Institutional Filers

Institutions, brokers, and nominees with large numbers of transactions or clients may request, or may be requested, to submit information regarding their transactions in electronic file format. This includes institutional filers who file for multiple accounts under one master proof of claim. Electronic filing is not for use by individual class members. Listed below are the mandatory electronic filing requirements and a link to the Excel template for the electronic spreadsheet.

  • Completed and signed Proof of Claim Form;
  • Proof of Authority to file;
  • Cover letter listing the number of accounts and number of transactions on your spreadsheet;
  • List of beneficial owners for all accounts (include social security number/taxpayer identification number);
  • Completed electronic spreadsheet, the template for which can be found here.

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 at any time. The information requested may include, but is not limited to, backup documentation issued by the brokerage 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

If you are an institution, broker, and/or nominee and are filing via email, please send the required information above to