Institutional Filers

The electronic filing template is available to institutions, nominees, and third parties that file on behalf of
themselves or their clients. All submissions must be made in the required format, which can be found

Electronic filing is not for use by individual class members. Individual class members should use the
online or paper version of the claim form.

Representative filers should submit one, or several, umbrella spreadsheets which contain the information
for multiple persons and institutional accounts that constitute distinct legal entities. All representative
filers must submit an umbrella claim form as well as proof of authority to file along with the electronic
filing template.

Unless stated otherwise in the Court Documents, the transactions and holdings should be reported in the
electronic file so that each resulting claim corresponds to a single legal entity, regardless of the number of individually managed accounts the legal entity has, as only one claim will be processed per legal entity
(e.g. a representative filer reporting the transactions for a fund with multiple sub-accounts should report
one total holding at the start of the settlement class period, one total holding at the end of the settlement class period, and a single set of transactions that includes all transactions made by the legal entity across their sub-accounts; this would constitute and be processed as a single claim). If the data cannot be combined in this fashion for any reason, please notify the claims administrator so that appropriate measures can be taken.

The Claims Administrator reserves the right to combine a legal entity’s accounts into a single claim prior
to processing if a legal entity’s accounts are divided across multiple claims when submitted by a
representative filer. The Claims Administrator also reserves the right to request additional documentary
proof regarding a legal entity’s transactions and holdings to prove and accurately process the Claim.

Listed below are the mandatory electronic filing requirements for the electronic spreadsheet:

  • Completed and signed proof of claim form;
  • Proof of authority to file, must be signed by client or representative from the underlying institution;
  • List of beneficial owners for all accounts (include social security number/taxpayer identification number), this can be included within the electronic filing template;
  • Completed electronic spreadsheet.

Any electronic file submission not in accordance with the documentation and electronic filing format
requirements will be subject to rejection. Additional information regarding the submission may be
requested from the Claims Administrator prior to distribution. The information requested may include,
but is not limited to, backup documentation issued by the brokerage firm or institution on behalf of
transactions conducted for the beneficial owners, or such comparable backup documentation as the
Claims Administrator may accept.

Please allow three business days for the Claims Administrator to confirm the submission was received.
The submission will not be considered properly submitted until confirmed by the Claims Administrator.
For additional questions regarding the electronic filing process or template, please contact our office by
phone at 866-274-4004 or by email at

For auditing and security purposes: If you are an institution, nominee, or third party and are filing via email, the required information must be sent to Submissions sent to a different email address will not be processed nor confirmed by the Claims Administrator.