If you are a broker or other nominee who purchased AETERNA ZENTARIS, INC. (“AETERNA” OR THE “COMPANY”) SECURITIES ON A U.S. EXCHANGE OR IN A U.S. TRANSACTION DURING THE PERIOD FROM AUGUST 30, 2011 THROUGH NOVEMBER 6, 2014, BOTH DATES INCLUSIVE (THE “CLASS PERIOD”), AND WHO DID NOT SELL SUCH SECURITIES PRIOR TO NOVEMBER 6, 2014, THEN WITHIN SEVEN (7) CALENDAR DAYS OF YOUR RECEIPT OF THE NOTICE, you must either:
- If you have no beneficial purchasers/owners, please advise the Claims Administrator in writing; or
- Supply the Claims Administrator with email addresses. If email addresses are not available, provide the Claims Administrator with names and last known addresses of your beneficial purchasers/owners and we will do the mailing of the Postcard Notice. Please provide this information electronically. If you are not able to do this, labels will be accepted, but it is important that a hardcopy list also be submitted of your clients; or
- If you notify the beneficial purchasers/owners yourselves, please email the Claims Administrator and we will send you the Postcard Notice to email or if email addresses are not available, please email the Claims Administrator how many beneficial purchasers/owners you have, and the Claims Administrator will supply the Postcard Notices to do the mailing.
If you are providing a list of names and last known addresses to the Claims Administrator:
- Compile a list of names and last known addresses of the beneficial purchasers/owners that purchased AETERNA ZENTARIS, INC. (“AETERNA” OR THE “COMPANY”) SECURITIES ON A U.S. EXCHANGE OR IN A U.S. TRANSACTION DURING THE PERIOD FROM AUGUST 30, 2011 THROUGH NOVEMBER 6, 2014, BOTH DATES INCLUSIVE (THE “CLASS PERIOD”), AND WHO DID NOT SELL SUCH SECURITIES PRIOR TO NOVEMBER 6, 2014.
- Prepare the list in Microsoft Excel format.
- Then you must do one of the following:
- Email the spreadsheet to firstname.lastname@example.org; or
- Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:
Aeterna Zentaris Inc. Securities Litigation
c/o Strategic Claims Services
600 N. Jackson Street, Suite 205
Media, PA 19063
If you are mailing the Postcard Notice to beneficial purchasers/owners:
If you elect to mail the Postcard Notice to beneficial purchasers/owners yourself, additional copies of the Postcard Notice may be requested via email to email@example.com. You must also send a statement to the Claims Administrator at the address above confirming that the mailing was made, and you must retain your mailing records for use in connection with any further notices that may be provided in the Action. Failure to timely forward the Postcard Notice to beneficial purchasers/owners may affect their legal rights.
If you have any questions, contact the Claims Administrator at firstname.lastname@example.org or by calling 1-866-274-4004.
You are entitled to reimbursement for your reasonable expenses actually incurred in complying with the foregoing not to exceed: $0.05 per email if you email the notice; $0.10 per name and address if you are providing the Claims Administrator the records; or $0.20 per name and address, including materials, plus postage at the current pre-sort rate, if requesting Postcard Notices to perform the mailing yourself.
If you are filing electronic claims:
A nominee may also submit a Claim Form on behalf of multiple clients who are beneficial purchasers/owners. The electronic spreadsheet to be filed along with a completed Claim Form, Proof of Authority to file, a cover letter listing the number of accounts and number of transactions on your spreadsheet, and the list of beneficial owners of all accounts (include social security number/taxpayer identification number) can be found here. Please contact the Claims Administrator if you have any questions regarding the electronic filing process at 1-866-274-4004 or at email@example.com.