Nominee - Electronic Filing Instructions
READ THESE INSTRUCTIONS CAREFULLY AND IN THEIR ENTIRETY.
YOU MUST COMPLY.
Part I - Overview
Electronic claim submission is available to institutions filing on their own behalf or on behalf of others as well as to claim preparers filing on behalf of clients.
ALL ELECTRONIC CLAIM SUBMISSIONS MUST BE ENTERED ON THE TEMPLATE PROVIDED WITH THESE INSTRUCTIONS. Any file not in accordance with the required filing format or not accompanied by the required documentation will be subject to rejection.
The correct, complete, unabbreviated name of the beneficial owner(s) of the security supporting each claim MUST be provided where called for. Your submission may be rejected if you do not provide this information. Do not include honorifics (e.g., Mr., Mrs., Ms., Dr., Capt., Sgt.) and do not put “FBO” or the like in front of the beneficial owner’s name. PLEASE NOTE: A trustee, in that capacity, is not the beneficial owner of the security; the full name of the trust should be entered followed by the full name(s) of the trustee(s). A comma should separate the name of the trust and the name(s) of the trustee(s).
The required documentation set forth below MUST be submitted with your electronic file. Your electronic claims will not be eligible for consideration until all required documents are received. Please note that one document may meet more than one requirement.
Part II – Documentation Requirements
1. ONE SIGNED PROOF OF CLAIM AND RELEASE
- You MUST complete the Claimant Information Page (Part I) and Release of Claims and Signature Page (Part IV) of a single Proof of Claim and Release Form (“Claim Form”), which will serve as an "umbrella" or “master” claim form for all claims in your electronic file.
- The Claim Form MUST be signed by an authorized signatory who is listed on your signature verification document and state the capacity (job title) of the signatory.
- If you are filing only one claim, i.e., you are filing on behalf of only one beneficial owner, provide the correct, complete, unabbreviated name of the owner of the shares on the Claim Form.
- If you are filing on behalf of multiple beneficial owners, use the term "Various Beneficial Owners" for the Claimant name(s) (i.e., the beneficial owner(s) name(s)). However, as noted above, the correct, complete, unabbreviated name of each beneficial owner (without honorifics) MUST be provided for each claim in your electronic claim submission.
2. SIGNATURE VERIFICATION DOCUMENT
If you are an institution filing on your own behalf or on behalf of other beneficial owners or a claim preparer filing on behalf of beneficial owners, you MUST provide a document verifying that the individual who signs the Claim Form and any supplemental documents is authorized to sign on your behalf. Some common types of documents that fulfill this requirement include the following (this list is not exclusive and non-US entities may have different documents that fulfill this requirement. If you are a non-US entity, you MUST submit an equivalent document):
- Copy of filer’s By-Laws, including signature page(s)
- Copy of filer’s Corporate Resolution, including signature page(s)
- Notarized Affidavit signed by an officer of the filing institution or company clearly granting a specific individual(s) authorization or confirming his/her authority to sign on behalf of his/her institution or company.
3. AUTHORIZATION DOCUMENT (IF FILING ON BEHALF OF BENEFICIAL OWNERS OTHER THAN YOURSELF)
If you are an institution or claim preparer filing on behalf of beneficial owners other than yourself, you must provide a current document verifying that you are authorized to file and sign claims on behalf of the beneficial owners of the securities. Some common types of documents that fulfill this requirement include the following (this list is not exclusive and non-US entities may have different documents that fulfill this requirement. If you are a non-US entity, you must submit an equivalent document):
- Power of Attorney
- Service Agreement
- Signed/dated letter on client's company letterhead specifically granting your company authority to file/sign claims on their behalf
- Notarized affidavit or signed letter on your company's letterhead confirming your authority to file and sign claims on behalf of each client for whom you filed a claim. It must be executed by an officer of the company who is also listed on your signature verification document and reference the capacity and contact information of the signatory.
4. DATA VERIFICATION DOCUMENT(S)
If you are an institution filing on your own behalf or on behalf of other beneficial owners or a claim preparer filing on behalf of beneficial owners, you MUST provide a notarized affidavit or signed letter on your firm’s letterhead which meets the following criteria:
- Confirms the number of separate claims and transactions in your file.
- Sets forth the source of the data for each claim included in your file.
- Attests to the truth and accuracy of the data for each Claim in your file.
- Is executed by an authorized signatory who is listed on your firm’s signature verification document and specifies both the capacity and contact information of that signatory.
5. ADDITIONAL DOCUMENTATION (IF REQUESTED) - DATA INTEGRITY AUDIT
- Filers may be requested, as deemed appropriate by Epiq and/or Lead Counsel, to provide additional documentation to support the claims submitted. This data integrity audit is designed to verify the overall integrity of a data file. Accordingly, you MUST provide all requested documentation and the documentation provided MUST be independent in nature.
- Even if you provided a letter/affidavit attesting to the truth and accuracy of the data you initially submitted with your electronic file, we will require specific documentary evidence, which may include trade confirmations, monthly statements, or equivalent, to independently verify the details of transactions and/or holding positions. If your file is selected for a data integrity audit, you MUST provide all requested information.
FAILURE TO COMPLY WITH THIS AUDIT REQUEST WILL RESULT IN THE REJECTION OF ALL CLAIMS ON YOUR ELECTRONIC SUBMISSION
Part III – Case Specific Information
- Eligible Security: Common stock of Wells Fargo.
- Class Period: February 2, 2018, through March 12, 2020, inclusive.
- Class Definition: All persons and entities who purchased or otherwise acquired the common stock of Wells Fargo from February 2, 2018, through March 12, 2020, inclusive, and who were damaged thereby, except for certain persons and entities who are excluded from the Settlement Class by definition (see paragraph 17 of the Notice) or any persons or entities that validly request exclusion from the Class following the procedures set forth in the Notice (see paragraph 45 of the Notice).
Electronic filers MUST provide for each claim submitted:
- Beginning holdings: the total number of common stock of Wells Fargo held at the open of trading on February 2, 2018.
- Each and every purchase/acquisition of Wells Fargo common stock from after the open of trading on February 2, 2018, through the close of trading on June 9, 2020.
- Each and every sale of Wells Fargo common stock after the open of trading on February 2, 2018, through the close of trading on June 9, 2020.
- Ending holdings: the total number of Wells Fargo common stock held at the close of trading on June 9, 2020.
- Claim Filing Deadline: October 5, 2023
Part IV – Methods of Submission
You may send your information via email or upload via the Settlement Website, but please be sure to password protect or encrypt the file and send to info@WellsFargoSecuritiesClassAction.com. E-file submissions may also be via CD. If you are mailing via UPS or FedEx, please send to Epiq’s physical address at P.O. Box 5430, Portland, OR 97228-5430, and be sure to reference the case name. For any questions or concerns regarding your submission options, please call us toll-free at 888-301-4209 or email us at info@WellsFargoSecuritiesClassAction.com.
Electronic files will not be deemed submitted unless Epiq sends you an email acknowledging receipt of your file. Do not assume that your file has been received until you receive this email. If you do not receive such an email within 10 days of your submission, you should contact the electronic filing department at info@WellsFargoSecuritiesClassAction.com to inquire about your file and confirm it was received.
Part V – Required Filing Format – General Instructions
- Files should be submitted as an Excel spreadsheet.
- All fields in the below format must be included in your file.
- Any fields that do not apply to the claims you submit must be left blank (do not delete any fields).
- Your file must include one header row with each of the column headings specified below.
Your file must be sorted in the following order:
- complete correct name of the beneficial owner of the securities supporting the claim
- transaction type
- Do not leave any blank rows on your file.
- Any files not in accordance with the below layout are subject to rejection.
Part VI – Required File Layout
TAB - FILE SUMMARY
|A||File Submitted By||Name of person submitting the electronic claim on behalf of the Beneficial Owner(s)|
|B||Company Name||Name of Company submitting the electronic claim|
|C||Company Address||Address 1 Information for filer submitting electronic claim|
|D||Company Address 2||Address 2 Information for filer submitting electronic claim|
|E||Company City||City for filer submitting electronic claim|
|F||Company State/Province||2 Character State Abbreviation or Province Name for filer submitting electronic claim|
|G||Company Zip/Postal Code||5 Digit Zip for filer submitting electronic claim|
|H||Company Country||2 Character Country Abbreviation (only for foreign addresses) for filer submitting electronic claim|
|I||Contact Name||Contact Name for filer submitting electronic claim|
|J||Phone Number||Phone Number for filer submitting electronic claim|
|K||Email Address||Email Address of filer submitting electronic claim|
|L||Total Number of Beneficial Owners in File||Total number of beneficial owners contained in the electronic claim|
|M||Total Number of Transactions in File||Total number of transactions for all beneficial owners contained in the electronic claim|
TAB - CLAIMANT INFORMATION
|A||Account Number of Beneficial Owner||List the account number(s) for the beneficial owner’s trades. (A Beneficial Owner may only have one claim. Multiple accounts for one Beneficial Owner must be combined into one claim.)|
|B||Account Type||Identify the type of account using the below list:|
7. IRA or Other Retirement Plan
|C||Beneficial Owner SSN/TIN||Last four digits of Social Security Number or Tax ID Number of beneficial owner (leave column blank for foreign entities)|
|D||Beneficial Owner Entity Name||Entity Name of Beneficial Owner if the Beneficial Owner is not an individual. Please note: A trustee, in that capacity, is not the beneficial owner of the security; the full name of the trust should be entered here followed by the name(s) of the trustee(s). A comma should separate the name of the trust and the name(s) of the trustee(s).|
|E||Representative of Beneficial Owner||If you are a third-party claim preparer filing on behalf of clients either: (i) for the client as beneficial owner (in which case the entry in this field will be the same as the entry in the “Company Name” field on the “File Summary” tab); or (ii) for a client that represents the beneficial owner(s), provide the complete name of your client in this column.|
|F||Beneficial Owner Address 1||Address 1 Information for the Beneficial Owner|
|G||Beneficial Owner Address 2||Address 2 Information for the Beneficial Owner|
|H||Beneficial Owner Address 3||Address 3 Information for the Beneficial Owner|
|I||Beneficial Owner City||City for the Beneficial Owner|
|J||Beneficial Owner State||2 Character State Abbreviation for the Beneficial Owner|
|K||Beneficial Owner Zip Code||5 Digit Zip for the Beneficial Owner|
|L||Beneficial Owner/Country||2 Character Country Abbreviation (only for foreign addresses)|
TAB - TRANSACTION INFORMATION
|A||Account #||Account number associated to transaction|
|B||Currency Type||Type of currency associated to transaction (USD, EUR, GBP, etc.)|
|C||Security Type||Type of security associated to transaction|
|D||CUSIP||CUSIP of the Security|
|E||Transaction Type||B = Beginning Holdings|
P = Purchase (includes purchases to cover short sales)
S = Sale (includes short sales)
U = Unsold (Ending) Holdings
R = Free Receipt (transfer in)
D = Free Deliver (transfer out)
Note: When inputting beginning and unsold holdings, the trade date column MUST indicate the holding date. Price per share and net amount columns MUST be left blank
|F||Transaction Date||Trade date in MM/DD/YYYY format (including foreign entities)|
|G||Quantity of Eligible Security||Number of shares associated with this transaction (this value can ONLY be negative for short beginning or ending holdings positions)|
|H||Purchase/Sale Price Per Security||Price of each Share|
Note: This column should be blank ONLY when providing beginning or ending holdings or shares involved in a receipt or deliver
|I||Total Purchase/Sale Price/Proceeds||Total value of the transaction (excluding commissions, taxes, and fees).|
Note: This column should be blank ONLY when providing beginning or ending holdings or shares involved in a receipt or deliver
|J||Comments||Any relevant comments related to the transaction|
Click here to download a properly formatted spreadsheet for submitting your transactions.