1. If you transacted in E-Mini Index Futures and/or Option(s) on E-Mini Index Futures on the Chicago Mercantile Exchange (“CME”) and/or the Chicago Board of Trade (“CBOT”) from March 1, 2012 through October 31, 2014 (the “Class Period”), you may be eligible to receive a payment from the $15 million settlement reached between Class Plaintiffs and Defendant Tower Research Capital LLC (“Tower”) in Boutchard et al. v. Gandhi et al, No. 18-cv-7041 (N.D. Ill.).

2. “E-Mini Index Futures” means E-mini Dow Futures contract(s), E-mini S&P 500 Futures contract(s), or E-mini NASDAQ 100 Futures contract(s) and “Options on E-Mini Index Futures” means any option on any E-Mini Index Futures.

3. Unless otherwise defined herein, all capitalized terms contained in this proof of claim and release (“Claim Form”) have the same meaning as in the accompanying Notice of Proposed Class Action Settlement, August 12, 2021 Fairness Hearing Thereon And Class Members’ Rights (“Notice”) and the Stipulation and Agreement of Settlement between Class Plaintiffs and Tower, which are available at www.eminifuturesclassactionsettlement.com (the “Settlement Website”).

4. It is important that you read the Notice that accompanies this Claim Form. By signing and submitting this Claim Form, you will be certifying that you have read the Notice, including the terms of the Release and Covenant Not to Sue described in the Notice under the heading “What Am I Giving Up to Receive a Payment?” and provided for in the Settlement Agreement.

5. To be eligible to receive a payment from the Net Settlement Fund, you must submit a timely and valid Claim Form along with the required data and/or information described in Parts II through IV below. To be considered timely, your Claim Form must be submitted online at www.eminifuturesclassactionsettlement.com by 11:59 p.m. Eastern Time on August 12, 2021 OR mailed and received by the Settlement Administrator no later than August 12, 2021. If you are unable to submit the required data as described below at Parts II through IV, you should call the Settlement Administrator for further instructions.

6. As described in Part III below, you are required to submit additional information about your transactions in E-Mini Index Futures and/or Option(s) on E-Mini Index Futures as part of your Claim Form to be submitted to the Settlement Administrator.

7. Your payment amount will be determined based on the Settlement Administrator’s review of your Claim Form and calculated pursuant to the Distribution Plan that the Court approves. Submission of a Claim Form does not guarantee that you will receive a payment from the Settlement. For more information, please refer to the Notice and Distribution Plan available at the Settlement Website.

8. Separate Claim Forms should be submitted for each separate legal entity. Conversely, a single Claim Form should be submitted on behalf of only one legal entity.

9. If you have questions about submitting a Claim Form or need additional copies of the Claim Form or the Notice, you may contact the Settlement Administrator.

1. YOU MUST SUBMIT YOUR CLAIM FORM ELECTRONICALLY OR ON PAPER IN THE REQUIRED FORMAT

Claimants must electronically submit their Claim Forms online at www.eminifuturesclassactionsettlement.com by 11:59 p.m. Eastern Time on August 12, 2021 OR mail the Claim Forms to the Settlement Administrator at [address] so they are received no later than August 12, 2021. Claim Forms must be submitted in the format specified in this Claim Form or posted by the Settlement Administrator on the Settlement Website.

Along with your Claim Form, you are required to submit the details of your transactions in E-Mini Index Futures and/or Option(s) on E-Mini Index Futures reflected in Part IV, below. A Data Template, including the information you must provide about your transactions in E-Mini Index Futures and/or Option(s) on E-Mini Index Futures is below and also available at the Settlement Website. In addition, please provide any of the following types of supporting documentation that verifies the transaction information you provide:

a. Transaction data from your bank, broker, or internal trade system;
b. Bank confirmations by individual trade;
c. Bank transaction reports or statements;
d. Trading venue transaction reports or statements;
e. Prime broker reports or statements;
f. Custodian reports or statements;
g. Daily or monthly account statements or position reports;
h. Email confirmations from counterparty evidencing transactions;
i. Bloomberg confirmations or communications evidencing transactions; and/or
j. Other documents evidencing transactions in E-Mini Index Futures and/or Option(s) on E-Mini Index Futures during the Class Period.