1.

COMPLETE AND SIGN A MASTER PAPER CLAIM FORM.

A.

IF YOU ARE A NOMINEE filing on behalf of your account holders, you must include the following documentation:

i.

Affidavit attesting that your entity has legal rights and authorization from your account holders to file claims on their behalf and that your account holders understand that they are bound by and subject to the terms of all releases that may be entered in this litigation; and

ii.

Authorization to sign on your account holders’ behalf.

B.

IF YOU ARE A THIRD PARTY filing on behalf of a nominee, you must include the following documentation:

i.

Affidavit attesting that your entity has legal rights and authorization from the nominee to file claims on its behalf;

ii.

Affidavit attesting that your entity has legal rights and authorization from the nominee’s account holders to file claims on their behalf and that the account holders understand that they are bound by and subject to the terms of all releases that may be entered in this litigation; and

iii.

Authorization to sign on the account holders’ behalf.

C.

IF YOU ARE NOT A NOMINEE OR A THIRD PARTY AND WOULD LIKE TO FILE CLAIMS ELECTRONICALLY, YOU MUST INCLUDE BROKERAGE STATEMENTS SUPPORTING ALL TRANSACTIONAL DATA OF YOUR CLAIM.

2.

PREPARE A DATA FILE according to the case-specific electronic filing guidelines.  The following formats are acceptable: a) MEDIA—CD, DVD, and 3.5” FLOPPY DISKETTE (submission by email must have prior authorization from the claims supervisor and must be confirmed by email); and b) DATA—ASCII, MS Excel, MS Access, and dBase.

If you cannot provide the information in the aforementioned formats, have questions, or would like to make special arrangements, please email efiling@abdata.com.

3.

PREPARE A COVER LETTER on letterhead, based on the sample below.

Letterhead
Re: CASE NAME
Date

Enclosed is a fully executed Proof of Claim and Release form with required authorizations and affidavits as well as an electronic media attachment, which is being filed in connection with [LITIGATION] on behalf of [COMPANY(S) OR INDIVIDUAL NAME(S)] for the proprietary accounts of [ENTITY].

The attachment consists of a [CD, DVD, or 3.5" FLOPPY DISKETTE] containing [NUMBER] accounts/claims in [ASCII, MS EXCEL, MS ACCESS, or DBASE] format with [NUMBER OF TRANSACTIONS] transactions for [SECURITY INSTRUMENT(S)], as well as all the positions for [ENTITY]’s proprietary accounts. Each transaction contains corresponding account information for which the claims are being filed.

The total number of [SECURITY INSTRUMENT(S)] purchased [##.##] for the amount of [$0.00] and [SECURITY INSTRUMENT(S)] sold [##.##] for the amount of [$0.00]^[1] can be found on the enclosed [CD, DVD, or 3.5" FLOPPY DISKETTE].

We, [ENTITY], attest that the data provided on the media attachment corresponds to [ENTITY]’s internal records.

I attest that the above information is true and correct.

Signature
Company Name
Job Title

Contact Information (including telephone number, fax number, and email address)

^[1] Please list all other transactions, if applicable.

4.

MAIL your executed paper master Proof of Claim and Release form with a cover letter and a media format to: