Nominees

If you are a broker or other nominee who purchased shares of the LJM Preservation and Growth Fund (CUSIPs: LJMAX: 90213U503, LJMCX: 90213U602, LJMIX: 90213U701) during the Class Period for the beneficial interest of a person or entity other than yourself, the Court has directed that WITHIN TEN (10) CALENDAR DAYS OF YOUR RECEIPT OF THE NOTICE, YOU MUST EITHER:

  1. Provide to the Claims Administrator the name, last known address, and email (to the extent available) of each person or entity for whom or which you purchased shares of the Fund during the Class Period (preferably in electronic format (e.g., Excel, csv)), or
  2. Request additional copies of the Notice and the Claim Form from the Claims Administrator, which will be provided to you free of charge, and WITHIN TEN (10) CALENDAR DAYS of receipt, mail the Notice and Claim Form directly to all the beneficial owners of those securities. If you choose this option, you must still provide email addresses (to the extent available) for your customers to the Claims Administrator.

PLEASE NOTE: This Action is separate from the parallel state class action also entitled Sokolow v. LJM Funds Management, Ltd., et al., Case No. 18-CH-11880, pending in the Circuit Court of Cook County, Illinois.

If you are providing a list of names and addresses to the Claims Administrator:

  1. Compile a list of names, addresses and email addresses, (if available) of the beneficial owners who purchased shares of the LJM Preservation and Growth Fund (CUSIPs: LJMAX: 90213U503, LJMCX: 90213U602, LJMIX: 90213U701) during the Class Period.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must do one of the following:

    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      LJM Funds Securities Settlement
      c/o Epiq
      P.O. Box 3058
      Portland, OR 97208-3058

    2. Email the spreadsheet to info@LJMFundsSecuritiesSettlement.com; or
    3. Upload the spreadsheet here; or

If you are mailing the Notice Packet to beneficial owners:

If you elect to mail the Notice and Claim Form to beneficial owners yourself, additional copies of the Notice and Claim Form may be requested via email to info@LJMFundsSecuritiesSettlement.com. If you are providing the Notice and Claim Form to beneficial owners, the mailing must be completed within ten (10) calendar days of your receipt of the Notice and Claim Form from the Claims Administrator. 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 Notice and Claim Form to beneficial owners may affect their legal rights.

If you have any questions, contact the Claims Administrator at info@LJMFundsSecuritiesSettlement.com or by calling (855) 915-0913.

Expense Reimbursement

You are entitled to reimbursement from the Settlement Fund of your reasonable expenses actually incurred in connection with the foregoing, assuming the expenses would not have been incurred except for the sending of such Notice. Expenses will be paid upon request and submission of appropriate supporting documentation and timely compliance with the above directives.

All communications concerning the foregoing should be addressed to the Claims Administrator at:

LJM Funds Securities Settlement
c/o Epiq
P.O. Box 3058
Portland, OR 97208-3058

If you are filing electronic claims:

A nominee may also submit a Claim Form on behalf of multiple clients who are beneficial owners by following the instructions 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.