Nominees

If you are a broker, bank, or other nominee that purchased or acquired Brantley Capital Corp. common stock during the period between March 31, 2003 through and including October 24, 2005, inclusive, for the beneficial interest of a person or entity other than yourself, you may have previously provided a list of names and addresses of such beneficial owners in connection with the Class Action involving Brantley Capital Corp.

If you NEITHER previously submitted names and addresses of Potentially Eligible Claimants NOR requested notices to send to Potentially Eligible Claimants, OR if you have names and addresses of Potentially Eligible Claimants that were not included in your previous submission to the Distribution Agent, you MUST submit a request for Notices and Claim Forms or submit the names and addresses of Potentially Eligible Claimants to the Distribution Agent, no later than ten (10) calendar days from receipt of the Notice.

If you are providing a list of names and addresses to the Distribution Agent:

  1. Compile a list of names and addresses of beneficial owners that purchased or acquired Brantley Capital Corp. common stock during the period between March 31, 2003 through and including October 24, 2005, inclusive.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here
  3. Then you must either:
    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      SEC v. Brantley Fair Fund
      Distribution Agent
      PO Box 4234
      Portland, OR 97208-4234
    2. Email the spreadsheet to info@secvbrantleyfairfund.com; or
    3. Upload the spreadsheet here:

If you are mailing the Notice and Proof of Claim Form to beneficial owners:

Request the needed number of copies of the Notice and Claim Form via email to info@secvbrantleyfairfund.com. You must mail the Notice and Claim Form to the beneficial owners within seven (7) calendar days of your receipt of the packets.

If you have any questions, contact the Distribution Agent at info@secvbrantleyfairfund.com or by calling 877-868-8230.

If you are filing electronic claims:

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

Click here to download the Proof of Claim Form.

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

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


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