Online Claim Form

Submit a claim for the Commodity Exchange – Gold Futures and Options Trading Litigation

Claim Form

PART I. CLAIMANT IDENTIFICATION

Complete Section A or B and then Section C. Please type or print.

A. Complete this Section ONLY if the Beneficial Owner is an individual, joint individual owners, UGMA, UTMA or IRA account. Otherwise, proceed to Section B.

B. Complete this Section ONLY if the Beneficial Owner is an Entity; i.e., corporation, trust, estate, etc. Then, proceed to Section C.

C. Account/Mailing Information:

Please enter your email address if you would like an email confirmation of your claim filing sent to you.

PART II: SCHEDULE OF GOLD TRANSACTIONS

1. FIX-LINKED TRANSACTIONS: “Fix-Linked Transaction” means a contract of any of the gold-related transaction types listed in the definition of Settlement Class, where the price is expressly linked to the London PM Gold Market Fixing. List all transaction amounts (adding all purchase premiums for put options, sales premiums for call options, and all sales amounts for all other transactions, see the “Frequently Asked Question” section of the settlement website) that you had annually by year from January 1, 2004 through June 30, 2013 inclusive on the lines below (must be documented).

• DO NOT INCLUDE POSITIONS THAT WERE OPENED AND CLOSED IN THE SAME DAY.

• DO NOT INCLUDE TRANSACTIONS THAT DID NOT OCCUR IN THE UNITED STATES OR ON AN EXCHANGE IN THE UNITED STATES.

• Do not include transactions in shares of Gold ETFs.

Year of Transaction(s) Annual Transaction Amount in US $* Type of Supporting Documentation Used to Calculate My Claim

*If your transaction was denominated in a currency other than U.S. Dollar, convert the transactional amount into U.S. dollars using the historical exchange rate for the applicable currency as close to the date of your transaction as is reasonably possible.

2. Non-ETF Other Transactions: “Other Transaction” means a contract of any of the gold-related transaction types listed in the definition of Settlement Class, including in the appropriate direction (i.e., buy or sell), that is not a Fix-Linked Transaction. Submissions for Other Transactions tied to shares of gold ETFs are to be separately stated in table 3 further below. In this table 2, list all non-ETF share Other Transaction amounts (adding all purchase premiums for put options, sale premiums for call options, and all sale amounts for all other transactions, see the “Frequently Asked Question” section of the settlement website) that you had annually by year from January 1, 2004 through June 30, 2013 inclusive on the lines below (must be documented).

• DO NOT INCLUDE POSITIONS THAT WERE OPENED AND CLOSED IN THE SAME DAY.

• DO NOT INCLUDE TRANSACTIONS THAT DID NOT OCCUR IN THE UNITED STATES OR ON AN EXCHANGE IN THE UNITED STATES.

• Do not include transactions in shares of Gold ETFs.

Year of Transaction(s) Annual Transaction Amount in US $* Type of Supporting Documentation Used to Calculate My Claim

3. ETF OTHER TRANSACTIONS: For all shares in the gold ETFs “GLD” or “IAU,” list all sale amounts that you had annually by year from January 1, 2004 through June 30, 2013 inclusive on the lines below (must be documented). If you believe other ETF shares should qualify as “gold ETFs” as described in footnote 1 of the Plan of Allocation, please contact the Claims Administrator.

• DO NOT INCLUDE POSITIONS THAT WERE OPENED AND CLOSED IN THE SAME DAY.

• DO NOT INCLUDE TRANSACTIONS THAT DID NOT OCCUR IN THE UNITED STATES OR ON AN EXCHANGE IN THE UNITED STATES.

• ONLY INCLUDE TRANSACTIONS FOR “GLD” OR “IAU” ETFS BELOW.

Year of Transaction(s) Annual Transaction Amount in US $* Type of Supporting Documentation Used to Calculate My Claim

PART III: CLAIMANT CERTIFICATION

1. I (We) submit this Proof of Claim form under the terms of the Plan of Allocation of Net Settlement Fund described in the Notice of Proposed Class Action Settlement and Class Members’ Rights.

2. I (We) also submit to the jurisdiction of the United States District Court for the Southern District of New York (the “Court”), with respect to my (our) claim as a Settlement Class Member(s) and for purposes of enforcing the releases set forth herein.

3. I (We) further acknowledge that I (we) will be bound by the terms of any judgment entered in connection with the Settlement in the In re Commodity Exch., Inc., Gold Futures and Options Trading Litigation Action, including the releases set forth therein.

4. I (We) have read the Notice and Proof of Claim and Release Form, including the descriptions of the releases provided for in the Settlement Agreements.

5. I (We) am (are) a member of the Settlement Class(es), and am (are) not one of the individuals or entities excluded from the Settlement Classes.

6. I (We) have not submitted a request for exclusion.

7. I (We) have made the transactions included in the data submitted with this Proof of Claim and Release Form, and have not assigned the claims against the Released Parties to another.

8. I (We) agree to furnish additional information to the Claims Administrator to support this claim, such as additional documentation for Fix-Linked or Other Transactions if requested to do so, and acknowledge failure to do so may result in a denial of my (our) claim.

9. I (We) have not submitted any other claim covering the same gold transactions and know of no other person having done so on my (our) behalf.

10. I (We) certify that I am (we are) not subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code. Note: If you have been notified by the Internal Revenue Service that you are subject to backup withholding, please strike out the language that you are not subject to backup withholding.

11. I (We) hereby warrant and represent that all the transactions listed above occurred in the United States.

12. I (We) acknowledge that, as of the effective date of the Settlements, pursuant to the terms set forth in the Settlement Agreements and by operation of law and the Final Judgments and Orders of Dismissal, I (we) shall be deemed to have, fully, finally, and forever, waived, released, relinquished, and discharged all Released Claims (as defined in the Settlement Agreements), and shall forever be enjoined from prosecuting any or all of the Released Claims against any of the Released Parties (as defined in the Settlement Agreements).

13. By submitting a claim under the Settlements, I (we) consent to the disclosure of and waive any protections provided by applicable bank secrecy law, data privacy law, or any similar confidentiality protections with respect to information relating to my (our) trades in gold and gold instruments to the Court-appointed Claims Administrator and Class Counsel for use in the claims administration process and in further proceedings in the Action against Non-Settling Defendants. I (we) further consent to the release to the Claims Administrator of any and all documents reflecting my transactions or holdings in gold from January 1, 2004 to June 30, 2013, inclusive, that may be obtained from Defendants or third parties, including, but not limited to, my brokerage firm(s).

UNDER PENALTY OF PERJURY UNDER THE LAWS OF THE UNITED STATES OF AMERICA, I (WE) CERTIFY THAT ALL OF THE INFORMATION PROVIDED BY ME (US) ON THE PROOF OF CLAIM AND RELEASE FORM IS TRUE, CORRECT, AND COMPLETE, AND THAT DATA SUBMITTED IN CONNECTION WITH THIS CLAIM FORM ARE TRUE AND CORRECT.

 




This website is authorized by the Court, supervised by counsel and controlled by the Settlement Administrator approved by the Court. This is the only authorized website for this case. Please note, however, that documentation on this site does not include all materials filed in the litigation; a complete set of filed materials are publicly accessible via PACER, the federal court system’s electronic public access portal.

For more information please call 844-271-4787

Documents

Please read for a full explanation of the settlement and your options and all applicable timelines.

Contact

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Submit Claim

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Important Dates

  • Exclusion Deadline.

    Friday, August 6, 2021
    You must complete and mail your request for exclusion so that it is received no later than Friday, August 6, 2021.
  • Objection Deadline.

    Friday, August 6, 2021 You must mail your objection(s) and/or notice of intent to appear at the Final Approval Hearing so that it/they are received no later than Friday, August 6, 2021.
  • Claim Form Deadline.

    Monday, August 23, 2021
    You must submit your Claim Form on-line no later than Monday, August 23, 2021, or mail your completed paper Claim Form so that it is postmarked no later than Monday, August 23, 2021.
  • Fairness Hearing Date.

    Thursday, October 21, 2021

    NOTE THE NEW DATE: Pursuant to Court order dated September 21, 2021, a copy of which is found in the Documents section, the Fairness Hearing is currently scheduled for Wednesday, October 21, 2021 at 10:00 a.m. Please note that this Fairness Hearing schedule differs from that contained in the original Notice. 

Additional Orders Regarding the Timing of Fairness Hearing

Documents Regarding Final Approval of HSBC and Deutsche Bank Settlements

Documents Regarding Motion for Attorneys’ Fees and Litigation Expenses

Documents Regarding Preliminary Approval of Notice and Plan of Allocation

Documents Regarding Preliminary Approval of Deutsche Bank Agreement

Other Documents Regarding the Litigation

Documents Regarding Preliminary Approval of HSBC Agreement

Documents Regarding the Claim Process

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