Nominees

Important note about submitting a Claim


The deadline to submit a claim form in connection with the Approved Settlements was July 16, 2018. If you previously submitted a timely and valid claim form and required transaction data for the Approved Settlements, you do not need to submit a claim with respect to the Newly Approved Settlement.

All claims submitted after October 13, 2018, but before December 23, 2018, will be used only to make a claim with respect to the $96 million settlement fund related to the Newly Approved Settlement. If you have reason for believing your claim should be accepted with respect to both the Approved Settlements and the Newly Approved Settlement, you may submit a claim below, but also need to contact Class Counsel at one of the following: jkearns@scott-scott.com; tobyfutter@quinnemanuel.com; or sjodlowski@rgrdlaw.com.


To brokers, banks, or other nominees who may have received the Notice packet:

If you are a broker, bank, or other nominee who performed trades for the beneficial interest of a person or entity other than yourself who meets the Settlement Class definition set forth below, WITHIN TWENTY-FIVE (25) CALENDAR DAYS OF YOUR RECEIPT OF THE NOTICE PACKET, you must have either:

  1. Provided the Claims Administrator, Epiq, with a list of the names and last known addresses of all such beneficial owners described below for the Claims Administrator to mail the Notice Packet to such beneficial owners; OR
  2. Requested from the Claims Administrator sufficient copies of the Notice Packet to forward to all such beneficial owners and, within seven (7) calendar days of receipt of those copies, forwarded the Notice Packet to all such beneficial owners.

The Settlement Class consists of all persons or entities who, from January 1, 2006 through January 31, 2014, entered into, received or made payments on, settled, terminated, transacted in, or held an ISDAfix Instrument.

“ISDAfix Instrument” means (i) any and all interest rate derivatives, including, but not limited to, any swaps, swap spreads, swap futures, variance swaps, volatility swaps, range accrual swaps, constant maturity swaps, constant maturity swap options, digital options, cash-settled swaptions, physically settled swaptions, swapnote futures, cash-settled swap futures, steepeners, flatteners, inverse floaters, snowballs, interest rate-linked structured notes, and digital and callable range accrual notes, where denominated in USD or related to USD interest rates; and (ii) any financial instruments, products, or transactions related in any way to any ISDAfix Benchmark Rates, including, but not limited to, any instruments, products, or transactions that reference ISDAfix Benchmark Rates and any instruments, products, or transactions relevant to the determination or calculation of ISDAfix Benchmark Rates.

If you provided a list of names and addresses to the Claims Administrator, for the Claims Administrator to mail the Notice Packet to such beneficial owners, you needed to have done the following:

  1. Compiled a list of names and addresses of the beneficial owners that entered into, received or made payments on, settled, terminated, transacted in, or held an eligible ISDAfix Instrument during the Class Period.
  2. Prepared the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must have done one of the following:

    1. Uploaded the spreadsheet here;
    2. Burned the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to Epiq, the Claims Administrator, at the following address:

      c/o Epiq
      P.O. Box 3775
      Portland, OR 97208-3775
      U.S.A.

If you mailed the Notice Packet to beneficial owners:

You must have requested the needed number of copies of the Notice Packet via email to info@ISDAfixAntitrustSettlement.com. You must have mailed the Notice Packets to the beneficial owners within seven (7) calendar days of your receipt of the Notice Packets.

NOTE: If you elected this option, YOU MUST RETAIN THESE NAME AND ADDRESS RECORDS for use in connection with future mailings that may occur in the action.

If you have any questions, you may contact the Claims Administrator at 1-844-789-6862 (U.S.) or +1-503-597-5526 (Int.), or by email at info@ISDAfixAntitrustSettlement.com.


If you are filing electronic claims on behalf of beneficial owners:

Claim Forms for the Newly Approved Settlement must be submitted by December 23, 2018. The deadline to submit a Claim Form in connection with the Approved Settlements was July 16, 2018.

Class Counsel may exercise their discretion to accept late claims in connection with the Approved Settlements when, without limitation: (a) the Settlement Class Member is a member of, and did not opt out of, the Settlement Class associated with the Approved Settlements; and (b) a valid Claim Form was received by October 13, 2018.

All claims submitted after October 13, 2018, but before December 23, 2018, will be used only to make a claim with respect to the $96 million settlement fund related to the Newly Approved Settlement. If you have a substantive reason for believing your claim should be accepted with respect to both the Approved Settlements and the Newly Approved Settlement, you may submit a claim below, but also need to contact Class Counsel at one of the following: jkearns@scott-scott.com; tobyfutter@quinnemanuel.com; or sjodlowski@rgrdlaw.com.

Trustees, executors, administrators, custodians, or other nominees completing and signing the Claim Form on behalf of the claimant must also submit the following:

  1. A description of the capacity in which they are acting (which must be accompanied by supporting documentation);
  2. The name, account number, last four digits of the Social Security number, employer identification number, or taxpayer identification number (or for non-U.S. claimants, a comparable government-issued national identification number), address, and telephone number of the person or entity on whose behalf they are acting; and
  3. Evidence of their authority to bind the person or entity on whose behalf they are acting. Authority to complete and sign a Claim Form cannot be established by brokers demonstrating that they only have discretionary authority to trade in another person’s accounts.

You will be required to submit transaction data to show your eligible transactions in ISDAfix Instruments. Please click here to download a properly formatted spreadsheet for submitting your transactions.

Please submit the Claim Form, the properly formatted spreadsheet for submitting the transactions, and any required documentation online here.

If you are unable to submit the Claim Form and required data electronically, please contact the Claims Administrator at 1-844-789-6862 (U.S.), +1-503-597-5526 (Int.) and request to speak to a representative for further instructions. You may also email the Claims Administrator at info@ISDAfixAntitrustSettlement.com.


Important Dates

  • January 1, 2006 through January 31, 2014
    Settlement Class Period
  • July 16, 2018
    Deadline in the Approved Settlements to Submit a Claim Form and Required Data
  • September 28, 2018
    Deadline in the Newly Approved Settlement for Motion in Support of Final Approval and Fee/Expense Application
  • October 13, 2018
    Deadline in the Newly Approved Settlement to Postmark a Request for Exclusion
  • October 13, 2018
    Deadline in the Newly Approved Settlement for a Comment or an Objection to Be Filed with the Court
  • October 23, 2018
    Deadline in the Newly Approved Settlement for Reply Papers in Support of Final Approval and Fee/Expense Application
  • November 8, 2018 at 3:30 p.m. EST
    Fairness Hearing for the Newly Approved Settlement
  • December 23, 2018
    Deadline in the Newly Approved Settlement to Submit a Claim Form and Required Data