Nominee - Filing Instructions

If you purchased Puda Coal common stock or call options, or sold Puda Coal put options during the period from December 8, 2010 through and including April 11, 2011, for the beneficial interest of an individual or entity other than yourself, then within ten (10) calendar days of your receipt of the Joint Notice, you must either:

  1. Provide the Claims Administrator with a list of the names and last known addresses of the beneficial owners described above; or
  2. Request from the Claims Administrator sufficient copies of the Joint Notice Packet to forward to all such beneficial owners and, within ten (10) calendar days of receipt of those copies, forward the Joint Notice Packet to such beneficial owners.

If you are providing a list of names and addresses to the Distribution Agent/Claims Administrator:

  1. Compile a list of names and addresses of the beneficial owners that purchased Puda Coal common stock or call options, or sold Puda Coal put options during the period from December 8, 2010 through and including April 11, 2011.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must either:

    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      Macquarie Capital Fair Fund / Puda Coal Securities Litigation
      Claims Administrator
      PO Box 2838
      Portland, OR 97208-2838

    2. Email the spreadsheet to info@pudacoalfund.com; or
    3. Upload the spreadsheet here

If you are mailing the Joint Notice Packet to beneficial owners:

Request the needed number of copies of the Notice Packet via email to info@pudacoalfund.com. You must mail the Joint Notice Packets to the beneficial owners within ten (10) calendar days of your receipt of the Joint Notice Packets.

If you have any questions, contact the Claims Administrator at info@pudacoalfund.com or by calling 1-877-276-7324.

If you are filing electronic claims:

A nominee may also submit a Proof of Claim Form on behalf of multiple clients who are beneficial owners by following the instructions below.

PLEASE NOTE: you must file separate master Proofs of Claim for the Class Action and for the Fair Fund if you would like to participate in both.

Click here to download the Fair Fund Proof of Claim Form.

Click here to download the Class Action Proof of Claim Form.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Proof of Claim Form(s) and completed spreadsheet online here.

Important Dates

For both the Fair Fund
and the Class Action:
  • May 13, 2016
    Claim Filing Deadline

For only the Class Action:
  • May 13, 2016
    Filing Deadline for requests for Exclusion
  • May 13, 2016
    Filing Deadline for Objections
  • June 17, 2016 at 11:00 a.m.
    The Settlement Hearing

For only the MSPC Settlement:
  • April 19, 2017
    Filing Deadline for requests for Exclusion
  • April 19, 2017
    Filing Deadline for Objections
  • May 10, 2017 at 10:30 am
    The Settlement Hearing