Nominees
Nominee Claim Submission
If you are a broker, bank, custodian or other nominee submitting a claim on your own behalf or on behalf of other beneficial owners, or a claim preparer submitting a claim on behalf of beneficial owners, you must provide the following five (5) documents:
1. One (1) Master Claim Form
2. One (1) Signature Verification Document
3. One (1) Data Verification Document
4. One (1) Authorization Document (if filing on behalf of clients or customers)
5. One (1) Excel Spreadsheet Containing Transactions and Holdings
If you purchased or acquired CannTrust common stock for the beneficial interest of a person or entity other than yourself during the Claim Period, and have received a Claim Packet, you must within five (5) calendar days of your receipt of the Claim Packet:
| OPTION A | Provide a list of the names and addresses of all such beneficial owners to the Claims Administrator |
|---|---|
| OPTION B | Request from the Claims Administrator sufficient copies of the Claim Packets to forward to all such beneficial owners and five (5) calendar days of receipt of those Claim Packets from the Claims Administrator forward them to all such beneficial owners. |
Please clearly indicate which option you are choosing.
Nominees shall also provide email addresses for all such beneficial owners to the Claims Administrator, to the extent they are available.
If you are providing a list of names and addresses to the Claims Administrator (Option A):
1. Compile a list of names and addresses of the beneficial owners described in the table above.
2. Prepare the list in the Microsoft Excel Preformatted Spreadsheet that can be found by clicking here.
3. Submit this list to the Claims Administrator by following the two (2) steps below:
o Step 1 - Download the Microsoft Excel Preformatted Spreadsheet here; AND
o Step 2 - Email the completed Microsoft Excel Preformatted Spreadsheet to info@CannTrustSecuritiesSettlement.ca
IMPORTANT NOTE: You may choose to password protect your Microsoft Excel Preformatted Spreadsheet, however, you must provide the password to the Claims Administrator. Please note that the Claims Administrator may not accept secured message links (i.e. secure web mail, encrypted email messages).
If you are mailing the Claim Packet to beneficial owners (Option B):
1. Request the needed number of copies of the Claim Packet via email at info@CannTrustSecuritiesSettlement.ca and
2. Mail the Claim Packets to the beneficial owners within five (5) calendar days of your receipt of the Claim Packets.If you have any questions, contact the Claims Administrator at info@CannTrustSecuritiesSettlement.ca or call 1-833-871-5359.
Nominee Claim Submission: Typical Documents
If you are a Nominee, you must provide the following five (5) documents:
1. DULY COMPLETED MASTER CLAIM FORM
• You must submit one (1) master Claim Form per submission. Your submission may contain one or more accounts.
• You must complete the Claimant Identification section, (Section II on page 4) and the Acknowledgements section (Section IV on page 7). The Claimant Identification Page must contain your institution contact information. The Acknowledgements Page must be signed by an authorized signatory who is listed in your signature verification document and must state the capacity (job) of the signatory.
2. SIGNATURE VERIFICATION DOCUMENT
• If you are an institution or claim preparer filing on behalf of client/customer or proprietary accounts (i.e., not an individual claimant), you must provide a document verifying that the individual who signed the Claim Form and any supplemental documents is authorized to sign on behalf of his/her company.
• Some common types of documents that fulfill this requirement include the following. (Please note that some entities may have different documents that fulfill this requirement. If you cannot submit the documents listed below, you must submit an equivalent document):
- Copy of company's By-Laws, including signature page(s)
- Copy of company's Corporate Resolution, including signature page(s)
- Notarized affidavit signed by an officer of the institution clearly granting a specific individual(s) authorization or confirming his/her authority to sign on behalf of his/her company.
3. DATA VERIFICATION DOCUMENT(S)
• If you are an institution or claim preparer filing on behalf of client/customer or proprietary accounts (i.e. not an individual claimant), you must provide a notarized affidavit or signed letter on firm letterhead which meets the below criteria:
- Confirms the number of distinct accounts and transactions on your file
- Discloses the source of your data (i.e. internal data retention system)
- Attests to the truth and accuracy of the transactions and holdings on your electronic file
- Is executed by an authorized signatory who is listed on your signature verification document, and specifies both the capacity and contact information of that signatory.
4. AUTHORIZATION DOCUMENT (IF FILING ON BEHALF OF CLIENT OR CUSTOMER ACCOUNTS)
• If you are an institution or claim preparer filing on behalf of client/customer accounts (i.e. not an individual claimant), you must provide a current document verifying that you are authorized to file and sign claims on behalf of your clients.
• Some common types of documents that fulfill this requirement include the following:
- 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 your clients. 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.
Please note that some entities may have different documents that fulfill this requirement. If you cannot submit the documents listed below, you MUST submit an equivalent document.
5. EXCEL SPREADSHEET CONTAINING TRANSACTIONS AND HOLDINGS
You must provide all transactions and holding amounts for each account you are filing for by following the required format set out in the Electronic Filing Instructions.
Click here to download the Electronic Filing Instructions.
Click here to download the Microsoft Excel Preformatted Spreadsheet for submitting your transactions.
ADDITIONAL DOCUMENTATION (IF REQUESTED) - DATA INTEGRITY AUDIT
The Claims Administrator may request that certain entities, as designated by Epiq, which submit claims electronically provide additional documentation to support certain transactions and/or holdings in the claims. This data integrity audit is designed to verify the overall integrity of a data submission. Accordingly, the documentation provided must be independent in nature and sufficient to verify the validity and accuracy of the entire data submission. Even if you provided a letter/affidavit attesting to the truth and accuracy of your data when initially submitting your claim electronically, we will require specific documentary evidence (trade confirmations, monthly statement, or equivalent), to independently verify the details of the transactions and/or holdings requested, if your claim is selected for a data integrity audit.