Nominee - Filing Instructions

If you are a broker, bank, or other nominee that purchased or otherwise acquired Walter Energy, Inc. (“Walter Energy”) common stock (CUSIP for Walter Energy common stock during the period is 93317Q105) at any time during the period beginning on and including April 20, 2011 through and including September 21, 2011, for the beneficial interest of a person or entity other than yourself, THE COURT HAS DIRECTED THAT, WITHIN TEN (10) CALENDAR DAYS OF YOUR RECEIPT OF THIS NOTICE, YOU DO ONE OF THE FOLLOWING:

  1. Provide the Claims Administrator with a list of the names and last known addresses of beneficial owners of Walter Energy common stock (as defined above);
  2. Request from the Claims Administrator additional copies of the Notice and Proof of Claim, which will be provided to you free of charge, and promptly mail the Notice and Proof of Claim directly to all such beneficial owners; OR
  3. Forward copies of the enclosed Notice and Proof of Claim to the beneficial owners.

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

  1. Compile a list of names and last known addresses of beneficial owners of Walter Energy common stock (as defined above).
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must either:

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

      Walter Energy Securities Litigation
      Claims Administrator
      c/o Epiq Systems
      PO Box 4153
      Portland, OR 97208-4153

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

If you are mailing the Notice Packet to beneficial owners:

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

You must also send a statement to the Claims Administrator at the address above confirming that the mailing was made, and you must retain your mailing records for use in connection with any further notices that may be provided in the Action. Failure to timely forward the Notice and Proof of Claim to beneficial owners may affect their legal rights.

If you are filing electronic claims:

A nominee may also submit a Proof of Claim Form on behalf of multiple clients who are beneficial owners by using the links below.

Click here to download the Proof of Claim Form.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Proof of Claim Form and completed spreadsheet online here.

If you are NOT a Nominee please click here to upload your Proof of Claim Form.

Important Dates

  • Class Period
    April 20, 2011 through September 21, 2011
    both dates inclusive
  • March 11, 2016.
    Deadline to Exclude yourself from the Settlement
  • March 11, 2016
    Deadline to Object to the Settlement
  • May 2, 2016 at 10:00 a.m.
    Settlement Hearing
  • May 9, 2016
    Deadline to submit a Claim Form