Notice: Update on Distribution to Court approved Class Members:

First Distribution: April 2021

Nominee - Electronic Filing Instructions

READ THESE INSTRUCTIONS CAREFULLY AND IN THEIR ENTIRETY.
YOU MUST COMPLY.


Part I - Overview

Electronic claim submission is available to institutions filing on their own behalf or on behalf of others, as well as to claim preparers filing on behalf of clients.

ALL ELECTRONIC CLAIMS SUBMISSIONS MUST BE ENTERED ON THE TEMPLATE PROVIDED WITH THESE INSTRUCTIONS. Any file not in accordance with the required filing format or not accompanied by the required documentation will be subject to rejection.

One claim is to be submitted for each separate legal entity. A separate claim, but only one claim, should be submitted for each separate legal entity (e.g., a claim on behalf of joint owners should not include separate transactions of just one of the joint owners, and a claim on behalf of an individual should not combine his or her IRA transactions with transactions made solely in the individual’s name). Conversely, a single claim is to be submitted on behalf of one legal entity including all transactions made by that person or entity no matter how many separate accounts that person or entity has (e.g., a claim on behalf of a corporation with multiple brokerage accounts MUST include all transactions made in all accounts in one claim).

The correct complete, unabbreviated name of the beneficial owner(s) of the security supporting each claim MUST be provided where called for. Your submission may be rejected if you do not provide this information. Do not include honorifics (e.g., Mr., Mrs., Ms., Dr., Capt., Sgt.) and do not put “FBO” or the like in front of the beneficial owner’s name. PLEASE NOTE: A trustee, in that capacity, is not the beneficial owner of the security; the full name of the trust should be entered followed by the full name(s) of the trustee(s). A comma should separate the name of the trust and the name(s) of the trustee(s).

The required documentation set forth below MUST be submitted with your electronic file. Your electronic claims will not be eligible for consideration until all required documents are received. Please note that one document may meet more than one requirement.

Part II – Documentation Requirements

1. ONE SIGNED PROOF OF CLAIM AND RELEASE

  • You MUST complete the Claimant Information Page, (Part II, page 4) and Release of Claims and Signature Page, (Part IV, pages 8-9) of a single Proof of Claim and Release Form (“Claim Form”), which will serve as an "umbrella" or "master" Claim Form for all claims in your electronic file.
  • The Claim Form MUST be signed by an authorized signatory who is listed on your signature verification document and state the capacity (job title) of the signatory.
  • If you are filing only one claim, i.e., you are filing on behalf of only one beneficial owner, provide the correct, complete, unabbreviated name of the owner of the shares on the Claim Form.
  • If you are filing on behalf of multiple beneficial owners, use the term "Various Beneficial Owners" for the Claimant name(s) (i.e., the beneficial owner(s) name(s)). However, as noted above, the correct complete, unabbreviated name of each beneficial owner (without honorifics) MUST be provided for each claim in your electronic claim submission.

2. SIGNATURE VERIFICATION DOCUMENT

  • If you are an institution filing on your own behalf or on behalf of other beneficial owners or a claim preparer filing on behalf of beneficial owners, you MUST provide a document verifying that the individual who signs the Claim Form and any supplemental documents is authorized to sign on your behalf. Some common types of documents that fulfill this requirement include the following (this list is not exclusive and non-US entities may have different documents that fulfill this requirement. If you are a non-US entity, you MUST submit an equivalent document):
    • Copy of filer’s By-Laws, including signature page(s);
    • Copy of filer’s Corporate Resolution, including signature page(s); or
    • Notarized Affidavit signed by an officer of the filing institution or company clearly granting a specific individual(s) authorization or confirming his/her authority to sign on behalf of his/her institution or company.

3. AUTHORIZATION DOCUMENT (IF FILING ON BEHALF OF BENEFICIAL OWNERS OTHER THAN YOURSELF)

  • If you are an institution or claim preparer filing on behalf of beneficial owners other than yourself, you must provide a current document verifying that you are authorized to file and sign claims on behalf of the beneficial owners of the securities. Some common types of documents that fulfill this requirement include the following (this list is not exclusive and non-US entities may have different documents that fulfill this requirement. If you are a non-US entity, you must submit an equivalent document):
    • Power of Attorney;
    • Service Agreement;
    • Signed/dated letter on client's company letterhead specifically granting your company authority to file/sign claims on their behalf; or
    • Notarized affidavit or signed letter on your company's letterhead confirming your authority to file and sign claims on behalf of each client for whom you filed a claim. It must be executed by an officer of the company who is also listed on your signature verification document and reference the capacity and contact information of the signatory.

4. DATA VERIFICATION DOCUMENT(S)

  • If you are an institution filing on your own behalf or on behalf of other beneficial owners or a claim preparer filing on behalf of beneficial owners, you MUST provide a notarized affidavit or signed letter on your firm’s letterhead which meets the following criteria:
    • Confirms the number of separate claims and transactions in your file.
    • Sets forth the source of the data for each claim included in your file.
    • Attests to the truth and accuracy of the data for each claim in your file.
    • Is executed by an authorized signatory who is listed on your firm’s signature verification document, and specifies both the capacity and contact information of that signatory.

5. ADDITIONAL DOCUMENTATION (IF REQUESTED) - DATA INTEGRITY AUDIT

  • Filers may be requested, as deemed appropriate by Epiq and/or Lead Counsel, to provide additional documentation to support the claims submitted. This data integrity audit is designed to verify the overall integrity of a data file. Accordingly, you MUST provide all the requested documentation and the documentation provided MUST be independent in nature.
  • Even if you provided a letter/affidavit attesting to the truth and accuracy of the data you initially submitted with your electronic file, we will require specific documentary evidence, which may include trade confirmations, monthly statements, or equivalent, to independently verify the details of transactions and/or holding positions. If your file is selected for a data integrity audit, you MUST provide all the requested information.

FAILURE TO COMPLY WITH THIS AUDIT REQUEST WILL RESULT IN THE REJECTION OF ALL CLAIMS ON YOUR ELECTRONIC SUBMISSION.

Part III – Case-Specific Information

  1. Eligible Security: Cobalt common stock, Cobalt 2.625% Convertible Senior Notes due 2019, and/or Cobalt 3.125% Convertible Senior Notes due 2024.
    Exchange: NYSE
    Ticker: CIE
    CUSIPs:
    • Common Stock (19075F106 or 19075F304);
    • Cobalt 2.625% Convertible Senior Notes Due 2019, Issued in December 2012 (19075FAA4);
    • Cobalt 3.125% Convertible Senior Notes Due 2024, Issued in May 2014 (19075FAB2).
  2. Settlement Class Period: March 1, 2011 through November 3, 2014, inclusive.

    Settlement Class: All persons (including corporate or other legal entities) who purchased or otherwise acquired Cobalt common stock, Cobalt 2.625% Convertible Senior Notes due 2019, and/or Cobalt 3.125% Convertible Senior Notes due 2024 (collectively, “Cobalt Securities”) between March 1, 2011 and November 3, 2014, inclusive, and were damaged thereby. Included within the Settlement Class are all persons and entities who purchased or otherwise acquired shares of Cobalt common stock on the open market and/or pursuant or traceable to the registered public offerings on or about (i) February 23, 2012; (ii) January 16, 2013; and (iii) May 8, 2013. Also included within the Settlement Class are all persons and entities who purchased or otherwise acquired Cobalt convertible senior notes on the open market and/or pursuant or traceable to registered public offerings on or about (i) December 12, 2012; and (ii) May 8, 2014, except those persons and entities that are excluded (see Settlement Notice page 8 section 28 for list of excluded persons and entities).
  3. Electronic filers MUST provide for each claim submitted:
    1. Beginning holdings: The number of shares of Cobalt common stock held as of the opening of trading on March 1, 2011.
    2. Each and every purchase/acquisition (including free receipts) of Cobalt common stock from after the opening of trading on March 1, 2011 through the close of trading on November 3, 2014.
    3. The total number of shares purchased/acquired from November 4, 2014 through the close of trading on June 18, 2017.
    4. The total number of shares purchased/acquired from June 19, 2017 through the close of trading on October 11, 2018.
    5. Each and every sale (including free deliveries) of Cobalt common stock from after the opening of trading on March 1, 2011 through the close of trading on October 11, 2018.
    6. Ending holdings: The total number of shares of Cobalt common stock held as of the close of trading on October 11, 2018.
    7. Each and every purchase/acquisition (including free receipts) of Cobalt 2.625% Convertible Senior Notes Due 2019 from the date of their initial offering in December 2012 (including in that offering) through the close of trading on November 3, 2014.
    8. The total face value of 2019 Notes purchased/acquired (including free receipts) from November 4, 2014 – October 11, 2018.
    9. Each and every sale (including free deliveries, or conversions or exchanges) of 2019 Notes at any time prior to the close of trading on October 11, 2018.
    10. The total face value of 2019 Notes you held as of the close of trading on October 11, 2018.
    11. Each and every purchase/acquisition (including free receipts) of Cobalt 3.125% Convertible Senior Notes Due 2024 from the date of their initial offering in May 2014 (including in that offering) through the close of trading on November 3, 2014.
    12. The total face value of 2024 Notes purchased/acquired (including free receipts) from November 4, 2014 – October 11, 2018.
    13. Each and every sale (including free deliveries, or conversions or exchanges) of 2024 Notes at any time prior to the close of trading on October 11, 2018.
    14. The total face value of 2024 Notes you held as of the close of trading on October 11, 2018.
  4. Claim Filing Deadline: April 4, 2019

Part IV – Methods of Submission

You may send your information via email or upload via the Settlement Website, but please be sure to password protect or encrypt the file and send to info@CobaltSecuritiesLitigation.com. E-file submissions may also be via CD. If you are mailing via UPS or FedEx, please send to Epiq's physical address: P.O. Box 4109, Portland, OR 97208-4109, and be sure to reference the case name. For any questions or concerns regarding your submission options, please call us toll-free at 1-877-440-0638 or email us at info@CobaltSecuritiesLitigation.com.

Electronic files will not be deemed submitted unless Epiq sends you an email acknowledging receipt of your file. Do not assume that your file has been received until you receive this email. If you do not receive such an email within 10 days of your submission, you should contact the electronic filing department at info@CobaltSecuritiesLitigation.com to inquire about your file and confirm it was received.

Part V – Required Filing Format – General Instructions

  • Files should be submitted as an Excel spreadsheet.
  • All fields in the below format must be included on your file.
  • Any fields that do not apply to the claims you submit must be left blank (do not delete any fields).
  • Your file must include one header row with each of the column headings specified below.
  • Your file must be sorted in the following order:
    • Complete correct name of the beneficial owner of the securities supporting the claim;
    • Transaction type.
  • Do not leave any blank rows on your file.
  • Any files not in accordance with the below layout are subject to rejection.

Part VI – Required File Layout

TAB - FILE SUMMARY

Col Field Notes
AFile Submitted ByName of person submitting the electronic claim on behalf of the Beneficial Owner(s).
BCompany NameName of Company submitting the electronic claim.
CCompany Address Address 1 Information for filer submitting electronic claim.
DCompany Address 2Address 2 Information for filer submitting electronic claim.
ECompany CityCity for filer submitting electronic claim.
FCompany State/Province2-Character State Abbreviation or Province Name for filer submitting electronic claim.
GCompany ZIP/Postal Code5-Digit ZIP for filer submitting electronic claim.
HCompany Country2-Character Country Abbreviation (only for foreign addresses) for filer submitting electronic claim.
IContact NameContact Name for filer submitting electronic claim.
JPhone NumberPhone Number for filer submitting electronic claim.
KEmail AddressEmail Address of filer submitting electronic claim.
LTotal Number of Beneficial Owners in FileTotal number of beneficial owners contained in the electronic claim.
MTotal Number of Transactions in FileTotal number of transactions for all beneficial owners contained in the electronic claim.

TAB - CLAIMANT INFORMATION

Col Field Notes
ABeneficial Owner NameFull Name of Beneficial Owner MUST be the correct, complete, unabbreviated name of the beneficial owner. Do not include honorifics - e.g., Mr., Mrs., Ms., Dr., Capt., Sgt. - and do not put “FBO” or the like in front of the beneficial owner’s name.

Please note: A trustee, in that capacity, is not the beneficial owner of the security; the trust and trustee information should be entered under the “Beneficial Owner Entity Name” Field as noted below.

YOUR SUBMISSION MAY BE REJECTED IF THIS INFORMATION IS NOT INCLUDED.
BAccount TypeIdentify the type of account using the below list:
1. Individual
2. Joint
3. Partnership
4. Corporation
5. Trust
6. Estate
7. IRA or Other Retirement Plan
8. Other
CBeneficial Owner SSN/TINLast four digits of Social Security Number or Tax ID Number of beneficial owner (leave column blank for foreign entities)
DRepresentative of Beneficial OwnerIf you are a third-party claim preparer filing on behalf of clients either: (i) for the client as beneficial owner (in which case the entry in this field will be the same as the entry in the “Company Name” field on the “File Summary” tab); or (ii) for a client that represents the beneficial owner(s), provide the complete name of your client in this column.

Please Note:
  • Include a “c/o” before your company name if you require checks made out to the beneficial owner c/o your company.
  • Include an “FBO” (or similar ownership acronym) after your company name if you require checks to be made out to your company for the benefit of the beneficial owner.
EBeneficial Owner Address 1Address 1 Information for the Beneficial Owner
FBeneficial Owner Address 2Address 2 Information for the Beneficial Owner
GBeneficial Owner Address 3Address 3 Information for the Beneficial Owner
HBeneficial Owner CityCity for the Beneficial Owner
IBeneficial Owner State2-Character State Abbreviation for the Beneficial Owner
JBeneficial Owner ZIP Code5-Digit ZIP for the Beneficial Owner
KBeneficial Owner Country2-Character Country Abbreviation (only for foreign addresses)

TAB - TRANSACTION INFORMATION

Col Field Notes
ABeneficial Owner NameFull Name of Beneficial Owner MUST be the correct, complete, unabbreviated name of the beneficial owner. Do not include honorifics - e.g., Mr., Mrs., Ms., Dr., Capt., Sgt. - and do not put “FBO” or the like in front of the beneficial owner’s name.

Please note: A trustee, in that capacity, is not the beneficial owner of the security; the trust and trustee information should be entered under the “Beneficial Owner Entity Name” Field as noted below.

YOUR SUBMISSION MAY BE REJECTED IF THIS INFORMATION IS NOT INCLUDED.
BAccount #Account number associated to transaction
CCurrency TypeType of currency associated to transaction (USD, EUR, GBP, etc.)
DSecurity TypeType of security associated to transaction
ECUSIPCUSIP of the security
FTransaction Type B = Beginning Holdings (Common Stock only)
P = Purchase (includes purchases to cover short sales)
S = Sale (includes short sales)
U = Unsold (Ending) Holdings
R = Free Receipt (transfer in)
D = Free Deliver (transfer out)
PC1 = Total Common Stock purchased from November 4, 2014 through June 18, 2017 OR Total Notes purchased from November 4, 2014 through October 11, 2018
PC2 = Total Common Stock purchased from June 19, 2017 through October 11, 2018

Note: When inputting beginning and unsold holdings, the trade date column MUST indicate the holding date. Price per share and net amount columns MUST be left blank.
GTransaction DateTrade date in MM/DD/YYYY format (including foreign entities)
HQuantity of Eligible SecurityNumber of shares associated with this transaction (this value can ONLY be negative for short beginning or ending holdings positions).
IPurchase/Sale Price Per SecurityPrice of each share

All common stock values need to be on a pre-split basis.

Note: This column should be blank ONLY when providing beginning or ending holdings or shares involved in a receipt or deliver.
JTotal Purchase/Sale Price/ProceedsTotal value of the transaction (excluding commissions, taxes, and fees)

Note: This column should be blank ONLY when providing beginning or ending holdings or shares involved in a receipt or deliver.
KCommentsAny relevant comments related to the transaction

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