各种修订、重述、豁免、禁止反言证明书、函件、备忘录及其他可能未列于其中的文件、文书和协议而被修改、修订或补充。\n\n- b. 合同或协议出现在附表G中，不构成承认该合同或协议存在、有效或可执行，或承认该合同或协议属于待履行合同或未到期租赁；合同或协议未列入附表G，亦不构成承认该合同或协议不存在。债务人保留与附表G所列合同和协议有关的所有权利、债权及诉因，包括对任何交易文件或文书的定性或结构提出异议或质疑的权利。某些待履行协议可能未以书面形式记载，并可能存在争议。\n\n6. 附表H。\n\na. 债务人涉及待决或受到威胁的诉讼。该等事项可能涉及多名原告和被告，其中部分或全部可能对其他当事方提出交叉请求和反诉。由于所有该等债权均为附条件、有争议和／或未确定金额的债权，该等债权已列于附表F（并标注为附条件、金额已确定及有争议）和附表H中。\n\n7. 附表I。\n\na. 债务人没有任何符合附表I中任何收入定义的收入。债务人确实获得由家庭成员及家庭成员控制的公司资助的住房、家庭和生活费用支持。与住房、家庭或生活费用有关的任何资金均不受资助来源提出的任何债权约束，且所有住房、家庭和生活费用资金均不存在偿还协议或偿还预期。债务人计划修改于February 15, 2022提交的表格122B [Docket No. 3]，其中债务人错误主张每月收入为\\$19,488.00。所述资金如本文所述，并不应被恰当地定义或描述为收入。\n\n8. 附表J。\n\na. 与附表I中的申报一致，任何种类的全部费用，包括住房、家庭和生活费用，均由第三方家庭成员或其控制的公司提供资金。债务人不存在其个人应承担责任的任何费用。如其情况在未来发生变化，债务人保留修改本附表的权利。\n\n9. 关于债务人财务状况说明书（SOFA）的具体说明。\n\n- a. SOFA问题1。债务人及其配偶认为自己已婚，尽管其没有中国出具的证明其婚姻关系的证书。该夫妇共同生活已逾30年，共同申报纳税表，并育有两名子女。\n\n- b. SOFA问题2。债务人此前曾于大约March/April 2015至September 2015期间居住在该公寓，后又于March/April 2017至February 2020期间居住在该公寓。\n\n- c. SOFA问题5。债务人没有任何符合本问题、表格122B或附表I中任何收入定义的收入。债务人确实获得由家庭成员及家庭成员控制的公司资助的住房、家庭和生活费用支持。与住房、家庭或生活费用有关的任何资金均不受资助来源提出的任何债权约束，且不存在关于偿还的预期或协议。债务人正在修改表格122B，其中债务人错误主张每月收入为\\$19,488.00。所述资金如本文所述，并不应被恰当地定义或描述为收入。\n\n- d. SOFA问题6。本类别所列专业服务付款系由家庭成员或家庭成员控制的公司代表债务人支付，且受诉讼融资协议约束。该等付款之所以申报，是因为预期可从以诉讼解决为条件的任何收益中获得偿还。此外，债务人确实获得由家庭成员及家庭成员控制的公司资助的住房、家庭和生活费用支持。与住房、家庭或生活费用有关的任何资金均不受资助来源提出的任何债权约束，且不存在关于偿还的预期或协议。因此，该等资金未列入本清单。家庭成员于February 16, 2022在申请后无意中支付了两笔款项，总额为\\$109,827.12。该等付款被视为赠与。\n\n- e. SOFA问题8。债务人为提起及抗辩诉讼而向诉讼融资方借入资金（见下文SOFA问题12）。在某些情况下，与债务人之子有关联的实体是诉讼当事方。债务人不对该等诉讼当事方发生的费用负责。如诉讼融资方无意中将该等第三方费用分配给债务人，债务人拟对该等责任提出异议。\n\n- f. SOFA问题9。债务人已尽合理最大努力识别所有目前涉及债务人的待决诉讼、调查及其他法律程序。然而，可能无意中发生某些遗漏。在本问题中列入任何法律程序，并不构成债务人承认任何责任、任何诉讼的有效性，或就任何法律程序可能产生的任何债权所导致的任何潜在债权金额，亦不构成承认任何目前待决或未来可能发生的法律程序所导致的任何潜在债权之金额及处理方式。债务人作为原告、被告或共同被告，是目前处于不同阶段的众多诉讼的一方。所有为债务人利益而产生的诉讼费用均由家庭成员控制的公司或根据各种诉讼融资协议提供资金，该等协议均列于附表G。\n\n纽约南区联邦地区法院（United States District Court for the Southern District of New York）裁定Eastern Profit Corporation Limited（东盈有限公司，“Eastern Profit”）在其针对Strategic Vision US LLC（战略愿景美国有限责任公司，“Strategic Vision”）的违约债权中胜诉，因而有权收取其针对Strategic Vision的\\$1 million判决款；该法院在裁定中顺带提及债务人与Eastern Profit据称存在的关系，即该公司“实质上是”债务人及其家人的一家空壳公司。仅因此原因，债务人将本案列入申报。Eastern Profit由债务人之女拥有和控制，债务人对其在该公司中拥有权益一事提出异议。\n\n- g. SOFA 问题 10。见附表 B 注释，问题 17（受限制令约束的资产）和 19（Shiny Times Holdings Ltd.（闪耀时代控股有限公司）及 Well Origin Ltd.（良源有限公司））。\n- h. SOFA 问题 12。见附表 B 注释，问题 1（该公寓）、17（受限制令约束的资产）和 19（Shiny Times Holdings Ltd.（闪耀时代控股有限公司）及 Well Origin Ltd.（良源有限公司））。\n- i. SOFA 问题 16。在申请日之前，于 2021 年 2 月 14 日和 2021 年 2 月 15 日，Brown Rudnick（布朗·拉德尼克律师事务所）分别收到 $500,000 的预付聘金。$1 million 预付聘金（“BR 预付聘金”）的来源为 Lamp Capital LLC（蓝普资本有限责任公司）（“Lamp”）。Lamp 向债务人出借 $1 million，债务人指示 Lamp 将该贷款款项直接汇付给 Brown Rudnick\n- j. SOFA 问题 18。在债务人第 11 章案件之前两年内，债务人与诉讼资金提供方订立了诉讼融资协议。最近一份诉讼融资协议日期为 2021 年 11 月 8 日。根据诉讼融资协议，诉讼资金提供方同意就债务人为收取判决款项或其遭受的损害赔偿而作出的努力提供垫款贷款。诉讼融资协议规定，就债务人的基础请求权和诉讼所得向适用的诉讼资金提供方授予担保权益。\n- k. SOFA 问题 22。债务人继续可以进入该公寓。因此，他继续在那里存放某些衣物和个人物品。\n- l. SOFA 问题 23。见 SOFA 注释，问题 12。见附表注释问题 1、3、4、6、7、8、9 和 11。债务人使用该住所、各种车辆以及符合个人和家庭用品定义的众多物品，该等财产位于该住所。债务人对该住所、车辆或其内容物不享有法定所有权，且任何法院均未裁定债务人对任何该等物品享有任何其他权益，无论为衡平权益或其他权益。\n- m. SOFA 问题 27。见附表 B 注释，问题 17 和 19。\n\n案件 22-50073 文书 404-3 于 05/20/22 提交，于 05/20/22 11:52:18 登记，第 15 页，案件 22-50073 文书 77 于 03/09/22 提交，于 03/09/22 23:25:16 登记，第 14 页，共 25 26 页\n\n填写以下信息以识别您的案件：\n\n债务人 1 Ho Wan Kwok（郭文贵）\n名字 中间名 姓氏\n债务人 2\n（如共同申报，则为配偶） 名字 中间名 姓氏\n美国破产法院： DISTRICT OF CONNECTICUT（康涅狄格州联邦地区）\n案件编号 22-50073\n（如已知）\n官方表格 107 个人申请破产财务状况说明书 4/19\n\n请尽可能完整、准确地填写。如两名已婚人士共同申请，则双方均有同等责任提供正确信息。如需更多空间，请将单独附页附于本表格。请在任何附加页面顶部写明您的姓名和案件编号（如已知）。回答每一个问题。\n\n第 1 部分：说明您的婚姻状况及此前居住地详情\n\n1. 您目前的婚姻状况为何？\n\n已婚 未婚\n\n2. 在过去 3 年内，您是否曾居住于目前居住地以外的任何地点？\n\n是。列出您在过去 3 年内居住过的所有地点。不包括您目前居住的地点。\n\n债务人 1 先前地址： 债务人 1\n在该处居住的日期 债务人 2 先前地址： 债务人 2\n在该处居住的日期\n\n781 5th Avenue\nNew York, NY 10022 自—至：\n2015 年 3 月至\n2020 年 3 月 与债务人 1 相同 与债务人 1 相同\n自—至：\n\n3. 在过去 8 年内，您是否曾与配偶或法律等同关系人在共同财产州或领地共同居住？（共同财产州和领地包括 Arizona、California、Idaho、Louisiana、Nevada、New Mexico、Puerto Rico、Texas、Washington 和 Wisconsin。）\n\n否\n是。请务必填写附表 H：您的共同债务人（官方表格 106H）。\n\n第 2 部分 说明您的收入来源\n\n4. 在本年度或前两个日历年度内，您是否曾从受雇工作或经营企业中获得任何收入？请填写您从所有工作和所有企业获得的收入总额，包括兼职活动。如您共同申报案件且有共同获得的收入，仅在债务人 1 名下列示一次。\n\n否 是。填写详细信息。\n\n债务人 1 债务人 2 收入来源 勾选所有适用项。\n\n总收入（扣除和免除之前）\n\n收入来源 勾选所有适用项。\n\n总收入（扣除和免除之前）\n\n案件 22-50073\n案件 22-50073 文书 404-3\n文书 77\n于 03/09/22 提交\n于 05/20/22 提交\n于 03/09/22 23:25:16 登记\n于 05/20/22 11:52:18 登记\n\n第 16 页，\n债务人 1 Ho Wan Kwok（郭文贵）\n\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n\n5. 在本年度或前两个日历年度内，您是否收到任何其他收入？\n\n无论该收入是否应纳税，均应包括在内。其他收入的例子包括赡养费；子女抚养费；社会保障金、失业金及其他公共福利付款；养老金；租金收入；利息；股息；从诉讼中收取的款项；特许权使用费；以及赌博和彩票中奖所得。如您共同申报案件且有共同获得的收入，仅在债务人 1 名下列示一次。\n\n分别列出每一收入来源及每一来源的总收入。不要包括您在线 4 中列出的收入。\n\n否 是。填写详细信息。\n\n债务人 1 债务人 2\n在下方说明。 收入来源 免除项） 每一来源的\n总收入\n（扣除和 收入来源\n在下方说明。 总收入\n（扣除\n和免除之前）\n第 3 部分： 列出您在申请破产前作出的某些付款\n\n6. 否。 债务人 1 或债务人 2 的债务是否主要为消费者债务？\n债务人 1 和债务人 2 均无主要为消费者债务的债务。消费者债务在 11 U.S.C. § 101(8) 中定义为“个人主要为个人、家庭或家居目的而发生的\n债务。”\n在您申请破产前 90 天内，您是否向任何债权人支付累计 $6,825* 或以上？\n否。 转至第 7 行。\n是 请在下方列出您通过一次或多次付款累计支付 $6,825* 或以上的每一债权人，以及您向该债权人支付的总额。不要包括家庭扶养义务付款，例如子女抚养费和赡养费。亦不\n包括就本破产案件向律师作出的付款。\n* 对于在调整日期当日或之后提出的案件，金额将于 4/01/22 及此后每 3 年调整一次。\n是。 债务人 1 或债务人 2 或双方均有主要为消费者债务的债务。\n在您申请破产前 90 天内，您是否向任何债权人支付累计 $600 或以上？\n否。 转至第 7 行。\n是 就本破产案件向律师作出的付款。 请在下方列出您累计支付 $600 或以上的每一债权人，以及您向该债权人支付的总额。不要\n包括家庭扶养义务付款，例如子女抚养费和赡养费。亦不包括向\n债权人姓名及地址 付款日期 已支付\n总额 您仍\n欠付的金额 该付款是否用于\n见所附附表 # 6 $2,054,671.92 $732,212.31 抵押贷款\n汽车\n其他 信用卡\n偿还贷款\n供应商或卖方\n\n7. 在您申请破产前 1 年内，您是否就您欠任何内部人的债务作出付款？\n内部人包括您的亲属；任何普通合伙人；任何普通合伙人的亲属；您作为普通合伙人的合伙企业；您担任高级职员、董事、控制人，或拥有其表决证券 20% 或以上的公司；以及任何管理代理人，包括您作为独资经营者经营的企业的管理代理人。11 U.S.C. § 101。包括家庭扶养义务付款，例如子女抚养费和\n赡养费。\n否\n内部人姓名及地址 是。列出向内部人作出的所有付款。 付款日期 已支付总额 您 该付款的理由\n已支付 仍欠付\n\n8. 内部人？ 在您申请破产前 1 年内，您是否就使内部人受益的债务作出任何付款或转让任何财产？\n包括就由内部人担保或共同签署的债务作出的付款。\n否 是。列出向内部人作出的所有付款\n内部人姓名及地址 付款日期 已支付\n总额 您仍\n欠付的金额 包括债权人姓名 该付款的理由\n官方表格 107 个人申请破产财务状况说明书 第 2 页\n\n案件 22-50073\n案件 22-50073 文书 404-3\n文书 77\n于 03/09/22 提交\n于 05/20/22 提交\n于 03/09/22 23:25:16 登记\n于 05/20/22 11:52:18 登记\n\n第 17 页，\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知） 22-50073\n\n第 4 部分：\n识别法律诉讼、收回及止赎\n\n在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的当事人？\n9.\n列出所有该等事项，包括人身伤害案件、小额索赔诉讼、离婚、追偿诉讼、亲子关系诉讼、扶养或监护权\n变更，以及合同争议。\n否\n是。填写详细信息。\n案件名称\n案件编号 案件性质 法院或机构 案件状态\n见所附附表 # 9 待决\n上诉中\n已结案\n\n10. 在您申请破产前 1 年内，您的任何财产是否被收回、止赎、扣押、查封、没收或执行？\n勾选所有适用项，并填写以下详细信息。\n否。转至第 11 行。\n是。填写以下信息。\n债权人姓名及地址 说明财产 日期 财产\n价值\n说明发生了什么\n\n11. 在您申请破产前 90 天内，任何债权人（包括银行或金融机构）是否从您的账户中抵销任何金额，或因您欠有债务而拒绝付款？\n否\n是。填写详细信息。\n债权人姓名及地址 说明债权人采取的行动 采取行动的\n日期 金额\n\n12. 在您申请破产前 1 年内，您的任何财产是否由为债权人利益而指定的受让人、法院指定的接管人、保管人或其他官员占有？\n否\n是\n\n第 5 部分：\n列出某些赠与和捐款\n\n13. 在您申请破产前 2 年内，您是否向任何人赠与总价值超过每人 $600 的任何礼物？\n否\n是。填写每项赠与的详细信息。\n总价值超过每人 $600 的\n赠与 说明赠与 您作出赠与的\n日期 价值\n您向其作出赠与的人及\n地址：\n\n14. 在您申请破产前 2 年内，您是否向任何慈善机构赠与或捐献总价值超过 $600 的任何礼物或捐款？\n否\n是。填写每项赠与或捐款的详细信息。\n向慈善机构作出的总额\n超过 $600 的赠与或捐款 说明您捐献的内容 您捐献的\n日期 价值\n\n慈善机构名称\n\n地址（门牌号、街道、城市、州和邮政编码）\n\n案件 22-50073 文书 404-3 于 05/20/22 提交，于 05/20/22 11:52:18 登记，第 18 页，案件 22-50073 文书 77 于 03/09/22 提交，于 03/09/22 23:25:16 登记，第 17 页，共 25 页\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n第 6 部分：列出某些损失\n\n15. 在您申请破产前 1 年内或自您申请破产以来，您是否因盗窃、火灾、其他灾害或赌博而损失任何物品？\n\n否\n是。填写详细信息。\n\n说明您损失的财产及\n损失发生的方式 说明该损失的任何保险保障\n包括保险已支付的金额。将待决保险索赔列于附表 A/B：财产第 33 行。 您的\n损失日期 损失财产的\n价值\n\n第 7 部分：列出某些付款或转让\n\n16. 在您申请破产前 1 年内，您或任何代表您行事的人是否向您就寻求破产或准备破产申请书而咨询过的任何人付款或转让任何财产？\n\n包括为您破产所需服务提供服务的任何律师、破产申请书准备人或信用咨询机构。\n\n否\n是。填写详细信息。\n\n收款人\n地址\n电子邮件或网站地址\n付款人，如非您本人 所转让财产的说明及价值\n付款或转让\n作出日期 付款\n金额\nBrown Rudnick LLP（布朗·拉德尼克律师事务所）\n1 Financial Center\nBoston, MA 02111\nLamp Capital LLC（蓝普资本有限责任公司） $500,000 于\n2/14/2022\n$500,000 于\n2/15/2022 $1,000,000.00\n\n17. 在您申请破产前 1 年内，您或任何代表您行事的人，是否向任何承诺帮助您处理债权人事宜或向您的债权人付款的人支付款项或转让任何财产？不包括您在第 16 行所列的任何付款或转让。\n\n否\n\n是。请填写详细信息。\n\n收款人\n地址 所转让财产的描述及价值 付款或转让日期 付款金额\n\n18. 在您申请破产前 2 年内，除在您的营业或财务事务正常过程中转让的财产外，您是否向任何人出售、交换或以其他方式转让任何财产？\n包括完全转让及作为担保作出的转让（例如授予您财产上的担保权益或抵押权）。不包括您已在本声明中列出的赠与和转让。\n\n否\n\n是。请填写详细信息。\n\n受让人\n地址 所转让财产的描述及价值 说明作为交换而收到的任何财产或付款，或已偿还的债务 转让日期 该人与您的关系\n\n19. 在您申请破产前 10 年内，您是否向您为受益人的自设信托或类似安排转让任何财产？（此类安排通常称为资产保护安排。）\n\n否\n\n是。请填写详细信息。\n\n信托名称 所转让财产的描述及价值 转让日期\n\n案件 22-50073\n案件 22-50073 文件 404-3\n文件 77\n提交于 03/09/22\n提交于 05/20/22\n录入于 03/09/22 23:25:16\n录入于 05/20/22 11:52:18\n\n第 19 页，共\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n第 8 部分：列明某些金融账户、金融工具、保险箱和储物单元\n\n20. 在您申请破产前 1 年内，是否有以您的名义持有或为您利益持有的任何金融账户或金融工具被关闭、出售、迁移或转让？\n\n包括支票账户、储蓄账户、货币市场账户或其他金融账户；存款证；银行、信用合作社、经纪行、养老金基金、合作社、协会及其他金融机构中的股份。\n\n否\n\n是。请填写详细信息。\n\n金融机构名称及地址（门牌号、街道、城市、州和邮政编码）\n\n账户号码后 4 位 账户或金融工具类型 账户被关闭、出售、迁移或转让的日期 关闭或转让前的最后余额\n\n21. 您目前是否拥有，或在您申请破产前 1 年内是否拥有任何用于存放证券、现金或其他贵重物品的保险箱或其他保管设施？\n\n否\n\n是。请填写详细信息。\n\n金融机构名称\n地址（门牌号、街道、城市、州和邮政编码） 还有谁可使用该设施？\n地址（门牌号、街道、城市、州和邮政编码） 说明其中物品 您是否仍拥有该设施？\n\n22. 在您申请破产前 1 年内，您是否将财产存放于您住宅以外的储物单元或地点？\n\n否\n\n是。请填写详细信息。\n\n储存设施名称\n地址（门牌号、街道、城市、州和邮政编码） 还有谁现在或曾经可使用该设施？\n地址（门牌号、街道、城市、州和邮政编码） 说明其中物品 您是否仍拥有该设施？\n\nThe Sherry-Netherland Hotel（谢里-荷兰人酒店）\n781 5th Avenue\nNew York, NY 10022 商务及休闲服装和其他家庭物品 否\n\n是\n\n第 9 部分：确认您为他人持有或控制的财产\n\n23. 您是否持有或控制他人拥有的任何财产？包括您向他人借用、为他人保管或为他人以信托方式持有的任何财产。\n\n否\n\n是。请填写详细信息。\n\n所有人姓名\n地址（门牌号、街道、城市、州和邮政编码） 财产位于何处？\n（门牌号、街道、城市、州和邮政编码） 说明该财产 价值\n\n参见《全球注释》第 23 问 $0.00\n\n第 10 部分：提供环境信息的详细情况\n\n就第 10 部分而言，适用以下定义：\n\n- 环境法是指有关污染、污染物、危险或有毒物质、废物或材料排放至空气、土地、土壤、地表水、地下水或其他介质的任何联邦、州或地方法律或法规，包括管制清理该等物质、废物或材料的法律或法规。\n- 场址是指任何环境法所定义的任何地点、设施或财产，无论您目前是否拥有、经营或使用，或曾经拥有、经营或使用该地点、设施或财产，包括处置场址。\n- 危险材料是指环境法界定为危险废物、危险物质、有毒物质、危险材料、污染物、污染物质或类似术语的任何物品。\n\n报告您知悉的所有通知、排放和程序，无论其何时发生。\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n\n24. 是否有任何政府单位通知您，您可能依据环境法承担责任、潜在承担责任，或违反环境法？\n\n否\n\n是。请填写详细信息。\n\n场址名称\n地址（门牌号、街道、城市、州和邮政编码） 政府单位\n地址（门牌号、街道、城市、州和邮政编码） 环境法（如您知悉） 通知日期\n\n25. 您是否已就任何危险材料的排放通知任何政府单位？\n\n否\n\n是。请填写详细信息。\n\n场址名称\n地址（门牌号、街道、城市、州和邮政编码） 政府单位\n地址（门牌号、街道、城市、州和邮政编码） 环境法（如您知悉） 通知日期\n\n26. 您是否曾作为任何依据环境法进行的司法或行政程序的一方当事人？包括和解及命令。\n\n否\n\n是。请填写详细信息。\n\n案件名称\n案件编号 法院或机构名称\n地址（门牌号、街道、城市、州和邮政编码） 案件性质 案件状态\n\n第 11 部分：\n提供有关您的企业或与任何企业关联的详细情况\n\n合伙企业中的合伙人\n公司的高级职员、董事或管理人员\n\n否。上述情况均不适用。请转至第 12 部分。\n\n企业名称\n地址\n（门牌号、街道、城市、州和邮政编码）\n\nGenever Holdings Corporation（吉纳维尔控股公司）\nP.O. Box 3170\nTortola, British Virgin Islands 作为独资经营者，或在某一行业、专业或其他活动中全职或兼职自雇\n有限责任公司（LLC）或有限责任合伙企业（LLP）的成员\n持有公司至少 5%有表决权证券或股权证券的所有人\n\n是。请勾选以上所有适用项目，并就每家企业填写以下详细信息。\n\n说明企业性质\n会计师或簿记员姓名\n\nGenever Holdings LLC（吉纳维尔控股有限责任公司）的控股公司 雇主识别号码\n不包括社会保障号码或 ITIN。\n企业存续期间\nEIN：\n自—至\n\nShiny Times Holdings, LTD（闪亮时代控股有限公司）\n173 Des Voex Road Cntrl\n4/F Nan Fung Twr, R411\nHong Kong, 9990777 Hong Kong 投资工具\nMICHAEL LI & CO.（迈克尔·李会计师事务所），C/O HENRY WONG（亨利·黄）19/F PROSPERITY TOWER, NO 39 QUEENS ROAD CENTRAL HONG KONG EIN：\n自—至\n12/13/2007 至 12/31/2020\n\nWell Origin Limited（威尔奥里金有限公司）\n173 Des Voex Road Cntrl\n4/F Nan Fung Twr, R411 投资工具\nMICHAEL LI & CO.（迈克尔·李会计师事务所），C/O HENRY WONG（亨利·黄）19/F PROSPERITY TOWER, NO 39 QUEENS ROAD CENTRAL HONG KONG EIN：\n自—至\n4/1/2010 至 12/31/2020\n\nV\n\n否\n\n是。请填写以下详细信息。\n\n名称 签发日期\n地址\n（门牌号、街道、城市、州和邮政编码）\n\n案件 22-50073 文件 404-3 提交于 05/20/22 录入于 05/20/22 11:52:18 第 22 页，共 案件 22-50073 文件 77 提交于 03/09/22 录入于 03/09/22 23:25:16 第 21 页，共 25 页\nHo Wan Kwok（郭文贵）\n第 11 章；案件编号 22-50073 (JAM)\n财务状况声明——（第 6 问——在您申请破产前 90 日内，您是否向任何债权人支付合计 $600 或以上的款项）\n\n债权人名称 地址1 地址2 地址3 城市 州 邮政编码 日期 付款日期\n已付款金额 总金额 您仍欠金额 付款原因\n\nAndrew Sulner/Forensic Document Examinations, LLC（安德鲁·萨尔纳／法证文件检验有限责任公司） 220 East 57th Street Suite 200 New York NY 10022 12/20/21 $ 52,566.25 $ 52,566.25 未知 其他——专业服务\n\nBaker Hostetler LLP（贝克·霍斯特勒律师事务所） 45 Rockefeller Plaza New York NY 10111 12/27/21 $ 275,000.00 $ 275,000.00 $452,294.38 其他——专业服务\n\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所） 12/16/21 $ 116,454.73\n\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所）\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所） 305 Madison Avenue Suite 650 New York NY 10165 01/11/22 $\n02/16/22 $ 40,172.34\n89,508.91 $ 246,135.98 $13,899.04 其他——专业服务\n\nCounsel Press Inc.（康瑟尔出版社） 460 West 34th Street 4th Floor New York NY 10001 01/19/22 $ 36,729.37 $ 36,729.37 未知 其他——专业服务\n\nEric Goldsmith MD, LLC（埃里克·戈德史密斯医学博士有限责任公司） 420 Madison Avenue Suite 1201 New York NY 10017 02/09/22 $ 11,700.00 $ 11,700.00 未知 其他——专业服务\n\nForbes Hare（福布斯·黑尔）\nForbes Hare（福布斯·黑尔） Qwomar Building, PO Box 4649 Road Town Tortola VG1110 British Virgin Islands 12/10/21 $\n01/28/22 $ 27,032.01\n14,577.01 $ 41,609.02 未知 其他——专业服务\n\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所）\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所） 12/07/21 $\n12/31/21 $ 20,350.18\n22,753.02\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所） 360 Lexington Avenue New York NY 10017 02/09/22 $ 14,119.22 $ 57,222.42 $60,133.05 其他——专业服务\n\nHarcus Parker（哈克斯·帕克） 7th Floor, Melbourne House 44-46 Aldwych London, WC2B 4LL 02/09/22 $ 109,780.43 $ 109,780.43 未知 其他——专业服务\n\nJanover LLC（贾诺弗有限责任公司） 100 Quentin Roosevelt Blvd Suite 516 Garden City NY 11530 12/10/21 $ 29,164.95 $ 29,164.95 未知 其他——专业服务\n\nLawall & Mitchell, LLC（劳沃尔与米切尔有限责任公司）\nLawall & Mitchell, LLC（劳沃尔与米切尔有限责任公司） 55 Madison Avenue 4th Floor Morristown NJ 07960 11/29/21 $\n1/18/22 $ 1,720.00\n2,160.00 $ 3,880.00 $4,880.00 其他——专业服务\n\nPetrillo Klein & Boxer LLP（彼得里洛·克莱因与博克瑟律师事务所）\nPetrillo Klein & Boxer LLP（彼得里洛·克莱因与博克瑟律师事务所） 12/17/21 $\n01/26/22 $ 65,848.00\n44,490.50\nPetrillo Klein & Boxer LLP（彼得里洛·克莱因与博克瑟律师事务所） 655 Third Avenue 22nd Floor New York NY 10017 02/03/22 $ 17,581.00 $ 127,919.50 $10,634.50 其他——专业服务\n\nRoy D. Simon（罗伊·D·西蒙） 01/12/22 $ 48,708.00\nRoy D. Simon（罗伊·D·西蒙） 205 West End Avenue Suite 8N New York NY 10023 01/18/22 $ 9,523.20 $ 58,231.20 未知 其他——专业服务\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司） 11/17/21 $ 114,515.42\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司） 11/19/21 $\n12/20/21 $ 94,033.12\n135,632.31\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司） 6116 Executive Boulevard Suite 425 Bethesda MD 20852 02/09/22 $ 256,061.00 $ 600,241.85 $173,987.48 其他——专业服务\n\nSelas Montbrial Avocats（塞拉斯·蒙布里亚尔律师事务所） 10, Rue Cimarosa 75116 Paris- France 02/16/22 $ 20,318.21 $ 20,318.21 $9,120.87 其他——专业服务\n\nThe Casper Firm（卡斯珀律师事务所） 11/17/21 $ 77,934.00\nThe Casper Firm（卡斯珀律师事务所） 12/21/21 $ 141,197.55\nThe Casper Firm（卡斯珀律师事务所）\nThe Casper Firm（卡斯珀律师事务所） 400 E. Pratt Street Suite 903 Baltimore, MD 21202 01/26/22 $\n02/09/22 $ 125,663.00\n28,013.00 $ 372,807.55 未知 其他——专业服务\n\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司） 12/7/21 $ 10,000.00\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司） 1/11/22 $ 10,000.00\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司） 33 W 60th Street Floor 2 New York NY 10023 2/7/22 10,000.00 $\n$ 30,000.00 $2,500.00 其他——专业服务\n\nU.S. Legal Support, Inc.（美国法律支持公司）\nU.S. Legal Support, Inc.（美国法律支持公司） 200 West Jackson Suite 600 Chicago IL 60606 01/12/22 $\n02/03/22 $ 1,028.75\n2,034.03 $ 3,062.78 $1,638.00 其他——专业服务\n\nUna Manyee Wilkinson（尤娜·曼尼·威尔金森） 12/01/21 $ 600.00\nUna Manyee Wilkinson（尤娜·曼尼·威尔金森） 01/12/22 $ 1,200.00\nUna Manyee Wilkinson（尤娜·曼尼·威尔金森） 68-18 Juno Street Forest Hills NY 11375 02/03/22 $ 1,600.00 $ 3,400.00 未知 其他——专业服务\n\nVeritext（维里泰克斯） 290 West Mt. Pleasant Ave. 12/10/21 $ 943.00\nVeritext（维里泰克斯） Suite 3200 Livingston NJ 07039 01/12/22 $ 13,967.00 $ 14,910.00 未知 其他——专业服务\n\nVX Cerda & Associates（VX 塞尔达律师事务所） 601 Brickell Key Drive Suite 700 Miami FL 33131 12/22/21 $ 3,055.33 $ 3,055.33 $3,124.99 其他——专业服务\n\nWilliam Bradley Wendel（威廉·布拉德利·温德尔） 123 Burleigh Drive Ithaca NY 14850 01/12/22 $ 9,503.33 $ 9,503.33 未知 其他——专业服务\n\n$ 2,054,671.92 $732,212.31\n\n案件 22-50073 文书 404-3 于 05/20/22 提交 于 05/20/22 11:52:18 录入 第 23 页，共 26 页 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 22 页，共 25 页\nHo Wan Kwok（郭文贵）\n第 11 章；案号 22-50073 (JAM)\n财务状况说明—问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nPacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机会基金有限合伙企业）诉 Kwok Ho Wan（郭文贵）（以及其他 a/k/a 名称）、Genever Holdings Corporation（吉尼弗控股公司）及 Genever Holdings LLC（吉尼弗控股有限责任公司） 652077/2017 违约 NY Sup.（纽约州最高法院） New York County Courthouse（纽约县法院大楼）\n60 Centre Street\nNew York, NY 10007 进行中\n\nPacific Alliance Asia Opportunity Fund L.P. 诉 Genever Holdings Corp.、Bravo Luck Ltd.（布拉沃幸运有限公司）、Kwok Ho Wan（以及其他 a/k/a 名称）及 Qiang Guo（郭强）（以及其他 a/k/a 名称） BVIHCM 0137 of 2020 追偿 Eastern Caribbean Sup. Ct, Virgin Islands, High Court of Justice（东加勒比最高法院、维尔京群岛高等法院） 进行中\n\nRui Ma（马锐）诉 Guo Wengui（郭文贵），又名 Miles Kwok（郭文贵），及 Golden Spring (New York) Ltd（黄金之春〔纽约〕有限公司） 158140/2017 侵权 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nGuo Wengui（郭文贵）（又名 Miles Kwok）诉 Clark Hill PLC（克拉克·希尔公共有限公司）及 Thomas Ragland（托马斯·拉格兰） 1:19-cv-3195-JEB 侵权/违约 D.D.C.（哥伦比亚特区联邦地区法院） 333 Constitution Avenue N.W.\nWashington D.C. 20001 进行中\n\nKwok Ho Wan、Ace Decade Holdings Limited（艾斯十年控股有限公司）及 Dawn State Limited（黎明州有限公司）诉 UBS AG (London Branch)（瑞银集团〔伦敦分行〕） CL-2020-000345 过失 High Court of Justice, Business and Property Courts of England and Wales, Queen's Bench Division, Commercial Court（英格兰及威尔士高等法院、商业及财产法院、王座法庭商业法院） 进行中\n\nAce Decade Holdings Limited 及 Kwok Ho Wan 诉 UBS AG CL-2020-000345 过失 Civil Court Basel-City, Conciliation Authority（巴塞尔城市民事法院调解机构） 进行中\n\nZheng Wu（吴征）（又名 Bruno Wu）及 Yang Lan（杨澜）诉 Guo Wengui（又名 Miles Kwok） 152123/2018 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nWeican (\"Watson\") Meng（孟伟灿〔“沃森”〕）及 Boxun, Inc.（博讯公司）诉 Guo Wengui（又名 Miles Kwok） 159636/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nXiqui (\"Bob\") Fu（傅希秋〔“鲍勃”〕）诉 Guo Wengui（以及其他 a/k/a 名称）、GTV Media Group, Inc.（GTV传媒集团公司）、Saraca Media Group, Inc.（萨拉卡传媒集团公司）、Voice of Guo Media, Inc.（郭媒体之声公司）、Lihong Wei Lafrenz（魏丽红·拉弗伦茨）（又名 Sara Wei）及 Dongna Fang（方冬娜） MO:20-CV-257-DC 侵权（诽谤） W.D. Tex（得克萨斯州西区联邦地区法院） U.S. District Clerk's Office（联邦地区法院书记官办公室）\n200 East Wall, Room 222\nMidland, Texas 79701 进行中\n\nWengui Guo（又名 Miles Kwok）诉 Jun Chen（陈军）（又名 Jonathan Ho） No. 18-CV-03800 (MCA)(MAH) 侵权（诽谤） NJ Dist.（新泽西州联邦地区法院） Martin Luther King Building & U.S. Courthouse（马丁·路德·金大楼及美国法院）\n50 Walnut Street\nNewark, NJ 07102 进行中\n\nSOFA 问题 # 9 附件\n案件 22-50073 文书 404-3 于 05/20/22 提交 于 05/20/22 11:52:18 录入 第 24 页，共 26 页 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 23 页，共 25 页\n\nSOFA 问题 # 9 附件\nHo Wan Kwok\n第 11 章；案号 22-50073 (JAM)\n财务状况说明—问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nSamuel Dan Nunberg（塞缪尔·丹·南伯格）诉 Guo Wengui（又名 Miles Kwok） 150141/2020 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007\nThurgood Marshall United States Courthouse（瑟古德·马歇尔美国法院） 进行中\n\nLogan Cheng（郑乐根）（原名 Shuiyan Cheng）诉 Guo Wengui 1:20-cv-05678-KPF 反 SLAPP SDNY（纽约南区联邦地区法院） 40 Foley Square\nNew York, NY 10007 进行中\n\nLiehong Zhuang（庄烈宏）及 Xiao Yan Zhu（朱小燕）诉 Wengui Guo（以及其他 a/k/a 名称）、Saraca Media Group Inc.、ABC Company 1-10 及 John Doe 1-10 654999/2020 侵权/违约 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nJonathan Young（乔纳森·杨）诉 Guo Wengui（又名 Miles Kwok）、Saraca Media Group, Inc.、Golden Spring (New York) Ltd 及 Rule of Law Foundation III（法治基金会 III） 154683/2020 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nZhengjun Dong（董正军）、Wen Lin（林文）、Kaixin Hong（洪开心）及 Chenglong Wang（王成龙）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 及 Wengui Guo 652190/2021 推定集体诉讼（证券） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nRong Zhang（张荣）、Xiaodan Wang（王晓丹）及 Chong Shen Raphanella（沈冲·拉法内拉）诉 Voice of Guo Media, Inc.、GTV Media Group, Inc.、Saraca Media Group Inc.、Rule of Law Foundation III, Inc.、Rule of Law Society IV Inc.（法治协会 IV 公司）、Sara Wei（又名 Lihong Wei Lafrenz）及 Wengui Guo（以及其他 a/k/a 名称） CV-21-01079-PHX-SMB 推定集体诉讼（证券；侵权） AZ Dist.（亚利桑那州联邦地区法院） Sandra Day O'Connor United States Courthouse（桑德拉·戴·奥康纳美国法院）\n401 W. Washington St., Suite 130, SPC 1\nPhoenix, AZ 85003-2118 进行中\n\nHaihong Wang（王海红）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 及 Wengui Guo 3:21-cv-00359-VLB 证券 D. Conn.（康涅狄格州联邦地区法院） ABRAHAM RIBICOFF FEDERAL BUILDING（亚伯拉罕·里比科夫联邦大楼）\nUnited States Courthouse\n450 Main Street – Room 725\nHartford, Connecticut 06103 进行中\n\nJune Shi（施军）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 及 Wengui Guo 21-CV-1408 证券；侵权 N.D. Ill.（伊利诺伊州北区联邦地区法院） Everett McKinley Dirksen United States Courthouse（埃弗雷特·麦金利·德克森美国法院）\n219 South Dearborn Street\nChicago, IL 60604 进行中\n\nJianhu Yi（易建湖）及 Quiju Jia（贾秋菊）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 及 Wengui Guo 1:21 Civ 02669 (VM) 证券 SDNY Thurgood Marshall United States Courthouse\n40 Foley Square\nNew York, NY 10007 进行中\n\nWeiguo Sun（孙卫国）、Linda He Cheung（张何琳达）、Jia Li Wang（王佳丽）、Jiamei Lu（陆佳美）、Jun Liu（刘军）、Moa-Fu Weng（翁茂福）、Ruquin Wang（王汝勤）、Teli Chen（陈特丽）、Weixiang Ge（葛卫香）、Shuang Wang（王爽）、Xingyu Yan（闫星宇）、Yan Gao（高燕）、Yi Li（李毅）及 Ying Liu（刘英）诉 GTV Media Group, Inc.、Saraca Media Group, Inc.、Wengui Guo（又名 Ho Wan Kwok）、Voice Guo Media, Inc. [原文如此] 及 Lihong Wei Lafrenz（以及其他 a/k/a 名称） 1:21-cv-04529 证券；侵权 SDNY Thurgood Marshall United States Courthouse\n40 Foley Square\nNew York, NY 10007 进行中\n\n案件 22-50073 文书 404-3 于 05/20/22 提交 于 05/20/22 11:52:18 录入 第 25 页，共 26 页 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 24 页，共 25 页\n\nSOFA 问题 # 9 附件\nHo Wan Kwok\n第 11 章；案号 22-50073 (JAM)\n财务状况说明—问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nKeyi Zilkie（齐凯·齐尔基）、Huizhen Wang（王慧珍）、Chao-Chih Chiu（邱昭志）及 Yunxia Wu（吴云霞）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 及 Wengui Guo 652843/2021 证券；侵权 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nWengui Guo（又名 Miles Kwok）诉 Yeliang Xia（夏业良） 1:18-CV-00174-LO-TCB 侵权（诽谤） E.D. Va.（弗吉尼亚州东区联邦地区法院） Albert V. Bryan U.S. Courthouse（阿尔伯特·V·布赖恩美国法院）\n401 Courthouse Square\nAlexandria, VA 22314 进行中\n\nGuo 诉 Hong Zeng（曾宏） 157025/2020 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nGuo 诉 Gao BingChen（高冰尘） VLC-S-S-187450 侵权（诽谤） Sup. Court of British Columbia（不列颠哥伦比亚省最高法院） Vancouver, Canada 进行中\n\nBeijing Zhong Xian Wei Ye Stainless Decoration Center（北京中显伟业不锈钢装饰中心）等诉 Wengui Guo、Beijing Zenith Holdings Co（北京盘古氏投资有限公司）、Beijing Pangu Investment Co.（北京盘古投资有限公司）、Genever Holdings LLC 及 Golden Spring (New York) Ltd. 653176/2017 追偿事项 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\n香港高等法院针对 Guo 及众多个人和实体的没收程序 资产扣押 High Court of The Hong Kong Special Administrative Region: Court of First Instance（香港特别行政区高等法院原讼法庭） 未知\n\nKwok 诉 MacDonald（麦克唐纳） 2019/0048 侵权 British Virgin Islands（英属维尔京群岛） 33 Admin Drive, Wickhams Cay 1, Road Town, Tortola, Virgin Islands (British) 进行中\n\nFAN BINGBING（范冰冰）诉 GUO WENGUI，又名 GUO WEN GUI，又名 GUO WEN-GUI，又名 GUO HAOYUN，又名 HAOUN GUO，又名 WAN GUE HAOYUN，又名 MILES KWOK，又名 KWOK HO WAN，又名 KWOK HO 156619/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 未进行\n\nJIANSHENGXIE（谢建生）及 JIEFU ZHENG（郑介福）诉 WENGUI GUO，又名 HAOYUNGUO，又名 MILES KWOK，又名 HO WANKWOK，又名 HO KWOK，又名 WEN GUI GWO，又名 WAN GUE HAOYUN，又名 GUO HAOYUN 155995/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 未进行\n\nWA&HF LLC（WA&HF有限责任公司）、RUIZHENG AN（安瑞正）诉 SARACA MEDIA GROUP, INC. 及 WENGUI GUO No. 20-2-12680-2 SEA 侵权/违约 WA Sup. Ct（华盛顿州最高法院） King County Superior Court（金县高等法院）\n516 Third Avenue, Room C-203\nSeattle, WA 98104 进行中（但就 MK 而言未进行）\n\nGUO WENGUI，又名 KWOK HO WAN，又名 MILES KWOK 诉 GUO BAOSHENG（郭宝胜）、YAN ZHAO（赵岩）及 NING YE（叶宁） 151251/2019 侵权/违约 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nKUI CHENG（程奎）诉 G CLUB OPERATIONS LLC（G俱乐部运营有限责任公司）及 WENGUI GUO，又名 HO WAN KWOK，又名 MILES KWOK，又名 MILES GUO No. S21-0093J5 违约 Texas small claims court（得克萨斯州小额索赔法院） 进行中\n\n案件 22-50073 文书 404-3 于 05/20/22 提交 于 05/20/22 11:52:18 录入 第 26 页，共 26 页 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 25 页，共 25 页\n\nSOFA 问题 # 9 附件\nHo Wan Kwok\n第 11 章；案号 22-50073 (JAM)\n财务状况说明—问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nWengui Guo，又名 Miles Kwok 诉 Danyu Lin（林丹玉） No. 2018-CP-03623 侵权（诽谤） South Carolina state court（南卡罗来纳州州法院） Matthew J. Perry, Jr. U.S. Courthouse（小马修·J·佩里美国法院）\n901 Richland Street\nColumbia, South Carolina 29201 在破产申请前 1 年内已解决。\n\nYan Huang（黄燕）诉 Wengui Guo No. 156552/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 在破产申请前 1 年内已解决。\n\nWENGUI GUO 诉 BAOSEHNG GUO（郭宝胜） No. 1:18-cv-1064 侵权（诽谤/欺诈） ED Va. Albert V. Bryan U.S. Courthouse\n401 Courthouse Square\nAlexandria, VA 22314 在破产申请前 1 年内已解决。\n\nBAIQIAO TANG（唐柏桥），又名 TANG BAIQIAO，及 JING GENG（耿静）诉 WENGUI GUO，又名 MILES KWOK，又名 GUO WEN GUI，又名 HO WAN KWOK、GOLDEN SPRING (NEW YORK) LTD.、RULE OF LAW FOUNDATION III INC.、RULE OF LAW SOCIETY IV INC.、SARACA MEDIA GROUP, INC. No. 1:17-cv-09031-JFK 侵权（诽谤/商业） SDNY Thurgood Marshall United States Courthouse\n40 Foley Square\nNew York, NY 10007 在破产申请前 1 年内已解决。","key_entities":["Guo","Kwok","Je","Ho Wan Kwok","Saraca","GTV","Miles Guo","GETTR","RICO","CIPA","forfeiture"],"ecf_references":[{"doc_number":77,"court":"CTB"}],"word_count":14069,"status":"published","published_at":"2022-05-20 00:00:00","created_at":"2022-05-20","updated_at":"2026-08-23 22:22:22"}