Omnibus Reply To Motion Omnibus Re - MG Reply To Motion

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James B. Kobak, Jr. Christopher K. Kiplok Josiah S. Trager Meaghan C. Gragg HUGHES HUBBARD & REED LLP One Battery Park Plaza New York, New York 10004 Telephone: (212) 837-6000 Facsimile: (212) 422-4726 Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc. UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re MF GLOBAL INC., Debtor. OMNIBUS REPLY TO VARIOUS FORMAL AND INFORMAL LIMITED OBJECTIONS TO TRUSTEES EXPEDITED APPLICATION TO ESTABLISH PARALLEL CUSTOMER CLAIMS PROCESSES AND RELATED RELIEF James W. Giddens (the Trustee), as Trustee for the liquidation of the business of MF Global Inc. (MFGI or the Debtor) under the Securities Investor Protection Act of 1970, as amended (SIPA), 15 U.S.C. 78aaa et seq., as and for his reply to the various formal and informal limited objections (collectively, the Limited Objections) interposed to the Trustees expedited application (the Claims Application, ECF 144) to establish parallel customer claims processes and related relief, by and through his undersigned counsel, respectfully states as follows: Case No. 11-2790 (MG) SIPA
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Preliminary Statement 1. The Trustee filed the Claims Application on an expedited basis for the
benefit of MFGIs former customers in the hopes of commencing the claims procedure as soon as possible. Several former customers of MFGI, some by their counsel, interposed Limited Objections (either by filing formal motions or informally), which primarily seek clarity or changes to specific aspects of the proposed claims procedure or the proposed claim form and instructions for commodity futures customer claims. At the November 16, 2011 hearing on the Claims Application, the Court directed counsel for the Trustee to meet and confer with counsel for parties with specific objections to the Trustees Claims Application to address and, where possible, seek to resolve, their Limited Objections. The next day, the Trustees counsel, along with a representative of the Commodity Futures Trading Commission (CFTC), held a meet and confer session with more than two dozen participants, who appeared either in person or telephonically. In a very productive dialogue that lasted more than an hour and a half, the participants voiced their concerns and suggestions. Counsel for the Trustee has reviewed the eight formal objections, supplemental statements, and amended objections that were filed in response to the Claims Application,1 and the 165 letters that have been received by the Court (most of which do not address the Claims Application),2 as well as numerous additional informal
1.
These consist of: (1) Opposition of Thomas A. Butler Jr. (ECF 246); (2) Limited Objection and Request for Clarification of George Lichtenstein (ECF 249); (3) Objection of the Commodity Customer Coalition (ECF 251); (4) Limited Objection of Dearborn Capital (ECF 252); (5) Motion for an 80% Distribution of Dearborn Capital (ECF 253); (6) Limited Objection of Certain MF Global Inc. Claimants (ECF 345); (7) Supplemental Statement of George Lichtenstein (ECF 351); and (8) Amended Objection of the Commodity Customer Coalition (ECF 352). As of November 17, 2011, the Court received 165 unique letters from individuals and institutions affected by the MFGI liquidation. A chart listing all of these letters is attached hereto as Exhibit 2. None of the letters directly addresses the specific claims processes proposed by the Trustee in the Claims Application. One (Footnote continued on next page)
2.
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Limited Objections that were received via email or phone through Friday afternoon on November 18th, or in person at the courthouse following the November 16th hearing on the Claims Application. 2. Many of the Limited Objectionsboth formal and informalraise
common objections, suggestions and concerns. Accordingly, this omnibus Reply addresses the Limited Objections by common category. Many of the objections, suggestions and concerns that were raised have been constructive and helpful. In response to the Limited Objections, and in order to clarify and improve the expedited claims process for the benefit of customers, the Trustee has incorporated many of the suggestions and much of the feedback received and has sought to address potential claimants concerns by amending the proposed forms (the Proposed Forms) and proposed form of order (the Proposed Order) filed by the Trustee as Exhibits A through G to the Claims Application. Attached hereto as Exhibit 4(A-G) are amended versions of the following documents that were attached as Exhibits A through G to the Claims Application: Exhibit A Notice of Commencement
(Footnote continued from previous page) correspondent does assert that a claims process for segregated commodity futures customers is unlawful. Another correspondent requests priority treatment for commodity futures accounts, proposing that the Trustee pay all claims based on commodity accounts in full with available cash, then pay the remainder to securities customers. The vast majority of the other letters request the immediate return or transfer of customer property. Out of the 102 correspondents who wrote requesting the expedited return of their property, fifty-one demand access to between seventy and ninety-four percent of their holdings, arguing that the Trustee need only retain enough to cover what they believe to be the estimated shortfall. Eight correspondents objected to the Trustees Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers (ECF 193). Sixty-two correspondents wrote in support of designating a representative of former MFGI customers to a creditors committee. One correspondent requests that the Court appoint a designated attorney to attend to customer interests. Six correspondents asked the Court to open investigations into alleged failures and criminal acts at the Chicago Mercantile Exchange (CME), the CFTC, and JPMorgan Chase. Eleven correspondents demand either the resignation of the Trustee or that he forego remuneration at this time. Four correspondents express concern that the claims of general creditors might supersede the claims of customers.
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Exhibit B Securities Customer Claim Information (including Explanatory Letter to Customers, Explanatory Letter to Broker-Dealers, Securities Customer Claim Form Instructions, Securities Customer Claim Form) Exhibit C Commodity Futures Customer Claim Information (including Commodity Futures Customer Claim Form Instruction Letter and Commodity Futures Customer Claim Form) Exhibit D General Creditor Claim Information (including Explanatory Letter to General Creditors and General Creditor Claim Form) Exhibit E Form of Notice of Deficiency of Claim (one for each claim type) Exhibit F Form of Notice of Trustees Determination of Claim Exhibit G Proposed Order Attached hereto as Exhibit 3 (A-G) is a redline comparison reflecting changes made from the documents that were attached as Exhibits A through G to the Claims Application. A chart listing each of the Limited Objections (both formal and informal), and showing the Trustees responses and amendments to the Proposed Forms and Proposed Order is attached hereto as Exhibit 1. 3. As set forth more fully below in this omnibus Reply and in Exhibit 1
attached hereto, the Trustee has addressed and resolved the majority of the objections, suggestions, concerns and feedback interposed by the Limited Objections (both formal and informal) by amending the Proposed Forms and the Proposed Order. In the handful of instances where a Limited Objection could not be addressed or resolved by amending the Proposed Forms and the Proposed Order, the Trustees position is detailed below and in Exhibit 1 attached hereto. 4. Although several comments were made at the November 17th meet and
confer session about having sources of information available for claimants with questions about completing and submitting securities customer claim forms, the Trustee notes that, generally speaking, the proposed claims process for securities customers was not the subject of any specific Limited Objection. Counsel for the Trustee is available and will, to the extent possible,
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provide requested information and respond to and answer specific questions that such claimants may have. The Trustee also notes that neither the proposed Form of Notice of Deficiency of Claim (Exhibit E to the Claims Application) nor the proposed Form of Notice of Trustees Determination of Claim (Exhibit F to the Claims Application) was the subject of any specific Limited Objection.3 The Trustees Responses to the Limited Objections The Trustees Efforts to Return Customer Property Outside the Claims Process 5. The Trustee received several Limited Objections to the establishment of a
claims process as required under SIPA, the Bankruptcy Code,4 and the Part 190 Regulations. Many former MFGI customers or their representatives or counsel requested that the Trustee simply turn over all or a percentage of the customer property that they believe should have been held by MFGI in segregated accounts without specifying a mechanism for verifying and reconciling claims, or acknowledging the apparent shortfall of customer property, in which the customers must share ratably. (See, e.g., Correspondence from Walter Augustine, dated Nov. 9, 2011 (ECF 90); Correspondence from Robert D. Benson, dated Nov. 8, 2011 (ECF 87); Correspondence from Gerald J. Gottus, dated Nov. 9, 2011 (ECF 93).) Several plans proposed by former MFGI customers or their representatives or counsel proposed, in essence, alternative claims processes. (See, e.g., Amended Objection of the Commodity Customer Coalition (ECF
3.
The Trustee has amended the proposed Form of Notice of Deficiency of Claim to conform with amendments to the proposed Customer Claim Forms, as necessary. (See Exhibit 4 (E) (clean) and Exhibit 3 (E) (redline), attached hereto.) Capitalized terms not otherwise defined herein shall have the meanings ascribed to them in the Claims Application.
4.
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352); Proposal from the Commodity Customer Coalition, submitted to Trustees counsel by email dated Nov. 17, 2011.) 6. While many of these Limited Objections are not specific and simply
demand the return of customer cash or other property outside of a formal claims process, one of the Limited Objections includes a detailed proposal, which would require that the Trustee send former customers by email a statement of their account balance, and provide customers with five days to object to the statement of account balance and respond with remittance preferences. (See, e.g., Proposal from the Commodity Customer Coalition, submitted to Trustees counsel by email dated Nov. 17, 2011.) This proposal reflects a fundamental misunderstanding of the circumstances that the Trustee and MFGIs former customers face as a result of the apparent significant shortfall of customer property, and the relatively poor condition of MFGIs books and records at the time of its failure and the commencement of this liquidation proceeding. These extraordinary circumstances notwithstanding, the Trustee has and continues to explore alternative means to distribute or transfer customer property on a bulk basis for the benefit of MFGIs former customers outside of the proposed expedited customer claims processes. Even if it were practicably feasible, which it is not, attempting to wholly circumvent the expedited claims procedure would scarcely assure fair treatment or preserve due process rights of all customers and runs counter to applicable statutes and regulations requiring that customers shall file a written proof of claim and that the Trustee must or shall instruct customers to file a proof of claim with specified information. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d). 7. The Trustee seeks approval of the parallel customer claims processes
proposed in the Claims Application, as reflected in the amended Proposed Forms and Proposed
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Order attached as Exhibit 4(A-G) hereto, without prejudice to additional alternative efforts to return customer property. The Trustee already has returned significant amounts of customer property to customers outside of the claims process. Within days of the commencement of MFGIs liquidation, approximately three million open commodity contracts of approximately 14,500 customers and sixty percent of the associated collateral at the CME and other DCOs were transferred successfully to other transferee FCMs. A second bulk transfer for the benefit of up to approximately 23,000 additional commodity futures customers holding only cash or cash equivalents in their accounts as of the Filing Date was authorized by this Court on November 17, 2011. The bulk transfer of those funds is already underway. The Trustee continues to investigate and explore all alternatives in consultation with the Securities Investor Protection Corporation (SIPC) and the CFTC, and, if feasible, may request to be before this Court again seeking authority to effect a further transfer or interim distribution to or for the benefit of MFGIs former customers. 8. Even as the Trustees professionals seek to reconcile MFGIs books and
records and effectuate bulk transfers approved by the Court, and continue to explore the practicality and feasibility of additional bulk transfers for which the Trustee may seek Court approval, making final determinations on individual requests that circumvent a claims process simply is not feasible or authorized under SIPA, the Bankruptcy Code, and the Part 190 Regulations. Even with partial interim distributions, which, to the extent legally and practicably feasible, the Trustee fully intends to make, there must be final determinations of net equity before final distributions are made. Customer Priority 9. Several former MFGI customers or their representatives or counsel
contacted the Trustee to request that priority be given to determinations for particular groups of 7
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customers.5 (See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345); Correspondence of Gary L. Lovelady (ECF 181).) Some requested that priority be given to customers who have been given access to what they believe is a disproportionately small percentage of their property through the bulk transfers that have been approved by the Court, while others sought priority for the small number of customers who received nothing in the bulk transfers. (See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345).) Still others sought priority based on the claimed value of their accounts (both largest to smallest and smallest to largest), while others suggested that the Trustee should allow claimants to check a box if they believe their claim should be given priority for determination. (These comments and suggestions were received by the Trustee during the November 17th meet and confer session, or otherwise received informally.) 10. The Trustee understands the frustration, confusion and anger that MFGIs
former customers undoubtedly feel at the circumstances that led to MFGIs failure and to this SIPA liquidation. The Trustee has amended the proposed commodity futures customer claim form to include a series of questions that will quickly allow the Trustees professionals to determine appropriate groupings for customers (including, for example, determining how much, if any, of their property has been moved via a bulk transfer), to the extent that a true-up may be relevant to the claims process. (See Exhibit 4(C) (clean) and Exhibit 3(C) (redline), attached hereto.)
5.
Uniformly, for each such request for priority for a particular group of customers, the proponent fell squarely within that group or represented someone who did.
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11.
Likewise, the Trustee also has received a request that priority be given to
commodity futures customers over securities customers because commodity futures customers are not eligible for SIPC advances. (See, e.g., Objection of the Commodity Customer Coalition (ECF 251); Correspondence of Gary L. Lovelady (ECF 181).) 12. The Trustee proposes to establish separate, parallel expedited claims
proceedings because the pools of customer property subject to pro rata distribution to commodity futures customers are separate and distinct from the pools of customer property subject to pro rata distribution to securities customers, assuming no home is found for securities accounts. Neither of these processes will delay or run at the sacrifice of the other. Both will proceed in parallel. 13. Several Limited Objections stated that customers should receive priority
over non-customer general creditors and stated that it is unnecessary to establish a general creditor claims process. (See, e.g., Objection of the Commodity Customer Coalition (ECF 251); Correspondence of Matt Evans, dated Nov. 15, 2011 (ECF 333); Correspondence of Annie Rousslang, dated Nov. 14, 2011 (ECF 141).) 14. Under SIPA, the Commodity Broker Liquidation Provisions, and the Part
190 Regulations, MFGIs former customers have priority over non-customer general creditors. However, because SIPA imposes an absolute bar date for all claims of six months after the publication of the Notice of Commencement, the Trustee must provide notice to non-customer general creditors, and allow for the filing of general creditor claims contemporaneously with the customer claims proceedings, although the Trustee has no obligation to review the claims of general creditors unless he determines, after completing the processing of customer claims, that
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there will be a meaningful general estate distribution. 11 U.S.C. 704(a)(5); 15 U.S.C. 78fff1(b); see also 1 Collier on Bankruptcy 12.14[2] (16th ed. 2011). Notice of Commencement Publication and Mailing For Commodities Future Customers 15. The Trustee received a Limited Objection to the time frame proposed in
the Claims Application for the publication and mailing of the Notice of Commencement for commodity futures customers, based on concerns that the claims process will take too long to get underway. (See, e.g., Opposition of Thomas A. Butler Jr. (ECF 246); Motion for an 80% Distribution of Dearborn Capital (ECF 253).) 16. The Trustee appreciates and agrees with the need to act promptly and
efficiently to institute the proposed expedited parallel customer claims processes. It was for that reason that the Trustees Claims Application was filed on an expedited basis and the Trustee moved for an emergency hearing. The time frame proposed in the Claims Application is the shortest time frame feasible to allow for publication and mailing. A short extension of the proposed time frame is necessitated by the adjournment and the briefing schedule on the Limited Objections to the Claims Application. Accordingly, as reflected in the amended Notice of Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), the Trustee requests that this Court enter an order approving the form of notice of commencement attached hereto as Exhibit 4(A) (the Notice of Commencement), and directing the Trustee to publish such notice no later than December 2, 2011 in The New York Times, all editions; The Wall Street Journal, all editions; The Financial Times, all editions; and The Chicago Tribune, all editions. Further, the Trustee requests that this Court enter an order directing the mailing of the amended Notice of Commencement not later than December 2, 2011 to persons who, as identified from the Debtors books and records, may potentially assert claims as securities
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customers, commodity futures customers, or general creditors and finding that such mailing complies with SIPA 78fff-2(a)(i) and Bankruptcy Code 765(a) and 17 C.F.R. 190.02(b)(4). In addition, the Trustee will promptly make claim forms and instructions available for download on the Trustees website, www.mfglobaltrustee.com, to enable claimants to download and submit completed claim forms promptly to the Trustee. The December 2, 2011 date for publication of the amended Notice of Commencement and mailing of claim forms is the earliest date practicable, and does not preclude the Trustee from accepting completed claim forms, once approved by the Court, in advance of the publication and mailing date. Bar Date for Commodity Futures Customers 17. The Trustee has received comments from former MFGI customers or their
representatives or counsel that the claims period for the filing of commodity futures customer claims should be shortened in order to expedite the claims process. (See, e.g., Opposition of Thomas A. Butler Jr. (ECF 246); Motion for an 80% Distribution of Dearborn Capital (ECF 253).) 18. Based on the proposed extended December 2, 2011 publication and
mailing date, and as reflected in the amended Notice of Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), the Trustee requests that the bar date for the claims of commodity futures customers be So Ordered as January 31, 2012.6 This proposed bar
Also based on the proposed extended December 2, 2011 publication and mailing date, and as reflected in the amended Notice of Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), the Trustee requests that (i) the bar date for the maximum possible protection for securities customer claims under SIPA be So Ordered as January 31, 2012 and (ii) the bar date for all claims be So Ordered as June 2, 2012. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing information occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered by the Court will remain in full force and effect.
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date will allow claimants adequate time to complete and file their claims, and will streamline the Trustees administration of the MFGI liquidation, insofar as it is parallel to the sixty-day SIPAmandated notice period for securities customers to be eligible for maximum possible protection under SIPA. See 15 U.S.C. 78fff-3(a)(3). 19. The Trustee will review and determine claims on a rolling basis, and fully
intends, to the extent legally and practicably possible, to make partial interim distributions of customer property. A shortening of the claims period for commodity futures customers will not necessarily speed the Trustees review and determination of claims, and is to the potential prejudice of MFGIs customers, who are entitled to a reasonable claims period during which they may timely file their claims. Trustees Determination and Satisfaction of Claims 20. Some former MFGI customers or their representatives or counsel
suggested that the Claims Application should establish deadlines by which the Trustee must complete his determination of claims, and by which the Trustee must satisfy allowed claims or reclassify disallowed customer claims as secured or unsecured general creditor claims. (See, e.g., Objection of the Commodity Customer Coalition (ECF 251); Limited Objection of Dearborn Capital (ECF 252); Opposition of Thomas A. Butler Jr. (ECF 246).) 21. The proposed claims procedures reflected in the amended Notice of
Commencement, Proposed Forms, and Proposed Order, attached hereto as Exhibit 4(A-G), will allow the Trustee to act on a rolling basis and as swiftly as practicable in determining customer claims and in making potential partial interim distributions, and, ultimately, final distributions on allowed claims. Particularly in view of the Trustees ongoing investigation into the apparent significant shortfall of commodity customer segregated funds (as well as the ongoing investigations of several regulatory and government agencies), it is not feasible to establish 12
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deadlines by which the Trustee must complete his final determination on and satisfaction of claims. The Trustee further notes that, pursuant to the claims procedures proposed by the Trustee, if a claim is denied or denied in part as a customer claim entitled to share in customer property, it will be reclassified as a secured or unsecured general creditor claim at the same time as the denial as part of the determination of the claim, if appropriate. Interim Reports 22. The Trustee also has received requests that the Trustee provide periodic
status reports, perhaps monthly, addressing topics including the claims received and determined, distributions made, the Trustees investigation regarding the apparent shortfall of customer funds, and the Trustees intentions and plans going forward. (See, e.g., Suggestion of David McCarthy, submitted to the Trustees counsel by email dated Nov. 17, 2011.) 23. As noted in the Claims Application, SIPA 78fff-1(c) requires that the
trustee report his progress to this Court. The Trustee requested in the Claims Application that the Court enter an order directing the Trustee to file interim reports as required under SIPA and this was reflected in the language of the original Proposed Order attached thereto. Likewise, the amended Proposed Order attached hereto as Exhibit 4(G) requires the filing of the first report within six months after the Notice of Commencement and at least every six months thereafter. It would be an inefficient use of the Debtors resources to prepare reports more frequently, to the detriment of customers. In addition to the interim report, the Trustee also will continue to actively provide information and frequent status reports on his website, www.mfglobaltrustee.com, where relevant and timely updates have been and will continue to be posted.
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Formal Claim Objection Procedures 24. Some of the Limited Objections propose that, upon receiving the Trustees
determination, customers should have the right to seek immediate redress in the Bankruptcy Court by filing a motion instead of awaiting the Trustees commencement of a proceeding under Rule 9014. (See, e.g., Limited Objection of Certain MF Global Inc. Claimants (ECF 345); this issue also was raised during the November 17th meet and confer session.) Other customers seemed to express similar concern about a lack of time frame regarding the formal dispute resolution. Moreover, some customers seemed to object to allowing the Trustee to resolve customer disputes informally. (November 17th meet and confer session.) 25. To address these concerns, the Trustee proposes new procedures as
reflected in the amended Proposed Order, attached hereto as Exhibit 4(G). The Trustee is committed to resolving any objections to claims determinations that may be filed as quickly as possible, without the need for judicial intervention, and the amended Proposed Order attached hereto as Exhibit 4 (G) has language directing all parties to cooperate to resolve disputes. However, in the event that a formal adjudication is needed to resolve an objection to the Trustees claim determination, the amended Proposed Order attached hereto as Exhibit 4(G) provides for the following procedure: a. Once a claimant has timely objected to the Trustees
determination, the Trustee, within 120 days of receiving a claimants notice of opposition to the Trustees determination, is obligated to use best efforts to request a status conference with the Court or to file a motion to uphold the determination (without prejudice to stipulating to extensions of such deadlines or informally resolving the objection).
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b.
Should the Trustee fail to timely move for a status conference or to
uphold the determination, absent good cause shown, the claimant may move the Court to set a date and time for a hearing on the dispute. 26. The new proposed formal claim objection procedures reflected in the
amended Proposed Order attached hereto as Exhibit 4(G) will provide claimants with a full and fair opportunity to access the Court, while still providing the Trustee with a reasonable amount of time to either settle the dispute without court intervention or to determine if there may be a number of similarly situated claimants so that the Trustee may alert the Court at the initial conference and the similarly situated claimants can be addressed uniformly. The Trustee believes that allowing individual objectors unhampered rights to file motions and attendant discovery without giving the Trustee an opportunity to informally resolve the dispute or discuss orderly scheduling with the claimant would disrupt the Trustees orderly administration of the MFGI liquidation and hinder the Trustees ability to carry out his duties to all customers. 27. Moreover, by assessing whether a claimants objection is based on a
determination that affects similarly situated customers (which is a likely scenario), the Trustee serves an important gatekeeper function that serves the interest of the Court and the customers and gives the Court an opportunity to resolve such overlapping issues on an omnibus basis. The Trustee remains committed to resolving disputes informally and swiftly wherever possible. Specifically Identifiable Property 28. Certain Limited Objections interposed by former MFGI customers or their
representatives or counsel noted that the Trustee already has sought information from customers regarding instructions concerning cash, cash equivalents or other property that might potentially be eligible for treatment as specifically identifiable property, as defined in the Part 190 Rules, and expressed concern that it was not clear from the Claims Application and the Proposed Forms 15
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attached thereto what impact or interplay, if any, these separate procedures concerning specifically identifiable property would have with respect to the proposed expedited commodity futures customer claims process. (This issue was raised during the November 17th meet and confer session by Sander L. Esserman, counsel for certain MF Global Inc. Claimants; see also, e.g., Limited Objection and Request for Clarification of George Lichtenstein (ECF 249); Supplemental Statement of George Lichtenstein (ECF 351).) 29. In consideration of this feedback, the Trustee has revised the commodity
futures customer claim form and related instructions, as reflected in the amended Proposed Forms attached hereto as Exhibit 4(C), to better identify and explain the interplay between the claims process and the rights of commodity futures customers who timely filed notice regarding what they believe to be eligible for treatment as specifically identifiable property. (See also Exhibit 3(C) (redline), attached hereto.) The amended proposed commodity futures customer claim form instructions (attached hereto as Exhibit 4 (C)), make clear that the Trustee is seeking information about a customers entire relationship with MFGI, regardless of whether the customer had margin (i.e., cash, cash equivalents, or other property), open trade equity, or cash, cash equivalents, or other property that could potentially be deemed eligible for treatment as specifically identifiable property in the customers account, or some combination thereof. (See also Exhibit 3 (C) (redline), attached hereto.) The Trustees professionals have logged all of the timely requests and instructions received from commodity futures customers who identified their potential specifically identifiable property, and as soon as the Trustees professionals are able to reconcile what specifically identifiable property was maintained by MFGI for its customers, those customers will be notified directly about how they should proceed. That process is separate fromand should not slow the initiation ofthe expedited claims procedure, which is
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designed to determine and distribute what was customer property (regardless of whether it was held as cash, cash equivalents, or specifically identifiable property, or otherwise) as quickly as possible. Commodity Futures Customer Claim Form 30. The Trustee received a number of helpful suggestions regarding the
content and form of the original proposed commodities futures customer claim form and instructions (attached to the Claims Application as Exhibit C), that will achieve greater clarity and simplicity, including the following: Clarification as to whether account holders who traded domestic and foreign futures in a single account should file separate claims forms for the same account. (This suggestion was received by counsel for the Trustee during the November 17th meet and confer session.) Clarification of Item I in the original proposed claim form, which sought an estimation or calculation of the total sum of MFGIs indebtedness to the claimant as of the close of business on October 31, 2011. (This suggestion was received by counsel for the Trustee during the November 17th meet and confer session; see also, e.g., Suggestion of Shireen N. Owlia, submitted to the Trustees counsel by email dated Nov. 16, 2011.) Addition of a space on the claim form where a claimant could indicate whether the claimant has previously filed notice with the Trustee regarding what the claimant believes to be eligible for treatment as specifically identifiable property. (This issue was raised during the
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November 17th meet and confer session by Sander L. Esserman, counsel for certain MF Global Inc. Claimants.) Clarification of the meaning of net equity and tracking language from MFGIs daily and monthly customer account statements. (This suggestion was received by counsel for the Trustee during the November 17th meet and confer session; see also, e.g., Recommendations of Cervino Capital Management, submitted to the Trustees counsel by email dated Nov. 17, 2011.) Addition of a mechanism in the claim form to allow the claimant to summarize the activity in the claimants accounts, post-Filing Date. (This suggestion was received by counsel for the Trustee during the November 17th meet and confer session.) 31. The amended proposed commodity futures customer claim form and
instructions (attached hereto as Exhibit 4 (C)) reflect revisions to the original proposed form and instructions, which are intended to address all of the above concerns. (See also Exhibit 3 (C) (redline), attached hereto.) Language in the instructions and on the claim form has been revised for clarity, and questions on the claim form have been added, broken out, and simplified. For example: The amended claim form now allows claimants to indicate whether an account includes domestic futures, options, or contracts, foreign futures, options, or contracts, or a mixture, as well as a space to designate the breakdown.
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The amended claim form no longer asks claimants the total amount of MFGIs indebtedness to the claimant on the Filing Date, but instead requests the underlying information through a series of clearer questions.
The amended claim form instructions now specify that the Trustee seeks information about all aspects of the claimants account, including potential specifically identifiable property, even if the claimant has previously notified the Trustee regarding what the claimant believes to be eligible for treatment as specifically identifiable property, and the form asks whether the claimant has previously notified the Trustee about property that the claimant believes to be specifically identifiable property that is associated with the claimants account.
The amended claim form better tracks the language of MFGIs daily and monthly customer account statements to clarify to what is meant by netequity.
In addition, the Trustee has taken the opportunity to revise the claim form to break out questions regarding any activity in the account post-Filing Date, whether or not initiated by the claimant, including new questions designed to elicit information related to the bulk cash transfer recently approved by the Court on November 17, 2011, and any other post-Filing Date account activity.
Meeting with Customers and Creditors. 32. Some of the Limited Objections noted that while the meeting for the
customers and creditors is scheduled to take place before the proposed bar date for filing
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customer claims, the proposed date is not for several weeks. (See, e.g., Objection of the Commodity Customer Coalition (ECF 251).) 33. While one avenue available to the Trustee to keep customers and creditors
informed is the formal meeting, the Trustee has, in addition, already availed himself of other avenues, including establishing a designated call center for customer questions and maintaining and updating a website, www.mfglobaltrustee.com, with timely information. The Trustee has proposed January 12, 2012 for the formal meeting of customers and other creditors, which date the Trustee believes takes into account the need to give notice to all concerned parties about the meeting as well as to allow for scheduling a large meeting venue around the holiday season in order to maximize the ability of interested parties to attend. Additional Issues 34. There were additional comments received from or on behalf of MFGIs
former customers that were styled as Limited Objections to the Claims Application, but in fact, were not. Many of these have been addressed by the Trustee.7 For example, counsel for a customer requested that a link to the CFTCs Part 190 Rules be posted on the Trustees website, and, after consideration, and the Trustee now has done so.
7.
Still others could not be. For example, the Trustee received a comment that the current plan does not recognize the need to fill any shortfall in the customers accounts through asset liquidation. (See, e.g., Amended Objection of the Commodity Customer Coalition (ECF 352).) The Trustee will, of course, explore what possibilities are legally and practicably available to him to marshal assets and pay customers and creditors as the facts develop. The quantifying and resolution of the customer segregated funds shortfall is a task for the weeks ahead and should not delay the inception of the expedited customer claims process.
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Conclusion 35. For the reasons set forth above, the Trustee respectfully requests that this
Court enter the amended proposed order attached hereto as Exhibit 4(G), and grant such other and further relief as is just and proper. Dated: New York, New York November 21, 2011 HUGHES HUBBARD & REED LLP By: /s/ James B. Kobak, Jr. James B. Kobak, Jr. Christopher K. Kiplok Josiah S. Trager Meaghan C. Gragg One Battery Park Plaza New York, New York 10004 Telephone: (212) 837-6000 Facsimile: (212) 422-4726 Email: kobak@hugheshubbard.com Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 1
61589569_1
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Exhibit 1: Specific Objections and the Trustees Responses

1. Opposition of Thomas A. Butler Jr. (Docket No. 246) Objection Where there is a definite time period set forth a time period that is needlessly long. ( 3) Trustees Response The proposed dates are the earliest dates practicable and does not preclude the Trustee from accepting, determining and satisfying claims on a rolling basis in advance of the deadlines. Dates have been adjusted as necessary due to the adjournment and the briefing schedule on the Limited Objections to the Claims Application. Not feasible or practicable to establish definite dates. Proposed formal claim objection procedures have been modified to allow for set timeframes related to formal objections procedures. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex.3(G), p. 5 (redline version) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. . . . If within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the Court to set a time and date for a hearing on the claim determination dispute.).) Not practical or feasible to establish set deadlines.
The Trustees application sets forth no time estimates for most of the steps in the process, including the Trustees determination of the claims, the trustees satisfaction of approved claims, the filing by a claimant of a challenge to the Trustees determination and court review of same; and the reclassification of claims that are denied as customer claims entitled to share in customer property as secured or unsecured general creditor claims. ( 34)
The Proposed Order is vague about the length of time it will take to make final distributions. ( 3, 6)
2.
Limited Objection and Request for Clarification of George Lichtenstein (Docket No. 249) Objection Customers should have certain specifically identifiable property returned and the Trustee should provide assurances that no property will be liquidated. ( 4, 7) The Trustee should provide clear guidance as to the process of protection and return of customer property. ( 7) Trustees Response Such procedures are being evaluated by the Trustee. Those who timely notified the Trustee that they have specifically identifiable property (SIP) will not have such property liquidated, as required by appropriate rule. Notifications and instructions have been published and posted on the website, www.mfglobaltrustee.com. The Trustee has already established a designated call center for people to call and ask questions. Customers who timely notified the Trustee of the existence of SIP will be
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11-02790-mg Exhibit 1
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The Trustee should establish clear procedures for dealing with customer property, including requests for return of specifically identifiable property. ( 7)
notified directly with further instructions. Notifications and instructions have been published and posted on the website, www.mfglobaltrustee.com. Clear procedures provided in the amended Proposed Order. (See Reply Ex. 4(G) (clean version); Reply Ex. 3(G) (redline version).) The instructions for the claims form were revised to better identify the rights of customers with SIP. (See Reply Ex. 4(C) (Claim Form Instructions, p. 2) (clean version); Reply Ex. 3(C) (Claim Form Instructions, p. 2 (redline version)) (Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and complete information about your account will assist the Trustee in promptly satisfying your claim. ).
3.
Objection of the Commodity Customer Coalition (Docket No. 251) Objection The Trustees plan does not necessarily account for the priority that commodity investors should receive. ( 5-6) The Trustee should not exercise discretion as to whether or not make certain distributions. ( 8) It makes almost no sense to begin a claims process for creditor claims. No creditor claims should be processed . . . until 100% of customer funds held in customer segregated accounts have been returned. ( 9) The final flaw in the Trustees plan is simply the amount of time it will take to return the property of MFGIs customers. ( 12) Trustees Response Parallel proceedings proposed are appropriate as the pools of customer property for commodity futures customers and securities customers are separate and distinct. The Trustee requires discretion in order to more ably respond to unique situations. SIPA imposes an absolute bar date for all claims of six months after the publication of the Notice of Commencement. Non-customer general creditors also require timely notice. The Trustee has no obligation to review the claims of general creditors unless he determines that there will be a meaningful general estate distribution. 11 U.S.C. 704(a)(5); 15 U.S.C. 78fff-1(b). The Trustee has established a call center for customer questions and maintains a website, www.mfglobaltrustee.com, which is updated frequently. The January 12, 2012 date allows proper notice to all and allows for scheduling a large meeting venue around the holidays. The Trustee will review and determine claims on a rolling basis and intends to make interim distributions, as practical.
The Trustee does not intend to meet with creditors (or, really, customers) until well into the process. These meetings should take place right now. ( 10)
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MFGI customers should have the right to form an Ad Hoc Committee to work with the Trustee and either propose an alternative plan or help modify the current plan. ( 13)
It is not practical or feasible to establish set shorter deadlines, as the investigations are ongoing. Customers are entitled to a reasonable claims period in which to file their claims but does not preclude the Trustee from accepting, determining and satisfying claims on a rolling basis in advance of the deadlines. The Trustee has worked with individuals on an informal basis and will continue to do so and while the Trustee intends to explore all options for making additional transfers and distributions outside the expedited claims process, it is not practical or feasible to eliminate the claims procedure, nor is it authorized by the governing law.
4.
Limited Objection of Dearborn Capital (Docket No. 252) Objection The Segregated Commodities Account Holders believe that at least 80% of their property in their accounts should be immediately distributed. ( 3) Trustees Response The Trustee has already transferred significant amounts of customer property, and is continuing such efforts, through Court-approved bulk transfers, and will continue to do so, to the extent practically and legally appropriate, in a manner that is both expeditious and prudent. Final determinations on individual requests for the return of property outside of a formal claims process is not feasible or authorized under SIPA, the Bankruptcy Code, and the CFTC Part 190 Regulations. Not practical or feasible to establish set deadlines while investigations are ongoing. Proposed formal claim objection procedures have been modified to require the Trustee to use best efforts to act within 120 days of the claimant filing a written opposition to the Trustees claim determination and establish procedures therewith. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), pp. 5-6 (redline version)) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. and Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.). The Trustee requires discretion in order to more ably respond to unique
The claims procedures are too lengthy and lack any deadline for the Trustee to complete his analysis and evaluation of the claims submitted. ( 4-5) The Trustees motion provides for a multi-month claims resolution procedure which limits discovery and other rights of creditors and grants the Trustee wide latitude to settle disputes without any oversight. ( 4)
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situations and resolve objections without judicial intervention. 5. Motion for an 80% Distribution of Dearborn Capital (Docket No. 253) Objection Customers should have access to 80% of their Cash/Liquid Assets. ( 38) Trustees Response The Trustee has already transferred significant amounts of customer property, and is continuing such efforts, , through Court-approved bulk transfers, and will continue to do so, to the extent practically and legally appropriate, in a manner that is both expeditious and prudent. Final determinations on individual requests for the return of property outside of a formal claims process is not feasible or authorized under SIPA, the Bankruptcy Code, and the CFTC Part 190 Regulations. Applicable regulations provide for a claims process and require that customers file a written proof of claim. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d). It is not practical or feasible to establish deadlines by which the Trustee must make partial interim distributions while investigations are ongoing. The Trustee will review and determine claims on a rolling basis, and intends, to the extent legally and practicably possible, to make partial interim distributions of customer property. The proposed dates are the earliest dates practicable. Dates have been adjusted as necessary due to the adjournment and the briefing schedule on the Limited Objections to the Claims Application. Allowing sixty days for the bar date allows customers time to respond, and is parallel to the sixty-day SIPA-mandated notice period. The six-month bar date is set by law. The January 12, 2012 date for the meeting of customers and creditors allows for proper notice and allows for scheduling a large meeting venue around the holidays, and will supplement the Trustees website, which is updated frequently. Proposed formal claim objection procedures have been modified to require the Trustee to use best efforts to act within 120 days of the claimant filing a written opposition to the Trustees claim determination and establish procedures therewith. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), pp. 5-6 (redline version)) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. and Prior to the Trustees filing of
The Claims Procedure Motion subjects customers and their property to a traditional bankruptcy claims adjudication process. ( 24) The Claims Procedure Motion fails to provide customers with any visibility as to the likelihood of an interim distribution in the near future. ( 24, 26)
The lengthy procedures set forth by the Trustee, including the Notice of Commencement, the bar dates for claims, the meeting of customers and creditors, and the procedures adjudicating disputed claims, have no rational basis for affecting parties who have their liquidated Cash/Liquid Assets property being held by MFGI. ( 25)
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The claims procedures do not make sense for MFGIs commodity accountholders. ( 30) The Claims Procedures Motion suggests that the possibility for an immediate (or proximate) interim distribution to Customers (at any level) will not occur.
a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.). Claims processes are required under SIPA, the Bankruptcy Code, and the CFTC Part 190 Regulations. The Trustee hopes to make interim distributions to the extent practical and feasible, but cannot guarantee that such further distributions can be made.
6.
Limited Objection of Certain MF Global Inc. Claimants (Docket No. 345) Objection The Trustee should establish expedited procedures for customer claimants who have received a disproportionately small return of their property. (II) Trustees Response Item II of the proposed claims form was amended to include questions that will allow the Trustee to determine if customers were included in a courtapproved bulk transfer. To the extent the Trustee in is a position to trueup customers through other transfers or distributions, these changes will allow the Trustee to more easily identify such customers. (See Reply Ex. 4(C) (Claim Form, pp. 3-6) (clean version); Reply Ex. 3(C) (Claim Form, pp. 4-6) (redline version).) Allowing individual objectors unhampered rights to file motions and attendant discovery without giving the Trustee an opportunity to informally resolve the dispute or discuss orderly scheduling with the claimant would disrupt the Trustees orderly administration of the MFGI liquidation and hinder the Trustees ability to carry out his duties to all customers. Proposed formal claim objection procedures have been modified to require the Trustee to use best efforts to act within 120 days of the claimant filing a written opposition to the Trustees claim determination and establish procedures therewith. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), pp. 5-6 (redline version)) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. and Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.). The claimant may then move the Court. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), p. 5 (redline
A customer is entitled to prompt determination whether its claim is disallowed and should be able to seek immediate review in the Bankruptcy Court.
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version)) (If within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the Court to set a time and date for a hearing on the claim determination dispute.). The Trustee serves an important gatekeeper function as he may determine overlapping issues on an omnibus basis.
7.
Supplemental Statement of George Lichtenstein (Docket No. 351) Objection The Trustee should provide a separate notice to customers who filed instructions for the return of specifically identifiable property (SIP) before November 15, 2011. This notice should make clear the interplay between the claims process, the customers rights, and the Trustees duties with respect to those who properly submitted SIP forms. ( 3(a)) Trustees Response The instructions for the claims form were revised to better identify the rights of customers with SIP. (See Reply Ex. 4(C) (Claim Form Instructions, p. 2) (clean version); Reply Ex. 3(C) (Claim Form Instructions, p. 2 (redline version)) (Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and complete information about your account will assist the Trustee in promptly satisfying your claim.). All timely requests were logged and as soon as the Trustee is able to reconcile what SIP was maintained by MFGI for its customers, those customers will be notified directly with instructions.
The Trustee should give notice that compliance with the November 15th deadline will not result in the liquidation of customer property. ( 3(b))
8.
Amended Objection of the Commodity Customer Coalition (Docket No. 352) Objection The claims procedure is too cumbersome for commodities customers and ignores available data. The claim form can and should be married to the MF Global account statements and should be distributed along with a statement from MF Globals back-office system. The Trustee can electronically generate a form and simply require customers to verify its accuracy. ( 2, 6-9) Trustees Response Applicable regulations provide for a claims process and require that customers file a written proof of claim. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d). This proposal presupposes the accuracy of MFGIs recordkeeping, which has not been established. The amended claims forms better track the language of MFGIs account statements to clarify the term net-equity and reduce customer confusion. (See Reply Ex. 3(C) (Claim Form, pp. 2-10) (redline version); Reply Ex. 4(C) (Claim Form, pp. 2-9) (clean version).) The Trustee will explore all legally and practicably available options to
The current plan does not recognize the need to fill any shortfall
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in customers accounts through asset liquidation and/or a claims process. ( 3) The Trustee has refused input from the industry. The CCC is filing a motion seeking the appointment of an Ad Hoc Committee, to be filled with industry experts who understand the plight of commodities customers and could provide expertise and funnel additional input to the Trustee on these and future issues. ( 4)
marshal assets. Quantifying and resolving the shortfall is a task for the weeks ahead and should not delay the claims process. The Trustee hosted a meet and confer session on November 17, 2011, and has reviewed the eight formal filings made in response to the Claims Application and 165 letters received by the Court, as well as numerous informal Limited Objections.
9.
Proposal from Commodity Customer Coalition (Informal Email dated 11/17/11)
Objection The funds should be disbursed under an alternative claims process that would require that: the funds email customers their account balances from their back-office Sungard or Rolf & Nolan systems, provide customers with five days to object to the balance and respond with remittance preferences. TBills should be liquidated and foreign currencies should be converted. Customers holding physicals should be contacted separately for liquidation or transfer.
Trustees Response Applicable regulations provide for a claims process and require that customers file a written proof of claim. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d). This proposal presupposes the accuracy of MFGIs recordkeeping, which has not been established.
10.
Recommendations of Cervino Capital Management Objection The Trustee should clarify the meaning of net equity based on MF Globals statements (Informal Email dated 11/17/11) Trustees Response The amended claims forms better track the language of MFGIs account statements to clarify the term net-equity and reduce customer confusion. (See Reply Ex. 3(C) (Claim Form, pp. 2-10) (redline version); Reply Ex. 4(C) (Claim Form, pp. 2-9) (clean version).) Although not an objection to the claims application, the Trustee addressed this concern and added the requested language to the Trustees website, www.mfglobaltrustee.com. This term does not appear in the amended application. The Trustee has already begun the process of returning customer property, through Court-approved bulk transfers, in a manner that is both expeditious and prudent.
Put a Statement on the Epiq Systems Website that the Bankruptcy Process Largely Follows Part 190 of the CFTCs Regulations. Define cash-only accounts Distribute 60% of Ending Balance or Total Equity.
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Final Determinations on individual requests for the return of property outside of a formal claims process is not feasible or authorized under SIPA, the Bankruptcy Code, and the CFTC Part 190 Regulations.
11.
Suggestion of David McCarthy Objection The proposed order should have a provision for the trustee to give a periodic status report, perhaps monthly, covering things like the claims received and determined, distributions made, the status of efforts to ascertain the extent to which customer segregated funds are missing, the trustees intentions and plans going forward. (Informal Email dated 11/17/11) Trustees Response The amended Proposed Order requires the filing of the first interim report within six months after the Notice of Commencement and at least every six months thereafter. (See Reply Ex. 3(G) (Proposed Order, p. 7) (redline version); Reply Ex. 4(G) (Proposed Order, p. 7) (clean version)) (ORDERED that the Trustee shall file his first report pursuant to SIPA 78fff-1(c) within six months after publication of the Notice of Commencement, and shall file interim reports at least every six months thereafter.) It is not an efficient use of the Trustees resources to produce such reports more frequently, but the Trustee will continue to actively update the website www.mfglobaltrustee.com.)
12.
Suggestion of Shireen N. Owlia Objection Clarify the proposed question How much was MF Global indebted to you on the filing day? (Informal Email dated 11/16/11) Trustees Response The Trustee replaced this question with clearer ones. (See Reply Ex. 4(C) (Claim Form, pp. 2-3) (clean version); Reply Ex. 3(C) (Claim Form, pp. 2-3) (redline version) (A. MF Global Inc. was, as of the close of business on October 31, 2011, indebted to me for the total sum of $_____________________________.).
13.
Correspondence of Robert Vahouny (Docket No. 121) Objection A claims process for segregated commodity customers is unlawful. Trustees Response Applicable regulations provide for a claims process and require that customers file a written proof of claim. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d).
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Correspondence of Gary L. Lovelady (Docket No. 181) Objection Priority should be given to commodity investors over securities investors because commodities investors do not have the same rights to insurance under SIPA. Trustees Response Parallel proceedings proposed are appropriate as the pools of customer property for commodity futures customers and securities customers are separate and distinct.
15.
Correspondence from Multiple Individuals Objection Customers should have immediate access to all or varying percentages of their property. (Various Letters to Court as of 11/17/11) Trustees Response The Trustee has already transferred significant amounts of customer property, and is continuing such efforts, through Court-approved bulk transfers, and will continue to do so, to the extent practically and legally appropriate, in a manner that is both expeditious and prudent. Final determinations on individual requests for the return of property outside of a formal claims process is not feasible or authorized under SIPA, the Bankruptcy Code, and the CFTC Part 190 Regulations.
16.
Correspondence from Multiple Individuals Objection Customers should receive priority over creditors. (Docket Nos. 141, 258, 325, 333) Trustees Response This objection is moot. SIPA, the Bankruptcy Code Commodity Broker Liquidation Provisions, and the CFTC Part 190 Regulations all grant priority to customers over general creditors.
17.
Objections/Concerns/Suggestions Raised During the Meet and Confer Session (11/17/11 Meeting) Objection The Trustee should clarify how the claim form will be applied to warehouse receipts. Trustees Response The instructions for the claims form were revised to better identify the rights of customers with SIP. (See Reply Ex. 4(C) (Claim Form Instructions, p. 2) (clean version); Reply Ex. 3(C) (Claim Form Instructions, p. 2 (redline version)) (Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and
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Priority should be given to claimants that did not receive a cash distribution but who have a large amount of cash in their account in addition to securities.
The claim form should be simplified.
The Trustee should distribute a worksheet or spreadsheet that will aid customers in filling out the form.
There should be clarity in the claim forms for account holders who trade in both domestic and foreign futures from the same account.
complete information about your account will assist the Trustee in promptly satisfying your claim.). Item II of the proposed claims form was amended to include questions that will allow the Trustee to determine if customers were included in a courtapproved bulk transfer. To the extent the Trustee in is a position to trueup customers through other transfers or distributions, these changes will allow the Trustee to more easily identify such customers. (See Reply Ex. 4(C) (Claim Form, pp. 4-6) (redline version); Reply Ex. 3(C) (Claim Form, pp. 3-6) (clean version).) The Trustee removed confusing language and introducing simpler and more focused questions. (See generally Reply Ex. 3(C) (redline version) and Reply Ex. 4(C) (clean version).) The Trustee removed confusing language and introducing simpler and more focused questions. (See generally Reply Ex. 3(C) (redline version) and Reply Ex. 4(C) (clean version).) Customers are requested to include any additional information that they believe will aid the Trustee in determining their claim. Item I.B of the revised commodity customer claim form now contains questions related to the margining of Foreign Futures. (See Reply Ex. 4(C) (Claim Form, p. 3) (clean version); Reply Ex. 3(C) (Claim Form, p. 3) (redline version).) ( B. If your account contained NO open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), you may skip the rest of this question. 1.
The Trustee should clarify the question How much was MF Global indebted to you on the filing day?
If, on October 31, 2011, your account contained open trade equity of or cash, cash equivalents, or other property (including margin) associated with Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), please identify the amounts of equity and cash, cash equivalents, or other property (and specify the currency and/or convert to USD) for each (use additional paper, as needed):). This question was replaced with clearer questions in Item I.A. of the claim form such as Please state your beginning and ending account balance . . . (See Reply Ex. 4(C) (Claim Form, p. 2-3) (clean version); Reply Ex. 3(C)
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Priority should be given to individuals that were not covered by the two transfer motions. The claim form should include a question that triggers immediate review.
The use of 10/31/11 as the reference date for calculating the amount claimed is problematic.
The funds should be disbursed under an alternative claims process that would require that the Trustee to distribute account statements from SunGard and provide customers with five days to object to the balance. After five days, the Trustee should distribute 60% immediately off the books and records. Alternatively, the claim form process should be run in conjunction with and supplemented by SunGard information. The formal claim objection procedures should be clarified. If there is a contested claim, the Trustee should move to affirm the Trustees position and the claimant should have an opportunity to respond. The Trustee should agree to bring on the motions within a set time. Alternatively, the claimant should have the option to bring their own motion to determine the validity of their claim.
(Claim Form, pp. 2-3) (redline version)) (A. MF Global Inc. was, as of the close of business on October 31, 2011, indebted to me for the total sum of $_____________________________.). Item II of the proposed claims form was amended to include questions that will allow the Trustee to determine if customers were included in a courtapproved bulk transfer. To the extent the Trustee in is a position to trueup customers through other transfers or distributions, these changes will allow the Trustee to more easily identify such customers. (See Reply Ex. 3(C) (Claim Form, pp. 4-6) (redline version); Reply Ex. 4(C) (Claim Form, pp. 3-6) (clean version).) Addition of a series of questions in Item II addressing account activity either initiated by the claimant or otherwise that affected the claimants account on or after October 31, 2011 will allow claimant to provide all information necessary to correctly value the claim. (See Reply Ex. 3(C) (Claim Form, pp. 4-6) (redline version); Reply Ex. 4(C) (Claim Form, pp. 3-6) (clean version).) Applicable regulations provide for a claims process and require that customers file a written proof of claim. See 15 U.S.C. 78fff-2(a)(2); 11 U.S.C. 342(a)(1); 17 C.F.R. 190.02(b)(4) and (d). This proposal presupposes the accuracy of MFGIs recordkeeping, which has not been established.
Proposed formal claim objection procedures have been modified to require the Trustee to use best efforts to act within 120 days of the claimant filing a written opposition to the Trustees claim determination and establish procedures therewith. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), pp. 5-6 (redline version)) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. and Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.). The claimant may then move the Court. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), p. 5 (redline version)) (If within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the
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Movants should have a collateral right to file a motion, perhaps subject to a minimum threshold such as $250,000.
The Trustee should prioritize determinations based on the size of the claimed amount. The Trustee should clarify the interaction between the specifically identifiable property claims filings and this claim
Court to set a time and date for a hearing on the claim determination dispute.). Allowing individual objectors unhampered rights to file motions and attendant discovery without giving the Trustee an opportunity to informally resolve the dispute or discuss orderly scheduling with the claimant would disrupt the Trustees orderly administration of the MFGI liquidation and hinder the Trustees ability to carry out his duties to all customers. The Trustee serves an important gatekeeper function as he may determine overlapping issues on an omnibus basis. Proposed formal claim objection procedures have been modified to require the Trustee to use best efforts to act within 120 days of the claimant filing a written opposition to the Trustees claim determination and establish procedures therewith. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), pp. 5-6 (redline version)) (The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. and Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.). The claimant may then move the Court. (See Reply Ex. 4(G), p. 5 (clean version); Reply Ex. 3(G), p. 5 (redline version)) (If within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the Court to set a time and date for a hearing on the claim determination dispute.). Allowing individual objectors unhampered rights to file motions and attendant discovery without giving the Trustee an opportunity to informally resolve the dispute or discuss orderly scheduling with the claimant would disrupt the Trustees orderly administration of the MFGI liquidation and hinder the Trustees ability to carry out his duties to all customers. The Trustee serves an important gatekeeper function as he may determine overlapping issues on an omnibus basis. The law requires the Trustee to treat all customers equitably. He will not agree to prioritize customers with larger claims over those with smaller claims. The instructions for the claims form were revised to better identify the interplay between the claims process and the rights of customers that timely
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The Trustee should clarify whether a sub-account counts as a separate account.
The claim form should include the question Did you file a request for the return of specifically identifiable property?
filed SIP claim forms. (See Reply Ex. 4(C) (Claim Form Instructions, p. 2) (clean version); Reply Ex. 3(C) (Claim Form Instructions, p. 2 (redline version)) (Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and complete information about your account will assist the Trustee in promptly satisfying your claim.). Further guidance provided in the instructions. (See Reply Ex. 3(C) (Instructions, p. 2) (redline version); Reply Ex. 4(C) (Instructions, p. 2) (clean version)) (A separate claim form must be filed for each account. If your account is a master account consisting of sub-accounts, you should claim the sub-accounts on a consolidated basis, and submit one claim form for the master account, but note the existence of the sub-accounts in the information regarding related accounts in Item (III.F).). The amended forms now ask if claimants separately identified any such potentially SIP to the Trustee. (See Reply Ex. 4(C) (Claim Form, p. 11) (clean version); Reply Ex. 3(C) (Claim Form, p. 11) (redline version).) C. If you checked any boxes in (IV.B.1-7), above, did you separately identify any such potentially Specifically Identifiable Property to the Trustee by written or electronic mail on or before November 15, 2011?
The claim form should be amended to allow some level of generality to account for future situations.
The instructions for completing the claim form and the claim form were amended to allow claimants to submit further explanation and detail regarding their claims and accounts. (See Reply Ex. 3(C) (Instructions, p. 1) (redline version); Reply Ex. 4(C) (Instructions, p. 1) (clean version); Reply Ex. 3(C) (Claim Form, p. 2) (redline version); Reply Ex. 4(C) (Claim Form, p. 2) (clean version).)
(In addition to the specific items and information sought in the enclosed commodity futures customer claim form, you should provide further explanation and detail regarding your claim and your account, as necessary, to aid the Trustee in the prompt satisfaction of your claim. NOTE: If needed, please provide a detailed description on a signed attachment of the basis for your answers below, and attach 13
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The claim form should be modified to use or refer to terminology utilized on the MF Global account statements. The Trustee should provide more information available to securities account holders.
any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information.).) The amended claims forms better track the language of MFGIs customers daily and monthly statements. (See Reply Ex. 3(C) (Claim Form, pp. 2-10) (redline version); Reply Ex. 4(C) (Claim Form, pp. 2-9) (clean version).) Website, www.mfglobaltrustee.com, has been and will continue to be updated frequently.
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11-02790-mg
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Exhibit 2
11-02790-mg
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LETTERS RECEIVED BY THE COURT REGARDING MF GLOBAL INC.

MF GLOBAL INC. CASE NO. 11-2790 NO. 1 2 3 4 CORRESPONDENCE Letter to Court from Joseph M. Zajac, filed November 7, 2011 Letter to Trustee from Matthew Wilson, dated November 7, 2011 Letter to Court from James Barthmaier, filed November 7, 2011 Letter to Court from Warren Pollock, dated November 8, 2011 Letter to Court from James G. (illegible), dated November 8, 2011 Letter to Court from Robert D. Benson, dated November 8, 2011 Letter to Court from Gerald J. Gottus, dated November 10, 2011 Letter to Court from HL Camp Futures, dated November 8, 2011 Letter to Court from Walter Augustine, dated November 9, 2011 Letter to Court from Robert Costello, dated November 8, 2011 Letter to Court from Gerald Gottus, dated November 9, 2011 Letter to Court from C. Howard, filed November 9, 2011 Letter to Court from Darin Brown, MD, PhD, filed November 7, 2011 Letter to Court from Gerald T. McFarland Jr, dated November 8, 2011 Letter to Court from Joseph M. Zajac, filed November 11, 2011 Letter to Court from HL Camp Futures, ECF NO. 82 83 84 85 SUBJECT Request for the return of customer property Request for the return of customer property Request for the return of customer property Request that the Court appoint a designated attorney to attend to customer interests; Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property; Request that the Trustee forego remuneration at this time Request for the return of customer property Request for the return of customer property; Request that the Trustee forego remuneration at this time. Request for the return of customer property Request for the return of customer property; Request for the resignation of the Trustee Request for the return of customer property Request that the Trustee Forego
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dated November 9, 2011 Letter to Court from Heath Rush, President, Rush Consultants, Inc., dated November 9, 2011 Letter to Court from James Barthmaier, dated November 8, 2011 Letter to Trustee from Andrew Abraham, Abraham Investment Management, filed November 8, 2011
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Remuneration at This Time Request for the return of customer property Request for the return of customer property Request for an investigation of regulators and/or financial institutions; Request for the resignation of the Trustee; Request for the return of customer property Request for the return of customer property Request for an investigation of regulators and/or financial institutions; Request for the resignation of the Trustee; Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Claims process is unlawful; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a
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Letter to Court from Frank Culon, dated November 9, 2011 Letter to Trustee from David L. Fowler, dated November 9, 2011
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Letter to Court from Gary Li, Principal, Washington Asset Advisors LLC, dated November 9, 2011 Letter to Court from Stacy Hanley, Great Pacific Trading Company, dated November 10, 2011 Letter to Court from Stacy Hanley, Great Pacific Trading Company, dated November 10, 2011 Letter to Court from Robert Vahouny, dated November 10, 2011 Letter to Court from Ben Davenport, dated November 11, 2011 Letter to Court from Waldo K. Wiens, dated November 12, 2011 Letter to Court from Alvina J. Wiens, dated November 14, 2011 Letter to Court from Robert Garvy, dated November 11, 2011 Letter to Court from Dr. Harold Landa, dated November 14, 2011
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Letter to Court from Eric Stein, dated November 14, 2011 Letter to Court from Pete M. Loewen, Loewen and Associates, Inc., dated November 12, 2011 Letter to Court from Mark Chapin, Managing Member, Revolution Capital Management LLC, dated November 14, 2011 Letter to Court from Gregory Baranoff, filed November 14, 2011 Letter to Court from Richard S. Scullin, CPA, filed November 14, 2011 Letter to Trustee from a MF Global Commodity Futures Segregated Customer, dated November 14, 2011
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creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Request for the return of customer property Request for an investigation of regulators and/or financial institutions; Request for the resignation of the Trustee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Author voices concern that the claims of general creditors might supersede the claims of customers; Request for the return of customer property Request for the return of
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Letter to Court from Dr. Klaus W. Schatz, dated November 11, 2011 Letter to Court from Dr. Klaus W. Schatz, filed November 15, 2011 Letter to Court from Eric J. Arscott, filed November 14, 2011 Letter to Court from David J Kay, MD, MPH, FAAP, dated November 14, 2011 Letter to Court from Daniel McCool, filed November 14, 2011 Letter to Court from Michael Geiger, November 14, 2011 Letter to Court from John B. Clark, Jr., filed November 14, 2011 Letter to Court from Annie Rousslang, filed November 14, 2011
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Letter to Court from Whitney C. Broach,
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filed November 14, 2011 Letter to Court from Robert F. Earl, Robert F. Earl and Company Business Consulting, dated November 14, 2011 Letter to Court from Parviz Poursalimi, dated November 14, 2011 Letter to Court from Kent Lachner, filed November 14, 2011 Letter to Court from Ryan Davies, CAIA, Principal, Alternative Holding Corp., dated November 14, 2011 Letter to Court from Sunil Bhakta, dated November 14, 2011 Letter to Court from David C. Lake, filed November 15, 2011 Letter to Court from John Karvelas, dated November 11, 2011 Letter to Court from Richard Daykin, dated November 11, 2011 Letter to Court from Bruce A. Stilwell, dated November 15, 2011 Letter to Court from Waldo K. Wiens, dated November 14, 2011 Letter to Court from Frederick G. Yuengling, III, President Yuengling Corporation, dated November 15, 2011 Letter to Court from Young Yim, filed November 15, 2011 Letter to Court from Roger N. Squire II, dated November 7, 2011 Letter to Court from Donald F. Miller, dated November 10, 2011 Letter to Court from Robert Flagg, dated November 9, 2011 Letter to Court from Kenneth Goodman, dated November 10, 2011 Letter to Court from Gerald J. Gottus, November 9, 2011 Letter to Court from Richard R. Snyder,
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customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Request for an investigation of regulators and/or financial institutions Request for the Return of Customer Property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of
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dated November 10, 2011 Letter to Court from Leo Sandau, Honolulu Puka Shell Exchange, dated November 8, 2011 Letter to Court from Jason Skole, dated November 10, 2011 Letter to Court from Bob McCartney, dated November 10, 2011 and November 11, 2011 Letter to Court from Gary L. Lovelady, dated November 10, 2011 Letter to Court from Jim Dawkins, dated November 11, 2011 Letter to Court from Theodore G. Mayer, MD, dated November 15, 2011 Letter to Court from Gary J. McAdam, dated November 15, 2011 Letter to Court from Robert Martin, dated November 15, 2011 Letter to Court from Robert T. Patton, dated November 14, 2011 Letter to Court from Howard L. Feldman, dated November 15, 2011 Letter to Court from Mark J. Hulings, President, Paradox Futures, LLC, dated November 11, 2011 Letter to Court from Edward Heming, dated November 11, 2011 Letter to Court from Sam Easley, filed November 10, 2011 Letter to Trustee from Murat Seyhan, filed November 11, 2011
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customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for priority treatment for commodity futures accounts over securities accounts Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the resignation of the Trustee Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for an investigation of regulators and/or financial institutions; Request for the resignation of the Trustee; Request for the return of customer property Request for the return of customer property Request for the return of customer property Request for the return of customer property
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Letter to Court from Rohit Patel, dated November 10, 2011 Letter to Court from Amsey Boyd, dated November 11, 2011 Letter to Court from John G. Wallace, Managing Director, MacKenzie Wallace &
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Co. Ltd Letter to Court from Curtis and Cindy Cerenzie, dated November 11, 2011
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Letter to Court from HL Camp Futures, dated November 11, 2011 Letter to Court from Barry Cogburn, dated November 11, 2011 Letter to Court from Zachary Oxman, Managing Director, CTS Consulting, Inc., dated November 11, 2011 Letter to Court from Stanley P. Haar, dated November 11, 2011 Letter to Court from Pablo Perfumo, dated November 11, 2011 Letter to Court from Darryl Tremelling, dated November 11, 2011 Letter to Court from Ken Kinkopf, President, Kinkopf Capital Management, LCC, dated November 11, 2011 Letter to Court from Donald F. Miller, filed November 12, 2011 Letter to Court from Glenn Jackel, dated November 10, 2011 Letter to Court from Ernest Kevin Wallien, dated November 11, 2011 Letter to Court from Ernest Kevin Wallien, filed November 12, 2011 Letter to Court from Ken Kinkopf, filed November 12, 2011 Letter to Court from Pablo J. Perfumo, filed November 12, 2011 Letter to Court from Jason Skole, dated November 11, 2011 Letter to Court from Jeffrey W. Parker, filed November 14, 2011 Letter to Court from Daniel Reinhardt, filed
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Request for an investigation of regulators and/or financial institutions; Request for the resignation of the Trustee; Request for the return of customer property Expresses general disappointment Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Request for the return of customer property Request for the return of
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November 12, 2011 Letter to Court from William Somers, dated November 13, 2011 Letter to Court from Howard Bernstein, President, dated November 13, 2011 Letter to Court from Kevin O'Donnell, dated November 14, 2011 Letter to Court from Patricia Benvenuto, dated November 11, 2011 Letter to Court from James M. Mayer, dated November 11, 2011 Letter to Court from Nancy Vandermeer, dated November 11, 2011 Letter to Court from Mark J. Slepin, MD, MBA, FACEP, dated November 13, 2011 Letter to Court from John R. O'Sullivan, dated November 12, 2011 Letter to Court from Mark J. Slepin, MD, MBA, Fellow, American College of Emergency Physicians, dated November 13, 2011 Letter to Court from John Haveman, filed November 14, 2011 Letter to Court from James J. Meyer, dated November 11, 2011 Letter to Court from Peter W. Powers, Chief Executive Officer, Cranwood Capital Management LLC, dated November 10, 2011 Letter to Court from Warren Pollock, dated November 10, 2011 Letter to Court from Mark W. Whalen, Founder & Managing Member, Mark W. Whalen & Company, LLC, dated
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customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Author voices concern that the claims of general creditors might supersede the claims of customers Designation of a representative of former MFGI customers to a creditors' committee
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November 11, 2011 Letter to Court from Dennis Thomas, Managing Member, Newcastle Capital Markets, LLC, dated November 11, 2011 Letter to Court from Alvina J. Wiens, dated November 11, 2011 Letter to Court from M.E. Waller, dated November 11, 2011 Letter to Court from Martin J. Lichterman Jr., dated November 11, 2011 Letter to Court from Reggie Mobley, dated November 11, 2011 Letter to Court from Gary Krasna, Esq., dated November 14, 2011 Letter to Court from Lionel Zafar, dated November 10, 2011 Letter to Court from Daniel Ward, Owner, True Metals Group, LLC, filed November 10, 2011 Letter to Court from Tariq Zahir, Tyche Capital Advisors LLC, dated November 14, 2011 Letter to Court from Gary Lei Li, Principal Washington Asset Advisors LLC, dated November 15, 2011 Letter to Court from Elizabeth H. Dole, filed November 15, 2011 Letter to Court from Matt Evans, Partner, LAB Trading, LLC, dated November 15, 2011 Letter to Court from Gary Lei Li, November 16, 2011
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Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee; Request for the return of customer property Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property; Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customer Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative
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Letter to Court from Glenn Jackel, Managing Member Traxian Partners, LLC, dated November 15, 2011 Letter to Court from George Leslie, dated
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November 15, 2011 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 Letter to Court from Raj Hariharan, dated November 11, 2011 Letter to Court from Whitney C. Broach, dated November 15, 2011 Letter to Court from Ian Parker, filed November 15, 2011 Letter to Court from David C. Lake, dated November 11, 2011 Letter to Court from Kimberly Lake, dated November 11, 2011 Letter to Court from Jo Anne H. Lake, dated November 11, 2011 Letter to Court from Matthew B. Lake, dated November 11, 2011 Letter to Court from Kevin C. Brown, President Summit Trust Company, dated November 11, 2011 Letter to Court from Stephen Somers, filed November 12, 2011 Letter to Court from Paul & Elizabeth Pecha, November 16, 2011 Letter to Court from Robert J. Hartman, dated November 11, 2011 Letter to Court from Jack & Karen Ensign, dated November 11, 2011 Letter to Court from Frederick G. Yuengling, III, President, Yuengling Corporation, filed November 15, 2011 Letter to Court from Mercy E. Brewer and John J. Brewer, dated November 16, 2011 Letter to Court from Joseph M. Zajac, filed November 16, 2011 Letter to Court from Pedro Salomao and Marcela Salomao, dated November 16, 275 276 284 285 287 291 292 293 294 295 297 300 301 302 303 304
of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee Request for the return of customer property Objection to the Trustee's Expedited Motion for an Order
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2011 143 144 145 146 147 148 149 150 Letter to Court from Elizabeth Rose McGuire, CEO, Keystone Trading Corporation, dated November 16, 2011 Letter to Court from Brian McGuire, dated November 11, 2011 Letter to Court from James C. Jamison, dated November 15, 2011 Letter to Court from Stephen Somers, dated November 16, 2011 Letter to Court from Steve Allen, dated November 11, 2011 Letter to Court from Navid Khalili, dated November 15, 2011 Letter to Court from David F Newell, dated November 11, 2011 Letter to Court from Jason Skole, dated November 16, 2011 305 306 307 308 310 311 312 313
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Letter to Court from Dan McCool, dated November 11, 2011 Letter to Court from Hilary Fike-Escajeda, dated November 16, 2011
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Letter to Trustee from Gary J. McAdam, Trustee for Growth Ventures, Inc. Profit Sharing Plan & Trust, dated November 16, 2011 Letter to Court from Richard Cornacchio, filed November 17, 2011
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Approving Further Emergency Transfers and Distributions to Customers Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Request that the Trustee forego remuneration at this time Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers Designation of a representative of former MFGI customers to a creditors' committee Designation of a representative of former MFGI customers to a creditors' committee; Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customer; Request for the return of customer property Request for the return of customer property Request for the return of customer property
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Letter to Court from Matt Evans, ALB Trading, LLC, dated November 15, 2011 Letter to Court from Wener Morawitz, filed November 16, 2011
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Letter to Court from Steve Meyers, President, GrainBelt Commoditites LLC, dated November 16, 2011 Letter to Court from David Steuer, filed November 16, 2011
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Author voices concern that the claims of general creditors might supersede the claims of customers Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers Request for the return of customer property Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers; Request for the return of customer property Request for the return of customer property Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers; Request for the return of customer property Objection to the Trustee's Expedited Motion for an Order Approving Further Emergency Transfers and Distributions to Customers Author voices concern that the claims of general creditors might supersede the claims of customers Request for the return of customer property Request for the return of customer property Designation of a representative of former MFGI customers to a creditors' committee
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Letter to Court from David J. Kay, filed November 17, 2011 Letter to Court from Danny Gordon, Hamilton Peak LP, dated November 17, 2011
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Letter to Court from Richard W. Sercer and Alma I Murphy, dated November 17, 2011
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Letter to Court from Matt Evans, LAB Trading, LLC, dated November 15, 2011 Letter to Court from Troy B Braithwaite, November 11, 2011 Letter to Court from Thomas Hammond and Thomas Farley, dated November 10, 2011 Letter to Court from Ian Parker, MF Global Customer, dated November 11, 2011
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Exhibit 3(A)
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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re MF GLOBAL INC., Debtor. Commencement of Liquidation Proceeding NOTICE IS HEREBY GIVEN that on October 31, 2011 the Honorable Paul A. Engelmayer, Judge of the United States District Court for the Southern District of New York, entered an Order granting the application of the Securities Investor Protection Corporation (SIPC) for issuance of a Protective Decree adjudicating that the customers of MF Global Inc. (the Debtor), are in need of the protection afforded by the Securities Investor Protection Act of 1970 (SIPA). James W. Giddens (the Trustee) was appointed trustee for the liquidation of the business of the Debtor, and Hughes Hubbard & Reed LLP was appointed as counsel to the Trustee. Deadlines for Submitting Claims NOTICE IS HEREBY GIVEN that commodity futures customers of the Debtor must file their claims with the Trustee within SIXTY DAYS after the date of this Notice or their claim will be barred (unless extended, for good cause only). No extension for filing a commodity futures customer claim will be granted beyond the six-month period after the date of this Notice, regardless of cause. Commodity futures customer claims that are filed after the sixty-day period, but before the six-month period after this Notice may be afforded general creditor status. Securities customers of the Debtor who wish to avail themselves of the maximum protection afforded to them under SIPA are required to file their claims with the Trustee within SIXTY DAYS after the date of this Notice. Securities customers may file their claims up to six months after the date of this Notice; however, the filing of securities customer claims after the sixty-day period but within the six-month period may result in less protection for the securities customer under SIPA. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005 Case No. 11-2790 (MG) SIPA
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Customer claims will be deemed filed only when received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. Forms for the filing of customers claims are being mailed to customers of the Debtor as their names and addresses appear on the Debtors books and records. Customer claim forms are also available on the Trustees website, www.mfglobaltrustee.com, or by writing to the Trustee at the address of his counsel below. Claims by broker-dealers for the completion of open contractual securities commitments must be filed with the Trustee within sixty days after the date of this Notice. Such claims will be deemed to be filed only when received by the Trustee. All other creditors of the Debtor must file formal claims with the Trustee at the address shown above within SIX MONTHS after the date of this Notice. All such claims will be deemed filed only when received by the Trustee. For the avoidance of doubt, (i) claims of commodity futures customers must be received by the Trustee on or before January 27,31, 2012; (ii) claims of securities customers seeking the maximum protection under SIPA must be received by the Trustee on or before January 27,31, 2012; and (iii) all claims must be received by the Trustee on or before May 28,June 2, 2012, or they will be absolutely barred. No commodity futures customer claim will be allowed unless received by the Trustee on or before January 27,31, 2012, or unless extended (for good cause only); but, if received by the Trustee after January 27,31, 2012, but on or before May 28,June 2, 2012, a commodity futures customer claim may be afforded general creditor status. The Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. Automatic Stay Of Actions Against The Debtor NOTICE IS HEREBY GIVEN that as a result of the issuance of the Protective Decree, certain acts and proceedings against the Debtor and its property are stayed as provided in 11 U.S.C. 362 and by order of the United States District Court for the Southern District of New York, entered October 31, 2011 by the Honorable Paul A. Engelmayer. Meeting of Customers and Other Creditors NOTICE IS HEREBY GIVEN that a meeting of customers and other creditors will be held at the New York Marriott Downtown, 85 West Street, New York, NY 10006, on January 12, 2012 at 10:00 a.m. The Trustee will preside at such meeting, to provide information about the customer claims process and the progress of this SIPA liquidation. Additional Information NOTICE IS HEREBY GIVEN THAT copies of this Notice, claim forms, and other background on this SIPA liquidation may be found on SIPCs website, www.sipc.org under
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Proceedings/Liquidation, and on the Trustees website, www.mfglobaltrustee.com. From time to time other updated information and notices concerning this proceeding may also be posted at these websites. Dated: New York, New York November 28,December 2, 2011 HUGHES HUBBARD & REED LLP One Battery Park Plaza New York, New York 10004 Telephone: (212) 837-6000 Facsimile: (212) 422-4726 Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 3(B)
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MF GLOBAL INC. In Liquidation November 28,December 2, 2011 TO ALL PERSONS ASSERTING CLAIMS AS SECURITIES CUSTOMERS OF MF GLOBAL INC.: Enclosed are a securities customer claim form, securities customer claim form instructions, and a separate letter for broker dealers having open securities or money balances as of October 31, 2011 with MF Global Inc. (the Debtor). You will receive a separate securities customer claim form packet for each securities account you have with MF Global Inc., as identified from MF Global Inc.s books and records. If you also have one or more commodity futures customer accounts with the Debtor, you also will receive a separate claim packet for filing a commodity futures customer claim for each such account. Should you require additional or different forms, all claims forms are available at the Trustees website, www.mfglobaltrustee.com. You are urged to read these and the other enclosed documents carefully. They explain steps to protect any rights and claims you may have in this liquidation proceeding. In addition, the Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. The Trustee is actively seeking to find SIPC-member firms that are willing and able to accept the bulk transfer of some or all of the Debtors securities customer accounts. Regardless of any transfer or closeout of your positions with the Debtor, if you believe that the Debtor still owes you cash or securities from one or more securities customer accounts, you must fill out a securities customer claim form for each separate securities account that you are claiming. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
A return envelope for the completed claim form(s) is enclosed. Please make a copy of your claim form(s) for your own records before mailing. Your claim(s) will not be deemed to be filed until received by the Trustee. If you submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via
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certified mail, return receipt requested. Your return receipt will be the only document you will receive that shows your claim has been received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. If, at any time, you complained in writing about the handling of your securities account(s) to any person or entity or regulatory authority, and the complaint relates to the cash, securities, or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim. It is your responsibility to report accurately all securities positions and money balances in connection with your securities account(s) with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may file an estimated claim. One of the purposes of the liquidation is to return securities and cash due to customers as promptly as practicable. In that connection, funds of the Securities Investor Protection Corporation may be utilized to pay valid securities customer claims relating to securities and cash up to a maximum amount of $500,000.00 for each customer, including up to $250,000.00 for claims for cash, as provided in the Securities Investor Protection Act of 1970, as amended. To qualify for the maximum protection afforded under SIPA, your securities customer claim form must be received by the Trustee on or before January 27,31, 2012. Your cooperation in promptly returning the appropriate completed securities customer claim form to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding. Very truly yours,
James W. Giddens Trustee for the SIPA Liquidation of MF Global Inc.
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MF GLOBAL INC. In Liquidation November 28,December 2, 2011 TO BROKERS AND DEALERS HAVING OPEN SECURITIES POSITIONS OR MONEY BALANCES ASSOCIATED WITH SECURITIES ACCOUNTS AS OF OCTOBER 31, 2011, WITH MF GLOBAL INC.: The United States District Court for the Southern District of New York entered an order on October 31, 2011 finding that customers of MF Global Inc. (the Debtor) were in need of the protection afforded by the Securities Investor Protection Act of 1970, as amended (SIPA). The District Court immediately appointed a trustee to liquidate the business of the Debtor (the Trustee). The Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. You may also wish to review SIPC Rules Regarding Closeout or Completion of Open Contractual Commitments, 17 C.F.R. 300.300-300.307, available at www.sipc.org/who/statute.cfm. To recover upon any claim you may have against the Debtor, you must carefully follow the instructions contained in this package. Enclosed is the Notice of Commencement, as well as instructions for filing a claim and claim form. You are urged to read all of the above referenced documents carefully. They explain what steps, if any, you must take to protect any rights and claims you may have in this liquidation proceeding. Claimants are advised to submit their completed claim forms electronically online at www.mfglobaltrustee.com, or to mail their completed claim forms to the Trustee by certified mail, return receipt requested. Please make a copy of the completed claim forms and retain them for your own records. Your claim forms will not be deemed to be filed until received by the Trustee. To receive maximum protection afforded under SIPA, your claim forms must be received by the Trustee on or before January 27, 2012.31, 2012. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim.
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It is your responsibility to report accurately all securities positions and money balances in connection with your securities account with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. Your cooperation in promptly requesting and returning the completed broker claim forms to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding.
Very truly yours,
______________________________ James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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INSTRUCTIONS FOR COMPLETING THE SECURITIES CUSTOMER CLAIM FORM PLEASE READ CAREFULLY
IF YOUR CLAIM IS NOT BASED ON A SECURITIES ACCOUNT YOU DO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A SECURITIES CUSTOMER CLAIM FORM These instructions are to help you complete the securities customer claim form enclosed. If you believe that MF Global Inc. (MFGI) owes you cash or securities, and you wish to claim them, the Trustee must receive your claim on or before the date specified on the claim form. Even if your securities account(s) has been transferred to another SIPC-member firm, if you believe MFGI still owes you cash or securities, and you wish to claim them, you must timely submit a claim. If you submit an improperly completed claim form or do not provide sufficient information to support your claim, the Trustee may send you a deficiency letter, indicating what additional information is required to process your claim. Failure to timely respond and provide sufficient information may result in a delay in satisfaction of your claim or its disallowance. Item I seeks a statement of the total amount you are claiming with respect to your securities account. Please state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) all securities owed to you by MFGI less all securities you owe MFGI, if any. Item II seeks details about your claim with respect to your securities account. Item (A) is to be completed if on the date shown, MFGI owed you cash or if you owed MFGI cash. If MFGI owes money to you, please indicate the amount in the space provided Item (A.1). If you owe MFGI money, please so indicate in the space provided Item (A.2). If MFGI owes you securities and you wish to receive those securities without deduction, then you must enclose your check for the amount shown in Item (A.3) payable to James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc. Payments not enclosed with this claim form will not be accepted by the Trustee for purposes of determining what securities are to be distributed to you. Item (B) seeks details about securities (including any options) held for you. If MFGI is holding securities for you or has failed to deliver securities to you, please indicate by checking the appropriate box under Item (B) and set forth in detail the information required with respect to the date of the transaction, the name of the security and the number of shares or face value of bonds. With respect to options, set forth the number and type of options, the exercise price and expiration date, e.g., 3 options [call] or [put] GE at 25 2x December 2011. Please do not claim any securities you already have in your possession.
Item III seeks additional information about your claim with respect to your securities account. Items (1) through (8) must each be marked and details supplied where appropriate,
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along with any supporting documentation you have. If you do not provide sufficient details, you may receive a deficiency letter based on insufficient information. If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements (in particular, your last account statement), and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash and/or securities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. A separate claim form must be filed for each account. When To File There are two deadlines for filing securities customer claims. One is set by the Bankruptcy Court for the maximum protection for securities customers under SIPA, and one is set by the law as an absolute bar for all claims. The Bankruptcy Court has set January 27,31, 2012 as the date for filing securities customer claims to be eligible for the maximum protection under SIPA. If your claim is received by the Trustee after January 27,31, 2012 but on or before May 28,June 2, 2012, your claim is subject to delayed processing and to being satisfied on terms less favorable to you. The law governing this proceeding absolutely bars the allowance of any claim, including a securities customer claim, not actually received by the Trustee on or before May 28,June 2, 2012. Neither the Trustee nor the Securities Investor Protection Corporation has authority to grant extensions of the May 28,June 2, 2012 bar date for filing of claims, regardless of the reason. If your securities customer claim is received even one day after the May 28,June 2, 2012 bar date, it will be disallowed. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. Please file well in advance so that there will be time to refile if, for instance, your claim is lost in the mail. Where To File The completed and signed claim form, together with supporting documents must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in the enclosed envelope to:
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If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656
If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BY CERTIFIED MAIL RETURN RECEIPT REQUESTED Your claim is not filed until received by the Trustee. If the Trustee does not receive your claim, although timely mailed, you could lose all your rights against MFGI. Your return receipt will be the only document you will receive that shows your claim has been received by the Trustee. THIS INSTRUCTION SHEET IS FOR YOUR FILEDO NOT RETURN YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOUR RECORDS.
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 61 of 173 SECURITIES CUSTOMER CLAIM FORM MF GLOBAL INC.
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Account Name: Account Number: Address: Contact Person:
Daytime Phone: Email: Taxpayer I.D. Number (Social Security No.):
PLEASE NOTE
THIS CLAIM FORM SHOULD BE USED ONLY IF YOU ARE A CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMER CLAIM BASED ON A SECURITIES ACCOUNT

A SEPARATE CLAIM FORM MUST BE FILED FOR EACH SECURITIES ACCOUNT. TO BE ELIGIBLE FOR THE MAXIMUM PROTECTION AFFORDED UNDER THE SECURITIES INVESTOR PROTECTION ACT (SIPA), ALL SECURITIES CUSTOMER CLAIMS MUST BE RECEIVED BY THE TRUSTEE ON OR BEFORE JANUARY 27,31, 2012; THE TRUSTEE WILL DETERMINE WHETHER CLAIMS MEET THE STATUTORY REQUIREMENTS FOR SECURITIES CUSTOMER CLAIMS UNDER SIPA; INCLUSION OF A CLAIM OR CLAIM TYPE ON THIS CLAIM FORM IS NOT DETERMINATIVE OF CUSTOMER STATUS UNDER SIPA. THE ABSOLUTE DEADLINE FOR FILING ALL SECURITIES CUSTOMER CLAIMS IS MAY 28,JUNE 2, 2012. NO CLAIM WILL BE ALLOWED IF IT IS RECEIVED AFTER THAT DATE. ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. CLAIMS THAT ARE FILED ELECTRONICALLY MUST BE RECEIVED BY 12:00 MIDNIGHT ON THE BAR DATE TO BE CONSIDERED TIMELY. YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNED CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED TO THE APPROPRIATE ADDRESS BELOW. IF YOU REQUIRE ADDITIONAL SPACE TO ANSWER ANY QUESTION, PLEASE ATTACH SEPARATE PIECES OF PAPER AND LABEL THE ANSWERS TO THE CORRESPONDING QUESTIONS FOR THIS CLAIMS FORM. ALL ATTACHMENTS MUST BE SIGNED BY YOU. YOU MAY ESTIMATE ANY VALUES/AMOUNTS ASSOCIATED WITH YOUR CLAIM. ANSWER ALL QUESTIONS AS FULLY AS POSSIBLE, TO THE EXTENT YOU KNOW OR CAN ESTIMATE THE INFORMATION REQUESTED. IF YOU ARE PROVIDING AN ESTIMATE, YOU MUST SO INDICATE. IF SOME OR ALL OF YOUR SECURITIES ACCOUNTS HAVE BEEN TRANSFERRED TO ANOTHER SIPC-MEMBER FIRM, BUT YOU BELIEVE YOU HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS. 4
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MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN THIS SIPA LIQUIDATION PROCEEDING. THIS SECURITIES CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC.
This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed promptly, together with supporting documentation, to the following: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 I. TOTAL AMOUNT CLAIMED If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
The total value of my claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to me by MFGI less all cash I owe to MFGI, if any, and (ii) the value of all securities owed to me by MFGI less all securities I owe to MFGI, if any, is: $_______________________________ Check one: ESTIMATED II. DETAILS OF YOUR CLAIM A. CLAIM FOR MONEY BALANCES OR CASH AS OF OCTOBER 31, 2011: 1. 2. 3. MFGI owes me a credit or cash in the amount of: I owe MFGI a debit or cash in the amount of: If you wish to repay the debit balance listed in Item (II.A.2), above, please insert the amount you wish to repay and attach a check payable to James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc. If you wish to make a payment, it must be enclosed with this claim form. $________________ $________________ CALCULATED
$________________
B.
CLAIM FOR SECURITIES AS OF OCTOBER 31, 2011: Please Do Not Claim Any Securities You Have In Your Possession
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YES 1. 2. 3. MFGI owes me securities: I owe MFGI securities: If yes to either, please list below (or in additional pages as necessary):
NO
Number of Shares or Face Amount of Bonds Date of Transaction (trade date) MFGI Owes Me (Long) I Owe MFGI (Short)
Name of Security
WHEN COMPLETING THE ABOVE PLEASE KEEP IN MIND:
If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash and/or securities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. Please explain any differences between the securities or cash claimed and the cash balance and securities positions on your last account statement. ADDITIONAL INFORMATION ABOUT YOUR CLAIM NOTE: Please check the appropriate answer for items 1 through 8, below. If you select YES, for any item, please provide a detailed explanation on a signed attachment, and attach any supporting documentation you have. If you do not 6
III.
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1.
2. 3.
4.
5.
6.
7.
8.
provide sufficient details, you may be sent a deficiency letter seeking additional information. YES NO Does your claim in any way relate to an entity other than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USA Inc. or another MF Global subsidiary)? Has there been any change in your account since October 31, 2011? Are you or were you a party to a repurchase or reverse repurchase agreement, or a director, officer, partner, shareholder, lender to, or capital contributor of MFGI? Are you related to, or do you have any business venture with, any of the persons specified in item (3), above, or any employee or other person associated in any way with MFGI? If so, give name(s). Are or were you a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI? Is this claim being filed on behalf of a customer of a broker or dealer or bank? If so, provide documentation with respect to each customer on whose behalf you are claiming. Have you ever given any discretionary authority to any person to execute securities transactions with or through MFGI on your behalf? Give names, addresses and phone numbers. Have you or any member of your family ever filed a claim under the Securities Investor Protection Act of 1970? If so, give name of that broker.
Please list the full name, address, phone number, and email address of anyone assisting you in the preparation of this claim form: Full name: Address: Phone number: Email address: If more than one person is assisting you, attach additional pages providing the information in the exact format above.
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IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF UP TO FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Signature Date Signature (If ownership of the account is shared (i.e., there is more than one name on the account), all must sign above. Give each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, e.g., corporate, trustee, custodian, etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)
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Exhibit 3(C)
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MF GLOBAL INC. In Liquidation November 28,December 2, 2011 TO ALL PERSONS ASSERTING CLAIMS AS COMMODITY FUTURES CUSTOMERS OF MF GLOBAL INC.: Enclosed are a commodity futures customer claim form, and commodity futures customer claim form instructions. You will receive a separate commodity futures customer claim form packet for each commodity futures account you have with MF Global Inc. (the Debtor), as identified from MF Global Inc.s books and records. If you also have one or more securities accounts with the Debtor, you also will receive a separate claim packet for filing a securities customer claim for each such account. Should you require additional or different forms, all claim forms are available at the Trustees website, www.mfglobaltrustee.com. You are urged to read these and the other enclosed documents carefully. They explain steps to protect any rights and claims you may have in this liquidation proceeding. ThroughYou may have received open commodity positions and/or cash or cash equivalents through court-authorized bulk transfers resulting from the extraordinary efforts and cooperation of the Trustee, the Securities Investor Protection Corporation, the Securities Exchange Commission, the Commodity Futures Trading Commission, and numerous derivatives clearing organizations, including the Chicago Mercantile Exchange, the vast majority of open commodity positions have been transferred along with collateral to other futures commission merchants in accordance with the Court order entered on November 2, 2011, approving these transfers. Regardless of any transfer of any portion of your account, if the Debtor still owes you cash or other property from one or more commodity futures customer accounts, and you wish to claim it, you must fill out a commodity futures customer claim form for each separate commodity futures account that you are claiming. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested, to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
A return envelope for the completed claim form(s) is enclosed. Please make a copy of your claim form(s) for your own records before mailing. Your claim(s) will not be deemed to be filed until received by the Trustee. If you submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via certified mail, return receipt requested. Your return receipt will be the only document you will
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receive that shows your claim has been received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. If, at any time, you complained in writing about the handling of your commodity futures account(s) to any person or entity or regulatory authority, and the complaint relates to the cash, securities or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim. It is your responsibility to report accurately all positions and money balances in connection with your commodity futures account(s) with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may file an estimated claim. One of the purposes of the liquidation is to satisfy commodity futures customer claims as promptly as practicable. Your commodity futures customer claim form must be received by the Trustee on or before January 27,31, 2012, or it will be barred (unless extended, for good cause only). The January 27,31, 2012 deadline for filing a commodity futures customer claim cannot be extended beyond May 28,June 2, 2012, even for good cause. If received by the Trustee after January 27,31, 2012, but on or before May 28,June 2, 2012, a commodity futures customer claim may be afforded general creditor status. Commodity futures customer claims are not eligible for Securities Investor Protection Corporation advances. Your cooperation in promptly returning the appropriate completed commodity futures customer claim form to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding. Very truly yours,
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INSTRUCTIONS FOR COMPLETING THE COMMODITY FUTURES CUSTOMER CLAIM FORM PLEASE READ CAREFULLY
IF YOUR CLAIM IS NOT BASED ON A COMMODITY FUTURES ACCOUNT YOU DO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A COMMODITY FUTURES CUSTOMER CLAIM FORM These instructions are to help you complete the enclosed commodity futures customer claim form. If you believe that MF Global Inc. (MFGI) owes you cash or other property that you wish to claim, the Trustee must receive your claim on or before the date specified on the claim form. Even if part of your commodity futures account(s) has been transferred to anotherone or more transferee futures commission merchantmerchants, you must timely submit a claim in order to claim cash or other property that you believe MFGI still owes you. If you submit an improperly completed claim form or do not provide sufficient information to support your claim, the Trustee may send you a deficiency letter, indicating what additional information is required to process your claim. Failure to timely respond and provide sufficient information may result in a delay in satisfaction of your claim or its disallowance. In addition to the specific items and information sought in the enclosed commodity futures customer claim form, you should provide further explanation and detail regarding your claim and your account, as necessary, to aid the Trustee in the prompt satisfaction of your claim. Item I seeks a statement of the total amount you are claiming with respect toof cash, cash equivalents, or other property (including margin) and open trade equity in your commodity futures account. Please state the total amount of MF Global Incs indebtedness to you as of the close of business on October 31, 2011, and indicate whether this is an estimated amount or calculated amount. Items (A.1) and (A.2) seek on October 31, 2011. If you cannot precisely calculate the amount, you may provide an estimate. In that case, please be sure to indicate that you are providing an estimate. Item (I.A) seeks a break down of the total amount you are claiming. In of (i) cash, cash equivalents, or other property (including margin) and (ii) open trade equity in your account. Item (A.1I.B) stateseeks the amount of open trade equity and cash or cash equivalents (including securities posted as collateral) in the account, as of October 31, 2011, and in Item (A.2) state the equity, as of October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash or cash equivalents, cash equivalents, or other property (including margin) related to Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States). Item II seeks details about any transfers out ofactivity, either initiated by you or otherwise, affecting your commodity futures account on or after October 31, 2011. Please state whether any part of your account was transferred to one or more transferee futures commission merchants after October 31, 2011, and, if so, provide details about the transfer(s). Item III seeks details about your commodity futures account. Please indicate the type of account you hold, the capacity in which you hold the account, whether the account is held by an MFGI insider, affiliate, or relative, whether the account is a discretionary account, whether the account is a joint account, whether you have any related accounts, and, if your claim
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is based on securities futures products, whether these are held in a futures account or a securities account. Item IV seeks additional details about your commodity futures claim. Please indicate whether MFGI has any claims against you, not included in your equity calculationstatement of account balance, provided in Item I, and whether the equity calculation. If the total amount you provided in Item I for your statement of account balance includes any deposits of money, securitiescash, cash equivalents or other property held by or for MFGI from or for your commodity futures account, and, if so, provide detail about such money, securitiescash, cash equivalents or other property. Please also indicate, if you are claiming securities, whether you wish to receive payment in kind, to the extent possible. Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and complete information about your account will assist the Trustee in promptly satisfying your claim. If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation canscan speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your commodity futures account to any person or entity or regulatory authority, and the complaint relates to the cash or other property that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. A separate claim form must be filed for each account. If your account is a master account consisting of sub-accounts, you should claim the sub-accounts on a consolidated basis, and submit one claim form for the master account, but note the existence of the sub-accounts in the information regarding related accounts in Item (III.F).
When To File The deadline for filing commodity futures customer claims is January 27,31, 2012. If your commodity futures customer claim(s) is not received by the Trustee on or before January 27,31, 2012, your claim(s) will be barred (unless extended, for good cause only). The January 27,31, 2012 deadline for filing a commodity futures customer claim cannot be extended beyond May 28,June 2, 2012, even for good cause. The law governing this proceeding absolutely bars the allowance of any claim, including a commodity futures customer claim, not actually received by the Trustee on or before May 28,June 2, 2012. Neither the Trustee nor
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the Securities Investor Protection Corporation has authority to grant extensions of the May 28,June 2, 2012 bar date for filing of claims, regardless of the reason. Please file well in advance so that there will be time to refile if, for instance, your claim is lost in the mail. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. Where To File The completed and signed claim form, together with supporting documents must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in the enclosed envelope to: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 72 of 173 COMMODITY FUTURES CUSTOMER CLAIM FORM MF GLOBAL INC. Daytime Phone: Email: Taxpayer I.D. Number (Social Security No.):
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PLEASE NOTE
THIS CLAIM FORM SHOULD BE USED IF YOU ARE A CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMER CLAIM BASED ON A COMMODITY FUTURES ACCOUNT A SEPARATE CLAIM FORM MUST BE FILED FOR EACH COMMODITY
FUTURES ACCOUNT. IF YOUR ACCOUNT IS A MASTER ACCOUNT CONSISTING OF SUB-ACCOUNTS, YOU SHOULD CLAIM THE SUB-ACCOUNTS ON A CONSOLIDATED BASIS AND SUBMIT ONE CLAIM FORM FOR THE MASTER ACCOUNT BUT NOTE THE EXISTENCE OF THE SUB-ACCOUNTS IN THE INFORMATION REGARDING RELATED ACCOUNTS IN ITEM (III.F). THE DEADLINE FOR FILING ALL COMMODITY FUTURES CUSTOMER CLAIMS IS JANUARY 27,31, 2012. NO COMMODITY FUTURES CUSTOMER CLAIM WILL BE ALLOWED IF IT IS RECEIVED AFTER THAT DATE (UNLESS EXTENDED, FOR GOOD CAUSE ONLY). THE JANUARY 27,31, 2012 DEADLINE FOR FILING A COMMODITY FUTURES CUSTOMER CLAIM CANNOT BE EXTENDED BEYOND MAY 28,JUNE 2, 2012, EVEN FOR GOOD CAUSE. IF RECEIVED BY THE TRUSTEE AFTER JANUARY 27,31, 2012, BUT ON OR BEFORE MAY 28,JUNE 2, 2012, A COMMODITY FUTURES CUSTOMER CLAIM MAY BE AFFORDED GENERAL CREDITOR STATUS. ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. CLAIMS THAT ARE FILED ELECTRONICALLY MUST BE RECEIVED BY 12:00 MIDNIGHT ON THE BAR DATE TO BE CONSIDERED TIMELY. YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNED CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED TO THE APPROPRIATE ADDRESS BELOW. IF YOU REQUIRE ADDITIONAL SPACE TO ANSWER ANY QUESTION, PLEASE ATTACH SEPARATE PIECES OF PAPER AND LABEL THE ANSWERS TO THE CORRESPONDING QUESTIONS FOR THIS CLAIMS FORM. ALL ATTACHMENTS MUST BE SIGNED BY YOU. YOU MAY ESTIMATE ANY VALUES/AMOUNTS ASSOCIATED WITH YOUR CLAIM. ANSWER ALL QUESTIONS AS FULLY AS POSSIBLE, TO THE EXTENT YOU KNOW OR CAN ESTIMATE THE INFORMATION REQUESTED. IF YOU ARE PROVIDING AN ESTIMATE, YOU MUST SO INDICATE. IF SOME OR ALL OF THE TRADE EQUITY OR CASH, CASH EQUIVALENTS OR OTHER PROPERTY IN YOUR COMMODITY FUTURES ACCOUNTS HAVEHAS BEEN TRANSFERRED TO ANOTHER FUTURES COMMISSION
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MERCHANT, BUT YOU BELIEVE YOU HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS. MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN THIS SIPA LIQUIDATION PROCEEDING. THIS COMMODITY FUTURES CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC. This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed promptly, together with supporting documentation, to the following: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 I. If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
AMOUNT CLAIMED ACCOUNT BALANCE AS OF OCTOBER 31, 2011 A. MF Global Inc. was, as of the close of business on October 31, 2011, indebted to me for the total sum of $_____________________________.
NOTE: If needed, please provide a detailed description on a signed attachment of the basis for your answers below, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. A. Please state your beginning and ending account balance as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin), and (ii) open trade equity: ESTI Check one:Are these estimated MATE amounts? DYES B. CALC ULAT EDNO
Is the entire sum you entered in part I.A based on cash or cash equivalents (including securities posted as collateral) in your commodity futures account (i.e., you had no open positions in your account on October 31, 2011)? Beginning balance: _____________________________ Ending balance: ________________________________ Account value at market: _________________________ 2
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1.
Please state the amount of cash, cash equivalents, or other property (including margin) in the account, as of October 31, 2011: __________________________________________________________. Please state the open trade equity in the account, as of October 31, 2011: __________________________________________________________.
2. B.
If your account contained NO open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), you may skip the rest of this question. OTHERWISE: 1. If, on October 31, 2011, your account contained open trade equity ofor cash, cash equivalents, or other property (including margin) associated withForeign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), please identify the amounts of equity and cash, cash equivalents, or other property (and specify the currency and/or convert to USD) for each (use additional paper, as needed): Check one:Are these estimated amounts? NOTE: YES NO
If you selected YES, you may skip the remainder of this question, otherwise, please answer the following questions: Foreign Futures open trade equity:_________________________. Please state the amount of Foreign Futures cash or cash equivalents in the account, as of October 31, 2011: _____________________________________.
1.
2.
Please state the equity, as of October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash or cash equivalents): _____________________________________.
NOTE: Please provide a detailed description on a signed attachment of the basis for your answers above, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. , cash equivalents, or other property:_______ _____________________________________________________.
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II. TRANSFERS OUT OF YOUR ACCOUNT ACTIVITY ON OR AFTER OCTOBER 31, 2011 THE FOLLOWING QUESTIONS ADDRESS ACCOUNT ACTIVITYEITHER INITIATED BY YOU OR OTHERWISETHAT AFFECTED YOUR ACCOUNT ON OR AFTER OCTOBER 31, 2011. A. Was any part ofIf your account had any open commodity contracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more transferee futures commission merchants after October 31, 2011? Check on e: OR No open commodity contracts were transferred from my account to a transferee futures commission merchant after October 31, 2011 NOTE: If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Identify the name(s) of the transferee futures commission merchant(s); IdentifySummarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one); and Specify the amount of collateralmargin (i.e., cash, cash equivalents, or other property), in U.S. dollars, that was transferred along with such commodity contracts, if any. Please state the open trade equity based on the commodity contracts that were transferred from the account: (i) (ii) As of the date of the transfer; and As the commodity contracts existed in the account on October 31, 2011. YES NO Check one: YES NO
3.
4.
Are these estimated amounts? B.
Did you liquidate any open commodity contracts on or after October 31, 2011? Check one: YES NO
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NOTE: If you selected NO, you may skip the remainder of this question. If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Summarize the commodity contracts (including futures and options on futures) that you liquidated. In order to determine the net profit/loss resulting from these liquidations, summarize the equity of the commodity contracts that you liquidated: (i) (ii) As of the date of the liquidation; As the commodity contracts existed in the account on October 31, 2011. Are these estimated amounts? 3. YES NO
Please indicate whether any of the open commodity contracts you liquidated on or after October 31, 2011 were Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States). Check one: YES NO
NOTE: If you selected NO, you may skip the remainder of this question. If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. (i) Summarize the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you liquidated. In order to determine the net profit/loss resulting from these liquidations, summarize the equity of the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you liquidated: (a) (b) As of the date of the liquidation; As the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) existed in the account on October 31, 2011.
(ii)
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Are these estimated amounts? C.
YES
NO
If your account had any cash, cash equivalents, or other property as of October 31, 2011, was any cash, cash equivalents, or other property transferred from your account to one or more transferee futures commission merchants after October 31, 2011OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts (which you should have identified in Item (II.A), above)? YES Check one: OR Not including any margin (i.e., cash, cash equivalents, or other property) that may have transferred with open commodity positions, no other cash, cash equivalents, or other property was transferred from my account to a transferee futures commission merchant after October 31, 2011.
NOTE: If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Identify the name(s) of the transferee futures commission merchant(s); and Identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Are these estimated amounts? D. YES NO
In the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or other property), if any, was transferred to another futures commission merchant: _____________________________________________.
III.
DESCRIPTION OF THE ACCOUNT A. Please specify the type of account (check oneall that are applicable): 1. 2. 3. 4. Futures account Foreign futures account Leverage account Option accountexchange-traded
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5. 6. 7.
Option accountdealer Delivery account* Cleared OTC derivatives account
*A delivery account is one which contains only documents of title, commodities, cash, or other
property identified to you and deposited for the purposes of making or taking delivery on a commodity underlying a commodity contract or for payment of the strike price upon exercise of an option.
B.
Please specify the capacity in which you hold the account (check all that are applicable): 1. 2. 3. 4. 5. 6. 7. 8. Individual capacity As guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform Gift to Minors Act As executor or administrator of an estate As trustee for the trust beneficiary In the name of a corporation, partnership, or unincorporated association As an omnibus customer account of the undersigned futures commission merchant As part owner of a joint account In the name of a plan which, on October 31, 2011, had in effect a registration statement in accordance with the requirements of 1031 of the Employee Retirement Income Security Act of 1974 and the regulations thereunder As agent or nominee for a principle or beneficial owner (and not described in Items (III.B.1-8)) In any other capacity not described above in Items (III.B.1-9) (please specify the capacity):
9. 10.
C.
Is any person (including a general partnership, limited partnership, corporation, or other type of association) on whose behalf the account is held one of the following persons or does one of the following persons, alone or jointly, hold 10% or more of the account? (Check all that are applicable):
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1. 2. 3. 4. 5. 6. 7.
MF Global Inc. Director of MF Global Inc. Officer of MF Global Inc. Person in control of MF Global Inc. Partnership in which MF Global Inc. is a general partner Owner of ten percent or more of the capital stock of MF Global Inc. Employee of MF Global Inc. whose duties include (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the trades or funds of customers of MF Global Inc.; or (d) the signing or cosigning of checks or drafts on behalf of MF Global Inc. Managing agent of MF Global Inc. A spouse or minor dependent living in the same household of ANY OF THE FOREGOING PERSONS (listed in Items (III.C.1-8), above), or any other relative, regardless of residency, defined as an individual related by affinity or consanguinity within the third degree as determined by the common law, or individual in a step or adoptive relationship with such degree. Affiliate of MF Global Inc.* Any of the persons listed in Items (III.C.1-8), above, if such person is associated with an affiliate of MF Global Inc. as if the affiliate were MF Global Inc.
8. 9.
10. 11.
*Affiliate of MF Global Inc. is defined as:

An entity that directly or indirectly owns, controls, or holds with power to vote, 20% or more of the outstanding voting securities of MF Global Inc., other than an entity that holds such securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to vote; A corporation 20% or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by MF Global Inc., or by an entity that directly or indirectly owns, controls, or holds with power to vote, 20% or more of the outstanding voting securities of MF Global Inc., other than an entity that holds such securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to vote;
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A person whose business is operated under a lease or operating agreement by MF Global Inc., or person substantially all of whose property is operated under an operating agreement with MF Global Inc.; An entity that otherwise, directly or indirectly, is controlled by or is under common control with MF Global Inc.; An entity that operates the business of all or substantially all of the property of MF Global Inc. under a lease or operating agreement; or An entity that otherwise, directly or indirectly, controls MF Global Inc.
D.
Is this a discretionary account? Check one: YES NO
NOTE: If you selected YES, specify who has the general authority to buy or sell orders or effectuate transactions for your account:_____________. E. Is this a joint account? Check one: YES NO
NOTE: If you selected YES, specify the amount of your percentage interest in the account, and whether all participants in a joint account are claiming jointly. 1. 2. My percentage interest in the account is: Participants in a joint account are claiming: _______ % (Check one) SEPARATELY F. Do you have any related accounts? Check one: YES NO FULLY JOINTLY
NOTE: If you selected YES, specify the account numbers of your related accounts. YOU MUST FILE A SEPARATE CLAIM FOR EACH ACCOUNT. _____________________________________________________________ _____________________________________________________________ G. Is your claim based on securities futures products? Check one: YES NO
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NOTE: If you selected YES, are these securities futures products held in a futures account or a securities account? Check one: IV. SECURITIES ACCOUNT FUTURES ACCOUNT
DETAILS OF YOUR CLAIM A. Does MF Global Inc. have any claims against you not already included in the equity calculatedyour statement of account balance provided in Item (I.A) above? Check one: YES NO
NOTE: If you selected YES, please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. B. If the equity calculatedyour statement of account balance provided in Item (I.A) above does notNOT include any deposits of money, securitiescash, cash equivalents or other property held by or for MF Global Inc. from or for your account, select this box and skip the rest of this question. I am not claiming any deposits of money, securitiescash, cash equivalents, or other property held by or for MF Global Inc. from or for my account.
OTHERWISE, please indicate whether any such money, securitiescash, cash equivalents, or other property consists of one of the following (check all that are applicable), and if you check any one or more of the following, please provide a detailed explanation on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. Any security deposited as margin which, as of October 31, 2011, was securing an open commodity contract and is (i) registered in your name; (ii) not transferable by delivery; and (iii) not a short-term obligation. Any fully-paid, non-exempt security held for your account in which there were no open contracts as of October 31, 2011. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as of October 31, 2011, was securing an open commodity contract and can be identified in MF Global Inc.s records as being held for your account, and is neither in bearer form nor otherwise transferable by delivery. Any warehouse receipt, bill of lading or other document of title, or any
2. 3.
4.
10
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commodity received, acquired or held by or for MF Global Inc. to make or take physical delivery or exercise from or for your account and which can be identified in MF Global Inc.s records as received from or for your account as held specifically for the purpose of delivery or exercise. 5. Any open commodity contract (except as provided in Item (IV.B.8), below) which, as of October 31, 2011, is identified in MF Global Inc.s records as being held for your account, is a bona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodity option transaction which has been determined by the exchange to be economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.s records as a hedging account. Any cash or other property deposited or cash price tendered for any property deposited, prior to October 31, 2011, for the specifically noted purpose of taking or making physical delivery on an options or futures contract, which cash or other property is identified on MF Global Inc.s records as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If you check this box, the Trustees Office will contact you to request that you provide specific additional information regarding this type of property. Open commodity contracts transferred to another futures commission merchant by the Trustee. OR 8. C. My claim is not based on any of the types of money, securitiescash, cash equivalents, or other property listed in Items (IV.B.1-7), above.
6.
7.
If you checked any boxes in (IV.B.1-7), above, did you separately identify any such potentially Specifically Identifiable Property to the Trustee by written or electronic mail on or before November 15, 2011? Check one: YES NO
D. If you are claiming securities for this account, do you wish to receive payment in kind, to the extent possible? Check one: YES NO
11
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If you cannot compute the amount of your claim, you may file an estimated claim. In that
case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash or other property that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. Please list the full name, address, phone number, and email address of anyone assisting you in the preparation of this claim form: Full name: Address:
Phone number: Email address: If more than one person is assisting you, attach additional pages providing the information in the exact format above. IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF UP TO FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Signature Date Date Signature (If ownership of the account is shared (i.e., there is more than one name on the account), all must sign above. Give each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, e.g., corporate, trustee, agent, custodian, etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)
12
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Exhibit 3(D)
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 85 of 173 MF GLOBAL INC. In Liquidation November 28,December 2, 2011
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TO ALL PERSONS ASSERTING CLAIMS AS CREDITORS OF MF GLOBAL INC. (OTHER THAN WITH RESPECT TO SECURITIES ACCOUNTS OR COMMODITY FUTURES ACCOUNTS): Enclosed with this letter is a claim form for creditors of MF Global Inc. (the Debtor). If you believe that you have a bona-fide creditor claim against the Debtor, you must complete this form file it with the Trustee electronically online at www.mfglobaltrustee.com or return it by certified mail, return receipt requested, to the Trustee at the following address: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. ClaimClaims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
In addition to this letter, you should carefully read the enclosed notice concerning the liquidation of the business of MF Global Inc. This notice informs you of the steps necessary to protect your interests in the proceeding. Among other things, as indicated in the notice, securities customers and commodity futures customers of the debtor should consider filing the appropriate type of customer claim, also included in todays mailing. The Notice also informs all creditors of the Debtor other than customers or broker-dealers that they must file formal claims with the Trustee within SIX MONTHS of the date of the Notice. Because claims are not deemed filed until received by the Trustee at the above address, if you submit your claim by mail it is strongly recommended that you use certified mail, return receipt requested. No claim will be allowed unless received by the Trustee on or before May 28, 2012.June 2, 2012. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. You should attach to the completed claim form copies of all documentation supporting your claim. Please make a copy of the completed claim form and any attached documentation for your own records. DATED: November 28,December 2, 2011 Very truly yours, ____________________________ James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 3(E)
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MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 In re MF Global Inc. Case No. 11-2790 (MG) SIPA REQUEST FOR ADDITIONAL INFORMATIONCOMMODITY FUTURES CUSTOMER CLAIM [Date] VIA UPS OVERNIGHT [EPIQ TO POPULATE NAME OF CLAIMANT AND ADDRESS OF CLAIMANT] Re: Claim Number(s): [A1] Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY The liquidation of the business of MF Global Inc. (MFGI) is being conducted under the above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on October 31, 2011 by the United States District Court for the Southern District of New York. We acknowledge receipt of the above-referenced claim(s) in this proceeding (the Claim). We have begun processing your Claim, but require the following information and/or documentation in order to properly evaluate your Claim:
Please provide the MFGI account number that relates to this claim. Please provide your daytime phone number. Please provide your email address. Please provide your taxpayer I.D. Number. Please provide your Social Security Number. Please enclose a copy of your last MFGI account statement or any documents to indicate that you held an account at MFGI. Please provide copies of all correspondence you had with MFGI or any of their representatives or affiliates. Section I.APlease state the total amountyour beginning and ending account balance, and account value at market, as of the close of business on October 31, 2011, of MFGIs indebtedness to youincluding (i) cash, cash equivalents, or other property (including margin); and (ii) open trade equity. Please indicate whether this amount is estimated or calculatedor not any amounts listed are estimated, and attach any supporting documentation that you have.
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Section I.APlease indicate whether the total amountyour beginning and ending account balance, and account value at market, as of the close of business on October 31, 2011, of MFGIs indebtedness to youincluding (i) cash, cash equivalents, or other property (including margin); and (ii) open trade equity that you stated in your filed claim is estimated or calculatedare estimated or not. Section I.A.1Please state the amount of cash, cash equivalents, or other property (including margin) in the account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section I.A.2Please state the open trade equity in the account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section I.BPlease answer yes or noWas the entire sum you entered in part I.A of your filed claim based on cash or cash equivalents (including securities posted as collateral) in you commodity futures account (i.e., you had no open positions in your account on October 31, 2011)? If yes, please (1) state the amount of cash or cash equivalents in the account, as of October 31, 2011; and (2) state the equity, as of October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash or cash equivalents). On October 31, 2011, did your account contain open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States)? Section I.B.1Please state the amount of cash or cash equivalents in the account, as of October 31, 2011.If, on October 31, 2011, your account contained open trade equity ofor cash, cash equivalents, or other property (including margin) associated withForeign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), please identify (1) the amount of Foreign Futures open trade equity contained in your account; and (2) the amount of Foreign cash, cash equivalents, or other property contained in your account. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section I.B.2Please state the equity, as of October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash or cash equivalents)1Please indicate whether the amounts of open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you stated on your filed claim are estimated or not. Section IPlease provide a detailed description on a signed attachment of the basis for the amounts you stated in Item I in your filed claim, and attach any supporting documentation that you have. Section II.APlease answer yes or noWas any part ofIf your account had any open commodity contracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more transferee futures commission merchants after October 31, 2011? If yes, then please (1) identify the name(s) of the transferee futures commission merchant(s); (2) identifysummarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one),; and (3) specify the amount of collateralmargin, in U.S. dollars, that was transferred along with such commodity contracts, if any. Please also state the open trade equity based on the commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.APlease indicate whether any amounts that you stated on your filed claim form, in connection with open commodity contracts in your account that were transferred to one or more transferee futures commission merchants after October 31, 2011, were estimated or not. Section II.A.1You have indicated that all or part of your account washad open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please identify the name(s) of the transferee futures commission merchant(s). Please attach any supporting documentation that you have. Section II.A.2You have indicated that all or part of your account washad open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please identifysummarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.A.3You have indicated that all or part of your account washad open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please specify the amount of collateralmargin, in U.S. dollars, that was transferred along with such commodity
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contracts, if any. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section II.A.4You have indicated that all or part of your account washad open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please state the open trade equity based on the commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.BPlease answer yes or noDid you liquidate any open commodity contracts on or after October 31, 2011? Section II.BPlease indicate whether any amounts that you stated on your filed claim form, in connection with open commodity contracts in your account that you liquidated on or after October 31, 2011, were estimated or not. Section II.B.1You have indicated that you liquidated open commodity contracts on or after October 31, 2011. Please summarize the commodity contracts (including futures and options on futures) that you liquidated. Please attach any supporting documentation that you have. Section II.B.2You have indicated that you liquidated open commodity contracts on or after October 31, 2011. In order to determine the net profit/loss resulting from these liquidations, please summarize the equity of the commodity contracts that you liquidated (i) as of the date of liquidation; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.B.3You have indicated that you liquidated open commodity contracts on or after October 31, 2011. Please answer yes or noWere any of the open commodity contracts you liquidated on or after October 31, 2011 Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States)? If yes, then please summarize the Foreign Futures that you liquidated. In order to determine the net profit/loss resulting from these liquidations, please also summarize the equity of the Foreign Futures that you liquidated (i) as of the date of liquidation; and (ii) as the Foreign Futures existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.CPlease answer yes or noIf your account had any cash, cash equivalents, or other property as of October 31, 2011, was any cash, cash equivalents, or other property transferred from your account to one or more transferee futures commission merchants after October 31, 2011OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts (which you should have identified in Item II.A on your filed claim form)? If yes, please identify (1) the name(s) of the transferee futures commission merchant(s); and (2) the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.C.1You have indicated that your account had cash, cash equivalents, or other property that was transferred from your account to one or more transferee future commodity merchants after October 31, 2011 OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts. Please identify the name(s) of the transferee futures commission merchant(s). Please attach any supporting documentation that you have. Section II.C.2You have indicated that your account had cash, cash equivalents, or other property that was transferred from your account to one or more transferee future commodity merchants after October 31, 2011 OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts. Please identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.DIn the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or other property), if any, was transferred to another futures commission merchant. Please attach any supporting documentation that you have.
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Section III.APlease specify the type of your account (select oneall that are applicable): (1) futures account; (2) foreign futures account; (3) leverage account; (4) option accountexchange-traded; (5) option accountdealer; (6) delivery account; (7) cleared OTC derivatives account. Section III.BPlease specify the capacity in which you hold the account (listselect all that applyare applicable): (1) individual capacity; (2) as guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform Gift to Minors Act; (3) as executor or administrator of an estate; (4) as trustee for the trust beneficiary; (5) in the name of a corporation, partnership, or unincorporated association; (6) as an omnibus customer account of the undersigned futures commission merchant; (7) as part owner of a joint account; (8) in the name of a plan which, on October 31, 2011, had in effect a registration statement in accordance with the requirements of 1031 of the Employee Retirement Income Security Act of 1974 and the regulations thereunder; (9) as agent or nominee for a principle or beneficial owner (and not described in itemsItems III.B.1-8); (10) in any other capacity not already described in itemsItems III.B.1-9 (please specify). Section III.CPlease indicate whether any person (including a general partnership, limited partnership, corporation, or other type of association) on whose behalf the account is held is one of the following persons or if one of the following persons, alone or jointly, holds 10% or more of the account (listselect all that applyare applicable): (1) MF Global Inc.; (2) Director of MF Global Inc.; (3) Officer of MF Global Inc.; (4) Person in control of MF Global Inc.; (5) Partnership in which MF Global Inc. is a general partner; (6) Owner of ten percent or more of the capital stock of MF Global Inc.; (7) Employee of MF Global Inc. whose duties include (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the trades or funds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global Inc.; (8) Managing agent of MF Global Inc.; (9) A spouse or minor dependent living in the same household of any of the persons listed in itemsItems III.C.1-8, or any other relative, regardless of residency, defined as an individual related by affinity or consanguinity within the third degree as determined by the common law, or individual in a step or adoptive relationship with such degree; (10) Affiliate of MF Global Inc. (as defined in the claim form); or (11) Any of the persons listed in itemsItems II.C.1-8, if such person is associated with an affiliate of MF Global Inc. as if the affiliate were MF Global Inc. Section III.D Please answer yes or no, whetherWas this is a discretionary account. ? If yes, please specify who has the general authority to buy or sell orders or effectuate transactions for your account. Section III.E Please answer yes or no, whetherWas this is a joint account.? If yes, please specify the amount of your percentage interest in the account, and whether all participants in a joint account are claiming jointly. Section III.FPlease answer yes or noDo you have any related accounts? If yes, please specify the account numbers of your related accounts. Note that you must file a separate claim for each account. Section III.FGPlease answer yes or no, whetherWas your claim based on securities futures products.? If yes, please specify whether this is a securities account or futures account. Section IV.APlease answer yes or no, whetherDoes MF Global Inc. hashave any claims against you not already included in the equity calculated in itemyour statement of account balance provided in Item I.A of your claim form. If yes, please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation. Section IV.AYou indicated that MF Global Inc. has a claim or claims against you not already included in the equity calculated in itemItem I.A of your claim form. Please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation. Section IV.B Please answer yes or no, whether the equity calculated in itemDoes your statement of account balance provided in Item I.A of your claim form includes any deposits of money, securitiesinclude any cash, cash equivalents, or other property held by or for MF Global Inc. from or for your account. ? Section IV.BYou indicated that the equity calculated in itemyour statement of account balance provided in Item I.A of your claim form includes deposits of money, securitiescash, cash equivalents, or other property held by or for MF Global Inc. from or for your account. Please indicate whether any such money, securitiescash, cash equivalents, or other property consists of one of the following descriptions, and if so, please provide a detailed explanation on a signed attachment, and attach any supporting documentation you have. Please listselect all that apply: are applicable:
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Any security deposited as margin which, as of October 31, 2011, was securing an open commodity contract and is (i) registered in your name; (ii) not transferable by delivery; and (iii) not a short-term obligation. 2. Any fully-paid, non-exempt security held for your account in which there were no open contracts as of October 31, 2011. 3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as of October 31, 2011, was securing an open commodity contract and can be identified in MF Global Inc.s records as being held for your account, and is neither in bearer form nor otherwise transferable by delivery. 4. Any warehouse receipt, bill of lading or other document of title, or any commodity received, acquired or held by or for MF Global Inc. to make or take physical delivery or exercise from or for your account and which can be identified in MF Global Inc.s records as received from or for your account as held specifically for the purpose of delivery or exercise. 5. Any open commodity contract (except as provided in item (IV.B.8.), below) which, as of October 31, 2011, is identified in MF Global Inc.s records as being held for your account, is a bona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodity option transaction which has been determined by the exchange to be economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.s records as a hedging account. 6. Any cash or other property deposited or cash price tendered for any property deposited, prior to October 31, 2011, for the specifically noted purpose of taking or making physical delivery on an options or futures contract, which cash or other property is identified on MF Global Inc.s records as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If yes, the Trustees Office will contact you to request that you provide specific additional information regarding this type of property. 7. Open commodity contracts transferred to another futures commission merchant by the trusteeTrustee. OR 8. Your claim is not based on any of the types of money, securitiescash, cash equivalents, or other property listed in itemsItems IV.B.1-7, above. Section IV.C Please answer yes or noIf you selected any of Items IV.B.17 above, did you separately identify any such potentially Specifically Identifiable Property to the Trustee by written or electronic mail on or before November 15, 2011? Section IV.DPlease answer yes or no, whetherAre you are claiming securities for thisthe account. listed in your filed claim? If yes, please answer yes or no, whether you wish to receive payment in kind, to the extent possible. Do you wish to receive payment in kind, to the extent possible? Section IV.DYou indicated that you are claiming securities for the account listed in your filed claim. Please answer yes or noDo you wish to receive payment in kind, to the extent possible? Please provide the full name(s), address(es), phone number(s), and email address(es) of each person that assisted you in the preparation of your claim form. The submitted claim form does not include the claimants dated signature. Please have the claimant sign and date the enclosed Amendment to Claim Form. Because the account is a joint account, please have each account holder sign and date the enclosed Amendment to Claim Form.
1.
Your Claim cannot be processed further until you provide us with the requested information and/or documentation. Please return a copy of this letter with the requested information via certified mail, return receipt requested to: MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017
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If you are unable to provide the requested information and/or documentation, please provide a brief written explanation. We request your response within (30) thirty (30) days from the date of this letter or your Claim may be denied. Thank you for your cooperation. Very truly yours,
MFGI Claims Processing
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COMMODITY FUTURES CUSTOMER CLAIM FORM MF GLOBAL INC.
AMENDMENT TO CLAIM FORM _[A1]

Account Name: Account Number: Address: Contact Person: (Social Security No.) ______________ Taxpayer I.D. Number Daytime Phone: Email:
INSTRUCTIONS Because you failed to sign the claim form you provided, sign and date the below Amendment to Claim Form. If ownership of the account is shared (i.e., there is more than one name on the account), all must sign below. Please provide each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, (e.g., corporate, trustee, custodian, etc.), also state your capacity and authority. Please supply the trust agreement or other proof of authority. IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Date Signature Signature
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MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 In re MF Global Inc. Case No. 11-2790 (MG) SIPA REQUEST FOR ADDITIONAL INFORMATIONSECURITIES CUSTOMER CLAIM [Date] VIA UPS OVERNIGHT [EPIQ TO POPULATE NAME OF CLAIMANT AND ADDRESS OF CLAIMANT] Re: Claim Number(s): [A1] Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY The liquidation of the business of MF Global Inc. (MFGI) is being conducted under the above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on October 31, 2011 by the United States District Court for the Southern District of New York. We acknowledge receipt of the above-referenced claim(s) in this proceeding (the Claim). We have begun processing your Claim, but require the following information and/or documentation in order to properly evaluate your Claim:
Please provide the MFGI account number that relates to this claim. Please provide your daytime phone number. Please provide your email address. Please provide your taxpayer I.D. Number. Please provide your Social Security Number. Please enclose a copy of your last MFGI account statement or copies of any documents to indicate that you held an account at MFGI. Please provide copies of all correspondence you had with MFGI or any of its representatives or affiliates. Section IPlease state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) the
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value of all securities owed to you by MFGI less all securities you owe to MFGI, if any. Please indicate whether this value is estimated or calculated. Section IPlease indicate whether the total value of your claim that you provided was estimated or calculated. Section II.APlease state your claim for money balances or cash as of October 31, 2011 as follows (i) the amount in which MFGI owes you a credit or cash, if any, (ii) the amount in which you owe MFGI a debit or cash, if any. Section II.BPlease state your claim for securities as of October 31, 2011 as follows: (i) indicate whether MFGI owes you securities, (ii) indicate whether you owe MFGI securities, and (iii) please list the date of transaction (trade date), name of security, and number of shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short). Section II.BYou indicated that you have a claim for securities as of October 31, 2011. Please list the date of transaction (trade date), name of security, and number of shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short). Section III.1Please answer yes or noDoes your claim in any way relate to an entity other than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USA Inc. or another MF Global subsidiary)? If yes, then please provide a detailed explanation on a signed attachment. Section III.1You have indicated that your claim relates to an entity other than MF Global Inc. Please provide a detailed explanation on a signed attachment. Section III.2Please answer yes or noHas there been any change in your account since October 31, 2011? If yes, then please provide a detailed explanation on a signed attachment. Section III.2You have indicated that there has been a change in your account since October 31, 2011. Please provide a detailed explanation on a signed attachment. Section III.3Please answer yes or noAre you, or were you ever, a director, officer, partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchase agreement of MFGI? If yes, then please provide a detailed explanation on a signed attachment. Section III.3You have indicated that you are or were a director, officer, partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchase agreement of MFGI. Please provide a detailed explanation of the circumstances on a signed attachment. Section III.4Please answer yes or noAre you related to, or do you have any business venture with a director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any employee or other person associated in any way with MFGI? If so, please provide the full name of each such person. Section III.4You have indicated that you are related to, or have anya business venture with a director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any employee or other person associated in any way with MFGI. Please provide the full name of each such person. Section III.5Please answer yes or noAre you or were you a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI? If yes, then please provide a detailed explanation on a signed attachment. Section III.5You have indicated that you are or were a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI?. Please provide a detailed explanation on a signed attachment. Section III.6Please answer yes or noIs this claim being filed on behalf of a customer of a broker, dealer, or bank? If the answer is yes, please provide documentation with respect to each customer on whose behalf you are claiming. Section III.6You have indicated that your claim is being filed on behalf of a customer of a broker, dealer, or bank. Please provide documentation with respect to each customer on whose behalf you are claiming.
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Section III.7Please answer yes or noHave you ever given any discretionary authority to any person to execute securities transactions with or through MFGI on your behalf? If yes, please provide the full names, addresses and phone numbers for each person. Section III.7You have indicated that you have given discretionary authority to another person to execute securities transactions with or through MFGI on your behalf. Please provide the full names, addresses, and phone numbers for each such person. Section III.8Please answer yes or noHave you or any member of your family ever filed a claim under the Securities Investor Protection Act of 1970? If yes, please provide the full name of the broker involved in the claim. Section III.8You have indicated that you or a member of your family has filed a claim under the Securities Investor Protection Act of 1970. Please provide the full name of the broker involved in the claim. Please provide the full name(s), address(es), phone number(s), and email address(es) of each person that assisted you in the preparation of your claim form. The submitted claim form does not include the claimants dated signature. Please have the claimant sign and date the enclosed Amendment to Claim Form. Because the account is a joint account, please have each account holder sign and date the enclosed Amendment to Claim Form.
Your Claim cannot be processed further until you provide us with the requested information and/or documentation. Please return a copy of this letter with the requested information via certified mail, return receipt requested to: MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 If you are unable to provide the requested information and/or documentation, please provide a brief written explanation. We request your response within (30) thirty (30) days from the date of this letter or your Claim may be denied. Thank you for your cooperation. Very truly yours,
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SECURITIES CUSTOMER CLAIM FORM MF GLOBAL INC.

INSTRUCTIONS Because you failed to sign the claim form you provided, sign and date the below Amendment to Claim Form. If ownership of the account is shared (i.e., there is more than one name on the account), all must sign below. Please provide each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, (e.g., corporate, trustee, custodian, etc.), also state your capacity and authority. Please supply the trust agreement or other proof of authority. IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Date Signature Signature
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Exhibit 3(F)
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MF GLOBAL INC. In Liquidation [Date]
NOTICE OF TRUSTEES DETERMINATION OF CLAIM [Date] [Name of Claimant] [Address]
Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY.
The liquidation of the business of MF Global Inc. is being conducted by James W. Giddens, Trustee pursuant to an order entered on October 31, 2011 by the United States District Court for the Southern District of New York. The Trustee has made the following determination regarding your claim designated as Claim Number __________________. [__________________________.] PLEASE TAKE NOTICE: If you disagree with this determination and desire a hearing before Bankruptcy Judge Martin Glenn, you MUST file your written opposition, setting forth (i) the claim number; (ii) a detailed statement of the reasons for your objection to the Trustees determination; (iii) copies of any document or other writing upon which you rely; and (iv) mailing, phone, and email contact information, with the United States Bankruptcy Court and the Trustee within THIRTY DAYS of the date of this notice. PLEASE TAKE FURTHER NOTICE: If you do not properly and timely file a written opposition, the Trustees determination with respect to your claim will be deemed confirmed by the Court and binding on you. PLEASE TAKE FURTHER NOTICE: If you properly and timely file a written opposition, a hearing date for this controversy will be obtained by the Trustee upon the Trustees motion to uphold this determination, and you will be notified of that hearing date. Your failure to appear personally or through counsel at such hearing will result in the Trustees determination with respect to your claim being confirmed by the Court and binding on you. Prior to the Trustees filing of a motion to uphold this determination, no discovery or other motion practice shall occur
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regarding this determination or facts giving rise to this determination, absent prior Court approval. PLEASE TAKE FURTHER NOTICE: You must file your opposition in accordance with the above procedure electronically with the Court on the docket of In re MF Global Inc., Case No. 11-2790 (MG) SIPA in accordance with General Order M-242 (available at www.nysb.uscourts.gov/orders/orders2.html) by registered users of the Courts case filing system and by all other parties in interest on a 3.5 inch disk, preferably in Portable Document Format (PDF), Microsoft Word or any other Windows-based word processing format. If you do not have means to file your opposition electronically, you may mail your opposition to: Clerk of the United States Bankruptcy Court Southern District of New York One Bowling Green New York, New York 10004 PLEASE TAKE FURTHER NOTICE: You must serve your opposition upon the Trustees counsel by mailing a copy to: Hughes Hubbard & Reed LLP One Battery Park Plaza New York, NY 10004 Attn: MFGI Hearing Request Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 3(G)
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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re MF GLOBAL INC., Debtor. ORDER APPROVING TRUSTEES EXPEDITED APPLICATION FOR ESTABLISHING ESTABLISH PARALLEL CUSTOMER CLAIMS PROCESSES FOR COMMODITY FUTURES CUSTOMER AND SECURITIES CUSTOMER CLAIMS, APPROVING FORM AND MANNER OF PUBLICATION AND MAILING OF NOTICE OF COMMENCEMENT; SPECIFYING PROCEDURES AND FORMS FOR FILING, INFORMAL AND FORMAL DETERMINATION, AND ADJUDICATION OF CLAIMS; FIXING A MEETING OF CUSTOMERS AND OTHER CREDITORS; AND FIXING INTERIM REPORTING PURSUANT TO SIPAAND RELATED RELIEF Upon the Trustees expedited application seeking entry of an order (1) establishing parallel claims processes for commodity futures customer and securities customer claims; (2) approving the form and manner of the publication and mailing of the notice of commencement of this proceeding; (3) specifying procedures and forms for the filing, determination, and adjudication of claims; (4) fixing a meeting of customers and other creditors; and (5) fixing an interim reporting procedure pursuant to SIPA (the Application);1 and due and proper notice of the Application having been provided; and it appearing that no other or further notice need be provided; and upon consideration of the various objections (collectively, the Objections) interposed to the Trustees Application; and upon consideration of the Trustees Case No. 11-2790 (MG) SIPA
Terms not defined herein shall have the meaning used in the Application.
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Omnibus Reply to the Objections to the Application (the Reply); and a hearing having been held on November 16,22, 2011, to consider relief requested in the Application (the Hearing), and upon the record of the Hearing, and all the proceedings had before the Court; and the Court having found and determined that the relief sought in the Application is in the best interests of the Debtor, its estate, securities customers, commodity futures customers, other creditors, and all parties in interest, and that the legal and factual bases set forth in the Application establish just cause for the relief granted herein; and after due deliberation and sufficient cause appearing therefore, it is: ORDERED that the Application is granted; and it is further ORDERED that the notice of commencement attached as Exhibit 4 (A) to the ApplicationReply (the Notice of Commencement), and the explanatory letters, claim forms, instructions and notice of deficiency of claim and notice of trustees determination of claim appearing as Exhibits Exhibit 4 (B, C, D, E, and F) to the ApplicationReply be, and they hereby are, authorized and approved; and it is further ORDERED that the Trustee shall have the authority, on the advice and consent of the Securities Investment Protection Corporation (SIPC) and the Commodity Futures Trading Commission (CFTC), to amend these forms without further order of this Court; and it is further ORDERED that the Trustee shall cause the Notice of Commencement, substantially in the form attached to the ApplicationReply as Exhibit 4 (A), to be published no later than November 28,December 2, 2011 in all editions of The New York Times, all editions of The Wall Street Journal, all editions of The Financial Times, and all editions of The Chicago Tribune; and it is further
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ORDERED that the Trustee shall cause documents substantially in the form of Exhibits Exhibit 4 (A, B, C, and D) to the ApplicationReply to be mailed to persons who, as identified from the Debtors books and records, may potentially assert claims as securities customers, commodity futures customers, or general creditors, on or before November 28,December 2, 2011, and finding that such mailing complies with SIPA 78fff-2(a)(i) and Bankruptcy Code 765(a) and 17 C.F.R. 190.02(b)(4); and it is further ORDERED that the Trustee shall cause documents substantially in the form of Exhibits Exhibit 4 (A, B, C, and D) to the ApplicationReply to be made available on the Trustees website, www.mfglobaltrustee.com, for download, no later than the day after the date of entry of this order; and it is further ORDERED that the Trustee shall have the authority, as provided in section 78fff2(b) of SIPA, to satisfy securities customer claims, insofar as the claims agree with the Debtors books and records, or are otherwise established to the Trustees satisfaction, without further orders of this Court; and it is further ORDERED that nothing in this order shall prevent the Trustee from agreeing to procedures for intercompany claims as the Trustee may determine is in the best interests of the MFGI estate; and it is further ORDERED that, with respect to securities customer net equity claims, the Trustee shall have the authority to satisfy claims out of moneys made available to the Trustee by SIPC notwithstanding the fact that there has not been any showing or determination that there are sufficient funds of the Debtor available to satisfy such claims; and it is further ORDERED that, with respect to securities customer claims relating to, or securities customer net equities based upon, securities of a class and series of an issuer which are
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ascertainable from the books and records of the Debtor or are otherwise established to the satisfaction of the Trustee, the Trustee shall have the authority to deliver securities of such class and series, if and to the extent available to satisfy such claims in whole or in part, with partial deliveries to be made pro rata to the greatest extent considered practicable by the Trustee; and it is further ORDERED that the Trustee shall implement the procedures prescribed in 17 C.F.R. 190.08 for allocation and distribution of commodity futures customer property, to satisfy commodity futures customer claims, insofar as the claims agree with the Debtors books and records, or are otherwise established to the Trustees satisfaction; and it is further ORDERED that the Trustee shall use the following procedure for those securities customer claims, as defined in SIPA, and commodity futures customer claims, as defined in the Commodity Broker Liquidation Provisions and the Part 190 Regulations, which are not allowed as filed: a. The Trustee will notify the claimant that the Trustee has determined that the claimants claim has been disallowed in whole or in part or has otherwise not been approved for satisfaction as filed. Notification shall be in a form similar to the Notice of Determination of Claim, attached as Exhibit D hereto. If a claimant is aggrieved by the determination of the Trustee, the claimant, upon the Trustees motion to uphold such determination, shall be afforded the opportunity to have the matter heard by the Court as a contested matter under Rule 9014 of the Bankruptcy Rules. Prior to the Trustees filing of a motion to uphold his determination, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval.4 (D) to the Reply.
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b.
The claimant shall file a written opposition to the Trustees determination in accordance with the instructions included with the Trustees determination. The claimant shall file the written opposition with the Bankruptcy Court in accordance with local rules, and serve upon the Trustees counsel, Hughes Hubbard & Reed LLP, One Battery Park Plaza, New York, NY 10004, Attention: MFGI Hearing Request, within thirty days of the date on which the Trustee mailed his determination. The request shall include: (i) the claim number; (ii) a detailed statement of the reasons for the claimants objection to the Trustees determination; (iii) copies of any document or other writing upon which the claimant relies; and (iv) mailing, phone, and email contact information for the claimant. The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. The Trustee shall, upon his motion to uphold the determination, ask the Court to set a time and date for a hearing and shall notify the claimant in writing of the time, date and place of the hearing. The Trustee may, in his discretion, upon the advice and consent of SIPC (and, with respect to commodity futures customer claims, the CFTC), establish such other procedures for adjudication of claims as lead to the most efficient and orderly administration of the claims process for all claimants without further order of this CourtIf within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the Court to set a time and date for a hearing on the claim determination dispute. Notwithstanding the procedures outlined herein, the claimant and the Trustee may stipulate to informally resolve their dispute and/or any extensions of any of the foregoing timeframes without further leave of the Court. Moreover, for avoidance of doubt,
c.
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nothing in these procedures shall preclude the Trustee from moving the Court earlier. d. If a claimant is aggrieved by the determination of the Trustee, the claimant, upon the Trustees motion to uphold such determination, orif the Trustee fails to timely move for a status conference or to uphold his determination, as set forth in subsection (c) aboveupon the claimants motion for a hearing, shall be afforded the opportunity to have the matter heard by the Court as a contested matter under Rule 9014 of the Bankruptcy Rules. Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval. If a claimant fails to file a written opposition within thirty days of the mailing of the Trustees determination in accordance with the procedures established by this Courts Order, or if the claimant fails to appear at a scheduled hearing, then the Trustees determination shall be final.
e.
ORDERED that the Trustee shall have the authority to compromise and settle any customer claim at any time, as appropriate, without further order of this Court and all parties to this proceeding are directed to cooperate with the Trustee to the maximum extent possible to achieve swift resolution of claims where possible; and it is further ORDERED that any claim of a securities customer for net equity under SIPA which is received by the Trustee after the expiration of a sixty-day time period beginning on the date of publication of the Notice of Commencement need not be paid or satisfied in whole or in part out of customer property, and, to the extent such claim is satisfied from monies advanced by SIPC, it shall be satisfied in cash or securities (or both) as the Trustee determines is most economical to the estate; and it is further
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ORDERED that based on the November 28,December 2, 2011 mailing date for the Notice of Commencement, the bar date for the claims of commodity futures customers is January 27,31, 2012, the bar date for receiving the maximum possible protection for securities customer claims under SIPA is January 27,31, 2012, and the bar date for all securities customer claims or general creditor claims is May 28,June 2, 2012;2 and it is further ORDERED that claims against the Debtor in this proceeding shall be filed with the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, through the Trustees claims agent, Epiq Bankruptcy Solutions, LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005; and it is further ORDERED that a meeting of customers and creditors will take place on January 12, 2012 at 10:00 a.m., at the New York Marriott Downtown, 85 West Street, New York, NY 10006; and it is further ORDERED that the Trustee shall file his first report pursuant to SIPA 78fff-1(c) within six months after publication of the Notice of Commencement, and shall file interim reports at least every six months thereafter.
For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing information occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered by the Court will remain in full force and effect.
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New York, New York November __, 2011
____________________________________ HONORABLE MARTIN GLENN UNITED STATES BANKRUPTCY JUDGE
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Document comparison by Workshare Professional on Monday, November 21, 2011 12:11:02 AM Input: Document 1 ID Description Document 2 ID Description Rendering set Legend: Insertion Deletion Moved from Moved to Style change Format change Moved deletion Inserted cell Deleted cell Moved cell Split/Merged cell Padding cell Statistics: Count Insertions Deletions Moved from Moved to Style change Format changed Total changes 353 192 0 0 0 0 545 interwovenSite://NY_FILESITE/East/61589570/1 #61589570v1<East> - MFGI Housekeeping Motion Original Exhibits interwovenSite://NY_FILESITE/East/61588815/1 #61588815v1<East> - MFGI Housekeeping Motion Amended Exhibits hhr strikethrough
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Exhibit 4(A)
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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re MF GLOBAL INC., Debtor. Commencement of Liquidation Proceeding NOTICE IS HEREBY GIVEN that on October 31, 2011 the Honorable Paul A. Engelmayer, Judge of the United States District Court for the Southern District of New York, entered an Order granting the application of the Securities Investor Protection Corporation (SIPC) for issuance of a Protective Decree adjudicating that the customers of MF Global Inc. (the Debtor), are in need of the protection afforded by the Securities Investor Protection Act of 1970 (SIPA). James W. Giddens (the Trustee) was appointed trustee for the liquidation of the business of the Debtor, and Hughes Hubbard & Reed LLP was appointed as counsel to the Trustee. Deadlines for Submitting Claims NOTICE IS HEREBY GIVEN that commodity futures customers of the Debtor must file their claims with the Trustee within SIXTY DAYS after the date of this Notice or their claim will be barred (unless extended, for good cause only). No extension for filing a commodity futures customer claim will be granted beyond the six-month period after the date of this Notice, regardless of cause. Commodity futures customer claims that are filed after the sixty-day period, but before the six-month period after this Notice may be afforded general creditor status. Securities customers of the Debtor who wish to avail themselves of the maximum protection afforded to them under SIPA are required to file their claims with the Trustee within SIXTY DAYS after the date of this Notice. Securities customers may file their claims up to six months after the date of this Notice; however, the filing of securities customer claims after the sixty-day period but within the six-month period may result in less protection for the securities customer under SIPA. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005 Case No. 11-2790 (MG) SIPA
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Customer claims will be deemed filed only when received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. Forms for the filing of customers claims are being mailed to customers of the Debtor as their names and addresses appear on the Debtors books and records. Customer claim forms are also available on the Trustees website, www.mfglobaltrustee.com, or by writing to the Trustee at the address of his counsel below. Claims by broker-dealers for the completion of open contractual securities commitments must be filed with the Trustee within sixty days after the date of this Notice. Such claims will be deemed to be filed only when received by the Trustee. All other creditors of the Debtor must file formal claims with the Trustee at the address shown above within SIX MONTHS after the date of this Notice. All such claims will be deemed filed only when received by the Trustee. For the avoidance of doubt, (i) claims of commodity futures customers must be received by the Trustee on or before January 31, 2012; (ii) claims of securities customers seeking the maximum protection under SIPA must be received by the Trustee on or before January 31, 2012; and (iii) all claims must be received by the Trustee on or before June 2, 2012, or they will be absolutely barred. No commodity futures customer claim will be allowed unless received by the Trustee on or before January 31, 2012, or unless extended (for good cause only); but, if received by the Trustee after January 31, 2012, but on or before June 2, 2012, a commodity futures customer claim may be afforded general creditor status. The Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. Automatic Stay Of Actions Against The Debtor NOTICE IS HEREBY GIVEN that as a result of the issuance of the Protective Decree, certain acts and proceedings against the Debtor and its property are stayed as provided in 11 U.S.C. 362 and by order of the United States District Court for the Southern District of New York, entered October 31, 2011 by the Honorable Paul A. Engelmayer. Meeting of Customers and Other Creditors NOTICE IS HEREBY GIVEN that a meeting of customers and other creditors will be held at the New York Marriott Downtown, 85 West Street, New York, NY 10006, on January 12, 2012 at 10:00 a.m. The Trustee will preside at such meeting, to provide information about the customer claims process and the progress of this SIPA liquidation. Additional Information NOTICE IS HEREBY GIVEN THAT copies of this Notice, claim forms, and other background on this SIPA liquidation may be found on SIPCs website, www.sipc.org under
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Proceedings/Liquidation, and on the Trustees website, www.mfglobaltrustee.com. From time to time other updated information and notices concerning this proceeding may also be posted at these websites. Dated: New York, New York December 2, 2011 HUGHES HUBBARD & REED LLP One Battery Park Plaza New York, New York 10004 Telephone: (212) 837-6000 Facsimile: (212) 422-4726 Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 4(B)
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MF GLOBAL INC. In Liquidation December 2, 2011 TO ALL PERSONS ASSERTING CLAIMS AS SECURITIES CUSTOMERS OF MF GLOBAL INC.: Enclosed are a securities customer claim form, securities customer claim form instructions, and a separate letter for broker dealers having open securities or money balances as of October 31, 2011 with MF Global Inc. (the Debtor). You will receive a separate securities customer claim form packet for each securities account you have with MF Global Inc., as identified from MF Global Inc.s books and records. If you also have one or more commodity futures customer accounts with the Debtor, you also will receive a separate claim packet for filing a commodity futures customer claim for each such account. Should you require additional or different forms, all claims forms are available at the Trustees website, www.mfglobaltrustee.com. You are urged to read these and the other enclosed documents carefully. They explain steps to protect any rights and claims you may have in this liquidation proceeding. In addition, the Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. The Trustee is actively seeking to find SIPC-member firms that are willing and able to accept the bulk transfer of some or all of the Debtors securities customer accounts. Regardless of any transfer or closeout of your positions with the Debtor, if you believe that the Debtor still owes you cash or securities from one or more securities customer accounts, you must fill out a securities customer claim form for each separate securities account that you are claiming. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
A return envelope for the completed claim form(s) is enclosed. Please make a copy of your claim form(s) for your own records before mailing. Your claim(s) will not be deemed to be filed until received by the Trustee. If you submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via certified mail, return receipt requested. Your return receipt will be the only document you will
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receive that shows your claim has been received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. If, at any time, you complained in writing about the handling of your securities account(s) to any person or entity or regulatory authority, and the complaint relates to the cash, securities, or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim. It is your responsibility to report accurately all securities positions and money balances in connection with your securities account(s) with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may file an estimated claim. One of the purposes of the liquidation is to return securities and cash due to customers as promptly as practicable. In that connection, funds of the Securities Investor Protection Corporation may be utilized to pay valid securities customer claims relating to securities and cash up to a maximum amount of $500,000.00 for each customer, including up to $250,000.00 for claims for cash, as provided in the Securities Investor Protection Act of 1970, as amended. To qualify for the maximum protection afforded under SIPA, your securities customer claim form must be received by the Trustee on or before January 31, 2012. Your cooperation in promptly returning the appropriate completed securities customer claim form to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding. Very truly yours,
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MF GLOBAL INC. In Liquidation December 2, 2011 TO BROKERS AND DEALERS HAVING OPEN SECURITIES POSITIONS OR MONEY BALANCES ASSOCIATED WITH SECURITIES ACCOUNTS AS OF OCTOBER 31, 2011, WITH MF GLOBAL INC.: The United States District Court for the Southern District of New York entered an order on October 31, 2011 finding that customers of MF Global Inc. (the Debtor) were in need of the protection afforded by the Securities Investor Protection Act of 1970, as amended (SIPA). The District Court immediately appointed a trustee to liquidate the business of the Debtor (the Trustee). The Trustee has published protocols for certain transactional claims. These protocols should be reviewed carefully before submitting a claim to the Trustee, and are available at the Trustees website, www.mfglobaltrustee.com. You may also wish to review SIPC Rules Regarding Closeout or Completion of Open Contractual Commitments, 17 C.F.R. 300.300-300.307, available at www.sipc.org/who/statute.cfm. To recover upon any claim you may have against the Debtor, you must carefully follow the instructions contained in this package. Enclosed is the Notice of Commencement, as well as instructions for filing a claim and claim form. You are urged to read all of the above referenced documents carefully. They explain what steps, if any, you must take to protect any rights and claims you may have in this liquidation proceeding. Claimants are advised to submit their completed claim forms electronically online at www.mfglobaltrustee.com, or to mail their completed claim forms to the Trustee by certified mail, return receipt requested. Please make a copy of the completed claim forms and retain them for your own records. Your claim forms will not be deemed to be filed until received by the Trustee. To receive maximum protection afforded under SIPA, your claim forms must be received by the Trustee on or before January 31, 2012. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim.
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It is your responsibility to report accurately all securities positions and money balances in connection with your securities account with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. Your cooperation in promptly requesting and returning the completed broker claim forms to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding.
Very truly yours,
______________________________ James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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INSTRUCTIONS FOR COMPLETING THE SECURITIES CUSTOMER CLAIM FORM PLEASE READ CAREFULLY
IF YOUR CLAIM IS NOT BASED ON A SECURITIES ACCOUNT YOU DO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A SECURITIES CUSTOMER CLAIM FORM These instructions are to help you complete the securities customer claim form enclosed. If you believe that MF Global Inc. (MFGI) owes you cash or securities, and you wish to claim them, the Trustee must receive your claim on or before the date specified on the claim form. Even if your securities account(s) has been transferred to another SIPC-member firm, if you believe MFGI still owes you cash or securities, and you wish to claim them, you must timely submit a claim. If you submit an improperly completed claim form or do not provide sufficient information to support your claim, the Trustee may send you a deficiency letter, indicating what additional information is required to process your claim. Failure to timely respond and provide sufficient information may result in a delay in satisfaction of your claim or its disallowance. Item I seeks a statement of the total amount you are claiming with respect to your securities account. Please state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) all securities owed to you by MFGI less all securities you owe MFGI, if any. Item II seeks details about your claim with respect to your securities account. Item (A) is to be completed if on the date shown, MFGI owed you cash or if you owed MFGI cash. If MFGI owes money to you, please indicate the amount in the space provided Item (A.1). If you owe MFGI money, please so indicate in the space provided Item (A.2). If MFGI owes you securities and you wish to receive those securities without deduction, then you must enclose your check for the amount shown in Item (A.3) payable to James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc. Payments not enclosed with this claim form will not be accepted by the Trustee for purposes of determining what securities are to be distributed to you. Item (B) seeks details about securities (including any options) held for you. If MFGI is holding securities for you or has failed to deliver securities to you, please indicate by checking the appropriate box under Item (B) and set forth in detail the information required with respect to the date of the transaction, the name of the security and the number of shares or face value of bonds. With respect to options, set forth the number and type of options, the exercise price and expiration date, e.g., 3 options [call] or [put] GE at 25 2x December 2011. Please do not claim any securities you already have in your possession.
Item III seeks additional information about your claim with respect to your securities account. Items (1) through (8) must each be marked and details supplied where appropriate,
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along with any supporting documentation you have. If you do not provide sufficient details, you may receive a deficiency letter based on insufficient information. If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements (in particular, your last account statement), and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash and/or securities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. A separate claim form must be filed for each account. When To File There are two deadlines for filing securities customer claims. One is set by the Bankruptcy Court for the maximum protection for securities customers under SIPA, and one is set by the law as an absolute bar for all claims. The Bankruptcy Court has set January 31, 2012 as the date for filing securities customer claims to be eligible for the maximum protection under SIPA. If your claim is received by the Trustee after January 31, 2012 but on or before June 2, 2012, your claim is subject to delayed processing and to being satisfied on terms less favorable to you. The law governing this proceeding absolutely bars the allowance of any claim, including a securities customer claim, not actually received by the Trustee on or before June 2, 2012. Neither the Trustee nor the Securities Investor Protection Corporation has authority to grant extensions of the June 2, 2012 bar date for filing of claims, regardless of the reason. If your securities customer claim is received even one day after the June 2, 2012 bar date, it will be disallowed. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. Please file well in advance so that there will be time to refile if, for instance, your claim is lost in the mail. Where To File The completed and signed claim form, together with supporting documents must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in the enclosed envelope to:
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If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656
If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 125 of 173 SECURITIES CUSTOMER CLAIM FORM MF GLOBAL INC.
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Daytime Phone: Email: Taxpayer I.D. Number (Social Security No.):
PLEASE NOTE
THIS CLAIM FORM SHOULD BE USED ONLY IF YOU ARE A CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMER CLAIM BASED ON A SECURITIES ACCOUNT

A SEPARATE CLAIM FORM MUST BE FILED FOR EACH SECURITIES ACCOUNT. TO BE ELIGIBLE FOR THE MAXIMUM PROTECTION AFFORDED UNDER THE SECURITIES INVESTOR PROTECTION ACT (SIPA), ALL SECURITIES CUSTOMER CLAIMS MUST BE RECEIVED BY THE TRUSTEE ON OR BEFORE JANUARY 31, 2012; THE TRUSTEE WILL DETERMINE WHETHER CLAIMS MEET THE STATUTORY REQUIREMENTS FOR SECURITIES CUSTOMER CLAIMS UNDER SIPA; INCLUSION OF A CLAIM OR CLAIM TYPE ON THIS CLAIM FORM IS NOT DETERMINATIVE OF CUSTOMER STATUS UNDER SIPA. THE ABSOLUTE DEADLINE FOR FILING ALL SECURITIES CUSTOMER CLAIMS IS JUNE 2, 2012. NO CLAIM WILL BE ALLOWED IF IT IS RECEIVED AFTER THAT DATE. ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. CLAIMS THAT ARE FILED ELECTRONICALLY MUST BE RECEIVED BY 12:00 MIDNIGHT ON THE BAR DATE TO BE CONSIDERED TIMELY. YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNED CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED TO THE APPROPRIATE ADDRESS BELOW. IF YOU REQUIRE ADDITIONAL SPACE TO ANSWER ANY QUESTION, PLEASE ATTACH SEPARATE PIECES OF PAPER AND LABEL THE ANSWERS TO THE CORRESPONDING QUESTIONS FOR THIS CLAIMS FORM. ALL ATTACHMENTS MUST BE SIGNED BY YOU. YOU MAY ESTIMATE ANY VALUES/AMOUNTS ASSOCIATED WITH YOUR CLAIM. ANSWER ALL QUESTIONS AS FULLY AS POSSIBLE, TO THE EXTENT YOU KNOW OR CAN ESTIMATE THE INFORMATION REQUESTED. IF YOU ARE PROVIDING AN ESTIMATE, YOU MUST SO INDICATE. IF SOME OR ALL OF YOUR SECURITIES ACCOUNTS HAVE BEEN TRANSFERRED TO ANOTHER SIPC-MEMBER FIRM, BUT YOU BELIEVE YOU
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HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS. MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN THIS SIPA LIQUIDATION PROCEEDING. THIS SECURITIES CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC.
This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed promptly, together with supporting documentation, to the following: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 I. TOTAL AMOUNT CLAIMED If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
The total value of my claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to me by MFGI less all cash I owe to MFGI, if any, and (ii) the value of all securities owed to me by MFGI less all securities I owe to MFGI, if any, is: $_______________________________ Check one: ESTIMATED II. DETAILS OF YOUR CLAIM A. CLAIM FOR MONEY BALANCES OR CASH AS OF OCTOBER 31, 2011: 1. 2. 3. MFGI owes me a credit or cash in the amount of: I owe MFGI a debit or cash in the amount of: If you wish to repay the debit balance listed in Item (II.A.2), above, please insert the amount you wish to repay and attach a check payable to James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc. If you wish to make a payment, it must be enclosed with this claim form. $________________ $________________ CALCULATED
$________________
B.
CLAIM FOR SECURITIES AS OF OCTOBER 31, 2011: Please Do Not Claim Any Securities You Have In Your Possession 5
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YES 1. 2. 3. MFGI owes me securities: I owe MFGI securities: If yes to either, please list below (or in additional pages as necessary):
NO
Number of Shares or Face Amount of Bonds Date of Transaction (trade date) MFGI Owes Me (Long) I Owe MFGI (Short)
Name of Security
If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash and/or securities that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. Please explain any differences between the securities or cash claimed and the cash balance and securities positions on your last account statement. ADDITIONAL INFORMATION ABOUT YOUR CLAIM NOTE: Please check the appropriate answer for items 1 through 8, below. If you select YES, for any item, please provide a detailed explanation on a signed 6
III.
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1.
2. 3.
4.
5.
6.
7.
8.
attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. NO YES Does your claim in any way relate to an entity other than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USA Inc. or another MF Global subsidiary)? Has there been any change in your account since October 31, 2011? Are you or were you a party to a repurchase or reverse repurchase agreement, or a director, officer, partner, shareholder, lender to, or capital contributor of MFGI? Are you related to, or do you have any business venture with, any of the persons specified in item (3), above, or any employee or other person associated in any way with MFGI? If so, give name(s). Are or were you a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI? Is this claim being filed on behalf of a customer of a broker or dealer or bank? If so, provide documentation with respect to each customer on whose behalf you are claiming. Have you ever given any discretionary authority to any person to execute securities transactions with or through MFGI on your behalf? Give names, addresses and phone numbers. Have you or any member of your family ever filed a claim under the Securities Investor Protection Act of 1970? If so, give name of that broker.
Please list the full name, address, phone number, and email address of anyone assisting you in the preparation of this claim form: Full name: Address: Phone number: Email address: If more than one person is assisting you, attach additional pages providing the information in the exact format above.
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IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF UP TO FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Signature Date Signature (If ownership of the account is shared (i.e., there is more than one name on the account), all must sign above. Give each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, e.g., corporate, trustee, custodian, etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)
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Exhibit 4(C)
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MF GLOBAL INC. In Liquidation December 2, 2011 TO ALL PERSONS ASSERTING CLAIMS AS COMMODITY FUTURES CUSTOMERS OF MF GLOBAL INC.: Enclosed are a commodity futures customer claim form, and commodity futures customer claim form instructions. You will receive a separate commodity futures customer claim form packet for each commodity futures account you have with MF Global Inc. (the Debtor), as identified from MF Global Inc.s books and records. If you also have one or more securities accounts with the Debtor, you also will receive a separate claim packet for filing a securities customer claim for each such account. Should you require additional or different forms, all claim forms are available at the Trustees website, www.mfglobaltrustee.com. You are urged to read these and the other enclosed documents carefully. They explain steps to protect any rights and claims you may have in this liquidation proceeding. You may have received open commodity positions and/or cash or cash equivalents through court-authorized bulk transfers resulting from the efforts of the Trustee, the Securities Investor Protection Corporation, the Securities Exchange Commission, the Commodity Futures Trading Commission, and numerous derivatives clearing organizations, including the Chicago Mercantile Exchange. Regardless of any transfer of any portion of your account, if the Debtor still owes you cash or other property from one or more commodity futures customer accounts, and you wish to claim it, you must fill out a commodity futures customer claim form for each separate commodity futures account that you are claiming. All claims must be filed with the Trustee electronically online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested, to one of the following addresses: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
A return envelope for the completed claim form(s) is enclosed. Please make a copy of your claim form(s) for your own records before mailing. Your claim(s) will not be deemed to be filed until received by the Trustee. If you submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via certified mail, return receipt requested. Your return receipt will be the only document you will receive that shows your claim has been received by the Trustee. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely.
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If, at any time, you complained in writing about the handling of your commodity futures account(s) to any person or entity or regulatory authority, and the complaint relates to the cash, securities or other property that you are now seeking, please provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. While your claim is being processed, if your claim is not properly completed or the Trustee requires additional information in order to process your claim, the Trustee may contact you by telephone or email and may send you a deficiency letter to request that you file additional information or documents to support the validity of your claim. Failure to respond to a deficiency letter within thirty days of its receipt may result in the denial of your claim. It is your responsibility to report accurately all positions and money balances in connection with your commodity futures account(s) with the Debtor. A false claim or the retention of property to which you are not entitled may make you liable for damages and criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may file an estimated claim. One of the purposes of the liquidation is to satisfy commodity futures customer claims as promptly as practicable. Your commodity futures customer claim form must be received by the Trustee on or before January 31, 2012, or it will be barred (unless extended, for good cause only). The January 31, 2012 deadline for filing a commodity futures customer claim cannot be extended beyond June 2, 2012, even for good cause. If received by the Trustee after January 31, 2012, but on or before June 2, 2012, a commodity futures customer claim may be afforded general creditor status. Commodity futures customer claims are not eligible for Securities Investor Protection Corporation advances. Your cooperation in promptly returning the appropriate completed commodity futures customer claim form to the Trustee is in your best interest as it will help speed the administration of the liquidation proceeding. Very truly yours,
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INSTRUCTIONS FOR COMPLETING THE COMMODITY FUTURES CUSTOMER CLAIM FORM PLEASE READ CAREFULLY
IF YOUR CLAIM IS NOT BASED ON A COMMODITY FUTURES ACCOUNT YOU DO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A COMMODITY FUTURES CUSTOMER CLAIM FORM These instructions are to help you complete the enclosed commodity futures customer claim form. If you believe that MF Global Inc. (MFGI) owes you cash or other property that you wish to claim, the Trustee must receive your claim on or before the date specified on the claim form. Even if part of your commodity futures account(s) has been transferred to one or more transferee futures commission merchants, you must timely submit a claim in order to claim cash or other property that you believe MFGI still owes you. If you submit an improperly completed claim form or do not provide sufficient information to support your claim, the Trustee may send you a deficiency letter, indicating what additional information is required to process your claim. Failure to timely respond and provide sufficient information may result in a delay in satisfaction of your claim or its disallowance. In addition to the specific items and information sought in the enclosed commodity futures customer claim form, you should provide further explanation and detail regarding your claim and your account, as necessary, to aid the Trustee in the prompt satisfaction of your claim. Item I seeks a statement of the total amount of cash, cash equivalents, or other property (including margin) and open trade equity in your commodity futures account on October 31, 2011. If you cannot precisely calculate the amount, you may provide an estimate. In that case, please be sure to indicate that you are providing an estimate. Item (I.A) seeks a break down of the total amount of (i) cash, cash equivalents, or other property (including margin) and (ii) open trade equity in your account. Item (I.B) seeks the amount of open trade equity and cash, cash equivalents, or other property (including margin) related to Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States). Item II seeks details about any activity, either initiated by you or otherwise, affecting your commodity futures account on or after October 31, 2011. Item III seeks details about your commodity futures account. Please indicate the type of account you hold, the capacity in which you hold the account, whether the account is held by an MFGI insider, affiliate, or relative, whether the account is a discretionary account, whether the account is a joint account, whether you have any related accounts, and, if your claim is based on securities futures products, whether these are held in a futures account or a securities account. Item IV seeks additional details about your commodity futures claim. Please indicate whether MFGI has any claims against you, not included in your statement of account balance, provided in Item I. If the total amount you provided in Item I for your statement of account balance includes any cash, cash equivalents or other property, provide detail about such cash, cash equivalents or other property. Please also indicate, if you are claiming securities, whether
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you wish to receive payment in kind, to the extent possible. Please note that Item IV seeks information about specifically identifiable property, as defined in the Commodity Futures Trading Commission Part 190 Rules. Even if you have previously provided information to the Trustee regarding your specifically identifiable property you should nevertheless provide information about such property when completing and submitting your claim here. Full and complete information about your account will assist the Trustee in promptly satisfying your claim. If you cannot compute the amount of your claim, you may file an estimated claim. In that case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your commodity futures account to any person or entity or regulatory authority, and the complaint relates to the cash or other property that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. A separate claim form must be filed for each account. If your account is a master account consisting of sub-accounts, you should claim the sub-accounts on a consolidated basis, and submit one claim form for the master account, but note the existence of the sub-accounts in the information regarding related accounts in Item (III.F).
When To File The deadline for filing commodity futures customer claims is January 31, 2012. If your commodity futures customer claim(s) is not received by the Trustee on or before January 31, 2012, your claim(s) will be barred (unless extended, for good cause only). The January 31, 2012 deadline for filing a commodity futures customer claim cannot be extended beyond June 2, 2012, even for good cause. The law governing this proceeding absolutely bars the allowance of any claim, including a commodity futures customer claim, not actually received by the Trustee on or before June 2, 2012. Neither the Trustee nor the Securities Investor Protection Corporation has authority to grant extensions of the June 2, 2012 bar date for filing of claims, regardless of the reason. Please file well in advance so that there will be time to refile if, for instance, your claim is lost in the mail. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely.
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Where To File The completed and signed claim form, together with supporting documents must be filed with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in the enclosed envelope to: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 136 of 173 COMMODITY FUTURES CUSTOMER CLAIM FORM MF GLOBAL INC. Daytime Phone: Email: Taxpayer I.D. Number (Social Security No.):
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PLEASE NOTE
THIS CLAIM FORM SHOULD BE USED IF YOU ARE A CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMER CLAIM BASED ON A COMMODITY FUTURES ACCOUNT A SEPARATE CLAIM FORM MUST BE FILED FOR EACH COMMODITY
FUTURES ACCOUNT. IF YOUR ACCOUNT IS A MASTER ACCOUNT CONSISTING OF SUB-ACCOUNTS, YOU SHOULD CLAIM THE SUB-ACCOUNTS ON A CONSOLIDATED BASIS AND SUBMIT ONE CLAIM FORM FOR THE MASTER ACCOUNT BUT NOTE THE EXISTENCE OF THE SUB-ACCOUNTS IN THE INFORMATION REGARDING RELATED ACCOUNTS IN ITEM (III.F). THE DEADLINE FOR FILING ALL COMMODITY FUTURES CUSTOMER CLAIMS IS JANUARY 31, 2012. NO COMMODITY FUTURES CUSTOMER CLAIM WILL BE ALLOWED IF IT IS RECEIVED AFTER THAT DATE (UNLESS EXTENDED, FOR GOOD CAUSE ONLY). THE JANUARY 31, 2012 DEADLINE FOR FILING A COMMODITY FUTURES CUSTOMER CLAIM CANNOT BE EXTENDED BEYOND JUNE 2, 2012, EVEN FOR GOOD CAUSE. IF RECEIVED BY THE TRUSTEE AFTER JANUARY 31, 2012, BUT ON OR BEFORE JUNE 2, 2012, A COMMODITY FUTURES CUSTOMER CLAIM MAY BE AFFORDED GENERAL CREDITOR STATUS. ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. CLAIMS THAT ARE FILED ELECTRONICALLY MUST BE RECEIVED BY 12:00 MIDNIGHT ON THE BAR DATE TO BE CONSIDERED TIMELY. YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNED CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED TO THE APPROPRIATE ADDRESS BELOW. IF YOU REQUIRE ADDITIONAL SPACE TO ANSWER ANY QUESTION, PLEASE ATTACH SEPARATE PIECES OF PAPER AND LABEL THE ANSWERS TO THE CORRESPONDING QUESTIONS FOR THIS CLAIMS FORM. ALL ATTACHMENTS MUST BE SIGNED BY YOU. YOU MAY ESTIMATE ANY VALUES/AMOUNTS ASSOCIATED WITH YOUR CLAIM. ANSWER ALL QUESTIONS AS FULLY AS POSSIBLE, TO THE EXTENT YOU KNOW OR CAN ESTIMATE THE INFORMATION REQUESTED. IF YOU ARE PROVIDING AN ESTIMATE, YOU MUST SO INDICATE. IF SOME OR ALL OF THE TRADE EQUITY OR CASH, CASH EQUIVALENTS OR OTHER PROPERTY IN YOUR COMMODITY FUTURES ACCOUNTS HAS BEEN TRANSFERRED TO ANOTHER FUTURES COMMISSION MERCHANT,
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BUT YOU BELIEVE YOU HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS. MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN THIS SIPA LIQUIDATION PROCEEDING. THIS COMMODITY FUTURES CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC. This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed promptly, together with supporting documentation, to the following: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 I. If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
ACCOUNT BALANCE AS OF OCTOBER 31, 2011 NOTE: If needed, please provide a detailed description on a signed attachment of the basis for your answers below, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. A. Please state your beginning and ending account balance as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin), and (ii) open trade equity: Are these estimated amounts? YES NO
Beginning balance: _____________________________ Ending balance: ________________________________ Account value at market: _________________________ 1. Please state the amount of cash, cash equivalents, or other property (including margin) in the account, as of October 31, 2011: __________________________________________________________. Please state the open trade equity in the account, as of October 31, 2011: __________________________________________________________.
2.
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B.
If your account contained NO open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), you may skip the rest of this question. OTHERWISE: 1. If, on October 31, 2011, your account contained open trade equity ofor cash, cash equivalents, or other property (including margin) associated withForeign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), please identify the amounts of equity and cash, cash equivalents, or other property (and specify the currency and/or convert to USD) for each (use additional paper, as needed): Are these estimated amounts? YES NO
Foreign Futures open trade equity:_________________________. Foreign Futures cash, cash equivalents, or other property:_______ _____________________________________________________. II. ACCOUNT ACTIVITY ON OR AFTER OCTOBER 31, 2011
THE FOLLOWING QUESTIONS ADDRESS ACCOUNT ACTIVITYEITHER INITIATED BY YOU OR OTHERWISETHAT AFFECTED YOUR ACCOUNT ON OR AFTER OCTOBER 31, 2011. A. If your account had any open commodity contracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more transferee futures commission merchants after October 31, 2011? Check one: YES
OR No open commodity contracts were transferred from my account to a transferee futures commission merchant after October 31, 2011
NOTE: If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Identify the name(s) of the transferee futures commission merchant(s); Summarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one); and
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3.
Specify the amount of margin (i.e., cash, cash equivalents, or other property), in U.S. dollars, that was transferred along with such commodity contracts, if any. Please state the open trade equity based on the commodity contracts that were transferred from the account: (i) (ii) As of the date of the transfer; and As the commodity contracts existed in the account on October 31, 2011. YES NO
4.
Are these estimated amounts? B.
Did you liquidate any open commodity contracts on or after October 31, 2011? Check one: YES NO
NOTE: If you selected NO, you may skip the remainder of this question. If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Summarize the commodity contracts (including futures and options on futures) that you liquidated. In order to determine the net profit/loss resulting from these liquidations, summarize the equity of the commodity contracts that you liquidated: (i) (ii) As of the date of the liquidation; As the commodity contracts existed in the account on October 31, 2011. Are these estimated amounts? 3. YES NO
Please indicate whether any of the open commodity contracts you liquidated on or after October 31, 2011 were Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States). Check one: YES NO
NOTE: If you selected NO, you may skip the remainder of this question. If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you
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have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. (i) Summarize the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you liquidated. In order to determine the net profit/loss resulting from these liquidations, summarize the equity of the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you liquidated: (a) (b) As of the date of the liquidation; As the Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) existed in the account on October 31, 2011. YES NO
(ii)
Are these estimated amounts? C.
If your account had any cash, cash equivalents, or other property as of October 31, 2011, was any cash, cash equivalents, or other property transferred from your account to one or more transferee futures commission merchants after October 31, 2011OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts (which you should have identified in Item (II.A), above)? Check one: YES OR Not including any margin (i.e., cash, cash equivalents, or other property) that may have transferred with open commodity positions, no other cash, cash equivalents, or other property was transferred from my account to a transferee futures commission merchant after October 31, 2011.
NOTE: If you selected YES, please provide the following information in detail on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. 2. Identify the name(s) of the transferee futures commission merchant(s); and Identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Are these estimated amounts? YES NO
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D.
In the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or other property), if any, was transferred to another futures commission merchant: _____________________________________________.
III.
DESCRIPTION OF THE ACCOUNT A. Please specify the type of account (check all that are applicable): 1. 2. 3. 4. 5. 6. 7. Futures account Foreign futures account Leverage account Option accountexchange-traded Option accountdealer Delivery account* Cleared OTC derivatives account
*A delivery account is one which contains only documents of title, commodities, cash, or other
property identified to you and deposited for the purposes of making or taking delivery on a commodity underlying a commodity contract or for payment of the strike price upon exercise of an option.
B.
Please specify the capacity in which you hold the account (check all that are applicable): 1. 2. 3. 4. 5. 6. 7. 8. Individual capacity As guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform Gift to Minors Act As executor or administrator of an estate As trustee for the trust beneficiary In the name of a corporation, partnership, or unincorporated association As an omnibus customer account of the undersigned futures commission merchant As part owner of a joint account In the name of a plan which, on October 31, 2011, had in effect a
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registration statement in accordance with the requirements of 1031 of the Employee Retirement Income Security Act of 1974 and the regulations thereunder 9. 10. As agent or nominee for a principle or beneficial owner (and not described in Items (III.B.1-8)) In any other capacity not described above in Items (III.B.1-9) (please specify the capacity):
C.
Is any person (including a general partnership, limited partnership, corporation, or other type of association) on whose behalf the account is held one of the following persons or does one of the following persons, alone or jointly, hold 10% or more of the account? (Check all that are applicable): 1. 2. 3. 4. 5. 6. 7. MF Global Inc. Director of MF Global Inc. Officer of MF Global Inc. Person in control of MF Global Inc. Partnership in which MF Global Inc. is a general partner Owner of ten percent or more of the capital stock of MF Global Inc. Employee of MF Global Inc. whose duties include (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the trades or funds of customers of MF Global Inc.; or (d) the signing or cosigning of checks or drafts on behalf of MF Global Inc. Managing agent of MF Global Inc. A spouse or minor dependent living in the same household of ANY OF THE FOREGOING PERSONS (listed in Items (III.C.1-8), above), or any other relative, regardless of residency, defined as an individual related by affinity or consanguinity within the third degree as determined by the common law, or individual in a step or adoptive relationship with such degree. Affiliate of MF Global Inc.* Any of the persons listed in Items (III.C.1-8), above, if such person is associated with an affiliate of MF Global Inc. as if the affiliate 7
8. 9.
10. 11.
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were MF Global Inc. *Affiliate of MF Global Inc. is defined as:

An entity that directly or indirectly owns, controls, or holds with power to vote, 20% or more of the outstanding voting securities of MF Global Inc., other than an entity that holds such securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to vote; A corporation 20% or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by MF Global Inc., or by an entity that directly or indirectly owns, controls, or holds with power to vote, 20% or more of the outstanding voting securities of MF Global Inc., other than an entity that holds such securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to vote; A person whose business is operated under a lease or operating agreement by MF Global Inc., or person substantially all of whose property is operated under an operating agreement with MF Global Inc.; An entity that otherwise, directly or indirectly, is controlled by or is under common control with MF Global Inc.; An entity that operates the business of all or substantially all of the property of MF Global Inc. under a lease or operating agreement; or An entity that otherwise, directly or indirectly, controls MF Global Inc.
D.
Is this a discretionary account? Check one: YES NO
NOTE: If you selected YES, specify who has the general authority to buy or sell orders or effectuate transactions for your account:_____________. E. Is this a joint account? Check one: YES NO
NOTE: If you selected YES, specify the amount of your percentage interest in the account, and whether all participants in a joint account are claiming jointly. 1. My percentage interest in the account is: _______ %
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2.
Participants in a joint account are claiming:
(Check one) SEPARATELY FULLY JOINTLY
F.
Do you have any related accounts? Check one: YES NO
NOTE: If you selected YES, specify the account numbers of your related accounts. YOU MUST FILE A SEPARATE CLAIM FOR EACH ACCOUNT. _____________________________________________________________ _____________________________________________________________ G. Is your claim based on securities futures products? Check one: YES NO
NOTE: If you selected YES, are these securities futures products held in a futures account or a securities account? Check one: IV. SECURITIES ACCOUNT FUTURES ACCOUNT
DETAILS OF YOUR CLAIM A. Does MF Global Inc. have any claims against you not already included in your statement of account balance provided in Item (I.A) above? Check one: YES NO
NOTE: If you selected YES, please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. B. If your statement of account balance provided in Item (I.A) above does NOT include any cash, cash equivalents or other property held by or for MF Global Inc. from or for your account, select this box and skip the rest of this question. I am not claiming any cash, cash equivalents, or other property held by or for MF Global Inc. from or for my account.
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OTHERWISE, please indicate whether any cash, cash equivalents, or other property consists of one of the following (check all that are applicable), and if you check any one or more of the following, please provide a detailed explanation on a signed attachment, and attach any supporting documentation you have. If you do not provide sufficient details, you may be sent a deficiency letter seeking additional information. 1. Any security deposited as margin which, as of October 31, 2011, was securing an open commodity contract and is (i) registered in your name; (ii) not transferable by delivery; and (iii) not a short-term obligation. Any fully-paid, non-exempt security held for your account in which there were no open contracts as of October 31, 2011. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as of October 31, 2011, was securing an open commodity contract and can be identified in MF Global Inc.s records as being held for your account, and is neither in bearer form nor otherwise transferable by delivery. Any warehouse receipt, bill of lading or other document of title, or any commodity received, acquired or held by or for MF Global Inc. to make or take physical delivery or exercise from or for your account and which can be identified in MF Global Inc.s records as received from or for your account as held specifically for the purpose of delivery or exercise. Any open commodity contract (except as provided in Item (IV.B.8), below) which, as of October 31, 2011, is identified in MF Global Inc.s records as being held for your account, is a bona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodity option transaction which has been determined by the exchange to be economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.s records as a hedging account. Any cash or other property deposited or cash price tendered for any property deposited, prior to October 31, 2011, for the specifically noted purpose of taking or making physical delivery on an options or futures contract, which cash or other property is identified on MF Global Inc.s records as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If you check this box, the Trustees Office will contact you to request that you provide specific additional information regarding this type of property. Open commodity contracts transferred to another futures commission merchant by the Trustee.
2. 3.
4.
5.
6.
7.
10
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OR C. My claim is not based on any of the types of cash, cash equivalents, or other property listed in Items (IV.B.1-7), above.
If you checked any boxes in (IV.B.1-7), above, did you separately identify any such potentially Specifically Identifiable Property to the Trustee by written or electronic mail on or before November 15, 2011? Check one: YES NO
D.
If you are claiming securities for this account, do you wish to receive payment in kind, to the extent possible? Check one: YES NO
WHEN COMPLETING THE ABOVE PLEASE KEEP IN MIND: If you cannot compute the amount of your claim, you may file an estimated claim. In that
case, please be sure to indicate that your claim is an estimated claim. Proper documentation can speed the review, allowance, and satisfaction of your claim. Please enclose: copies (not originals) of any documentation or correspondence you believe will be of assistance in processing your claim, including, but not limited to, customer confirmations, account statements, and statements of purchase or sale. If, at any time, you complained in writing about the handling of your account to any person or entity or regulatory authority, and the complaint relates to the cash or other property that you are now seeking, please be sure to provide with your claim copies of the complaint and all related correspondence, as well as copies of any replies that you received. Please list the full name, address, phone number, and email address of anyone assisting you in the preparation of this claim form: Full name: Address:
Phone number: Email address: If more than one person is assisting you, attach additional pages providing the information in the exact format above.
11
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IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF UP TO FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Signature Date Signature (If ownership of the account is shared (i.e., there is more than one name on the account), all must sign above. Give each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account, e.g., corporate, trustee, agent, custodian, etc., also state your capacity and authority. Please supply the trust agreement or other proof of authority.)
12
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Exhibit 4(D)
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Filed 11/21/11 Entered 11/21/11 12:05:13 Pg 149 of 173 MF GLOBAL INC. In Liquidation December 2, 2011
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TO ALL PERSONS ASSERTING CLAIMS AS CREDITORS OF MF GLOBAL INC. (OTHER THAN WITH RESPECT TO SECURITIES ACCOUNTS OR COMMODITY FUTURES ACCOUNTS): Enclosed with this letter is a claim form for creditors of MF Global Inc. (the Debtor). If you believe that you have a bona-fide creditor claim against the Debtor, you must complete this form file it with the Trustee electronically online at www.mfglobaltrustee.com or return it by certified mail, return receipt requested, to the Trustee at the following address: If by first class mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC P.O. Box 3656 Portland, OR 97208-3656 If by overnight mail: MF Global Inc. Claims Processing Center c/o Epiq Bankruptcy Solutions, LLC 10300 SW Allen Blvd. Beaverton, OR 97005
In addition to this letter, you should carefully read the enclosed notice concerning the liquidation of the business of MF Global Inc. This notice informs you of the steps necessary to protect your interests in the proceeding. Among other things, as indicated in the notice, securities customers and commodity futures customers of the debtor should consider filing the appropriate type of customer claim, also included in todays mailing. The Notice also informs all creditors of the Debtor other than customers or broker-dealers that they must file formal claims with the Trustee within SIX MONTHS of the date of the Notice. Because claims are not deemed filed until received by the Trustee at the above address, if you submit your claim by mail it is strongly recommended that you use certified mail, return receipt requested. No claim will be allowed unless received by the Trustee on or before June 2, 2012. Claims that are filed electronically must be received by 12:00 midnight on the bar date to be considered timely. You should attach to the completed claim form copies of all documentation supporting your claim. Please make a copy of the completed claim form and any attached documentation for your own records. DATED: December 2, 2011 Very truly yours, ____________________________ James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 4(E)
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MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 In re MF Global Inc. Case No. 11-2790 (MG) SIPA REQUEST FOR ADDITIONAL INFORMATIONCOMMODITY FUTURES CUSTOMER CLAIM [Date] VIA UPS OVERNIGHT [EPIQ TO POPULATE NAME OF CLAIMANT AND ADDRESS OF CLAIMANT] Re: Claim Number(s): [A1] Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY The liquidation of the business of MF Global Inc. (MFGI) is being conducted under the above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on October 31, 2011 by the United States District Court for the Southern District of New York. We acknowledge receipt of the above-referenced claim(s) in this proceeding (the Claim). We have begun processing your Claim, but require the following information and/or documentation in order to properly evaluate your Claim:
Please provide the MFGI account number that relates to this claim. Please provide your daytime phone number. Please provide your email address. Please provide your taxpayer I.D. Number. Please provide your Social Security Number. Please enclose a copy of your last MFGI account statement or any documents to indicate that you held an account at MFGI. Please provide copies of all correspondence you had with MFGI or any of their representatives or affiliates. Section I.APlease state your beginning and ending account balance, and account value at market, as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin); and (ii) open trade equity. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have.
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Section I.APlease indicate whether your beginning and ending account balance, and account value at market, as of October 31, 2011, including (i) cash, cash equivalents, or other property (including margin); and (ii) open trade equity that you stated in your filed claim are estimated or not. Section I.A.1Please state the amount of cash, cash equivalents, or other property (including margin) in the account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section I.A.2Please state the open trade equity in the account, as of October 31, 2011. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section I.BPlease answer yes or noOn October 31, 2011, did your account contain open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States)? Section I.B.1If, on October 31, 2011, your account contained open trade equity ofor cash, cash equivalents, or other property (including margin) associated withForeign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States), please identify (1) the amount of Foreign Futures open trade equity contained in your account; and (2) the amount of Foreign cash, cash equivalents, or other property contained in your account. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section I.B.1Please indicate whether the amounts of open trade equity or cash, cash equivalents, or other property associated with the margining of Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States) that you stated on your filed claim are estimated or not. Section IPlease provide a detailed description on a signed attachment of the basis for the amounts you stated in Item I in your filed claim, and attach any supporting documentation that you have. Section II.APlease answer yes or noIf your account had any open commodity contracts as of October 31, 2011, were any of your open commodity contracts transferred to one or more transferee futures commission merchants after October 31, 2011? If yes, then please (1) identify the name(s) of the transferee futures commission merchant(s); (2) summarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one); and (3) specify the amount of margin, in U.S. dollars, that was transferred along with such commodity contracts, if any. Please also state the open trade equity based on the commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.APlease indicate whether any amounts that you stated on your filed claim form, in connection with open commodity contracts in your account that were transferred to one or more transferee futures commission merchants after October 31, 2011, were estimated or not. Section II.A.1You have indicated that your account had open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please identify the name(s) of the transferee futures commission merchant(s). Please attach any supporting documentation that you have. Section II.A.2You have indicated that your account had open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please summarize the commodity contracts (including futures and options on futures) that were transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.A.3You have indicated that your account had open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please specify the amount of margin, in U.S. dollars, that was transferred along with such commodity contracts, if any. Please indicate whether or not the amount listed is estimated, and attach any supporting documentation that you have. Section II.A.4You have indicated that your account had open commodity contracts that were transferred to one or more transferee futures commission merchants after October 31, 2011. Please state the open trade equity based on the commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.BPlease answer yes or noDid you liquidate any open commodity contracts on or after October 31, 2011?
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Section II.BPlease indicate whether any amounts that you stated on your filed claim form, in connection with open commodity contracts in your account that you liquidated on or after October 31, 2011, were estimated or not. Section II.B.1You have indicated that you liquidated open commodity contracts on or after October 31, 2011. Please summarize the commodity contracts (including futures and options on futures) that you liquidated. Please attach any supporting documentation that you have. Section II.B.2You have indicated that you liquidated open commodity contracts on or after October 31, 2011. In order to determine the net profit/loss resulting from these liquidations, please summarize the equity of the commodity contracts that you liquidated (i) as of the date of liquidation; and (ii) as the commodity contracts existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.B.3You have indicated that you liquidated open commodity contracts on or after October 31, 2011. Please answer yes or noWere any of the open commodity contracts you liquidated on or after October 31, 2011 Foreign Futures (i.e., futures or options on futures traded on an exchange located outside of the United States)? If yes, then please summarize the Foreign Futures that you liquidated. In order to determine the net profit/loss resulting from these liquidations, please also summarize the equity of the Foreign Futures that you liquidated (i) as of the date of liquidation; and (ii) as the Foreign Futures existed in the account on October 31, 2011. Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.CPlease answer yes or noIf your account had any cash, cash equivalents, or other property as of October 31, 2011, was any cash, cash equivalents, or other property transferred from your account to one or more transferee futures commission merchants after October 31, 2011OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts (which you should have identified in Item II.A on your filed claim form)? If yes, please identify (1) the name(s) of the transferee futures commission merchant(s); and (2) the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.C.1You have indicated that your account had cash, cash equivalents, or other property that was transferred from your account to one or more transferee future commodity merchants after October 31, 2011 OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts. Please identify the name(s) of the transferee futures commission merchant(s). Please attach any supporting documentation that you have. Section II.C.2You have indicated that your account had cash, cash equivalents, or other property that was transferred from your account to one or more transferee future commodity merchants after October 31, 2011 OTHER THAN margin (i.e., cash, cash equivalents, or other property) that was transferred with open commodity contracts. Please identify the amount of cash, cash equivalents, or other property that was transferred (to each transferee, if more than one). Please indicate whether or not any amounts listed are estimated, and attach any supporting documentation that you have. Section II.DIn the aggregate, to the extent that you are able, please estimate what percentage of the value of your account (both open commodity positions and cash, cash equivalents, or other property), if any, was transferred to another futures commission merchant. Please attach any supporting documentation that you have. Section III.APlease specify the type of your account (select all that are applicable): (1) futures account; (2) foreign futures account; (3) leverage account; (4) option accountexchange-traded; (5) option accountdealer; (6) delivery account; (7) cleared OTC derivatives account. Section III.BPlease specify the capacity in which you hold the account (select all that are applicable): (1) individual capacity; (2) as guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform Gift to Minors Act; (3) as executor or administrator of an estate; (4) as trustee for the trust beneficiary; (5) in the name of a corporation, partnership, or unincorporated association; (6) as an omnibus customer account of the undersigned futures commission merchant; (7) as part owner of a joint account; (8) in the name of a plan which, on October 31, 2011, had in effect a registration statement in accordance with the requirements of 1031 of the Employee Retirement Income Security Act of 1974 and the regulations thereunder; (9) as agent or nominee for a principle or beneficial owner (and not described in Items III.B.18); (10) in any other capacity not already described in Items III.B.1-9 (please specify).
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Section III.CPlease indicate whether any person (including a general partnership, limited partnership, corporation, or other type of association) on whose behalf the account is held is one of the following persons or if one of the following persons, alone or jointly, holds 10% or more of the account (select all that are applicable): (1) MF Global Inc.; (2) Director of MF Global Inc.; (3) Officer of MF Global Inc.; (4) Person in control of MF Global Inc.; (5) Partnership in which MF Global Inc. is a general partner; (6) Owner of ten percent or more of the capital stock of MF Global Inc.; (7) Employee of MF Global Inc. whose duties include (a) the management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the trades or funds of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global Inc.; (8) Managing agent of MF Global Inc.; (9) A spouse or minor dependent living in the same household of any of the persons listed in Items III.C.1-8, or any other relative, regardless of residency, defined as an individual related by affinity or consanguinity within the third degree as determined by the common law, or individual in a step or adoptive relationship with such degree; (10) Affiliate of MF Global Inc. (as defined in the claim form); or (11) Any of the persons listed in Items II.C.1-8, if such person is associated with an affiliate of MF Global Inc. as if the affiliate were MF Global Inc. Section III.DPlease answer yes or noWas this is a discretionary account? If yes, please specify who has the general authority to buy or sell orders or effectuate transactions for your account. Section III.EPlease answer yes or noWas this is a joint account? If yes, please specify the amount of your percentage interest in the account, and whether all participants in a joint account are claiming jointly. Section III.FPlease answer yes or noDo you have any related accounts? If yes, please specify the account numbers of your related accounts. Note that you must file a separate claim for each account. Section III.GPlease answer yes or noWas your claim based on securities futures products? If yes, please specify whether this is a securities account or futures account. Section IV.APlease answer yes or noDoes MF Global Inc. have any claims against you not already included in your statement of account balance provided in Item I.A of your claim form. If yes, please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation. Section IV.AYou indicated that MF Global Inc. has a claim or claims against you not already included in the equity calculated in Item I.A of your claim form. Please provide a detailed description in a signed attachment of any such claim or claims, and attach any supporting documentation. Section IV.BPlease answer yes or noDoes your statement of account balance provided in Item I.A of your claim form include any cash, cash equivalents, or other property held by or for MF Global Inc. from or for your account? Section IV.BYou indicated that your statement of account balance provided in Item I.A of your claim form includes cash, cash equivalents, or other property held by or for MF Global Inc. from or for your account. Please indicate whether any such cash, cash equivalents, or other property consists of one of the following descriptions, and if so, please provide a detailed explanation on a signed attachment, and attach any supporting documentation you have. Please select all that are applicable: 1. Any security deposited as margin which, as of October 31, 2011, was securing an open commodity contract and is (i) registered in your name; (ii) not transferable by delivery; and (iii) not a short-term obligation. 2. Any fully-paid, non-exempt security held for your account in which there were no open contracts as of October 31, 2011. 3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as of October 31, 2011, was securing an open commodity contract and can be identified in MF Global Inc.s records as being held for your account, and is neither in bearer form nor otherwise transferable by delivery. 4. Any warehouse receipt, bill of lading or other document of title, or any commodity received, acquired or held by or for MF Global Inc. to make or take physical delivery or exercise from or for your account and which can be identified in MF Global Inc.s records as received from or for your account as held specifically for the purpose of delivery or exercise. 5. Any open commodity contract which, as of October 31, 2011, is identified in MF Global Inc.s records as being held for your account, is a bona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodity option transaction which has been determined by the exchange to be economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.s records as a hedging account.
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Any cash or other property deposited or cash price tendered for any property deposited, prior to October 31, 2011, for the specifically noted purpose of taking or making physical delivery on an options or futures contract, which cash or other property is identified on MF Global Inc.s records as received from or for your account within three or less days of the notice date or three or less days of the exercise date. NOTE: If yes, the Trustees Office will contact you to request that you provide specific additional information regarding this type of property. 7. Open commodity contracts transferred to another futures commission merchant by the Trustee. OR Your claim is not based on any of the types of cash, cash equivalents, or other property listed in Items IV.B.1-7, above. Section IV.CPlease answer yes or noIf you selected any of Items IV.B.17 above, did you separately identify any such potentially Specifically Identifiable Property to the Trustee by written or electronic mail on or before November 15, 2011? Section IV.DPlease answer yes or noAre you claiming securities for the account listed in your filed claim? If yes, please answer yes or noDo you wish to receive payment in kind, to the extent possible? Section IV.DYou indicated that you are claiming securities for the account listed in your filed claim. Please answer yes or noDo you wish to receive payment in kind, to the extent possible? Please provide the full name(s), address(es), phone number(s), and email address(es) of each person that assisted you in the preparation of your claim form. The submitted claim form does not include the claimants dated signature. Please have the claimant sign and date the enclosed Amendment to Claim Form. Because the account is a joint account, please have each account holder sign and date the enclosed Amendment to Claim Form.
6.
Your Claim cannot be processed further until you provide us with the requested information and/or documentation. Please return a copy of this letter with the requested information via certified mail, return receipt requested to: MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 If you are unable to provide the requested information and/or documentation, please provide a brief written explanation. We request your response within thirty (30) days from the date of this letter or your Claim may be denied. Thank you for your cooperation. Very truly yours,
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COMMODITY FUTURES CUSTOMER CLAIM FORM MF GLOBAL INC.

INSTRUCTIONS Because you failed to sign the claim form you provided, sign and date the below Amendment to Claim Form. If ownership of the account is shared (i.e., there is more than one name on the account), all must sign below. Please provide each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account (e.g., corporate, trustee, custodian, etc.), also state your capacity and authority. Please supply the trust agreement or other proof of authority. IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Date Signature Signature
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MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 In re MF Global Inc. Case No. 11-2790 (MG) SIPA REQUEST FOR ADDITIONAL INFORMATIONSECURITIES CUSTOMER CLAIM [Date] VIA UPS OVERNIGHT [EPIQ TO POPULATE NAME OF CLAIMANT AND ADDRESS OF CLAIMANT] Re: Claim Number(s): [A1] Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY The liquidation of the business of MF Global Inc. (MFGI) is being conducted under the above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on October 31, 2011 by the United States District Court for the Southern District of New York. We acknowledge receipt of the above-referenced claim(s) in this proceeding (the Claim). We have begun processing your Claim, but require the following information and/or documentation in order to properly evaluate your Claim:
Please provide the MFGI account number that relates to this claim. Please provide your daytime phone number. Please provide your email address. Please provide your taxpayer I.D. Number. Please provide your Social Security Number. Please enclose a copy of your last MFGI account statement or copies of any documents to indicate that you held an account at MFGI. Please provide copies of all correspondence you had with MFGI or any of its representatives or affiliates. Section IPlease state the total value of your claim against MFGI, based on, as of October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) the
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value of all securities owed to you by MFGI less all securities you owe to MFGI, if any. Please indicate whether this value is estimated or calculated. Section IPlease indicate whether the total value of your claim that you provided was estimated or calculated. Section II.APlease state your claim for money balances or cash as of October 31, 2011 as follows (i) the amount in which MFGI owes you a credit or cash, if any, (ii) the amount in which you owe MFGI a debit or cash, if any. Section II.BPlease state your claim for securities as of October 31, 2011 as follows: (i) indicate whether MFGI owes you securities, (ii) indicate whether you owe MFGI securities, and (iii) please list the date of transaction (trade date), name of security, and number of shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short). Section II.BYou indicated that you have a claim for securities as of October 31, 2011. Please list the date of transaction (trade date), name of security, and number of shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short). Section III.1Please answer yes or noDoes your claim in any way relate to an entity other than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USA Inc. or another MF Global subsidiary)? If yes, then please provide a detailed explanation on a signed attachment. Section III.1You have indicated that your claim relates to an entity other than MF Global Inc. Please provide a detailed explanation on a signed attachment. Section III.2Please answer yes or noHas there been any change in your account since October 31, 2011? If yes, then please provide a detailed explanation on a signed attachment. Section III.2You have indicated that there has been a change in your account since October 31, 2011. Please provide a detailed explanation on a signed attachment. Section III.3Please answer yes or noAre you, or were you ever, a director, officer, partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchase agreement of MFGI? If yes, then please provide a detailed explanation on a signed attachment. Section III.3You have indicated that you are or were a director, officer, partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchase agreement of MFGI. Please provide a detailed explanation of the circumstances on a signed attachment. Section III.4Please answer yes or noAre you related to, or do you have any business venture with a director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any employee or other person associated in any way with MFGI? If so, please provide the full name of each such person. Section III.4You have indicated that you are related to, or have a business venture with a director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any employee or other person associated in any way with MFGI. Please provide the full name of each such person. Section III.5Please answer yes or noAre you or were you a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI? If yes, then please provide a detailed explanation on a signed attachment. Section III.5You have indicated that you are or were a person who, directly or indirectly, through agreement or otherwise, exercised or had the power to exercise a controlling influence over the management or policies of MFGI. Please provide a detailed explanation on a signed attachment. Section III.6Please answer yes or noIs this claim being filed on behalf of a customer of a broker, dealer, or bank? If the answer is yes, please provide documentation with respect to each customer on whose behalf you are claiming. Section III.6You have indicated that your claim is being filed on behalf of a customer of a broker, dealer, or bank. Please provide documentation with respect to each customer on whose behalf you are claiming.
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Section III.7Please answer yes or noHave you ever given any discretionary authority to any person to execute securities transactions with or through MFGI on your behalf? If yes, please provide the full names, addresses and phone numbers for each person. Section III.7You have indicated that you have given discretionary authority to another person to execute securities transactions with or through MFGI on your behalf. Please provide the full names, addresses, and phone numbers for each such person. Section III.8Please answer yes or noHave you or any member of your family ever filed a claim under the Securities Investor Protection Act of 1970? If yes, please provide the full name of the broker involved in the claim. Section III.8You have indicated that you or a member of your family has filed a claim under the Securities Investor Protection Act of 1970. Please provide the full name of the broker involved in the claim. Please provide the full name(s), address(es), phone number(s), and email address(es) of each person that assisted you in the preparation of your claim form. The submitted claim form does not include the claimants dated signature. Please have the claimant sign and date the enclosed Amendment to Claim Form. Because the account is a joint account, please have each account holder sign and date the enclosed Amendment to Claim Form.
Your Claim cannot be processed further until you provide us with the requested information and/or documentation. Please return a copy of this letter with the requested information via certified mail, return receipt requested to: MF Global Inc. Claims Processing c/o Epiq Bankruptcy Solutions, LLC 757 Third Avenue, 3rd Floor New York, NY 10017 If you are unable to provide the requested information and/or documentation, please provide a brief written explanation. We request your response within thirty (30) days from the date of this letter or your Claim may be denied. Thank you for your cooperation. Very truly yours,
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SECURITIES CUSTOMER CLAIM FORM MF GLOBAL INC.

INSTRUCTIONS Because you failed to sign the claim form you provided, sign and date the below Amendment to Claim Form. If ownership of the account is shared (i.e., there is more than one name on the account), all must sign below. Please provide each owners name, address, phone number, and extent of ownership on a signed separate sheet. If other than a personal account (e.g., corporate, trustee, custodian, etc.), also state your capacity and authority. Please supply the trust agreement or other proof of authority. IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY INFORMATION AND BELIEF. Date Date Signature Signature
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Exhibit 4(F)
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MF GLOBAL INC. In Liquidation [Date]
NOTICE OF TRUSTEES DETERMINATION OF CLAIM [Date] [Name of Claimant] [Address]
Dear Claimant: PLEASE READ THIS NOTICE CAREFULLY.
The liquidation of the business of MF Global Inc. is being conducted by James W. Giddens, Trustee pursuant to an order entered on October 31, 2011 by the United States District Court for the Southern District of New York. The Trustee has made the following determination regarding your claim designated as Claim Number __________________. [__________________________.] PLEASE TAKE NOTICE: If you disagree with this determination and desire a hearing before Bankruptcy Judge Martin Glenn, you MUST file your written opposition, setting forth (i) the claim number; (ii) a detailed statement of the reasons for your objection to the Trustees determination; (iii) copies of any document or other writing upon which you rely; and (iv) mailing, phone, and email contact information, with the United States Bankruptcy Court and the Trustee within THIRTY DAYS of the date of this notice. PLEASE TAKE FURTHER NOTICE: If you do not properly and timely file a written opposition, the Trustees determination with respect to your claim will be deemed confirmed by the Court and binding on you. PLEASE TAKE FURTHER NOTICE: If you properly and timely file a written opposition, a hearing date for this controversy will be obtained by the Trustee upon the Trustees motion to uphold this determination, and you will be notified of that hearing date. Your failure to appear personally or through counsel at such hearing will result in the Trustees determination with respect to your claim being confirmed by the Court and binding on you. Prior to the Trustees filing of a motion to uphold this determination, no discovery or other motion practice shall occur
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regarding this determination or facts giving rise to this determination, absent prior Court approval. PLEASE TAKE FURTHER NOTICE: You must file your opposition in accordance with the above procedure electronically with the Court on the docket of In re MF Global Inc., Case No. 11-2790 (MG) SIPA in accordance with General Order M-242 (available at www.nysb.uscourts.gov/orders/orders2.html) by registered users of the Courts case filing system and by all other parties in interest on a 3.5 inch disk, preferably in Portable Document Format (PDF), Microsoft Word or any other Windows-based word processing format. If you do not have means to file your opposition electronically, you may mail your opposition to: Clerk of the United States Bankruptcy Court Southern District of New York One Bowling Green New York, New York 10004 PLEASE TAKE FURTHER NOTICE: You must serve your opposition upon the Trustees counsel by mailing a copy to: Hughes Hubbard & Reed LLP One Battery Park Plaza New York, NY 10004 Attn: MFGI Hearing Request Attorneys for James W. Giddens, Trustee for the SIPA Liquidation of MF Global Inc.
Trustee for the SIPA Liquidation of MF Global Inc.
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Exhibit 4(G)
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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK In re MF GLOBAL INC., Debtor. ORDER APPROVING TRUSTEES EXPEDITED APPLICATION ESTABLISH PARALLEL CUSTOMER CLAIMS PROCESSES AND RELATED RELIEF Upon the Trustees expedited application seeking entry of an order (1) establishing parallel claims processes for commodity futures customer and securities customer claims; (2) approving the form and manner of the publication and mailing of the notice of commencement of this proceeding; (3) specifying procedures and forms for the filing, determination, and adjudication of claims; (4) fixing a meeting of customers and other creditors; and (5) fixing an interim reporting procedure pursuant to SIPA (the Application);1 and due and proper notice of the Application having been provided; and it appearing that no other or further notice need be provided; and upon consideration of the various objections (collectively, the Objections) interposed to the Trustees Application; and upon consideration of the Trustees Omnibus Reply to the Objections to the Application (the Reply); and a hearing having been held on November 22, 2011, to consider relief requested in the Application (the Hearing), and upon the record of the Hearing, and all the proceedings had before the Court; and the Court having found and determined that the relief sought in the Application is in the best interests of Case No. 11-2790 (MG) SIPA
1.
Terms not defined herein shall have the meaning used in the Application.
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the Debtor, its estate, securities customers, commodity futures customers, other creditors, and all parties in interest, and that the legal and factual bases set forth in the Application establish just cause for the relief granted herein; and after due deliberation and sufficient cause appearing therefore, it is: ORDERED that the Application is granted; and it is further ORDERED that the notice of commencement attached as Exhibit 4 (A) to the Reply (the Notice of Commencement), and the explanatory letters, claim forms, instructions and notice of deficiency of claim and notice of trustees determination of claim appearing as Exhibit 4 (B, C, D, E, and F) to the Reply be, and they hereby are, authorized and approved; and it is further ORDERED that the Trustee shall have the authority, on the advice and consent of the Securities Investment Protection Corporation (SIPC) and the Commodity Futures Trading Commission (CFTC), to amend these forms without further order of this Court; and it is further ORDERED that the Trustee shall cause the Notice of Commencement, substantially in the form attached to the Reply as Exhibit 4 (A), to be published no later than December 2, 2011 in all editions of The New York Times, all editions of The Wall Street Journal, all editions of The Financial Times, and all editions of The Chicago Tribune; and it is further ORDERED that the Trustee shall cause documents substantially in the form of Exhibit 4 (A, B, C, and D) to the Reply to be mailed to persons who, as identified from the Debtors books and records, may potentially assert claims as securities customers, commodity futures customers, or general creditors, on or before December 2, 2011, and finding that such
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mailing complies with SIPA 78fff-2(a)(i) and Bankruptcy Code 765(a) and 17 C.F.R. 190.02(b)(4); and it is further ORDERED that the Trustee shall cause documents substantially in the form of Exhibit 4 (A, B, C, and D) to the Reply to be made available on the Trustees website, www.mfglobaltrustee.com, for download, no later than the day after the date of entry of this order; and it is further ORDERED that the Trustee shall have the authority, as provided in section 78fff2(b) of SIPA, to satisfy securities customer claims, insofar as the claims agree with the Debtors books and records, or are otherwise established to the Trustees satisfaction, without further orders of this Court; and it is further ORDERED that nothing in this order shall prevent the Trustee from agreeing to procedures for intercompany claims as the Trustee may determine is in the best interests of the MFGI estate; and it is further ORDERED that, with respect to securities customer net equity claims, the Trustee shall have the authority to satisfy claims out of moneys made available to the Trustee by SIPC notwithstanding the fact that there has not been any showing or determination that there are sufficient funds of the Debtor available to satisfy such claims; and it is further ORDERED that, with respect to securities customer claims relating to, or securities customer net equities based upon, securities of a class and series of an issuer which are ascertainable from the books and records of the Debtor or are otherwise established to the satisfaction of the Trustee, the Trustee shall have the authority to deliver securities of such class and series, if and to the extent available to satisfy such claims in whole or in part, with partial
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deliveries to be made pro rata to the greatest extent considered practicable by the Trustee; and it is further ORDERED that the Trustee shall implement the procedures prescribed in 17 C.F.R. 190.08 for allocation and distribution of commodity futures customer property, to satisfy commodity futures customer claims, insofar as the claims agree with the Debtors books and records, or are otherwise established to the Trustees satisfaction; and it is further ORDERED that the Trustee shall use the following procedure for those securities customer claims, as defined in SIPA, and commodity futures customer claims, as defined in the Commodity Broker Liquidation Provisions and the Part 190 Regulations, which are not allowed as filed: a. The Trustee will notify the claimant that the Trustee has determined that the claimants claim has been disallowed in whole or in part or has otherwise not been approved for satisfaction as filed. Notification shall be in a form similar to the Notice of Determination of Claim, attached as Exhibit 4 (D) to the Reply. The claimant shall file a written opposition to the Trustees determination in accordance with the instructions included with the Trustees determination. The claimant shall file the written opposition with the Bankruptcy Court in accordance with local rules, and serve upon the Trustees counsel, Hughes Hubbard & Reed LLP, One Battery Park Plaza, New York, NY 10004, Attention: MFGI Hearing Request, within thirty days of the date on which the Trustee mailed his determination. The request shall include: (i) the claim number; (ii) a detailed statement of the reasons for the claimants objection to the Trustees determination; (iii) copies of any document or other writing upon which the claimant relies; and (iv) mailing, phone, and email contact information for the claimant.
b.
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c.
The Trustee shall, within 120 days of the date on which the claimant filed a written opposition to the Trustees determination, use his best effort to move the Court to set a time and date for a status conference regarding the claim determination dispute or to move to uphold his determination of the claim. The Trustee shall, upon his motion to uphold the determination, ask the Court to set a time and date for a hearing and shall notify the claimant in writing of the time, date and place of the hearing. If within 120 days of the date that the claimant filed a written opposition, the Trustee does not either (i) request a status conference, or (ii) file a motion to uphold the determination, the claimant may then move the Court to set a time and date for a hearing on the claim determination dispute. Notwithstanding the procedures outlined herein, the claimant and the Trustee may stipulate to informally resolve their dispute and/or any extensions of any of the foregoing timeframes without further leave of the Court. Moreover, for avoidance of doubt, nothing in these procedures shall preclude the Trustee from moving the Court earlier. If a claimant is aggrieved by the determination of the Trustee, the claimant, upon the Trustees motion to uphold such determination, orif the Trustee fails to timely move for a status conference or to uphold his determination, as set forth in subsection (c) aboveupon the claimants motion for a hearing, shall be afforded the opportunity to have the matter heard by the Court as a contested matter under Rule 9014 of the Bankruptcy Rules. Prior to the Trustees filing of a motion to uphold his determination, or the claimants allowed motion for a hearing, no discovery or other motion practice shall occur regarding the Trustees determination of claim or facts giving rise to such determination, absent prior Court approval. If a claimant fails to file a written opposition within thirty days of the mailing of the Trustees determination in accordance with the procedures established by this Courts Order, or if the claimant fails to appear at a scheduled hearing, then the Trustees determination shall be final.
d.
e.
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ORDERED that the Trustee shall have the authority to compromise and settle any customer claim at any time, as appropriate, without further order of this Court and all parties to this proceeding are directed to cooperate with the Trustee to the maximum extent possible to achieve swift resolution of claims where possible; and it is further ORDERED that any claim of a securities customer for net equity under SIPA which is received by the Trustee after the expiration of a sixty-day time period beginning on the date of publication of the Notice of Commencement need not be paid or satisfied in whole or in part out of customer property, and, to the extent such claim is satisfied from monies advanced by SIPC, it shall be satisfied in cash or securities (or both) as the Trustee determines is most economical to the estate; and it is further ORDERED that based on the December 2, 2011 mailing date for the Notice of Commencement, the bar date for the claims of commodity futures customers is January 31, 2012, the bar date for receiving the maximum possible protection for securities customer claims under SIPA is January 31, 2012, and the bar date for all claims is June 2, 2012;2 and it is further ORDERED that claims against the Debtor in this proceeding shall be filed with the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, through the Trustees claims agent, Epiq Bankruptcy Solutions, LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via
2.
For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing information occurs prior to December 2, 2011, the January 31, 2012 and June 2, 2012 bar dates So Ordered by the Court will remain in full force and effect.
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overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005; and it is further ORDERED that a meeting of customers and creditors will take place on January 12, 2012 at 10:00 a.m., at the New York Marriott Downtown, 85 West Street, New York, NY 10006; and it is further ORDERED that the Trustee shall file his first report pursuant to SIPA 78fff-1(c) within six months after publication of the Notice of Commencement, and shall file interim reports at least every six months thereafter. Dated: New York, New York November __, 2011
____________________________________ HONORABLE MARTIN GLENN UNITED STATES BANKRUPTCY JUDGE

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Omnibus Reply To Motion Omnibus Re - MG Reply To Motion

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11-02790-mg

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Should the Trustee fail to timely move for a status conference or to

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Exhibit 1: Specific Objections and the Trustees Responses

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Proposal from Commodity Customer Coalition (Informal Email dated 11/17/11)

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The claim form should be simplified.

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The Trustee should clarify whether a sub-account counts as a separate account.

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LETTERS RECEIVED BY THE COURT REGARDING MF GLOBAL INC.

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113 114 115

118 119 120 121 122 123 124 125 126

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130 131 133

134 135 136 137

138 139 140 141

Letter to Court from Whitney C. Broach,

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165 166 170 171 172 173 174

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