ENGLISH ORIGINAL 英文转写
简体中文译文 与原文对应
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
美利坚合众国
美国证券交易委员会
ADMINISTRATIVE
PROCEEDING File No. 3-20537
行政程序
案号:3-20537
:
In the Matter of :
:
GTV Media Group, Inc., Saraca :
Media Group, Inc., and Voice of :
Guo Media, Inc., :
:
Respondents. :
:
关于GTV Media Group, Inc.、Saraca Media Group, Inc.及Voice of Guo Media, Inc.一案
被申请人。
NOTICE FOR DISTRIBUTION OF THE GTV MEDIA GROUP FAIR FUND
GTV传媒集团公平基金分配通知
原第 1 段
1 This Plan Notice is issued pursuant to the Commission-approved Plan of Distribution (“Distribution
Plan”). 2 This is not a solicitation from a lawyer.
1本方案通知依据美国证券交易委员会批准的分配方案(“分配方案”)发布。 2本通知并非律师招揽业务的宣传材料。
原第 2 段
1If you purchased the stock or digital asset securities of the companies listed below (the “Securities”)
during the corresponding “Relevant Period(s)” and suffered a loss as a result of the conduct described
in the Order Instituting Cease-and-Desist Proceedings in the above-captioned matter, you may be
eligible for compensation from the GTV Media Group Fair Fund.
1如果您在相应“相关期间”内购买了下列公司的股票或数字资产证券(“证券”),并因上述案件《启动停止令程序的命令》所述行为遭受损失,您可能有资格从GTV传媒集团公平基金获得赔偿。
G Entities Securities and Corresponding Relevant Period(s) (Inclusive)
G实体的证券及相应相关期间(含起止日)
原第 3 段
1 Relevant Period Relevant Period
Security Start Date End Date
GTV Common Stock 4/20/2020 6/2/2020
Digital Assets: G-Coins or G-Dollars 4/1/2020 6/30/2020
1证券|相关期间开始日期|相关期间结束日期
GTV普通股|2020年4月20日|2020年6月2日
数字资产:G-Coins或G-Dollars|2020年4月1日|2020年6月30日
原第 4 段
1In order to be considered for eligibility for a distribution from the GTV Media Group Fair Fund, you must
submit a completed and signed Proof of Claim Form (“Claim Form”) to the Fund Administrator1, with
adequate documentation of your transactions: online no later than 11:59 p.m. PST on June 6, 2022 (the
“Claims Bar Date”); by First Class Mail, postmarked by June 6, 2022; or if not by First Class Mail,
received by the Fund Administrator by June 6, 2022. 2 The Claims Bar Date is June 6, 2022, identified
in the Distribution Plan. 3 Further directions for submitting a claim, including the online claims process and
physical address are set forth below and on the Claim Form.
1如需接受从GTV传媒集团公平基金获得分配款的资格审查,您必须向基金管理人¹提交填写完整并已签署的索赔证明表(“索赔表”),并附上充分的交易证明文件:在线提交的,须最迟于2022年6月6日(“索赔截止日”)太平洋标准时间(PST)晚上11:59完成;通过美国一类邮件(First Class Mail)提交的,邮戳日期不得晚于2022年6月6日;如采用美国一类邮件以外的方式,则须于2022年6月6日或之前送达基金管理人。 2分配方案列明,索赔截止日为2022年6月6日。 3有关提交索赔的进一步指引,包括在线索赔流程及邮寄地址,载于下文及索赔表。
原第 5 段
11
Any capitalized terms used in this Plan Notice that are not otherwise defined herein shall have the
meaning ascribed to them in the Distribution Plan, which is available on the website established for the
GTV Media Group Fair Fund at www.GTVMediaGroupFairFund.com. 2
Questions? Visit www.GTVMediaGroupFairFund.com,
Call toll-free 866-853-5013 or email [email protected]
11 本方案通知使用但未在本通知中另行定义的任何英文首字母大写术语,均具有分配方案所赋予的含义;分配方案可在GTV传媒集团公平基金专设网站www.GTVMediaGroupFairFund.com查阅。 2如有疑问,请访问www.GTVMediaGroupFairFund.com,拨打免费电话866-853-5013,或发送电子邮件至[email protected]
原第 6 段
1The information contained in this Plan Notice is only a summary. 2 More detailed information and important
documents can be found on the website dedicated to this matter at www.GTVMediaGroupFairFund.com
(the “Distribution Website”).
1本方案通知所载信息仅为摘要。 2更详细的信息及重要文件可在本案专设网站www.GTVMediaGroupFairFund.com(“分配网站”)查阅。
原第 7 段
1Please Note: Receipt of this Plan Notice does not mean you are eligible to receive a Distribution
Payment; eligibility will be determined in accordance with the Commission-approved Distribution
Plan (the “Plan”) upon receipt of your Claim Form and necessary documentation.
1请注意:收到本方案通知并不表示您有资格获得分配款;收到您的索赔表及必要证明文件后,将依照美国证券交易委员会批准的分配方案(“方案”)确定您的资格。
原第 8 段
1PLEASE READ THIS NOTICE CAREFULLY AND IN ITS ENTIRETY BECAUSE YOU MAY BE
ELIGIBLE FOR COMPENSATION FROM THE GTV MEDIA GROUP FAIR FUND. 2 THIS NOTICE
CONTAINS IMPORTANT INFORMATION REGARDING YOUR POTENTIAL ELIGIBILITY TO
SHARE IN THE GTV MEDIA GROUP FAIR FUND.
1请仔细阅读本通知全文,因为您可能有资格从GTV传媒集团公平基金获得赔偿。 2本通知载有关于您是否可能有资格参与GTV传媒集团公平基金分配的重要信息。
Background
背景
The Administrative Proceeding
行政程序
原第 9 段
1On September 13, 2021, the U.S. Securities and Exchange Commission (“SEC”) issued the Order instituting
and simultaneously settling cease-and-desist proceedings against the Respondents GTV Media Group
(“GTV”), Saraca Media Group (“Saraca”), and Voice of Guo Media, Inc. 2 In the Order, the SEC found that
from approximately April 2020 through June 2020, Respondents generally solicited thousands of
individuals to invest in the GTV Stock offering. 3 The SEC further found that during the same period, GTV
and Saraca (“the G Entities”) also solicited individuals to invest in the Digital Asset offering. 4 As a result
of these two unregistered securities offerings, whose proceeds were commingled, Respondents collectively
raised approximately $487 million from more than 5,000 investors, including individuals in the United
States.
12021年9月13日,美国证券交易委员会(“SEC”)发布命令,对被申请人GTV Media Group(“GTV”)、Saraca Media Group(“Saraca”)及Voice of Guo Media, Inc.启动停止令程序,并同时达成和解。 2美国证券交易委员会在命令中认定,约在2020年4月至2020年6月期间,被申请人广泛招揽数千名个人投资于GTV股票发行。 3美国证券交易委员会进一步认定,同期GTV与Saraca(“G实体”)还招揽个人投资于数字资产发行。 4通过这两次未经注册且募集款项相互混同的证券发行,被申请人共向5,000余名投资者募集约487,000,000美元,其中包括美国境内的个人投资者。
原第 10 段
1Respondents disseminated information about the two offerings to the general public through publicly
available videos on the G Entities’ websites, as well as on social media platforms such as YouTube and
Twitter. 2 With respect to the GTV Stock offering, Respondents provided prospective investors with access
to Google Drives that contained investment agreements and wire instructions for investors to send funds to
purchase securities. 3 The G Entities also solicited investments in the Digital Asset offering on the G Entities’
public websites, social media platforms, and mobile applications.
1被申请人通过G实体网站上公开发布的视频,以及YouTube、Twitter等社交媒体平台,向公众传播有关这两次发行的信息。 2就GTV股票发行而言,被申请人向潜在投资者开放存有投资协议及电汇指示的Google云端硬盘,供投资者汇款购买证券。 3G实体还在其公开网站、社交媒体平台及移动应用程序上招揽数字资产发行投资。
原第 11 段
1The G Entities promoted the purchase of the Digital Assets as an investment with a likelihood of significant
returns based on the G Entities’ ability to develop an online platform through which investors would be
able to transact using either G-Coins or G-Dollars. 2 The G Entities had not developed or distributed the
Digital Assets or a platform that would allow users to transact with or sell digital assets.
1G实体将购买数字资产宣传为可能获得丰厚回报的投资,依据是G实体有能力开发一个在线平台,使投资者能够使用G-Coins或G-Dollars进行交易。 2G实体并未开发或分发这些数字资产,也未开发或发布可供用户交易或出售数字资产的平台。
The GTV Media Group Fair Fund, the Tax Administrator, and the Fund Administrator
GTV传媒集团公平基金、税务管理人及基金管理人
原第 12 段
1The SEC collectively ordered the Respondents to pay $486,745,063 in disgorgement, $17,688,365 in
prejudgment interest, and $35,000,000 in civil money penalties, for a total of $539,433,428, to the SEC. 2
The SEC also created the Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, so the
penalties paid, along with the disgorgement and interest paid, can be distributed to harmed investors.
1美国证券交易委员会命令被申请人向其合计吐出非法所得486,745,063美元,并支付判决前利息17,688,365美元及民事罚款35,000,000美元,共计539,433,428美元。 2美国证券交易委员会还依据《2002年萨班斯—奥克斯利法》第308(a)条设立公平基金,以便将已缴纳的罚款连同已支付的吐出非法所得及利息分配给受损投资者。
原第 13 段
1To date, the Respondents have paid a total of $455,439,194.49. 2 Any additional funds collected from the
Respondents, pursuant to the Order will be added to the Fair Fund. 3 The Fair Fund has been deposited at
the United States Department of the Treasury’s Bureau of the Fiscal Service (“BFS”) for investment.
1截至本通知发布时,被申请人已共计支付455,439,194.49美元。 2根据命令向被申请人收取的任何额外款项,均将纳入公平基金。 3公平基金已存放于美国财政部财政服务局(“BFS”)进行投资。
原第 14 段
1 2
Questions? Visit www.GTVMediaGroupFairFund.com
Call toll-free 866-853-5013 or email [email protected]
12
如有疑问,请访问www.GTVMediaGroupFairFund.com,拨打免费电话866-853-5013,或发送电子邮件至[email protected]
原第 15 段
1On October 14, 2021, the SEC appointed Miller Kaplan Arase LLP as the tax administrator (the “Tax
Administrator”) for the Fair Fund to handle the tax obligations of the Fair Fund.2 2 The Tax Administrator
will be compensated for reasonable fees and expenses from the Fair Fund in accordance with its 2019-2021
Engagement Letter Agreement with the SEC.
12021年10月14日,美国证券交易委员会指定Miller Kaplan Arase LLP为公平基金的税务管理人(“税务管理人”),负责处理公平基金的纳税义务。² 2税务管理人的合理费用及开支,将依照其与美国证券交易委员会签订的2019—2021年聘任函协议,从公平基金中支付。
原第 16 段
1On November 23, 2021, the SEC appointed JND Legal Administration (“JND”), as the fund administrator
for the Fair Fund (the “Fund Administrator”), and the Fund Administrator has obtained a bond in the amount
of $455,439,194.49, as ordered.3 2 Pursuant to Rule 1105(a) of the SEC’s Rules, 17 C.F.R. § 201.1105(a),
the Fund Administrator may be removed at any time by order of the SEC or hearing officer.
12021年11月23日,美国证券交易委员会指定JND Legal Administration(“JND”)为公平基金的基金管理人(“基金管理人”),基金管理人已按命令要求取得金额为455,439,194.49美元的担保。³ 2依据美国证券交易委员会规则第1105(a)条,即《联邦法规汇编》第17编第201.1105(a)条,美国证券交易委员会或听证官可随时发布命令解除基金管理人的职务。
The Plan
方案
原第 17 段
1The Plan provides for the distribution of the Fair Fund, comprised of disgorgement, prejudgment interest,
and civil money penalties paid by GTV Media Group, Inc. (“GTV”), Saraca Media Group, Inc. (“Saraca”
and together with GTV, the “G Entities”), and Voice of Guo Media, Inc. (“VOG”) (collectively, the
”Respondents”) in the above-captioned matter.
1本方案规定了公平基金的分配办法,该基金由GTV Media Group, Inc.(“GTV”)、Saraca Media Group, Inc.(“Saraca”,与GTV合称“G实体”)及Voice of Guo Media, Inc.(“VOG”)(合称“被申请人”)在上述案件中支付的吐出非法所得、判决前利息及民事罚款组成。
原第 18 段
1On April 7, 2022, the SEC approved the Plan. 2 The approved Distribution Plan is available on the
Distribution Website at www.GTVMediaGroupFairFund.com as well as on the SEC public webpage for
this matter, https://www.sec.gov/divisions/enforce/claims/gtv-media-group.htm.
12022年4月7日,美国证券交易委员会批准了本方案。 2已获批准的分配方案可在分配网站www.GTVMediaGroupFairFund.com及美国证券交易委员会本案公开网页https://www.sec.gov/divisions/enforce/claims/gtv-media-group.htm查阅。
Who May Be Eligible for a Distribution?
哪些人可能有资格获得分配款?
原第 19 段
1If you invested in one of the securities listed in the chart on page 1 of this notice, during the corresponding
Relevant Period(s); are not an Excluded Party as defined in the Plan; and suffered a loss according to the
Plan, you may be eligible for a distribution from the GTV Media Group Fair Fund.
1如果您在相应相关期间内投资了本通知第1页表格所列的一种证券,不属于方案定义的排除对象,且按方案规定遭受了损失,您可能有资格从GTV传媒集团公平基金获得分配款。
原第 20 段
1To be considered for a Distribution Payment, you must timely submit a completed and signed Claim Form
including adequate documentation for claimed transactions. 2 If you believe you may be eligible for a
distribution and are not an Excluded Party (see below), you should timely submit a completed and signed
Claim Form.
1如需接受获得分配款的资格审查,您必须及时提交填写完整并已签署的索赔表,且须就申报的交易附上充分的证明文件。 2如您认为自己可能有资格获得分配款,且不属于排除对象(见下文),应及时提交填写完整并已签署的索赔表。
原第 21 段
1“Excluded Parties” are defined in paragraph 17 of the Plan as follows and are not eligible to receive a
distribution from the GTV Media Group Fair Fund:
1方案第17段将“排除对象”定义如下,该等对象无资格从GTV传媒集团公平基金获得分配款:
原第 22 段
1 (a) The Respondents;
1(a) 被申请人;
原第 23 段
1 (b) Present or former officers or directors of the Respondents or any assigns,
creditors, heirs, distributees, spouses, parents, dependent children or controlled
entities of any of the foregoing persons or entities;
1(b) 被申请人的现任或前任高级管理人员或董事,或上述任何个人或实体的受让人、债权人、继承人、遗产受分配人、配偶、父母、受抚养子女或受其控制的实体;
原第 24 段
1 (c) Any employee or former employee of the Respondents or any of its affiliates
1(c) 被申请人或其任何关联方中符合下述情形的雇员或前雇员:
原第 25 段
12
See Order Appointing Tax Administrator, Exchange Rel. No. 93313 (Oct. 14, 2021). 2
3
See Order Appointing Fund Administrator and Setting Administrator’s Bond Amount, Exchange Act Rel. No.
93666 (Nov. 23, 2021)
3
Questions? Visit www.GTVMediaGroupFairFund.com
Call toll-free 866-853-5013 or email [email protected]
12 见《指定税务管理人的命令》,《证券交易法》公告第93313号(2021年10月14日)。 23 见《指定基金管理人并确定管理人担保金额的命令》,《证券交易法》公告第93666号(2021年11月23日)
3
如有疑问,请访问www.GTVMediaGroupFairFund.com,拨打免费电话866-853-5013,或发送电子邮件至[email protected]
原第 26 段
1 who has been terminated for cause or has otherwise resigned, in connection with
the conduct described in the Order;
1因与命令所述行为有关的事由而被解雇或自行辞职;
原第 27 段
1 (d) Any Person who, as of the Claims Bar Date, has been the subject of criminal
charges related to the conduct described in the Order or any related Commission
action;
1(d) 截至索赔截止日,已因与命令所述行为或美国证券交易委员会任何相关行动有关的事项受到刑事指控的任何人;
原第 28 段
1 (e) Any firm, trust, corporation, officer, or other entity in which Respondents have or
had a controlling interest;
1(e) 被申请人拥有或曾经拥有控制性权益的任何商号、信托、公司、高级管理人员或其他实体;
原第 29 段
1 (f) The Fund Administrator, its employees, and those persons assisting the Fund
Administrator in its role as the Fund Administrator; or
1(f) 基金管理人、其雇员,以及协助基金管理人履行基金管理人职责的人员;或
原第 30 段
1 (g) Any purchaser or assignee of another Person’s right to obtain a recovery from the
Fair Fund for value; provided, however, that this provision shall not be construed
to exclude those Persons who obtained such a right by gift, inheritance or devise.
1(g) 有偿购买或受让他人从公平基金获得赔偿之权利的任何人;但本项规定不得解释为排除因赠与、继承或遗嘱遗赠而取得该项权利的人。
Allocation of the GTV Media Group Fair Fund
GTV传媒集团公平基金的分配计算
原第 31 段
1A Plan of Allocation has been prepared that provides the formula by which Distribution Payments will be
determined (See Exhibit A of the Plan). 2 The Net Available Fair Fund will be distributed to Eligible
Claimants in accordance with that Plan of Allocation.
1现已编制分配计算方案,载明用于确定分配款的计算公式(见方案附件A)。 2公平基金可用净额将依照该分配计算方案分配给合格索赔人。
原第 32 段
1All Distribution Payments will be subject to a “Minimum Distribution Amount” - if a Potential Claimant’s
Distribution Payment is less than $10.00, that Potential Claimant will not receive a Distribution Payment
and the funds will be distributed to Eligible Claimants whose Distribution Payments are equal to or greater
than $10.00. 2 See Exhibit A of the Plan.
1所有分配款均须符合“最低分配金额”要求:如某潜在索赔人的分配款低于10.00美元,则该潜在索赔人不会收到分配款,该款项将分配给分配款达到或超过10.00美元的合格索赔人。 2见方案附件A。
Claim Form
索赔表
原第 33 段
1Your Claim Form may be submitted online, by First Class Mail, or other delivery. 2 A paper Claim Form
has been included with this Plan Notice. 3 If you require additional copies of the Claim Form, you may
obtain them from the Distribution Website.
1您的索赔表可在线提交,也可通过美国一类邮件或其他递送方式提交。 2本方案通知已附纸质索赔表。 3如需索赔表的额外副本,可从分配网站获取。
原第 34 段
1Your completed and signed Claim Form, including adequate supporting documentation, must be submitted
online no later than 11:59 p.m. PST on the Claims Bar Date. 2 following the directions at
www.GTVMediaGroupFairFund.com. 3 Alternatively, you may submit your completed and signed Claim
Form by First Class Mail, postmarked by the Claims Bar Date or, if not sent by First Class Mail,
received by the Fund Administrator by the Claims Bar Date. 4 Mailed and/or otherwise physically
delivered Claim Forms should be directed to the following address:
1您必须最迟于索赔截止日太平洋标准时间(PST)晚上11:59在线提交填写完整并已签署的索赔表及充分的证明文件。 2请按www.GTVMediaGroupFairFund.com的指示办理。 3您也可通过美国一类邮件寄送填写完整并已签署的索赔表,邮戳日期不得晚于索赔截止日;如采用美国一类邮件以外的方式,则须于索赔截止日或之前送达基金管理人。 4邮寄和/或以其他实物递送方式提交的索赔表,应寄送至以下地址:
原第 35 段
1 GTV Media Group Fair Fund
c/o JND Legal Administration
PO Box 91403
Seattle, WA 98111
1GTV传媒集团公平基金
由JND Legal Administration转交
91403号邮政信箱
华盛顿州西雅图市,邮政编码98111
原第 36 段
1If you fail to timely submit a completed and signed Claim Form by the deadline, you may be barred from
receiving a payment from the GTV Media Group Fair Fund. 2 The Claim Form must be accompanied by
adequate supporting documentation for each transaction listed in the Claim. 3 You will be responsible for
demonstrating timely submission of your Claim Form.
1如未能在截止期限前及时提交填写完整并已签署的索赔表,您可能无法从GTV传媒集团公平基金获得款项。 2索赔表必须附有足以证明表中所列每笔交易的文件。 3您须负责证明已及时提交索赔表。
原第 37 段
1 4
Questions? Visit www.GTVMediaGroupFairFund.com
Call toll-free 866-853-5013 or email [email protected]
14
如有疑问,请访问www.GTVMediaGroupFairFund.com,拨打免费电话866-853-5013,或发送电子邮件至[email protected]
原第 38 段
1If you submit a Claim Form that fails to provide all required information, or is otherwise deficient, you may
receive a Claim Status Notice advising you of the reason(s) why the claim is deficient and providing to you
an opportunity to cure such deficiencies.
1如您提交的索赔表未提供全部必要信息,或存在其他缺漏,您可能会收到索赔状态通知,告知索赔存在缺漏的原因,并给予您补正的机会。
Additional Information
其他信息
原第 39 段
1Additional information regarding the GTV Media Group Fair Fund, including the Distribution Plan, the
Plan Notice, the Claim Form, relevant deadlines, and related materials are available on the Distribution
Website at www.GTVMediaGroupFairFund.com. 2 You may obtain additional information or request copies
of the Claim Form by contacting the Fund Administrator toll-free at 866-853-5013, emailing
[email protected], or writing to:
1有关GTV传媒集团公平基金的其他信息,包括分配方案、方案通知、索赔表、相关截止日期及有关材料,可在分配网站www.GTVMediaGroupFairFund.com查阅。 2您可拨打免费电话866-853-5013,发送电子邮件至[email protected],或致函以下地址联系基金管理人,以获取更多信息或索取索赔表副本:
原第 40 段
1 GTV Media Group Fair Fund
c/o JND Legal Administration
PO Box 91403
Seattle, WA 98111
1GTV传媒集团公平基金
由JND Legal Administration转交
91403号邮政信箱
华盛顿州西雅图市,邮政编码98111
原第 41 段
1 PLEASE CHECK THE WEBSITE WWW.GTVMEDIAGROUPFAIRFUND.COM FOR UPDATES
1请访问网站WWW.GTVMEDIAGROUPFAIRFUND.COM查看更新信息
原第 42 段
1 5
Questions? Visit www.GTVMediaGroupFairFund.com
Call toll-free 866-853-5013 or email [email protected]
15
如有疑问,请访问www.GTVMediaGroupFairFund.com,拨打免费电话866-853-5013,或发送电子邮件至[email protected]