ELECTRONIC FILING INSTRUCTIONS IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION I. Imprtant Ntes PLEASE READ Electrnic claim submissin is available t institutins filing n their wn behalf r n behalf f thers as well as t claim preparers filing n behalf f clients, r t individuals filing a large number f transactins wh have requested r been requested t file claims electrnically. Electrnic claim submissins MUST be accmpanied by all required dcuments as set frth in Sectin IV f these instructins. ALL ELECTRONIC CLAIMS SUBMISSIONS MUST BE ENTERED ON THE TEMPLATE THAT FOLLOWS THESE INSTRUCTIONS. Electrnic claim submissins MUST be submitted in the required frmat, specified in this dcument. Prvide all trade dates in US date frmat (MM/DD/YYYY). Electrnic filers must prvide fr each claim submitted the hlding psitins and transactins in the eligible securities as set frth in Sectin II. NOTE: As set frth in the Prf f Claim Frm that yu are submitting as the Master Prf f Claim fr yur submissin (see Sectin IV 1. belw), a separate claim shuld be submitted fr each separate legal entity. Hwever, if the legal entity that is the beneficial wner f the securities supprting the claim trades thrugh multiple accunts (n matter hw many separate accunts that entity has), all transactins f that beneficial wner thrugh all f its accunts shuld be included in the same claim. Yu MUST prvide in Clumn W f yur submissin the crrect cmplete, unabbreviated name f the beneficial wner(s) f the security supprting each claim. Yur submissin may be rejected if yu d nt prvide this infrmatin. D nt include hnrifics (e.g., Mr., Mrs., Ms., Dr., Capt., Sgt.) and d nt put FBO r the like in frnt f the beneficial wner s name. PLEASE NOTE: A trustee, in that capacity, is nt the beneficial wner f the security; the full name f the trust shuld be entered fllwed by the full name(s) f the trustee(s). A cmma shuld separate the name f the trust and the name(s) f the trustee(s). CLAIM FILING DEADLINE: The claim filing deadline fr this actin is Octber 10, 2018. Any claim received after that date will be late.
II. Eligible Securities 1. Eligible Security: Publicly traded cmmn stck f Virtus Investment Partners, Inc. ( Virtus ). 2. Class Perid: January 25, 2013 thrugh and including May 11, 2015. 3. Electrnic filers MUST prvide fr each claim submitted: (i) (ii) (iii) Beginning hldings: the number f shares f Virtus cmmn stck held as f the pening f trading n January 25, 2013. Each and every purchase/acquisitin f Virtus cmmn stck frm after the pening f trading n January 25, 2013 thrugh the clse f trading n May 11, 2015. Purchases/Acquisitins f Virtus cmmn stck frm May 12, 2015 thrugh and including the clse f trading n August 7, 2015. (Purchases during this perid are nt eligible under the Settlement and will nt be used fr purpses f calculating the Recgnized Claim amunt pursuant t the Plan f Allcatin. The infrmatin is necessary in rder t balance the claim.) (iv) Each and every sale f Virtus cmmn stck frm after the pening f trading n January 25, 2013 thrugh the clse f trading n August 7, 2015. (v) Ending Hldings: the number f shares Virtus cmmn stck held as f the clse f trading n August 7, 2015. III. Methds f Submissin Electrnic files will nt be deemed submitted unless the Claims Administratr sends yu an email acknwledging receipt f yur file. D nt assume that yur file has been received until yu receive this email. If yu d nt receive such an email within 10 days f yur submissin, yu shuld cntact the electrnic filing department at eclaim@chsegcg.cm t inquire abut yur file and cnfirm it was received. The fllwing methds are available fr submitting electrnic claims: 1. INTERNET GCG ICE (www.gcgice.cm) GCG ICE is GCG's secure and user-friendly website designed t meet the claim filing needs f institutinal investrs and claim preparers 1 in securities class actins and similar administratins. Using GCG ICE, registered users have the ability t uplad their electrnic claim submissins directly and securely t GCG and the benefit f being able t view the histry and status f these submissins 24 hurs a day, 7 days a week. The histry and status functinality features access t claim numbers and specific claim rejectin reasns, with instructins n hw t fix rejected claims. 1 Althugh GCG ICE was nt designed fr individuals, if yu are an individual with a large number f transactins wh requests r is requested t file claims electrnically yu may use this feature t file claims. Please cntact the Electrnic Filing Department fr further infrmatin related t using GCG ICE. 2 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
Please visit www.gcgice.cm t register tday s that yu can benefit frm this service in this settlement as well as ther, future settlements. 2. EMAIL Yu may email yur electrnic claim submissin t eclaim@chsegcg.cm. If yu chse t email yur file, yu MUST als attach all required dcumentatin t the email as.pdf dcuments r equivalent. 3. MAIL Yu may send yur electrnic claim submissin in the mail n a disk r CD alng with all required dcumentatin. Use the P.O. Bx address n tp f page 1 f the Prf f Claim and Release and add Attn: Electrnic Filing Department. If yu need t send yur submissin via Federal Express r UPS, use the belw street address: IV. Dcumentatin Requirements IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION c/ GCG Attn: Electrnic Filing Department 5151 Blazer Parkway, Suite A Dublin, OH 43017 The required dcumentatin utlined belw must be submitted with yur electrnic file. Yur electrnic claims will nt be eligible fr cnsideratin until all required dcuments are received. Please nte that ne single dcument may meet mre than ne requirement. 1. ONE SIGNED PROOF OF CLAIM AND RELEASE Yu must cmplete the Claimant Infrmatin Page, (Part I, Page 2) and Release f Claims and Signature Page, (Part IV, Pages 5 and 6) f a single Prf f Claim and Release frm, which will serve as an "umbrella" r master claim frm fr all claims in yur electrnic file. The claim frm must be signed by an authrized signatry wh is als listed n yur signature verificatin dcument and state the capacity (jb title) f the signatry. Yu may reference the term "Varius Beneficial Owners" fr the beneficial wner name if yu are filing n behalf f multiple beneficial wners. Hwever, as nted abve, the crrect cmplete unabbreviated name f each beneficial wner (withut hnrifics) MUST be prvided fr each claim in yur electrnic claim submissin. 3 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
2. SIGNATURE VERIFICATION DOCUMENT If yu are an institutin filing n yur wn behalf r n behalf f ther beneficial wners r a claim preparer filing n behalf f beneficial wners, yu must prvide a dcument verifying that the individual wh signed the claim frm and any supplemental dcuments is authrized t sign n yur behalf. Sme cmmn types f dcuments that fulfill this requirement include the fllwing (this list is nt exclusive and nn-us entities may have different dcuments that fulfill this requirement. If yu are a nn-us entity, yu must submit an equivalent dcument): - Cpy f filer s By-Laws, including signature page(s) - Cpy f filer s Crprate Reslutin, including signature page(s) - Ntarized Affidavit signed by an fficer f the filing institutin r cmpany clearly granting a specific individual(s) authrizatin r cnfirming his/her authrity t sign n behalf f his/her institutin r cmpany. 3. DATA VERIFICATION DOCUMENT(S) If yu are an institutin filing n yur wn behalf r n behalf f ther beneficial wners r a claim preparer filing n behalf f beneficial wners, yu must prvide a ntarized affidavit r signed letter n yur firm s letterhead which meets the belw criteria: - Cnfirms the number f distinct claims and transactins in yur file - Sets frth the surce f the data fr each claim included in yur file - Attests t the truth and accuracy f the data fr each claim in yur file - Is executed by an authrized signatry wh is listed n yur firm s signature verificatin dcument, and specifies bth the capacity and cntact infrmatin f that signatry. 4. AUTHORIZATION DOCUMENT (IF FILING ON BEHALF OF CLIENTS OR CUSTOMERS) If yu are an institutin r claim preparer filing n behalf f beneficial wners ther than yurself, yu must prvide a current dcument verifying that yu are authrized t file and sign claims n behalf f the beneficial wners f the securities. Sme cmmn types f dcuments that fulfill this requirement include the fllwing (this list is nt exclusive and nn-us entities may have different dcuments that fulfill this requirement. If yu are a nn-us entity, yu must submit an equivalent dcument): - Pwer f Attrney - Service Agreement - Signed/dated letter n client's cmpany letterhead specifically granting yur cmpany authrity t file/sign claims n their behalf - Ntarized affidavit r signed letter n yur cmpany's letterhead cnfirming yur authrity t file and sign claims n behalf f each client fr whm yu filed a claim. It must be executed by an fficer f the cmpany wh is als listed n yur signature verificatin dcument and reference the capacity and cntact infrmatin f the signatry. 4 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
ADDITIONAL DOCUMENTATION (IF REQUESTED) - DATA INTEGRITY AUDIT GCG may request filers, as deemed apprpriate by GCG and/r Lead Cunsel, wh file claims electrnically t prvide additinal dcumentatin t supprt the claims submitted. This data integrity audit is designed t verify the verall integrity f a data file. Accrdingly, yu must prvide all the requested dcumentatin and the dcumentatin prvided must be independent in nature. Even if yu prvided a letter/affidavit attesting t the truth and accuracy f the data yu initially submitted with yur electrnic file, we will require specific dcumentary evidence, which may include trade cnfirmatins, mnthly statement, r equivalent, t independently verify the details f transactins and/r hlding psitins, if yur file is selected fr a data integrity audit. *FAILURE TO COMPLY WITH THIS AUDIT REQUEST WILL RESULT IN THE REJECTION OF ALL CLAIMS ON YOUR ELECTRONIC SUBMISSION* V. Electrnic Filing Ntes ADDRESSES Claims and checks (if the claim is eligible) will be created based n the infrmatin prvided n yur electrnic file. If yu require checks t be made ut directly t the beneficial wner but still sent t yur cmpany, please include a c/ befre yur cmpany name in Clumn A f yur file. If yu require checks t be mailed t sme ther party (i.e. directly t the custdian bank fr each beneficial wner r directly t the beneficial wner), please include their name in the Cmpany Name field f the file, but include yur name in the Submitting Filer s Name field (Clumn W). If yu require checks be made ut directly t the beneficial wner, d nt include any cmpany name in the Cmpany Name field (Clumn A) f the file. Fr freign addresses, the tw character cuntry cde must be prvided in Clumn H, all address infrmatin (including full cuntry names and prvinces) must be included in the tw address fields (Clumns B-C), and the city, state, zip fields (Clumns D-G) shuld be left blank. If yu are a third-party claim preparer filing n behalf f clients wh represent the beneficial wner f the securities, yu must prvide the cmplete name f yur client in Clumn T f yur electrnic claim submissin. SECURITIES All transactins and hlding psitins must reference an apprpriate security identifier (CUSIP, ISIN, r SEDOL) in Clumn K f yur file. All securities fr each accunt must balance. This means that the beginning hldings plus purchases (including free receives) during the Class Perid plus purchases during the 90 day lkback perid MUST EQUAL ttal sales (including free delivers) during the Class Perid plus the ending/unsld hldings. 5 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
Negative values may nly be given fr beginning and ending/unsld hldings (transactin type U ). All ther transactins must reflect psitive values. TRANSFERS Free receive/free deliver (transfer in/ut) transactins must be included in the claim data as this infrmatin is necessary in rder fr the claim t balance. Please nte, free receives are nt eligible fr payment and will nt be included in the calculatin f the claim unless the shares received were purchased during the Class Perid and yu prvide the riginal purchase infrmatin fr these shares. A free receive r transfer in must be reflected as a transactin type R and a free deliver r transfer ut must be reflected as a transactin type D (prices and net amunts must be zer). VI. Required Filing Frmat GENERAL INSTRUCTIONS Files shuld be submitted as an Excel spreadsheet. All fields in the belw frmat must be included n yur file. Any fields that d nt apply t the claims yu submitted must be left blank (d nt delete any fields). Yur file must include ne header rw with each f the clumn headings specified belw. Yur file must be srted in the fllwing rder: cmplete crrect name f the beneficial wner f the securities supprting the claim security identifier transactin type If a maximum character length fr any field is specified, d nt exceed the limit. D nt leave any blank rws n yur file. Any files nt in accrdance with the belw frmat are subject t rejectin. Fr Excel spreadsheets: Whenever pssible, yur file shuld be limited t ne tab that cntains all the fields listed belw The Length clumn in the belw frmat specifies the maximum number f characters fr each Excel field as t which a maximum character number applies Please cntinue t next page fr Required File Layut. 6 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
REQUIRED FILE LAYOUT COL FIELD START LENGTH NOTES POSITION A Cmpany Name 1 40 Name f Cmpany fr Mailing f Checks (see Address Ntes abve) Include a c/ befre yur cmpany name if yu require checks made ut t the beneficial wner c/ yur cmpany. Include an FBO (r similar wnership acrnym) after yur cmpany name if yu require checks t be made ut t yur cmpany fr the benefit f the beneficial wner B Address 1 41 40 Address 1 Infrmatin fr Mailing f Checks (see Address Ntes abve) C Address 2 81 40 Address 2 Infrmatin fr Mailing f Checks (see Address Ntes abve) D City 121 30 City fr Mailing f Checks (see Address Ntes abve) E State 151 2 2 Character State Abbreviatin fr Mailing f Checks (see Address Ntes abve) F Zip5 153 5 5 Digit Zip fr Mailing f Checks (see Address Ntes abve) G Zip4 158 4 4 Digit Zip fr Mailing f Checks (see Address Ntes abve) H Cuntry Cde 162 2 2 character Cuntry abbreviatin (nly fr freign addresses) I Shrt beneficial wner name 164 40 Shrt Name f Beneficial Owner, fr printing/mailing purpses Yu MUST als prvide the crrect, cmplete, unabbreviated name f the beneficial wner in Clumn W f yur submissin J K L Accunt Number(s) f Beneficial Owner Security Identifier Number Transactin Type 204 70 List the numbers f all the accunts thrugh which the beneficial wner trades 274 14 CUSIP, ISIN, r SEDOL Number f the Security 288 2 B = Beginning Hldings P = Purchase (includes purchases t cver shrt sales) S = Sale (includes shrt sales) U = Unsld (Ending) Hldings R = Free Receipt (transfer in) D = Free Deliver (transfer ut) Nte: When inputting beginning and unsld hldings, the trade date clumn must indicate the hlding date. Price per share and net amunt clumns must be left blank. M Trade Date 290 10 Trade date in MM/DD/YYYY frmat (including freign entities) N Quantity 300 20 Number f shares assciated with this transactin (this value can ONLY be negative fr shrt beginning r ending hldings psitins) O Price Per Share 320 20 Price f each Share This clumn shuld be blank ONLY when prviding beginning r ending hldings r shares invlved in a receipt r deliver. 7 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION
P Aggregate Cst / Amunt Received 340 20 Ttal value f the transactin (excluding cmmissins, taxes, and fees); This clumn shuld be blank ONLY when prviding beginning r ending hldings r shares invlved in a receipt r deliver. Q Currency Type 360 3 Type f currency assciated t transactin (USD, EUR, GBP, etc.) R Exercise / Assign / Expiratin Flag 363 1 A = Assigned, E = Exercised This clumn must be used if the cmmn stck transactin is the result f the exercise r assignment f an ptin. S Time Stamp 364 8 Time f day, New Yrk Time, fr the transactin in questin. Must be prvided in HH:MM:SS frmat The timestamp is required fr transactins n September 3, 2014 and Nvember 14, 2014 T U V W Submitting Filer s Client Name(s) Submitting Filer s Name Beneficial Owner s SSN r Tax ID Number Cmplete Beneficial Owner Name 372 20 If yu are a third-party claim preparer filing n behalf f clients either: (i) fr the client as beneficial wner (in which case the entry in this field will be the same as the entry in Field I); r (ii) fr a client which represents the beneficial wner(s), prvide the cmplete name f yur client in this clumn 392 20 Name f filer submitting electrnic claim 412 4 Last fur digits f Scial Security Number r Tax ID Number f beneficial wner (leave clumn blank fr freign entities) 416 n/a Full Name f Beneficial Owner MUST be the crrect, cmplete, unabbreviated name f the beneficial wner. D nt include hnrifics, e.g., Mr., Mrs., Ms., Dr., Capt., Sgt. and d nt put FBO r the like in frnt f the beneficial wner s name. Please nte: A trustee, in that capacity, is nt the beneficial wner f the security; the full name f the trust shuld be entered fllwed by the name(s) f the trustee(s). A cmma shuld separate the name f the trust and the name(s) f the trustee(s). YOUR SUBMISSION MAY BE REJECTED IF THIS INFORMATION IS NOT INCLUDED 8 IN RE VIRTUS INVESTMENT PARTNERS, INC. SECURITIES LITIGATION