WAMU 2004 COMMON STOCK LITIGATION - GUIDE FOR ELECTRONIC CLAIM FILERS
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WaMu 2004 Common Stock Litigation
GUIDE FOR ELECTRONIC CLAIM FILERSContents
GUIDE FOR ELECTRONIC CLAIM FILERS ........................................................................................................................................ 1
1. Overview……………………………………………………………………………………………………………………………………………………………………….3
2. Security and Integrity ................................................................................................................................................ ……….3
3. Filing Requirements for the Proof of Claim and Release Form………………………………………………………………………….......………3
4. Additional Requirements ................................................................................................................................................... 4
Appendix
A Control Chart
B WaMu 2004 Common Stock Litigation Template File Layout
C Security Code/Cusip Number Table
Page 2 of 41. Overview
Rust Consulting has standardized a format for the electronic submission of claims in securities settlements by
institutions filing on behalf of multiple clients or proprietary accounts. Electronic Claim Filing is intended for
institutions, brokers and nominees only. This is not used for individual claimants. All Electronic Submissions must
follow the Filing Requirements outlined in sections 3, 4 and 5 of these instructions.
2. Security and Integrity
Security of systems and applications and confidentiality of data is of utmost importance to Rust. Rust maintains a
unified compliance posture including:
A system Certification & Accreditation under the Federal Information Security Management Act (FISMA and NIST);
An annual SSAE 16 (formerly SAS 70) Type II audit of our data and system controls and protocols;
Compliance with and adherence to Safe Harbor Principles; and
Compliance with Gramm-Leach-Bliley Act (GLBA) and the Health Insurance Portability and
Accountability Act (HIPAA).
3. Filing Requirements for the Proof of Claim and Release Form
In addition to the instructions contained in the Notice and Proof of Claim and Release form, you must comply with
ALL of the following or YOUR FILE WILL BE REJECTED.
• You must complete and sign one copy of the Proof of Claim and Release (the “claim form”). The claim form must be
signed by an authorized signatory, and must state the capacity of the person signing. The signed claim form is
required and must be provided with your filing.
• Please note that claims must be submitted for each separate legal entity (for example, a claim from joint owners
should not include separate transactions of just one of the joint owners, and an individual should not combine his or
her IRA transactions with transactions made solely in the individual’s name). Conversely, a single claim form should
be submitted on behalf of one legal entity including all transactions made by that entity, no matter how many
separate accounts that entity has (for example, a corporation with multiple brokerage accounts should include all
covered transactions made during the Class Period on one claim form, no matter in how many accounts the
transactions were made. An accurate beneficial owner name and Tax ID number must be provided for each claim.
• You must submit the control form that is attached with these instructions, Appendix A, along with your Proof of Claim
and Release form. Please fill in all sections on the validation form including the total number of claims you are filing
and the total number of transactions submitted in your file.
• You must submit your Proof of Claim and Release form to the Claim Administrator either electronically through the
Rust Consulting eData Vault https://edatavault.rustconsulting.com or by mailing your filing to Rust Consulting at the
address below:
Page 3 of 4WaMu 2004 Common Stock Litigation
c/o Rust Consulting, Inc.
Claims Administrator
P.O. Box 2493
Faribault, MN 55021‐9193
DO NOT SUBMIT YOUR FILE BY EMAIL OR TO INDIVIDUALS AT RUST CONSULTING. PLEASE ONLY USE THE METHODS
ABOVE TO SUBMIT YOUR ELECTRONIC FILE.
4. Additional Requirements
• ELECTRONIC CLAIM TRANSACTION LISTING REPORT: Upon the completion of processing your file, Rust will provide
you with an Electronic Claim Transaction Listing report (“DSK10 report”) which will list all of your claims along with any
deficiencies or ineligibilities that have been identified. If you do not receive this report or if the report that you receive
is missing information, you must contact Rust immediately. No electronic files will be considered to have been properly
submitted unless the Claim Administrator issues a DSK10 report listing all transactions contained in the electronic file.
• Rust Consulting reserves the right to reject your electronic filing and require that you submit a hard copy of your claim
with complete documentation.
Page 4 of 4APPENDIX A
Control Chart
WaMu 2004 Common Stock Litigation (8267)
Electronic Claim Filers - Please print, complete, and return this form along with: (1) a completed Proof of Claim and Release form
as your "Umbrella Claim" for this filing, (2) a Letter of Authorization for you to file on behalf of the beneficial owner(s) included in
your data file (if other than yourself), (3) a statement that discloses the source of the data you are submitting, and (4) your data
file(s). If you are submitting files via the eData Vault, please complete this form and upload a PDF copy of it when you upload
your data file.
Filer and Payment Information
Filing Entity Name:
Filing Entity Type: Broker/Bank/Nominee Filing Service Attorney Other: ________________________
Contact Name: ______________________________________________________________________
Street Address: _____________________________________________________________________
(not a PO Box – must be a street address)
City: ______________________________________________________________________________
Filing Entity Contact:
Person able to resolve questions State/Province: ______________________________ Postal/Zip Code: _______________________
regarding this filing
Country: ___________________________________________________________________________
Phone Number: _____________________________________________________________________
Email Address: ______________________________________________________________________
Payment Address: Indicate Use addresses provided in the attached data file Same address as above
where payments should be sent Wire Transfer - ONE payment to the above named Filing Entity (please attach transfer instructions)
Are you filing for any foreign-owned accounts? Yes No
If so, are any from the European Union (EU)? Yes No
Are these proprietary accounts? Yes No
Beneficial Owner: Various Beneficial Owners or __________________________________________________
Who you are filing for? (Single Beneficial Owner Name)
Data File Information
Total Number of Distinct Total Number of
Account #'s: Transactions:
Data File Name(s):
Replacement Data:
Does this data replace a previous filing? If Reference number of previous filing:
Yes No
yes, please indicate the reference (if applicable)
number of the previous filing.
Additional Documents
Additional Paper Claims:
Are you submitting ‘Paper’ claims for W8 Documents: Are you including any W8
Yes No Yes No
accounts that are not included on your tax documents?
data file?
Signature: Date:APPENDIX B
ELECTRONIC FILE TEMPLATE
Column Element/Attribute Description Format
Beneficial Owner Last Last name of the beneficial owner. Prints on letters and/or
A Name (Individual or IRA checks. If IRA and you want the check made out to IRA, Char 50
Accounts Only) use the following format: JONES IRA
First Name Beneficial First name of the beneficial owner. Prints on letters
B Char 50
Owner and/or checks.
Last Name of Co‐Owner, The joint individual owner of the account. Last name of
C Char 50
if applicable Co‐Owner (if applicable). Prints on letters and/or checks.
First Name of Co‐Owner, The joint individual owner of the account. First name of
D Char 50
if applicable Co‐Owner (if applicable). Prints on letters and/or checks.
Identifies the entity name, if the submitter is not an
individual (e.g. if Beneficial Owner is a Company, Trust,
Entity Name Estate, etc.). Will print on letters and/or checks.
E
(Corporation, Estate, If Beneficial Owner is a Company, Trust, Estate, etc. This Char 50
Trust, etc) column should never be populated if any of the
Beneficial Owner/Co‐Owner fields (Columns A through
D) are populated.
Representative Name, if applicable (e.g. executor,
custodian, trustee, administrator, nominee, etc.).
F Representative Name Identifies a person to contact if submitter was an entity. Char 50
Used for correspondence, but not included on the check
instrument.
The address line 1 field is used in the mail address block
G Addr1 Char 50
for checks and/or letters.
The address line 2 field is used in the mail address block
H Addr2 Char 50
for checks and/or letters.
The city field is used in the mail address block for checks
I City and/or letters. (DO NOT USE THIS FIELD FOR FOREIGN Char 30
ADDRESSES)
The state field is used in the mail address block for checks
J State and/or letters. (DO NOT USE THIS FIELD FOR FOREIGN Char 2
ADDRESSES)
K Zip5 Zip5 (DO NOT USE THIS FIELD FOR FOREIGN ADDRESSES) Char 5
L Zip4 Zip4 (DO NOT USE THIS FIELD FOR FOREIGN ADDRESSES) Char 4
The country field is for foreign addresses and is used in
the mail address block for checks and/or letters. (DO NOT
M Country Char 25
USE FOR DOMESTIC ADDRESSES, i.e. U.S.A., Puerto Rico,
Virgin Islands, or APO)
N Account Number Required – Account number Char 20
Taxpayer Social Security Number or Employer
O Taxpayer Id # Char 11
Identification Number
Social Security Number or Employer Identification Valid Values:
P Taxpayer ID type
Number E = EIN, S = SSN
If the Beneficial Owner is a foreign entity, populate this
Q Foreign Entity Flag Char 1
field with "Y". Otherwise use "N"APPENDIX B
ELECTRONIC FILE TEMPLATE
Column Element/Attribute Description Format
Valid Values:
R Type of Security Indicate the type of Security that is being reported.
S = Stock
Required – Identifies the security for this transaction. Refer to case specific tables
S CUSIP (Security Code)
Must be a valid CUSIP, ISIN or SEDOL in Appendix C.
The actions taken by the owner or entity during the Class Refer to case specific tables
T Transaction Type
Period, or holdings before and/or after the Class Period in Appendix C.
Actual date the transaction was executed on (NOT the
U Trade Date mm/dd/ccyy
settlement date)
Number of Shares for Stock, Face Amount for
V Quantity Bonds/Notes, Number of Contracts for Calls or Puts Decimal (19,4)
The share price for the purchase/sale of stock,
bonds/notes, or price per contract. Shares purchased as a
result of the exercise or assignment of an option MUST be
W Price Decimal (19,4)
reported at the executed strike price and MUST NOT
include the cost of the option or any fees as a component
of their price.
Total Amount Paid for Purchases (include commissions,
taxes and fees for purchases & exclude commissions,
X Net Amount taxes and fees for sales); Total Amount Received for Sales Decimal (19,4)
(prior to any reduction caused by commissions and/or
other fees); leave blank for all others.APPENDIX C
CASE SPECIFIC TABLES
Transaction Type Table:
Stock
Transactions Acceptable Values In Quantity
TranType Definition Valid Date Range
per cusip Column
The B is positive for long
Balance at the close of positions and negative for short
B one
trading on 04/14/2003 positions as of close of trading
on this date
Purchases/acquisitions 04/15/2003 –
P multiple Absolute Values Only
during Class Period 09/24/2004, inclusive
Transfer into this 04/15/2003 –
R account during the multiple Absolute Values Only 09/24/2004, inclusive
Class Period
04/15/2003 –
Sales during Class
S multiple Absolute Values Only 09/24/2004, inclusive
Period
Transfer out to another 04/15/2003 –
D account during Class multiple Absolute Values Only 09/24/2004, inclusive
Period
The U is positive for long
Unsold shares at the
positions and negative for short
U Close of trading on one
positions as of close of trading
09/24/2004
on this date
CUSIP Table:
CUSIP Definition Ticker symbol (if applicable) Comments
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