Electronic Claim Filing Instructions
Instructions:
Common Stock and Bonds
1. For Common Stock Transactions, click on the tab below titled "Use this TAB for STOCKS".
Please be sure to refer to the tab titled "STOCKS FILE LAYOUT" for instructions on how to populate the data columns.
2. Save the file on your computer. 3. Open the file with Microsoft Excel and fill it in. 4. Additionally, please follow the instructions in the Notice Packet.
Options Contracts
5. For Option Contract transactions, click on the tab below titled "Use this TAB for OPTIONS" and repeat steps 2-4 above.
Please be sure to refer to the tab titled "OPTIONS FILE LAYOUT" for instructions on how to populate the data columns.
Important Notes: Electronic Claim Filing is intended for Institutions, Brokers and Nominees only. This is not used for Individual claimants. PDF files are ONLY accepted for Proof of Claim forms and accompanying Documents
(such as proof of authority to file, declaration of data source, cover letter, etc.), NOT for transactional data. Only a completed Excel worksheet using this format will be accepted for transactional data files.
Please fill out the Proof of Claim entirely and attach a list of Beneficial Owners on whose behalf your are filing (you may scan those documents and include on the disc as PDF files). We request that you either mail the electronic data (CD) with the Proof of Claim to the address provided (no e-mails) or upload it to our secured FTP site. Please submit documents showing you have authority to file on behalf of your clients and disclose the source of the transactional data contained in the Excel file(s) you are submitting (e.g. "All data was extracted directly from the beneficial owner's proprietary database", or a similar declaration).
Important Note about Invalid Files:
In the past we have worked with most entities to help prepare and perfect invalid files so that they could be processed electronically. Oftentimes, this meant making corrections to files that were initially unacceptable when submitted. However, we will now REJECT any file that does not meet ALL filing requirements set forth in this document and in the Notice. Be sure to check your file prior to submitting it. If you would like to mail the claim via courier, please use the address below. If you would like to upload your claim to a secured FTP site, please contact us at (800) 611-9738 or by email to info@HealthSouthErnstAndYoungSettlement.com.
HealthSouth Corporation Securities Litigation - E&Y c/o Rust Consulting, Inc P.O. Box 1983 Fairbault, MN 55021-6179
AIG - Price Waterhouse Electronic Claim Format
Column Column Heading A B C D E F G H I J K L M N O P Q R Beneficial Owner Last Name (Individual, Joint, or IRA Accounts Only) First Name Beneficial Owner Last Name of Co-Owner, if applicable First Name of Co-Owner, if applicable Entity Name (Corporation, Estate, Trust, etc) Representative Name Addr1 Addr2 City State Zip5 Zip4 Country Account Number Tax Id # Foreign Entity Flag Type of Security (Stock) CUSIP (Security Code) Description Last name of Beneficial Owner - Individual or Joint Accounts only. If IRA and you want the check made out to IRA, use the following format: JONES IRA First name of Beneficial Owner Last Name of Co-Owner (if applicable) First name of Co-Owner (if applicable) If Beneficial Owner is a Company, Trust, Estate, etc. Populate this column with the Name of the entity who is the beneficial Owner. THIS COLUMN SHOULD NEVER BE POPULATED IF "BENEFICIAL OWNER LAST NAME" IS POPULATED Representative Name, if applicable (e.g. executor, custodian, trustee, administrator, nominee,etc) First Line of Address Second Line of Address City (DO NOT USE FOR FOREIGN ADDRESSES) State (DO NOT USE FOR FOREIGN ADDRESSES) Zip5 (DO NOT USE FOR FOREIGN ADDRESSES) Zip4 (DO NOT USE FOR FOREIGN ADDRESSES) If foreign address, use this for country name. LEAVE BLANK IF THIS IS AN ADDRESS IN THE U.S.A., Puerto Rico, or Virgin Islands Account Number Acct holders Tax Id or SSN If the Beneficial Owner is a foreign entity, Populate this field with "Y". Else, use "N" S = Common Stock Common Stock Cusip = 421924101 or 421924309 Max Field Length 25 25 25 25 50 50 50 50 30 2 5 4 25 20 9 1 1 9
S
Transaction Code
T U V W
Trade Date Quantity Price Total Amount Paid or Received
X
Result of Option Flag
B = Balance at the close of trading on 3/29/00 (ONE RECORD PER CUSIP) P = Open Market Purchase from 3/30/00 to 3/18/2003 (Multiple records per CUSIP permitted) R = Transfer into this account from 3/30/00 to 3/18/2003 (Multiple records per CUSIP permitted) 1 S = Open Market Sales from 3/30/00 to 3/18/2003 (Multiple Records per CUSIP permitted) D = Transfer out to another account from 3/30/00 to 3/18/2003 (Multiple records per CUSIP permitted) U = Unsold Shares - at the close of trading on 3/18/03 (ONE record per CUSIP) Trade Date (NOT settlement date) mm/dd/ccyy Number of shares for Common Stock (ABSOLUTE VALUES FOR P, R and S Transaction Codes. While 20 incl decimal the B and U could be negative, if the position on that given day is short.) Price per share for Common Stock 20 incl decimal Total Amount Paid for Purchases; Total Amount Received for Sales; leave blank for all others. (ABSOLUTE VALUES FOR P, R and S Transaction Code. While the total amount for B and U must be 20 incl decimal left blank) (For Common stock purchases and sales only) Was this transaction the result of the exercise or assinment of an option, and therefore Price per share might be out of range for this trade date? If yes, populate this 1 column with 'Y' otherwise leave blank
SEE NEXT PAGE FOR IMPORTANT INSTRUCTIONS
AIG - Price Waterhouse Electronic Claim Format
In addition to the instructions contained in the Notice, you must comply with ALL of the following instructions or YOUR FILE WILL BE REJECTED.
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Additional Instructions: Columns A thru D are for Individual, Joint, or IRA accounts only Column E is for Entities (Corporations, Estates, Trusts, etc.) only EITHER Column A-D OR Column E should be populated - NEVER all 5 Columns Please repeat information in columns A through P for ALL transaction records Only ONE Beginning Balance and ONE Unsold Shares transaction per CUSIP per Acct # Please use mm/dd/yyyy format for all date fields For foreign addresses, ONLY use Address lines 1 and 2 to provide complete address, including province, city, town, postal code, but NOT country name For foreign addresses only, the country name should be in "Country" column. If US address, leave Country blank. For Purchases, Transfers in, Sales and Transfers Out, use ABSOLUTE VALUES For Quantity and Total Amount Columns (NO NEGATIVE NUMBERS). DO NOT report CANCELLED TRADES (Neither Side of the cancelled trade). So if you have a purchase or sale transaction that was subsequently cancelled by an offsetting transaction, DO NOT report either transaction.
Beneficial_Owner_Last_Name
Beneficial_Owner_First_Name
Co_Owner_Last_Name
Co_Owner_First_Name
Entity_Name Rep_name Addr1 Addr2 City State Zip5 Zip4 Country Account_Number
Tax_Id
Foreign_Entity_Flag
Type_of_Security CUSIP Transaction_code
Trade_Date Quantity Price
Total_amt_pd_or_recd Result_of_Option_flag
FOR OPTIONS ONLY Column Column Heading A B C D E F G H I J K L M N O P Q R Beneficial Owner Last Name (Individual, Joint, or IRA Accounts Only) First Name Beneficial Owner Last Name of Co-Owner, if applicable First Name of Co-Owner, if applicable Entity Name (Corporation, Estate, Trust, etc) Representative Name Addr1 Addr2 City State Zip5 Zip4 Country Account Number Tax Id # Foreign Entity Flag Type of Security (Option) Option Code (Call or Put) Description Last name of Beneficial Owner - Individual or Joint Accounts only. If IRA and you want the check made out to IRA, use the following format: JONES IRA First name of Beneficial Owner Last Name of Co-Owner (if applicable) First name of Co-Owner (if applicable) If Beneficial Owner is a Company, Trust, Estate, etc. Populate this column with the Name of the entity who is the beneficial Owner. THIS COLUMN SHOULD NEVER BE POPULATED IF "BENEFICIAL OWNER LAST NAME" IS POPULATED Representative Name, if applicable (e.g. executor, custodian, trustee, administrator, nominee,etc) First Line of Address Second Line of Address City (DO NOT USE FOR FOREIGN ADDRESSES) State (DO NOT USE FOR FOREIGN ADDRESSES) Zip5 (DO NOT USE FOR FOREIGN ADDRESSES) Zip4 (DO NOT USE FOR FOREIGN ADDRESSES) If foreign address, use this for country name Account Number Acct holders Tax Id or SSN If the Beneficial Owner is a foreign entity, Populate this field with "Y". Else, use "N" O = Option C = CALL or P = PUT B = Balance at the close of trading on 3/29/00 (ONE RECORD PER Contract/Strike Price) S Transaction Code P = Purchases of options from 3/30/00 -3/18/03 (Multiple records per Contract/Strike Price permitted) S = Sale of options from 3/30/00 - 3/18/03 (Multiple Records per Contract/Strike Price permitted) U= T U V W X Y Z AA AB AC Trade Date Quantity Price Total Amount Paid or Received DO NOT USE Expiration Date Exercise Price Final Disposition Action Date Ticker Symbol Open contracts - at the close of trading on 3/18/03 (ONE RECORD PER Contract/Strike Price) Trade Date (NOT exercise/assign date, NOT expiration date) Number of Option Contracts Price per Option Contract Total Amount Paid for Purchases; Total Amount Received for Sales; leave blank for all others DO NOT USE Expiration Date (MM/DD/CCYY) Exercise Price (Strike Price) E = Exercised, X = Expired, A = Assigned, O = Sold/Re-purchased or Closed Out Date Expired, Exercised, Assigned, or Closed out Ticker Symbol
Max Field Length 25 25 25 25 50 50 50 50 30 2 5 4 25 20 9 1 1 1
1
mm/dd/ccyy 20 20 incl decimal 20 incl decimal 1 mm/dd/ccyy 20 incl decimal 1 mm/dd/ccyy 6
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Instructions: Columns A through D are for Individual, Joint, or IRA accounts only Column E is for Entities (Corporations, Estates, Trusts, etc.) only EITHER Column A-D OR Column E should be populated - NEVER all 5 Columns Please repeat information in columns A through P for ALL transaction records Only ONE Beginning Balance and ONE Unsold option contract transaction per ticker symbol per Acct # Please use mm/dd/yyyy format for all date fields For foreign addresses ONLY use Address lines 1 and 2 to provide complete address, including province, city, town, postal code, but NOT country name
Beneficial_Owner_Last_Name
Beneficial_Owner_First_Name
Co_Owner_Last_Name
Co_Owner_First_Name Entity_Name Rep_name Addr1 Addr2 City State Zip5 Zip4 Country
Account_Number Tax_Id Foreign_Entity_Flag
Type_of_Security
Option_Code_Call_or_put
Transaction_code Trade_Date Quantity Price Total_amt_pd_or_recd DO NOT USE
Expiration_date
Exercise_price
Final_Disposition
Action_date
Ticker