{"id":"court_ctb_430_1","court":"CTB","case_no":"22-50073","doc_number":430,"sub_number":1,"doc_type":"EXHIBIT","filed_date":"2022-05-24","title":"EXHIBIT A Complaint, *PAX v. Kwok","summary_zh":null,"summary_en":null,"body_en":"# **EXHIBIT A**\n\nComplaint, *PAX v. Kwok*\n\n## SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK\n\nPACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P.,\n\nPlaintiff,\n\nIndex No.\n\n**FILED: NEW YORK COUNTY CLERK 04/18/2017 04:01 PM** INDEX NO. 652077/2017 NYSCEF DOC. NO. 2 RECEIVED NYSCEF: 04/18/2017\n\nv.\n\n**COMPLAINT**\n\nKWOK HO WAN, *a/k/a* KWOK HO, *a/k/a* GWO WEN GUI, *a/k/a* GUO WENGUI, *a/k/a* GUO WEN-GUI, *a/k/a* WAN GUE HAOYUN, *a/k/a* MILES KWOK, *a/k/a* HAOYUN GUO,\n\n  Defendant.\n\n![](_page_2_Picture_0.jpeg)\n\n#### **NATURE OF THE ACTION**\n\n1. This is a straightforward breach of contract case. Kwok Ho Wan, a/k/a Kwok Ho, a/k/a Gwo Wen Gui, a/k/a Guo Wengui, a/k/a Guo Wen-Gui, a/k/a Wan Gue Haoyun, a/k/a Miles Kwok, a/k/a Haoyun Guo (\"Kwok\"), a reported billionaire, and his controlled entities borrowed millions of dollars from Plaintiff Pacific Alliance Asia Opportunity Fund L.P. (\"PAX LP\") but have failed to pay any of the amount owed to PAX LP under binding written agreements.\n\n2. In 2008, PAX LP entered into a written agreement with Spirit Charter Investment Limited (\"Spirit Charter\"), one of Kwok's business entities, under which PAX LP made available to Spirit Charter a loan facility in the principal amount of \\$30 million. This loan facility was conditioned on Kwok's execution of a personal guarantee of Spirit Charter's repayment obligations.\n\n3. In 2009, another of Kwok's entities, Shiny Times Holdings Limited (\"Shiny Times\"), assumed the debt that Spirit Charter owed to PAX LP, which the parties agreed at the time totaled \\$45,357,534.25. Kwok executed a personal guarantee of this debt.\n\n4. Then in 2011, PAX LP and Shiny Times entered into a written agreement (the \"2011 Facility Letter\") that expressly superseded prior agreements between the parties. In the 2011 Facility Letter, the parties agreed that Shiny Times owed PAX LP \\$46,426,489 and would repay that amount (plus 15% annual interest from December 31, 2010) by June 30, 2012.\n\n5. That same day, Kwok entered into a separate personal guarantee (that similarly expressly superseded Kwok's prior personal guarantee) under which Kwok guaranteed payment of all amounts owed to PAX LP by Shiny Times under the 2011 Facility Letter (the \"Personal Guarantee\").\n\n6. To date, neither Shiny Times nor Kwok have paid any amount owed to PAX LP under either the 2011 Facility Letter or the Personal Guarantee.\n\n7. PAX LP has taken all necessary and appropriate steps in accordance with its contracts with Shiny Times and Kwok to recover the monies it is owed—now totaling approximately\n\n#### 2 of 11\n\n\\$88 million including contractual interest—but has recovered nothing because it has been ignored by Shiny Times and Kwok at each step.\n\n8. Given that Kwok regularly transacts business, is domiciled and resides, and owns real estate in New York, PAX LP brings this action in this Court to enforce its contractual rights against Kwok.\n\n## **JURISDICTION AND VENUE**\n\n9. This Court has personal jurisdiction over Kwok pursuant to New York's general personal jurisdiction statute, C.P.L.R § 301, because he is engaged in a continuous and systematic course of \"doing business\" in New York and is domiciled in the state.\n\n10. Venue is proper in this Court under C.P.L.R § 503(a) because Kwok's residence is in New York County.\n\n## **PARTIES**\n\n11. Plaintiff PAX LP is an investment fund organized as an exempted limited partnership under the laws of the Cayman Islands.\n\n12. Defendant Kwok is a Chinese national who is domiciled in New York and engages in a continuous and systematic course of \"doing business\" in New York.\n\n13. Kwok resides on the 18th Floor of The Sherry-Netherland Hotel in New York City—a residence he purchased in 2015 for \\$67.5 million through Genever Holdings, LLC (\"Genever\"), a domestic limited liability company that he solely owns and that maintains its principal place of business in New York State at 80 State Street in Albany.\n\n14. Kwok also maintains offices at 767 Fifth Avenue for Golden Spring (New York) Ltd. (\"Golden Spring\"), a Delaware company that he owns, which is registered to do business as a foreign corporation in New York and has a registered agent for service of process in New York.\n\n![](_page_4_Picture_0.jpeg)\n\n15. Kwok also has employees or agents in New York, including those who work for Golden Spring and the attorneys he hired to represent him in two cases in the United States District Court for the Southern District of New York over the last two years.<sup>1</sup>\n\n#### **STATEMENT OF FACTS**\n\n#### *The Shiny Times Loan and Kwok's Personal Guarantee to Repay PAX LP*\n\n16. PAX LP and Kwok have had business dealings since approximately February 4, 2008, when PAX LP entered into a written agreement (the \"2008 Facility Agreement\") with Spirit Charter, one of Kwok's business entities, under which PAX LP made available to Spirit Charter a loan facility in the principal amount of \\$30 million.\n\n17. This loan facility was conditioned on Kwok's execution of a personal guarantee of Spirit Charter's repayment obligations.\n\n18. On March 12, 2008, PAX LP and Spirit Charter amended and restated the 2008 Facility Agreement (\"Amended and Restated 2008 Facility Agreement\").\n\n19. By a deed dated September 17, 2009 (the \"September 2009 Deed\"), Shiny Times (another of Kwok's entities), Spirit Charter, PAX LP, and various other parties agreed that Shiny Times would replace Spirit Charter as the borrower under the Amended and Restated 2008 Facility Agreement. The parties to the September 2009 Deed also agreed that the outstanding amount under the Amended and Restated 2008 Facility Agreement, including accrued and unpaid interest, was then \\$45,357,534.25 as of September 12, 2009 (the \"Amended 2008 Loan Facility\").\n\n<sup>1</sup> In 2015, Kwok and Golden Spring were sued for violations of the Fair Labor Standards Act, and in that lawsuit, Kwok (through counsel) acknowledged that he was properly served with a summons and complaint at The Sherry-Netherland Hotel. *Ahn v. Golden Spring (New York) Ltd. et al.*, No. 1:15-cv-09697 (S.D.N.Y. Dec. 11, 2015). In 2016, Kwok and Genever filed a lawsuit (through counsel) against The Sherry-Netherland Hotel and others relating to a leak in his apartment at the hotel. *Genever Holdings, LLC and Miles Kwok v. The Sherry-Netherland, Inc., et al.,* No. 1:16-cv-06246-GBD (S.D.N.Y. Aug. 5, 2016).\n\n20. The September 2009 Deed required Kwok to execute a personal guarantee in favor of PAX LP to secure Shiny Times' due and punctual performance and repayment of the Amended 2008 Loan Facility. Kwok executed his personal guarantee on November 18, 2009.\n\n21. PAX LP, Kwok, and Shiny Times thereafter agreed to supersede the foregoing agreements with two contracts executed on March 16, 2011—the 2011 Facility Letter (attached as Exhibit A) and the Personal Guarantee (attached as Exhibit B).\n\n22. In the 2011 Facility Letter, the parties agreed that Shiny Times owed PAX LP \\$46,426,489 and would repay that amount (plus 15% annual interest from December 31, 2010) by June 30, 2012.\n\n23. The parties further agreed in the 2011 Facility Letter that any failure by Shiny Times to pay any amount owed to PAX LP under the 2011 Facility Letter would constitute an Event of Default, and that in such event PAX LP could (i) declare the entire loan, accrued and unpaid interest, and any other money payable to be immediately due and payable without further demand or notice or other legal formality of any kind, and/or (ii) declare the 2011 Facility Letter terminated.\n\n24. Finally, like the prior agreements between the parties, the 2011 Facility Letter was expressly conditioned on Kwok's execution of the Personal Guarantee to fully backstop Shiny Times' payment obligations to PAX LP:\n\nThe Lender [PAX LP] and the Borrower [Shiny Times] agree to enter into this Agreement . . . on the condition that a new personal guarantee of Mr. Kwok (the \"Personal Guarantee\"), in favour of the Lender is delivered to secure the due and punctual performance of the Borrower to fully repay the [2011 Facility Letter] plus all accrued and unpaid interest in accordance with this Agreement.\n\n25. Kwok signed the 2011 Facility Letter as a Director of Shiny Times and also, on the same day, signed the Personal Guarantee, under which Kwok agreed to \"irrevocably and unconditionally\" guarantee Shiny Times' payment of all amounts owed under the 2011 Facility Letter. In particular, Kwok:\n\n- (a) guaranteed to PAX LP the \"due and punctual payment\" of Shiny Times' obligations under the 2011 Facility Letter;\n- (b) agreed \"that promptly on [PAX LP's] demand [Kwok] will pay to [PAX LP] all [such amounts] that are due but unpaid\";\n- (c) agreed to \"indemnify and hold harmless [PAX LP] on demand from and against all losses incurred by [PAX LP] as a result of any obligation of Shiny Times under the 2011 Facility Letter being or becoming void, voidable, unenforceable or ineffective as against Shiny Times for any reason whatsoever\";\n- (d) agreed that PAX LP's demand for payment would constitute *prima facie* evidence that such payment was due and owing;\n- (e) agreed that PAX LP could seek repayment from either Shiny Times or Kwok; and\n- (f) agreed to indemnify PAX LP from \"any and all costs, claims losses, [and] expenses (including legal fees)\" incurred as a result of exercising or enforcing the Personal Guarantee.\n- 26. Furthermore, Kwok agreed to waive several defenses, including those based on the\n\nwinding up or dissolution of Shiny Times, or PAX LP's inability to recover against Shiny Times \"for any reason.\" Kwok also agreed to a catchall waiver of any conceivable defenses based on \"any other act, event or omission which might operate to discharge, impair or otherwise affect the Guarantor or any of the Obligations or any of the rights, powers, and remedies conferred upon [PAX LP] by this Guarantee or by law.\"\n\n27. In other words, Kwok signed an unambiguous and ironclad guarantee that he would\n\nsatisfy Shiny Times' debt to PAX LP under any circumstances.\n\n#### *The Extensions and Shiny Times' Ultimate Failure to Repay PAX LP*\n\n28. Shiny Times did not repay any portion of the loan principal or accrued interest before the June 30, 2012 repayment date set forth in the 2011 Facility Letter, and the parties subsequently entered into a series of extensions, each labeled a \"Deed of Settlement.\"\n\n29. PAX LP, Shiny Times, and Kwok entered into the first Deed of Settlement (the\n\n\"Original Deed of Settlement\") along with Beijing Pangu Investment Inc. (\"Beijing Pangu\"), another company within the Kwok empire, on April 19, 2013.\n\n30. The Original Deed of Settlement provided that the total outstanding amount due under\n\nthe 2011 Facility Letter plus all accrued and unpaid interest was \\$52 million as of the date of the\n\nOriginal Deed of Settlement, and that amount would be no longer due and owing upon the satisfaction\n\nof the following conditions:\n\n- (a) If PAX LP completed the purchase of three apartments from Beijing Pangu in a series of three separate transactions for approximately \\$5 million each, for a total of approximately \\$15 million; and\n- (b) If Shiny Times completed three installment payments to PAX LP of approximately \\$5 million each—one installment payment to be made after each separate apartment purchase—for a total of approximately \\$15 million.\n\n31. Before PAX LP could purchase any of the three apartments from Beijing Pangu, however, Beijing Pangu was required under the Original Deed of Settlement to satisfy certain conditions precedent relating to title, taxes, and other common aspects of real estate transactions. If any of these conditions were not met for any of the three apartments by July 31, 2013, the Original Deed of Settlement expressly provided that it would be terminated in its entirety, and the 2011 Facility Letter would revert into full effect.\n\n32. Beijing Pangu failed to satisfy these conditions precedent by July 31, 2013, PAX LP therefore did not complete its purchase of any of the apartments, and Shiny Times did not make any of the three installment payments it owed to PAX LP under the Original Deed of Settlement.\n\n33. Four supplemental deeds of settlement—on December 3, 2013, May 15, 2014, July 11, 2014, and February 10, 2015—extended the dates in the Original Deed of Settlement, including the repayment date and the date for Beijing Pangu to satisfy the conditions precedent.\n\n34. Each of the supplemental deeds had the same terms as the Original Deed of Settlement. And the result was the same each time: Beijing Pangu never met the conditions it was required to satisfy, PAX LP therefore was not required to, and did not, complete its purchase of any of the apartments, and Shiny Times never made any of the three installment payments it owed to PAX LP under the 2011 Facility Letter.\n\n35. Finally, on March 31, 2015, Shiny Times and PAX LP, together with Worldwide Opportunity Holdings Limited and Empire Growth Holdings Limited, entered into an Option Agreement (the \"Option Agreement\") that provided, among other things, for the repayment via share sale transaction of amounts owed by Shiny Times to PAX LP.\n\n36. Pursuant to its terms, the Option Agreement was to terminate if certain conditions relating to the transfer of property (as stated in the Option Agreement) were not satisfied. None of these conditions were satisfied, and the Option Agreement was terminated without negating Shiny Times' obligation to pay PAX LP.\n\n37. Thus, the 2011 Facility Letter reverted to being in full force and effect, Kwok's obligations under the Personal Guarantee are fully enforceable, and Kwok is independently liable under the Personal Guarantee for the full amount of Shiny Times' debt owed to PAX LP under the 2011 Facility Letter.\n\n#### *PAX LP Seeks to Enforce Its Contractual Rights and Collect Amounts Owed*\n\n38. On October 16, 2015, after the Deeds of Settlement and Option Agreement were terminated and the 2011 Facility Letter reverted to being in full force and effect, PAX LP sent a written notice of demand (the \"Notice of Demand\") to Kwok's address in Hong Kong, as specified under the terms of the Personal Guarantee.\n\n![](_page_9_Picture_0.jpeg)\n\n39. The Notice of Demand informed Kwok that \"Shiny Times ha[d] failed to repay any part of the sum due\" under the 2011 Facility Letter and demanded immediate payment of \\$71,818,633.44. The Notice of Demand also informed Kwok that legal proceedings might be commenced against him if he did not make immediate payment, and reserved PAX LP's contractual rights under both the 2011 Facility Letter and the Personal Guarantee.\n\n40. Kwok never responded to the Notice of Demand.\n\n41. On February 19, 2016, PAX LP sent a letter to Shiny Times demanding payment of \\$82,219,404.08 due and owing under the 2011 Facility Letter (the \"Shiny Times Demand Letter\"), which represented the principal plus contractual interest of 15% per annum calculated up to the date of the Shiny Times Demand Letter.\n\n42. Shiny Times never responded to the Shiny Times Demand Letter.\n\n43. When Shiny Times did not respond, PAX LP submitted an application to court in the British Virgin Islands (\"BVI\") on February 29, 2016 seeking the appointment of joint liquidators to put Shiny Times, which is a BVI corporation, into liquidation. The application alleged that (i) Shiny Times had failed to pay the sum then-owing of \\$82,410,197.87, (ii) Shiny Times was unable to pay its debts, and (iii) Shiny Times was insolvent and should be liquidated.\n\n44. Although Shiny Times was in fact placed into liquidation as a result of the BVI proceeding, PAX LP was unable to collect any of the monies owed to it under the 2011 Facility Letter.\n\n45. To date, Kwok has not repaid any of the money due and owing to PAX LP under the Personal Guarantee. The sum due and owing—which includes the outstanding principal plus accrued and unpaid interest—is currently approximately \\$88 million.\n\n46. As a result of Kwok's failure to repay any of the money due and owing to PAX LP, Plaintiff has incurred \"costs, claims losses, [and] expenses (including legal fees)\" in connection with\n\n![](_page_10_Picture_0.jpeg)\n\nenforcing the Personal Guarantee. Kwok is obligated to indemnify those amounts under the express terms of the Personal Guarantee (*see* Paragraph 25(f)).\n\n## **COUNT I – BREACH OF CONTRACT Against Defendant Kwok**\n\n47. Plaintiff realleges and incorporates by reference each and every allegation contained in paragraphs 1 through 46 as though fully set forth herein.\n\n48. The Personal Guarantee obligates Kwok to repay PAX LP for the loan facility (as amended) that PAX LP made available to Spirit Charter, along with unpaid interest. The current amount due and owing is approximately \\$88 million.\n\n49. Plaintiff performed its own obligations under the Personal Guarantee (and other related agreements).\n\n50. Kwok has not repaid any of the money due and owing to PAX LP under the Personal Guarantee.\n\n51. As a direct result of Kwok's breach of his payment obligations under the Personal\n\nGuarantee, Plaintiff continues to suffer the loss of approximately \\$88 million dollars, an amount that continues to incur interest.\n\nWHEREFORE, Plaintiff requests judgment against Defendant as follows:\n\n(a) in the amount of \\$46,426,489 under the Personal Guarantee;\n\n(b) in the amount of \\$41,096,982.46 in interest;\n\n(c) the reasonable attorneys' fees, costs, and expenses PAX LP has incurred, and will continue to incur, in connection with its enforcement of the Personal Guarantee against Kwok under the Personal Guarantee's indemnification clause; and\n\n(d) such other and further relief to which PAX LP shows itself justly entitled.\n\n'\\$7(' 1HZ<RUN1HZ<RUN \\$SULO\n\n5HVSHFWIXOO\\VXEPLWWHG\n\n7+(6(,'(1\\*5283 %\\ 6(,'(1 \\*5283\n\n5REHUW:6HLGHQUVHLGHQ#VHLGHQOHJDOFRP \\$YHQXHRIWKH\\$PHULFDV 1HZ<RUN1< HUW:6HLGHQUVHLGHQ#VHLG \\$YHQXH RI WKH \\$PHULFDV\n\nDQG\n\n**FILED: NEW YORK COUNTY CLERK 04/18/2017 04:01 PM** INDEX NO. 652077/2017 NYSCEF DOC. NO. 2 RECEIVED NYSCEF: 04/18/2017\n\n> 2¶0(/9(1< 0<(56//3 6WXDUW6DUQRIIVVDUQRII#RPPFRP (GZDUG0RVVHPRVV#RPPFRP 7LPHV6TXDUH 1HZ<RUN1<\n\n*\\$WWRUQH\\VIRU3ODLQWLII*","body_zh":"证据 A\n\n起诉书，PAX 诉 郭\n纽约州最高法院 纽约县\n\nPACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P.（太平洋同盟亚洲机会基金有限合伙），\n\n原告，\n\n索引号\n\n归档时间：纽约县书记官 04/18/2017 04:01 PM 索引号 652077/2017 NYSCEF 文书编号 2 NYSCEF 接收时间：04/18/2017\n\n诉\n\n起诉书\n\nKWOK HO WAN（郭浩云），又名 KWOK HO（郭浩），又名 GWO WEN GUI（郭文贵），又名 GUO WENGUI（郭文贵），又名 GUO WEN-GUI（郭文贵），又名 WAN GUE HAOYUN（万格浩云），又名 MILES KWOK（迈尔斯·郭），又名 HAOYUN GUO（浩云·郭），\n\n被告。\n\n诉讼性质\n\n1. 这是一起简单的违约案件。据报道为亿万富翁的 Kwok Ho Wan（郭浩云），又名 Kwok Ho（郭浩），又名 Gwo Wen Gui（郭文贵），又名 Guo Wengui（郭文贵），又名 Guo Wen-Gui（郭文贵），又名 Wan Gue Haoyun（万格浩云），又名 Miles Kwok（迈尔斯·郭），又名 Haoyun Guo（浩云·郭）（以下简称「郭」），及其控制的实体向原告 Pacific Alliance Asia Opportunity Fund L.P.（太平洋同盟亚洲机会基金有限合伙，以下简称「PAX LP」）借款数千万美元，但未能根据具有法律约束力的书面协议向 PAX LP 偿还所欠的任何款项。\n\n2. 2008年，PAX LP 与郭旗下的商业实体之一 Spirit Charter Investment Limited（宏 charter 投资有限公司，以下简称「Spirit Charter」）签订了一份书面协议，根据该协议，PAX LP 向 Spirit Charter 提供了一笔本金为 $30 million 的贷款额度。该贷款额度以郭就 Spirit Charter 的还款义务签署个人担保为条件。\n\n3. 2009年，郭旗下的另一实体 Shiny Times Holdings Limited（耀泰控股有限公司，以下简称「Shiny Times」）承接了 Spirit Charter 欠 PAX LP 的债务，双方当时一致确认该笔债务总计为 $45,357,534.25。郭就该笔债务签署了个人担保。\n\n4. 随后在2011年，PAX LP 与 Shiny Times 签订了一份书面协议（以下简称「《2011年贷款额度函》」），该协议明确取代了双方先前的协议。在《2011年贷款额度函》中，双方一致确认 Shiny Times 欠 PAX LP $46,426,489，并将于2012年6月30日前偿还该款项（外加自2010年12月31日起计的15%年利率）。\n\n5. 同日，郭签署了一份单独的个人担保（同样明确取代了郭先前的个人担保），根据该担保，郭为 Shiny Times 在《2011年贷款额度函》项下欠 PAX LP 的所有款项的偿付提供担保（以下简称「《个人担保》」）。\n\n6. 迄今为止，无论是 Shiny Times 还是郭，均未根据《2011年贷款额度函》或《个人担保》向 PAX LP 偿还任何欠款。\n\n7. PAX LP 已根据其与 Shiny Times 及郭签订的合同，采取了一切必要且适当的措施来追讨所欠款项——包括合同约定的利息在内，现总计约 $88 million——但由于 Shiny Times 和郭在每一步中均置之不理，PAX LP 未能追回任何款项。\n\n8. 鉴于郭经常在纽约开展业务、在纽约拥有住所及居所、并在纽约拥有不动产，PAX LP 向本法院提起本诉讼，以向郭主张其合同权利。\n\n管辖权与审判地\n\n9. 依据纽约州《民事诉讼法与规则》（C.P.L.R）§ 301 的一般属人管辖权规定，本法院对郭具有属人管辖权，因为他在纽约从事连续且系统性的「开展业务」活动，并且在纽约州拥有住所。\n\n10. 根据 C.P.L.R § 503(a)，本法院为适格审判地，因为郭的居所在纽约县。\n\n当事人\n\n11. 原告 PAX LP 是一家根据 Cayman Islands（开曼群岛）法律组建的豁免有限合伙形式的投资基金。\n\n12. 被告郭为中国籍公民，在纽约拥有住所，并在纽约从事连续且系统性的「开展业务」活动。\n\n13. 郭居住在纽约市 The Sherry-Netherland Hotel（雪莉·荷兰大饭店）的18层——该居所系他于2015年通过 Genever Holdings, LLC（以下简称「Genever」）以 $67.5 million 购入，Genever 是一家由他全资拥有的本地有限责任公司，其在纽约州的主营业务地位于 Albany（奥尔巴尼）的 80 State Street。\n\n14. 郭还在 Fifth Avenue（第五大道）767号为 Golden Spring (New York) Ltd.（金泉（纽约）有限公司，以下简称「Golden Spring」）设有办事处，Golden Spring 是他拥有的一家 Delaware（特拉华州）公司，已在纽约注册作为外州公司开展业务，并在纽约设有送达法律文书的指定代理人。\n\n15. 郭在纽约还拥有员工或代理人，包括为 Golden Spring 工作的员工，以及过去两年中在 United States District Court for the Southern District of New York（美国纽约南区联邦地区法院）的两起案件中受聘代表他的律师。1\n\n事实陈述\nShiny Times 贷款及郭向 PAX LP 还款的个人担保\n\n16. PAX LP 与郭的业务往来始于约2008年2月4日，当时 PAX LP 与郭旗下的商业实体之一 Spirit Charter 签订了一份书面协议（以下简称「《2008年贷款额度协议》」），根据该协议，PAX LP 向 Spirit Charter 提供了一笔本金为 $30 million 的贷款额度。\n\n17. 该贷款额度以郭就 Spirit Charter 的还款义务签署个人担保为条件。\n\n18. 2008年3月12日，PAX LP 与 Spirit Charter 修订并重述了《2008年贷款额度协议》（以下简称「《经修订及重述的2008年贷款额度协议》」）。\n\n19. 根据日期为2009年9月17日的一份契据（以下简称「《2009年9月契据》」），Shiny Times（郭旗下的另一实体）、Spirit Charter、PAX LP 及其他各方同意由 Shiny Times 替代 Spirit Charter 成为《经修订及重述的2008年贷款额度协议》项下的借款人。《2009年9月契据》的各方还一致确认，截至2009年9月12日，《经修订及重述的2008年贷款额度协议》项下的未偿款项（包括应计未付利息）当时为 $45,357,534.25（以下简称「《经修订的2008年贷款额度》」）。\n\n1 2015年，郭和 Golden Spring 因违反《公平劳动标准法》被起诉，在该诉讼中，郭（通过律师）确认传票和起诉书已在 The Sherry-Netherland Hotel 妥善向其送达。Ahn 诉 Golden Spring (New York) Ltd. 等人，案号 No. 1:15-cv-09697 (S.D.N.Y. Dec. 11, 2015)。2016年，郭和 Genever（通过律师）就其在该饭店公寓的漏水问题向 The Sherry-Netherland Hotel 等提起诉讼。Genever Holdings, LLC 及 Miles Kwok 诉 The Sherry-Netherland, Inc. 等人，案号 No. 1:16-cv-06246-GBD (S.D.N.Y. Aug. 5, 2016)。\n\n20. 《2009年9月契据》要求郭向 PAX LP 出具个人担保，以担保 Shiny Times 按期如约履行及偿还《经修订的2008年贷款额度》。郭于2009年11月18日签署了他的个人担保。\n\n21. 此后，PAX LP、郭与 Shiny Times 同意通过于2011年3月16日签署的两份合同取代上述协议——即《2011年贷款额度函》（作为证据 A 附后）和《个人担保》（作为证据 B 附后）。\n\n22. 在《2011年贷款额度函》中，各方一致确认 Shiny Times 欠 PAX LP $46,426,489，并将于2012年6月30日前偿还该款项（外加自2010年12月31日起计的15%年利率）。\n\n23. 各方在《2011年贷款额度函》中进一步约定，Shiny Times 未能支付其在《2011年贷款额度函》项下欠 PAX LP 的任何款项，即构成违约事件，在此种情况下，PAX LP 可以 (i) 宣布全部贷款、应计未付利息及任何其他应付款项立即到期应付，无需进一步催告、通知或履行任何种类的其他法定手续，及/或 (ii) 宣布终止《2011年贷款额度函》。\n\n24. 最后，与各方先前的协议一样，《2011年贷款额度函》明确以郭签署《个人担保》为条件，以全面支持 Shiny Times 对 PAX LP 的还款义务：\n\n贷款人 [PAX LP] 和借款人 [Shiny Times] 同意订立本协议……条件是交付郭先生向贷款人出具的新个人担保（以下简称「《个人担保》」），以担保借款人按期如约完全偿还 [《2011年贷款额度函》] 及根据本协议产生的所有应计未付利息。\n\n25. 郭作为 Shiny Times 的董事签署了《2011年贷款额度函》，并于同日签署了《个人担保》，郭在其中同意「不可撤销且无条件地」担保 Shiny Times 支付《2011年贷款额度函》项下所欠的所有款项。具体而言，郭：\n\n- (a) 向 PAX LP 担保 Shiny Times 在《2011年贷款额度函》项下义务的「按期如约支付」；\n- (b) 同意「一经 [PAX LP] 要求，[郭] 将立即向 [PAX LP] 支付所有到期未付的 [该等款项]」；\n- (c) 同意「一经要求，即对 [PAX LP] 因 Shiny Times 在《2011年贷款额度函》项下的任何义务因任何原因对 Shiny Times 而言全部或部分无效、可撤销、不可执行或不具约束力而遭受的所有损失进行赔偿并使其免受损害」；\n- (d) 同意 PAX LP 的付款要求即构成该等款项已到期且应付的初步证据；\n- (e) 同意 PAX LP 可以向 Shiny Times 或郭任何一方追讨还款；以及\n- (f) 同意就因行使或强制执行《个人担保》而产生的所有「任何及所有费用、索赔、损失[及]开支（包括律师费）」向 PAX LP 做出赔偿。\n\n26. 此外，郭同意放弃多项抗辩事由，包括基于 Shiny Times 清算或解散的抗辩，或基于 PAX LP 因「任何原因」无法向 Shiny Times 追讨的抗辩。郭还同意概括性放弃任何可能被提出的抗辩事由，即基于「可能导致免除、损害或以其他方式影响担保人或任何义务，或影响本担保或法律赋予 [PAX LP] 的任何权利、权力及救济的任何其他行为、事件或不作为」的抗辩。\n\n27. 换言之，郭签署了一份明确无误且无懈可击的担保，承诺他在任何情况下都将偿付 Shiny Times 欠 PAX LP 的债务。\n\n展期及 Shiny Times 最终未能向 PAX LP 还款\n\n28. Shiny Times 未在《2011年贷款额度函》规定的2012年6月30日还款日之前偿还任何贷款本金或应计利息，各方随后订立了一系列展期协议，每一份均被称为「《和解契据》」。\n\n29. PAX LP、Shiny Times 及郭于2013年4月19日与 Beijing Pangu Investment Inc.（北京盘古氏投资有限公司，以下简称「北京盘古」，郭氏商业帝国旗下的另一家公司）共同订立了第一份《和解契据》（以下简称「《原和解契据》」）。\n\n30. 《原和解契据》规定，截至《原和解契据》签署之日，根据《2011年贷款额度函》应付的全部未偿金额加所有应计未付利息为 $52 million，且在满足下列条件后，该款项将不再属于到期应付：\n\n- (a) 若 PAX LP 通过三笔独立交易从北京盘古完成购买三套公寓，每套约 $5 million，总计约 $15 million；以及\n- (b) 若 Shiny Times 向 PAX LP 完成三笔各约 $5 million 的分期付款——每完成一笔单独的公寓购买后支付一笔分期付款——总计约 $15 million。\n\n31. 然而，在 PAX LP 能够从北京盘古购买任何这三套公寓之前，北京盘古根据《原和解契据》被要求满足与产权、税费以及房地产交易其他常规方面相关的某些先决条件。如果在2013年7月31日之前，这三套公寓中有任何一套未能满足上述任何条件，《原和解契据》明确规定将全部终止，且《2011年贷款额度函》将恢复完全效力。\n\n32. 北京盘古未能在2013年7月31日之前满足这些先决条件，因此 PAX LP 未完成对任何公寓的购买，Shiny Times 亦未向 PAX LP 支付其在《原和解契据》项下所欠的三笔分期付款中的任何一笔。\n\n33. 四份补充和解契约——分别于 December 3, 2013、May 15, 2014、July 11, 2014 和 February 10, 2015 达成——延长了《原和解契约》（Original Deed of Settlement）中规定的日期，包括还款日期以及 Beijing Pangu（北京盘古）满足先决条件的日期。\n\n34. 每份补充契约均具有与《原和解契约》相同的条款。每次的结果也相同：北京盘古从未满足其被要求满足的条件，因此 PAX LP 无需且并未完成对任何公寓的购买，而 Shiny Times（耀辉）也从未向 PAX LP 支付其根据《2011年授信函》（2011 Facility Letter）所欠的三笔分期付款中的任何一笔。\n\n35. 最终，于 March 31, 2015，耀辉和 PAX LP 与 Worldwide Opportunity Holdings Limited（世机控股有限公司）及 Empire Growth Holdings Limited（帝盛控股有限公司）共同订立了一份《期权协议》（\"Option Agreement\"），其中规定（除其他事项外）通过股权出售交易偿还耀辉欠付 PAX LP 的款项。\n\n36. 根据其条款，若某些与财产转让相关的条件（如《期权协议》中所述）未得到满足，则《期权协议》应当终止。这些条件均未得到满足，且《期权协议》已终止，但这并不免除耀辉向 PAX LP 付款的义务。\n\n37. 因此，《2011年授信函》恢复完全有效，Kwok（郭文贵）在《个人担保》（Personal Guarantee）项下的义务完全具有可执行性，且郭文贵根据《个人担保》独立承担耀辉在《2011年授信函》项下欠付 PAX LP 的全部债务。\nPAX LP 寻求执行其合同权利并追收所欠款项\n\n38. 在各项《和解契约》和《期权协议》终止且《2011年授信函》恢复完全有效之后，PAX LP 于 October 16, 2015 按照《个人担保》条款的规定，向郭文贵在香港的地址发出了书面催缴通知（\"Notice of Demand\"）。\n\n39. 该《催缴通知》告知郭文贵，“耀辉未偿还”《2011年授信函》项下“到期应付款项的任何部分”，并要求立即支付 $71,818,633.44。该《催缴通知》还告知郭文贵，若其不立即付款，可能会对其提起法律诉讼，并保留了 PAX LP 在《2011年授信函》和《个人担保》项下的合同权利。\n\n40. 郭文贵从未对该《催缴通知》作出回复。\n\n41. 于 February 19, 2016，PAX LP 向耀辉发函，要求支付《2011年授信函》项下到期应付的 $82,219,404.08（《耀辉催款函》，\"Shiny Times Demand Letter\"），该金额代表本金加上按年利率 15% 计算截至《耀辉催款函》发出之日的合同利息。\n\n42. 耀辉从未对《耀辉催款函》作出回复。\n\n43. 当耀辉未予回复时，PAX LP 于 February 29, 2016 向英属维尔京群岛（British Virgin Islands，简称 \"BVI\"）的法院提交申请，寻求任命联合清算人将作为 BVI 公司的耀辉进行清算。该申请指控：(i) 耀辉未能支付当时欠付的 $82,410,197.87，(ii) 耀辉无法偿还其债务，以及 (iii) 耀辉已资不抵债，应予清算。\n\n44. 尽管由于 BVI 的诉讼程序耀辉实际上被进行了清算，但 PAX LP 未能追回根据《2011年授信函》欠付其的任何款项。\n\n45. 迄今为止，郭文贵尚未偿还根据《个人担保》到期应付给 PAX LP 的任何款项。到期应付的总金额——包括未偿本金加上累计及未付利息——目前约为 $88 million。\n\n46. 由于郭文贵未能偿还到期应付给 PAX LP 的任何款项，原告因执行《个人担保》而产生了“成本、索赔损失[以及]费用（包括律师费）”。根据《个人担保》的明文条款，郭文贵有义务赔偿这些金额（见第 25(f) 款）。\n罪名项/请求因由一 —— 针对被告郭文贵的违约责任\n\n47. 原告重申并在此援引第 1 段至第 46 段中包含的每一项指控，如同在此完整陈述一样。\n\n48. 《个人担保》规定郭文贵有义务向 PAX LP 偿还 PAX LP 向 Spirit Charter 提供的贷款授信（经修订）以及未付利息。目前到期应付的金额约为 $88 million。\n\n49. 原告已履行其在《个人担保》（及其他相关协议）项下的自身义务。\n\n50. 郭文贵尚未偿还根据《个人担保》到期应付给 PAX LP 的任何款项。\n\n51. 由于郭文贵违反其在《个人担保》项下的付款义务的直接后果，原告持续遭受约 $88 million dollars 的损失，该金额仍在持续产生利息。\n\n为此，原告请求对被告作出如下判决：\n\n(a) 根据《个人担保》，判令支付金额为 $46,426,489；\n\n(b) 判令支付利息金额为 $41,096,982.46；\n\n(c) 判令支付 PAX LP 因依据《个人担保》的赔偿条款对郭文贵执行《个人担保》而产生并将继续产生的合理律师费、成本和支出；以及\n\n(d) 判令给予 PAX LP 证明其合理有权获得的此类其他及进一步的救济。\n\n日期：纽约州纽约市，April 18, 2017\n\n谨此提交\n\nTHE SEIDEN GROUP\n由：SEIDEN GROUP\n\nRobert W. Seiden (rseiden@seidengroup.com)\nAvenue of the Americas\nNew York, NY\n\n及\n\nFILED: NEW YORK COUNTY CLERK 04/18/2017 04:01 PM INDEX NO. 652077/2017 NYSCEF DOC. NO. 2 RECEIVED NYSCEF: 04/18/2017\n\nO'MELVENY & MYERS LLP\nStuart Sarnoff (ssarnoff@omm.com)\nEdward Moss (emoss@omm.com)\nTimes Square\nNew York, NY\n\n原告代理律师","key_entities":["Kwok","Guo","CIPA"],"ecf_references":[{"doc_number":6,"court":"CTB"}],"word_count":2924,"status":"published","published_at":"2022-05-24 00:00:00","created_at":"2022-05-24","updated_at":"2026-08-23 13:25:55"}