Nominees

If you are a broker or other nominee who purchased or sold common stock of America West Resources, Inc. (“America West”) on February 23, 2012 and/or February 24, 2012 for the beneficial interest of a person or entity other than yourself, WITHIN TEN (10) CALENDAR DAYS OF YOUR RECEIPT OF THE NOTICE PACKET (the CUSIP for America West common stock was 02365V106), then you must either:

  1. Within ten (10) days after receipt of the Notice Packet, provide to the Distribution Agent the name and last known address of each person or entity, preferably in electronic format (e.g., Excel, csv); or
  2. Request additional copies of the Distribution Plan Notice and the Proof of Claim Form, which will be provided to you free of charge, and within ten (10) days mail the Distribution Plan Notice and the Proof of Claim Form directly to the beneficial owners of the securities defined above.

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

  1. Compile a list of names and addresses of the beneficial owners that purchased or sold America West common stock on February 23, 2012 and/or February 24, 2012.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must do one of the following:

    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      SEC v. John Babikian Fair Fund
      Distribution Agent
      P.O. Box 2995
      Portland, OR 97208-2995

    2. Email the spreadsheet to info@SECvJohnBabikianFairFund.com; or
    3. Upload the spreadsheet here.

If you are mailing the Notice Packet to beneficial owners:

If you elect to mail the Distribution Plan Notice and Proof of Claim Form to beneficial owners yourself, additional copies of the Claims Packet may be requested via email to info@SECvJohnBabikianFairFund.com. If you are providing the Notice Packet to beneficial owners, the mailing must be completed within ten (10) business days of your receipt of the Distribution Plan Notice and Proof of Claim Form from the Distribution Agent. You must also send a statement to the Distribution Agent at the address above confirming that the mailing was made, and you must retain your mailing records for use in connection with any further notices that may be provided in the Action. Failure to timely forward the Distribution Plan Notice and Proof of Claim Form to beneficial owners may affect their legal rights.


Expense Reimbursement:

You are entitled to reimbursement for your reasonable expenses actually incurred in complying with the foregoing, including reimbursement of reasonable postage expenses and reasonable costs of obtaining the names and addresses of beneficial owners, provided you timely submit an invoice to the Distribution Agent. Please submit a copy of your invoice to the Distribution Agent within one month of the completing the mailing or providing the list of names and addresses.


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 using the links 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.