{"id":"court_ctb_77_0","court":"CTB","case_no":"22-50073","doc_number":77,"sub_number":0,"doc_type":"UNKNOWN","filed_date":"2022-03-09","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| --------------------------------------------------------------------X | | | |\n|-----------------------------------------------------------------------|---------|-------------|-------------------------|\n| In re: | | :
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: | 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\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 controlled 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| | 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\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| 6. | | No. | | | | Are either Debtor 1's or Debtor 2's debts primarily consumer debts?
Neither Debtor 1 nor Debtor 2 has primarily consumer debts. Consumer debts are defined in 11 U.S.C. § 101(8) as \"incurred by an
individual primarily for a personal, family, or household purpose.\" | | | | | | | |\n| | During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$6,825* or more? | | | | | | | | | | | | |\n| | No.
Go to line 7. | | | | | | | | | | | | |\n| | | | Yes | | | List below each creditor to whom you paid a total of \\$6,825* or more in one or more payments and the total amount you
paid that creditor. Do not include payments for domestic support obligations, such as child support and alimony. Also, do
not include payments to an attorney for this bankruptcy case.
* Subject to adjustment on 4/01/22 and every 3 years after that for cases filed on or after the date of adjustment. | | | | | | | |\n| | | Yes. | | | | Debtor 1 or Debtor 2 or both have primarily consumer debts.
During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$600 or more? | | | | | | | |\n| | | | No. | Go to line 7. | | | | | | | | | |\n| | | | Yes | | | List below each creditor to whom you paid a total of \\$600 or more and the total amount you paid that creditor. Do not
include payments for domestic support obligations, such as child support and alimony. Also, do not include payments to an
attorney for this bankruptcy case. | | | | | | | |\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 | Car
Other | Mortgage
Credit Card
Loan Repayment
Suppliers or vendors | |\n| 7. | alimony. | No | | Yes. List all payments to an insider. | | Within 1 year before you filed for bankruptcy, did you make a payment on a debt you owed anyone who was an insider?
Insiders include your relatives; any general partners; relatives of any general partners; partnerships of which you are a general partner; corporations
of which you are an officer, director, person in control, or owner of 20% or more of their voting securities; and any managing agent, including one for
a business you operate as a sole proprietor. 11 U.S.C. § 101. Include payments for domestic support obligations, such as child support and | | | | | | | |\n| | | | Insider's Name and Address | | | Dates of payment | | Total amount | | Amount you | | Reason for this payment | |\n| | | | | | | | | paid | | still owe | | | |\n| 8. | insider? | | | | | Within 1 year before you filed for bankruptcy, did you make any payments or transfer any property on account of a debt that benefited an
Include payments on debts guaranteed or cosigned by an insider. | | | | | | | |\n| | | No | | | | | | | | | | | |\n| | | | Insider's Name and Address | Yes. List all payments to an insider | | Dates of payment | | Total amount | | Amount you | | Reason for this payment | |\n| | | | | | | | | paid | | still owe | | Include creditor's name | |\n| | Official Form 107 | | | | | Statement of Financial Affairs for Individuals Filing for Bankruptcy | | | | | | | page 2 |\n\nDebtor 1 **Ho Wan Kwok** Case number (*if known*) **22-50073**\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
Explain what happened | | Date | Value of the
property |\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.
Creditor Name and Address | Describe the action the creditor took | | Date action was | Amount |\n| | | | | taken | |\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?
No | | | | |\n| | Yes
Part 5:
List Certain Gifts and Contributions | | | | |\n| | | | | | |\n| 13. | Within 2 years before you filed for bankruptcy, did you give any gifts with a total value of more than \\$600 per person?
No
Yes. Fill in the details for each gift. | | | | |\n| | Gifts with a total value of more than \\$600
per person | Describe the gifts | | Dates you gave
the gifts | Value |\n| | Person to Whom You Gave the Gift and
Address: | | | | |\n| 14. | Within 2 years before you filed for bankruptcy, did you give any gifts or contributions with a total value of more than \\$600 to any charity?
No
Yes. Fill in the details for each gift or contribution. | | | | |\n| | Gifts or contributions to charities that total
more than \\$600 | Describe what you contributed | | Dates you
contributed | Value |\n\n| Charity's Name | |\n|----------------------------------------------------|--|\n| Address (Number, Street, City, State and ZIP Code) | |\n| | |\n\n#### **Part 6: List Certain Losses**\n\n15. **Within 1 year before you filed for bankruptcy or since you filed for bankruptcy, did you lose anything because of theft, fire, other disaster, or gambling?**\n\n| No
Yes. Fill in the details. | | | |\n|-------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------|---------------------------|\n| Describe the property you lost and
how the loss occurred | Describe any insurance coverage for the loss
Include the amount that insurance has paid. List pending
insurance claims on line 33 of Schedule A/B: Property. | Date of your
loss | Value of property
lost |\n\n#### **Part 7: List Certain Payments or Transfers**\n\n16. **Within 1 year before you filed for bankruptcy, did you or anyone else acting on your behalf pay or transfer any property to anyone you consulted about seeking bankruptcy or preparing a bankruptcy petition?**\n\nInclude any attorneys, bankruptcy petition preparers, or credit counseling agencies for services required in your bankruptcy.\n\n| No
Yes. Fill in the details. | | | |\n|-------------------------------------------------------------------------------------------------------|------------------------------------------------------|--------------------------------------------------------|----------------------|\n| Person Who Was Paid
Address
Email or website address
Person Who Made the Payment, if Not You | Description and value of any property
transferred | Date payment
or transfer was
made | Amount of
payment |\n| Brown Rudnick LLP
1 Financial Center
Boston, MA 02111
Lamp Capital LLC | | \\$500,000 on
2/14/2022
\\$500,000 on
2/15/2022 | \\$1,000,000.00 |\n\n17. **Within 1 year before you filed for bankruptcy, did you or anyone else acting on your behalf pay or transfer any property to anyone who promised to help you deal with your creditors or to make payments to your creditors?** Do not include any payment or transfer that you listed on line 16.\n\n| | No
Yes. Fill in the details. | | | | |\n|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|----------------------------------------------------------------------------|---------------------------|--|\n| | Person Who Was Paid
Address | Description and value of any property
transferred | Date payment
or transfer was
made | Amount of
payment | |\n| 18. | Within 2 years before you filed for bankruptcy, did you sell, trade, or otherwise transfer any property to anyone, other than property
transferred in the ordinary course of your business or financial affairs?
Include both outright transfers and transfers made as security (such as the granting of a security interest or mortgage on your property). Do not
include gifts and transfers that you have already listed on this statement.
No
Yes. Fill in the details. | | | | |\n| | Person Who Received Transfer
Address
Person's relationship to you | Description and value of
property transferred | Describe any property or
payments received or debts
paid in exchange | Date transfer was
made | |\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\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**Code)**\n\n**Yes. Fill in the details.**\n\n| Name of Financial Institution and | Last 4 digits of | |\n|----------------------------------------------|------------------|------------|\n| Address (Number, Street, City, State and ZIP | account number | instrument |\n| Code) | | |\n\n| Type of account or | |\n|--------------------|--|\n| instrument | |\n| | |\n\n| Date account was |\n|------------------|\n| closed, sold, |\n| moved, or |\n| transferred |\n\n| Last balance |\n|-------------------|\n| before closing or |\n| 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| Have you stored property in a storage unit or place other than your home within 1 year before you filed for bankruptcy?
22. | | | | |\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\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
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.
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| 27. | Within 4 years before you filed for bankruptcy, did you own a business or have any of the following connections to any business?
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 Issu |\n| Address | |\n| (Number, Street, City, State and ZIP Code) | |\n\n## 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 | | | | | | | | | | |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|--------------------------|------------------------|--------------|-------|-------|------------------------------|-----------------|------------------|------------------------------|\n| Chapter 11; Case No. 22-50073 (JAM) | | | | | | | | | | |\n| Statement of Financial Affairs- (Question # 6 - During the 90 days before you filed for bankruptcy, did you pay any creditor a total of \\$600 or more) | | | | | | | | | | |\n| | | | | | | | | | | |\n| | | | | | | | Dates of Payment | | | |\n| | | | | | | | | Total Amount | Amount You Still | |\n| Creditor Name | Address1 | Address2 | Address3 | City | State | Zip | Date
Amount | Paid | Owe | Reason for Payment |\n| | | | | | | | | | | |\n| Andrew Sulner/Forensic Document Examinations, LLC | 220 East 57th Street | Suite 200 | | New York | NY | 10022 | 12/20/21 \\$
52,566.25 \\$ | 52,566.25 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Baker Hostetler LLP | 45 Rockefeller Plaza | | | New York | NY | 10111 | 275,000.00 \\$
12/27/21 \\$ | 275,000.00 | \\$452,294.38 | Other- Professional Services |\n| | | | | | | | | | | |\n| Clayman & Rosenberg LLP | | | | | | | 12/16/21 \\$
116,454.73 | | | |\n| Clayman & Rosenberg LLP | | | | | | | 01/11/22 \\$
40,172.34 | | | |\n| Clayman & Rosenberg LLP | 305 Madison Avenue | Suite 650 | | New York | NY | 10165 | 89,508.91 \\$
02/16/22 \\$ | 246,135.98 | \\$13,899.04 | Other- Professional Services |\n| | | | | | | | | | | |\n| Counsel Press Inc. | 460 West 34th Street | 4th Floor | | New York | NY | 10001 | 36,729.37 \\$
01/19/22 \\$ | 36,729.37 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Eric Goldsmith MD, LLC | 420 Madison Avenue | Suite 1201 | | New York | NY | 10017 | 02/09/22 \\$
11,700.00 \\$ | 11,700.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Forbes Hare | | | | | | | 12/10/21 \\$
27,032.01 | | | |\n| Forbes Hare | Qwomar Building, PO Box 4649 | Road Town Tortola VG1110 | British Virgin Islands | | | | 14,577.01 \\$
01/28/22 \\$ | 41,609.02 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Ganfer Shore Leeds & Zauderer LLP | | | | | | | 12/07/21 \\$
20,350.18 | | | |\n| Ganfer Shore Leeds & Zauderer LLP | | | | | | | 12/31/21 \\$
22,753.02 | | | |\n| Ganfer Shore Leeds & Zauderer LLP | 360 Lexington Avenue | | | New York | NY | 10017 | 02/09/22 \\$
14,119.22 \\$ | 57,222.42 | \\$60,133.05 | Other- Professional Services |\n| | | | | | | | | | | |\n| Harcus Parker | 7th Floor, Melbourne House | 44-46 Aldwych | London, WC2B 4LL | | | | 02/09/22 \\$
109,780.43 \\$ | 109,780.43 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Janover LLC | 100 Quentin Roosevelt Blvd | Suite 516 | | Garden City | NY | 11530 | 29,164.95 \\$
12/10/21 \\$ | 29,164.95 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| Lawall & Mitchell, LLC | | | | | | | 11/29/21 \\$
1,720.00 | | | |\n| 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 |\n| | | | | | | | | | | |\n| Petrillo Klein & Boxer LLP | | | | | | | 12/17/21 \\$
65,848.00 | | | |\n| Petrillo Klein & Boxer LLP | | | | | | | 01/26/22 \\$
44,490.50 | | | |\n| Petrillo Klein & Boxer LLP | 655 Third Avenue | 22nd Floor | | New York | NY | 10017 | 17,581.00 \\$
02/03/22 \\$ | 127,919.50 | \\$10,634.50 | Other- Professional Services |\n| | | | | | | | | | | |\n| Roy D. Simon | | | | | | | 01/12/22 \\$
48,708.00 | | | |\n| Roy D. Simon | 205 West End Avenue | Suite 8N | | New York | NY | 10023 | 01/18/22 \\$
9,523.20 \\$ | 58,231.20 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Schulman Bhattacharya, LLC | | | | | | | 11/17/21 \\$
114,515.42 | | | |\n| Schulman Bhattacharya, LLC | | | | | | | 11/19/21 \\$
94,033.12 | | | |\n| Schulman Bhattacharya, LLC | | | | | | | 12/20/21 \\$
135,632.31 | | | |\n| Schulman Bhattacharya, LLC | 6116 Executive Boulevard | Suite 425 | | Bethesda | MD | 20852 | 02/09/22 \\$
256,061.00 \\$ | 600,241.85 | \\$173,987.48 | Other- Professional Services |\n| | | | | | | | | | | |\n| Selas Montbrial Avocats | 10, Rue Cimarosa | 75116 | Paris- France | | | | 02/16/22 \\$
20,318.21 \\$ | 20,318.21 | \\$9,120.87 | Other- Professional Services |\n| | | | | | | | | | | |\n| The Casper Firm | | | | | | | 11/17/21 \\$
77,934.00 | | | |\n| The Casper Firm | | | | | | | 12/21/21 \\$
141,197.55 | | | |\n| The Casper Firm | | | | | | | 01/26/22 \\$
125,663.00 | | | |\n| 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 |\n| | | | | | | | | | | |\n| The Francis Firm PLLC | | | | | | | 12/7/21 \\$
10,000.00 | | | |\n| The Francis Firm PLLC | | | | | | | 1/11/22 \\$
10,000.00 | | | |\n| The Francis Firm PLLC | 33 W 60th Street | Floor 2 | | New York | NY | 10023 | 10,000.00 \\$
2/7/22
\\$ | 30,000.00 | \\$2,500.00 | Other- Professional Services |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n| U.S. Legal Support, Inc. | | | | | | | 01/12/22 \\$
1,028.75 | | | |\n| 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 |\n| | | | | | | | | | | |\n| Una Manyee Wilkinson | | | | | | | 12/01/21 \\$
600.00 | | | |\n| Una Manyee Wilkinson | | | | | | | 01/12/22 \\$
1,200.00 | | | |\n| Una Manyee Wilkinson | 68-18 Juno Street | | | Forest Hills | NY | 11375 | 1,600.00 \\$
02/03/22 \\$ | 3,400.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| Veritext | | | | | | | 12/10/21 \\$
943.00 | | | |\n| | 290 West Mt. Pleasant Ave. | | | | | | | | | |\n| | | | | | | | | | | |\n| Veritext | | Suite 3200 | | Livingston | NJ | 07039 | 01/12/22 \\$
13,967.00 \\$ | 14,910.00 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| VX Cerda & Associates | 601 Brickell Key Drive | Suite 700 | | Miami | FL | 33131 | 3,055.33 \\$
12/22/21 \\$ | 3,055.33 | \\$3,124.99 | Other- Professional Services |\n| | | | | | | | | | | |\n| William Bradley Wendel | 123 Burleigh Drive | | | Ithaca | NY | 14850 | 9,503.33 \\$
01/12/22 \\$ | 9,503.33 | Unknown | Other- Professional Services |\n| | | | | | | | | | | |\n| | | | | | | | | \\$ 2,054,671.92 | \\$732,212.31 | |\n| | | | | | | | | | | |\n| | | | | | | | | | | |\n\n## 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| | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Pacific Alliance Asia Opportunity Fund L.P. v. Kwok Ho Wan (and | | | | New York County Courthouse | |\n| other a/k/a names), Genever Holdings Corporation, and Genever | | | | 60 Centre Street | |\n| Holdings LLC | 652077/2017 | Breach of Contract | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| Pacific Alliance Asia Opportunity Fund L.P. v. Genever Holdings | | | | | |\n| Corp., Bravo Luck Ltd., Kwok Ho Wan (and other a/k/a names), | | | Eastern Caribbean Sup. Ct, Virgin | | |\n| and Qiang Guo (and other a/k/a names) | BVIHCM 0137 of 2020 | Collection | Islands, High Court of Justice | | Active |\n| | | | | | |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Rui Ma v. Guo Wengui a/k/a Miles Kwok and Golden Spring (New | | | | 60 Centre Street | |\n| York) Ltd | 158140/2017 | Tort | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Guo Wengui (a/k/a Miles Kwok) v. Clark Hill PLC and Thomas | | | | 333 Constitution Avenue N.W. | |\n| Ragland | 1:19-cv-3195-JEB | Tort/Breach of Contract | D.D.C. | Washington D.C. 20001 | Active |\n| | | | | | |\n| | | | High Court of Justice, Business and | | |\n| | | | Property Courts of England and Wales, | | |\n| Kwok Ho Wan, Ace Decade Holdings Limited, and Dawn State | | | Queen's Bench Division, Commercial | | |\n| Limited v. UBS AG (London Branch) | CL-2020-000345 | Negligence | Court | | Active |\n| | | | | | |\n| | | | | | |\n| | | | Civil Court Basel-City, Conciliation | | |\n| Ace Decade Holdings Limited and Kwok Ho Wan v. UBS AG | CL-2020-000345 | Negligence | Authority | | Active |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Zheng Wu (a/k/a Bruno Wu) and Yang Lan v. Guo Wengui (a/k/a | | | | 60 Centre Street | |\n| Miles Kwok) | 152123/2018 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| Weican (\"Watson\") Meng and Boxun, Inc. v. Guo Wengui (a/k/a | | | | 60 Centre Street | |\n| Miles Kwok) | 159636/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| Xiqui (\"Bob\") Fu v. Guo Wengui (and other a/k/a names), GTV | | | | | |\n| Media Group, Inc., Saraca Media Group, Inc., Voice of Guo | | | | U.S. District Clerk's Office | |\n| Media, Inc., Lihong Wei Lafrenz (a/k/a Sara Wei), and Dongna | | | | 200 East Wall, Room 222 | |\n| Fang | MO:20-CV-257-DC | Tort (Defamation) | W.D. Tex | Midland, Texas 79701 | Active |\n| | | | | Martin Luther King Building | |\n| | | | | & U.S. Courthouse | |\n| | No. 18-CV-03800 | | | 50 Walnut Street | |\n| Wengui Guo (a/k/a Miles Kwok) v. Jun Chen (a/k/a Jonathan Ho) | (MCA)(MAH) | Tort (Defamation) | NJ Dist. | Newark, NJ 07102 | Active |\n\n## Case 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 23 of 25\n\nAttachment to SOFA Question # 9\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| | | | | | |\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 | Active |\n| | | | | Thurgood Marshall | |\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| Rong Zhang, Xiaodan Wang, and Chong Shen Raphanella v. Voice
of Guo Media, Inc., GTV Media Group, Inc., Saraca Media Group
Inc., Rule of Law Foundation III, Inc., Rule of Law Society IV Inc.,
Sara Wei (a/k/a Lihong Wei Lafrenz), and Wengui Guo (and other
a/k/a names) | CV-21-01079-PHX-SMB | Putative Class Action (Securities; Tort) AZ Dist. | | Sandra Day O'Connor United States
Courthouse
401 W. Washington St., Suite 130, SPC 1
Phoenix, AZ 85003-2118 | Active |\n| | | | | | |\n| Haihong Wang v. GTV Media Group, Inc., Saraca Media Group,
Inc., and Wengui Guo | 3:21-cv-00359-VLB | Securities | D. Conn. | ABRAHAM RIBICOFF FEDERAL BUILDING
United States Courthouse
450 Main Street – Room 725
Hartford, Connecticut 06103 | Active |\n| | | | | | |\n| June Shi v. GTV Media Group, Inc., Saraca Media Group, Inc., and
Wengui Guo | 21-CV-1408 | Securities; Tort | N.D. Ill. | Everett McKinley Dirksen United States
Courthouse
219 South Dearborn Street
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| Weiguo Sun, Linda He Cheung, Jia Li Wang, Jiamei Lu, Jun Liu,
Moa-Fu, Weng, Ruquin Wang, Teli Chen, Weixiang Ge, Shuang
Wang, Xingyu Yan, Yan Gao, Yi Li, and Ying Liu. v. GTV Media
Group, Inc., Saraca Media Group, Inc., Wengui Guo (a/k/a Ho | | | | Thurgood Marshall
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 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 24 of 25\n\nAttachment to SOFA Question # 9\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| | | | | | |\n| Case Name | Case No. | Nature of Case | Jurisdiction | Court Address | Status |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| Keyi Zilkie, Huizhen Wang, Chao-Chih Chiu, and Yunxia Wu v. | | | | New York County Courthouse | |\n| GTV Media Group, Inc., Saraca Media Group, Inc., and Wengui | | | | 60 Centre Street | |\n| Guo | 652843/2021 | Securities; Tort | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | | Albert V. Bryan U.S. Courthouse | |\n| | | | | 401 Courthouse Square | |\n| Wengui Guo (a/k/a Miles Kwok) v. Yeliang Xia | 1:18-CV-00174-LO-TCB | Tort (Defamation) | E.D. Va. | Alexandria, VA 22314 | Active |\n| | | | | New York County Courthouse | |\n| | | | | 60 Centre Street | |\n| Guo v. Hong Zeng | 157025/2020 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | Sup. Court of British Columbia, | | |\n| Guo v. Gao BingChen | VLC-S-S-187450 | Tort (Defamation) | Vancouver, Canada | | Active |\n| Beijing Zhong Xian Wei Ye Stainless Decoration Center, et al. v. | | | | | |\n| Wengui Guo, Beijing Zenith Holdings Co, Beijing Pangu | | | | New York County Courthouse | |\n| Investment Co., Genever Holdings LLC, and Golden Spring (New | | | | 60 Centre Street | |\n| York) Ltd. | 653176/2017 | Collection Matter | NY Sup. | New York, NY 10007 | Active |\n| | | | | | |\n| | | | High Court of The Hong Kong Special | | |\n| The Hong Kong High Court forfeiture proceedings against Guo | | | Administrative Region: Court of First | | |\n| and numerous individuals & entities | | Asset Seizure | Instance | | Unknown |\n| | | | | | |\n| | | | | 33 Admin Drive, Wickhams Cay 1, Road | |\n| Kwok v. MacDonald | 2019/0048 | | British Virgin Islands | Town, Tortola, Virgin Islands (British | Active |\n| | | | | | |\n| FAN BINGBING v. GUO WENGUI a/k/a GUO WEN GUI a/k/a GUO | | | | | |\n| WEN-GUI a/k/a GUO HAOYUN a/k/a HAOUN GUO a/k/a WAN | | | | New York County Courthouse | |\n| GUE HAOYUN a/k/a MILES KWOK a/k/a KWOK HO WAN a/k/a | | | | 60 Centre Street | |\n| KWOK HO | 156619/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Inactive |\n| JIANSHENGXIE and JIEFU ZHENG v. WENGUI GUO a/k/a | | | | | |\n| HAOYUNGUO, a/k/a MILES KWOK, a/k/a HO WANKWOK, a/k/a | | | | New York County Courthouse | |\n| HO KWOK, a/k/a WEN GUI GWO, a/k/a WAN GUE HAOYUN, | | | | 60 Centre Street | |\n| a/k/a GUO HAOYUN | 155995/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | Inactive |\n| | | | | | |\n| | | | | | |\n| | | | | | |\n| | | | | King County Superior Court | |\n| WA&HF LLC, RUIZHENG AN V. SARACA MEDIA GROUP, INC. and | | | | 516 Third Avenue, Room C-203 | |\n| WENGUI GUO | No. 20-2-12680-2 SEA | Tort/Breach of Contract | WA Sup. Ct | Seattle, WA 98104 | Active (but inactive as to MK) |\n| | | | | | |\n| | | | | New York County Courthouse | |\n| GUO WENGUI a/k/a KWOK HO WAN a/k/a MILES | | | | 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| | | | | | |\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 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 25 of 25\n\nAttachment to SOFA Question # 9\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| | | | | Matthew J. Perry, Jr. U.S. Courthouse | | |\n| Wengui Guo a/k/a Miles Kwok v. | | | | 901 Richland Street | Resolved within 1 year of | |\n| Danyu Lin | No. 2018-CP-03623 | Tort (Defamation) | South Carolina state court | Columbia, South Carolina 29201 | bankruptcy filing. | |\n| | | | | | | |\n| | | | | | | |\n| | | | | New York County Courthouse | | |\n| | | | | 60 Centre Street | Resolved within 1 year of | |\n| Yan Huang v. Wengui Guo | No. 156552/2017 | Tort (Defamation) | NY Sup. | New York, NY 10007 | bankruptcy filing. | |\n| | | | | | | |\n| | | | | Albert V. Bryan U.S. Courthouse | | |\n| | | | | 401 Courthouse Square | Resolved within 1 year of | |\n| WENGUI GUO V. BAOSEHNG GUO | No. 1:18-cv-1064 | Tort (Defamation/Fraud) | ED Va. | Alexandria, VA 22314 | bankruptcy filing. | |\n| BAIQIAO TANG a/k/a TANG BAIQIAO and | | | | | | |\n| JING GENG v. WENGUI GUO a/k/a MILES KWOK a/k/a | | | | | | |\n| GUO WEN GUI a/k/a HO WAN KWOK, | | | | | | |\n| GOLDEN SPRING (NEW YORK) LTD., | | | | Thurgood Marshall | | |\n| RULE OF LAW FOUNDATION III INC., | | | | United States Courthouse | | |\n| RULE OF LAW SOCIETY IV INC., SARACA | | | | 40 Foley Square | Resolved within 1 year of | |\n| MEDIA GROUP, INC. | No. 1:17-cv-09031-JFK | Tort (Defamation/Commercial) | SDNY | New York, NY 10007 | bankruptcy filing. | |","body_zh":"美国康涅狄格地区联邦破产法院布里奇波特分庭\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--------------------------------------------------------------------X ：\n关于债务人资产及负债附表和财务状况说明书的限制、编制方法及免责声明的总体说明\n\nHo Wan Kwok（郭文贵）（“债务人”）根据 United States Code（《美国法典》）title 11（“Bankruptcy Code”）第11章第521条以及 Federal Rules of Bankruptcy Procedure（《联邦破产程序规则》）（“Bankruptcy Rules”）第1007条，向 United States Bankruptcy Court for the District of Connecticut（康涅狄格地区联邦破产法院）（“Bankruptcy Court”）提交其资产及负债附表（每份称为一份“Schedule”，合称为“Schedules”）及财务状况说明书（“SOFA”）。\n\n本关于债务人资产及负债附表和 SOFA 的限制、编制方法及免责声明的总体说明（合称为“Global Notes”）适用于、以援引方式纳入并构成全部 Schedules 和 SOFA 的组成部分。除就特定 Schedules 和 SOFA 于下文所载的具体说明（“Specific Notes”，与 Global Notes 合称为“Notes”）外，Global Notes 亦另行适用。\n\n审查 Schedules 和 SOFA 时，应参阅并援引 Global Notes。债务人在其顾问及其他专业人士的协助下编制了 Schedules 和 SOFA。Schedules 和 SOFA 未经审计，且可能会作出调整。在编制 Schedules 和 SOFA 时，债务人依赖于编制时可获得的信息。债务人已作出合理努力，以确保在当时情形下 Schedules 和 SOFA 尽可能准确、完整；但是，后续信息或发现可能导致 Schedules 和 SOFA 发生重大变更，且可能存在无意的错误或遗漏。\n\n债务人保留在必要或适当时不时以任何方式修改或补充 Schedules 和 SOFA 的一切权利，包括就 Schedules 和 SOFA 所载任何债权的金额、责任或分类提出异议，或以其他方式主张抵销或抗辩的权利，以及其后将任何债权指定为“有争议”“附条件”或“未确定金额”的权利。此外，Schedules、SOFA 或 Notes 所载任何内容均不构成对债务人权利的放弃，亦不构成就其第11章案件作出的承认。\n\n总体说明\n\n1．案件说明。2022年2月15日（“Petition Date”），债务人根据 Bankruptcy Code 第11章启动了自愿案件。\n\n2．债务人的别名。债务人以如下名称为人所知：Guo Wengui；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n3．列报基础。Schedules 和 SOFA 并不旨在构成按照 United States（美国）Generally Accepted Accounting Principles（“GAAP”）编制的财务报表。Schedules 和 SOFA 反映了债务人为报告其资产和负债所作出的合理努力。\n\n4．报告日期。除非另有说明，Schedules A 和 B 中报告的资产价值与 Petition Date 的资产价值一致，Schedules D、E 和 F 中的负债价值均截至 Petition Date。\n\n5．准确性。此处披露的财务信息并非根据联邦或州证券法或其他适用的非破产法编制。交易债务人债权，或以其他方式购买、出售或转让债务人债权的个人和实体，应结合该财务信息的编制目的及背景对其进行评估。债务人不对偏离证券法之处承担责任，也不承担说明该等偏离之责任；债务人亦不对基于该财务信息或任何其他信息而对债务人作出的任何评估承担责任。\n\n6．估计和假设。编制 Schedules 和 SOFA 要求债务人作出估计和假设，该等估计和假设影响若干资产和负债的报告金额、若干附条件资产和负债的披露以及收入和费用的报告金额。实际结果可能与该等估计存在重大差异。在几乎所有情况下，债务人均未保有或无法轻易取得当前市场估值。为全部资产取得当前市场估值将使债务人承担高得难以承受的费用、过度的负担，并构成对资源的低效使用。在必要时，债务人已表明若干资产的价值为“Unknown”或“Undetermined”。最终实现的金额可能与估计价值存在重大差异。\n\n7．货币。除非另有说明，Schedules 和 SOFA 中列示的所有金额均以美元计。\n\n8．债务人的权利保留。Schedules、SOFA 或 Notes 所载任何内容均不构成对有关本第11章案件的权利放弃，包括但不限于以下事项：\n\na．未将 Schedules 和 SOFA 所列债权指定为“有争议”“附条件”或“未确定金额”，不构成债务人承认该金额并非“有争议”“附条件”或“未确定金额”。债务人保留就其 Schedules 所载任何债权的金额、责任及分类提出异议，并主张抵销权、反诉及抗辩的权利，以及其后以其他方式将任何债权指定为“有争议”“附条件”或“未确定金额”的权利。\n\nb．将 Schedule D 中的债权列为“有担保”，将 Schedule E 中的债权列为“优先”，将 Schedule F 中的债权列为“无担保优先”，或将 Schedule G 中的合同或租赁列为“待履行”或“未届满”，均不构成债务人承认债权人的法律权利，亦不构成债务人放弃根据附表修订、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而将各债权人的债权列为有担保债权，但尚未对债务人资产中该等债权人可能享有担保权益的资产进行当前估值。债务人保留对任何该等债权人债权的担保性质或金额，或对任何交易结构或与该等债权人债权有关的任何文件或文书的定性，提出异议和质疑的一切权利。\n\nc．个别债权人的债权可能未反映该等债权人应向债务人提供的贷记、扣减或其他调整。债务人保留与该等贷记、扣减及其他调整有关的一切权利，包括就此提出债权异议和／或主张抵销的权利。\n\nd．尽管债务人已作出合理努力以确保其 Schedules 和 SOFA 的准确性，但其中仍可能包含错误和遗漏。债务人特此保留对 Schedules 和 SOFA 所载任何合同、协议和租赁的有效性、状态及可执行性提出异议的一切权利，以及在必要时修改和补充 Schedules 和 SOFA 的权利。\n\ne．债务人进一步保留与 Schedules 和 SOFA 所列合同和协议有关的一切权利、债权及诉因，包括但不限于对与债权人债权有关的任何交易、文件和文书的定性或结构提出异议和质疑的权利。\n\nf．在 Schedules 和 SOFA 中列入合同或租赁，不应视为承认该合同属于待履行合同、该租赁属于未届满租赁，或两者之一必然属于具有约束力、有效且可执行的合同。债务人特此明确保留主张 Schedules 和 SOFA 所列任何合同不构成 Bankruptcy Code 第365条含义内的待履行合同的权利，以及主张其中所列任何租赁不构成 Bankruptcy Code 第365条含义内的未届满租赁的权利。\n\n9．总体说明优先适用。如 Schedules 或 SOFA 与任何 Global Notes 不一致，应以 Global Notes 为准。\n\n具体说明\n\n除上述内容外，债务人在编制 Schedules 和 SOFA 时采用了下列惯例：\n\n1．Schedule A/B。\n\na．一般而言。就与债务人资产有关的任何项目列示价值为“$0.00”而言，债务人说明，该金额为“unknown”或“undetermined”，且该“$0.00”指定并不构成承认该等资产实际上价值为“$0.00”。由于若干资产或负债被标注为“$0.00”，Schedule A/B 中的汇总项目反映的总额可能低于该等资产或负债的最终价值。\n\nb．问题 1：您是否拥有任何住宅、建筑物、土地或类似财产，或对其享有任何法定或衡平权益？\n\ni．债务人使用并占有位于 373 Taconic Road, Greenwich, CT 06831 的不动产（“Residence”）。债务人对 Residence 不享有法定所有权，且任何法院均未认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 Residence 有关的一切成本和费用均由家庭成员及家庭控制的企业直接支付。Residence 由 Greenwich Land, LLC（格林尼治土地有限责任公司）（“Greenwich Land”）拥有。Greenwich Land 的唯一成员为债务人的配偶。\n\nii．债务人亦可进入位于 Sherry-Netherlands Hotel（谢里-荷兰酒店）, 781 Fifth Avenue, New York, NY 10022 的一套公寓（“Apartment”）。Apartment 的合作公寓股份由 Genever Holdings LLC（吉尼弗控股有限责任公司）（“US SPV”）持有。US SPV 的成员权益由 Genever Holdings Corporation（吉尼弗控股公司）（“BVI Company”）持有。债务人持有 BVI Company 的全部股权；但根据日期为 2015年2月17日的信托声明及协议（“Trust Date”），债务人为 Bravo Luck Limited（布拉沃幸运有限公司）（“Apartment Owner”）以信托方式持有该等股权。债务人的儿子拥有 Apartment Owner 的股权。在 Trust Date 当日或前后，Apartment Owner 向 US SPV 提供了用于购买 Apartment 的购置价款。该等资金来自债务人儿子拥有或控制的实体，而非债务人。\n\nUS SPV 于 2020年10月12日向 United States Bankruptcy Court for the Southern District of New York（纽约南区联邦破产法院）提起其自身的第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 “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（太平洋联盟亚洲机会基金有限合伙企业）(“PAX”)].” [Docket No. 165]。在旨在确定 Apartment 所有权的诉讼中，Apartment Owner 主张其为 Apartment 的受益所有人。Apartment 的最终所有权将在 US SPV 的第11章案件之外得到解决。在 BVI 法院，PAX 已根据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\nApartment 目前正由 Sotheby's International Realty（苏富比国际地产）在 US SPV 销售官 Melanie L. Cyganowski, Esq.（梅拉妮·L·西加诺夫斯基律师）的授权下推向市场出售。基于上述理由，债务人未将 Apartment 的价值报告为资产。\n\nc. 问题3 您是否拥有、租赁，或对任何车辆享有法定或衡平权益，无论其是否已登记？汽车、厢式货车、卡车、拖拉机、运动型多用途车、摩托车。债务人使用汽车，包括豪华汽车和摩托车。债务人对任何类型的车辆均不拥有法定所有权，且任何法院均未作出认定，认为债务人对任何该等车辆享有任何其他权益，无论是衡平权益还是其他权益。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？船舶、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（HK国际基金投资（美国）有限责任公司）拥有，该公司由债务人的女儿拥有。Lady May目前停泊在欧洲的港口。债务人目前无法使用Lady May，且已超过一年无法使用Lady May。\n\nLady May的所有权及／或控制权，由债务人在PAX因其发起的制裁及藐视法庭程序而针对债务人在New York State Supreme Court（纽约州最高法院）提起的诉讼中提出争议。在2021年2月9日举行证据听证会后，Barry Ostrager法官在其裁决（“2月9日裁决”）中认定，除其他事项外，证据证明债务人“实益拥有并控制”Lady May。债务人不同意2月9日裁决，并已对其提起上诉。鉴于上诉尚未审结（目前处于中止状态），债务人未将Lady May列为其财产。惟如将其列为其财产的一项资产（债务人预计该问题将通过本Chapter 11 Case（第11章案件）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——家庭用品和家具。住所和公寓内存有大量符合个人及家庭用品定义的物品。除本文所载者外，债务人对住所或公寓内的物品均不拥有法定所有权，且任何法院均未作出认定，认为债务人对任何该等物品享有任何其他权益，无论是衡平权益还是其他权益。\n\nf. 问题7 电子产品：电视机、收音机、音频、视频等。住所和公寓内存有大量符合电子产品定义的物品，包括但不限于电脑、手机和广播设备。除本文所载者外，债务人对住所或公寓内的物品均不拥有法定所有权，且任何法院均未作出认定，认为债务人对任何该等物品享有任何其他权益，无论是衡平权益还是其他权益。\n\ng. 问题8 有价值的收藏品。住所或公寓内符合该类别定义的任何物品，均为家庭或家庭控制企业的财产。除本文所载者外，债务人对住所或公寓内的物品均不拥有法定所有权，且任何法院均未作出认定，认为债务人对该等物品享有任何其他权益，无论是衡平权益还是其他权益。\n\nh. 问题9 用于运动或爱好的设备。住所或公寓内符合该类别定义的任何物品，均为家庭或家庭控制企业的财产。除本文所载者外，债务人对住所或公寓内的物品均不拥有法定所有权，且任何法院均未作出认定，认为债务人对任何该等物品享有任何其他权益，无论是衡平权益还是其他权益。\n\ni. 问题11 衣物。债务人拥有商务和休闲衣物，包括来自各制造商的西装、鞋和运动鞋，其中包括高端品牌。\n\nj. 问题17 货币存款。2018年10月23日，High Court of the Hong Kong Special Administrative Region, Court of First Instance（香港特别行政区高等法院原讼法庭）（“高等法院”）作出日期为2018年10月18日的Restraint Order Prohibiting Disposal of Assets In Hong Kong and Elsewhere（禁止处置香港及其他地方资产的限制令）（“限制令”）。限制令规定，其将持续有效至2019年4月30日（含当日），并理解为其将根据高等法院于2019年5月3日作出的进一步命令继续有效。限制令的效力是冻结据称属于债务人的HK$3.7 million资金。此外，据限制令所述，在债务人“实际控制”下的个人和实体的更多资金和财产，包括位于香港的不动产，数额多达数十亿，亦被冻结及／或扣押。由于该等资产被冻结／扣押，债务人未将其列入其财产。\n\nk. 问题18 债券、共同基金或公开交易的股票。为慎重起见，债务人请您参阅附表B注释，问题17。\n\nl. 问题19 非公开交易的股票，或在公司及非法人企业、LLC、合伙企业或合资企业中的权益。债务人曾为两家受控外国公司的唯一股东：Shiny Times Holdings Ltd.（闪耀时代控股有限公司）（“Shiny Times”）及Well Origin Ltd.（威尔奥里金有限公司）（“Well Origin”）。基于以下原因，债务人认为其在该等实体中的权益不具有任何价值。\n\ni. 2017年9月和10月，中国政府突击搜查了Shiny Times的办公室，并扣押了所有公司会计记录及大量个人财务记录。此后无法取得该等记录。对银行账户的在线访问已被冻结，且没有可取得的数据副本或备份。债务人已尽一切合理努力取得该等数据，但自扣押以来，始终无法取得该公司的财务记录。Shiny Times自此一直未开展业务。债务人自2017年11月2日起未再控制Shiny Times。\n\nii. 关于在British Virgin Islands（英属维尔京群岛）注册成立的Well Origin，2018年4月，UBS（瑞银集团）因贷款违约而取得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，令该公司在英属维尔京群岛进入清算程序。债务人自2017年12月31日起未再控制Well Origin。\n\n如上文就说明书问题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另请参阅附表B注释，问题17，涉及受限制令约束的众多实体；以及SOFA，问题9，涉及Eastern Profit（定义见下文）。\n\nm. 问题20 政府和公司债券及其他可转让和不可转让票据。债务人已收到来自United States Treasury（美国财政部）和State of New York Department of Taxation and Finance（纽约州税务和财政部）的已识别退税支票。该等支票未经背书转让，且因其签发已超过六个月，如予存入，可能被拒付。\n\nn. 问题22 保证金和预付款。就取得公寓而言，US SPV向与该公寓有关的合作公寓公司提供了$5 million的保证金（“公寓保证金”），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公寓保证金提供资金。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。据知悉及相信，原公寓保证金中约有$2.065 million尚余。由于上文就问题1所述的信托安排，债务人未将剩余公寓保证金的价值列为其财产的一项资产。\n\no. 问题25 信托、对财产的衡平或未来权益，以及为您的利益行使的权利或权力。参见附表B注释，问题17、19和22。\n\np. 问题26 专利、著作权、商标、商业秘密及其他知识产权。债务人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著作权及其他知识产权权益。债务人认为其社交媒体资产不具有任何价值，且未尝试将其社交媒体影响力变现。\n\nq. 问题30 他人欠您的其他款项。有关债务人主张权利的诉讼之识别，请参阅SOFA注释第4部分问题9。\n\n此外，在某些司法辖区，事项的胜诉方有权获得其费用的偿还。在Kwok Ho Wan（郭文贵）、Ace Decade Holdings Limited（艾斯十年控股有限公司）和Dawn State Limited（道恩州有限公司）v. UBS AG (London Branch)一案中，该案目前由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事法院）审理，债务人可能有权与其他原告一同获得与近期管辖权争议有关的费用偿还。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，法院已准许被告上诉；如上诉成功，原告可能被责令返还法院判给的金额。\n\n在Wengui Guo（郭文贵）v. Baosheng Guo（郭宝胜）一案中，该案目前由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，债务人的律师已收到判给债务人的$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注释第4部分问题9所识别的某些诉讼中的请求人。\n\nt. 问题37 对任何与企业相关财产的法定或衡平权益。参见上文附表B注释，问题17和19。\n\nu. 问题39 办公设备、家具或用品。本类别中没有任何未由上文附表B注释问题6和7的答复涵盖的事项。\n\nv. 问题42 合伙企业或合资企业权益。参见附表B注释，问题17和19。\n\nw. 问题53 尚未列明种类的财产。债务人被列为其家人在位于Florida（佛罗里达州）Palm Beach（棕榈滩）的The Mar-a-Lago Club（海湖庄园俱乐部）的会员资格会员。该会员资格自2015年起有效。债务人无须负责支付会员费，亦无权在会员资格终止时退还此前可能已支付的任何保证金。\n\n2. 附表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除其衣物和其狗之外还拥有资产，债务人保留修改该等豁免选择的权利。\n\n3. 附表D。\n\na. 根据债务人目前可获得的信息，债务人认为，附表D准确反映了对债务人享有担保债权的所有债权人。若债务人发现存在任何额外的担保债权，债务人可相应修订附表D以反映该等债权。\n\nb. 债务人保留其修订附表D的一切权利，只要债务人认定任何债权应在附表D中申报。本文件中的任何内容均不得解释为债务人承认债权人的法律权利，不得视为对任何协议条款的修改或解释，亦不得视为债务人放弃将任何债权或合同重新定性或重新分类的权利。\n\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而获得担保的当事人。\n\nd. 除非另有约定或破产法院命令，债务人保留对任何据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、完善性或不受撤销之豁免提出争议或质疑的一切权利。此外，债务人保留对任何该等债权人债权的担保性质，或任何该等交易或与该等债权人债权有关的任何文件或文书之性质或结构提出争议或质疑的一切权利。\n\ne. 债务人是诉讼融资协议（“Litigation Funding Agreements”）的一方，根据该等协议，债务人向由其儿子拥有或控制的某些实体（各称为“Litigation Funder”）质押了对包括某些债权及其收益在内的财产的担保权益。债务人认为该等担保权益未获完善。\n\n4. 附表E/F。\n\na. 债务人已尽合理努力在附表E/F中申报对其享有的所有无担保债权。附表E/F所列债权于不同日期产生或发生。在某些情况下，债权产生的日期是一个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，但确定附表E/F中每项债权发生或产生的日期将造成不适当的负担且成本过高。\n\n因此，尽管债务人未为附表E/F所列每项债权提供日期，但据债务人所知，附表E/F所列的所有债权均在申请日之前产生或发生。\n\nb. 债务人保留在适用情况下主张任何该等债权为或有、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《破产法典》第507条规定的优先债权，因而构成无担保非优先债权的权利。\n\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项和/或折让。债务人保留就任何该等贷项和/或折让享有的一切权利，包括就其提出异议和/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已在对SOFA问题7的答复中反映。在所有情况下，作为诉讼标的的金额均不确定或未确定。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或有、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及未到期租赁相对方的金额。然而，该等申请前金额可能因承接，或承接并转让待履行合同或未到期租赁而获得支付。此外，附表E/F不包括任何可能被拒绝的待履行合同及未到期租赁之相对方可能享有的拒绝损害赔偿债权。\n\n5. 附表G。\n\na. 尽管债务人已尽合理努力识别并列明待履行合同及未到期租赁，但仍可能发生非故意错误或遗漏。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争议的所有权利，并保留在必要时修订或补充附表G的权利。其中所列合同、协议及租赁可能已到期，或不时通过各种修订、重述、豁免、禁止反言证明书、信函、备忘录及其他可能未列于其中的文件、文书和协议而被修改、修订或补充。\n\nb. 合同或协议出现在附表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为待履行合同或未到期租赁；未将合同或协议列入附表G，也不构成承认该合同或协议不存在。债务人保留就附表G所列合同和协议享有的一切权利、请求权及诉因，包括对任何交易文件或文书的性质或结构提出争议或质疑的权利。某些待履行协议可能未被书面记载，并可能存在争议。\n\n6. 附表H。\n\na. 债务人涉及待决或受到威胁的诉讼。该等事项可能涉及多名原告和被告，其中部分或全部可能对其他当事人提出交叉请求和反请求。由于所有该等债权均为或有、有争议和/或未确定债权，该等债权已同时列于附表F（并标记为或有、已确定及有争议）和附表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。债务人确实接受由家庭成员及其控制的公司资助的住房、家庭及生活费用支持。与住房、家庭或生活费用有关的任何资助均不受资助来源提出的任何债权约束，且所有住房、家庭及生活费用资助均不存在任何偿还协议或偿还预期。债务人计划修订于February 15, 2022提交的表格122B [Docket No. 3]，其中债务人错误地申报每月收入为\\$19,488.00。所述资金如本文所述，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，任何种类的全部费用，包括住房、家庭及生活费用，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费用。若其情况将来发生变化，债务人保留修订本附表的权利。\n\n9. 关于债务人财务状况说明（SOFA）的具体说明。\n\na. SOFA问题1。债务人与其配偶虽未持有证明其婚姻关系的中国证书，但二人认为自己已婚。该夫妇已共同生活逾30年，共同申报纳税表，并育有两名子女。\n\nb. SOFA问题2。债务人此前于约March/April 2015至September 2015期间居住于该公寓，之后于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、表格122B或附表I中任何收入定义的收入。债务人确实接受由家庭成员及其控制的公司资助的住房、家庭及生活费用支持。与住房、家庭或生活费用有关的任何资助均不受资助来源提出的任何债权约束，且不存在任何有关偿还的预期或协议。债务人正在修订表格122B，其中债务人错误地申报每月收入为\\$19,488.00。所述资金如本文所述，并未被适当地定义或描述为收入。\n\nd. SOFA问题6。本类别所列专业费用由家庭成员或其控制的公司代债务人支付，并受诉讼融资协议约束。之所以申报该等付款，是因为预期可从以诉讼解决为条件的任何收益中获得偿还。此外，债务人确实接受由家庭成员及其控制的公司资助的住房、家庭及生活费用支持。与住房、家庭或生活费用有关的任何资助均不受资助来源提出的任何债权约束，且不存在任何有关偿还的预期或协议。因此，该等资助未被列入本清单。家庭成员有两笔合计\\$109,827.12的付款于February 16, 2022在申请后被非故意作出。该等付款被视为赠与。\n\ne. SOFA问题8。债务人为提起和抗辩诉讼而向诉讼资助人借款（见下文SOFA问题12）。在某些情况下，与债务人儿子有关联的实体为诉讼当事人。债务人不对该等诉讼当事人产生的费用负责。如诉讼资助人非故意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。债务人已尽合理最大努力识别所有目前涉及债务人的待决诉讼、调查及其他法律行动。然而，仍可能非故意发生某些遗漏。将任何法律行动列入本问题，并不构成债务人承认任何责任、任何诉讼的有效性，或就任何法律行动所涉任何请求可能产生的任何潜在债权金额，以及任何目前待决或将来可能产生的法律行动所导致的任何潜在债权的金额和处理方式。债务人作为原告、被告或共同被告，系目前处于不同阶段的众多诉讼的当事人。为债务人利益发生的所有诉讼费用均由家庭成员控制的公司或通过各种诉讼融资协议资助，所有该等协议均列于附表G。\n\n在裁定Eastern Profit Corporation Limited（东方盈利有限公司，简称“Eastern Profit”）在其针对Strategic Vision US LLC（美国战略愿景有限责任公司，简称“Strategic Vision”）的违约请求中胜诉，因而有权就其针对Strategic Vision的\\$1 million判决书进行追偿时，United States District Court for the Southern District of New York（纽约南区联邦地区法院）就债务人与Eastern Profit之间所称关系作出附带评论，称该公司“实质上是”债务人及其家族的“空壳公司”。仅因此原因，债务人将该诉讼列入附表。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的说法提出争议。\n\ng. 财务状况说明书第10问。见附表 B 注释第17问（受限制令约束的资产）和第19问（Shiny Times Holdings Ltd.（Shiny Times控股有限公司）和 Well Origin Ltd.（Well Origin有限公司））。\n\nh. 财务状况说明书第12问。见附表 B 注释第1问（该公寓）、第17问（受限制令约束的资产）和第19问（Shiny Times Holdings Ltd.（Shiny Times控股有限公司）和 Well Origin Ltd.（Well Origin有限公司））。\n\ni. 财务状况说明书第16问。在申请日之前，Brown Rudnick（布朗·鲁德尼克律师事务所）分别于 February 14, 2021 和 February 15, 2021 收到 \\$500,000 的预付聘金。\\$1 million 预付聘金付款（“BR Retainer”）的来源是 Lamp Capital LLC（Lamp资本有限责任公司）（“Lamp”）。Lamp 向债务人出借 \\$1 million，且债务人指示 Lamp 将该笔贷款所得款项直接汇付给 Brown Rudnick。\n\nj. 财务状况说明书第18问。在债务人 Chapter 11 案件开始前两年内，债务人与诉讼融资方订立了诉讼融资协议。最近一份诉讼融资协议的日期为 November 8, 2021。根据诉讼融资协议，诉讼融资方已同意就债务人为收取判决款或其所遭受损害的赔偿金所作的努力提供预付款项。诉讼融资协议规定，债务人向适用的诉讼融资方授予其基础请求权及诉讼所得款项的担保权益。\n\nk. 财务状况说明书第22问。债务人继续能够使用该公寓。因此，他继续在那里存放某些衣物和个人物品。\n\nl. 财务状况说明书第23问。见财务状况说明书注释第12问。见附表注释第1、3、4、6、7、8、9及11问。债务人使用该住宅、各种车辆以及符合个人和家庭物品定义的大量物品，该等财产位于该住宅内。债务人对该住宅、车辆或其内容物不享有法定所有权，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，无论是衡平法上的权益或其他权益。\n\nm. 财务状况说明书第27问。见附表 B 注释第17及19问。\n\n填写以下信息以识别您的案件：\n\n债务人 1 Ho Wan Kwok（郭文贵）\n名字 中间名 姓氏\n债务人 2\n（如共同申报，配偶） 名字 中间名 姓氏\nUnited States Bankruptcy Court for the: DISTRICT OF CONNECTICUT（康涅狄格州联邦地区美国破产法院）\n案件编号 22-50073\n（如已知）\nOfficial Form 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。若两名已婚人士共同申报，则双方均同等负责提供正确信息。如需更多空间，请将单独的附页附于本表格。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此前居住地点的详细信息\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住所之外的其他地点？\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的同等关系人在共同财产州或领地居住？（共同财产州和领地包括 Arizona、California、Idaho、Louisiana、Nevada、New Mexico、Puerto Rico、Texas、Washington 和 Wisconsin。）\n\n否\n是。请务必填写附表 H：您的共同债务人（Official Form 106H）。\n\n第2部分 说明您的收入来源\n\n4. 您在本年度或之前两个日历年度内，是否曾从受雇工作或经营企业中获得任何收入？请填写您从所有工作和所有企业获得的收入总额，包括兼职活动。如您申报共同案件且有共同获得的收入，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（扣除及排除项之前）\n\n收入来源 勾选所有适用项。\n\n总收入（扣除及排除项之前）\n\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n\n5. 您在本年度或之前两个日历年度内，是否收到任何其他收入？\n\n无论该收入是否应纳税，均应包括在内。其他收入的例子包括赡养费；子女抚养费；社会保障金、失业金及其他公共福利付款；养老金；租金收入；利息；股息；从诉讼中收取的款项；特许权使用费；以及赌博和彩票奖金。如您申报共同案件且有共同获得的收入，仅在债务人 1 项下列示一次。\n\n分别列出每一收入来源及每一来源的总收入。请勿包括您在第4项中列示的收入。\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请在下方说明。 各来源的总收入\n（扣除及\n排除项之前） 收入来源\n请在下方说明。 总收入\n（扣除及\n排除项之前）\n\n第3部分：列出您在申请破产前作出的某些付款\n\n6. 否。债务人 1 或债务人 2 的债务是否任何一方主要为消费者债务？\n债务人 1 和债务人 2 均不具有主要为消费者债务的债务。11 U.S.C. § 101(8) 将消费者债务定义为“个人主要为个人、家庭或家用目的而发生的”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总额为 \\$6,825* 或以上的款项？\n否。\n转至第7项。\n是 请在下方列出您以一次或多次付款合计支付 \\$6,825* 或以上的每一债权人，以及您向该债权人支付的总额。请勿包括用于家庭扶养义务的付款，如子女抚养费和赡养费。另请勿包括向本破产案件律师支付的款项。\n* 对于在调整日或之后提交的案件，于 4/01/22 及此后每 3 年进行调整。\n\n是。债务人 1 或债务人 2 或双方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总额为 \\$600 或以上的款项？\n否。转至第7项。\n是 请在下方列出您支付总额为 \\$600 或以上的每一债权人，以及您向该债权人支付的总额。请勿包括用于家庭扶养义务的付款，如子女抚养费和赡养费。另请勿包括向本破产案件律师支付的款项。\n\n债权人姓名和地址 付款日期\n支付总额 您\n仍欠金额 该付款是否用于\n见所附附表 # 6 \\$2,054,671.92 \\$732,212.31 汽车\n其他 抵押贷款\n信用卡\n偿还贷款\n供应商或卖方\n\n7. 在您申请破产前 1 年内，您是否曾就所欠任何内部人士的债务作出付款？\n否\n是。列出向内部人士作出的所有付款。\n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，包括为您以独资经营的企业担任的管理代理人。11 U.S.C. § 101。包括用于家庭扶养义务的付款，如子女抚养费和赡养费。\n\n内部人士姓名和地址 付款日期 支付总额 您\n仍欠金额 该付款的原因\n\n8. 在您申请破产前 1 年内，您是否曾就使内部人士受益的债务作出任何付款或转让任何财产？\n包括对由内部人士担保或共同签署的债务所作的付款。\n\n否\n\n内部人士姓名和地址 是。列出向内部人士作出的所有付款 付款日期 支付总额 您 该付款的原因\n已支付 仍欠 包括债权人姓名\n\nOfficial Form 107 个人申请破产财务状况说明书 第 2 页\n\n债务人 1 Ho Wan Kwok（郭文贵） 案件编号（如已知）22-50073\n\n第4部分：\n识别法律诉讼、收回财产及止赎\n\n9. 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列出所有该等事项，包括人身伤害案件、小额索赔诉讼、离婚案件、催收诉讼、亲子关系诉讼、扶养或监护权变更，以及合同争议。\n\n否\n是。填写详细信息。\n\n案件名称\n案件编号 案件性质 法院或机构 案件状态\n见所附附表 # 9 待决\n上诉中\n已结案\n\n10. 在您申请破产前 1 年内，您的任何财产是否被收回、止赎、扣押、查封、没收或执行？\n勾选所有适用项，并填写以下详细信息。\n\n否。转至第11项。\n是。填写以下信息。\n\n债权人姓名和地址 描述该财产\n说明发生了什么 日期 财产\n价值\n\n11. 在您申请破产前 90 天内，任何债权人（包括银行或金融机构）是否从您的账户中抵销任何金额，或因您欠有债务而拒绝付款？\n\n否\n是。填写详细信息。\n\n债权人姓名和地址 说明债权人采取的行动 行动日期 金额\n扣取\n\n12. 在您申请破产前 1 年内，您的任何财产是否由为债权人利益而指定的受让人、法院指定的接管人、保管人或其他官员占有？\n\n否\n是\n\n第5部分：\n列出某些赠与和捐款\n\n13. 在您申请破产前 2 年内，您是否向任何个人赠与总价值超过 \\$600 的礼物？\n\n否\n是。填写每项礼物的详细信息。\n\n每人总价值超过 \\$600 的礼物 描述礼物 您赠与\n礼物的日期 价值\n您向其赠与礼物的人的姓名和\n地址：\n\n14. 在您申请破产前 2 年内，您是否向任何慈善机构赠与总价值超过 \\$600 的礼物或捐款？\n\n否\n是。填写每项礼物或捐款的详细信息。\n\n总额超过 \\$600 的\n向慈善机构的礼物或捐款 说明您捐赠的内容 您\n捐赠的日期 价值\n\n慈善机构名称\n\n地址（门牌号、街道、城市、州和邮政编码）\n\n第6部分：列出某些损失\n\n15. 在您申请破产前 1 年内或自您申请破产以来，您是否因盗窃、火灾、其他灾害或赌博而损失任何财产？\n\n否\n是。填写详细信息。\n\n描述您损失的财产以及\n损失如何发生 说明该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：财产第33项列出待决的\n保险索赔。 您的\n损失日期 损失财产\n价值\n\n第7部分：列出某些付款或转让\n\n16. 在您申请破产前 1 年内，您或代表您行事的任何其他人是否向您就寻求破产或准备破产申请事宜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而向任何律师、破产申请书准备人员或信用咨询机构作出的付款。\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） 任何转让财产的说明及价值 付款或\n转让作出\n日期 付款\n金额\nBrown Rudnick LLP（布朗·鲁德尼克律师事务所）\n1 Financial Center\nBoston, MA 02111\nLamp Capital LLC（Lamp资本有限责任公司） \\$500,000 于\n2/14/2022\n\\$500,000 于\n2/15/2022 \\$1,000,000.00\n\n17. 在您申请破产前 1 年内，您或代表您行事的任何其他人是否向任何承诺帮助您处理债权人事宜或代您向债权人付款的人付款或转让任何财产？请勿包括您在第16项中列示的任何付款或转让。\n\n否\n是。填写详细信息。\n\n被付款人\n\n地址 已转让财产的描述及价值 付款或转让日期 付款金额\n\n18. 在您申请破产前 2 年内，您是否向任何人出售、交换或以其他方式转让任何财产，但不包括在您业务或财务事务正常过程中转让的财产？\n\n包括直接转让和作为担保进行的转让（例如授予对您财产的担保权益或抵押）。请勿包括您已在本说明中列出的赠与和转让。\n\n否\n\n是。请填写详细信息。\n\n受让人\n\n地址\n\n与您的关系 已转让财产的描述及价值 说明作为交换而收到的任何财产或付款，或已偿还的债务 转让日期\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过任何财产？（这些通常称为资产保护安排。）\n\n否\n\n是。请填写详细信息。\n\n信托名称 所转让财产的描述及价值 转让日期\n\n债务人 1 Ho Wan Kwok（郭文贵） 案号（如已知）22-50073\n\n第 8 部分：列出某些金融账户、票据、保险箱和储物单元\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票据被关闭、出售、迁移或转让？\n\n包括支票账户、储蓄账户、货币市场账户或其他金融账户；存款证；以及在银行、信用合作社、经纪行、养老金基金、合作社、协会和其他金融机构中持有的股份。\n\n否\n\n是。请填写详细信息。\n\n金融机构名称及地址（门牌号、街道、城市、州和 ZIP Code） 账户号码后 4 位 账户或票据类型 账户被关闭、出售、迁移或转让的日期 关闭或转让前的最后余额\n\n21. 您目前是否有，或在您申请破产前 1 年内是否有任何用于存放证券、现金或其他贵重物品的保险箱或其他保管设施？\n\n否\n\n是。请填写详细信息。\n\n金融机构名称\n\n地址（门牌号、街道、城市、州和 ZIP Code） 还有谁可进入？ 地址（门牌号、街道、城市、州和 ZIP Code） 说明内容物 您是否仍持有？\n\n在您申请破产前 1 年内，您是否将财产存放在储物单元或住所之外的其他地点？\n\n22.\n\n否\n\n是。请填写详细信息。\n\n储物设施名称\n\n地址（门牌号、街道、城市、州和 ZIP Code） 还有谁现在或曾经可以进入？ 地址（门牌号、街道、城市、州和 ZIP Code） 说明内容物 您是否仍持有？\n\nThe Sherry-Netherland Hotel（雪莉-内德兰酒店）\n781 5th Avenue\nNew York, NY 10022 商务和休闲服装及其他家庭用品 否\n\n是\n\n第 9 部分：确定您为他人持有或控制的财产\n\n23. 您是否持有或控制他人拥有的任何财产？包括您从他人借用、为他人保管或为他人以信托方式持有的任何财产。\n\n否\n\n是。请填写详细信息。\n\n所有人姓名\n\n地址（门牌号、街道、城市、州和 ZIP Code） 财产位于何处？（门牌号、街道、城市、州和 ZIP Code） 说明财产 价值\n\n参见 Global Notes（全局说明）问题 23 \\$0.00\n\n第 10 部分：提供有关环境信息的详细资料\n\n就第 10 部分而言，适用下列定义：\n\n- 环境法系指任何有关污染、污染物、危险或有毒物质、废物或材料释放至空气、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，包括管制清理该等物质、废物或材料的法律或法规。\n\n- 场地系指任何环境法所定义的任何地点、设施或财产，不论您目前是否拥有、经营或使用，或曾经拥有、经营或使用该地点、设施或财产，包括处置场所。\n\n- 危险材料系指环境法界定为危险废物、危险物质、有毒物质、危险材料、污染物、污染性物质或类似术语的任何物品。\n\n请报告您所知悉的所有通知、释放和程序，不论其发生时间。\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、潜在承担责任，或违反环境法？\n\n否\n\n是。请填写详细信息。\n\n场地名称\n\n地址（门牌号、街道、城市、州和 ZIP Code） 政府单位 地址（门牌号、街道、城市、州和 ZIP Code） 环境法（如您知悉） 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\n地址（门牌号、街道、城市、州和 ZIP Code） 政府单位 地址（门牌号、街道、城市、州和 ZIP Code） 环境法（如您知悉） 通知日期\n\n26. 您是否曾作为任何环境法项下司法或行政程序的一方？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\n案号 法院或机构名称 地址（门牌号、街道、城市、州和 ZIP Code） 案件性质 案件状态\n\n第 11 部分：\n\n提供有关您的业务或与任何企业关系的详细资料\n\n27. 在您申请破产前 4 年内，您是否拥有企业，或与任何企业具有下列任何关系？\n\n合伙企业的合伙人\n\n公司的高级管理人员、董事或管理高管\n\n否。上述均不适用。请转至第 12 部分。\n\n企业名称\n\n地址（门牌号、街道、城市、州和 ZIP Code）\n\nGenever Holdings Corporation（吉尼弗控股公司）\nP.O. Box 3170\nTortola, British Virgin Islands 作为某一行业、职业或其他活动中的独资经营者或自雇人士，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。请勾选上文所有适用项，并就每家企业填写下列详细信息。\n\n说明企业性质\n\n会计师或簿记员姓名\n\nGenever Holdings LLC（吉尼弗控股有限责任公司）的控股公司 雇主识别号码\n\n请勿填写社会保障号码或 ITIN。\n\n企业存续期间\n\nEIN：\n\n自—至\n\nShiny Times Holdings, LTD（闪耀时代控股有限公司）\n173 Des Voex Road Cntrl\n4/F Nan Fung Twr, R411\nHong Kong, 9990777 Hong Kong 投资载体\n\nMICHAEL LI & CO.（迈克尔·李公司）, C/O HENRY WONG（亨利·黄）19/F PROSPERITY TOWER, NO 39 QUEENS ROAD CENTRAL HONG KONG EIN：\n\n自—至\n\n12/13/2007 至 12/31/2020\n\nWell Origin Limited（威尔奥里金有限公司）\n173 Des Voex Road Cntrl\n4/F Nan Fung Twr, R411 投资载体\n\nMICHAEL LI & CO., C/O HENRY WONG 19/F PROSPERITY TOWER, NO 39 QUEENS ROAD CENTRAL HONG KONG EIN：\n\n自—至\n\n4/1/2010 至 12/31/2020\n\nV\n\n否\n\n是。请填写下列详细信息。\n\n名称 签发日期\n\n地址（门牌号、街道、城市、州和 ZIP Code）\n\n案号 22-50073 文件 77 提交于 03/09/22 录入于 03/09/22 23:25:16 第 21 页，共 25 页\n\nHo Wan Kwok\n\n第 11 章；案号 22-50073 (JAM)\n\n财务状况说明书——（问题 6——在您申请破产前 90 天内，您是否向任何债权人支付了合计 \\$600 或以上的款项）\n\n付款日期\n\n总金额 尚欠金额\n\n债权人名称 地址1 地址2 地址3 城市 州 邮编 日期 金额 已付 尚欠 付款原因\n\nAndrew Sulner（安德鲁·萨尔纳）/Forensic Document Examinations, LLC（法证文件检验有限责任公司） 220 East 57th Street Suite 200 New York NY 10022 12/20/21 \\$52,566.25 \\$52,566.25 未知 其他——专业服务\n\nBaker Hostetler LLP（贝克·霍斯特勒有限责任合伙企业） 45 Rockefeller Plaza New York NY 10111 12/27/21 \\$275,000.00 \\$275,000.00 \\$452,294.38 其他——专业服务\n\nClayman & Rosenberg LLP（克莱曼和罗森伯格有限责任合伙企业） 12/16/21 \\$116,454.73\n\nClayman & Rosenberg LLP 01/11/22 \\$40,172.34\n\nClayman & Rosenberg LLP 305 Madison Avenue Suite 650 New York NY 10165 02/16/22 \\$89,508.91 \\$246,135.98 \\$13,899.04 其他——专业服务\n\nCounsel Press Inc.（康瑟尔出版社） 460 West 34th Street 4th Floor New York NY 10001 01/19/22 \\$36,729.37 \\$36,729.37 未知 其他——专业服务\n\nEric Goldsmith MD, LLC（埃里克·戈德史密斯医学博士有限责任公司） 420 Madison Avenue Suite 1201 New York NY 10017 02/09/22 \\$11,700.00 \\$11,700.00 未知 其他——专业服务\n\nForbes Hare（福布斯·黑尔） 12/10/21 \\$27,032.01\n\nForbes Hare Qwomar Building, PO Box 4649 Road Town Tortola VG1110 British Virgin Islands 01/28/22 \\$14,577.01 \\$41,609.02 未知 其他——专业服务\n\nGanfer Shore Leeds & Zauderer LLP（甘弗·肖尔·利兹和扎德雷尔有限责任合伙企业） 12/07/21 \\$20,350.18\n\nGanfer Shore Leeds & Zauderer LLP 12/31/21 \\$22,753.02\n\nGanfer Shore Leeds & Zauderer LLP 360 Lexington Avenue New York NY 10017 02/09/22 \\$14,119.22 \\$57,222.42 \\$60,133.05 其他——专业服务\n\nHarcus Parker（哈克斯·帕克） 7th Floor, Melbourne House 44-46 Aldwych London, WC2B 4LL 02/09/22 \\$109,780.43 \\$109,780.43 未知 其他——专业服务\n\nJanover LLC（贾诺弗有限责任公司） 100 Quentin Roosevelt Blvd Suite 516 Garden City NY 11530 12/10/21 \\$29,164.95 \\$29,164.95 未知 其他——专业服务\n\nLawall & Mitchell, LLC（劳沃尔和米切尔有限责任公司） 11/29/21 \\$1,720.00\n\nLawall & Mitchell, LLC 55 Madison Avenue 4th Floor Morristown NJ 07960 1/18/22 \\$2,160.00 \\$3,880.00 \\$4,880.00 其他——专业服务\n\nPetrillo Klein & Boxer LLP（佩特里洛·克莱因和博克瑟有限责任合伙企业） 12/17/21 \\$65,848.00\n\nPetrillo Klein & Boxer LLP 01/26/22 \\$44,490.50\n\nPetrillo Klein & Boxer LLP 655 Third Avenue 22nd Floor New York NY 10017 02/03/22 \\$17,581.00 \\$127,919.50 \\$10,634.50 其他——专业服务\n\nRoy D. Simon（罗伊·D·西蒙） 01/12/22 \\$48,708.00\n\nRoy D. Simon 205 West End Avenue Suite 8N New York NY 10023 01/18/22 \\$9,523.20 \\$58,231.20 未知 其他——专业服务\n\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司） 11/17/21 \\$114,515.42\n\nSchulman Bhattacharya, LLC 11/19/21 \\$94,033.12\n\nSchulman Bhattacharya, LLC 12/20/21 \\$135,632.31\n\nSchulman Bhattacharya, LLC 6116 Executive Boulevard Suite 425 Bethesda MD 20852 02/09/22 \\$256,061.00 \\$600,241.85 \\$173,987.48 其他——专业服务\n\nSelas Montbrial Avocats（塞拉斯·蒙布里亚尔律师事务所） 10, Rue Cimarosa 75116 Paris- France 02/16/22 \\$20,318.21 \\$20,318.21 \\$9,120.87 其他——专业服务\n\nThe Casper Firm（卡斯珀律师事务所） 11/17/21 \\$77,934.00\n\nThe Casper Firm 12/21/21 \\$141,197.55\n\nThe Casper Firm 01/26/22 \\$125,663.00\n\nThe Casper Firm 400 E. Pratt Street Suite 903 Baltimore, MD 21202 02/09/22 \\$28,013.00 \\$372,807.55 未知 其他——专业服务\n\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司） 12/7/21 \\$10,000.00\n\nThe Francis Firm PLLC 1/11/22 \\$10,000.00\n\nThe Francis Firm PLLC 33 W 60th Street Floor 2 New York NY 10023 2/7/22 \\$10,000.00 \\$30,000.00 \\$2,500.00 其他——专业服务\n\nU.S. Legal Support, Inc.（美国法律支持公司） 01/12/22 \\$1,028.75\n\nU.S. Legal Support, Inc. 200 West Jackson Suite 600 Chicago IL 60606 02/03/22 \\$2,034.03 \\$3,062.78 \\$1,638.00 其他——专业服务\n\nUna Manyee Wilkinson（乌娜·曼伊·威尔金森） 12/01/21 \\$600.00\n\nUna Manyee Wilkinson 01/12/22 \\$1,200.00\n\nUna Manyee Wilkinson 68-18 Juno Street Forest Hills NY 11375 02/03/22 \\$1,600.00 \\$3,400.00 未知 其他——专业服务\n\nVeritext（维丽文本） 12/10/21 \\$943.00\n\n290 West Mt. Pleasant Ave.\n\nVeritext Suite 3200 Livingston NJ 07039 01/12/22 \\$13,967.00 \\$14,910.00 未知 其他——专业服务\n\nVX Cerda & Associates（VX 塞尔达及联合事务所） 601 Brickell Key Drive Suite 700 Miami FL 33131 12/22/21 \\$3,055.33 \\$3,055.33 \\$3,124.99 其他——专业服务\n\nWilliam Bradley Wendel（威廉·布拉德利·温德尔） 123 Burleigh Drive Ithaca NY 14850 01/12/22 \\$9,503.33 \\$9,503.33 未知 其他——专业服务\n\n\\$ 2,054,671.92 \\$732,212.31\n\n案号 22-50073 文件 77 提交于 03/09/22 录入于 03/09/22 23:25:16 第 22 页，共 25 页\n\nHo Wan Kwok\n\n第 11 章；案号 22-50073 (JAM)\n\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、法院诉讼或行政程序的一方？）\n\n案件名称 案号 案件性质 管辖区 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（及其他又名）、Genever Holdings Corporation 和 Genever Holdings LLC 652077/2017 违约 纽约州最高法院（New York Supreme Court） New York County Courthouse（纽约县法院大楼）\n60 Centre Street\nNew York, NY 10007 进行中\n\nPacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机会基金有限合伙企业）诉 Genever Holdings Corp.（Genever 控股公司）、Bravo Luck Ltd.（好运有限公司）、Kwok Ho Wan（郭文贵，及其他别名）和 Qiang Guo（郭强，及其他别名） BVIHCM 0137 of 2020 追收 Eastern Caribbean Sup. Ct, Virgin Islands, High Court of Justice（东加勒比最高法院，英属维尔京群岛高等法院） 进行中\n\nNew York County Courthouse（纽约郡法院大楼）\nRui Ma（马蕊）诉 Guo Wengui（郭文贵，亦称 Miles Kwok）和 Golden Spring (New York) Ltd（金泉〈纽约〉有限公司） 158140/2017 侵权 NY Sup.（纽约州最高法院） 60 Centre Street\nNew York, NY 10007 进行中\n\nGuo Wengui（郭文贵，亦称 Miles Kwok）诉 Clark Hill PLC（克拉克·希尔有限公司）和 Thomas Ragland（托马斯·拉格兰） 1:19-cv-3195-JEB 侵权／违反合同 D.D.C.（哥伦比亚特区联邦地区法院） 333 Constitution Avenue N.W.\nWashington D.C. 20001 进行中\n\nHigh Court of Justice, Business and\nProperty Courts of England and Wales,\nKwok Ho Wan（郭文贵）、Ace Decade Holdings Limited（Ace Decade 控股有限公司）和 Dawn State Limited（Dawn State 有限公司）诉 UBS AG (London Branch)（瑞银集团股份公司〈伦敦分行〉） CL-2020-000345 过失 Queen's Bench Division, Commercial\nCourt（王座法庭商业法院） 进行中\n\nCivil Court Basel-City, Conciliation\nAce Decade Holdings Limited 和 Kwok Ho Wan 诉 UBS AG CL-2020-000345 过失 Authority（巴塞尔城市民事法院调解机构） 进行中\n\nNew York County Courthouse\nZheng Wu（吴征，亦称 Bruno Wu）和 Yang Lan（杨澜）诉 Guo Wengui（郭文贵，亦称 Miles Kwok） 152123/2018 侵权（诽谤） NY Sup. 60 Centre Street\nNew York, NY 10007 进行中\n\nNew York County Courthouse\nWeican (\"Watson\") Meng（孟伟灿〈“沃森”〉）和 Boxun, Inc.（博讯公司）诉 Guo Wengui（郭文贵，亦称 Miles Kwok） 159636/2017 侵权（诽谤） NY Sup. 60 Centre Street\nNew York, NY 10007 进行中\n\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.（Saraca 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，亦称 Sara Wei）和 Dongna Fang（方冬娜） MO:20-CV-257-DC 侵权（诽谤） W.D. Tex（得克萨斯州西区联邦地区法院） U.S. District Clerk's Office（联邦地区法院书记官办公室）\n200 East Wall, Room 222\nMidland, Texas 79701 进行中\n\nMartin Luther King Building\n& U.S. Courthouse（马丁·路德·金大楼及美国法院）\nWengui Guo（郭文贵，亦称 Miles Kwok）诉 Jun Chen（陈军，亦称 Jonathan Ho） No. 18-CV-03800\n(MCA)(MAH) 侵权（诽谤） NJ Dist.（新泽西州联邦地区法院） 50 Walnut Street\nNewark, NJ 07102 进行中\n\nCase 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 23 of 25\n\nSOFA Question # 9 的附件\n\nHo Wan Kwok（郭文贵）\n\nChapter 11; Case No. 22-50073 (JAM)\n财务状况说明 - 问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nNew York County Courthouse\n60 Centre Street\nSamuel Dan Nunberg（塞缪尔·丹·努恩伯格）诉 Guo Wengui（郭文贵，亦称 Miles Kwok） 150141/2020 侵权（诽谤） NY Sup. New York, NY 10007 进行中\n\nThurgood Marshall\nUnited States Courthouse（瑟古德·马歇尔美国法院）\n40 Foley Square\nLogan Cheng（程龙，原名 Shuiyan Cheng）诉 Guo Wengui（郭文贵） 1:20-cv-05678-KPF 反战略诉讼压制 SDNY（纽约南区联邦地区法院） New York, NY 10007 进行中\n\nLiehong Zhuang（庄烈宏）和 Xiao Yan Zhu（朱小燕）诉 Wengui Guo（郭文贵，及其他别名）、Saraca Media Group Inc.（Saraca 媒体集团公司）、ABC Company 1-10（ABC 公司 1-10）、John Doe 1-10（无名氏 1-10） 654999/2020 侵权／违反合同 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nJonathan Young（乔纳森·杨）诉 Guo Wengui（郭文贵，亦称 Miles Kwok）、Saraca Media Group, Inc.、Golden Spring (New York) Ltd 和 Rule of Law Foundation III（法治基金会 III） 154683/2020 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nZhengjun Dong（董正军）、Wen Lin（林文）、Kaixin Hong（洪凯欣）和 Chenglong Wang（王成龙）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 和 Wengui Guo（郭文贵） 652190/2021 拟议集体诉讼（证券） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nRong Zhang（张蓉）、Xiaodan Wang（王晓丹）和 Chong Shen Raphanella（沈冲·拉法内拉）诉 Voice of Guo Media, Inc.、GTV Media Group, Inc.、Saraca Media Group Inc.、Rule of Law Foundation III, Inc.（法治基金会 III 公司）、Rule of Law Society IV Inc.（法治协会 IV 公司）、Sara Wei（莎拉·魏，亦称 Lihong Wei Lafrenz）和 Wengui Guo（郭文贵，及其他别名） CV-21-01079-PHX-SMB 拟议集体诉讼（证券；侵权） AZ Dist.（亚利桑那州联邦地区法院） Sandra Day O'Connor United States\nCourthouse（桑德拉·戴·奥康纳美国法院）\n401 W. Washington St., Suite 130, SPC 1\nPhoenix, AZ 85003-2118 进行中\n\nHaihong Wang（王海红）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 和 Wengui Guo（郭文贵） 3:21-cv-00359-VLB 证券 D. Conn.（康涅狄格州联邦地区法院） ABRAHAM RIBICOFF FEDERAL BUILDING（亚伯拉罕·里比科夫联邦大楼）\nUnited States Courthouse（美国法院）\n450 Main Street – Room 725\nHartford, Connecticut 06103 进行中\n\nJune Shi（施君）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 和 Wengui Guo（郭文贵） 21-CV-1408 证券；侵权 N.D. Ill.（伊利诺伊州北区联邦地区法院） Everett McKinley Dirksen United States\nCourthouse（埃弗里特·麦金利·德克森美国法院）\n219 South Dearborn Street\nChicago, IL 60604 进行中\n\nThurgood Marshall\nUnited States Courthouse\nJianhu Yi（易建湖）和 Quiju Jia（贾屈举）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 和 Wengui Guo（郭文贵） 1:21 Civ 02669 (VM) 证券 SDNY 40 Foley Square\nNew York, NY 10007 进行中\n\nWeiguo Sun（孙卫国）、Linda He Cheung（张何琳达）、Jia Li Wang（王嘉丽）、Jiamei Lu（卢佳美）、Jun Liu（刘军）、Moa-Fu Weng（翁茂福）、Ruquin Wang（王如琴）、Teli Chen（陈特丽）、Weixiang Ge（葛伟祥）、Shuang Wang（王爽）、Xingyu Yan（严兴宇）、Yan Gao（高燕）、Yi Li（李毅）和 Ying Liu（刘颖）诉 GTV Media Group, Inc.、Saraca Media Group, Inc.、Wengui Guo（郭文贵，亦称 Ho Wan Kwok）、Voice Guo Media, Inc. [原文如此] 和 Lihong Wei Lafrenz（魏丽红·拉弗伦茨，及其他别名） 1:21-cv-04529 证券；侵权 SDNY Thurgood Marshall\nUnited States Courthouse\n40 Foley Square\nNew York, NY 10007 进行中\n\nCase 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 24 of 25\n\nSOFA Question # 9 的附件\n\nHo Wan Kwok（郭文贵）\n\nChapter 11; Case No. 22-50073 (JAM)\n财务状况说明 - 问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nKeyi Zilkie（齐可·齐尔基）、Huizhen Wang（王慧珍）、Chao-Chih Chiu（邱朝志）和 Yunxia Wu（吴云霞）诉 GTV Media Group, Inc.、Saraca Media Group, Inc. 和 Wengui Guo（郭文贵） 652843/2021 证券；侵权 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\nAlbert V. Bryan U.S. Courthouse（阿尔伯特·V·布莱恩美国法院）\n401 Courthouse Square\nWengui Guo（郭文贵，亦称 Miles Kwok）诉 Yeliang Xia（夏业良） 1:18-CV-00174-LO-TCB 侵权（诽谤） E.D. Va.（弗吉尼亚州东区联邦地区法院） Alexandria, VA 22314 进行中\n\nNew York County Courthouse\n60 Centre Street\nGuo（郭）诉 Hong Zeng（曾宏） 157025/2020 侵权（诽谤） NY Sup. New York, NY 10007 进行中\n\nSup. Court of British Columbia（不列颠哥伦比亚省最高法院）\nGuo（郭）诉 Gao BingChen（高冰尘） VLC-S-S-187450 侵权（诽谤） Vancouver, Canada 进行中\n\nBeijing Zhong Xian Wei Ye Stainless Decoration Center（北京中显伟业不锈钢装饰中心）等诉 Wengui Guo（郭文贵）、Beijing Zenith Holdings Co（北京政泉控股有限公司）、Beijing Pangu Investment Co.（北京盘古投资有限公司）、Genever Holdings LLC（Genever 控股有限责任公司）和 Golden Spring (New York) Ltd. 653176/2017 追收事项 NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 进行中\n\n针对 Guo（郭）及众多个人与实体的香港高等法院没收程序 资产扣押 High Court of The Hong Kong Special Administrative Region: Court of First Instance（香港特别行政区高等法院：原讼法庭） 未知\n\n33 Admin Drive, Wickhams Cay 1, Road\nKwok（郭）诉 MacDonald（麦克唐纳） 2019/0048 British Virgin Islands（英属维尔京群岛） Town, Tortola, Virgin Islands (British 进行中\n\nFAN BINGBING（范冰冰）诉 GUO WENGUI（郭文贵，亦称 GUO WEN GUI、GUO WEN-GUI、GUO HAOYUN、HAOUN GUO、WAN GUE HAOYUN、MILES KWOK、KWOK HO WAN 和 KWOK HO） 156619/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 未进行\n\nJIANSHENGXIE（谢建升）和 JIEFU ZHENG（郑杰夫）诉 WENGUI GUO（郭文贵，亦称 HAOYUNGUO、MILES KWOK、HO WANKWOK、HO KWOK、WEN GUI GWO、WAN GUE HAOYUN 和 GUO HAOYUN） 155995/2017 侵权（诽谤） NY Sup. New York County Courthouse\n60 Centre Street\nNew York, NY 10007 未进行\n\nKing County Superior Court（金郡高等法院）\nWA&HF LLC（WA&HF 有限责任公司）、RUIZHENG AN（安瑞正）诉 SARACA MEDIA GROUP, INC. 和 WENGUI GUO（郭文贵） No. 20-2-12680-2 SEA 侵权／违反合同 WA Sup. Ct（华盛顿州最高法院） 516 Third Avenue, Room C-203\nSeattle, WA 98104 进行中（但就 MK 而言未进行）\n\nNew York County Courthouse\nGUO WENGUI（郭文贵，亦称 KWOK HO WAN 和 MILES KWOK）诉 GUO BAOSHENG（郭宝胜）、YAN ZHAO（赵岩）和 NING YE（叶宁） 151251/2019 侵权／违反合同 NY Sup. 60 Centre Street\nNew York, NY 10007 进行中\n\nKUI CHENG（程奎）诉 G CLUB OPERATIONS LLC（G CLUB 运营有限责任公司）和 WENGUI GUO（郭文贵，亦称 HO WAN KWOK、MILES KWOK 和 MILES GUO） No. S21-0093J5 违反合同 Texas small claims court（得克萨斯州小额索赔法院） 进行中\n\nCase 22-50073 Doc 77 Filed 03/09/22 Entered 03/09/22 23:25:16 Page 25 of 25\n\nSOFA Question # 9 的附件\n\nHo Wan Kwok（郭文贵）\n\nChapter 11; Case No. 22-50073 (JAM)\n财务状况说明 - 问题 # 9（在您申请破产前 1 年内，您是否为任何诉讼、法院程序或行政程序的一方当事人？）\n\n案件名称 案号 案件性质 管辖法院 法院地址 状态\n\nMatthew J. Perry, Jr. U.S. Courthouse（小马修·J·佩里美国法院）\nWengui Guo（郭文贵，亦称 Miles Kwok）诉 Danyu Lin（林丹宇） No. 2018-CP-03623 侵权（诽谤） South Carolina state court（南卡罗来纳州法院） 901 Richland Street\nColumbia, South Carolina 29201 在提交破产申请前 1 年内已解决。\n\nNew York County Courthouse\n60 Centre Street Yan Huang（黄燕）诉 Wengui Guo（郭文贵） No. 156552/2017 侵权（诽谤） NY Sup. New York, NY 10007 在提交破产申请前 1 年内已解决。\n\nAlbert V. Bryan U.S. Courthouse\n401 Courthouse Square WENGUI GUO（郭文贵）诉 BAOSEHNG GUO（郭宝生） No. 1:18-cv-1064 侵权（诽谤／欺诈） ED Va. Alexandria, VA 22314 在提交破产申请前 1 年内已解决。\n\nBAIQIAO TANG（唐柏桥，亦称 TANG BAIQIAO）和 JING GENG（耿静）诉 WENGUI GUO（郭文贵，亦称 MILES KWOK、GUO WEN GUI 和 HO WAN KWOK）、GOLDEN SPRING (NEW YORK) LTD.、RULE OF LAW FOUNDATION III INC.、RULE OF LAW SOCIETY IV INC.、SARACA MEDIA GROUP, INC. No. 1:17-cv-09031-JFK 侵权（诽谤／商业） SDNY Thurgood Marshall\nUnited States Courthouse\n40 Foley Square\nNew York, NY 10007 在提交破产申请前 1 年内已解决。","key_entities":["Guo","Kwok","Je","Ho Wan Kwok","Saraca","GTV","Miles Guo","GETTR","RICO","CIPA","forfeiture"],"ecf_references":[],"word_count":13638,"status":"published","published_at":"2022-03-09 00:00:00","created_at":"2022-03-09","updated_at":"2026-08-23 22:20:29"}