Anwar et al v. Fairfield Greenwich Limited et al

Filing 1205

DECLARATION of LEAD COUNSEL in Support re: #1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: #1 Exhibit A - Affidavit of Daniel J. Polizzi Regarding (A) Mailing of the Notice and Proof of Claim Form; and (B) Publication of the Summary Notice, #2 Exhibit B)(Finkel, Robert)

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
PASHA S. ANWAR, et al.,
Plaintiffs,
Master File No. 09-cv-118 (VM) (FM)

v.
FAIRFIELD GREENWICH LIMITED, et al.,
Defendants.

AFFIDAVIT OF DANIEL J. POLIZZI REGARDING
(A) MAILING OF THE NOTICE AND PROOF OF CLAIM FORM;
AND (B) PUBLICATION OF THE SUMMARY NOTICE

STATE OF FLORIDA

)
) ss:
COUNTY OF PALM BEACH )

DANIEL J. POLIZZI, being first duly sworn, deposes and says:
1.

I am a Senior Project Administrator at Rust Consulting, Inc. (“Rust”). Rust was

appointed Claims Administrator pursuant to paragraph 8 of this Court’s GlobeOp Preliminary
Approval Order, dated September 10, 2013 (the “Preliminary Approval Order”), in connection
with the GlobeOp Settlement (“GlobeOp Settlement”) obtained in the above-titled action (the
“Action”).

I have the responsibility for overseeing all aspects of the notice and claims

administration services performed by Rust with respect to the GlobeOp Settlement.
2.

Rust is also administering the settlement of Plaintiffs’ claims against the Fairfield

Greenwich (“FG”) Defendants, as approved by the Court by Order dated March 25, 2013 (the
“FG Settlement”).

1

3.

I respectfully submit this affidavit in order to provide the Court with information

regarding, among other things: (i) the mailing of the Notice of Proposed GlobeOp Partial
Settlement of Class Action and Settlement Fairness Hearing, and Motion for Attorneys’ Fees and
Reimbursement of Expenses (the “GlobeOp Notice”) and GlobeOp Proof of Claim and Release
Form (“GlobeOp Proof of Claim”); and (ii) the publication of the Summary Notice. I am over 21
years of age and am not a party to this Action. I have personal knowledge of the facts set forth
herein and, if called as a witness, could and would testify competently thereto.

MAILING OF THE NOTICE AND PROOF OF CLAIM
4.

The Court’s Preliminary Approval Order required Rust to, among other things,

mail the Court-approved GlobeOp Notice and GlobeOp Proof of Claim (together, the “GlobeOp
Notice Packet”) to potential Class Members. A true and correct copy of the GlobeOp Notice
Packet is attached hereto as Exhibit A.
5.

On or about September 11, 2013, Rust received from Plaintiffs’ Counsel a list of

names and addresses of persons and entities who purchased or held interests in Greenwich
Sentry, L.P., and Greenwich Sentry Partners, L.P. (collectively, the “Domestic Funds”) from
October 31, 2003 through September 1, 2006 and were investors in the funds as of December 10,
2008. That list consisted of persons who had filed bankruptcy claims with respect to the
Domestic Funds and persons who were identifiable as GlobeOp Settlement Class Members from
defendants’ document productions. That list was compared to the data utilized for the mailing in
the FG Settlement and was electronically scrubbed to ensure adequate addressing and the
elimination of duplicate names and addresses. Rust confirmed a total of 56 names and addresses
(“Record Holders”) from the FG Settlement and entered one (1) additional record for Julie Barer
into the Rust mailing database created for the Action.

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6.

Rust prepared for the initial mailing by creating a file containing the 57 names

and addresses of the Record Holders. On September 24, 2013, Rust initiated the process of
mailing GlobeOp Notice Packets to 54 potential Class Members and three (3) GlobeOp Notice
Packets were disseminated by Co-Lead Counsel for the Plaintiffs.
7.

Through October 10, 2013, Rust has not received any requests for GlobeOp

Notice Packets to be forwarded to potential GlobeOp settlement class members.
8.

Accordingly, through October 10, 2013, Rust has disseminated a total of 54

GlobeOp Notice Packets to potential Class Members.

PUBLICATION OF THE SUMMARY NOTICE
9.

In accordance with the Preliminary Approval Order, Rust caused the Summary

Notice to be disseminated over PR Newswire on September 30, 2013. Attached hereto as Exhibit
B is a true and correct copy of the transmittal together with confirmation of same.

THE SETTLEMENT WEBSITE
10.

Rust

maintains

a

website,

www.FairfieldGreenwichLitigation.com

(the

“Website”), that enables Class Members and other individuals to obtain information about the
GlobeOp Settlement, as well as the FG Settlement, and to access important documents related to
both the GlobeOp and FG Settlements.
11.

Specifically, the Website contains a listing of the deadlines for submitting a

GlobeOp Proof of Claim, requesting exclusion from the Class, objecting to the GlobeOp
Settlement, as well as the date, time and location of the Court’s Settlement Hearing. The
Website also contains links to the GlobeOp Notice, GlobeOp Proof of Claim, and important
Court documents including the Preliminary Approval Order and GlobeOp Stipulation of
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Settlement. Since the September 24, 2013 mailing of the GlobeOp Notice Packet, the Website
has had 318 additional hits.

TOLL-FREE TELEPHONE HOTLINE
12.

Rust also maintains a toll-free telephone hotline [phone]), and a direct

dial line for international callers (1-612-359-7949), with an Interactive Voice Response System
(“IVR”) and live operators to assist potential Class Members with questions about the Settlement
which became operational on December 17, 2012. The IVR and recorded information are
available 24 hours a day, 7 days a week. Live operators are available during regular business
hours (Monday through Friday 9:00 a.m. to 5:30 p.m. (EST)). All calls to the toll-free telephone
hotline have been responded to in a timely manner. Since the mailing of the GlobeOp Notice
Packet on September 24, 2013, Rust has received 41 additional calls on this line, of which 22
callers requested to speak with a live operator for assistance.

REQUESTS FOR EXCLUSION RECEIVED TO DATE
13.

The GlobeOp Notice informs Class Members that the deadline for requesting

exclusion from the Class is October 25, 2013. The Notice further instructs Class Members on
how to properly submit a request for exclusion and the information which needs to be included in
such request.

14.

To date, Rust has not received any requests for exclusion from the GlobeOp

Settlement Class.

If any requests for exclusion are received, they will be addressed in a

supplemental submission to be filed with the Court after the October 25, 2013 deadline for filing
exclusion requests has passed.

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EXHIBIT A

UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT OF NEW YORK 

PASHA S. ANWAR, et al., 

Plaintiffs,  
                 v. 

Master File No. 09‐cv‐118 (VM) 

FAIRFIELD GREENWICH LIMITED, et al., 
Defendants. 

NOTICE OF PROPOSED GLOBEOP PARTIAL SETTLEMENT OF CLASS ACTION AND  
SETTLEMENT FAIRNESS HEARING, AND MOTION FOR ATTORNEYS’ FEES 
AND REIMBURSEMENT OF EXPENSES  

Your legal rights may be affected – Please read this Notice carefully. 

To: 
All Persons who purchased or held interests in Greenwich Sentry, L.P. (“Greenwich Sentry”) or Greenwich 
Sentry  Partners,  L.P.  (“Greenwich  Sentry  Partners”)  (collectively,  the  “Funds”)  from  October  31,  2003  through 
September 1, 2006, who were investors in the Funds as of December 10, 2008, and suffered a Net Loss of principal 
invested in the Funds (collectively, the “GlobeOp Settlement Class”). 
If  you  meet  the  above  definition  of  the  GlobeOp  Settlement  Class,  you  could  get  a  payment  from  a  class  action 
settlement. 
The  GlobeOp  Settlement  Class  does  NOT  include  investors  in  Fairfield  Sentry  Limited,  Fairfield  Sigma  Limited,  or 
Fairfield  Lambda  Limited or  investors who  made  their  first  investment  in Greenwich  Sentry  or  Greenwich  Sentry 
Partners after September 1, 2006.  
A federal court authorized this Notice.  This is not a solicitation from a lawyer. 
The purpose of this Notice is to inform you of a proposed settlement of this class action (the “Action”) as against 
GlobeOp  Financial  Services  LLC  (“GlobeOp”)  for  a  cash  payment  of  $5,000,000  (the  “Settlement”  or  “GlobeOp 
Settlement”).  GlobeOp is one of the defendants in the Action which is continuing against other defendants.  The 
Notice also informs you of the scheduling of a settlement fairness hearing with respect to the Settlement and the 
motion of the Representative Plaintiffs and Plaintiffs’ Counsel (collectively “Plaintiffs”) for an award of attorneys’ 
fees and reimbursement of expenses.  Documents related to the proposed GlobeOp Settlement are available on 
the  Settlement  website  established  by  the  Claims  Administrator  (the  “Claims  Administrator”)  at 
www.FairfieldGreenwichLitigation.com. 
This GlobeOp Settlement is separate from the settlement of Plaintiffs’ claims against the Fairfield Greenwich (“FG”) 
Defendants (the “FG Settlement”).  The FG Settlement provided for a minimum cash payment of $50,250,000 and 
an  additional  contingent  cash  consideration  of  up  to  $30,000,000.    Notice  of  the  FG  Settlement  was  provided 
pursuant to a December 17, 2012 Notice of Proposed Partial Settlement.  Proof of Claim forms to participate in the 
FG Settlement were due by April 17, 2013.  Even if you filed a Proof of Claim form in the FG Settlement, you are 
required to file an additional proof of clam form in this Settlement.  
This Notice describes important rights you may have and what steps you must take if you wish to participate in the 
GlobeOp Settlement or wish to be excluded from the GlobeOp Settlement Class. 

DEADLINES: 
YOUR LEGAL RIGHTS AND OPTIONS IN THIS GLOBEOP SETTLEMENT: 
SUBMIT A CLAIM FORM 

Deadline:  December 23, 2013.  This is the only way to receive a payment from 
the GlobeOp Settlement Fund.   

EXCLUDE YOURSELF FROM 
THE SETTLEMENT CLASS 

Deadline:  October  25,  2013.    Receive  no  payment  from  the  GlobeOp 
Settlement.    If  the  Court  approves  the  GlobeOp  Settlement,  this  is  the  only 
option that allows you to ever participate in any other lawsuit against GlobeOp 
and other Released Parties (defined below) which involves the Released Claims 
(defined below). 

OBJECT 

Deadline: October 25, 2013.  You may write to the Court if you do not like this 
Settlement or the request for an award of attorneys’ fees and reimbursement 
of  expenses.    You  may  not  object  if  you  have  excluded  yourself  from  the 
GlobeOp Settlement. 

GO TO THE SETTLEMENT 
HEARING 

Settlement  Hearing  Date:    November  22,  2013  at  2:30  p.m.    Whether  or  not 
you object to the GlobeOp Settlement, you may ask to speak in Court about the 
fairness  of  the  Settlement.    The  Deadline  to  ask  to  speak  in  Court  about  the 
GlobeOp Settlement is October 25, 2013. 
Plaintiffs must file their motion papers for Final Approval of the Settlement and 
for Approval of Attorneys’ Fees and Expenses on or before October 11, 2013. 

DO NOTHING 

Receive no payment if you do not submit a claim form. 

These rights and options — and the deadlines to exercise them — are explained in this Notice. 
The Court presiding over this case must decide whether to approve the Settlement.  Payments will be made only if 
the  Court  approves  the  Settlement,  and  if  there  are  any  appeals,  after  appeals  are  resolved,  and  the  Claims 
Administrator has had an opportunity to process all claim forms.  Please be patient. 
Your legal rights are affected whether you act or do not act.  Please read this Notice carefully. 
SUMMARY OF NOTICE 
Summary of the Proposed GlobeOp Settlement 
• The  Representative  Plaintiffs1  and  GlobeOp  have  entered  into  a  proposed  settlement  releasing  all  claims 
that were asserted or could have been asserted by the Representative Plaintiffs in the Action, individually and on 
behalf of the GlobeOp Settlement Class, against GlobeOp and other Released Parties.2  

• According to Plaintiffs’ allegations in this Action, GlobeOp was employed as the Administrator of Greenwich 
Sentry from October 31, 2003 through August 31, 2006, and as Administrator of Greenwich Sentry Partners from 
May 31, 2006 through August 31, 2006.   Plaintiffs asserted claims against GlobeOp in their Second Consolidated 
Amended Complaint (“SCAC”) filed on September 29, 2009, under common‐law theories of breach of fiduciary duty 
1

  “Representative  Plaintiffs”  means  the  representative  plaintiffs  in  the  Action,  namely  Pacific  West  Health  Medical  Center 
Employees  Retirement  Trust,  Harel  Insurance  Company  Ltd.,  Martin  and  Shirley  Bach  Family  Trust,  Natalia  Hatgis,  Securities  & 
Investment Company Bahrain, Dawson Bypass Trust, and St. Stephen’s School.
2
The “Released Parties” consist of GlobeOp, its past, present and future, direct or indirect, parent entities, associates, affiliates, 
and  subsidiaries,  each  and  all  of  their  respective  past,  present,  and  future  directors,  officers,  partners,  alleged  partners, 
stockholders,  predecessors,  successors  and  employees,  and  in  their  capacity  as  such,  each  and  all  of  their  attorneys,  advisors, 
consultants, trustees, insurers, co‐insurers, reinsurers, representatives, and assigns, as well as Crystal & Company, Fireman’s Fund 
Insurance Company, and Those Underwriters at Lloyd’s London Subscribing to Policy No. B0621PFCC00211.   
2

(Count 29), gross negligence (Count 31), and negligent misrepresentation (Count 33)  The District Court, in Orders 
dated July 29, 2010 and August 18, 2010 (728 F. Supp. 2d 354 and 728 F. Supp. 2d 372), granted GlobeOp’s motion 
to  dismiss  Count  30  (gross  negligence),  and  denied  GlobeOp’s  motion  to  dismiss  Counts  29  and  31  (breach  of 
fiduciary  duty  and  negligent  misrepresentation).    On  February  25,  2013,  the  Court  granted  Plaintiffs’  motion  to 
certify a class consisting in part of all limited partners in the Funds as of December 10, 2008, who suffered a net 
loss of principal invested in the Funds (289 F.R.D. 105).  Copies of these opinions are on the Claims Administrator’s 
website.  On March 11, 2013, the Non‐Settling Defendants and GlobeOp filed motions pursuant to Fed. R. Civ. P. 
23(f)  with  the  Second  Circuit  Court  of  Appeals  seeking  interlocutory  review  of  the  February  25,  2013  Order.   On 
June 12, 2013, before the GlobeOp motion was  decided, the Settling Parties informed the Court of Appeals that 
they had entered into an agreement in principle to settle the Representative Plaintiffs’ claims against GlobeOp, and 
requested that the Court hold GlobeOp’s motion in abeyance. 

• In  addition  to  Plaintiffs’  claims  asserted  against  GlobeOp  in  this  Action,  GlobeOp  also  is  a  defendant  in 
separate litigation bought by a Litigation Trustee for the Funds in New York State court (the “State Court Action”).  
The  Litigation  Trustee  was  appointed  pursuant  to  Plan(s)  of  Reorganization  for  the  Funds  that  were  filed  in  the 
United  States  Bankruptcy  Court  for  the  Southern  District  of  New  York.    The  proposed  GlobeOp  Settlement  was 
reached  after  a  series  of  mediation  sessions  and  negotiations  extending  from  November  2012  until  June  2013 
among  Plaintiffs’  Lead  Counsel,  GlobeOp,  GlobeOp’s  Insurance  Carriers,  and  the  bankruptcy  Litigation  Trustee.  
Those negotiations culminated on June 11, 2013 with GlobeOp’s Insurance Carriers agreeing, on behalf of GlobeOp, 
to  pay  $10,000,000  in  aggregate  consideration  for  a  release  of  all  claims  asserted  both  in  this  Action  and  in  the 
Litigation  Trustee’s  State  Court  Action.    At  that  time,  Lead  Counsel  were  fully  familiar  with  the  strengths  and 
weaknesses  of  both  Plaintiffs’  claims  and  the  Litigation  Trustee’s  claims,  and  in  further  negotiations  with  the 
Litigation Trustee, agreed to allocate the $10,000,000 settlement consideration equally as between the two actions 
($5,000,000 to each action).  GlobeOp Settlement Class Members who have perfected claims in Bankruptcy Court 
will directly benefit from the $5,000,000 State Court settlement that will enhance their recovery in the Bankruptcy 
Proceedings.    
• Under the terms of the proposed Settlement, $5,000,000 (five million dollars) will be paid into the GlobeOp 
Settlement  Fund  for  the  benefit  of  the  GlobeOp  Settlement  Class.    These  funds  (less  Court‐approved  attorneys’ 
fees  and  reimbursement  of  expenses)  shall  be  paid  to  the  Global  Settlement  Class  pursuant  to  the  Plan  of 
Allocation.     
• This  is  a  partial  settlement  only.    Plaintiffs  will  continue  to  prosecute  pending  claims  against  (i)  the  PwC 
Defendants  (PricewaterhouseCoopers  LLP  [Canada],  PricewaterhouseCoopers  Accountants  Netherlands  N.V),  and 
(ii) the Citco Defendants (Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Bank Nederland N.V. Dublin 
Branch, Citco Global Custody N.V., Citco Fund Services (Bermuda), Ltd., The Citco Group Ltd.).  The PwC Defendants 
audited the Funds’ financial statements from 2005‐07.  The Citco Defendants were the administrator of the Funds 
from September 2006 until December 2008.  In the July 29, 2010 and August 18, 2010 Orders, the District Court 
sustained  certain  claims  against  the PwC  Defendants  and  the  Citco  Defendants.    The District  Court  subsequently 
denied  in  part  two  separate  motions  to  reargue  the  August  18,  2010  Order  (800  F.  Supp.  2d  571  and  2012  WL 
345478).  On the second motion to reargue, however, the Court limited the claims against the PwC Defendants to 
subsequent investor and holder claims asserted by already existing investors in the Funds. Copies of these opinions 
are on the Claims Administrator’s website.  As of June 30, 2013, Plaintiffs completed fact discovery involving their 
claims against the Non‐Settling Defendants and are in the process of conducting expert discovery. 
• The Settlement provides for a court order barring the Non‐Settling Defendants and other similarly situated 
Persons from asserting claims for contribution, indemnification or other similar claims against the Released Parties.  
To compensate such Persons for the release of these claims against the Released Parties, any judgment that may 
be  obtained  by  a  GlobeOp  Settlement  Class  Member  against  such  Persons  shall  be  reduced,  to  the  extent 
permitted by applicable law, by the greater of (i) the amount that corresponds to the percentage of responsibility 
attributed  to  the  Released  Parties;  and  (ii)  the  gross  monetary  consideration  provided  to  such  Representative 
Plaintiff or other GlobeOp Settlement Class Member or Members pursuant to this Settlement. 
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• In  addition  to  amounts  that  they  would  receive  under  the  Settlement,  eligible  GlobeOp  Settlement  Class 
Members  who  have  perfected  claims  in  Bankruptcy  Court  are  likely  to  receive  additional  cash  distributions  from 
bankruptcy proceedings involving the Funds that are pending in the U.S. Bankruptcy Court for the Southern District 
of New York (Case No. 10‐16229 (BRL)) (the “Bankruptcy Proceedings”).  These additional distributions may include 
proceeds from a separate $5,000,000 settlement with GlobeOp made contemporaneously with this Settlement by 
the  Litigation  Trustee  appointed  in  the  Bankruptcy  Proceedings  to  act  on  behalf  of  the  Funds,  as  well  as 
distributions to the Funds from the Bernard L. Madoff Investment Securities bankruptcy proceedings.   
Statement of Settlement of Class Members’ Recovery   
• Estimates of the percentage recovery on the potential claims that may be filed vary depending on a number 
of  factors  including  the  number  of  GlobeOp  Settlement  Class  Members  who  file  claims  and  the  aggregate 
Recognized Loss of those claims under the Plan of Allocation. Plaintiffs’ analyses of Proofs of Interest filed in the 
bankruptcy proceedings, Proofs of Claim submitted in the prior FG Settlement, other information available through 
discovery,  and  the  terms  of  the  Plan  of  Allocation  (described  below),  indicate  that  the  aggregate  amount  of 
Recognized Loss of all Authorized Claimants is approximately $46 million. 
• Based  on  the  $46  million  estimate,  Plaintiffs  approximate  (assuming  that  all  GlobeOp  Settlement  Class 
Members  file  claims)  that  GlobeOp  Settlement  Class  Members  will  receive  from  the  Settlement  Fund,  before 
deduction of Court‐awarded attorneys’ fees and expenses, approximately 11% of their Recognized Loss computed 
pursuant to the Plan of Allocation (excluding the benefits achieved from the separate $5,000,000 settlement of the 
State Court Action).  
• Any  amounts  received  from  the  FG  Settlement,  from  the  Non‐Settling  Defendants  through  judgment  or 
settlement,  or  from  the  Funds’  Bankruptcy  Proceedings  as  discussed  above  would  be  in  addition  to  these 
settlement amounts.    
Statement of Potential Outcome of Settled Claims   
• The  Settlement  must  be  compared  to  the  risk  of  no  recovery  on  the  relevant  claims  after  contested 
dispositive motions, trial and likely appeals.  The claims being settled involve numerous complex legal and factual 
issues, many of which would require expert testimony.  Among many issues about which Plaintiffs and GlobeOp  do 
not agree are: (1) whether GlobeOp violated state or common law or otherwise engaged in any wrongdoing; (2) 
whether GlobeOp owed Plaintiffs any duties including any fiduciary duties; (3) whether GlobeOp acted negligently, 
or  breached  any  fiduciary  duties;  (4)  whether  the  misrepresentations  and  omissions  alleged  by  Plaintiffs  were 
material, false, misleading or otherwise actionable; (5) the extent to which Plaintiffs relied on GlobeOp’s alleged 
misrepresentations  and  omissions  or  breaches  of  fiduciary  duty;  (6)  whether  Plaintiffs’  state  law  claims  are 
preempted by the Securities Litigation Uniform Standards Act of 1998; (7) whether a litigation class can be certified 
(as  opposed  to  a  settlement  class);  (8)  whether  Plaintiffs’  damages  were  caused  in  whole  or  in  part  by  the 
intervening acts or failure to act of other defendants or non‐parties (such as Bernard Madoff); and (9) the method 
for determining whether, and the extent to which, investors suffered injury and damages that could be recovered 
at trial.   
Reasons for Settlement  
• Plaintiffs  entered  into  the  proposed  Settlement  after  over  four  years  of  litigation,  when  they  were  fully 
familiar with the facts and circumstances of the Action.  Plaintiffs’ Counsel reviewed more than nine million pages 
of documents produced by the defendants and non‐parties including approximately 230,000, pages of documents 
produced  by  GlobeOp,  and  reviewed  and  produced  to  counsel  for  the  defendants  more  than  75,000  pages  of 
documents on behalf of the Representative Plaintiffs and certain other Named Plaintiffs.  Plaintiffs’ Lead Counsel 
were  involved  in  over  ninety  depositions  of  the  defendants  and  non‐party  witnesses  in  locations  including  New 
York, Miami, Toronto, Bermuda, Denver, Geneva, and Amsterdam, including four depositions of former or current 
GlobeOp  directors,  officers,  or  employees.  Plaintiffs  had  scheduled  an  additional  six  depositions  of  GlobeOp 
witnesses  at  the  time  the  settlement  in  principle  of  the  GlobeOp  Action  was  reached.   Twenty  individuals 
associated  with  the  Representative  Plaintiffs  and  other  Named  Plaintiffs  (including  each  of  the  Representative 
4

Plaintiffs  and  other  plaintiffs  named  in  the  SCAC)  were  deposed  in  Arizona,  Cleveland,  and  New  York,  some  of 
whom traveled from international locations including Israel, Bahrain, and Belgium.   
• All  seven  Representative  Plaintiffs  and  all  of  Plaintiffs’  Lead  Counsel,  who  have  extensive  experience  in 
securities  and  complex  shareholder  class‐action  litigation,  believe  that  the  GlobeOp  Settlement  provides  the 
GlobeOp Settlement Class with significant and certain benefits now and eliminates the risk of no recovery following 
what  would  be  years  of  further  uncertain  litigation,  including  disposition  of  the  appeal  of  the  class  certification 
order, motions for summary judgment, and if summary judgment is not granted to defendants, a contested trial 
and likely appeals after trial. 
• Plaintiffs, in proposing that the Court approve the $5,000,000 Settlement as fair, reasonable and adequate 
to the Settlement Class, have considered, among other factors, that, by reducing the number of defendants and 
defense  counsel  in  the  Action,  and  the  factual  and  legal  issues  in  dispute,  the  GlobeOp  Settlement  may  have  a 
beneficial  effect  on  Plaintiffs’  ability  to  successfully  litigate  the  remaining  claims  against  the  Non‐Settling  
Defendants,  who  are  believed  to  have  substantial  assets  that  may  through  settlement  or  judgment  provide 
significant additional compensation to the GlobeOp Settlement Class.  
• GlobeOp has denied and continues to deny each and all of the claims and contentions alleged against it in 
the SCAC and believes that it has meritorious defenses to those claims and contentions.  The Settlement shall in no 
event  be  construed  as,  or  deemed  to  be  evidence  of,  an  admission  or  concession  by  GlobeOp  and  the  Released 
Parties with respect to any claim of any fault or liability or wrongdoing or damage to the Representative Plaintiffs, 
the Settlement Class Members, or any Person. 
Statement of Attorneys’ Fees and Expenses   
• Plaintiffs’  Lead  Counsel  will  ask  the  Court  to  approve  payment  from  the  GlobeOp  Settlement  Fund  of 
attorneys’  fees  of  up  to  25%  of  the  GlobeOp  Settlement  Fund  and  for  reimbursement  of  expenses  that  were 
advanced  by  Plaintiffs’  Counsel  through  June  30,  2013  directly  relating  to  the  prosecution  of  the  claims  against 
GlobeOp not to exceed $ 25,000.   
• If the above amounts are requested and approved by the Court, based upon current information, fees and 
expenses are estimated at approximately 25.5% of the GlobeOp Settlement Fund.    
Dismissal and Releases  
• If the proposed Settlement is approved, the Court will enter a Final Judgment and Order of Dismissal with 
Prejudice (the “Final Judgment”). The Final Judgment will dismiss with prejudice the claims asserted in the Action 
against  GlobeOp.    The  Final  Judgment  will  also  provide  that  all  GlobeOp  Settlement  Class  Members  shall  be 
deemed  to  have  released  and  forever  discharged  all  Released  Claims  against  all  Released  Parties.    The  specific 
terms of the releases, including the meaning of the term “Released Claims,” are set forth in the Stipulation. 
• Unless you exclude yourself from the GlobeOp Settlement Class, you will be releasing claims you may have 
against the Released Parties.   
Conditions to Final Approval Based on State Court Settlement 
• GlobeOp has contemporaneously entered into a separate agreement to settle for $5,000,000, claims made 
against it by the bankruptcy Litigation Trustee for the Funds in the State Court Action (discussed above at pages 3‐
4).  Under  both  settlements  (this  federal  court  Settlement  and  the  separate  state  court  settlement),  the  other 
settlement must become final in order for the settlement to become effective.   

5

WHAT THIS NOTICE CONTAINS 
BASIC INFORMATION……………………………………………………………………………………………………………………………………..7 
1.
Why did I receive this notice package? 
2.
What is this lawsuit about? 
3.
Why is this a class action? 
4.
Why is there a partial settlement? 
WHO IS IN THE SETTLEMENT…………………………………………………………………………………………………………………………8 
5.
How do I know if I am part of the Settlement? 
6.
What are the exceptions to being included? 
7.
I’m still not sure if I am included. 
THE SETTLEMENT BENEFITS – WHAT YOU GET………………………………………………………………………………………………8 
8.
What does the settlement provide? 
9.
How much will my payment be? 
HOW YOU OBTAIN A PAYMENT – SUBMITTING A CLAIM FORM……………………………………………………………………8 
10. How will I obtain a payment? 
11. When will I receive my payment? 
12. What am I giving up to receive a payment? 
13. If I stay in the Settlement Class, may I still recover additional amounts from other sources? 
THE LAWYERS REPRESENTING YOU………………………………………………………………………………………………………………..9 
14. Do I have a lawyer in this case? 
15. How will the lawyers be paid? 
EXCLUDING YOURSELF FROM THE SETTLEMENT…………………………………………………………………………………………..10 
16. How do I exclude myself from the Settlement? 
17. If I do not exclude myself from the Settlement, can I sue the Released Parties for the same thing later? 
18. If I exclude myself, can I get money from this Settlement? 
OBJECTING TO THE SETTLEMENT………………………………………………………………………………………………………………….11 
19. How  do  I  tell  the  Court  that  I  do  not  like  the  Settlement  or  the  request  for  attorneys’  fees  and 
reimbursement of expenses?  
20. What is the difference between objecting and requesting exclusion? 
THE COURT’S SETTLEMENT HEARING…………………………………………………………………………………………………………..11 
21. When and where will the Court decide whether to approve the Settlement? 
22. Do I have to come to the Hearing? 
23. May I speak at the Hearing? 
IF YOU DO NOTHING…………………………………………………………………………………………………………………………………….12 
24. What happens if I do nothing at all? 
GETTING MORE INFORMATION……………………………………………………………………………………………………………………12 
25. Are there more details about the Settlement? 
THE PLAN OF ALLOCATION…………………………………………………………………………………………………………………………..13 

6

BASIC INFORMATION 
1.

Why Did I Receive This Notice Package? 
You or someone in your family may have purchased or held an investment in Greenwich Sentry or Greenwich Sentry 
Partners  from  October  31,  2003  through  September  1,  2006  or  may  have  filed  a  Proof  of  Interest  in  the  bankruptcy 
proceedings involving those funds or in the FG Settlement. 
This Notice was sent because you have a right to know about a proposed partial settlement of a class action lawsuit 
concerning the Funds, and about all of your options, before the Court decides whether to approve the partial settlement.  If 
the  Court  approves  the  partial  settlement  and  after  any  objections  or  appeals  are  resolved,  the  Claims  Administrator 
appointed  by  the  Court  will  recommend  that  payments  be  made  to  those  GlobeOp  Settlement  Class  Members  who  timely 
submit valid claims in the manner described below.  Persons who are not Settlement Class Members may have received this 
Notice.    If  you  seek  to  obtain  a  distribution  from  the  GlobeOp  Settlement  Fund  in  this  Action,  it  is  your  responsibility  to 
demonstrate that you are a member of the GlobeOp Settlement Class.     
This Notice explains the lawsuit, the GlobeOp Settlement, your legal rights, what benefits are available, who is eligible 
for them, and how to get them. 
The judge in charge of the case is Judge Victor Marrero of the United States District Court for the Southern District of 
New York, and the case is known as Pasha S. Anwar, et al. v. Fairfield Greenwich Limited, et al., Civil Action No. 09‐cv‐118.   
Certain  of  the  entities  and  individuals  who  brought  this  action  ‐‐  Pacific  West  Health  Medical  Center  Employees 
Retirement Trust, Harel Insurance Company Ltd., Martin and Shirley Bach Family Trust, Natalia Hatgis, Securities & Investment 
Company Bahrain, Dawson Bypass Trust, and St. Stephen’s School ‐‐ are called Representative Plaintiffs.   
All claims against GlobeOp Financial Services LLC will be released if the GlobeOp Settlement is approved.  Plaintiffs 
previously  settled  the  claims  asserted  against  the  FG  Defendants  pursuant  to  a  Stipulation  of  Settlement  dated  as  of 
November 6, 2012. 
Whether or not the Settlement is approved, Plaintiffs’ Counsel will continue to prosecute the Action against the PwC 
Defendants, consisting of PricewaterhouseCoopers LLP [Canada] and PricewaterhouseCoopers Accountants Netherlands N.V.; 
and the Citco Defendants, consisting of  Fund custodians/administrators, The Citco Group Ltd., Citco Fund Services (Europe) 
B.V.,  Citco  (Canada),  Inc.,  Citco  Global  Custody  N.V.,  Citco  Bank  Nederland,  N.V.,  Dublin  Branch,  and  Citco  Fund  Services 
(Bermuda) Ltd.  
The  PwC  Defendants  and  the  Citco  Defendants  are  not  parties  to  this  Settlement  and  are  called  the  Non‐Settling 
Defendants. 
2.

What Is This Lawsuit About? 
This lawsuit alleges that GlobeOp engaged in negligent conduct, made materially false and misleading statements and 
omissions,  and  breached  its  duties  and  obligations  with  respect  to  the  administration  of  partnership  interests  in  the  Funds 
from October 31, 2003 through September 1, 2006. GlobeOp denies the allegations. 
3.

Why Is This a Class Action? 
In  a  class  action,  one  or  more  people  or  entities,  called  class  representatives  (in  this  case  the  Representative 
Plaintiffs), sue on behalf of people who have similar claims.  Here, all these people are called a class or class members, and 
those included in this Settlement are called a Settlement Class or Settlement Class Members.  One court resolves the issues 
for all class members, except for those who timely and validly exclude themselves from the class.   
4.

Why Is There a Partial Settlement? 
The Court did not decide in favor of the Plaintiffs or GlobeOp.  Instead, the Settling Parties agreed to a settlement.  
This  permits  them  to  avoid  the  cost  and  uncertainty  of  a  trial,  and  permits  eligible  Settlement  Class  Members  who  submit 
valid claims to receive compensation.  The Representative Plaintiffs and their attorneys believe the Settlement is in the best 
interests of all Settlement Class Members.  The Settlement is “partial” because there is no settlement with the Non‐Settling 
Defendants, and Plaintiffs’ Counsel will continue to prosecute the Action against them. 

7

WHO IS IN THE SETTLEMENT 
To see if you will receive money from this Settlement, you first have to determine if you are a Settlement Class Member. 

5.

How Do I Know if I Am Part of the Settlement? 
For purposes of the Settlement, the Court has provisionally approved the following definition of the GlobeOp 
Settlement Class:   
All  Persons  who  purchased  or  held  investments  in  Greenwich  Sentry,  L.P.  or  Greenwich 
Sentry Partners, L.P. from October 31, 2003 through September 1, 2006, who were investors 
in the Funds as of December 10, 2008, and suffered a Net Loss of principal invested in the 
Funds.  

6.

What Are the Exceptions to Being Included? 
The  Settlement  Class  excludes  (i)  those  Persons  who  timely  and  validly  requested  exclusion  from  the  GlobeOp 
Settlement Class and who did not validly revoke such exclusion; (ii) any Persons who have been dismissed from this Action 
with  prejudice;  and  (iii)  the  FG  Defendants,  GlobeOp,  and  the  Non‐Settling  Defendants,  and  any  entity  in  which  the  FG 
Defendants or GlobeOp have a controlling interest, and their officers, employees, directors, affiliates, legal  representatives, 
and immediate family members, and heirs, successors, subsidiaries and assigns of any such Persons.   
7.

I’m Still Not Sure if I Am Included. 
If you are still not sure whether you are included, you can ask for free help.  You can request additional information 
from the persons identified in Question 25 below.  Or you can fill out and return the claim form described in question 10, to 
see if you qualify. 

THE SETTLEMENT BENEFITS — WHAT YOU GET 
8.
What Does the Settlement Provide? 

 GlobeOp’s  insurers  have  agreed  to  pay  $5,000,000  in  cash  into  the  Settlement  Fund.    The  Settlement  Fund,  after 
payment of any Court‐approved attorneys’ fees and expenses and the costs of claims administration, including the costs  of 
printing and mailing this Notice Package and the cost of publishing notice (the “Net Settlement Fund”), will be divided among 
all  eligible  GlobeOp  Settlement  Class  Members  who  send  in  valid  claim  forms  pursuant  to  the  Plan  of  Allocation  described 
below.   
9.

How Much Will My Payment Be? 
Your share of the Net Settlement Fund will depend on the size of your Net Loss of principal and Recognized Loss in the 
Funds compared to the aggregate Net Loss of principal and Recognized Loss of all GlobeOp Settlement Class Members who 
submit valid claim forms.     

You can calculate your Recognized Loss in accordance with the explanation below in the Plan of Allocation.  After the 
deadline  for  submitting  a  Proof  of  Claim,  the  payment  you  receive  will  reflect  your  Recognized  Loss  in  relation  to  the 
Recognized Loss of all Settlement Class Members who submit a valid Proof of Claim.  The Recognized Loss is not the amount of 
the  payment  that  you  can  expect,  but  is  used  to  determine  how  the  Net  Settlement  Fund  will  be  allocated  among  all 
Settlement Class Members who submit valid claims.    

HOW YOU OBTAIN A PAYMENT — SUBMITTING A CLAIM FORM 
10.

How Will I Obtain a Payment? 
To qualify for payment, you must be an eligible GlobeOp Settlement Class Member, submit a valid Proof of Claim, and 
properly document your claim as described in the Proof of Claim.  A Proof of Claim form is enclosed with this Notice.  You may 
also get a Proof of Claim form on the internet at www.FairfieldGreenwichLitigation.com.  Read the instructions carefully, fill 
out  the  Proof  of  Claim,  include  the  documents  the  form  asks  for,  sign  it,  and  submit  it  so  that  it  is  received  by  the  Claims 
Administrator no later than December 23, 2013. You are required to submit a Proof of Claim form in this Settlement even if 
you submitted a prior claim form in the FG Settlement.  
11.

When Will I Receive My Payment? 
The Court will hold a hearing on November 22, 2013 at 2:30 p.m., to decide whether to approve the Settlement.  If 
Judge Marrero approves the Settlement, there may be appeals.  If there are appeals, it is uncertain how these appeals will be 
resolved, and resolving them can take time, perhaps more than a year.  After any approval by Judge Marrero and any appeals 
8

are decided favorably, it will take several months for the Claims Administrator to process all of the Proof of Claim forms and to 
determine and pay the ultimate distribution amounts.   

12.

What Am I Giving Up to Receive a Payment? 
Unless you timely exclude yourself from the Settlement Class by the October 25, 2013 deadline, you are a member of 
the  GlobeOp  Settlement  Class  and  will  be  bound  by  the  release  of  claims  against  GlobeOp  and  the  Released  Parties.    That 
means that you cannot sue, continue to sue, or be part of any other lawsuit against GlobeOp or the Released Parties about the 
Released Claims.  The specific terms of the release are included in the Stipulation. 
13.

If I Stay in the Settlement Class, May I Still Recover Additional Amounts from Other Sources? 
Yes.    If  you  participate  in  this  GlobeOp  settlement,  you  will  not  be  required  to  give  up  any  claims  you  may  have 
against  any  individuals  or  entities  other  than  the  GlobeOp  Released  Parties.    Investors  in  the  Funds  may  recover  on  claims 
against the PwC Defendants and the Citco Defendants, which Plaintiffs’ Counsel are continuing to pursue in this litigation.  The 
Court has limited the claims against the PwC Defendants to claims based on investments and holdings subsequent to receipt 
of an audit opinion by persons who already had an investment in the Funds.  Investors in the Funds who have perfected their 
claims also are likely to receive distributions from the bankruptcy proceedings in Bankruptcy Court, which may be enhanced 
by the separate $5,000,000 settlement with GlobeOp entered into contemporaneously with this Settlement by the bankruptcy 
Litigation Trustee in the State Court Action.   

THE LAWYERS REPRESENTING YOU 
14.

Do I Have a Lawyer in This Case? 
The law firms of Boies, Schiller & Flexner LLP, Wolf Popper LLP, and Lovell Stewart Halebian Jacobson LLP brought the 
Action on behalf of Representative Plaintiffs and they represent you and all other Settlement Class Members.  These lawyers 
are called Plaintiffs’ Lead Counsel.  You will not be charged for these lawyers, regardless of the outcome of the Settlement 
Hearing  on  November  22,  2013  or  the  motion  for  attorneys’  fees  and  reimbursement  of  expenses.    If  you  want  to  be 
represented by your own lawyer, you may hire one at your own expense. 
15.

How Will the Lawyers Be Paid? 
Plaintiffs’  Counsel  will  ask  the  Court  for  attorneys’  fees  up  to  25%  of  the  $5,000,000  Settlement  Fund,  and  for 
expenses  that  were  advanced  through  July  31,  2013  by  Plaintiffs’  Counsel  directly  relating  to  the  prosecution  of  the  claims 
against GlobeOp not to exceed $25,000.  Such sums as may be approved by the Court will be paid from the Settlement Fund.  
Settlement Class Members are not personally liable for any such fees or expenses. 
The  attorneys’  fees  and  expenses  requested  represent  payment  to  Plaintiffs’  Lead  Counsel  and  other  such  counsel 
involved in the Action on behalf of the Plaintiffs (collectively “Plaintiffs’ Counsel”) for their efforts in achieving this Settlement and 
for their risk in undertaking this representation on a wholly contingent basis.  Since the case began in 2008, Plaintiffs’ Counsel has 
undertaken  extensive  work  necessary  to  prepare  the  case  for  trial.    Plaintiffs’  Counsel  has  conducted  all  of  the  investigation, 
drafted the SCAC, reviewed millions of documents, taken and defended dozens of depositions, employed experts, performed an 
enormous amount of legal research and filed many legal briefs on novel and complex issues, including opposing dismissal of the 
claims,  supporting  class  certification  and  arguing  discovery  issues.    To  date,  Plaintiffs’  Counsel  have  not  been  paid  for  their 
services in conducting this litigation on behalf of the Representative Plaintiffs and the Settlement Class, nor for their substantial 
expenses.  Although the Court awarded Plaintiffs’ Counsel fees and expenses in a Final Judgment and Order Awarding Fees and 
Expenses dated March 27, 2013 with respect to the FG Settlement, the FG Settlement is on appeal and those fees and expenses 
have not yet been paid to Plaintiffs’ Counsel.   
Plaintiffs’ Lead Counsel shall file a motion with the Court for approval of the Settlement, the Plan of Allocation, and 
the request for attorneys’ fees and reimbursement of expenses by October 11, 2013.  Copies of that motion will be posted at 
www.FairfieldGreenwichLitigation.com.    GlobeOp  takes  no  position  with  respect  to  the  request  for  attorneys’  fees  and 
reimbursement of expenses.  The Court determines the amount counsel should receive from the Settlement Fund for fees and 
expenses separately from its determination of whether the Settlement is fair, reasonable and adequate, and may award less 
than the amount Plaintiffs’ Lead Counsel has requested. 

9

EXCLUDING YOURSELF FROM THE SETTLEMENT 
16.

How Do I Exclude Myself From the Settlement? 
If you want to retain the right to sue, or to continue to sue, the Released Parties (including GlobeOp) on your own 
about the claims being released in this Settlement, then you must take steps to exclude yourself from the Settlement.  This is 
referred to as opting out of the GlobeOp Settlement Class, and persons who do so are referred to as “Opt‐Outs”.   
Excluding  yourself  is  not  the  same  as  doing  nothing  in  response  to  this  Notice.    Each  member  of  the  GlobeOp 
Settlement  Class  shall  be  bound  by  all  determinations  and  judgments  in  the  GlobeOp  Action  concerning  the  Settlement, 
whether favorable or unfavorable, unless such a Person delivers to the Claims Administrator a written request for exclusion 
from the GlobeOp Settlement Class, so that it is received by the Claims Administrator by October 25, 2013 addressed to:   
Fairfield Greenwich Securities Litigation 
Fairfield Greenwich Securities Litigation  
c/o Rust Consulting, Inc. 
c/o Rust Consulting, Inc.  
201 Lyndale Ave. S 
P.O. Box 2874  
Faribault, MN 55021‐8674 
Faribault, MN 55021 
(by regular mail) 
(by courier) 

No Person may exclude himself, herself or itself from the GlobeOp Settlement Class after that date.  In order to be 
valid, each request for exclusion by a Person seeking to opt‐out must state the name, address and telephone number of the 
Person  seeking  exclusion;  state  that  the  Person  “requests  exclusion  from  the  Settlement  Class  in  Pasha  S.  Anwar,  et  al.  v. 
Fairfield Greenwich Limited, et al., Case No. 09‐cv‐118,” and state (i) the full name of the Fund(s) purchased, (ii) the dates, 
number and dollar amount of limited partnership interests purchased, and redeemed if applicable, (iii) any other recoveries 
received by the Person on the Person’s investment in the Fund(s), and (iv) the number of limited partnership interests held by 
the Person in the Fund(s) as of December 10, 2008.  Each Person seeking to opt‐out must also supply documentary proof of 
each  purchase  and  redemption  transaction  and  of  the  Person’s  membership  in  the  GlobeOp  Settlement  Class.    Any  such 
request for exclusion must be signed by the Person requesting exclusion. 
Requests for exclusion shall not be effective unless the request includes the required information and documentation 
and is made within the time period stated above, or the exclusion is otherwise accepted by the Court.   
If  you  ask  to  be  excluded,  you  will  not  receive  any  payment  from  this  Settlement,  and  you  cannot  object  to  the 
Settlement.  You will not be legally bound by anything that happens in the Action with respect to Released Claims and may be 
able to sue or continue to sue the Released Parties in the future.  Even if you ask to be excluded from the Settlement Class, 
you will be entitled to participate in the continuing litigation against the Non‐Settling Parties.  In the event a class is certified 
as to the claims asserted against the Non‐Settling Parties, after appeals from such class certification order are resolved, you 
will be given a subsequent opportunity to request exclusion from that class. 
Except  where  a  GlobeOp  Settlement  Class  Member  who  submits  a  Request  for  Exclusion  commences  or  otherwise 
prosecutes or pursues a Released Claim  against a Released Party, all information submitted by a GlobeOp Settlement Class 
Member in a Request for Exclusion or a Proof of Claim shall be treated as confidential protected information and may not be 
disclosed by the Claims Administrator, its affiliates or the Settling Parties to any third party absent a further order of this Court 
upon a showing of necessity, and any such information that is submitted to the Court shall be filed under seal. 
If  the  aggregate  Net  Loss  of  Opt‐Outs  exceeds  the  threshold  specified  in  a  separate  “Supplemental  Agreement” 
between the Settling Parties, then GlobeOp shall have the option to terminate this Settlement and to render it null and void in 
accordance with the procedures set forth in the Supplemental Agreement.   
17.
If I Do Not Exclude Myself From the Settlement, Can I Sue the Released Parties For the Same Thing Later? 
No.  Unless you exclude yourself, you give up any rights to bring a lawsuit or claim in any forum asserting any of the 
Released Claims against the Released Parties.  If you have a pending lawsuit or claim in any forum that you believe concerns 
the  Released  Claims  or  the  same  matters  alleged  in  this  case,  speak  to  your  lawyer  immediately.    You  will  likely  have  to 
exclude  yourself  from  the  GlobeOp  Settlement  Class  if  you  wish  to  continue  your  own  lawsuit  or  claim.    Remember,  the 
exclusion deadline is October 25, 2013. 
18.
If I Exclude Myself, Can I Get Money From This Settlement? 

No.  You will, however, retain any right you may have to bring a lawsuit, to continue to pursue an existing lawsuit, or 
to be part of a different lawsuit asserting a Released Claim against a Released Party. 

10

OBJECTING TO THE SETTLEMENT 
19.

How  Do  I  Tell  the  Court  that  I  Do  Not  Like  the  Settlement  or  the  Request  for  Attorneys’  Fees  and 
Reimbursement of Expenses? 
If you are a GlobeOp Settlement Class Member, you can object to the GlobeOp Settlement if you do not like any part 
of it, including the Plan of Allocation and the request for attorneys’ fees or expenses.  You can state the reasons why you think 
the Court should not approve it, and the Court will consider your views.  To object, you must submit a letter saying that you 
object to the GlobeOp Settlement in Pasha S. Anwar, et al. v. Fairfield Greenwich Limited, et al., Civil Action No. 09‐cv‐118.  Be 
sure to include your name, address, telephone number, your signature, the full name of the Fund(s) purchased, the dates and 
number and dollar amounts of limited partnership interests purchased, and redeemed if applicable, and other recoveries you 
have  received  on  your  investment  in  the  Fund(s),  and  to  supply  documentary  proof  of  the  purchase  or  any  redemption 
transactions and of your membership in the GlobeOp Settlement Class, and the reasons you object.  Any objection letter must 
be delivered such that it is received by each of the following on or before October 25, 2013: 

 GlobeOp’s Counsel Designee:  
Clerk of the Court 
 Plaintiffs’ Counsel Designee:
Jonathan D. Cogan, Esq.   
UNITED STATES DISTRICT COURT 
Robert C. Finkel, Esq. 
Kobre & Kim LLP  
SOUTHERN DISTRICT OF NEW YORK 
Wolf Popper LLP 
800 Third Avenue  
Daniel Patrick Moynihan 
845 Third Avenue 
New York, NY 10022 
United States Courthouse 
New York, NY 10022 
500 Pearl Street 
New York, NY 10007‐1312 

20.
What is the Difference between Objecting and Requesting Exclusion? 
Objecting is simply telling the Court that you do not like something about the proposed Settlement.  Objecting does 
not prevent you from participating and recovering money in the Settlement.  However, you can object only if you stay in the 
GlobeOp Settlement Class.  Excluding yourself is telling the Court that you do not want to be part of the GlobeOp Settlement 
Class.  If you exclude yourself, you have no basis to object because the Settlement no longer affects you. 

THE COURT’S SETTLEMENT HEARING 
The Court will hold a hearing to decide whether to approve the Settlement.  You may attend and you may ask to speak, but 
you do not have to. 

21.

When and Where Will the Court Decide Whether to Approve the Settlement? 
The Court will hold a Settlement Hearing at 2:30 p.m., on November 22, 2013, at the Daniel Patrick Moynihan United 
States  Courthouse,  500  Pearl  Street,  New  York,  NY  10007‐1312,  Courtroom  11B.    At  this  hearing  the  Court  will  consider 
whether the settlement is fair, reasonable and adequate.  If there are objections, the Court will consider them.  The Court will 
also consider Plaintiffs’ Lead Counsel’s application for fees and expenses and whether the Plan of Allocation is fair, reasonable 
and adequate.  The Court may decide these issues at the hearing or take them under consideration for a later decision.   
22.

Do I Have to Come to the Hearing? 
No.  Plaintiffs’ Lead Counsel will answer questions Judge Marrero may have.  But, you are welcome to come at your 
own expense.  If you send an objection, you do not have to come to Court to talk about it.  As long as you submitted your 
written objection on time, the Court will consider it.  You may also pay your own lawyer to attend, but it is not necessary. 
23.

May I Speak at the Hearing? 
You may ask the Court for permission to speak at the Settlement Hearing.  To do so, you must submit a letter saying 
that it is your intention to appear in Pasha S. Anwar, et al. v. Fairfield Greenwich Limited, et al. Civil Action No. 09‐cv‐118.  Be 
sure to include your name, address, telephone number, your signature, the full name of the Fund(s) purchased, the number 
and dollar amount of limited partnership interests purchased, and redeemed if applicable, to supply documentary proof of the 
purchase and any redemption transactions and of your membership in the GlobeOp Settlement Class, and other recoveries 
you  have  received  on  your  investment  in  the  Fund(s),  and  the  reasons  you  want  to  speak  at  the  hearing.    Your  notice  of 
intention to appear must be received no later than October 25, 2013, by the Clerk of the Court, Plaintiffs’ Counsel Designee 
and GlobeOp’s Counsel Designee, at the three addresses listed in question 19.   

11

IF YOU DO NOTHING 
24.

What Happens If I Do Nothing at All? 
If you do nothing, all of your claims against the Released Parties will be released, but you will not receive any money 
from this Settlement, because in order to receive money it is necessary to submit a valid Proof of Claim. 

GETTING MORE INFORMATION 
25.

Are There More Details About the Settlement? 
This  Notice  summarizes  the  proposed  Settlement.    More  details  are  in  the  Stipulation  of  Settlement  dated  as  of 
August  27,  2013.    You  can  obtain  a  copy  of  the  Stipulation  of  Settlement  or  more  information  about  the  Settlement  by 
contacting the Claims Administrator. 

Fairfield Greenwich Securities Litigation 
c/o Rust Consulting, Inc  
P.O. Box 2874 
Faribault, MN 55021‐8674 
(by regular mail) 

Fairfield Greenwich Securities Litigation 
c/o Rust Consulting, Inc.  
201 Lyndale Ave. S 
Faribault, MN 55021 
(by courier) 

[e-mail]
www.FairfieldGreenwichLitigation.com 
Toll Free Number: 1‐855‐263‐3450 
Foreign Callers: 1‐612‐359‐7949 
or Plaintiffs’ Counsel: 

Robert C. Finkel, Esq. 
James A. Harrod, Esq. 
WOLF POPPER LLP 
845 Third Avenue 
New York, NY 10022 
[e-mail] 
1‐877‐370‐7703 
1‐212‐759‐4600 

David A. Barrett 
BOIES, SCHILLER & FLEXNER LLP 
575 Lexington Avenue 
New York, NY 10022 
[e-mail] 
1‐212‐446‐2300 
Stuart H. Singer 
BOIES, SCHILLER & FLEXNER LLP 
401 East Las Olas Blvd., #1200 
Ft. Lauderdale, Florida  33301 
[e-mail]  
1‐954‐356‐0011 

Christopher Lovell 
Victor E. Stewart 
LOVELL STEWART HALEBIAN JACOBSON LLP 
61 Broadway, Suite 501 
New York, NY 10006 
[e-mail] 
[e-mail] 
1‐212‐608‐1900 

or by visiting www.FairfieldGreenwichLitigation.com.   
You can also obtain a copy from the Clerk’s office during regular business hours: 

Clerk of the Court 
UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT OF NEW YORK 
Daniel Patrick Moynihan 
United States Courthouse 
500 Pearl Street 
New York, NY 10007‐1312 

PLEASE DO NOT CONTACT THE COURT REGARDING THIS NOTICE  
12

PLAN OF ALLOCATION OF NET SETTLEMENT FUND AMONG CLASS MEMBERS 

The  Net  Settlement  Fund  shall  be  distributed  to  GlobeOp  Settlement  Class  Members  who  submit  a  valid 
Proof of Claim (“Authorized Claimants”) according to the terms below.  The purpose of this Plan of Allocation of the 
Net  Settlement  Fund  (“Plan  of  Allocation”  or  “Plan”)  is  to  establish  a  reasonable  and  equitable  method  of 
distributing  the  Net  Settlement  Fund  among  Authorized  Claimants.    The  Plan  is  not  intended  to  replicate  an 
assessment of damages that could have been recovered had the Representative Plaintiffs prevailed at trial.   

Because the Net Settlement Fund is less than the total losses alleged to be suffered by GlobeOp Settlement 
Class Members, the formulas described below for calculating Recognized Losses are not intended to estimate the 
amount that will actually be paid to Authorized Claimants. Rather, these formulas provide the basis on which the 
Net Settlement Fund will be distributed among Authorized Claimants. 

Approval of the Settlement is independent from approval of the Plan of Allocation.  Any determination with 
respect to the Plan of Allocation will not affect the Settlement, if approved.  The Plan of Allocation set forth herein 
is the plan that is being proposed by Representative Plaintiffs and Plaintiffs’ Lead Counsel to the Court for approval.  
GlobeOp takes no position with respect to the Plan of Allocation.  The Court may approve this plan as proposed or 
it  may  modify  the  Plan  of  Allocation  without  further  notice  to  the  Settlement  Class.    Any  orders  regarding  a 
modification  of  the  Plan  of  Allocation  will  be  posted  on  the  settlement  website, 
www.FairfieldGreenwichLitigation.com. 

Payment pursuant to the Plan of Allocation approved by the Court shall be final and conclusive against all 
GlobeOp Settlement Class Members.  No person shall have any claim of any kind against GlobeOp or its counsel 
with  respect  to  the  administration  of  the  settlement,  including  the  Plan  of  Allocation.  No  person  shall  have  any 
claim against Representative Plaintiffs, Plaintiffs’ Counsel, or the Claims Administrator or other agent designated by 
Plaintiffs’  Counsel  arising  from  distributions  made  substantially  in  accordance  with  the  Stipulation,  the  Plan  of 
Allocation,  or  further  orders  of  the  Court.    Representative  Plaintiffs,  GlobeOp,  their  respective  counsel,  and  all 
other Released Parties shall have no responsibility or liability whatsoever for the investment or distribution of the 
Settlement  Fund  consistent  with  the  terms  of  the  Stipulation,  the  Plan  of  Allocation,  or  the  determination, 
administration, calculation, or payment of any Proof of Claim or nonperformance of the Claims Administrator, the 
payment or withholding of taxes owed by the Settlement Fund, or any losses incurred in connection therewith. 

Distributions will be made to Authorized Claimants after all claims have been processed and after the Court 
has finally approved the Settlement (including the resolution of any appeals) pursuant to the following terms: 
a. The Recognized Loss for each Authorized Claimant will be the sum of (x) the Net Loss of principal with 
respect to each Fund with respect to all investments from inception through September 1, 2006 (including periods 
prior to October 31, 2003), and (y) the Net Loss of principal with respect to each Fund with respect to investments 
subsequent  to  September  1,  2006  multiplied  by  the  Applicable  Percentage  with  respect  to  the  month  of  the 
investment.   
b. “Net  Loss  of  principal”  means  the  total  cash  investment  made  by  an  investor  in  a  Fund,  directly  or 
indirectly  through  one  or  more  intermediaries,  less  the  total  amount  of  any  redemptions  or  withdrawals  or 
recoveries by that investor from the Fund.  
c. The “Applicable Percentage” shall mean 96% for investments from September 2, 2006 through October 
31, 2006 (immediately after GlobeOp ceased acting as administrator of the  Funds), and shall be reduced by 4% for 
each subsequent month as follows:  

13

Date of Investment 

Applicable Percentage 

November 2006  
December 2006 
January 2007  
February 2007 
March 2007 
April 2007 
May 2007 
June 2007  
July 2007 
August 2007 
September 2007 
October 2007  
November 2007 

Applicable Percentage 

December 2007
January 2008
February 2008
March 2008
April 2008
May 2008
June 2008
July 2008
August 2008
September 2008
October 2008
November 2008

92% 
88% 
84% 
80% 
76% 
72% 
68% 
64% 
60% 
56% 
52% 
48% 
44% 

Date of Investment 

40%
36%
32%
28%
24%
20%
16%
12%
8%
4%
4%
4%

d. A Settlement Class Member may have a Net Loss on more than one Fund.   
e. Only those Authorized Claimants who suffered a Recognized Loss with respect to a Fund are entitled to 
a payment from the Net Settlement Fund with respect to that Fund. 
f. Please note that the term “Recognized Loss” is used solely for calculating the amount of participation 
by  Authorized  Claimants  in  the  Net  Settlement  Fund.    It  is  not  the  actual  amount  an  Authorized  Claimant  can 
expect to recover. 
g. The Claims Administrator will determine each Authorized Claimant’s share of the Net Settlement Fund.  
Each  Authorized  Claimant  will  receive  a  disbursement  determined  by  multiplying  the  Net  Settlement  Fund  by  a 
fraction, the numerator of which is the Authorized Claimant’s Recognized Loss and the denominator of which is the 
sum total of all Authorized Claimants’ Recognized Losses with respect to both of the Funds. 
h. After  the  Claims  Administrator  completes  its  determinations  with  respect  to  the  Proofs  of  Claim, 
Plaintiffs’ Lead Counsel will submit a distribution order to the Court and will request that the Court approve the 
administrative determinations of the Claims Administrator, including the calculation of the Authorized Claimant’s 
Recognized Loss.   
i. If there is any balance remaining in the Net Settlement Fund (whether by reason of unclaimed funds, 
tax refunds, uncashed checks, or otherwise), at a date one hundred eighty (180) days from the later of (a) the date 
on which the Court enters an order directing the Net Settlement Fund to be distributed to Authorized Claimants, or 
(b) the date the Settlement is final and becomes fully effective, then Plaintiffs’ Counsel shall, upon approval of the 
Court, disburse such balance among Authorized Claimants as many times as is necessary, in a manner consistent 
with this Plan of Allocation, until each Authorized Claimant has received its Recognized Loss (but no greater than its 
Recognized  Loss)  as  defined  in  this  Plan.    If  Plaintiffs’  Lead  Counsel  determines  that  it  is  not  cost‐effective  to 
conduct  such  further  disbursement,  or  following  such  further  disbursement  any  balance  still  remains  in  the  Net 
Settlement  Fund,  Plaintiffs’  Counsel  shall,  upon  approval  of  the  Court,  and  without  further  notice  to  Settlement 
Class Members, cause the remaining balance to be disbursed cy pres.  Plaintiffs’ Lead Counsel shall also consider 
the  potential  for  additional  distributions  to  be  made  from  other  settlements  or  judgments  in  proposing 
supplemental distributions from the GlobeOp Net Settlement Fund. 

DATED:  September 24, 2013 

BY ORDER OF THE COURT 
UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT OF NEW YORK 

14

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
PASHA S. ANWAR, et al.,
Plaintiffs,
v.

Master File No. 09-cv-118 (VM)

FAIRFIELD GREENWICH LIMITED, et al.,
Defendants.
GLOBEOP PROOF OF CLAIM AND RELEASE
I.

GENERAL INSTRUCTIONS

1.
The accompanying Notice of Proposed GlobeOp Partial Settlement of Class Action and Settlement Fairness Hearing, and
Motion for Attorneys’ Fees and Reimbursement of Expenses (the “Notice”) contains important information about your rights, defines certain
settlement terms and eligibility criteria, and describes the proposed partial settlement and the manner in which the Settlement will be
distributed if the Settlement is approved by the Court. It is important that you read the Notice.
2.
To recover as a member of the GlobeOp Settlement Class (as defined in the Notice) in the above Action, you must
complete and, on page 5, sign this Proof of Claim and Release (“Proof of Claim”).
3.
IF YOU PREVIOUSLY SUBMITTED A PROOF OF CLAIM FORM IN CONNECTION WITH THE FAIRFIELD
GREENWICH (“FG”) SETTLEMENT, AND THAT PROOF OF CLAIM FORM (WITH ANY SUPPLEMENTAL DOCUMENTS OR
INFORMATION SUBMITTED TO THE CLAIMS ADMINISTRATOR) IS STILL COMPLETE AND ACCURATE, YOU ARE NOT REQUIRED
TO COMPLETE PART II HEREOF OR TO RESUBMIT SUPPORTING DOCUMENTATION. RATHER, YOU CAN CHECK THE BOX AT
THE TOP OF PART II AND PROCEED BY COMPLETING ONLY PARTS I AND III.
4.

Submission of a Proof of Claim does not assure that you will share in the proceeds of the Settlement.

5.
The GlobeOp Settlement Class consists of all Persons who purchased or held interests in Greenwich Sentry, L.P.
(“Greenwich Sentry”) and Greenwich Sentry Partners, L.P. (“Greenwich Sentry Partners”) (the “Funds”) from October 31, 2003 through
September 1, 2006, who were investors in the Funds as of December 10, 2008 and suffered a Net Loss of principal invested in the Funds.
Excluded from the GlobeOp Settlement Class are (i) those Persons who timely and validly request exclusion from the GlobeOp Settlement
Class and who do not validly revoke such exclusion, (ii) any Persons who have been dismissed from this Action with prejudice; and (iii) the
FG Defendants, GlobeOp, and the Non-Settling Defendants, and any entity in which those Persons have a controlling interest, and their
officers, directors, affiliates, employees, legal representatives, and immediate family members, and heirs, successors, subsidiaries and
assigns of any such Persons. Net Loss means the total cash investment made by an investor in the Funds, less the total amount of any
redemptions, withdrawals or recoveries by that investor from or with respect to the Funds. Even if you do not fill out this Proof of Claim, any
and all claims you may have against GlobeOp in this Action will be released by virtue of your being a member of the GlobeOp Settlement
Class.
6.
You are required to submit the Proof of Claim so that it is received by Rust Consulting, Inc. (the “Claims Administrator”) by
December 23, 2013 addressed as follows: If you fail to submit the Proof of Claim by that deadline, your claim may be rejected and you may
be precluded from receiving any recovery from the Settlement Fund created in connection with the proposed partial settlement of the Action.
Fairfield Greenwich Securities Litigation
c/o Rust Consulting, Inc
P.O. Box 2874
Faribault, MN 55021-8674
(if by regular mail)

Fairfield Greenwich Securities Litigation
c/o Rust Consulting, Inc
201 Lyndale Ave. S
Faribault, MN 55021
(if by courier)

7.
The Claims Administrator will acknowledge receipt of your Proof of Claim by mail or email within 14 days of
receipt. Your claim is not deemed filed until you receive such an acknowledgment. If you do not receive an acknowledgment
within 21 days, please contact the Claims Administrator by telephone toll free at 1-855-263-3450 or, from non-United States
telephones, at 1-612-359-7949 or by email at [e-mail].

8.
You should complete this Proof of Claim only if you are a member of the GlobeOp Settlement Class. If you are NOT a
member of the GlobeOp Settlement Class, DO NOT submit a Proof of Claim. IF YOU ARE A MEMBER OF THE GLOBEOP SETTLEMENT
CLASS AND YOU DO NOT FILE A PROOF OF CLAIM, YOU WILL NOT RECEIVE ANY PAYMENT FROM THE GLOBEOP SETTLEMENT
FUND BUT YOU WILL NEVERTHELESS BE BOUND BY THE ORDER FINALLY APPROVING THE SETTLEMENT AND THE JUDGMENT
DISMISSING THIS ACTION AS AGAINST GLOBEOP, AND ALL ORDERS AND RELEASES THEREIN, UNLESS YOU PROPERLY
EXCLUDE YOURSELF FROM THE SETTLEMENT CLASS.

II.

CLAIMANT IDENTIFICATION

1.
Use Part I of this form entitled “Claimant Identification” to identify each Settlement Class Member. THIS PROOF OF
CLAIM MUST BE FILED BY THE ACTUAL SETTLEMENT CLASS MEMBER OR THE LEGAL REPRESENTATIVE OF SUCH OWNER OF
THE PARTNERSHIP INTERESTS UPON WHICH THIS CLAIM IS BASED.
2.
All joint owners must sign this Proof of Claim. Executors, administrators, guardians, conservators, or other legal
representatives must complete and sign this Proof of Claim on behalf of Persons represented by them and documentation showing their
authority must accompany this Proof of Claim and their titles or capacities must be stated. The actual name and Social Security (or other
U.S. or foreign taxpayer identification) number and telephone number of the Settlement Class Member must be used to verify the Proof of
claim and avoid duplicative claims. Failure to provide the foregoing information could delay verification of your claim or result in rejection of
the claim.

III.

INSTRUCTIONS FOR THE PROOF OF CLAIM FORM

1.
In the space provided in Part II of this form entitled “Schedule of Transactions in Fund Limited Partnership Interests,”
supply all required details of your transaction(s) in Fund partnership interests. 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. If you are the owner of more than one of the Funds in which you have a Net Loss of principal, make a copy (or copies) of the
Schedule of Transactions and complete a Schedule separately for each Fund.
2.
Please provide all of the requested information with respect to all of your transactions in the Funds from your first
investment to the present date, inclusive, whether such transactions resulted in a profit or a loss. Failure to report all transactions may result
in the rejection of your claim. List each transaction separately and in chronological order, by trade date, beginning with the earliest. You
must accurately provide the month, day and year of each transaction you list.
3.
You must also submit supporting documentation concerning all of your transactions and holdings in the Funds. In most
cases, confirmations of subscriptions and redemptions will be sufficient. If you do not have such documentation, you may also attach any
documents or schedules that you attached to any tax return that reflect transactions in the Fund. Failure to provide this documentation will
delay verification or result in rejection of your claim.
4.
If you obtained any recovery in respect of your investments in the Funds other than through sales of limited partnership
interests in the Funds, such as through settlement of any legal claims, please identify that compensation in the Schedule of Transactions,
with supporting documentation. (If you have not received any such compensation, mark “None.”) Filing a Proof of Claim form in the FG
Settlement is not considered a recovery for these purposes.
5.
The above materials are designed to provide the minimum amount of information necessary to process claims. The
Claims Administrator may request from you or any nominee, custodian or similar person who invested on your behalf additional information
as required to efficiently and reliably verify your claims and calculate your Recognized Loss pursuant to the Settlement’s Plan of Allocation.
In some cases where the Claims Administrator cannot perform the calculation accurately or at a reasonable cost to the Settlement Class
with the information provided, the Claims Administrator may condition acceptance of the Proof of Claim upon the production of additional
information that it may, in its discretion, require to process the claim.

MUST BE RECEIVED
NO LATER THAN
DECEMBER 23, 2013

Pasha S. Anwar, et al. v. Fairfield Greenwich Limited, et al.
Master File No. 09-cv-118 (VM) (FM)
GLOBEOP PROOF OF CLAIM

For Official Use Only

01

Please Type or Print - Use Blue or Black Ink Only
Page 1 of 6

PART I. CLAIMANT IDENTIFICATION - Complete either Section A or B and then proceed to Section C.
A. Complete this Section ONLY if the Investor is an individual, joint, UGMA, UTMA or IRA account. Otherwise, proceed to B.
Last Name (Investor)

First Name (Investor)

Last Name (Joint Beneficial Owner, if applicable)

First Name (Joint Beneficial Owner)

Name of Custodian, if applicable
If this account is an UGMA, UTMA or IRA, please include “UGMA”, “UTMA”, or “IRA” in the “Last Name” box above (e.g., Jones IRA).
B. Complete this Section ONLY if the Investor is an entity; i.e., corporation, trust, estate, etc. Then, proceed to C.
Entity Name
Name of Representative (Executor, administrator, trustee, corporate officer, etc.)

C. Account/Mailing Information: If this information changes, follow the instructions contained in #5 on page 6.
Specify one of the following:
Individual(s)

Corporation

Private Pension Fund

IRA, Keogh

Partnership

Estate

Trust

Other:
Number and Street or P.O. Box
City

State

Zip Code

Foreign Province and Postal Code

Foreign Country

Telephone Number (Day)

Telephone Number (Evening)

E-mail Address*

Account Number

*Email address is not required, but if provided, you authorize the Claims Administrator to use it in providing you with information concerning this claim.

Enter Taxpayer Identification Number below for the Investor(s)1
Social Security or Foreign Taxpayer Identification No.
or

Employer Identification No.

The taxpayer identification number (TIN), consisting of a valid Social Security number (SSN) for individuals or employer identification number (EIN) for
business entities, trusts, estates, etc., (or other foreign taxpayer identification number) and telephone number of the Investor(s) may be used in verifying
this claim.

1

PART I. CLAIMANT IDENTIFICATION - Continued

Electronic Transfer Instructions
If you would like your distribution of Settlement proceeds to be electronically transferred to your bank or custodian, please
provide us with your electronic transfer instructions below. NOTE: Failure to provide electronic transfer information will result in a
physical check being mailed and as a result, electronic transfer will no longer be available.
Bank Name

Bank City/St — Bank Country

Bank Contact

Bank Phone

Bank Account Name
Account Number/IBAN Number

Routing Number/Swift Code

Further Credit To (If Applicable)

Special Instructions or Intermediary Bank Info

PART II: SCHEDULE OF TRANSACTIONS IN LIMITED PARTNERSHIP INTERESTS
If you previously submitted a Proof of Claim form in connection with the FG Settlement, and that Proof of Claim form
(with any supplemental documents or information submitted to the Claims Administrator) is still complete and accurate,
you are not required to complete Part II below or to resubmit supporting documentation.
You may proceed to Part III by checking the box below and identifying your Fairfield Greenwich Settlement Proof of
Claim Number. The Proof of Claim Number is on the postcard mailed to you by the Claims Administrator as
confirmation of receipt of your Fairfield Greenwich Settlement Proof of Claim.
Fairfield Sentry Settlement Proof of Claim Number:
If you did not file a Fairfield Greenwich Proof of Claim or want to resubmit your trading data and supporting
documentation, you need complete the balance of Part II below.
Identify the Fund or Funds below that are the subject matter of this Proof of Claim. If you converted your limited partnership
interests in Greenwich Sentry to limited partnership interests in Greenwich Sentry Partners, you are required to list all trades in
both Funds. If you invested separately in and suffered a Net Loss in more than one Fund, you must submit multiple schedules of
your transactions and holdings. Failure to do so may result in the omission of transactions or holdings from your claim and your
net loss calculation.
Greenwich Sentry, L.P.
A.

Greenwich Sentry Partners, L.P.

Limited Partnership Interests Held as of August 31, 2003:
Number of Investment Interests: ________________.

Page 2 of 6

PART II. SCHEDULE OF TRANSACTIONS IN LIMITED PARTNERSHIP INTERESTS - Continued

B.

Purchases/Investments or Acquisitions of Limited Partnership Interests Between August 31, 2003 and December 10,
2008:
Trade Date
Month Day Year

Total Purchase or
Acquisition Cost

Trade Date (II)
Month Day Year

Total Purchase or
Acquisition Cost (II)

1. ___________________

1. ___________________

1. ___________________

1. ___________________

2. ___________________

2. ___________________

2. ___________________

2. ___________________

3. ___________________

3. ___________________

3. ___________________

3. ___________________

4. ___________________

4. ___________________

4. ___________________

4. ___________________

5. ___________________

5. ___________________

5. ___________________

5. ___________________

C.

Sales or Redemptions of Limited Partnership Interests Between August 31, 2003 and December 10, 2008:
Trade Date
Month Day Year

Number of Shares/Interests
Sold or Redeemed

Trade Date (II)
Month Day Year

Number of Shares/Interests
Sold or Redeemed (II)

1. ___________________

1. ___________________

1. ___________________

1. ___________________

2. ___________________

2. ___________________

2. ___________________

2. ___________________

3. ___________________

3. ___________________

3. ___________________

3. ___________________

4. ___________________

4. ___________________

4. ___________________

4. ___________________

5. ___________________

5. ___________________

5. ___________________

5. ___________________

C.

Limited Partnership Interests Held as of December 10, 2008:
Number of Investment Interests: _________________.

I have obtained the following recovery of the Net Loss that I incurred from my investments in Fund (or mark “None”) (filing a
Proof of Claim form in the FG Settlement is not considered a recovery for these purposes):
None

IF YOU NEED ADDITIONAL SPACE TO LIST YOUR TRANSACTIONS, YOU MUST PHOTOCOPY THESE PAGES,
SIGN AND PRINT YOUR NAME ON EACH ADDITIONAL PAGE AND CHECK THIS BOX
YOU MUST READ THE REPRESENTATIONS AND CERTIFICATION ON PAGES 4 AND 5
AND SIGN THE CERTIFICATION ON PAGE 5.
Page 3 of 6

PART III. REPRESENTATIONS
I ______________________________________ submit this Proof of Claim and attest to the following facts:
1.

I am a GlobeOp Settlement Class Member (as defined in the Notice and Instructions to this Proof of Claim). I

am not one of the Persons excluded from the GlobeOp Settlement Class, nor am I acting on behalf of any such Persons. I
believe that I am eligible to receive a distribution under the Plan of Allocation set forth in the Notice. I have not submitted any
other Proof of Claim in this GlobeOp Settlement covering the same holdings in the Fund(s) and know of no other person having
done so on my behalf.
2.

I hereby submit to the jurisdiction of the United States District Court for the Southern District of New York with

respect to my claim as a Settlement Class Member and for purposes of enforcing the release set forth in any judgments or
orders that may be entered in the Action.
3.

I hereby warrant and represent that I have read the Notice and understand that, pursuant to the GlobeOp

Settlement and through operation of the Final Judgment to be entered by the Court, I shall have fully, finally and forever
released, relinquished and discharged claims against the Released Parties as set forth in the GlobeOp Settlement. I further
acknowledge and agree that I am bound by and subject to the terms of any judgment that may be entered in the Action, including
without limitation, the release of claims against the Released Parties.
4.

I hereby warrant and represent that as to any claim for Net Loss that I am making I have included or had

previously provided information about all of my holdings in the Fund(s) and all of my transactions relating to those holdings in the
Fund(s). I agree to furnish additional information to Plaintiffs’ Lead Counsel (as defined in the Notice) or the Claims
Administrator to support this Proof of Claim if required to do so. I authorize any nominee, custodian or similar person who is the
registered limited partner of record with respect to the limited partnership interest in a Fund for which I am the Owner to disclose
to the Claims Administrator my status as the Owner and information regarding transactions related to my holdings in the Fund.

Page 4 of 6

PART IV. CERTIFICATION
Under penalty of perjury, I hereby certify and represent that:
I am NOT subject to backup withholding under the provisions of Section 3406(a)(1)(C) of the Internal Revenue Code
because: (i) I am exempt from backup withholding; and (ii) I have not been notified by the IRS that I am the subject to backup
withholding as a result of a failure to report all interest or dividends, or the IRS has notified me that I am no longer subject to
backup withholding. If the IRS has notified you that you are subject to backup withholding, please strike out the
language in the preceding sentence indicating that the claim is not subject to backup withholding in the certification
above.
I DECLARE UNDER THE PENALTY OF PERJURY UNDER THE LAWS OF THE UNITED STATES OF AMERICA
THAT ALL OF THE FOREGOING INFORMATION SUPPLIED ON THIS PROOF OF CLAIM FORM BY THE UNDERSIGNED IS
TRUE AND CORRECT. BY EXECUTING THIS CERTIFICATION, I ACKNOWLEDGE AND AGREE TO BE BOUND BY ANY
FINAL JUDGMENT IN THE ACTION RELATING TO THE SETTLEMENT, INCLUDING WITHOUT LIMITATION ANY RELEASE
CONTAINED THEREIN.

Signature of Claimant

Signature of Joint Claimant, if any

Print Name of Claimant

Print Name of Joint Claimant, if any

Date

Date

If claimant is other than an individual, or is not the person completing this form, the following also must be provided:
Signature of Person Completing Form

Print Name of Person Completing Form

Date

Capacity of person signing on behalf of claimant, if other than an individual, e.g., executor, president, custodian, etc.
Page 5 of 6

ACCURATE CLAIMS PROCESSING TAKES A
SIGNIFICANT AMOUNT OF TIME.
THANK YOU FOR YOUR PATIENCE.
REMINDER CHECKLIST:
1.

Please sign the claim form on page 5 above.

2.

Remember to attach supporting documentation for all transactions in the Fund(s).

3.

Keep a copy of your claim form and supporting documentation for your records.

4.

The Claims Administrator will acknowledge receipt of your Proof of Claim by mail or email

within 14 days of receipt. Your claim is not deemed filed until you receive such an acknowledgment. If you do
not receive an acknowledgment within 21 days, please contact the Claims Administrator by telephone toll free
at 1-855-263-3450 or, from non-United States telephones, at 1-612-359-7949 or by email at
[e-mail].
5.

If you move or change your address, telephone number or email address, please submit the

new information to the Claims Administrator, as well as any other information that will assist us in contacting
you. NOTE: Failure to submit updated information to the claims administrator may result in the claim
administrator’s inability to contact you regarding issues with your claim or to deliver a payment to you.

THIS PROOF OF CLAIM MUST BE RECEIVED BY THE CLAIMS ADMINISTRATOR
NO LATER THAN DECEMBER 23, 2013 AT THE FOLLOWING ADDRESS:
Fairfield Greenwich Securities Litigation
c/o Rust Consulting, Inc
P.O. Box 2874
Faribault, MN 55021-8674
(if by regular mail)

Fairfield Greenwich Securities Litigation
c/o Rust Consulting, Inc.
201 Lyndale Ave. S
Faribault, MN 55021
(if by courier)

Page 6 of 6

EXHIBIT B

See more news releases in Banking & Financial Services | Legal Issues

Partial Settlement Reached in Class Action Against GlobeOp Financial Services LLC
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0

NEW YORK, Sept. 30, 2013 /PRNewswire-USNewswire/ -- The following is being released pursuant to Order of the United States
District Court for the Southern District of New York in Anwar v. Fairfield Greenwich Limited, 1:09-cv-00118 (VM).

More by this Source
Prominent Antitrust Attorney,
Kendall S. Zylstra, Joins Rust
Consulting

NOTICE OF PROPOSED PARTIAL SETTLEMENT IN CLASS ACTION AGAINST
GLOBEOP FINANCIAL SERVICES LLC ON BEHALF OF INVESTORS IN
GREENWICH SENTRY. L.P. AND GREENWICH SENTRY PARTNERS, L.P.
FROM OCTOBER 31, 2003 THROUGH SEPTEMBER 1, 2006
(THE PERIOD IN WHICH GLOBEOP ACTED AS ADMINISTRATOR OF THE FUNDS)

Jul 29, 2013, 13:34 ET

SUMMARY NOTICE
TO: All Persons who purchased or held interests in Greenwich Sentry, L.P. or Greenwich Sentry Partners, L.P. (the "Funds") from
October 31, 2003 through September 1, 2006, who were investors in the Funds as of December 10, 2008 and suffered a Net Loss
of principal invested in the Funds.
A federal court authorized this Notice. This is not a solicitation from a lawyer.
YOU ARE HEREBY NOTIFIED, pursuant to an Order of the United States District Court for the Southern District of New York, that
a hearing will be held on November 22, 2013, at 2:30 p.m., before The Honorable Victor Marrero, at the Daniel Patrick Moynihan
United States Courthouse, 500 Pearl Street, New York, New York (the "Court"), for the purpose of determining (1) whether the
proposed settlement of claims against GlobeOp Financial Services LLC ("GlobeOp") for $5,000,000 should be approved by the
Court as fair, reasonable and adequate; (2) whether this Action should be dismissed with prejudice as to GlobeOp and related
persons pursuant to the terms and conditions set forth in the Stipulation dated as of August 27, 2013; (3) whether the proposed
plan to distribute the settlement proceeds is fair, reasonable and adequate and should be approved; and (4) whether the
application of Plaintiffs' Counsel for the payment of attorneys' fees and expenses incurred in connection with the claims and
settlement against GlobeOp should be approved.

Acuerdo para la revisión
independiente de pagos para
ejecuciones hipotecarias está en
marcha
Apr 17, 2013, 12:13 ET

Independent Foreclosure Review
Payment Agreement Underway
Apr 16, 2013, 22:15 ET

View all news by Rust Consulting

Featured Video

If you purchased or held interests in one or both of the Funds from October 31, 2003 through September 1, 2006, and suffered a
Net Loss in principal on your investment, your rights may be affected by this Settlement, including the release and extinguishment
of claims you may possess relating to your ownership interest in the Funds. Net Loss means the total cash investment made by
an investor in the Funds, less the total amount of any redemptions or withdrawals or recoveries by that investor from or with
respect to the Funds.
If you are a member of the Settlement Class, in order to share in the distribution of the Net Settlement Fund, you must submit a
Proof of Claim and Release form that is received no later than December 23, 2013, establishing that you are entitled to recovery.
Hellmann's® To Break Guinness World
Records Title For World's Longest
Picnic Table At Centennial Celebration

If you desire to be excluded from the Settlement Class, you must submit a request for exclusion that is received by October 25,
2013. Any objection to any aspect of the Settlement must be filed with the Court no later than October 25, 2013.
If you wish to receive a detailed Notice concerning the terms of the Settlement or the Proof of Claim and Release form, you may
obtain copies by writing to Fairfield Greenwich Securities Litigation, c/o Rust Consulting, Inc., P.O. Box 2874, Faribault, MN 55021
-8674, or by visiting www.FairfieldGreenwichLitigation.com.

Journalists and Bloggers

DO NOT TELEPHONE THE COURT, THE CLERK'S OFFICE OR ANY OF THE DEFENDANTS OR COUNSEL FOR THE
DEFENDANTS REGARDING THIS NOTICE.
DATED: September 30, 2013

BY ORDER OF THE COURT
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK

SOURCE Rust Consulting

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http://www.FairfieldGreenwichLitigation.com

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