GENERAL INSTRUCTIONS
1. To recover as a member of the Settlement Class based on your claims in the action entitled Shahsavanpour v. Marex Group plc, et al., No. 1:25-cv-08393-SDA (S.D.N.Y.) (the “Action”), you must complete and sign this Proof of Claim and Release Form (“Claim Form”). If you fail to submit a timely and properly addressed Claim Form, your claim may be rejected and you may not receive any recovery from the Net Settlement Fund created in connection with the proposed Settlement.
2. Submission of this Claim Form does not ensure that you will share in the proceeds of the Settlement.
3. THIS CLAIM FORM MUST BE SUBMITTED ONLINE BY CLICKING NEXT BELOW AND FOLLOWING ALL THE INSTRUCTIONS NO LATER THAN 11:59 P.M. EASTERN TIME ON JANUARY 11, 2027, OR, IF MAILED, BE POSTMARKED NO LATER THAN JANUARY 11, 2027, ADDRESSED AS FOLLOWS: Marex Securities Litigation, c/o Strategic Claims Services, P.O. Box 230, 600 N. Jackson St., Suite 205, Media, PA 19063. An electronic signature or typed name submitted with an online Claim Form, together with the certifications below, shall have the same force and effect as an original handwritten signature.
4. Do not mail or deliver your Claim Form to the Court, the Parties, or their respective counsel. Submit your Claim Form only to the Claims Administrator.
5. If you are a member of the Settlement Class and you do not timely and validly request exclusion, you will be bound by the terms of any judgment entered in the Action, including the releases provided therein, WHETHER OR NOT YOU SUBMIT A CLAIM FORM OR RECEIVE A PAYMENT.
CLAIMANT IDENTIFICATION
1. You are a Member of the Settlement Class if you purchased or otherwise acquired Marex Group plc (“Marex”) Ordinary Shares on the Nasdaq Global Select Market or in another domestic transaction from November 7, 2024 through August 5, 2025, inclusive (“Settlement Class Period”), and were allegedly damaged thereby. If you purchased and held the Marex Ordinary Shares in your name, you are the beneficial owner as well as the record owner. If, however, you purchased or otherwise acquired Marex Ordinary Shares on the Nasdaq Global Select Market or in another domestic transaction during the Settlement Class Period through a third party, such as a brokerage firm, you are the beneficial owner and the third party is the record owner.
2. Use this part of this form to identify each beneficial owner of the Marex Ordinary Shares that form the basis of this claim, as well as the record owner if different. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL OWNER(S) OR THE LEGAL REPRESENTATIVE OF SUCH OWNER(S).
3. All joint owners must sign this claim. Executors, administrators, guardians, conservators, and trustees must complete and sign this claim on behalf of the persons they represent; their authority must accompany this claim, and their titles or capacities must be stated. The last four digits of the Social Security (or Taxpayer Identification) Number and the telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in its rejection.
IDENTIFICATION OF TRANSACTIONS
1. Use this part of this form to supply all required details of your transactions in and holdings of Marex Ordinary Shares.
2. Provide all of the requested information with respect to all of your holdings, purchases, acquisitions, and sales of Marex Ordinary Shares from the opening of trading on November 7, 2024 through and including the close of trading on October 31, 2025 (the last trading day on or before November 2, 2025), whether or not the transactions resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim.
3. The date of covering a “short sale” is deemed to be the date of purchase or acquisition of the shares, and the date of a “short sale” is deemed to be the date of sale of the shares.
4. Copies of broker confirmations, broker account statements, or other documentation of your transactions in Marex Ordinary Shares must be attached to your claim. Failure to provide this documentation could delay verification of your claim or result in its rejection. THE PARTIES DO NOT HAVE INFORMATION ABOUT YOUR TRANSACTIONS.
5. NOTICE REGARDING INSTITUTIONAL FILERS: Representatives with authority to file on behalf of (a) accounts of multiple Settlement Class Members and/or (b) institutional accounts with large numbers of transactions (“Representative Filers”) must submit information regarding their transactions in an electronic spreadsheet format. If you are a Representative Filer, you must contact the Claims Administrator at efile@strategicclaims.net or visit the Settlement website at www.strategicclaims.net/Marex/ to obtain the required file layout. Claims which are not submitted in electronic spreadsheet format and in accordance with the Claims Administrator’s instructions may be subject to rejection. All Representative Filers MUST also submit a manually signed Claim Form, as well as proof of authority to file, along with the electronic spreadsheet format. No claims submitted in electronic spreadsheet format will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data.
6. NOTICE REGARDING ONLINE FILING: Claimants who are not Representative Filers may submit their claims online using the electronic version of the Claim Form by clicking Next below and following all the instructions. If you are not acting as a Representative Filer, you do not need to contact the Claims Administrator prior to filing; you will receive an automated e-mail confirming receipt once your Claim Form has been submitted. If you are unsure if you should submit your claim as a Representative Filer, please contact the Claims Administrator at info@strategicclaims.net or (866) 274-4004. If you are not a Representative Filer, but your claim contains a large number of transactions, the Claims Administrator may request that you also submit an electronic spreadsheet showing your transactions to accompany your Claim Form.