{"id":"court_ctb_440_3","court":"CTB","case_no":"22-50073","doc_number":440,"sub_number":3,"doc_type":"EXHIBIT","filed_date":"2022-05-25","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| | | 22-50073 | |\n|--------|-----|----------------------------|--|\n| IN RE: | | Ho Wan Kwok | |\n| | | | |\n| | PAX | 3 | |\n| | | | |\n| | | 5/25/2022 Admitted in Full | |\n| | | P.E. | |\n| | | | |\n| | | | |\n\n#### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| --------------------------------------------------------------------X | | |\n|-----------------------------------------------------------------------|-------------|-------------------------|\n| In re: | :
:
: | Chapter 11 |\n| HO WAN KWOK, | : | Case No. 22-50073 (JAM) |\n| Debtor. | :
: | |\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\n#### Case 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 Page 13 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 12 of 25 26\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 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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\n| No |\n|----|\n| |\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| | | | Sources of income
Describe below. | Gross income from
each source
(before deductions and
exclusions) | 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| No. | | | Are either Debtor 1's or Debtor 2's debts primarily consumer debts?
individual primarily for a personal, family, or household purpose.\" | | | 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 |\n| | No. | During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$6,825* or more?
Go to line 7. | | | | |\n| | Yes | | 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. | | | 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 |\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 | | List below each creditor to whom you paid a total of \\$600 or more and the total amount you paid that creditor. Do not
attorney for this bankruptcy case. | | | 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
Credit Card
Loan Repayment
Suppliers or vendors
Other |\n| alimony. | | | Within 1 year before you filed for bankruptcy, did you make a payment on a debt you owed anyone who was an insider?
a business you operate as a sole proprietor. 11 U.S.C. § 101. Include payments for domestic support obligations, such as child support and | | | 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 |\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 | Reason for this payment |\n| insider? | | | Include payments on debts guaranteed or cosigned by an 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 |\n| | | | | | | |\n| No | | Yes. List all payments to an insider | | | | |\n\n**paid**\n\n**still owe**\n\nInclude creditor's name\n\n| Case 22-50073
Case 22-50073 | Doc 440-3
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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| 9. | Within 1 year before you filed for bankruptcy, were you a party in any lawsuit, court action, or administrative proceeding?
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
Charity's Name | Describe what you contributed | | Dates you
contributed | Value | |\n\n**Address (Number, Street, City, State and ZIP Code)**\n\nCase 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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| Within 2 years before you filed for bankruptcy, did you sell, trade, or otherwise transfer any property to anyone, other than property
18.
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 | paid in exchange | Describe any property or
payments received or debts | 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
Case 22-50073 | Doc 440-3
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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 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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| Ho Wan Kwok
Chapter 11; Case No. 22-50073 (JAM)
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)
Dates of Payment
Total Amount
Amount You Still
Creditor Name
Address1
Address2
Address3
City
State
Zip
Date
Amount
Paid
Owe
Reason for Payment
220 East 57th Street
Suite 200
New York
NY
10022
12/20/21 \\$
52,566.25 \\$
52,566.25
Unknown
Other- Professional Services
Andrew Sulner/Forensic Document Examinations, LLC
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
Clayman & Rosenberg LLP
12/16/21 \\$
116,454.73
Clayman & Rosenberg LLP
01/11/22 \\$
40,172.34
89,508.91 \\$
246,135.98
\\$13,899.04
Other- Professional Services
Clayman & Rosenberg LLP
305 Madison Avenue
Suite 650
New York
NY
10165
02/16/22 \\$
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
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
Forbes Hare
12/10/21 \\$
27,032.01
14,577.01 \\$
41,609.02
Unknown
Other- Professional Services
Forbes Hare
Qwomar Building, PO Box 4649
Road Town Tortola VG1110
British Virgin Islands
01/28/22 \\$
Ganfer Shore Leeds & Zauderer LLP
12/07/21 \\$
20,350.18
Ganfer Shore Leeds & Zauderer LLP
12/31/21 \\$
22,753.02
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
7th Floor, Melbourne House
109,780.43 \\$
109,780.43
Unknown
Other- Professional Services
Harcus Parker
44-46 Aldwych
London, WC2B 4LL
02/09/22 \\$
29,164.95 \\$
29,164.95
Unknown
Other- Professional Services
Janover LLC
100 Quentin Roosevelt Blvd
Suite 516
Garden City
NY
11530
12/10/21 \\$
Lawall & Mitchell, LLC
11/29/21 \\$
1,720.00
Lawall & Mitchell, LLC
55 Madison Avenue
4th Floor
Morristown
NJ
07960
1/18/22 \\$
2,160.00 \\$
3,880.00
\\$4,880.00
Other- Professional Services
Petrillo Klein & Boxer LLP
12/17/21 \\$
65,848.00
Petrillo Klein & Boxer LLP
01/26/22 \\$
44,490.50
17,581.00 \\$
127,919.50
\\$10,634.50
Other- Professional Services
Petrillo Klein & Boxer LLP
655 Third Avenue
22nd Floor
New York
NY
10017
02/03/22 \\$
Roy D. Simon
01/12/22 \\$
48,708.00
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
Schulman Bhattacharya, LLC
11/17/21 \\$
114,515.42
Schulman Bhattacharya, LLC
11/19/21 \\$
94,033.12
Schulman Bhattacharya, LLC
12/20/21 \\$
135,632.31
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
Selas Montbrial Avocats
10, Rue Cimarosa
75116
Paris- France
02/16/22 \\$
20,318.21 \\$
20,318.21
\\$9,120.87
Other- Professional Services
The Casper Firm
11/17/21 \\$
77,934.00
The Casper Firm
12/21/21 \\$
141,197.55
The Casper Firm
01/26/22 \\$
125,663.00
The Casper Firm
400 E. Pratt Street
Suite 903
Baltimore,
MD
21202
02/09/22 \\$
28,013.00 \\$
372,807.55
Unknown
Other- Professional Services
The Francis Firm PLLC
12/7/21 \\$
10,000.00
The Francis Firm PLLC
1/11/22 \\$
10,000.00
33 W 60th Street
Floor 2
New York
NY
10023
10,000.00 \\$
30,000.00
\\$2,500.00
Other- Professional Services
The Francis Firm PLLC
2/7/22
\\$
U.S. Legal Support, Inc.
01/12/22 \\$
1,028.75
U.S. Legal Support, Inc.
200 West Jackson
Suite 600
Chicago
IL
60606
02/03/22 \\$
2,034.03 \\$
3,062.78
\\$1,638.00
Other- Professional Services
Una Manyee Wilkinson
12/01/21 \\$
600.00
Una Manyee Wilkinson
01/12/22 \\$
1,200.00
1,600.00 \\$
3,400.00
Unknown
Other- Professional Services
Una Manyee Wilkinson
68-18 Juno Street
Forest Hills
NY
11375
02/03/22 \\$
Veritext
12/10/21 \\$
943.00
290 West Mt. Pleasant Ave.
Suite 3200
Livingston
NJ
13,967.00 \\$
14,910.00
Unknown
Other- Professional Services
Veritext
07039
01/12/22 \\$
601 Brickell Key Drive
Suite 700
Miami
FL
33131
3,055.33 \\$
3,055.33
\\$3,124.99
Other- Professional Services
VX Cerda & Associates
12/22/21 \\$
William Bradley Wendel
123 Burleigh Drive
Ithaca
NY
14850
01/12/22 \\$
9,503.33 \\$
9,503.33
Unknown
Other- Professional Services
\\$ 2,054,671.92
\\$732,212.31 | 26 | | | | | | | | | 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| | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n\n#### Case 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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| Ho Wan Kwok | | | | | |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|-------------------------|-----------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------|--------|\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| Pacific Alliance Asia Opportunity Fund L.P. v. Kwok Ho Wan (and
other a/k/a names), Genever Holdings Corporation, and Genever
Holdings LLC | 652077/2017 | Breach of Contract | NY Sup. | New York County Courthouse
60 Centre Street
New York, NY 10007 | Active |\n| Pacific Alliance Asia Opportunity Fund L.P. v. Genever Holdings
Corp., Bravo Luck Ltd., Kwok Ho Wan (and other a/k/a names),
and Qiang Guo (and other a/k/a names) | BVIHCM 0137 of 2020 | Collection | Eastern Caribbean Sup. Ct, Virgin
Islands, High Court of Justice | | Active |\n| Rui Ma v. Guo Wengui a/k/a Miles Kwok and Golden Spring (New
York) Ltd | 158140/2017 | Tort | NY Sup. | New York County Courthouse
60 Centre Street
New York, NY 10007 | Active |\n| | | | | | |\n| Guo Wengui (a/k/a Miles Kwok) v. Clark Hill PLC and Thomas
Ragland | 1:19-cv-3195-JEB | Tort/Breach of Contract | D.D.C. | 333 Constitution Avenue N.W.
Washington D.C. 20001 | Active |\n| Kwok Ho Wan, Ace Decade Holdings Limited, and Dawn State
Limited v. UBS AG (London Branch) | CL-2020-000345 | Negligence | High Court of Justice, Business and
Property Courts of England and Wales,
Queen's Bench Division, Commercial
Court | | Active |\n| Ace Decade Holdings Limited and Kwok Ho Wan v. UBS AG | CL-2020-000345 | Negligence | Civil Court Basel-City, Conciliation
Authority | | Active |\n| Zheng Wu (a/k/a Bruno Wu) and Yang Lan v. Guo Wengui (a/k/a
Miles Kwok) | 152123/2018 | Tort (Defamation) | NY Sup. | New York County Courthouse
60 Centre Street
New York, NY 10007 | Active |\n| Weican (\"Watson\") Meng and Boxun, Inc. v. Guo Wengui (a/k/a
Miles Kwok) | 159636/2017 | Tort (Defamation) | NY Sup. | New York County Courthouse
60 Centre Street
New York, NY 10007 | Active |\n| Xiqui (\"Bob\") Fu v. Guo Wengui (and other a/k/a names), GTV
Media Group, Inc., Saraca Media Group, Inc., Voice of Guo
Media, Inc., Lihong Wei Lafrenz (a/k/a Sara Wei), and Dongna
Fang | MO:20-CV-257-DC | Tort (Defamation) | W.D. Tex | U.S. District Clerk's Office
200 East Wall, Room 222
Midland, Texas 79701 | Active |\n| Wengui Guo (a/k/a Miles Kwok) v. Jun Chen (a/k/a Jonathan Ho) | No. 18-CV-03800
(MCA)(MAH) | Tort (Defamation) | NJ Dist. | Martin Luther King Building
& U.S. Courthouse
50 Walnut Street
Newark, NJ 07102 | Active |\n\n26\n\nAttachment to SOFA Question # 9\n\n#### Case 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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| | | 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
New York County Courthouse | Active |\n| | | | | 60 Centre Street | |\n| Guo v. Hong Zeng | 157025/2020 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| Guo v. Gao BingChen | VLC-S-S-187450 | Tort (Defamation) | Sup. Court of British Columbia,
Vancouver, Canada | | Active |\n| | | | | | |\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
York) Ltd. | 653176/2017 | Collection Matter | NY Sup. | 60 Centre Street
New York, NY 10007 | Active |\n| | | | | | |\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| | | | | 33 Admin Drive, Wickhams Cay 1, Road | |\n| Kwok v. MacDonald | 2019/0048 | | British Virgin Islands | Town, Tortola, Virgin Islands (British | Active |\n| | | | | | |\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
GUE HAOYUN a/k/a MILES KWOK a/k/a KWOK HO WAN a/k/a | | | | New York County Courthouse
60 Centre Street | |\n| KWOK HO | 156619/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Inactive |\n| | | | | | |\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,
a/k/a GUO HAOYUN | 155995/2017 | Tort (Defamation) | NY Sup. | 60 Centre Street
New York, NY 10007 | Inactive |\n| | | | | | |\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| | | | | New York County Courthouse | |\n| GUO WENGUI a/k/a KWOK HO WAN a/k/a MILES | | | | 60 Centre Street | |\n| KWOK v. GUO BAOSHENG, YAN ZHAO, and NING YE | 151251/2019 | Tort/Breach of Contract | NY Sup. | 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#### Case 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 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| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status | | | |\n| | | | | | | | | |\n| Wengui Guo a/k/a Miles Kwok v. | | | | Matthew J. Perry, Jr. U.S. Courthouse
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| Yan Huang v. Wengui Guo | No. 156552/2017 | Tort (Defamation) | NY Sup. | New York County Courthouse
60 Centre Street
New York, NY 10007 | Resolved within 1 year of
bankruptcy filing. | | | |\n| WENGUI GUO V. BAOSEHNG GUO | No. 1:18-cv-1064 | Tort (Defamation/Fraud) | ED Va. | Albert V. Bryan U.S. Courthouse
401 Courthouse Square
Alexandria, VA 22314 | Resolved within 1 year of
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明细表及财务状况说明的全球说明、限制、方法论及免责声明\n\n22-50073\n\n关于：Ho Wan Kwok（郭文贵）\n\nPAX 3\n\n5/25/2022 全部准许入证\nP.E.\n\nUnited States Bankruptcy Court（美国破产法院）\nDistrict of Connecticut（康涅狄格区）\nBridgeport Division（布里奇波特分庭）\n\n关于： ：\n：\n： 第11章\nHO WAN KWOK（郭文贵）， ： 案号 22-50073 (JAM)\n债务人。 ：\n\n关于债务人资产和负债明细表及财务状况说明的全球说明、限制、方法论及免责声明\n\nHo Wan Kwok（郭文贵）（“债务人”）依据 United States Code（美国法典）title 11（第11编）chapter 11（第11章）section 521（第521条）（“Bankruptcy Code（破产法典）”）及 Federal Rules of Bankruptcy Procedure（联邦破产程序规则）Rule 1007（第1007条）（“Bankruptcy Rules（破产规则）”），向 Bankruptcy Court for the District of Connecticut（康涅狄格区破产法院）（“破产法院”）提交其资产和负债明细表（每份称为一份“明细表”，合称“明细表”）及财务状况说明（“SOFA”）。\n\n本关于债务人资产和负债明细表及 SOFA 的全球说明、限制、方法论及免责声明（合称“全球说明”）涉及所有明细表及 SOFA、通过援引纳入其中，并构成其不可分割的一部分。全球说明是对下文就特定明细表及 SOFA 所载具体说明（“具体说明”，与全球说明合称“说明”）的补充。\n\n审阅明细表及 SOFA 时应参阅并援引全球说明。债务人在其顾问及其他专业人士协助下编制明细表及 SOFA。明细表及 SOFA 未经审计，且可能予以调整。债务人在编制明细表及 SOFA 时依赖于编制时可获得的信息。债务人已作出合理努力，以确保在当时情况下明细表及 SOFA 尽可能准确和完整；但是，后续信息或发现可能导致明细表及 SOFA 发生重大变更，且可能存在无意的错误或遗漏。\n\n债务人保留不时在所有方面修订或补充明细表及 SOFA 的一切权利，包括在必要或适当时，就明细表及 SOFA 所反映的任何债权之金额、责任、分类提出争议或以其他方式主张抵销或抗辩的权利，或在其后以其他方式将任何债权指定为“有争议”、“或有”或“未清算”。此外，明细表、SOFA 或说明中的任何内容均不构成债务人对其第11章案件相关权利的放弃，亦不构成任何承认。\n\n全球说明\n\n- 1. 案件说明。2022年2月15日（“申请日”），债务人根据破产法典第11章启动了一宗自愿案件。\n\n- 2. 债务人的别名。债务人以下列名称为人所知：Guo Wengui（郭文贵）；Miles Guo（郭文贵）；Miles Kwok（郭文贵）；以及 Ho Wan Kwok（郭文贵）。\n\n- 3. 列报基础。明细表及 SOFA 并非旨在构成根据 United States（美国）Generally Accepted Accounting Principles（公认会计原则）（“GAAP”）编制的财务报表。明细表及 SOFA 反映债务人为报告其资产及负债所作出的合理努力。\n\n- 4. 报告日期。除非另有说明，明细表 A 和 B 中报告的资产价值与申请日的资产价值一致，明细表 D、E 和 F 中的负债价值均截至申请日。\n\n- 5. 准确性。本文披露的财务信息并非依照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及实体，应根据该财务信息的编制目的和背景对其进行评估。债务人不对任何偏离证券法的情形，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，亦不承担说明该等偏离的义务。\n\n- 6. 估计及假设。编制明细表及 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及负债的报告金额、某些或有资产及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。在几乎所有情况下，债务人均未持有或无法轻易取得当前市场估值。债务人为所有资产取得当前市场估值将造成成本高得难以承受、不当负担，并构成对资源的低效使用。在必要时，债务人已表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\n- 7. 货币。除非另有说明，明细表及 SOFA 中列示的所有金额均以美元计。\n\n- 8. 债务人保留权利。明细表、SOFA 或说明中的任何内容均不构成对本第11章案件相关权利的放弃，包括但不限于以下权利：\n\n\t- a. 未将明细表及 SOFA 中列载的债权指定为“有争议”、“或有”或“未清算”，不构成债务人承认该金额并非“有争议”、“或有”或“未清算”。债务人保留就其明细表中反映的任何债权之金额、责任及分类提出争议以及主张抵销权、反诉及抗辩的权利，\n\n并保留其后以其他方式将任何债权指定为“有争议”、“或有”或“未清算”的权利。\n\n- b. 将明细表 D 中的债权列为“有担保”、将明细表 E 中的债权列为“优先权”、将明细表 F 中的债权列为“无担保优先权”，或将明细表 G 中的合同或租赁列为“待履行”或“未届满”，不构成债务人承认债权人的法定权利，亦不构成债务人放弃根据明细表修订、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，尽管债务人可能为提供信息之目的，将各债权人的债权列为有担保债权，但并未对债务人可能受该等债权人担保权益约束的资产进行当前估值。债务人保留就任何该等债权人的债权的有担保性质或金额，或任何交易结构，或与该债权人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\n- c. 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、津贴或其他调整。债务人保留与该等贷记、津贴及其他调整有关的一切权利，包括就此提出债权异议和/或抵销的权利。\n\n- d. 尽管债务人已作出合理努力以确保其明细表及 SOFA 的准确性，但其中仍可能存在错误和遗漏。债务人特此保留对明细表及 SOFA 中所列任何合同、协议及租赁的有效性、状态及可执行性提出争议，以及在必要时修订和补充明细表及 SOFA 的一切权利。\n\n- e. 债务人进一步保留与明细表及 SOFA 中列载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、文件及文书的性质或结构提出争议和质疑的权利。\n\n- f. 在明细表及 SOFA 中列载合同或租赁，不应视为承认该合同为待履行合同、该租赁为未届满租赁，或二者任一必然是具有约束力、有效且可执行的合同。债务人特此明确保留主张明细表及 SOFA 中列载的任何合同不构成破产法典第365条含义内的待履行合同的权利，以及主张其中列载的任何租赁不构成破产法典第365条含义内的未届满租赁的权利。\n\n- 9. 全球说明优先。如明细表或 SOFA 与任何全球说明不一致，应以全球说明为准。\n\n具体说明\n\n除上述内容外，债务人在编制明细表及 SOFA 时采用以下惯例：\n\n- 1. 明细表 A/B。\n\n\t- a. 一般规定。债务人资产的某一项目如显示价值为“\\$0.00”，债务人说明该金额为“未知”或“未确定”，且该“\\$0.00”标示不构成承认该等资产事实上价值为“\\$0.00”。由于某些资产或负债标示为“\\$0.00”，明细表 A/B 中的汇总项目所反映的总额可能低于该等资产或负债的最终价值。\n\n\t- b. 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\n\t\t- i. 债务人使用和占有位于 373 Taconic Road, Greenwich, CT 06831 的不动产（“住所”）。债务人对该住所不拥有法定所有权，且任何法院均未裁定债务人对其享有任何其他权益，无论是衡平权益或其他权益。与该住所相关的所有成本和费用均由家庭成员及由家庭控制的企业直接支付。该住所归 Greenwich Land, LLC（格林尼治土地有限责任公司）（“Greenwich Land”）所有。Greenwich Land 的唯一成员是债务人的配偶。\n\n\t\t- ii. 债务人亦可进入位于 Sherry-Netherlands Hotel（雪莉-荷兰人酒店）, 781 Fifth Avenue, New York, NY 10022 的一套公寓（“该公寓”）。该公寓的合作公寓股份由 Genever Holdings LLC（杰内弗控股有限责任公司）（“US SPV”）持有。US SPV 的成员权益由 Genever Holdings Corporation（杰内弗控股公司）（“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（“信托日期”），债务人为 Bravo Luck Limited（布拉沃幸运有限公司）（“公寓所有人”）以信托方式持有该等股权。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，公寓所有人以购买该公寓的价款向 US SPV 注资。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日向 United States Bankruptcy Court for the Southern District of New York（纽约南区美国破产法院）启动其自身的第11章案件（案号 20-12411 (JLG)）。US SPV 关于其重组计划的披露声明称，US SPV“……主要因 Bravo Luck Limited……与 [Pacific Alliance Asia Opportunity Fund LP（太平洋联盟亚洲机会基金有限合伙企业）（‘PAX’）] 之间有关该住所受益所有权的多项法院争议，而寻求第11章救济”。[Docket No. 165]。在旨在确定该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。该公寓的最终所有权将在 US SPV 的第11章案件之外得到解决。在 British Virgin Islands（英属维尔京群岛）法院，PAX 基于其针对债务人的判决书（该判决书仍在上诉中）寻求移交 US SPV 的成员权益。\n\n该公寓目前由 Sotheby's International Realty（苏富比国际房地产公司）根据 US SPV 销售专员 Melanie L. Cyganowski, Esq.（梅拉妮·L·西加诺夫斯基律师）的授权进行销售。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不享有法定所有权，且没有任何法院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。与该等车辆相关的所有成本和费用均由家庭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？船只、航空器、房车、全地形车及其他休闲车辆、其他车辆和配件。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\n债务人在PAX针对债务人提起的纽约州最高法院诉讼中，对Lady May的所有权和/或控制权提出异议；该诉讼是PAX针对其提起的制裁及藐视法庭程序所作的回应。经于February 9, 2021举行的证据听证后，Barry Ostrager法官（Justice Barry Ostrager）作出认定（“February 9 Decision”），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，并已对此提起上诉。由于该上诉尚未审结（目前处于中止状态），债务人未将Lady May列为其破产财产的一项资产。然而，如将其列为其破产财产的一项资产（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——家居用品和家具。住所和公寓内有大量符合个人及家庭物品定义的物品。除本文件另有规定外，债务人对住所或公寓内的物品均不享有法定所有权，且没有任何法院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、收音机、音频、视频等。住所和公寓内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。除本文件另有规定外，债务人对住所或公寓内的物品均不享有法定所有权，且没有任何法院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。住所或公寓内任何符合该类别定义的物品，均为家庭或家庭控制的企业的财产。除本文件另有规定外，债务人对住所或公寓内的物品均不享有法定所有权，且没有任何法院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 用于体育或爱好的设备。住所或公寓内任何符合该类别定义的物品，均为家庭或家庭控制的企业的财产。除本文件另有规定外，债务人对住所或公寓内的物品均不享有法定所有权，且没有任何法院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衣物，包括来自各种制造商的西装、皮鞋和运动鞋，其中包括高端品牌。\n\nj. 问题17 货币存款。于October 23, 2018，Hong Kong Special Administrative Region, Court of First Instance（香港特别行政区高等法院原讼法庭）（“High Court”）作出了一项日期为October 18, 2018的Restraint Order Prohibiting Disposal of Assets In Hong Kong and Elsewhere（“Restraint Order”）。Restraint Order规定，其持续有效至并包括April 30, 2019，并且根据High Court于May 3, 2019作出的进一步命令，该命令仍然有效。Restraint Order的效力是冻结据称属于债务人的HK$3.7 million资金。另有数额高达数十亿的资金和财产，包括位于香港的不动产，属于据称受债务人“有效控制”的个人及实体（根据Restraint Order），亦被冻结和/或扣押。由于这些资产被冻结/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。为谨慎起见，债务人请参阅Schedule B Notes，问题17。\n\nl. 问题19 非公开交易的股票，或在公司及非公司企业、LLCs、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，债务人未对其在这些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，并扣押了所有会计公司记录及大量个人财务记录。此后无法查阅该等记录。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，一直未能获得该公司的财务记录。Shiny Times自该时起一直未开展业务。债务人自November 2, 2017起不再控制Shiny Times。\n\nii. 就在British Virgin Islands注册成立的公司Well Origin而言，于April 2018，由于一笔贷款发生违约，UBS取得了其作为担保物持有的Well Origin股份的控制权。UBS取得Well Origin的股份并出售其资产后，使该公司在British Virgin Islands进入清算程序。债务人自December 31, 2017起不再控制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。债务人为公寓所有人以信托方式持有该等成员权益。\n\n另请参阅Schedule B Notes，问题17，其涉及受Restraint Order约束的众多实体；以及SOFA，问题9，其涉及Eastern Profit（定义见下文）。\n\nm. 问题20 政府及公司债券，以及其他可转让和不可转让票据。债务人已收到所列明的由United States Treasury（美国财政部）和State of New York Department of Taxation and Finance（纽约州税务与财政部）开具的退税支票。这些支票尚未兑付，如予存入，可能被拒付，因为其签发时间已超过六个月。\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的保证金（“Apartment Security Deposit”），用于支付税款及其他维护费用。公寓所有人并非以债务人的资产为Apartment Security Deposit提供资金。一旦US SPV停止定期支付其维护费用，合作公寓公司即开始以保证金抵扣应付款项。据所知和确信，原Apartment Security Deposit中约有$2.065 million尚余。鉴于上文就问题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一项资产。\n\no. 问题25 信托、对财产享有的衡平或未来权益，以及为您利益行使的权利或权力。参见Schedule B Notes，问题17、19和22。\n\np. 问题26 专利、版权、商标、商业秘密及其他知识产权。债务人可能对发布于各种数字和媒体平台（如YouTube、GTV、Twitter和GETTR）的音乐和视频享有未登记的版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 他人欠付您的其他款项。关于债务人就其提出请求权的诉讼之识别，请参见SOFA Notes，Part 4，问题9。\n\n此外，在某些司法辖区，案件胜诉方有权获得其费用的偿还。在由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业法院）审理的、案名为Kwok Ho Wan（郭文贵）、Ace Decade Holdings Limited和Dawn State Limited v. UBS AG (London Branch)的案件中，债务人可能有权与其他原告共同获得与近期管辖权争议有关的费用偿还。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享有的权利尚未确定。此外，法院已准许被告提起上诉，且上诉成功可能导致原告被命令返还法院判给的金额。\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）审理的、案名为Wengui Guo（郭文贵）v. Baosheng Guo的案件中，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，该保险单不具有现金价值。\n\ns. 问题33 针对第三方的请求权，无论是否已提起诉讼或提出付款要求。债务人是SOFA Notes，Part 4，问题9所列若干诉讼中的请求权人。\n\nt. 问题37 对任何与商业有关财产享有的法定或衡平权益。参见上文Schedule B Notes，问题17和19。\n\nu. 问题39 办公设备、家具或用品。该类别中没有任何项目未被上文对Schedule B Notes，问题6和7的答复涵盖。\n\nv. 问题42 合伙企业或合资企业中的权益。参见Schedule B Notes，问题17和19。\n\nw. 问题53 尚未列明类别的财产。债务人被列为其家人在位于Florida（佛罗里达州）Palm Beach的The Mar-a-Lago Club的会员。该会员资格自2015起一直有效。债务人不负责支付会员费，也无权在会员资格终止时获得此前可能已支付的任何保证金的退款。\n\n2. Schedule C。\n\na. 债务人目前未列明任何豁免财产。然而，如在破产程序进行期间认定债务人拥有超出其衣物及其狗的资产，债务人保留修改该豁免选择的权利。\n\n3. Schedule D。\n\na. 根据债务人目前掌握的信息，债务人相信附表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额外担保债权，债务人可相应修改附表D以反映该等债权。\n\nb. 债务人保留修改附表D的一切权利，以反映债务人认定应在附表D中申报的任何债权。本文任何内容均不得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，或视为债务人放弃对任何债权或合同进行重新定性或重新分类的权利。\n\nc. 债务人未在附表D中列入可能认为其债权通过抵销权或未完成的法定留置权获得担保的当事人。\n\nd. 除非另有约定或破产法院命令，债务人保留其对任何声称授予或完善于债务人某一担保债权人特定资产上的任何留置权之有效性、完善性或不受撤销性提出争议或异议的权利。此外，债务人保留其对任何该等债权人的债权是否具有担保性质，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，提出争议或异议的一切权利。\n\ne. 债务人是诉讼融资协议（“Litigation Funding Agreements（诉讼融资协议）”）的当事人；根据该等协议，债务人向由债务人之子拥有或控制的若干实体（各称为“Litigation Funder（诉讼资助人）”）质押了包括某些债权及其收益在内的担保权益。债务人认为该等担保权益并未完善。\n\n4. 附表E/F。\n\na. 债务人已作出合理努力，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，债权产生日期属于尚未确定的事实问题。尽管已作出合理努力以确定每项债权发生的日期，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高昂。\n\n因此，尽管债务人未就附表E/F所列每项债权提供日期，但据债务人所知，附表E/F所列全部债权均于申请日之前产生或发生。\n\nb. 债务人保留在适用情况下主张任何该等债权为附条件、金额未确定和/或有争议债权的权利。\n\nc. 债务人保留主张附表E/F所列任何债权不构成《破产法》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\nd. 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记和/或减让。债务人保留有关任何该等贷记和/或减让的一切权利，包括就该等事项提出异议和/或抵销的权利。\n\ne. 附表E/F可能包括涉及债务人的待决诉讼或法律行动。该等待决诉讼或法律行动亦在对SOFA问题7的答复中反映。在所有情况下，诉讼标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、金额未确定且有争议。将任何诉讼列入附表和/或SOFA或以其他方式列入，并不构成承认该等诉讼中所主张的责任。\n\nf. 在已知范围内，附表E/F反映了在申请前应付给待履行合同和未届满租赁交易相对方的金额。然而，该等申请前金额可在承接或承接并转让待履行合同或未届满租赁时支付。此外，附表E/F未包括任何可能被拒绝的待履行合同和未届满租赁之交易相对方可能提出的拒绝损害赔偿债权。\n\n5. 附表G。\n\na. 尽管债务人已作出合理努力识别并列出待履行合同和未届满租赁，但仍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一切权利，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、信函、备忘录及其他文件、文书和协议修改、修订或补充，而该等文件、文书和协议可能未列入其中。\n\nb. 合同或协议列于附表G中，并不构成承认该合同或协议的存在、有效性或可执行性，亦不构成承认该合同或协议属于待履行合同或未届满租赁；合同或协议未列于附表G中，也不构成承认该合同或协议不存在。债务人保留就附表G所列合同和协议提出的一切权利、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争议或异议的权利。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人提出交叉诉讼请求和反诉请求。由于所有该等债权均为附条件、有争议和/或金额未确定，故该等债权已同时列于附表F（并标注为附条件、已确定金额且有争议）及附表H。\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人及家人控制的公司资助的住房、家庭及生活开支支持。与住房、家庭或生活开支有关的任何资金均不受资助来源的任何债权约束，且所有住房、家庭及生活开支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]，该表格中债务人错误地申报了每月收入$19,488.00。所述该等资金如本文所述，并未被适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，任何种类的所有开支，包括住房、家庭和生活开支，均由第三方家庭成员或其控制的公司资助。债务人不存在其个人承担责任的任何开支。如其情况日后发生变化，债务人保留未来修改本附表的权利。\n\n9. 关于债务人财务状况说明书（SOFA）的具体说明。\n\na. SOFA问题1。债务人及其配偶认为自己已婚，尽管其没有来自中国的证明其婚姻关系的证书。该夫妇已共同生活超过30年，共同申报纳税申报表，并育有两名子女。\n\nb. SOFA问题2。债务人此前曾于约March/April 2015至September 2015期间居住于该公寓，后又于March/April 2017至February 2020期间居住于该公寓。\n\nc. SOFA问题5。债务人没有任何符合本问题、122B表格或附表I中任何收入定义的收入。债务人确实获得由家人及家人控制的公司资助的住房、家庭及生活开支支持。与住房、家庭或生活开支有关的任何资金均不受资助来源的任何债权约束，且不存在有关偿还的预期或协议。债务人正在修改122B表格，其中债务人错误地申报了每月收入$19,488.00。所述该等资金如本文所述，并未被适当地定义或描述为收入。\n\nd. SOFA问题6。本类别中列出的专业服务付款由家人或家人控制的公司代表债务人支付，并受诉讼融资协议约束。该等付款被申报，是因为存在从以诉讼解决为条件的任何收益中获得偿还的预期。此外，债务人确实获得由家人及家人控制的公司资助的住房、家庭及生活开支支持。与住房、家庭或生活开支有关的任何资金均不受资助来源的任何债权约束，且不存在有关偿还的预期或协议。因此，该等资金未列入本清单。家人于February 16, 2022在申请后无意中支付了两笔款项，合计$109,827.12。该等付款被视为赠与。\n\ne. SOFA问题8。债务人从诉讼资助人处借入资金（见下文SOFA问题12），以提起及抗辩诉讼。在某些情况下，与债务人之子有关联的实体是诉讼当事人。债务人不对该等诉讼当事人产生的费用负责。如诉讼资助人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争议。\n\nf. SOFA问题9。债务人已尽最大合理努力识别涉及债务人的所有当前待决诉讼、调查及其他法律行动。然而，仍可能无意中存在某些遗漏。在本问题中列入任何法律行动，并不构成债务人承认任何责任、任何诉讼的有效性，或可能因与任何法律行动有关的任何债权而产生的任何潜在债权金额，亦不构成承认任何当前待决或将来可能产生的法律行动所产生的任何潜在债权的金额及处理方式。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当事人。所有为债务人利益而产生的诉讼费用均由家人控制的公司或通过各种诉讼融资协议资助，该等协议均列于附表G。\n\n在裁定Eastern Profit Corporation Limited（东方利润有限公司，“Eastern Profit”）就其针对Strategic Vision US LLC（美国战略远见有限责任公司，“Strategic Vision”）的违约债权胜诉，因而有权收取其针对Strategic Vision的$1 million判决书时，United States District Court for the Southern District of New York（美国纽约南区联邦地区法院）就债务人与Eastern Profit之间所谓关系顺带评论称，该公司“实质上是”债务人及其家人的“空壳公司”。仅因此原因，债务人将本案列入附表。Eastern Profit由债务人的女儿拥有和控制，债务人对其在该公司中拥有权益一事提出争议。\n\ng. SOFA 问题 10。见附表 B 注释，问题 17（受限制令约束的资产）及问题 19（Shiny Times Holdings Ltd.（光耀时代控股有限公司）和 Well Origin Ltd.（佳源有限公司））。\n\nh. 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）及 19（Shiny Times Holdings Ltd.（光耀时代控股有限公司）和 Well Origin Ltd.（佳源有限公司））。\n\ni. SOFA 问题 16。在申请日之前，于 2021 年 2 月 14 日及 2021 年 2 月 15 日，Brown Rudnick（布朗·鲁德尼克律师事务所）各收到 $500,000 的预付聘金。$1 million 预付聘金付款（“BR 预付聘金”）的来源为 Lamp Capital LLC（蓝普资本有限责任公司）（“Lamp”）。Lamp 向债务人贷款 $1 million，债务人指示 Lamp 将贷款所得款项直接汇付给 Brown Rudnick。\n\nj. SOFA 问题 18。在债务人 Chapter 11 案件发生前两年内，债务人与诉讼资金提供方签订了诉讼融资协议。最新的诉讼融资协议日期为 November 8, 2021。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所遭受损害赔偿而作出的努力提供预付款贷款。诉讼融资协议规定，就债务人的基础请求权及诉讼所得，向适用的诉讼资金提供方授予担保权益。\n\nk. SOFA 问题 22。债务人继续可以使用该公寓。因此，他继续在那里存放某些衣物和个人物品。\n\nl. 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、各种车辆及符合个人和家庭物品定义的大量物品，该等财产位于该住所。债务人对该住所、车辆或其内部物品不享有法定所有权，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、衡平权益或其他权益。\n\nm. SOFA 问题 27。见附表 B 注释，问题 17 和 19。\n\n案件 22-50073 文书 440-3 于 05/25/22 提交 于 05/26/22 15:30:37 录入 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 14 页，共 25 页 26\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（如共同申请，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，双方均应对提供正确信息承担同等责任。如需更多空间，请在本表格后附上单独的纸张。在任何附加页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：提供有关您的婚姻状况及先前居住地的详细信息\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，您是否曾居住在目前居住地以外的任何地方？\n\n否\n\n是。列出您在过去 3 年内居住过的所有地点。请勿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居住期间 债务人 2 先前地址： 债务人 2\n居住期间\n\n781 5th Avenue\nNew York, NY 10022 自—至：\nMarch 2015 至\nMarch 2020 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上同等身份的人士共同居住于共同财产州或领地？（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？填写您从所有工作和所有企业（包括兼职活动）获得的收入总额。如您共同申请案件且有共同取得的收入，仅在债务人 1 项下列示一次。\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（扣除和排除前）\n\n收入来源 勾选所有适用项。\n\n总收入（扣除和排除前）\n\n案件 22-50073\n案件 22-50073 文书 440-3\n文书 77\n于 03/09/22 提交\n于 05/25/22 提交\n于 03/09/22 23:25:16 录入\n于 05/26/22 15:30:37 录入\n\n第 16 页，共\n债务人 1 Ho Wan Kwok（郭文贵）\n\n债务人 1 Ho Wan Kwok 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无论该收入是否应税，均应包括。其他收入的示例包括赡养费；子女抚养费；Social Security、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；以及赌博和彩票奖金。如您共同申请案件且有共同取得的收入，仅在债务人 1 项下列示一次。\n\n分别列出每项来源及每项来源的总收入。请勿包括您在第 4 行列出的收入。\n\n否 是。填写详细信息。\n\n债务人 1 债务人 2\n收入来源\n请于下方说明。 各项来源的总收入\n（扣除和\n排除前） 收入来源\n请于下方说明。 总收入\n（扣除和\n排除前）\n\n第 3 部分：列出您在申请破产前作出的某些付款\n\n否。 债务人 1 或债务人 2 的债务是否主要为消费者债务？\n个人主要为个人、家庭或家务目的而发生。” 债务人 1 和债务人 2 均不具有主要为消费者债务的债务。消费者债务在 11 U.S.C. § 101(8) 中被定义为“由一名\n否。 在您申请破产前的 90 天内，您是否向任何债权人支付了合计 $6,825* 或以上？\n转至第 7 行。\n是 不包括向本破产案件律师支付的款项。\n* 对于在调整日当日或之后提交的案件，于 4/01/22 以及其后每 3 年调整一次。 在下方列出您以一次或多次付款向其支付合计 $6,825* 或以上的每一债权人，以及您向该债权人支付的总额。请勿包括家庭扶养义务付款，例如子女抚养费和赡养费。此外，请\n是。 债务人 1、债务人 2 或两者均具有主要为消费者债务的债务。\n在您申请破产前的 90 天内，您是否向任何债权人支付了合计 $600 或以上？\n否。 转至第 7 行。\n是 在下方列出您向其支付合计 $600 或以上的每一债权人，以及您向该债权人支付的总额。请勿\n本破产案件律师支付的款项。 包括家庭扶养义务付款，例如子女抚养费和赡养费。此外，请勿包括向\n债权人姓名和地址 付款日期 支付总额 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信用卡\n偿还贷款\n供应商或卖方\n其他\n赡养费。 在您申请破产前的 1 年内，您是否就欠付任何内部人士的债务作出付款？\n您作为独资经营者经营的企业。11 U.S.C. § 101。包括家庭扶养义务付款，例如子女抚养费和 内部人士包括您的亲属；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 20% 或以上有表决权证券的公司；以及任何管理代理人，包括为\n否 是。列出向内部人士作出的所有付款。\n内部人士姓名和地址 付款日期 支付总额 您仍\n欠付的金额 该付款的原因\n内部人士？ 包括由内部人士担保或共同签署的债务付款。 在您申请破产前的 1 年内，您是否因一项使内部人士受益的债务而作出任何付款或转让任何财产？\n\n否 是。列出向内部人士作出的所有付款\n\n已支付\n\n仍欠付\n\n包括债权人姓名\n\n案件 22-50073\n案件 22-50073 文书 440-3\n文书 77\n于 03/09/22 提交\n于 05/25/22 提交\n于 03/09/22 23:25:16 录入\n于 05/26/22 15:30:37 录入\n\n第 17 页，共\n债务人 1 Ho Wan Kwok 案件编号（如已知） 22-50073\n\n第 4 部分：\n识别法律程序、收回财产及止赎\n\n9. 在您申请破产前的 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、追收诉讼、亲子关系诉讼、扶养费或监护权变更，以及合同纠纷。\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 未决\n上诉中\n已结案\n\n10. 在您申请破产前的 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，并填写下方详细信息。\n否。转至第 11 行。\n是。填写下方信息。\n债权人姓名和地址 说明财产 日期 财产\n价值\n说明发生的情况\n\n11. 在您申请破产前的 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，或因您欠付债务而拒绝付款？\n否\n是。填写详细信息。\n债权人姓名和地址 说明债权人采取的行动 采取行动的\n日期 金额\n\n12. 在您申请破产前的 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. 在您申请破产前的 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 的礼物 说明礼物 您赠与礼物的\n日期 价值\n您向其赠与礼物的人及\n地址：\n\n14. 在您申请破产前的 2 年内，您是否向任何慈善机构作出总价值超过 $600 的任何赠与或捐款？\n否\n是。填写每项赠与或捐款的详细信息。\n总额超过 $600 的向慈善机构作出的\n赠与或捐款\n慈善机构名称 说明您捐赠的内容 您捐赠的\n日期 价值\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 440-3 于 05/25/22 提交 于 05/26/22 15:30:37 录入 第 18 页，共 案件 22-50073 文书 77 于 03/09/22 提交 于 03/09/22 23:25:16 录入 第 17 页，共 25 页\n债务人 1 Ho Wan Kwok 案件编号（如已知）22-50073\n\n第 6 部分：列出某些损失\n\n15. 在您申请破产前的 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损失如何发生 说明损失的任何保险保障\n包括保险已支付的金额。在附表 A/B：财产的第 33 行列出尚未决的\n保险索赔。 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. 在您申请破产前的 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包括为您的破产所需服务的任何律师、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 付款或\n转让日期 付款\n金额\nBrown Rudnick LLP\n1 Financial Center\nBoston, MA 02111\nLamp Capital LLC 于\n2/14/2022 支付 $500,000\n于\n2/15/2022 支付 $500,000 $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 行列明的任何付款或转让。\n\n否\n\n是。请填写详细信息。\n\n收款人\n地址 所转让任何财产的描述及价值\n付款或转让\n作出日期 付款\n金额\n\n18. 在您申请破产前 2 年内，除在您的业务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\n包括直接转让及为担保而作出的转让（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明的赠与和转让。\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 作为交换支付的对价 说明收到的任何财产、付款或债务 转让作出日期\n该人与您的关系\n\n19. 在您申请破产前 10 年内，您是否向您作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 转让作出日期\n\n案号 22-50073\n案号 22-50073 文件 440-3\n文件 77\n提交日期 03/09/22\n提交日期 05/25/22\n登记日期 03/09/22 23:25:16\n登记日期 05/26/22 15:30:37\n\n第 19 页，共\n债务人 1 Ho Wan Kwok（郭文贵） 案号（如已知）22-50073\n第 8 部分：某些金融账户、金融工具、保险箱及储物单元清单\n\n20. 在您申请破产前 1 年内，是否有任何以您名义持有或为您利益持有的金融账户或金融工具被关闭、出售、转移或让与？\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、证券经纪商、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、州及邮政编码）\n\n账号末 4 位 账户或金融工具类型\n\n账户被关闭、出售、转移或让与的日期\n\n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处？\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、州及邮政编码） 还有谁可以进入？\n地址（门牌号、街道、\n州及邮政编码） 说明内容物 您是否仍\n持有该保管处？\n\n22. 在您申请破产前 1 年内，您是否曾将财产存放于储物单元或您住所之外的其他地点？\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、州及邮政编码） 还有谁现在或曾经可以进入\n该处？\n地址（门牌号、街道、\n州及邮政编码） 说明内容物 您是否仍\n持有该处？\n\nThe Sherry-Netherland Hotel（谢里-内德兰酒店）\n781 5th Avenue\nNew York, NY 10022 商务及休闲服装\n以及其他家居物品 否\n是\n\n第 9 部分：识别您为他人持有或控制的财产\n\n23. 您是否持有或控制由他人拥有的任何财产？包括您向他人借用、为他人保管或以信托方式为他人持有的任何财产。\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、州及邮政编码） 财产位于何处？\n（门牌号、街道、城市、州及邮政\n编码） 说明财产 价值\n\n参见全球注释问题 23 \\$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- 环境法系指任何有关将污染物、有害或有毒物质、废弃物或材料排放、泄漏或释放至空气、土地、土壤、地表水、地下水或其他介质的联邦、州或地方法律或法规，包括管制清理此等物质、废弃物或材料的法律或法规。\n- 场地系指根据任何环境法所定义的任何地点、设施或财产，无论您目前拥有、经营或使用，或曾经拥有、经营或使用该地点、设施或财产，包括处置场所。\n- 危险材料系指环境法界定为危险废弃物、危险物质、有毒物质、危险材料、污染物、污染性物质或类似术语的任何物质。\n\n报告您所知悉的所有通知、释放和程序，无论其发生于何时。\n\n债务人 1 Ho Wan Kwok（郭文贵） 案号（如已知）22-50073\n\n24. 是否有任何政府单位通知您，您可能根据环境法承担责任、可能承担责任，或违反了环境法？\n\n否\n\n是。请填写详细信息。\n\n场地名称\n地址（门牌号、街道、城市、州及邮政编码） 政府单位\n地址（门牌号、街道、城市、州及\n邮政编码） 环境法，如您\n知悉 通知日期\n\n25. 您是否曾就任何危险材料的释放通知任何政府单位？\n\n否\n\n是。请填写详细信息。\n\n场地名称\n地址（门牌号、街道、城市、州及邮政编码） 政府单位\n地址（门牌号、街道、城市、州及\n邮政编码） 环境法，如您\n知悉 通知日期\n\n26. 您是否曾作为任何根据环境法进行的司法或行政程序的一方当事人？包括和解和命令。\n\n否\n\n是。请填写详细信息。\n\n案件名称\n案号 法院或机构\n名称\n地址（门牌号、街道、城市、\n州及邮政编码） 案件性质 案件\n状态\n\n第 11 部分：\n提供有关您的业务或与任何业务关联的详细情况\n\n合伙企业中的合伙人\n\n公司的高级职员、董事或管理人员\n\n否。以上均不适用。请转至第 12 部分。\n\n企业名称\n地址\n（门牌号、街道、城市、州及邮政编码）\n\nGenever Holdings Corporation（杰尼弗控股公司）\nP.O. Box 3170\nTortola, British Virgin Islands（英属维尔京群岛托尔托拉） 作为从事某一行业、专业或其他活动的独资经营者或自营职业者，无论全职或兼职\n\n有限责任公司（LLC）或有限责任合伙企业（LLP）的成员\n\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。勾选以上所有适用项，并就每一企业填写以下详细信息。\n\n说明业务性质\n会计师或簿记员姓名\n\nGenever Holdings LLC（杰尼弗控股有限责任公司）的控股公司 雇主识别号码\n不包括社会保障号码或 ITIN。\n企业存续日期\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（香港，9990777 香港） 投资工具\n\nMICHAEL LI & CO.（迈克尔·李会计师事务所），C/O HENRY WONG（亨利·黄转交）\n19/F PROSPERITY\nTOWER, NO 39\nQUEENS ROAD CENTRAL\nHONG KONG（香港） EIN：\n自—至\n\n12/13/2007 至 12/31/2020\n\nWell Origin Limited（维尔奥里金有限公司）\n173 Des Voex Road Cntrl\n4/F Nan Fung Twr, R411 投资工具\n\nMICHAEL LI & CO.（迈克尔·李会计师事务所），C/O HENRY WONG（亨利·黄转交）\n19/F PROSPERITY\nTOWER, NO 39\nQUEENS ROAD CENTRAL\nHONG KONG（香港） EIN：\n自—至\n\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、州及邮政编码）\n\n案号 22-50073 文件 440-3 提交日期 05/25/22 登记日期 05/26/22 15:30:37 第 22 页，共 案号 22-50073 文件 77 提交日期 03/09/22 登记日期 03/09/22 23:25:16 第 21 页，共 25 页\n\nHo Wan Kwok（郭文贵）\n\n第 11 章；案号 22-50073 (JAM)\n财务状况声明—（问题 # 6 — 在您申请破产前 90 天内，您是否向任何债权人支付合计 \\$600 或以上的款项）\n\n付款日期\n总金额\n您仍然\n欠付的金额\n债权人名称\n地址1\n地址2\n地址3\n城市\n州\n邮政编码\n日期\n金额\n已付\n付款原因\n\n220 East 57th Street\nSuite 200\nNew York\nNY\n\n12/20/21 \\$\n52,566.25 \\$\n52,566.25\n未知\n其他—专业服务\n\nAndrew Sulner（安德鲁·萨尔纳）/Forensic Document Examinations, LLC（法证文件鉴定有限责任公司）\n\nBaker Hostetler LLP（贝克·霍斯泰特勒律师事务所）\n45 Rockefeller Plaza\nNew York\nNY\n\n12/27/21 \\$\n275,000.00 \\$\n275,000.00\n\\$452,294.38\n其他—专业服务\n\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所）\n12/16/21 \\$\n116,454.73\n\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所）\n01/11/22 \\$\n40,172.34\n89,508.91 \\$\n246,135.98\n\\$13,899.04\n其他—专业服务\n\nClayman & Rosenberg LLP（克莱曼与罗森伯格律师事务所）\n305 Madison Avenue\nSuite 650\nNew York\nNY\n\n02/16/22 \\$\n\nCounsel Press Inc.（康塞尔出版公司）\n460 West 34th Street\n4th Floor\nNew York\nNY\n\n01/19/22 \\$\n36,729.37 \\$\n36,729.37\n未知\n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）\n420 Madison Avenue\nSuite 1201\nNew York\nNY\n\n02/09/22 \\$\n11,700.00 \\$\n11,700.00\n未知\n其他—专业服务\n\nForbes Hare（福布斯·黑尔）\n12/10/21 \\$\n27,032.01\n14,577.01 \\$\n41,609.02\n未知\n其他—专业服务\n\nForbes Hare（福布斯·黑尔）\nQwomar Building, PO Box 4649\nRoad Town Tortola VG1110\nBritish Virgin Islands（英属维尔京群岛）\n01/28/22 \\$\n\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所）\n12/07/21 \\$\n20,350.18\n\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所）\n12/31/21 \\$\n22,753.02\n\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹与佐德勒律师事务所）\n360 Lexington Avenue\nNew York\nNY\n\n02/09/22 \\$\n14,119.22 \\$\n57,222.42\n\\$60,133.05\n其他—专业服务\n\n7th Floor, Melbourne House\n109,780.43 \\$\n109,780.43\n未知\n其他—专业服务\n\nHarcus Parker（哈卡斯·帕克）\n44-46 Aldwych\nLondon, WC2B 4LL\n02/09/22 \\$\n29,164.95 \\$\n29,164.95\n未知\n其他—专业服务\n\nJanover LLC（贾诺弗有限责任公司）\n100 Quentin Roosevelt Blvd\nSuite 516\nGarden City\nNY\n\n12/10/21 \\$\n\nLawall & Mitchell, LLC（劳沃尔与米切尔有限责任公司）\n11/29/21 \\$\n1,720.00\n\nLawall & Mitchell, LLC（劳沃尔与米切尔有限责任公司）\n55 Madison Avenue\n4th Floor\nMorristown\nNJ\n\n1/18/22 \\$\n2,160.00 \\$\n3,880.00\n\\$4,880.00\n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）\n12/17/21 \\$\n65,848.00\n\nPetrillo Klein & Boxer LLP（彼得里洛·克莱因与博克瑟律师事务所）\n01/26/22 \\$\n44,490.50\n17,581.00 \\$\n127,919.50\n\\$10,634.50\n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）\n655 Third Avenue\n22nd Floor\nNew York\nNY\n\n02/03/22 \\$\n\nRoy D. Simon（罗伊·D·西蒙）\n01/12/22 \\$\n48,708.00\n\nRoy D. Simon（罗伊·D·西蒙）\n205 West End Avenue\nSuite 8N\nNew York\nNY\n\n01/18/22 \\$\n9,523.20 \\$\n58,231.20\n未知\n其他—专业服务\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）\n11/17/21 \\$\n114,515.42\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）\n11/19/21 \\$\n94,033.12\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）\n12/20/21 \\$\n135,632.31\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）\n6116 Executive Boulevard\nSuite 425\nBethesda\nMD\n\n02/09/22 \\$\n256,061.00 \\$\n600,241.85\n\\$173,987.48\n其他—专业服务\n\nSelas Montbrial Avocats（塞拉斯·蒙布里亚尔律师事务所）\n10, Rue Cimarosa\n\nParis- France（巴黎—法国）\n02/16/22 \\$\n20,318.21 \\$\n20,318.21\n\\$9,120.87\n其他—专业服务\n\nThe Casper Firm（卡斯珀律师事务所）\n11/17/21 \\$\n77,934.00\n\nThe Casper Firm（卡斯珀律师事务所）\n12/21/21 \\$\n141,197.55\n\nThe Casper Firm（卡斯珀律师事务所）\n01/26/22 \\$\n125,663.00\n\nThe Casper Firm（卡斯珀律师事务所）\n400 E. Pratt Street\nSuite 903\nBaltimore,\nMD\n\n02/09/22 \\$\n28,013.00 \\$\n372,807.55\n未知\n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）\n12/7/21 \\$\n10,000.00\n\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司）\n1/11/22 \\$\n10,000.00\n\n33 W 60th Street\nFloor 2\nNew York\nNY\n\n10,000.00 \\$\n30,000.00\n\\$2,500.00\n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）\n2/7/22\n\\$\n\nU.S. Legal Support, Inc.（美国法律支持公司）\n01/12/22 \\$\n1,028.75\n\nU.S. Legal Support, Inc.（美国法律支持公司）\n200 West Jackson\nSuite 600\nChicago\nIL\n\n02/03/22 \\$\n2,034.03 \\$\n3,062.78\n\\$1,638.00\n其他—专业服务\n\nUna Manyee Wilkinson（尤娜·曼伊·威尔金森）\n12/01/21 \\$\n600.00\n\nUna Manyee Wilkinson（尤娜·曼伊·威尔金森）\n01/12/22 \\$\n1,200.00\n1,600.00 \\$\n3,400.00\n未知\n其他—专业服务\n\nUna Manyee Wilkinson（尤娜·曼伊·威尔金森）\n68-18 Juno Street\nForest Hills\nNY\n\n02/03/22 \\$\n\nVeritext（维瑞泰克斯特）\n12/10/21 \\$\n943.00\n\n290 West Mt. Pleasant Ave.\nSuite 3200\nLivingston\nNJ\n13,967.00 \\$\n14,910.00\n未知\n其他—专业服务\n\nVeritext（维瑞泰克斯特）\n\n01/12/22 \\$\n601 Brickell Key Drive\nSuite 700\nMiami\nFL\n\n3,055.33 \\$\n3,055.33\n\\$3,124.99\n其他—专业服务\n\nVX Cerda & Associates（VX 塞尔达及合伙人）\n12/22/21 \\$\n\nWilliam Bradley Wendel（威廉·布拉德利·温德尔）\n123 Burleigh Drive\nIthaca\nNY\n\n01/12/22 \\$\n9,503.33 \\$\n9,503.33\n未知\n其他—专业服务\n\n\\$ 2,054,671.92\n\\$732,212.31 26\n\n案号 22-50073 文件 440-3 提交日期 05/25/22 登记日期 05/26/22 15:30:37 第 23 页，共 案号 22-50073 文件 77 提交日期 03/09/22 登记日期 03/09/22 23:25:16 第 22 页，共 25 页\n\nHo Wan Kwok（郭文贵）\n\n第 11 章；案号 22-50073 (JAM)\n财务状况声明—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 管辖地 法院地址 状态\n\nPacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机遇基金有限合伙企业）诉 Kwok Ho Wan（郭文贵，及其他别名）、Genever Holdings Corporation（杰尼弗控股公司）及 Genever Holdings LLC（杰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）\n60 Centre Street\nNew York, NY 10007 进行中\nPacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机遇基金有限合伙企业）诉 Genever Holdings Corp.（杰尼弗控股公司）、Bravo Luck Ltd.（布拉沃幸运有限公司）、Kwok Ho Wan（郭文贵，及其他别名）及 Qiang Guo（郭强，及其他别名） 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\nRui Ma（马蕊）诉 Guo Wengui（郭文贵，又名 Miles Kwok）及 Golden Spring (New York) Ltd（黄金之泉〔纽约〕有限公司） 158140/2017 侵权 NY Sup.（纽约州最高法院） New York County Courthouse（纽约县法院）\n60 Centre Street\nNew York, NY 10007 进行中\n\nGuo Wengui（郭文贵，又名 Miles Kwok）诉 Clark Hill PLC（克拉克希尔律师事务所）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\nKwok Ho Wan（郭文贵）、Ace Decade Holdings Limited（王牌十年控股有限公司）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、王座法庭分庭、商事法院） 进行中\nAce Decade Holdings Limited（王牌十年控股有限公司）及 Kwok Ho Wan（郭文贵）诉 UBS AG（瑞银集团） 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\nZheng Wu（吴征，又名 Bruno Wu）及 Yang Lan（杨澜）诉 Guo Wengui（郭文贵，又名 Miles Kwok） 152123/2018 侵权（诽谤） NY Sup.（纽约州最高法院） New York County Courthouse（纽约县法院）\n60 Centre Street\nNew York, NY 10007 进行中\nWeican (\"Watson\") Meng（孟伟灿〔“沃森”〕）及 Boxun, Inc.（博讯公司）诉 Guo Wengui（郭文贵，又名 Miles Kwok） 159636/2017 侵权（诽谤） NY Sup.（纽约州最高法院） New York County Courthouse（纽约县法院）\n60 Centre Street\nNew York, NY 10007 进行中\nXiqui (\"Bob\") Fu（傅希秋〔“鲍勃”〕）诉 Guo Wengui（郭文贵，及其他别名）、GTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）、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（方东娜） MO:20-CV-257-DC 侵权（诽谤） W.D. Tex（得克萨斯西区联邦地区法院） U.S. District Clerk's Office（美国联邦地区法院书记官办公室）\n200 East Wall, Room 222\nMidland, Texas 79701 进行中\nWengui Guo（郭文贵，又名 Miles Kwok）诉 Jun Chen（陈军，又名 Jonathan Ho） No. 18-CV-03800\n(MCA)(MAH) 侵权（诽谤） NJ Dist.（新泽西联邦地区法院） Martin Luther King Building\n& U.S. Courthouse（马丁·路德·金大楼及美国法院）\n50 Walnut Street\nNewark, NJ 07102 进行中\nSOFA 问题 # 9 附件\nCase 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 Page 24 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 23 of 25\n\nSOFA 问题 # 9 附件\nHo Wan Kwok（郭文贵）\n第 11 章；案号 22-50073 (JAM)\n财务状况说明书－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\nNew York County Courthouse（纽约县法院）\n60 Centre Street\nSamuel Dan Nunberg（塞缪尔·丹·嫩伯格）诉 Guo Wengui（郭文贵，又名 Miles Kwok） 150141/2020 侵权（诽谤） NY Sup.（纽约州最高法院） New York, NY 10007\nThurgood Marshall（瑟古德·马歇尔） 进行中\nUnited States Courthouse（美国法院）\n40 Foley Square\nLogan Cheng（程龙，又名 Shuiyan Cheng）诉 Guo Wengui（郭文贵） 1:20-cv-05678-KPF 反 SLAPP SDNY（纽约南区） New York, NY 10007 进行中\nLiehong Zhuang（庄烈宏）及 Xiao Yan Zhu（朱小燕）诉 Wengui Guo（郭文贵，及其他别名）、Saraca Media Group Inc.（萨拉卡媒体集团公司）、ABC Company 1-10（ABC公司1-10）、John Doe 1-10（无名氏1-10） New York County Courthouse（纽约县法院）\na/k/a names）、Saraca Media Group Inc.（萨拉卡媒体集团公司）、ABC Company 1-10（ABC公司1-10）、John 60 Centre Street\nDoe 1-10（无名氏1-10） 654999/2020 侵权/违约 NY Sup.（纽约州最高法院） New York, NY 10007 进行中\n\nJonathan Young（乔纳森·杨）诉 Guo Wengui（郭文贵，又名 Miles Kwok）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）、Golden Spring (New York) Ltd（黄金之泉〔纽约〕有限公司）及 Rule of Law Foundation III（法治基金会III） New York County Courthouse（纽约县法院）\nMedia Group, Inc.（萨拉卡媒体集团公司）、Golden Spring (New York) Ltd（黄金之泉〔纽约〕有限公司）及 Rule of 60 Centre Street\nLaw Foundation III（法治基金会III） 154683/2020 侵权（诽谤） NY Sup.（纽约州最高法院） New York, NY 10007 进行中\n\nZhengjun Dong（董正军）、Wen Lin（林文）、Kaixin Hong（洪凯欣）及 Chenglong Wang（王成龙）诉 New York County Courthouse（纽约县法院）\nGTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）及 Wengui 60 Centre Street\nGuo（郭文贵） 652190/2021 拟议集体诉讼（证券） NY Sup.（纽约州最高法院） New York, NY 10007 进行中\n\nRong Zhang（张荣）、Xiaodan Wang（王晓丹）及 Chong Shen Raphanella（拉法内拉·沈冲）诉 Voice\nof Guo Media, Inc.（郭媒体之声公司）、GTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group Sandra Day O'Connor United States\nInc.（萨拉卡媒体集团公司）、Rule of Law Foundation III, Inc.（法治基金会III公司）、Rule of Law Society IV Inc.（法治协会IV公司）、 Courthouse（桑德拉·戴·奥康纳美国法院）\nSara Wei（莎拉·魏，又名 Lihong Wei Lafrenz）及 Wengui Guo（郭文贵，及其他 401 W. Washington St., Suite 130, SPC 1\na/k/a names） CV-21-01079-PHX-SMB 拟议集体诉讼（证券；侵权） AZ Dist.（亚利桑那联邦地区法院） Phoenix, AZ 85003-2118 进行中\n\nABRAHAM RIBICOFF FEDERAL BUILDING（亚伯拉罕·里比科夫联邦大楼）\nUnited States Courthouse（美国法院）\nHaihong Wang（王海红）诉 GTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group, 450 Main Street – Room 725\nInc.（萨拉卡媒体集团公司）及 Wengui Guo（郭文贵） 3:21-cv-00359-VLB 证券 D. Conn.（康涅狄格联邦地区法院） Hartford, Connecticut 06103 进行中\n\nEverett McKinley Dirksen United States（埃弗里特·麦金利·德克森美国）\nCourthouse（法院）\nJune Shi（施俊）诉 GTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）及 219 South Dearborn Street\nWengui Guo（郭文贵） 21-CV-1408 证券；侵权 N.D. Ill.（伊利诺伊北区联邦地区法院） Chicago, IL 60604 进行中\n\nThurgood Marshall（瑟古德·马歇尔）\nUnited States Courthouse（美国法院）\nJianhu Yi（易建湖）及 Quiju Jia（贾屈举）诉 GTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media 40 Foley Square\nGroup, Inc.（萨拉卡媒体集团公司）及 Wengui Guo（郭文贵） 1:21 Civ 02669 (VM) 证券 SDNY（纽约南区） New 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）、\nMoa-Fu, Weng（翁茂富）、Ruquin Wang（王茹琴）、Teli Chen（陈特丽）、Weixiang Ge（葛维祥）、Shuang\nWang（王爽）、Xingyu Yan（闫星宇）、Yan Gao（高燕）、Yi Li（李毅）及 Ying Liu（刘颖）诉 GTV Media Thurgood Marshall（瑟古德·马歇尔）\nGroup, Inc.（GTV媒体集团公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）、Wengui Guo（郭文贵，又名 Ho United States Courthouse（美国法院）\nWan Kwok）、Voice Guo Media, Inc.（郭媒体之声公司）[sic]及 Lihong Wei Lafrenz（魏丽红·拉弗伦茨） 40 Foley Square\n（及其他别名） 1:21-cv-04529 证券；侵权 SDNY（纽约南区） New York, NY 10007 进行中\nCase 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 Page 25 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 24 of 25\nHo Wan Kwok（郭文贵）\n第 11 章；案号 22-50073 (JAM)\n财务状况说明书－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（齐可·齐尔基）、Huizhen Wang（王慧珍）、Chao-Chih Chiu（邱朝枝）及 Yunxia Wu（吴云霞）诉 New York County Courthouse（纽约县法院）\nGTV Media Group, Inc.（GTV媒体集团公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）及 Wengui 60 Centre Street\nGuo（郭文贵） 652843/2021 证券；侵权 NY Sup.（纽约州最高法院） New York, NY 10007 进行中\n\nAlbert V. Bryan U.S. Courthouse（阿尔伯特·V·布赖恩美国法院）\n401 Courthouse Square\nWengui Guo（郭文贵，又名 Miles Kwok）诉 Yeliang Xia（夏业良） 1:18-CV-00174-LO-TCB 侵权（诽谤） E.D. Va.（弗吉尼亚东区联邦地区法院） Alexandria, VA 22314\nNew York County Courthouse（纽约县法院） 进行中\n60 Centre Street\nGuo（郭文贵）诉 Hong Zeng（曾红） 157025/2020 侵权（诽谤） NY Sup.（纽约州最高法院） New York, NY 10007 进行中\n\nGuo（郭文贵）诉 Gao BingChen（高冰尘） VLC-S-S-187450 侵权（诽谤） Sup. Court of British Columbia, Vancouver, Canada（加拿大温哥华不列颠哥伦比亚省最高法院） 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\nWengui Guo（郭文贵）、Beijing Zenith Holdings Co（北京政泉控股公司）、Beijing Pangu New York County Courthouse（纽约县法院）\nInvestment Co.（北京盘古投资公司）、Genever Holdings LLC（杰尼弗控股有限责任公司）及 Golden Spring (New\nYork) Ltd.（黄金之泉〔纽约〕有限公司） 653176/2017 追偿事项 NY Sup.（纽约州最高法院） 60 Centre Street\nNew York, NY 10007 进行中\n\n香港高等法院针对 Guo（郭文贵） High Court of The Hong Kong Special\n及众多个人和实体的没收程序 资产扣押 Administrative Region: Court of First\nInstance（香港特别行政区高等法院：原讼法庭） 未知\n33 Admin Drive, Wickhams Cay 1, Road\nKwok（郭文贵）诉 MacDonald（麦克唐纳） 2019/0048 British Virgin Islands（英属维尔京群岛） Town, Tortola, Virgin Islands (British\nVirgin Islands) 进行中\n\nFAN BINGBING（范冰冰）诉 GUO WENGUI（郭文贵），又名 GUO WEN GUI，又名 GUO\nWEN-GUI，又名 GUO HAOYUN，又名 HAOUN GUO，又名 WAN\nGUE HAOYUN，又名 MILES KWOK，又名 KWOK HO WAN，又名 New York County Courthouse（纽约县法院）\n60 Centre Street\nKWOK HO 156619/2017 侵权（诽谤） NY Sup.（纽约州最高法院） New York, NY 10007 未进行\n\nJIANSHENGXIE（谢建生）及 JIEFU ZHENG（郑杰夫）诉 WENGUI GUO（郭文贵），又名\nHAOYUNGUO，又名 MILES KWOK，又名 HO WANKWOK，又名 New York County Courthouse（纽约县法院）\nHO KWOK，又名 WEN GUI GWO，又名 WAN GUE HAOYUN，\n又名 GUO HAOYUN 155995/2017 侵权（诽谤） NY Sup.（纽约州最高法院） 60 Centre Street\nNew York, NY 10007 未进行\n\nKing County Superior Court（金县高等法院）\nWA&HF LLC（WA&HF有限责任公司）、RUIZHENG AN（安瑞政）诉 SARACA MEDIA GROUP, INC.（萨拉卡媒体集团公司）及 516 Third Avenue, Room C-203\nWENGUI GUO（郭文贵） No. 20-2-12680-2 SEA 侵权/违约 WA Sup. Ct（华盛顿州最高法院） Seattle, WA 98104 进行中（但就 MK 而言未进行）\nNew York County Courthouse（纽约县法院）\nGUO WENGUI（郭文贵），又名 KWOK HO WAN，又名 MILES 60 Centre Street\nKWOK，诉 GUO BAOSHENG（郭宝胜）、YAN ZHAO（赵燕）及 NING YE（叶宁） 151251/2019 侵权/违约 NY Sup.（纽约州最高法院） New 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（郭文贵），又名\nHO 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\nCase 22-50073 Doc 440-3 Filed 05/25/22 Entered 05/26/22 15:30:37 Page 26 of Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 25 of 25\n\nSOFA 问题 # 9 附件\nHo Wan Kwok（郭文贵）\n第 11 章；案号 22-50073 (JAM)\n财务状况说明书－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（郭文贵，又名 Miles Kwok）诉 Matthew J. Perry, Jr. U.S. Courthouse（小马修·J·佩里美国法院）\n901 Richland Street 于提交破产申请前 1 年内\nDanyu Lin（林丹宇） No. 2018-CP-03623 侵权（诽谤） South Carolina state court（南卡罗来纳州法院） Columbia, South Carolina 29201 已解决。\nYan Huang（黄燕）诉 Wengui Guo（郭文贵） No. 156552/2017 侵权（诽谤） NY Sup.（纽约州最高法院） New York County Courthouse（纽约县法院）\n60 Centre Street\nNew York, NY 10007 于提交破产申请前 1 年内\n已解决。\nWENGUI GUO（郭文贵）诉 BAOSEHNG GUO（郭宝胜） No. 1:18-cv-1064 侵权（诽谤/欺诈） ED Va.（弗吉尼亚东区联邦地区法院） Albert V. Bryan U.S. Courthouse（阿尔伯特·V·布赖恩美国法院）\n401 Courthouse Square\nAlexandria, VA 22314 于提交破产申请前 1 年内\n已解决。\nBAIQIAO TANG（唐柏桥），又名 TANG BAIQIAO，及\nJING GENG（耿静）诉 WENGUI GUO（郭文贵），又名 MILES KWOK，又名\nGUO WEN GUI，又名 HO WAN KWOK，\nGOLDEN SPRING (NEW YORK) LTD.（黄金之泉〔纽约〕有限公司）、 Thurgood Marshall（瑟古德·马歇尔）\nRULE OF LAW FOUNDATION III INC.（法治基金会III公司）、 United States Courthouse（美国法院）\nRULE OF LAW SOCIETY IV INC.（法治协会IV公司）、SARACA 40 Foley Square 于提交破产申请前 1 年内\nMEDIA GROUP, INC.（萨拉卡媒体集团公司） No. 1:17-cv-09031-JFK 侵权（诽谤/商业） SDNY（纽约南区） New York, NY 10007 已解决。","key_entities":["Guo","Kwok","Ho Wan Kwok","Je","Saraca","GTV","Miles Guo","GETTR","RICO","CIPA","forfeiture"],"ecf_references":[{"doc_number":77,"court":"CTB"}],"word_count":13044,"status":"published","published_at":"2022-05-25 00:00:00","created_at":"2022-05-25","updated_at":"2026-08-23 23:11:34"}