Catalyst Securities Settlement
PROOF OF CLAIM AND RELEASE
A. GENERAL INSTRUCTIONS
1. To recover as a member of the Settlement Class based on your claims against Mutual Fund Series Trust, Catalyst Capital Advisors, LLC, Northern Lights Distributors LLC, Jerry Szilagyi, Tobias Caldwell, Tiberiu Weisz, Bert Pariser, and Erik Naviloff (collectively, “Defendants”), in the settlement of the above-captioned class action (the “Action”), you must complete and, on page 7 below, sign this Proof of Claim and Release form (“Claim Form”). If you fail to submit a timely and properly addressed Claim Form, your claim may be rejected and you may not receive any recovery from the Net Settlement Fund created in connection with the proposed Settlement.
2. Submission of this Claim Form, however, does not guarantee that you will share in the proceeds of the settlement of the Action.
3. THIS CLAIM FORM MUST BE SUBMITTED ONLINE AT WWW.CATALYSTSECURITIESSETTLEMENT.COM NO LATER THAN AUGUST 17 2020 OR, IF MAILED, BE POSTMARKED NO LATER THAN AUGUST 17, 2020, ADDRESSED AS FOLLOWS:
4. If you are a member of the Settlement Class and you do not timely request exclusion, you will be bound by the terms of the Settlement, including the releases provided therein, WHETHER OR NOT YOU SUBMIT A CLAIM FORM OR RECEIVE A PAYMENT.
5. Payments will not be made until the Settlement is approved by the Court and the Settlement has become final.
B. CLAIMANT IDENTIFICATION
1. If you purchased or otherwise acquired Class A (HFXAX), Class C (HFXCX), and/or Class I (HFXIX) shares of the Catalyst Hedged Futures Strategy Fund (the “Fund”) during the period from November 1, 2014 through June 30, 2017, inclusive (the “Class Period”) and held the shares in your name, you are the beneficial purchaser as well as the record purchaser. If, however, you purchased or otherwise acquired shares of the Fund during the Class Period through a third party, such as a brokerage firm, you are the beneficial purchaser and the third party is the record purchaser.
2. Use Part I of this form entitled “Claimant Information” to identify each beneficial purchaser or acquirer of shares of the Fund that form the basis of this claim, as well as the purchaser or acquirer of record if different. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL PURCHASER(S) OR THE LEGAL REPRESENTATIVE OF SUCH PURCHASER(S).
3. All joint purchasers must sign this claim. Executors, administrators, guardians, conservators, and trustees must complete and sign this claim on behalf of persons represented by them and their authority must accompany this claim and their titles or capacities must be stated. The Social Security (or taxpayer identification) number and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in rejection of the claim
4. Please contact the Claims Administrator or Co-Lead Counsel if you disagree with any determinations made by the Claims Administrator regarding your Proof of Claim. If you are dissatisfied with the determination of your claim, you may ask the Court, which retains jurisdiction over all Settlement Class Members and the claims administration process, to decide the issue by submitting a written request to the Claims Administrator.
C. IDENTIFICATION OF TRANSACTIONS
1. Use Part II of this form entitled “Schedule of Transactions in the Fund” to supply all required details of your transaction(s) in Class A, Class C, and/or Class I shares of the Fund. If you need more space or additional schedules, attach separate sheets giving all of the required information in substantially the same form. Sign and print or type your name on each additional sheet.
2. On the schedules, provide all of the requested information, regardless of whether such purchases or sales resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim. “Sales price” refers to the proceeds received, if any, upon the redemption of each share.
3. Copies of broker confirmations or other documentation of your transactions in the Fund should be attached to your claim. Failure to provide this documentation could delay verification of your claim or result in rejection of your claim. The Claims Administrator does not have information about your transactions in the Fund.
4. NOTICE REGARDING ELECTRONIC FILES: Certain claimants with large numbers of transactions may request, or may be requested, to submit information regarding their transactions in electronic files. All claimants MUST submit a manually signed paper Claim Form whether or not they also submit electronic copies. If you wish to file your claim electronically, you must contact the Claims Administrator at (877) 236-1413 or Info@CatalystSecuritiesSettlement.com to obtain the required file layout. No electronic files will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data..
1. To recover as a member of the Settlement Class based on your claims against Mutual Fund Series Trust, Catalyst Capital Advisors, LLC, Northern Lights Distributors LLC, Jerry Szilagyi, Tobias Caldwell, Tiberiu Weisz, Bert Pariser, and Erik Naviloff (collectively, “Defendants”), in the settlement of the above-captioned class action (the “Action”), you must complete and, on page 7 below, sign this Proof of Claim and Release form (“Claim Form”). If you fail to submit a timely and properly addressed Claim Form, your claim may be rejected and you may not receive any recovery from the Net Settlement Fund created in connection with the proposed Settlement.
2. Submission of this Claim Form, however, does not guarantee that you will share in the proceeds of the settlement of the Action.
3. THIS CLAIM FORM MUST BE SUBMITTED ONLINE AT WWW.CATALYSTSECURITIESSETTLEMENT.COM NO LATER THAN AUGUST 17 2020 OR, IF MAILED, BE POSTMARKED NO LATER THAN AUGUST 17, 2020, ADDRESSED AS FOLLOWS:
Emerson v. Mutual Fund Series Trust
Claims Administrator
c/o A.B. Data, Ltd.
P.O. Box 173101
Milwaukee, WI 53217
www.CatalystSecuritiesSettlement.com
Claims Administrator
c/o A.B. Data, Ltd.
P.O. Box 173101
Milwaukee, WI 53217
www.CatalystSecuritiesSettlement.com
4. If you are a member of the Settlement Class and you do not timely request exclusion, you will be bound by the terms of the Settlement, including the releases provided therein, WHETHER OR NOT YOU SUBMIT A CLAIM FORM OR RECEIVE A PAYMENT.
5. Payments will not be made until the Settlement is approved by the Court and the Settlement has become final.
B. CLAIMANT IDENTIFICATION
1. If you purchased or otherwise acquired Class A (HFXAX), Class C (HFXCX), and/or Class I (HFXIX) shares of the Catalyst Hedged Futures Strategy Fund (the “Fund”) during the period from November 1, 2014 through June 30, 2017, inclusive (the “Class Period”) and held the shares in your name, you are the beneficial purchaser as well as the record purchaser. If, however, you purchased or otherwise acquired shares of the Fund during the Class Period through a third party, such as a brokerage firm, you are the beneficial purchaser and the third party is the record purchaser.
2. Use Part I of this form entitled “Claimant Information” to identify each beneficial purchaser or acquirer of shares of the Fund that form the basis of this claim, as well as the purchaser or acquirer of record if different. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL PURCHASER(S) OR THE LEGAL REPRESENTATIVE OF SUCH PURCHASER(S).
3. All joint purchasers must sign this claim. Executors, administrators, guardians, conservators, and trustees must complete and sign this claim on behalf of persons represented by them and their authority must accompany this claim and their titles or capacities must be stated. The Social Security (or taxpayer identification) number and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in rejection of the claim
4. Please contact the Claims Administrator or Co-Lead Counsel if you disagree with any determinations made by the Claims Administrator regarding your Proof of Claim. If you are dissatisfied with the determination of your claim, you may ask the Court, which retains jurisdiction over all Settlement Class Members and the claims administration process, to decide the issue by submitting a written request to the Claims Administrator.
C. IDENTIFICATION OF TRANSACTIONS
1. Use Part II of this form entitled “Schedule of Transactions in the Fund” to supply all required details of your transaction(s) in Class A, Class C, and/or Class I shares of the Fund. If you need more space or additional schedules, attach separate sheets giving all of the required information in substantially the same form. Sign and print or type your name on each additional sheet.
2. On the schedules, provide all of the requested information, regardless of whether such purchases or sales resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim. “Sales price” refers to the proceeds received, if any, upon the redemption of each share.
3. Copies of broker confirmations or other documentation of your transactions in the Fund should be attached to your claim. Failure to provide this documentation could delay verification of your claim or result in rejection of your claim. The Claims Administrator does not have information about your transactions in the Fund.
4. NOTICE REGARDING ELECTRONIC FILES: Certain claimants with large numbers of transactions may request, or may be requested, to submit information regarding their transactions in electronic files. All claimants MUST submit a manually signed paper Claim Form whether or not they also submit electronic copies. If you wish to file your claim electronically, you must contact the Claims Administrator at (877) 236-1413 or Info@CatalystSecuritiesSettlement.com to obtain the required file layout. No electronic files will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data..