If you are a broker or other nominee who purchased and/or held shares of VelocityShares Daily Inverse VIX Short Term ETNs linked to the S&P 500 VIX Short -Term Futures Index Due December 4, 2030 listed on a U.S. exchange and registered with the Commission and traded under the symbol XIV during the Relevant Period (4:09:40 p.m. and 5:09 p.m. EST on February 5, 2018) WITHIN FOURTEEN (14) CALENDAR DAYS OF YOUR RECEIPT OF THE PLAN NOTICE, YOU MUST EITHER:
- Send a copy of the Plan Notice and the accompanying Claim Form by First-Class Mail to all such beneficial owners, or
- Provide a list of the names and addresses of such beneficial owners to the Fund Administrator listed in Part VI of this Plan Notice.
If you are providing a list of names and addresses to the Fund Administrator:
- Compile a list of names, addresses and email addressed (if available) of the beneficial owners who purchased and/or held shares of the security during the Relevant Period.
- Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
Then you must do one of the following:
If you are mailing the Notice Packet to beneficial owners:
If you elect to mail the Plan Notice and Claim Form to beneficial owners yourself, additional copies of the Plan Notice and Claim Form may be requested via email to info@SPDowJonesIndicesFairFund.com. If you are providing the Plan Notice and Claim Form to beneficial owners, the mailing must be completed within fourteen (14) calendar days of your receipt of the Plan Notice and Claim Form from the Fund Administrator. You must provide email addresses to the Claims Administrator (to the extent they are available). You must also send a statement to the Claims Administrator confirming that the mailing was made as directed and keep a record of the names and mailing addresses used.
Failure to timely forward the Plan Notice and Claim Form to beneficial owners may affect their legal rights.
If you have any questions, contact the Fund Administrator at info@SPDowJonesIndicesFairFund.com or by calling 1-855-604-1705.
You are entitled to reimbursement from the Fair Fund of your reasonable expenses actually incurred in connection with the foregoing, including reimbursement of postage expense and the cost of ascertaining the names and addresses of beneficial owners pursuant to the Distribution Plan. Those expenses will be paid upon request and submission of appropriate supporting documentation and timely compliance with the above directives and Distribution Plan.
All communications concerning the foregoing should be addressed to the Fund Administrator at:
S&P Dow Jones Indices Fair Fund
P.O. Box 5429
Portland, OR 97228-5429
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 using the links below.
Click here to download the Claim Form.
Click here to download a properly formatted spreadsheet for submitting your transactions.
You may upload your master Claim Form and completed spreadsheet online here.