Hearing Date: November 16, 2011 at 3:30 p.m. (Prevailing Eastern Time) 

James B. Kobak, Jr.

Christopher K. Kiplok 

Josiah S. Trager 

Meaghan C. Gragg 

HUGHES HUBBARD & REED LLP 

One Battery Park Plaza 

New York, New York 10004 

Telephone: (212) 837-6000 

Facsimile: (212) 422-4726 

Attorneys for James W. Giddens, 

Trustee for the SIPA Liquidation of MF Global Inc. 

UNITED STATES BANKRUPTCY COURT 

SOUTHERN DISTRICT OF NEW YORK

In re 

MF GLOBAL INC., 

Debtor. 

Case No. 11-2790 (MG) SIPA 

TRUSTEE’S EXPEDITED APPLICATION FOR ENTRY OF AN ORDER 

ESTABLISHING PARALLEL CLAIMS PROCESSES FOR COMMODITY FUTURES 

CUSTOMER AND SECURITIES CUSTOMER CLAIMS; APPROVING FORM AND 

MANNER OF PUBLICATION AND MAILING OF NOTICE OF COMMENCEMENT; 

SPECIFYING PROCEDURES AND FORMS FOR FILING, INFORMAL AND FORMAL 

DETERMINATION, AND ADJUDICATION OF CLAIMS; 

FIXING A MEETING OF CUSTOMERS AND OTHER CREDITORS; 

AND FIXING INTERIM REPORTING PURSUANT TO SIPA

James W. Giddens (the “Trustee”), as Trustee for the liquidation of the business 

of MF Global Inc. (“MFGI” or the “Debtor”) under the Securities Investor Protection Act of 

1970, as amended (“SIPA”), 15 U.S.C. § 78aaa et seq., by and through his undersigned counsel, 

respectfully requests entry of an order (1) establishing parallel claims processes for commodity 

futures customer and securities customer claims; (2) approving the form and manner of the 

publication and mailing of the notice of commencement of this proceeding; (3) specifying 

procedures and forms for the filing, determination, and adjudication of claims; (4) fixing a 

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meeting of customers and other creditors; and (5) fixing an interim reporting procedure pursuant 

to SIPA. In support of this expedited application, the Trustee respectfully states as follows: 

Preliminary Statement

1. The complexity and size of MFGI’s business operations as a U.S. brokerdealer and futures commission merchant (“FCM”) give rise to the unprecedented nature of this 

SIPA liquidation. For the benefit of MFGI’s former customers, and in furtherance of the 

Trustee’s statutory mandate to promptly satisfy customer claims and liquidate MFGI in an 

orderly fashion, the expedited claims procedure proposed by the Trustee, as outlined in this 

expedited application, will facilitate the Trustee’s ability to receive, process and make 

determinations on the thousands of claims that the Trustee expects to receive from MFGI’s 

former customers and other creditors and to allow claimants to monetize their claims in the 

market. 

2. The Trustee proposes to establish separate, parallel, customer claims 

processes, one for MFGI’s commodity futures customers, and the other for its securities 

customers, as well as an additional claims process for MFGI’s general creditors. The Trustee, 

with this Court’s approval, will follow the procedures prescribed in SIPA for determining claims 

and making payments to securities customers, and, to the extent not inconsistent with SIPA, will 

utilize the procedures prescribed in the Commodity Broker Liquidation Provisions and the Part 

190 Regulations (as those terms are defined herein) for determining claims and making 

distributions to commodity futures customers, with the goal and full intention of making an 

interim distribution to customers, if feasible. General creditor claims will be treated in 

accordance with the Bankruptcy Code and SIPA. 

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3. This expedited application is an important and necessary procedural step 

toward accomplishing the prompt and efficient return of customer property. It is without 

prejudice to additional alternative efforts to return customer property—such as the emergency 

bulk transfer of open commodity contracts and partial collateral that was approved during the 

first days following the commencement of MFGI’s liquidation. The Trustee continues to 

investigate and explore all alternatives in consultation with the Securities Investor Protection 

Corporation (“SIPC”) and the U.S. Commodity Futures Trading Commission (“CFTC”), and, if 

feasible, based on the relatively poor state of the Debtor’s books and records and discussions 

with regulators, among other things, the Trustee may request to be before this Court again 

seeking authority to effect a further distribution or transfer to customers. 

4. The two parallel expedited customer claims proceedings will advance and 

streamline the review, determination and distribution process, and help to facilitate potential 

interim distributions to customers, insofar as the pool of customer property subject to pro rata 

distribution to commodity futures customers is separate and distinct from the pool of customer 

property subject to pro rata distribution to securities customers (and only securities customers 

may be eligible for SIPC advances). 

5. Although separate, many procedural aspects of the two customer claims 

proceedings will overlap as a result of practical considerations and similar procedural 

requirements under SIPA, the Commodity Broker Liquidation Provisions and the Part 190 

Regulations. For example, as soon as practicable following the entry of a Court order approving, 

among other things, the form and manner of the publication and mailing of the notice of 

commencement of this proceeding and specifying procedures and forms for the filing, 

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determination, and adjudication of claims, the Trustee and his professionals will take action to 

effectuate the following: 

a. Promptly making claim forms and instructions available for 

download on the Trustee’s website, 

www.mfglobaltrustee.com, to enable claimants to 

download and submit completed claim forms promptly by 

mail to the Trustee, and strongly encouraging customers 

with claims to do so in order to expedite the claims process; 

b. Publication and mailing of the notice of commencement of 

this proceeding along with claim forms and instructions to 

all potential claimants identified in MFGI’s books and 

records; 

c. Prompt review of claims, on a rolling basis, as they are 

filed, and communication with individual claimants by 

telephone and email to answer questions and obtain 

threshold information that is missing from a customer’s 

filed claim and supporting documentation, which may be 

necessary to evaluate claims and facilitate a potential 

interim distribution to customers; 

d. Determination of claims, and resolution of disputes with 

claimants who may object to the Trustee’s determination, 

by working with such claimants on an informal and 

cooperative basis, and, as necessary, following formal 

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procedures for obtaining a hearing before this Court, as set 

forth more fully below in this application; and 

e. Distributions of customer property and general estate 

property, including—to the extent legally and practicably 

possible—interim distributions of customer property, to 

satisfy allowed customer claims. 

6. During the first two weeks since the commencement of MFGI’s 

liquidation, the Trustee has made, and continues to make, all possible efforts to communicate 

with potential claimants and respond to the thousands of inquiries that already have been 

received by the Trustee and his professionals by, among other things, establishing a dedicated 

call center to address inquiries regarding the proceeding, as well as posting frequent and timely 

notices of relevant information on the Trustee’s website. We understand that, as of the filing of 

this expedited application, the Trustee’s website is receiving, on average, approximately 10,000 

unique users per day and the telephone call center that the Trustee established has received 

approximately 4,000 calls per week. In furtherance of these efforts to communicate with and 

provide information to customers and creditors, the Trustee also seeks in this application Court 

approval to fix a meeting of customers and creditors and to fix a time for interim reports to 

provide, among other things, information about the customer claims process and the SIPA 

liquidation generally. 

7. The procedures proposed by the Trustee in this expedited application, as 

set forth more fully in detail below, are intended to result in the allowance of meritorious claims 

and distributions to MFGI’s customers and general creditors as quickly as legally and practicably 

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possible, including partial distribution in interim stages. The Trustee is committed to working 

with claimants on a cooperative basis to achieve this result. 

Background

8. On October 31, 2011 (the “Filing Date”), the Honorable Paul A. 

Engelmayer, United States District Court for the Southern District of New York, entered an 

Order (the “MFGI Liquidation Order”) commencing liquidation of MFGI pursuant to the 

provisions of SIPA in the case captioned Securities Investor Protection Corp. v. MF Global Inc., 

Case No. 11-CIV-7750 (PAE). 

9. The MFGI Liquidation Order, inter alia: (i) appointed James W. Giddens 

as Trustee for the liquidation of the business of MFGI pursuant to SIPA § 78eee(b)(3); (ii) 

appointed Hughes Hubbard & Reed LLP counsel to the Trustee pursuant to SIPA § 78eee(b)(3); 

and (iii) removed the case to this Court as required by SIPA § 78eee(b)(4) (the “SIPA 

Proceeding”). (MFGI Liquidation Order ¶¶ II, IX.) 

10. Consistent with a trustee’s statutory mandate under subchapter IV of 

chapter 7 of title 11 of the United States Code (the “Bankruptcy Code”), 11 U.S.C. §§ 761-767 

(the “Commodity Broker Liquidation Provisions”), as supplemented by the Commodity 

Exchange Act (“CEA”), 7 U.S.C. §§ 1 et seq., and the regulations promulgated by the CFTC 

thereunder, 17 C.F.R. §§ 190.01 through 190.10 (the “Part 190 Regulations”), made applicable in 

this SIPA Proceeding under SIPA § 78fff-1(b), and working in cooperation with SIPC, the 

CFTC, the U.S. Securities and Exchange Commission (“SEC”), former MFGI personnel, and 

numerous derivatives clearing organizations (“DCOs”), including the Chicago Mercantile 

Exchange (“CME”) and others, the Trustee has, since the Filing Date, effected the transfer of 

approximately three million open commodity contracts in approximately 17,000 customer 

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accounts, along with approximately $1.55 billion in collateral (the “Transfers”) to twelve or 

more futures commission merchants (“FCMs”) in accordance with this Court’s Order entered on 

November 2, 2011, approving the Transfers (the “Transfer Order,” ECF No. 14). 

11. The effectuation of the Transfers is a testament to the extraordinary 

efforts, hard work, and dedication of the professionals and regulators involved, particularly given 

the exigent circumstances they faced, including the large volume and variety of types of 

customer commodity contracts carried by MFGI as of the Filing Date, and the consequent lack of 

any single FCM that would be willing and able to accept the entirety of MFGI’s open customer 

commodity positions. 

12. As required under the Commodity Broker Liquidation Provisions and the 

Part 190 Regulations, the Trustee has begun to administer the orderly liquidation of customer 

commodity accounts that were not transferred by 5:00 p.m. on November 11, 2011.1

 See 17 

C.F.R. § 190.02(f)(1). The Trustee intends to allow commodity futures customers to re-acquire 

“specifically identifiable property” as defined in 17 C.F.R. § 190.01(kk), subject to certain 

conditions, to the extent legally possible, and to satisfy the claims of commodity futures 

customers for their “net equity,” as defined in 17 C.F.R. §§ 190.01(aa) and 190.07(b), by 

allocating and making distributions, pursuant to Bankruptcy Code § 766(h) and 17 C.F.R. 

§ 190.08, of “customer property,” as defined in Bankruptcy Code § 761(10) and 17 C.F.R. 

§§ 190.01(n) and 190.08(a). 

 

1. Pursuant to the Part 190 Regulations, the Trustee was obligated to commence liquidation of non-transferred 

open commodity contracts beginning after the close of business on Friday, November 4, 2011 (the last day that 

such transfers are expected to be concluded). Pursuant to 17 C.F.R. § 190.10(b), the Trustee sought, for good 

cause shown—and the CFTC did not object to the granting of—an extension of the time limit set forth in 17 

C.F.R. § 190.02(e)(1) for effecting the transfers, such that the liquidation did not commence at that time, to give 

the Trustee additional time to effect the transfers.

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13. In addition, the Trustee, in furtherance of his statutory mandate under 

SIPA to facilitate the prompt satisfaction of customer claims and the orderly liquidation of 

MFGI, is actively seeking to find SIPC-member firms that are willing and able to accept the bulk 

transfer of some or all of the approximately 450 customer securities accounts of MFGI, as 

provided in SIPA § 78fff-2(f). The securities claims procedures set forth herein will be applied 

to the extent that accounts cannot be transferred because of the lack of willing and appropriate 

transferees. 

Proposed Parallel Claims Procedures for 

Securities Customers and Commodity Futures Customers

14. To the extent consistent with the provisions of SIPA, a liquidation 

proceeding is to be conducted in accordance with, and as though it were being conducted under, 

chapters 1, 3, 5, and 7 of the Bankruptcy Code, and a SIPA trustee has all of the duties of a 

trustee in a chapter 7 liquidation. 15 U.S.C. §§ 78fff(b) & 78fff-1(b). This includes the duties of 

a trustee liquidating a commodity futures merchant to the extent not inconsistent with SIPA. 15 

U.S.C. § 78fff-1(b). The following proposed claims procedures comply with the requirements of 

SIPA and the CFTC’s Part 190 Regulations, and are designed to determine and resolve claims 

against MFGI’s estate speedily and fairly.

Notice of Commencement

15. SIPA § 78fff-2(a)(1) provides that, promptly after appointment, a trustee 

shall cause notice of the commencement of proceedings to be published in one or more 

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newspapers of general circulation in the form and manner determined by the Court.2 In that 

regard, the Trustee requests that this Court enter an order approving the form of notice of 

commencement attached as Exhibit A (the “Notice of Commencement”) and directing the 

Trustee to publish such notice no later than November 28, 2011 in the following newspapers: 

 The New York Times, all editions; 

 The Wall Street Journal, all editions; 

 The Financial Times, all editions; and 

 The Chicago Tribune, all editions. 

16. SIPA § 78fff-2(a)(i) further provides that a trustee shall cause notice of 

commencement of a SIPA proceeding to be mailed to each person who, on the books and records 

of the debtor, appears to have been a customer of the debtor with an open account within the past 

twelve months, at the address of such person as it appears on the debtor’s books and records, and 

to other creditors of the estate as determined from the debtor’s books and records. In addition, 

Bankruptcy Code § 765(a) and the Part 190 Regulations require a trustee to “promptly notify 

each customer of record in writing that an order for relief has been entered and must instruct 

each such customer to file a proof of customer claim.” 17 C.F.R. § 190.02(b)(4). Based on the 

Trustee’s investigation to date, there may be approximately 100,000 potential customer and 

creditor claims. The Trustee requests that this Court enter an order directing the mailing of the 

Notice of Commencement no later than November 28, 2011 to persons who, as identified from 

the Debtor’s books and records, may potentially assert claims as securities customers, 

 

2. The Part 190 Regulations have no corresponding requirement for newspaper publication of the Notice of 

Commencement. 

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commodity futures customers, or general creditors, and finding that such mailing complies with 

SIPA § 78fff-2(a)(i) and Bankruptcy Code § 765(a) and 17 C.F.R. § 190.02(b)(4). In addition, 

the Trustee will promptly make claim forms and instructions available for download on the 

Trustee’s website, www.mfglobaltrustee.com, to enable claimants to download and submit 

completed claim forms promptly by mail to the Trustee. 

Claims Period and Bar Date for Securities Customers and General Claimants

17. SIPA § 78fff-2(a)(3) provides that no claim of a customer or other creditor 

of the debtor which is received by the trustee after the expiration of the six-month period 

beginning on the date of publication of the Notice of Commencement shall be allowed, except 

that the Court may, upon application within such period and for cause shown, grant a reasonable 

fixed extension of time for the filing of a claim by the United States, by a state or political 

subdivision thereof, or by an infant or incompetent person without a guardian. 

18. Further, and also pursuant to SIPA § 78fff-2(a)(3), any net equity claim of 

a securities customer which is received by the Trustee after the expiration of such period of time 

as may be fixed by the Court (not exceeding sixty days after the date of publication of the Notice 

of Commencement) need not be paid or satisfied in whole or in part out of customer property, 

and, to the extent such claim is satisfied from monies advanced by SIPC, it shall be satisfied in 

cash or securities (or both) as the Trustee determines is most economical to the estate. 

19. To expedite distributions to all customers and in keeping with SIPA, the 

Trustee respectfully requests that the Court enter an order fixing a sixty-day time period from the 

date of publication and mailing of notice for the filing of securities customer claims for net 

equity under SIPA to be entitled to the maximum possible protection under SIPA, and fixing a 

six-month deadline for the filing of any general claims, including those securities customer 

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claims filed after the sixty-day period of maximum SIPA protection. No claim of any kind will 

be considered if it is received after the six-month period. 

20. Accordingly, and for the avoidance of doubt, based upon the proposed 

November 28, 2011 mailing date for the Notice of Commencement and related claims filing 

information, the Trustee requests that (i) the bar date for the maximum possible protection for 

securities customer claims under SIPA be So Ordered as January 27, 2012 and (ii) the bar date 

for all securities customer claims or general creditor claims be So Ordered as May 28, 2012.

3

Claims Period and Bar Date for Commodity Futures Customers

21. The Part 190 Regulations direct a trustee to set forth a bar date in the 

commodity futures customer claim form. 17 C.F.R. § 190.02(d). 

22. To expedite distributions to all customers and in keeping with the 

Commodity Broker Liquidation Provisions and the Part 190 Regulations, the Trustee respectfully 

requests that the Court enter an order fixing a sixty-day time period from the date of publication 

and mailing of notice for the filing of commodity customer claims for net equity under the 

Commodity Broker Liquidation Provisions, the Part 190 Regulations, and SIPA § 78fff-1(b). 

23. Accordingly, and for the avoidance of doubt, based upon the proposed 

November 28, 2011 mailing date for the Notice of Commencement and related claims filing 

information, the Trustee requests that the bar date for the claims of commodity futures customers 

 

3. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing 

information occurs prior to November 28, 2011, the January 27, 2012 and May 28, 2012 bar dates So Ordered 

by the Court will remain in full force and effect. 

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be So Ordered as January 27, 2012.

4

 The January 27, 2012 deadline for filing a commodity 

futures customer claim may, only for good cause shown, be extended, but, under no 

circumstance will any extension be granted beyond the expiration of the six-month general 

creditor claim period on May 28, 2012, regardless of cause. In keeping with the proposed 

parallel processes for securities claimants, claims of commodity futures customers received after 

the sixty-day period but before the May 28, 2012 expiration of the six-month general creditor 

claim period, may be afforded general creditor status. 

Filing of Claims

24. SIPA § 78fff-2(a)(2) provides that claims against the debtor shall be filed 

with the trustee. Likewise, the Part 190 Regulations at 17 C.F.R. § 190.02(d) require that each 

customer be instructed to file a customer claim with the Trustee. The Trustee requests that this 

Court enter an order directing that all claims against the Debtor in this proceeding be filed with 

the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified 

mail, return receipt requested, through the Trustee’s claims agent, Epiq Bankruptcy Solutions, 

LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq 

Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via 

overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq 

Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005. 

 

4. For the avoidance of doubt, even if the mailing of the Notice of Commencement and related claims filing 

information occurs prior to November 28, 2011, the January 27, 2012 bar date So Ordered by the Court will 

remain in full force and effect. 

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Trustee’s Determinations of Claims and Efforts to Make Determinations Promptly

25. As set forth above, to the extent consistent with the provisions of SIPA, a 

liquidation proceeding is to be conducted in accordance with, and as though it were being 

conducted under, chapters 1, 3, 5, and 7 of the Bankruptcy Code, and a SIPA trustee has all of 

the duties of a trustee in a chapter 7 liquidation. 15 U.S.C. §§ 78fff(b) & 78fff-1(b). Bankruptcy 

Code § 704(5) requires a trustee to examine claims and object to the allowance of any claim that 

is improper. 

26. The Trustee, his professionals, and employees of SIPC will analyze 

customer claims and accounts. They will compare the claims against the books and records of 

the Debtor and other sources. They will communicate with claimants by telephone and email, to 

the extent practicable, to obtain any threshold information that is missing from a claimant’s filed 

claim form and supporting documentation, which may be necessary to evaluate the claim and 

facilitate a potential interim distribution to customers. In this case, the Trustee intends to devote 

significant resources to obtaining information and resolving claims consensually and as promptly 

as possible. 

Deficiency Notices

27. In addition to reaching out to claimants by telephone and email, claimants 

who file a deficient claim will also receive a Notice of Deficiency of Claim, substantially in the 

form attached as Exhibit E hereto, requesting that the claimant provide the specified information 

or documents within thirty days of the date of the Notice of Deficiency, and notifying the 

claimant that failure to provide the requested information or documents is grounds for denial of 

the claim. 

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28. The Trustee requests that this Court approve the Notice of Deficiency of 

Claim in substantially the same form as Exhibit E hereto. 

Satisfaction of SIPA Securities Claims

29. In order to expedite the protection of securities customers of the Debtor 

under SIPA, the Trustee requests that the Court enter an order approving the procedures for 

payments to customers prescribed in SIPA § 78fff-2(b) which provides in relevant part that: 

[T]he court shall, among other things— 

(1) with respect to net equity claims, authorize the trustee 

to satisfy claims out of moneys made available to the 

trustee by SIPC notwithstanding the fact that there has not 

been any showing or determination that there are sufficient 

funds of the debtor available to satisfy such claims; and 

(2) with respect to claims relating to, or net equities based 

upon, securities of a class and series of an issuer which are 

ascertainable from the books and records of the debtor or 

are otherwise established to the satisfaction of the trustee, 

authorize the trustee to deliver securities of such class and 

series if and to the extent available to satisfy such claims in 

whole or in part, with partial deliveries to be made pro rata 

to the greatest extent considered practicable by the trustee. 

30. As part of this distribution procedure, the Trustee intends to deliver to 

securities customers “customer name securities,” as defined in SIPA § 78lll(3), where legally 

possible, and to satisfy the claims of securities customers for their “net equity,” as defined in 

SIPA § 78lll(11), by distributing on a ratable basis securities of the same class or series of issue 

on hand as “customer property,” as defined in SIPA § 78lll(4), and, if necessary, by distributing 

cash from such customer property or cash advanced by SIPC, or purchasing securities for 

customers as provided in SIPA § 78fff-2(d). 

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Satisfaction of Commodity Futures Claims

31. Further, in order to expedite the protection of commodity futures 

customers of the Debtor under the Commodity Broker Liquidation Provisions, the Part 190 

Regulations, and SIPA § 78fff-1(b), the Trustee will utilize the calculation of net equity for 

commodity futures customers prescribed in 17 C.F.R. § 190.07 (“Calculation of allowed net 

equity”) and employ the procedures prescribed in 17 C.F.R. § 190.08 (“Allocation of property 

and allowance of claims”) for the allocation and distribution of commodity futures customer 

property to claimants. 

32. The Trustee fully intends, to the extent legally and practicably feasible, to 

make one or more interim distributions to customers. Any such interim distribution shall be 

without prejudice to the Trustee’s duties and obligations to require the return of customer 

property if, and to the extent that, a customer receives a greater distribution than that to which 

the customer is entitled. 

33. The Trustee requests that this Court authorize him to satisfy the claims of 

securities customers, commodity futures customers, and general creditors of MFGI insofar as the 

claims agree with the Debtor’s books and records, or are otherwise established to the Trustee’s 

satisfaction. 

Formal Claim Objection Procedures Where Necessary

34. The Trustee anticipates that some claimants may file securities customer 

claims or commodity futures customer claims that the Trustee may disallow completely, disallow 

as a “customer” claim, or disallow in part. The Trustee will notify the claimant that the Trustee 

has determined that the claimant’s claim has been disallowed in whole or in part or otherwise has 

not been approved for satisfaction as filed. The Trustee proposes that such notification shall be 

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in a form substantially similar to the Notice of Determination of Claim, attached as Exhibit F 

hereto. 

35. The formal procedure that the Trustee proposes, outlined below, will 

facilitate the expeditious resolution of disputes which may arise between the Trustee and 

claimants and ensure that claimants are afforded the due process to which they are entitled. The 

Trustee emphasizes that he is dedicated to working with customer claimants on an informal and 

cooperative basis to the extent legally and practicably possible in order to resolve claims 

determination disputes efficiently and in a manner that is fair for all customers and creditors of 

MFGI. Accordingly, as set forth below, the Trustee requests authority to compromise and settle 

any customer claim at any time, as appropriate, without further order of this Court. 

36. The Trustee proposes the following procedure for resolving formally both 

those securities customer claims (as defined in SIPA), and commodity futures customer claims 

(as defined in the Commodity Broker Liquidation Provisions and the Part 190 Regulations), 

which the Trustee does not determine to be allowable as filed: 

a. If a claimant is aggrieved by the determination of the Trustee, the 

claimant, upon the Trustee’s motion to uphold such determination, shall be 

afforded the opportunity to have the matter heard by the Court as a 

contested matter under Rule 9014 of the Bankruptcy Rules. Prior to the 

Trustee’s filing of a motion to uphold his determination, no discovery or 

other motion practice shall occur regarding the Trustee’s determination of 

claim or facts giving rise to such determination, absent prior Court 

approval. 

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b. The claimant shall file a written opposition to the Trustee’s determination 

in accordance with the instructions included with the Trustee’s 

determination. The claimant shall file the written opposition with the 

Bankruptcy Court in accordance with local rules, and serve upon the 

Trustee’s counsel, Hughes Hubbard & Reed LLP, One Battery Park Plaza, 

New York, NY 10004, Attention: MFGI Hearing Request, within thirty 

days of the date on which the Trustee mailed his determination. The 

request shall include: (i) the claim number; (ii) a detailed statement of the 

reasons for the claimant’s objection to the Trustee’s determination; (iii) 

copies of any document or other writing upon which the claimant relies; 

and (iv) mailing, phone, and email contact information for the claimant. 

c. The Trustee shall, upon his motion to uphold the determination, ask the 

Court to set a time and date for a hearing and shall notify the claimant in 

writing of the time, date and place of the hearing. The Trustee may, in his 

discretion, upon the advice and consent of SIPC (and, for commodity 

futures customer claims, the CFTC), establish such other procedures for 

adjudication of claims as lead to the most efficient and orderly 

administration of the claims process for all claimants without further order 

of this Court. 

d. If a claimant fails to file a written opposition within thirty days of the 

mailing of the Trustee’s determination in accordance with the procedures 

established by this Court’s Order, or if the claimant fails to appear at a 

scheduled hearing, then the Trustee’s determination shall be final. 

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e. The Trustee requests authority to compromise and settle any customer 

claim at any time, as appropriate, without further order of this Court. 

37. Securities customer claims or commodity futures customer claims that are 

denied or denied in part as customer claims entitled to share in customer property may be 

reclassified as secured or unsecured general creditor claims. The Trustee and his professionals 

will review all general creditor claims in accordance with SIPA, the Part 190 Regulations and the 

Bankruptcy Code. 

38. The Trustee will implement procedures for the adjudication of noncustomer, general creditor claims, subject to SIPC and Court approval, as necessary. 

Form of Documents and Mailing

39. In addition to the Notice of Commencement (Exhibit A), and in 

connection with these claims procedures, the Trustee requests that this Court enter an order 

approving in substantially the same form as the Exhibits hereto, the following documents: 

Exhibit B — Securities Customer Claim Information (including Explanatory 

Letter to Customers, Explanatory Letter to Broker-Dealers, 

Securities Customer Claim Form Instructions, Securities Customer 

Claim Form) 

Exhibit C — Commodity Futures Customer Claim Information (including 

Commodity Futures Customer Claim Form Instruction Letter and 

Commodity Futures Customer Claim Form)

Exhibit D — General Creditor Claim Information (including Explanatory Letter 

to General Creditors and General Creditor Claim Form)

Exhibit E — Form of Notice of Deficiency of Claim (one for each claim type) 

Exhibit F — Form of Notice of Trustee’s Determination of Claim 

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40. The Trustee further requests authority, on the advice and consent of SIPC 

and the CFTC, to amend the forms attached as Exhibits A through F without further order of this 

Court. 

41. In connection with the claim procedures described herein, the Trustee 

requests that this Court enter an order directing the Trustee to effect the mailing of documents 

substantially in the form of Exhibits B, C, and D to persons who, as identified from the Debtor’s 

books and records, may potentially assert claims as securities customers, commodity futures 

customers, or general creditors, on or before November 28, 2011, along with the Notice of 

Commencement (Exhibit A). All such notices will be made available on the Trustee’s website 

(www.mfglobaltrustee.com) and all mailed notices will refer potential claimants to the website to 

download additional notices and/or to file a claim electronically. 

Meeting of Customers and Creditors

42. The Trustee requests that this Court enter an order setting a meeting of 

customers and other creditors. The meeting will provide, among other things, information about 

the customer claims process and the progress of this SIPA liquidation generally. The Trustee 

further requests that this Court enter an order setting January 12, 2012 at 10:00 a.m., at the New 

York Marriott Downtown, 85 West Street, New York, NY 10006, as the time and place for such 

meeting of customers and other creditors. 

Interim Reporting

43. SIPA § 78fff-1(c) requires that the trustee report his progress to this Court. 

The Trustee requests the Court enter an order directing the Trustee to file his first interim report 

within six months after publication of the Notice of Commencement, and to file interim reports 

at least every six months thereafter. 

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Notice

44. Notice of this application has been provided by overnight delivery or 

email to (i) all parties that have filed a notice of appearance in this case; (ii) SIPC; (iii) the SEC; 

(iv) the CFTC; (v) the Internal Revenue Service; and (viii) the United States Attorney for the 

Southern District of New York. In addition, notice of this application has been published on the 

Trustee’s website, www.mfglobaltrustee.com. The Trustee submits that no other or further 

notice need be given. 

45. SIPC and the CFTC have reviewed this application and consent to the 

relief herein. No previous application in this connection has been made to this or any other 

court. 

WHEREFORE, the Trustee respectfully requests that this Court enter the 

proposed order attached hereto as Exhibit G. 

Dated: New York, New York 

November 15, 2011 

HUGHES HUBBARD & REED LLP 

By: /s/ James B. Kobak, Jr. 

 James B. Kobak, Jr. 

 Christopher K. Kiplok 

 Josiah S. Trager 

 Meaghan C. Gragg 

 One Battery Park Plaza 

 New York, New York 10004 

 Telephone: (212) 837-6000 

 Facsimile: (212) 422-4726 

 Email: kobak@hugheshubbard.com

Attorneys for James W. Giddens, Trustee for 

the SIPA Liquidation of MF Global Inc.

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Exhibit A 

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UNITED STATES BANKRUPTCY COURT 

SOUTHERN DISTRICT OF NEW YORK

In re 

MF GLOBAL INC., 

Debtor. 

Case No. 11-2790 (MG) SIPA

Commencement of Liquidation Proceeding

NOTICE IS HEREBY GIVEN that on October 31, 2011 the Honorable Paul A. 

Engelmayer, Judge of the United States District Court for the Southern District of New York, 

entered an Order granting the application of the Securities Investor Protection Corporation 

(“SIPC”) for issuance of a Protective Decree adjudicating that the customers of MF Global Inc. 

(the “Debtor”), are in need of the protection afforded by the Securities Investor Protection Act of 

1970 (“SIPA”). James W. Giddens (the “Trustee”) was appointed trustee for the liquidation of 

the business of the Debtor, and Hughes Hubbard & Reed LLP was appointed as counsel to the 

Trustee. 

Deadlines for Submitting Claims

NOTICE IS HEREBY GIVEN that commodity futures customers of the Debtor 

must file their claims with the Trustee within SIXTY DAYS after the date of this Notice or their 

claim will be barred (unless extended, for good cause only). No extension for filing a 

commodity futures customer claim will be granted beyond the six-month period after the date of 

this Notice, regardless of cause. Commodity futures customer claims that are filed after the 

sixty-day period, but before the six-month period after this Notice may be afforded general 

creditor status. Securities customers of the Debtor who wish to avail themselves of the 

maximum protection afforded to them under SIPA are required to file their claims with the 

Trustee within SIXTY DAYS after the date of this Notice. Securities customers may file their 

claims up to six months after the date of this Notice; however, the filing of securities customer 

claims after the sixty-day period but within the six-month period may result in less protection for 

the securities customer under SIPA. All claims must be filed with the Trustee electronically 

online at www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt 

requested to one of the following addresses: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

Customer claims will be deemed filed only when received by the Trustee. 

Forms for the filing of customers’ claims are being mailed to customers of the 

Debtor as their names and addresses appear on the Debtor’s books and records. Customer claim 

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forms are also available on the Trustee’s website, www.mfglobaltrustee.com, or by writing to the 

Trustee at the address of his counsel below. 

Claims by broker-dealers for the completion of open contractual securities 

commitments must be filed with the Trustee within sixty days after the date of this Notice. Such 

claims will be deemed to be filed only when received by the Trustee. 

All other creditors of the Debtor must file formal claims with the Trustee at the 

address shown above within SIX MONTHS after the date of this Notice. All such claims will 

be deemed filed only when received by the Trustee. 

For the avoidance of doubt, (i) claims of commodity futures customers must 

be received by the Trustee on or before January 27, 2012; (ii) claims of securities customers 

seeking the maximum protection under SIPA must be received by the Trustee on or before 

January 27, 2012; and (iii) all claims must be received by the Trustee on or before May 28, 

2012, or they will be absolutely barred. No commodity futures customer claim will be 

allowed unless received by the Trustee on or before January 27, 2012, or unless extended 

(for good cause only); but, if received by the Trustee after January 27, 2012, but on or 

before May 28, 2012, a commodity futures customer claim may be afforded general 

creditor status. 

 The Trustee has published protocols for certain transactional claims. These 

protocols should be reviewed carefully before submitting a claim to the Trustee, and are 

available at the Trustee’s website, www.mfglobaltrustee.com.

Automatic Stay Of Actions Against The Debtor

NOTICE IS HEREBY GIVEN that as a result of the issuance of the Protective 

Decree, certain acts and proceedings against the Debtor and its property are stayed as provided in 

11 U.S.C. § 362 and by order of the United States District Court for the Southern District of New 

York, entered October 31, 2011 by the Honorable Paul A. Engelmayer. 

Meeting of Customers and Other Creditors

NOTICE IS HEREBY GIVEN that a meeting of customers and other creditors 

will be held at the New York Marriott Downtown, 85 West Street, New York, NY 10006, on 

January 12, 2012 at 10:00 a.m. The Trustee will preside at such meeting, to provide information 

about the customer claims process and the progress of this SIPA liquidation. 

Additional Information

NOTICE IS HEREBY GIVEN THAT copies of this Notice, claim forms, and 

other background on this SIPA liquidation may be found on SIPC’s website, www.sipc.org under 

Proceedings/Liquidation, and on the Trustee’s website, www.mfglobaltrustee.com. From time to 

time other updated information and notices concerning this proceeding may also be posted at 

these websites. 

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Dated: New York, New York 

November 28, 2011 

HUGHES HUBBARD & REED LLP 

One Battery Park Plaza 

New York, New York 10004 

Telephone: (212) 837-6000 

Facsimile: (212) 422-4726 

Attorneys for James W. Giddens, 

Trustee for the SIPA Liquidation of 

MF Global Inc. 

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Exhibit B 

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MF GLOBAL INC. 

In Liquidation 

November 28, 2011 

TO ALL PERSONS ASSERTING CLAIMS AS SECURITIES CUSTOMERS OF MF 

GLOBAL INC.: 

Enclosed are a securities customer claim form, securities customer claim form 

instructions, and a separate letter for broker dealers having open securities or money balances as 

of October 31, 2011 with MF Global Inc. (the “Debtor”). You will receive a separate securities 

customer claim form packet for each securities account you have with MF Global Inc., as 

identified from MF Global Inc.’s books and records. Should you require additional or different 

forms, all claims forms are available at the Trustee’s website, www.mfglobaltrustee.com. 

You are urged to read these and the other enclosed documents carefully. They 

explain steps to protect any rights and claims you may have in this liquidation proceeding. 

 In addition, the Trustee has published protocols for certain transactional claims. 

These protocols should be reviewed carefully before submitting a claim to the Trustee, and are 

available at the Trustee’s website, www.mfglobaltrustee.com. 

The Trustee is actively seeking to find SIPC-member firms that are willing and 

able to accept the bulk transfer of some or all of the Debtor’s securities customer accounts. 

Regardless of any transfer or closeout of your positions with the Debtor, if you believe that the 

Debtor still owes you cash or securities from one or more securities customer accounts, you must 

fill out a securities customer claim form for each separate securities account that you are 

claiming. All claims must be filed with the Trustee electronically online at 

www.mfglobaltrustee.com, or sent to the Trustee via certified mail, return receipt requested, to 

one of the following addresses: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

A return envelope for the completed claim form(s) is enclosed. Please make a 

copy of your claim form(s) for your own records before mailing. 

Your claim(s) will not be deemed to be filed until received by the Trustee. If you 

submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via 

certified mail, return receipt requested. Your return receipt will be the only document you will 

receive that shows your claim has been received by the Trustee. 

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If, at any time, you complained in writing about the handling of your securities 

account(s) to any person or entity or regulatory authority, and the complaint relates to the cash, 

securities, or other property that you are now seeking, please provide with your claim copies of 

the complaint and all related correspondence, as well as copies of any replies that you received. 

While your claim is being processed, if your claim is not properly completed or 

the Trustee requires additional information in order to process your claim, the Trustee may 

contact you by telephone or email and may send you a deficiency letter to request that you file 

additional information or documents to support the validity of your claim. Failure to respond to 

a deficiency letter within thirty days of its receipt may result in the denial of your claim. 

It is your responsibility to report accurately all securities positions and money 

balances in connection with your securities account(s) with the Debtor. A false claim or the 

retention of property to which you are not entitled may make you liable for damages and 

criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may 

file an estimated claim. 

One of the purposes of the liquidation is to return securities and cash due to 

customers as promptly as practicable. In that connection, funds of the Securities Investor 

Protection Corporation may be utilized to pay valid securities customer claims relating to 

securities and cash up to a maximum amount of $500,000.00 for each customer, including up to 

$250,000.00 for claims for cash, as provided in the Securities Investor Protection Act of 1970, as 

amended. To qualify for the maximum protection afforded under SIPA, your securities 

customer claim form must be received by the Trustee on or before January 27, 2012.

Your cooperation in promptly returning the appropriate completed securities 

customer claim form to the Trustee is in your best interest as it will help speed the administration 

of the liquidation proceeding. 

Very truly yours, 

 

James W. Giddens 

Trustee for the SIPA Liquidation of 

MF Global Inc.

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MF GLOBAL INC. 

In Liquidation 

November 28, 2011 

TO BROKERS AND DEALERS HAVING OPEN SECURITIES POSITIONS OR MONEY 

BALANCES ASSOCIATED WITH SECURITIES ACCOUNTS AS OF OCTOBER 31, 2011, 

WITH MF GLOBAL INC.: 

The United States District Court for the Southern District of New York entered an 

order on October 31, 2011 finding that customers of MF Global Inc. (the “Debtor”) were in need 

of the protection afforded by the Securities Investor Protection Act of 1970, as amended 

(“SIPA”). The District Court immediately appointed a trustee to liquidate the business of the 

Debtor (the “Trustee”). 

 The Trustee has published protocols for certain transactional claims. These 

protocols should be reviewed carefully before submitting a claim to the Trustee, and are 

available at the Trustee’s website, www.mfglobaltrustee.com. You may also wish to review 

SIPC Rules Regarding Closeout or Completion of Open Contractual Commitments, 17 C.F.R. 

§§ 300.300-300.307, available at www.sipc.org/who/statute.cfm.

To recover upon any claim you may have against the Debtor, you must carefully 

follow the instructions contained in this package. Enclosed is the Notice of Commencement, as 

well as instructions for filing a claim and claim form.

You are urged to read all of the above referenced documents carefully. They 

explain what steps, if any, you must take to protect any rights and claims you may have in this 

liquidation proceeding. 

Claimants are advised to submit their completed claim forms electronically online 

at www.mfglobaltrustee.com, or to mail their completed claim forms to the Trustee by certified 

mail, return receipt requested. Please make a copy of the completed claim forms and retain them 

for your own records. 

Your claim forms will not be deemed to be filed until received by the Trustee. To 

receive maximum protection afforded under SIPA, your claim forms must be received by 

the Trustee on or before January 27, 2012.

While your claim is being processed, if your claim is not properly completed or 

the Trustee requires additional information in order to process your claim, the Trustee may 

contact you by telephone or email and may send you a deficiency letter to request that you file 

additional information or documents to support the validity of your claim. Failure to respond to 

a deficiency letter within thirty days of its receipt may result in the denial of your claim. 

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It is your responsibility to report accurately all securities positions and money 

balances in connection with your securities account with the Debtor. A false claim or the 

retention of property to which you are not entitled may make you liable for damages and 

criminal penalties. 

Your cooperation in promptly requesting and returning the completed broker 

claim forms to the Trustee is in your best interest as it will help speed the administration of the 

liquidation proceeding. 

Very truly yours, 

______________________________ 

James W. Giddens, Trustee for the SIPA 

Liquidation of MF Global Inc. 

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INSTRUCTIONS FOR COMPLETING THE SECURITIES CUSTOMER 

CLAIM FORM 

PLEASE READ CAREFULLY

IF YOUR CLAIM IS NOT BASED ON A SECURITIES ACCOUNT YOU DO NOT 

NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A SECURITIES 

CUSTOMER CLAIM FORM 

These instructions are to help you complete the securities customer claim form enclosed. 

If you believe that MF Global Inc. (“MFGI”) owes you cash or securities, and you wish to claim 

them, the Trustee must receive your claim on or before the date specified on the claim form. 

Even if your securities account(s) has been transferred to another SIPC-member firm, if you 

believe MFGI still owes you cash or securities, and you wish to claim them, you must timely 

submit a claim. If you submit an improperly completed claim form or do not provide sufficient 

information to support your claim, the Trustee may send you a deficiency letter, indicating what 

additional information is required to process your claim. Failure to timely respond and provide 

sufficient information may result in a delay in satisfaction of your claim or its disallowance. 

Item I seeks a statement of the total amount you are claiming with respect to your 

securities account. Please state the total value of your claim against MFGI, based on, as of 

October 31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) 

all securities owed to you by MFGI less all securities you owe MFGI, if any. 

Item II seeks details about your claim with respect to your securities account. 

 Item (A) is to be completed if on the date shown, MFGI owed you cash or if you 

owed MFGI cash. If MFGI owes money to you, please indicate the amount in the 

space provided Item (A.1). If you owe MFGI money, please so indicate in the 

space provided Item (A.2). If MFGI owes you securities and you wish to receive 

those securities without deduction, then you must enclose your check for the 

amount shown in Item (A.3) payable to “James W. Giddens, Trustee for the SIPA 

Liquidation of MF Global Inc.” Payments not enclosed with this claim form 

will not be accepted by the Trustee for purposes of determining what 

securities are to be distributed to you.

 Item (B) seeks details about securities (including any options) held for you. If 

MFGI is holding securities for you or has failed to deliver securities to you, please 

indicate by checking the appropriate box under Item (B) and set forth in detail the 

information required with respect to the date of the transaction, the name of the 

security and the number of shares or face value of bonds. With respect to options, 

set forth the number and type of options, the exercise price and expiration date, 

e.g., 3 options [call] or [put] GE at 25 2x December 2011. Please do not claim 

any securities you already have in your possession.

Item III seeks additional information about your claim with respect to your securities 

account. Items (1) through (8) must each be marked and details supplied where appropriate, 

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along with any supporting documentation you have. If you do not provide sufficient details, you 

may receive a deficiency letter based on insufficient information. 

 If you cannot compute the amount of your claim, you may file an estimated claim. In that 

case, please be sure to indicate that your claim is an estimated claim. 

 Proper documentation can speed the review, allowance, and satisfaction of your claim. 

 Please enclose: copies (not originals) of any documentation or correspondence you believe 

will be of assistance in processing your claim, including, but not limited to, customer 

confirmations, account statements (in particular, your last account statement), and statements 

of purchase or sale. 

 If, at any time, you complained in writing about the handling of your account to any person 

or entity or regulatory authority, and the complaint relates to the cash and/or securities that 

you are now seeking, please be sure to provide with your claim copies of the complaint and 

all related correspondence, as well as copies of any replies that you received. 

A separate claim form must be filed for each account.

When To File

There are two deadlines for filing securities customer claims. One is set by the 

Bankruptcy Court for the maximum protection for securities customers under SIPA, and one is 

set by the law as an absolute bar for all claims. 

The Bankruptcy Court has set January 27, 2012 as the date for filing securities customer 

claims to be eligible for the maximum protection under SIPA. If your claim is received by the 

Trustee after January 27, 2012 but on or before May 28, 2012, your claim is subject to delayed 

processing and to being satisfied on terms less favorable to you. 

The law governing this proceeding absolutely bars the allowance of any claim, 

including a securities customer claim, not actually received by the Trustee on or before 

May 28, 2012. Neither the Trustee nor the Securities Investor Protection Corporation has 

authority to grant extensions of the May 28, 2012 bar date for filing of claims, regardless of 

the reason. If your securities customer claim is received even one day after the May 28, 

2012 bar date, it will be disallowed. 

Please file well in advance so that there will be time to refile if, for instance, your claim is 

lost in the mail. 

Where To File

The completed and signed claim form, together with supporting documents must be filed 

with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in 

the enclosed envelope to: 

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If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BY 

CERTIFIED MAIL RETURN RECEIPT REQUESTED

Your claim is not filed until received by the Trustee. If the Trustee does not receive your 

claim, although timely mailed, you could lose all your rights against MFGI. Your return receipt 

will be the only document you will receive that shows your claim has been received by the 

Trustee. 

THIS INSTRUCTION SHEET IS FOR YOUR FILE—DO NOT RETURN 

YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOUR 

RECORDS.

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SECURITIES CUSTOMER 

CLAIM FORM 

MF GLOBAL INC.

Account Name: Daytime Phone: 

Account Number: Email: 

Address: 

 Taxpayer I.D. Number 

Contact Person: (Social Security No.): 

PLEASE NOTE

THIS CLAIM FORM SHOULD BE USED ONLY IF YOU ARE A 

CUSTOMER OF MF GLOBAL INC. AND YOU HAVE A CUSTOMER 

CLAIM BASED ON A SECURITIES ACCOUNT

 A SEPARATE CLAIM FORM MUST BE FILED FOR EACH SECURITIES 

ACCOUNT. 

 TO BE ELIGIBLE FOR THE MAXIMUM PROTECTION AFFORDED UNDER THE 

SECURITIES INVESTOR PROTECTION ACT (“SIPA”), ALL SECURITIES 

CUSTOMER CLAIMS MUST BE RECEIVED BY THE TRUSTEE ON OR BEFORE 

JANUARY 27, 2012; THE TRUSTEE WILL DETERMINE WHETHER CLAIMS 

MEET THE STATUTORY REQUIREMENTS FOR SECURITIES CUSTOMER 

CLAIMS UNDER SIPA; INCLUSION OF A CLAIM OR CLAIM TYPE ON THIS 

CLAIM FORM IS NOT DETERMINATIVE OF CUSTOMER STATUS UNDER SIPA.

 THE ABSOLUTE DEADLINE FOR FILING ALL SECURITIES CUSTOMER 

CLAIMS IS MAY 28, 2012. NO CLAIM WILL BE ALLOWED IF IT IS RECEIVED 

AFTER THAT DATE.

 ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. 

 YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT 

WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND SIGNED 

CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN RECEIPT 

REQUESTED TO THE APPROPRIATE ADDRESS BELOW. 

 IF SOME OR ALL OF YOUR SECURITIES ACCOUNTS HAVE BEEN 

TRANSFERRED TO ANOTHER SIPC-MEMBER FIRM, BUT YOU BELIEVE YOU 

HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO YOU BY MF GLOBAL 

INC., YOU MUST FILE A CLAIM TO PROTECT YOUR RIGHTS. 

 MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN 

THIS SIPA LIQUIDATION PROCEEDING. THIS SECURITIES CUSTOMER CLAIM 

FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES NOT APPLY TO ANY 

OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY IN A PROCEEDING 

UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED STATES CODE, SUCH AS MF 

GLOBAL HOLDINGS LTD. OR MF GLOBAL FINANCE USA INC.

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This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed 

promptly, together with supporting documentation, to the following: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

I. TOTAL AMOUNT CLAIMED 

 The total value of my claim against MFGI, based on, as of October 31, 2011, (i) all 

cash owed to me by MFGI less all cash I owe to MFGI, if any, and (ii) the value of all 

securities owed to me by MFGI less all securities I owe to MFGI, if any, is: 

 $_______________________________ 

Check one: ESTIMATED  CALCULATED 

II. DETAILS OF YOUR CLAIM 

 A. CLAIM FOR MONEY BALANCES OR CASH AS OF OCTOBER 31, 2011: 

1. MFGI owes me a credit or cash in the amount of: $________________ 

2. I owe MFGI a debit or cash in the amount of: $________________ 

3. If you wish to repay the debit balance listed 

in Item (II.A.2), above, please insert the 

amount you wish to repay and attach a check 

payable to “James W. Giddens, Trustee for 

the SIPA Liquidation of MF Global Inc.” If 

you wish to make a payment, it must be 

enclosed with this claim form. $________________ 

 B. CLAIM FOR SECURITIES AS OF OCTOBER 31, 2011: 

Please Do Not Claim Any Securities You Have In Your Possession 

YES NO 

1. MFGI owes me securities:  

2. I owe MFGI securities:  

3. If yes to either, please list below (or in 

additional pages as necessary):  

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Number of Shares or 

Face Amount of Bonds 

Date of 

Transaction 

(trade date) Name of Security

MFGI

Owes Me 

(Long) 

I Owe MFGI

(Short)

WHEN COMPLETING THE ABOVE PLEASE KEEP IN MIND: 

 If you cannot compute the amount of your claim, you may file an estimated claim. In that 

case, please be sure to indicate that your claim is an estimated claim. 

 Proper documentation can speed the review, allowance, and satisfaction of your claim. 

 Please enclose: copies (not originals) of any documentation or correspondence you 

believe will be of assistance in processing your claim, including, but not limited to, 

customer confirmations, account statements, and statements of purchase or sale. 

 If, at any time, you complained in writing about the handling of your account to any 

person or entity or regulatory authority, and the complaint relates to the cash and/or 

securities that you are now seeking, please be sure to provide with your claim copies of 

the complaint and all related correspondence, as well as copies of any replies that you 

received. 

 Please explain any differences between the securities or cash claimed and the cash 

balance and securities positions on your last account statement. 

III. ADDITIONAL INFORMATION ABOUT YOUR CLAIM 

NOTE: Please check the appropriate answer for items 1 through 8, below. If you select 

“YES,” for any item, please provide a detailed explanation on a signed 

attachment, and attach any supporting documentation you have. If you do not 

provide sufficient details, you may be sent a deficiency letter seeking additional 

information.

 YES NO

1. Does your claim in any way relate to an entity other 

than MF Global Inc. (for example, MF Global 

Holdings Inc., MF Global Finance USA Inc. or 

another MF Global subsidiary)? 

 

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 YES NO

2. Has there been any change in your account since 

October 31, 2011?  

3. Are you or were you a party to a repurchase or reverse 

repurchase agreement, or a director, officer, partner, 

shareholder, lender to, or capital contributor of MFGI? 

 

4. Are you related to, or do you have any business 

venture with, any of the persons specified in item (3), 

above, or any employee or other person associated in 

any way with MFGI? If so, give name(s). 

 

5. Are or were you a person who, directly or indirectly, 

through agreement or otherwise, exercised or had the 

power to exercise a controlling influence over the 

management or policies of MFGI? 

 

6. Is this claim being filed on behalf of a customer of a 

broker or dealer or bank? If so, provide 

documentation with respect to each customer on 

whose behalf you are claiming.  

7. Have you ever given any discretionary authority to 

any person to execute securities transactions with or 

through MFGI on your behalf? Give names, addresses 

and phone numbers.  

8. Have you or any member of your family ever filed a 

claim under the Securities Investor Protection Act of 

1970? If so, give name of that broker.  

Please list the full name, address, phone number, and email address of anyone assisting you in 

the preparation of this claim form: 

Full name: 

Address: 

Phone number: 

Email address: 

If more than one person is assisting you, attach additional pages providing the information in the 

exact format above. 

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. 

CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF 

UP TO FIVE YEARS OR BOTH. 

THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY 

INFORMATION AND BELIEF. 

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Date Signature 

Date Signature 

(If ownership of the account is shared, all must sign above. Give each owner’s name, address, 

phone number, and extent of ownership on a signed separate sheet. If other than a personal 

account, e.g., corporate, trustee, custodian, etc., also state your capacity and authority. Please 

supply the trust agreement or other proof of authority.) 

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Exhibit C 

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MF GLOBAL INC. 

In Liquidation 

November 28, 2011 

TO ALL PERSONS ASSERTING CLAIMS AS COMMODITY FUTURES CUSTOMERS OF 

MF GLOBAL INC.: 

Enclosed are a commodity futures customer claim form, and commodity futures 

customer claim form instructions. You will receive a separate commodity futures customer 

claim form packet for each commodity futures account you have with MF Global Inc. (the 

“Debtor”), as identified from MF Global Inc.’s books and records. Should you require additional 

or different forms, all claim forms are available at the Trustee’s website, 

www.mfglobaltrustee.com. 

You are urged to read these and the other enclosed documents carefully. They 

explain steps to protect any rights and claims you may have in this liquidation proceeding. 

Through the extraordinary efforts and cooperation of the Securities Investor 

Protection Corporation, the Securities Exchange Commission, the Commodity Futures Trading 

Commission, and numerous derivatives clearing organizations, including the Chicago Mercantile 

Exchange, the vast majority of open commodity positions have been transferred along with 

collateral to other futures commission merchants in accordance with the Court order entered on 

November 2, 2011, approving these transfers. Regardless of any transfer, if the Debtor still owes 

you cash or other property from one or more commodity futures customer accounts, you must fill 

out a commodity futures customer claim form for each separate commodity futures account that 

you are claiming. All claims must be filed with the Trustee electronically online at 

www.mfglobaltrustee.com, OR sent to the Trustee via certified mail, return receipt requested, to 

one of the following addresses: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

A return envelope for the completed claim form(s) is enclosed. Please make a 

copy of your claim form(s) for your own records before mailing. 

Your claim(s) will not be deemed to be filed until received by the Trustee. If you 

submit your claim(s) by mail, it is strongly recommended that your claim(s) be mailed via 

certified mail, return receipt requested. Your return receipt will be the only document you will 

receive that shows your claim has been received by the Trustee. 

If, at any time, you complained in writing about the handling of your commodity 

futures account(s) to any person or entity or regulatory authority, and the complaint relates to the 

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cash, securities or other property that you are now seeking, please provide with your claim 

copies of the complaint and all related correspondence, as well as copies of any replies that you 

received. 

While your claim is being processed, if your claim is not properly completed or 

the Trustee requires additional information in order to process your claim, the Trustee may 

contact you by telephone or email and may send you a deficiency letter to request that you file 

additional information or documents to support the validity of your claim. Failure to respond to 

a deficiency letter within thirty days of its receipt may result in the denial of your claim. 

It is your responsibility to report accurately all positions and money balances in 

connection with your commodity futures account(s) with the Debtor. A false claim or the 

retention of property to which you are not entitled may make you liable for damages and 

criminal penalties. If you cannot precisely calculate the amount of your claim, however, you may 

file an estimated claim. 

One of the purposes of the liquidation is to satisfy commodity futures customer 

claims as promptly as practicable. Your commodity futures customer claim form must be 

received by the Trustee on or before January 27, 2012, or it will be barred (unless 

extended, for good cause only). The January 27, 2012 deadline for filing a commodity 

futures customer claim cannot be extended beyond May 28, 2012, even for good cause. If 

received by the Trustee after January 27, 2012, but on or before May 28, 2012, a 

commodity futures customer claim may be afforded general creditor status. Commodity 

futures customer claims are not eligible for Securities Investor Protection Corporation advances.

Your cooperation in promptly returning the appropriate completed commodity 

futures customer claim form to the Trustee is in your best interest as it will help speed the 

administration of the liquidation proceeding. 

Very truly yours, 

 

James W. Giddens 

Trustee for the SIPA Liquidation of 

MF Global Inc.

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INSTRUCTIONS FOR COMPLETING THE COMMODITY FUTURES 

CUSTOMER CLAIM FORM 

PLEASE READ CAREFULLY

IF YOUR CLAIM IS NOT BASED ON A COMMODITY FUTURES ACCOUNT YOU 

DO NOT NEED TO FOLLOW THESE INSTRUCTIONS OR COMPLETE A 

COMMODITY FUTURES CUSTOMER CLAIM FORM 

These instructions are to help you complete the enclosed commodity futures customer 

claim form. If you believe that MF Global Inc. (“MFGI”) owes you cash or other property that 

you wish to claim, the Trustee must receive your claim on or before the date specified on the 

claim form. Even if your commodity futures account(s) has been transferred to another futures 

commission merchant, you must timely submit a claim in order to claim cash or other property 

that you believe MFGI still owes you. If you submit an improperly completed claim form or do 

not provide sufficient information to support your claim, the Trustee may send you a deficiency 

letter, indicating what additional information is required to process your claim. Failure to timely 

respond and provide sufficient information may result in a delay in satisfaction of your claim or 

its disallowance. 

Item I seeks a statement of the total amount you are claiming with respect to your 

commodity futures account. Please state the total amount of MF Global Inc’s indebtedness to 

you as of the close of business on October 31, 2011, and indicate whether this is an estimated 

amount or calculated amount. Items (A.1) and (A.2) seek a break down of the total amount you 

are claiming. In Item (A.1) state the amount of cash or cash equivalents (including securities 

posted as collateral) in the account, as of October 31, 2011, and in Item (A.2) state the equity, as 

of October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash 

or cash equivalents). 

Item II seeks details about any transfers out of your commodity futures account after 

October 31, 2011. Please state whether any part of your account was transferred to one or more 

transferee futures commission merchants after October 31, 2011, and, if so, provide details about 

the transfer(s). 

Item III seeks details about your commodity futures account. Please indicate the type of 

account you hold, the capacity in which you hold the account, whether the account is held by an 

MFGI “insider,” “affiliate,” or “relative,” whether the account is a discretionary account, 

whether the account is a joint account, and, if your claim is based on securities futures products, 

whether these are held in a futures account or a securities account. 

Item IV seeks details about your commodity futures claim. Please indicate whether 

MFGI has any claims against you, not included in your equity calculation provided in Item I, and 

whether the equity calculation provided in Item I includes any deposits of money, securities or 

other property held by or for MFGI from or for your commodity futures account, and, if so, 

provide detail about such money, securities or other property. Please also indicate, if you are 

claiming securities, whether you wish to receive payment in kind, to the extent possible. 

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 If you cannot compute the amount of your claim, you may file an estimated claim. In that 

case, please be sure to indicate that your claim is an estimated claim. 

 Proper documentation cans speed the review, allowance, and satisfaction of your claim. 

 Please enclose: copies (not originals) of any documentation or correspondence you believe 

will be of assistance in processing your claim, including, but not limited to, customer 

confirmations, account statements, and statements of purchase or sale. 

 If, at any time, you complained in writing about the handling of your commodity futures 

account to any person or entity or regulatory authority, and the complaint relates to the cash 

or other property that you are now seeking, please be sure to provide with your claim copies 

of the complaint and all related correspondence, as well as copies of any replies that you 

received. 

 A separate claim form must be filed for each account. 

When To File

The deadline for filing commodity futures customer claims is January 27, 2012. If your 

commodity futures customer claim(s) is not received by the Trustee on or before January 27, 

2012, your claim will be barred (unless extended, for good cause only). The January 27, 2012 

deadline for filing a commodity futures customer claim cannot be extended beyond May 28, 

2012, even for good cause. The law governing this proceeding absolutely bars the allowance 

of any claim, including a commodity futures customer claim, not actually received by the 

Trustee on or before May 28, 2012. Neither the Trustee nor the Securities Investor 

Protection Corporation has authority to grant extensions of the May 28, 2012 bar date for 

filing of claims, regardless of the reason. 

Please file well in advance so that there will be time to refile if, for instance, your claim is 

lost in the mail. 

Where To File

The completed and signed claim form, together with supporting documents must be filed 

with the Trustee electronically online at www.mfglobaltrustee.com, or be mailed promptly in 

the enclosed envelope to: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

IF YOU SUBMIT YOUR CLAIM BY MAIL, PLEASE SEND YOUR CLAIM FORM BY 

CERTIFIED MAIL RETURN RECEIPT REQUESTED

Your claim is not filed until received by the Trustee. If the Trustee does not receive your 

claim, although timely mailed, you could lose all your rights against MFGI. Your return receipt 

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will be the only document you will receive that shows your claim has been received by the 

Trustee. 

THIS INSTRUCTION SHEET IS FOR YOUR FILE—DO NOT RETURN 

YOU SHOULD RETAIN A COPY OF THE COMPLETED CLAIM FORM FOR YOUR 

RECORDS. 

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COMMODITY FUTURES

CUSTOMER CLAIM FORM

MF GLOBAL INC.

Account Name: Daytime Phone: 

Account Number: Email: 

Address: 

 Taxpayer I.D. Number 

Contact Person: (Social Security No.): 

PLEASE NOTE 

THIS CLAIM FORM SHOULD BE USED IF YOU ARE A CUSTOMER OF 

MF GLOBAL INC. AND YOU HAVE A CUSTOMER CLAIM BASED ON 

A COMMODITY FUTURES ACCOUNT 

 A SEPARATE CLAIM FORM MUST BE FILED FOR EACH COMMODITY 

FUTURES ACCOUNT. 

 THE DEADLINE FOR FILING ALL COMMODITY FUTURES CUSTOMER 

CLAIMS IS JANUARY 27, 2012. NO COMMODITY FUTURES CUSTOMER 

CLAIM WILL BE ALLOWED IF IT IS RECEIVED AFTER THAT DATE (UNLESS 

EXTENDED, FOR GOOD CAUSE ONLY). THE JANUARY 27, 2012 DEADLINE 

FOR FILING A COMMODITY FUTURES CUSTOMER CLAIM CANNOT BE 

EXTENDED BEYOND MAY 28, 2012, EVEN FOR GOOD CAUSE. IF RECEIVED 

BY THE TRUSTEE AFTER JANUARY 27, 2012, BUT ON OR BEFORE MAY 28, 

2012, A COMMODITY FUTURES CUSTOMER CLAIM MAY BE AFFORDED 

GENERAL CREDITOR STATUS. 

 ALL CLAIMS ARE DATED AS OF THE DATE RECEIVED BY THE TRUSTEE. 

 YOU MAY FILE YOUR CLAIM ELECTRONICALLY ONLINE AT 

WWW.MFGLOBALTRUSTEE.COM OR SEND YOUR COMPLETED AND 

SIGNED CLAIM FORM TO THE TRUSTEE VIA CERTIFIED MAIL, RETURN 

RECEIPT REQUESTED TO THE APPROPRIATE ADDRESS BELOW. 

 IF SOME OR ALL OF YOUR COMMODITY FUTURES ACCOUNTS HAVE BEEN 

TRANSFERRED TO ANOTHER FUTURES COMMISSION MERCHANT, BUT 

YOU BELIEVE YOU HAVE A CLAIM FOR MONEY OR PROPERTY OWED TO 

YOU BY MF GLOBAL INC., YOU MUST FILE A CLAIM TO PROTECT YOUR 

RIGHTS. 

 MF GLOBAL INC. IS THE ONLY MF GLOBAL ENTITY THAT IS A DEBTOR IN 

THIS SIPA LIQUIDATION PROCEEDING. THIS COMMODITY FUTURES 

CUSTOMER CLAIM FORM APPLIES ONLY TO MF GLOBAL INC. AND DOES 

NOT APPLY TO ANY OTHER MF GLOBAL ENTITY, INCLUDING ANY ENTITY 

IN A PROCEEDING UNDER CHAPTER 11 OF TITLE 11 OF THE UNITED 

STATES CODE, SUCH AS MF GLOBAL HOLDINGS LTD. OR MF GLOBAL 

FINANCE USA INC. 

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This claim form must be completed electronically online at www.mfglobaltrustee.com or mailed 

promptly, together with supporting documentation, to the following: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

I. AMOUNT CLAIMED 

A. MF Global Inc. was, as of the close of business on October 31, 2011, indebted to 

me for the total sum of $_____________________________. 

Check one: ESTIMATED  CALCULATED 

B. Is the entire sum you entered in part I.A based on cash or cash equivalents 

(including securities posted as collateral) in your commodity futures account (i.e., 

you had no open positions in your account on October 31, 2011)? 

Check one: YES  NO 

NOTE: If you selected “YES,” you may skip the remainder of this question, 

otherwise, please answer the following questions: 

1. Please state the amount of cash or cash equivalents in the account, as of 

October 31, 2011: _____________________________________. 

2. Please state the equity, as of October 31, 2011, based on the commodity 

transactions in the account (i.e., not based on cash or cash equivalents): 

_____________________________________. 

NOTE: Please provide a detailed description on a signed attachment of the basis for 

your answers above, and attach any supporting documentation you have. If you 

do not provide sufficient details, you may be sent a deficiency letter seeking 

additional information. 

II. TRANSFERS OUT OF YOUR ACCOUNT AFTER OCTOBER 31, 2011 

A. Was any part of your account transferred to one or more transferee futures 

commission merchants after October 31, 2011? 

Check one: YES  NO 

NOTE: If you selected “YES,” please provide the following information in detail 

on a signed attachment, and attach any supporting documentation you 

have. If you do not provide sufficient details, you may be sent a 

deficiency letter seeking additional information. 

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1. Identify the name(s) of the transferee futures commission merchant(s); 

2. Identify the commodity contracts (including futures and options on 

futures) that were transferred (to each transferee, if more than one); and 

3. Specify the amount of collateral, in U.S. dollars, that was transferred along 

with such commodity contracts, if any. 

4. Please state the equity based on the commodity contracts that were 

transferred from the account: 

 (i) As of the date of the transfer; and 

 (ii) As the commodity contracts existed in the account on October 31, 

 2011. 

III. DESCRIPTION OF THE ACCOUNT

A. Please specify the type of account (check one): 

 1. Futures account 

 2. Foreign futures account 

 3. Leverage account 

 4. Option account—exchange-traded 

 5. Option account—dealer 

 6. Delivery account* 

 7. Cleared OTC derivatives account 

*A “delivery” account is one which contains only documents of title, commodities, cash, or other 

property identified to you and deposited for the purposes of making or taking delivery on a 

commodity underlying a commodity contract or for payment of the strike price upon exercise of 

an option. 

B. Please specify the capacity in which you hold the account (check all that are 

applicable): 

 1. Individual capacity 

 2. As guardian, custodian, or conservator for the benefit of a ward or a 

minor under the Uniform Gift to Minors Act 

 3. As executor or administrator of an estate 

 4. As trustee for the trust beneficiary 

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 5. In the name of a corporation, partnership, or unincorporated 

association 

 6. As an omnibus customer account of the undersigned futures 

commission merchant 

 7. As part owner of a joint account 

 8. In the name of a plan which, on October 31, 2011, had in effect a 

registration statement in accordance with the requirements of § 1031 

of the Employee Retirement Income Security Act of 1974 and the 

regulations thereunder 

 9. As agent or nominee for a principle or beneficial owner (and not 

described in Items (III.B.1-8)) 

 10. In any other capacity not described above in Items (III.B.1-9) 

(please specify the capacity): 

 

C. Is any person (including a general partnership, limited partnership, corporation, or 

other type of association) on whose behalf the account is held one of the 

following persons or does one of the following persons, alone or jointly, hold 

10% or more of the account? (Check all that are applicable): 

 1. MF Global Inc. 

 2. Director of MF Global Inc. 

 3. Officer of MF Global Inc. 

 4. Person in control of MF Global Inc. 

 5. Partnership in which MF Global Inc. is a general partner 

 6. Owner of ten percent or more of the capital stock of MF Global Inc. 

 7. Employee of MF Global Inc. whose duties include (a) the 

management of the business of MF Global Inc. or any part thereof; 

(b) the handling of the trades or customer funds of customers of MF 

Global Inc.; (c) the keeping of records pertaining to the trades or 

funds of customers of MF Global Inc.; or (d) the signing or cosigning of checks or drafts on behalf of MF Global Inc. 

 8. Managing agent of MF Global Inc. 

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 9. A spouse or minor dependent living in the same household of ANY 

OF THE FOREGOING PERSONS (listed in Items (III.C.1-8), 

above), or any other relative, regardless of residency, defined as an 

individual related by affinity or consanguinity within the third 

degree as determined by the common law, or individual in a step or 

adoptive relationship with such degree. 

 10. “Affiliate” of MF Global Inc.* 

 11. Any of the persons listed in Items (III.C.1-8), above, if such person 

is associated with an affiliate of MF Global Inc. as if the affiliate 

were MF Global Inc. 

*“Affiliate” of MF Global Inc. is defined as: 

 An entity that directly or indirectly owns, controls, or holds with power to vote, 20% or more 

of the outstanding voting securities of MF Global Inc., other than an entity that holds such 

securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such 

securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to 

vote; 

 A corporation 20% or more of whose outstanding voting securities are directly or indirectly 

owned, controlled, or held with power to vote, by MF Global Inc., or by an entity that 

directly or indirectly owns, controls, or holds with power to vote, 20% or more of the 

outstanding voting securities of MF Global Inc., other than an entity that holds such 

securities (i) in a fiduciary or agency capacity without sole discretionary power to vote such 

securities; or (ii) solely to secure a debt, if such entity has not in fact exercised such power to 

vote; 

 A person whose business is operated under a lease or operating agreement by MF Global 

Inc., or person substantially all of whose property is operated under an operating agreement 

with MF Global Inc.; 

 An entity that otherwise, directly or indirectly, is controlled by or is under common control 

with MF Global Inc.; 

 An entity that operates the business of all or substantially all of the property of MF Global 

Inc. under a lease or operating agreement; or 

 An entity that otherwise, directly or indirectly, controls MF Global Inc. 

D. Is this a discretionary account? 

Check one: YES  NO 

NOTE: If you selected “YES,” specify who has the general authority to buy or 

sell orders or effectuate transactions for your account:_____________.

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E. Is this a joint account? 

Check one: YES  NO 

NOTE: If you selected “YES,” specify the amount of your percentage interest in 

the account, and whether all participants in a joint account are claiming 

jointly. 

1.

 

My percentage interest in the account is: _______ % 

2. Participants in a joint account 

are claiming: 

(Check one) 

  SEPARATELY  FULLY 

JOINTLY 

F. Is your claim based on securities futures products? 

Check one: YES  NO 

NOTE: If you selected “YES,” are these securities futures products held in a 

futures account or a securities account? 

Check one: SECURITIES 

ACCOUNT 

 FUTURES 

ACCOUNT 



IV. DETAILS OF YOUR CLAIM

A. Does MF Global Inc. have any claims against you not already included in the 

equity calculated in Item (I.A) above? 

Check one: YES  NO 

NOTE: If you selected “YES,” please provide a detailed description in a signed 

attachment of any such claim or claims, and attach any supporting 

documentation you have. If you do not provide sufficient details, you 

may be sent a deficiency letter seeking additional information. 

B. If the equity calculated in Item (I.A) above does not include any deposits of 

money, securities or other property held by or for MF Global Inc. from or for your 

account, select this box and skip the rest of this question. 

 “I am not claiming any deposits of money, securities or 

other property held by or for MF Global Inc. from or for my 

account.” 

OTHERWISE, please indicate whether any such money, securities or other property 

consists of one of the following (check all that are applicable), and if you check any one or 

more of the following, please provide a detailed explanation on a signed attachment, and 

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7 

attach any supporting documentation you have. If you do not provide sufficient details, 

you may be sent a deficiency letter seeking additional information. 

 1. Any security deposited as margin which, as of October 31, 2011, was 

securing an open commodity contract and is (i) registered in your name; 

(ii) not transferable by delivery; and (iii) not a short-term obligation. 

 2. Any fully-paid, non-exempt security held for your account in which 

there were no open contracts as of October 31, 2011. 

 3. Any warehouse receipt, bill of lading or other document of title 

deposited as margin which, as of October 31, 2011, was securing an 

open commodity contract and can be identified in MF Global Inc.’s 

records as being held for your account, and is neither in bearer form nor 

otherwise transferable by delivery. 

 4. Any warehouse receipt, bill of lading or other document of title, or any 

commodity received, acquired or held by or for MF Global Inc. to make 

or take physical delivery or exercise from or for your account and which 

can be identified in MF Global Inc.’s records as received from or for 

your account as held specifically for the purpose of delivery or exercise. 

 5. Any open commodity contract (except as provided in Item (IV.B.8), 

below) which, as of October 31, 2011, is identified in MF Global Inc.’s 

records as being held for your account, is a bona fide hedging position 

or transaction as defined in CFTC Rule 1.3(z) or is a commodity option 

transaction which has been determined by the exchange to be 

economically appropriate to the reduction of risks in the conduct and 

management of a commercial enterprise pursuant to exchange rules, and 

is in an account designated in MF Global Inc.’s records as a hedging 

account. 

 6. Any cash or other property deposited or cash price tendered for any 

property deposited, prior to October 31, 2011, for the specifically noted 

purpose of taking or making physical delivery on an options or futures 

contract, which cash or other property is identified on MF Global Inc.’s 

records as received from or for your account within three or less days of 

the notice date or three or less days of the exercise date. NOTE: If you 

check this box, the Trustee’s Office will contact you to request that 

you provide specific additional information regarding this type of 

property. 

 7. Open commodity contracts transferred to another futures commission 

merchant by the Trustee. 

 8. My claim is not based on any of the types of money, securities or other 

property listed in Items (IV.B.1-7), above. 

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C. If you are claiming securities for this account, do you wish to receive payment in 

kind, to the extent possible? 

Check one: YES  NO 

WHEN COMPLETING THE ABOVE PLEASE KEEP IN MIND: 

 If you cannot compute the amount of your claim, you may file an estimated claim. In that 

case, please be sure to indicate that your claim is an estimated claim. 

 Proper documentation can speed the review, allowance, and satisfaction of your claim. 

 Please enclose: copies (not originals) of any documentation or correspondence you believe 

will be of assistance in processing your claim, including, but not limited to, customer 

confirmations, account statements, and statements of purchase or sale. 

 If, at any time, you complained in writing about the handling of your account to any person 

or entity or regulatory authority, and the complaint relates to the cash or other property that 

you are now seeking, please be sure to provide with your claim copies of the complaint and 

all related correspondence, as well as copies of any replies that you received. 

Please list the full name, address, phone number, and email address of anyone assisting you 

in the preparation of this claim form: 

Full name: 

Address: 

Phone number: 

Email address: 

If more than one person is assisting you, attach additional pages providing the information in the 

exact format above. 

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. 

CONVICTION CAN RESULT IN A FINE OF UP TO $50,000 OR IMPRISONMENT OF 

UP TO FIVE YEARS OR BOTH. 

THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY 

INFORMATION AND BELIEF. 

Date Signature 

Date Signature 

(If ownership of the account is shared, all must sign above. Give each owner’s name, address, 

phone number, and extent of ownership on a signed separate sheet. If other than a personal 

account, e.g., corporate, trustee, agent, custodian, etc., also state your capacity and authority. 

Please supply the trust agreement or other proof of authority.) 

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Exhibit D 

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MF GLOBAL INC. 

In Liquidation 

November 28, 2011 

TO ALL PERSONS ASSERTING CLAIMS AS CREDITORS OF MF GLOBAL INC. (OTHER 

THAN WITH RESPECT TO SECURITIES ACCOUNTS OR COMMODITY FUTURES 

ACCOUNTS): 

Enclosed with this letter is a claim form for creditors of MF Global Inc. (the 

“Debtor”). If you believe that you have a bona-fide creditor claim against the Debtor, you must 

complete this form file it with the Trustee electronically online at www.mfglobaltrustee.com or 

return it by certified mail, return receipt requested, to the Trustee at the following address: 

If by first class mail: 

MF Global Inc. Claims Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

P.O. Box 3656 

Portland, OR 97208-3656 

If by overnight mail:

MF Global Inc. Claim Processing Center 

c/o Epiq Bankruptcy Solutions, LLC 

10300 SW Allen Blvd. 

Beaverton, OR 97005 

In addition to this letter, you should carefully read the enclosed notice concerning 

the liquidation of the business of MF Global Inc. This notice informs you of the steps necessary 

to protect your interests in the proceeding. Among other things, as indicated in the notice, 

securities customers and commodity futures customers of the debtor should consider filing the 

appropriate type of customer claim, also included in today’s mailing. 

The Notice also informs all creditors of the Debtor other than customers or 

broker-dealers that they must file formal claims with the Trustee within SIX MONTHS of the 

date of the Notice.

Because claims are not deemed filed until received by the Trustee at the above 

address, if you submit your claim by mail it is strongly recommended that you use certified mail, 

return receipt requested. No claim will be allowed unless received by the Trustee on or 

before May 28, 2012.

You should attach to the completed claim form copies of all documentation 

supporting your claim. Please make a copy of the completed claim form and any attached 

documentation for your own records. 

DATED: November 28, 2011 

Very truly yours, 

____________________________ 

James W. Giddens, 

Trustee for the SIPA Liquidation of 

MF Global Inc. 

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Exhibit E 

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MF Global Inc. Claims Processing 

c/o Epiq Bankruptcy Solutions, LLC 

757 Third Avenue, 3rd Floor 

New York, NY 10017 

In re MF Global Inc. 

Case No. 11-2790 (MG) SIPA 

REQUEST FOR ADDITIONAL INFORMATION—COMMODITY FUTURES 

CUSTOMER CLAIM 

 [Date] 

VIA UPS OVERNIGHT

[EPIQ TO POPULATE 

NAME OF CLAIMANT AND 

ADDRESS OF CLAIMANT] 

Re: Claim Number(s): [A1] 

Dear Claimant: 

PLEASE READ THIS NOTICE CAREFULLY 

The liquidation of the business of MF Global Inc. (“MFGI”) is being conducted under the 

above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on 

October 31, 2011 by the United States District Court for the Southern District of New York. We 

acknowledge receipt of the above-referenced claim(s) in this proceeding (the “Claim”). 

We have begun processing your Claim, but require the following information and/or 

documentation in order to properly evaluate your Claim: 

 Please provide the MFGI account number that relates to this claim. 

 Please provide your daytime phone number. 

 Please provide your email address. 

 Please provide your taxpayer I.D. Number. 

 Please provide your Social Security Number. 

 Please enclose a copy of your last MFGI account statement or any documents to indicate that you held an 

account at MFGI. 

 Please provide copies of all correspondence you had with MFGI or any of their representatives or affiliates. 

 Section I.A—Please state the total amount, as of the close of business on October 31, 2011, of MFGI’s 

indebtedness to you. Please indicate whether this amount is estimated or calculated. 

 Section I.A—Please indicate whether the total amount, as of the close of business on October 31, 2011, of 

MFGI’s indebtedness to you that you stated in your filed claim is estimated or calculated. 

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 Section I.B—Please answer “yes” or “no”—Was the entire sum you entered in part I.A of your filed 

claim based on cash or cash equivalents (including securities posted as collateral) in you commodity futures 

account (i.e., you had no open positions in your account on October 31, 2011)? If “yes,” please (1) state 

the amount of cash or cash equivalents in the account, as of October 31, 2011; and (2) state the equity, as of 

October 31, 2011, based on the commodity transactions in the account (i.e., not based on cash or cash 

equivalents). 

 Section I.B.1—Please state the amount of cash or cash equivalents in the account, as of October 31, 2011. 

 Section I.B.2—Please state the equity, as of October 31, 2011, based on the commodity transactions in the 

account (i.e., not based on cash or cash equivalents). 

 Section I—Please provide a detailed description on a signed attachment of the basis for the amounts you 

stated in Item I in your filed claim, and attach any supporting documentation that you have. 

 Section II.A—Please answer “yes” or “no”—Was any part of your account transferred to one or more 

transferee futures commission merchants after October 31, 2011? If “yes,” then please (1) identify the 

name(s) of the transferee futures commission merchant(s); (2) identify the commodity contracts (including 

futures and options on futures) that were transferred (to each transferee, if more than one), and (3) specify 

the amount of collateral, in U.S. dollars, that was transferred along with such commodity contracts, if any. 

Please also state the equity based on the commodity contracts that were transferred from the account: (i) as 

of the date of the transfer; and (ii) as the commodity contracts existed in the account on October 31, 2011. 

Please attach any supporting documentation that you have. 

 Section II.A.1—You have indicated that all or part of your account was transferred to one or more 

transferee futures commission merchants after October 31, 2011. Please identify the name(s) of the 

transferee futures commission merchant(s). Please attach any supporting documentation that you have. 

 Section II.A.2—You have indicated that all or part of your account was transferred to one or more 

transferee futures commission merchants after October 31, 2011. Please identify the commodity contracts 

(including futures and options on futures) that were transferred (to each transferee, if more than one). 

Please attach any supporting documentation that you have. 

 Section II.A.3—You have indicated that all or part of your account was transferred to one or more 

transferee futures commission merchants after October 31, 2011. Please specify the amount of collateral, in 

U.S. dollars, that was transferred along with such commodity contracts, if any. Please attach any 

supporting documentation that you have. 

 Section II.A.4—You have indicated that all or part of your account was transferred to one or more 

transferee futures commission merchants after October 31, 2011. Please state the equity based on the 

commodity contracts that were transferred from the account: (i) as of the date of the transfer; and (ii) as 

the commodity contracts existed in the account on October 31, 2011. Please attach any supporting 

documentation that you have. 

 Section III.A—Please specify the type of account (select one): (1) futures account; (2) foreign futures 

account; (3) leverage account; (4) option account—exchange-traded; (5) option account—dealer; (6) 

delivery account; (7) cleared OTC derivatives account. 

 Section III.B—Please specify the capacity in which you hold the account (list all that apply): (1) individual 

capacity; (2) as guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform 

Gift to Minors Act; (3) as executor or administrator of an estate; (4) as trustee for the trust beneficiary; (5) 

in the name of a corporation, partnership, or unincorporated association; (6) as an omnibus customer 

account of the undersigned futures commission merchant; (7) as part owner of a joint account; (8) in the 

name of a plan which, on October 31, 2011, had in effect a registration statement in accordance with the 

requirements of § 1031 of the Employee Retirement Income Security Act of 1974 and the regulations 

thereunder; (9) as agent or nominee for a principle or beneficial owner (and not described in items III.B.1-

8); (10) in any other capacity not already described in items III.B.1-9 (please specify). 

 Section III.C—Please indicate whether any person (including a general partnership, limited partnership, 

corporation, or other type of association) on whose behalf the account is held is one of the following persons 

or if one of the following persons, alone or jointly, holds 10% or more of the account (list all that apply): (1) 

MF Global Inc.; (2) Director of MF Global Inc.; (3) Officer of MF Global Inc.; (4) Person in control of MF 

Global Inc.; (5) Partnership in which MF Global Inc. is a general partner; (6) Owner of ten percent or more 

of the capital stock of MF Global Inc.; (7) Employee of MF Global Inc. whose duties include (a) the 

management of the business of MF Global Inc. or any part thereof; (b) the handling of the trades or 

customer funds of customers of MF Global Inc.; (c) the keeping of records pertaining to the trades or funds 

of customers of MF Global Inc.; or (d) the signing or co-signing of checks or drafts on behalf of MF Global 

Inc.; (8) Managing agent of MF Global Inc.; (9) A spouse or minor dependent living in the same household 

of any of the persons listed in items III.C.1-8, or any other relative, regardless of residency, defined as an 

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individual related by affinity or consanguinity within the third degree as determined by the common law, or 

individual in a step or adoptive relationship with such degree; (10) “Affiliate” of MF Global Inc. (as defined 

in the claim form); or (11) Any of the persons listed in items II.C.1-8, if such person is associated with an 

affiliate of MF Global Inc. as if the affiliate were MF Global Inc. 

 Section III.D— Please answer “yes” or “no,” whether this is a discretionary account. If “yes,” please 

specify who has the general authority to buy or sell orders or effectuate transactions for your account. 

 Section III.E— Please answer “yes” or “no,” whether this is a joint account. If “yes,” please specify the 

amount of your percentage interest in the account, and whether all participants in a joint account are 

claiming jointly. 

 Section III.F—Please answer “yes” or “no,” whether your claim based on securities futures products. If 

“yes,” please specify whether this is a securities account or futures account. 

 Section IV.A—Please answer “yes” or “no,” whether MF Global Inc. has any claims against you not 

already included in the equity calculated in item I.A of your claim form. If “yes,” please provide a detailed 

description in a signed attachment of any such claim or claims, and attach any supporting documentation. 

 Section IV.A—You indicated that MF Global Inc. has a claim or claims against you not already included in 

the equity calculated in item I.A of your claim form. Please provide a detailed description in a signed 

attachment of any such claim or claims, and attach any supporting documentation. 

 Section IV.B— Please answer “yes” or “no,” whether the equity calculated in item I.A of your claim form 

includes any deposits of money, securities or other property held by or for MF Global Inc. from or for your 

account. 

 Section IV.B—You indicated that the equity calculated in item I.A of your claim form includes deposits of 

money, securities or other property held by or for MF Global Inc. from or for your account. Please indicate 

whether any such money, securities or other property consists of one of the following descriptions, and if so, 

please provide a detailed explanation on a signed attachment, and attach any supporting documentation 

you have. Please list all that apply: 

1. Any security deposited as margin which, as of October 31, 2011, was securing an open 

commodity contract and is (i) registered in your name; (ii) not transferable by delivery; and 

(iii) not a short-term obligation. 

2. Any fully-paid, non-exempt security held for your account in which there were no open 

contracts as of October 31, 2011. 

3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as 

of October 31, 2011, was securing an open commodity contract and can be identified in MF 

Global Inc.’s records as being held for your account, and is neither in bearer form nor 

otherwise transferable by delivery. 

4. Any warehouse receipt, bill of lading or other document of title, or any commodity received, 

acquired or held by or for MF Global Inc. to make or take physical delivery or exercise from 

or for your account and which can be identified in MF Global Inc.’s records as received from 

or for your account as held specifically for the purpose of delivery or exercise. 

5. Any open commodity contract (except as provided in item (IV.B.8.), below) which, as of 

October 31, 2011, is identified in MF Global Inc.’s records as being held for your account, is a 

bona fide hedging position or transaction as defined in CFTC Rule 1.3(z) or is a commodity 

option transaction which has been determined by the exchange to be economically 

appropriate to the reduction of risks in the conduct and management of a commercial 

enterprise pursuant to exchange rules, and is in an account designated in MF Global Inc.’s 

records as a hedging account. 

6. Any cash or other property deposited or cash price tendered for any property deposited, 

prior to October 31, 2011, for the specifically noted purpose of taking or making physical 

delivery on an options or futures contract, which cash or other property is identified on MF 

Global Inc.’s records as received from or for your account within three or less days of the 

notice date or three or less days of the exercise date. NOTE: If yes, the Trustee’s Office will 

contact you to request that you provide specific additional information regarding this type of 

property. 

7. Open commodity contracts transferred to another futures commission merchant by the 

trustee. 

8. Your claim is not based on any of the types of money, securities or other property listed in 

items IV.B.1-7, above. 

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 Section IV.C— Please answer “yes” or “no,” whether you are claiming securities for this account. If “yes,” 

please answer “yes” or “no,” whether you wish to receive payment in kind, to the extent possible. 

 Please provide the full name(s), address(es), phone number(s), and email address(es) of each person that 

assisted you in the preparation of your claim form. 

 The submitted claim form does not include the claimant’s dated signature. Please have the claimant sign 

and date the enclosed Amendment to Claim Form. 

 Because the account is a joint account, please have each account holder sign and date the enclosed 

Amendment to Claim Form. 

Your Claim cannot be processed further until you provide us with the requested 

information and/or documentation. Please return a copy of this letter with the requested 

information via certified mail, return receipt requested to: 

MF Global Inc. Claims Processing 

c/o Epiq Bankruptcy Solutions, LLC 

757 Third Avenue, 3rd Floor 

New York, NY 10017 

If you are unable to provide the requested information and/or documentation, please 

provide a brief written explanation. We request your response within (30) thirty days from 

the date of this letter or your Claim may be denied. Thank you for your cooperation. 

Very truly yours, 

MFGI Claims Processing 

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COMMODITY FUTURES CUSTOMER CLAIM FORM 

MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]

Account Name: Daytime Phone: 

Account Number: Email: 

Address: 

 

Contact Person: Taxpayer I.D. Number 

 (Social Security No.) ______________

INSTRUCTIONS

Because you failed to sign the claim form you provided, sign and date the below Amendment to 

Claim Form. If ownership of the account is shared, all must sign below. Please provide each 

owner’s name, address, phone number, and extent of ownership on a signed separate sheet. If 

other than a personal account, e.g., corporate, trustee, custodian, etc, also state your capacity and 

authority. Please supply the trust agreement or other proof of authority. 

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. 

CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR 

IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. 

THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY 

INFORMATION AND BELIEF. 

Date Signature 

Date Signature 

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MF Global Inc. Claims Processing 

c/o Epiq Bankruptcy Solutions, LLC 

757 Third Avenue, 3rd Floor 

New York, NY 10017 

In re MF Global Inc. 

Case No. 11-2790 (MG) SIPA 

REQUEST FOR ADDITIONAL INFORMATION—SECURITIES CUSTOMER CLAIM 

[Date] 

VIA UPS OVERNIGHT

[EPIQ TO POPULATE 

NAME OF CLAIMANT AND 

ADDRESS OF CLAIMANT] 

Re: Claim Number(s): [A1] 

Dear Claimant: 

PLEASE READ THIS NOTICE CAREFULLY 

The liquidation of the business of MF Global Inc. (“MFGI”) is being conducted under the 

above-referenced case number by James W. Giddens, Trustee, pursuant to an Order entered on 

October 31, 2011 by the United States District Court for the Southern District of New York. We 

acknowledge receipt of the above-referenced claim(s) in this proceeding (the “Claim”). 

We have begun processing your Claim, but require the following information and/or 

documentation in order to properly evaluate your Claim: 

 Please provide the MFGI account number that relates to this claim.

 Please provide your daytime phone number.

 Please provide your email address.

 Please provide your taxpayer I.D. Number.

 Please provide your Social Security Number.

 Please enclose a copy of your last MFGI account statement or copies of any documents to 

indicate that you held an account at MFGI.

 Please provide copies of all correspondence you had with MFGI or any of its representatives 

or affiliates.

 Section I—Please state the total value of your claim against MFGI, based on, as of October 

31, 2011, (i) all cash owed to you by MFGI less all cash you owe MFGI, if any, and (ii) the 

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value of all securities owed to you by MFGI less all securities you owe to MFGI, if any. 

Please indicate whether this value is estimated or calculated.

 Section I—Please indicate whether the total value of your claim that you provided was 

estimated or calculated.

 Section II.A—Please state your claim for money balances or cash as of October 31, 2011 as 

follows (i) the amount in which MFGI owes you a credit or cash, if any, (ii) the amount in 

which you owe MFGI a debit or cash, if any.

 Section II.B—Please state your claim for securities as of October 31, 2011 as follows: (i) 

indicate whether MFGI owes you securities, (ii) indicate whether you owe MFGI securities, 

and (iii) please list the date of transaction (trade date), name of security, and number of 

shares or face amount of bonds that MFGI owes you (long), and that you owe MFGI (short).

 Section II.B—You indicated that you have a claim for securities as of October 31, 2011. 

Please list the date of transaction (trade date), name of security, and number of shares or face 

amount of bonds that MFGI owes you (long), and that you owe MFGI (short).

 Section III.1—Please answer “yes” or “no”—Does your claim in any way relate to an entity 

other than MF Global Inc. (for example, MF Global Holdings Inc., MF Global Finance USA 

Inc. or another MF Global subsidiary)? If “yes,” then please provide a detailed explanation 

on a signed attachment.

 Section III.1—You have indicated that your claim relates to an entity other than MF Global 

Inc. Please provide a detailed explanation on a signed attachment.

 Section III.2—Please answer “yes” or “no”—Has there been any change in your account since 

October 31, 2011? If “yes,” then please provide a detailed explanation on a signed 

attachment.

 Section III.2—You have indicated that there been a change in your account since October 31, 

2011. Please provide a detailed explanation on a signed attachment.

 Section III.3—Please answer “yes” or “no”—Are you, or were you ever, a director, officer, 

partner, shareholder, lender to, capital contributor of, or party to a repurchase or reverse 

repurchase agreement of MFGI? If “yes,” then please provide a detailed explanation on a 

signed attachment.

 Section III.3—You have indicated that you are or were a director, officer, partner, 

shareholder, lender to, capital contributor of, or party to a repurchase or reverse repurchase 

agreement of MFGI. Please provide a detailed explanation of the circumstances on a signed 

attachment.

 Section III.4—Please answer “yes” or “no”—Are you related to, or do you have any business 

venture with a director, officer, partner, shareholder, lender to, or capital contributor of 

MFGI, or any employee or other person associated in any way with MFGI? If so, please 

provide the full name of each such person.

 Section III.4—You have indicated that you are related to, or have any business venture with a 

director, officer, partner, shareholder, lender to, or capital contributor of MFGI, or any 

employee or other person associated in any way with MFGI. Please provide the full name of 

each such person.

 Section III.5—Please answer “yes” or “no”—Are you or were you a person who, directly or 

indirectly, through agreement or otherwise, exercised or had the power to exercise a 

controlling influence over the management or policies of MFGI? If “yes,” then please 

provide a detailed explanation on a signed attachment.

 Section III.5—You have indicated that you are or were a person who, directly or indirectly, 

through agreement or otherwise, exercised or had the power to exercise a controlling 

influence over the management or policies of MFGI? Please provide a detailed explanation 

on a signed attachment.

 Section III.6—Please answer “yes” or “no”—Is this claim being filed on behalf of a customer 

of a broker, dealer, or bank? If the answer is “yes,” please provide documentation with 

respect to each customer on whose behalf you are claiming.

 Section III.6—You have indicated that your claim being filed on behalf of a customer of a 

broker, dealer, or bank. Please provide documentation with respect to each customer on 

whose behalf you are claiming.

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 Section III.7—Please answer “yes” or “no”—Have you ever given any discretionary authority 

to any person to execute securities transactions with or through MFGI on your behalf? If 

“yes,” please provide the full names, addresses and phone numbers for each person.

 Section III.7—You have indicated that you have given discretionary authority to another 

person to execute securities transactions with or through MFGI on your behalf. Please 

provide the full names, addresses and phone numbers for each person.

 Section III.8—Please answer “yes” or “no”—Have you or any member of your family ever 

filed a claim under the Securities Investor Protection Act of 1970? If “yes,” please provide 

the full name of the broker involved in the claim.

 Section III.8—You have indicated that you or a member of your family has filed a claim 

under the Securities Investor Protection Act of 1970. Please provide the full name of the 

broker involved in the claim.

 Please provide the full name(s), address(es), phone number(s), and email address(es) of each 

person that assisted you in the preparation of your claim form. 

 The submitted claim form does not include the claimant’s dated signature. Please have the 

claimant sign and date the enclosed Amendment to Claim Form.

 Because the account is a joint account, please have each account holder sign and date the 

enclosed Amendment to Claim Form.

Your Claim cannot be processed further until you provide us with the requested 

information and/or documentation. Please return a copy of this letter with the requested 

information via certified mail, return receipt requested to: 

MF Global Inc. Claims Processing 

c/o Epiq Bankruptcy Solutions, LLC 

757 Third Avenue, 3rd Floor 

New York, NY 10017 

If you are unable to provide the requested information and/or documentation, please 

provide a brief written explanation. We request your response within (30) thirty days from 

the date of this letter or your Claim may be denied. Thank you for your cooperation. 

Very truly yours, 

MFGI Claims Processing

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SECURITIES CUSTOMER CLAIM FORM 

MF GLOBAL INC.

AMENDMENT TO CLAIM FORM _[A1]

Account Name: Daytime Phone: 

Account Number: Email: 

Address: 

 

Contact Person: Taxpayer I.D. Number 

 (Social Security No.) ______________

INSTRUCTIONS

Because you failed to sign the claim form you provided, sign and date the below Amendment to 

Claim Form. If ownership of the account is shared, all must sign below. Please provide each 

owner’s name, address, phone number, and extent of ownership on a signed separate sheet. If 

other than a personal account, e.g., corporate, trustee, custodian, etc, also state your capacity and 

authority. Please supply the trust agreement or other proof of authority. 

IT IS A VIOLATION OF FEDERAL LAW TO FILE A FRAUDULENT CLAIM. 

CONVICTION CAN RESULT IN A FINE OF NOT MORE THAN $50,000 OR 

IMPRISONMENT FOR NOT MORE THAN FIVE YEARS OR BOTH. 

THE FOREGOING CLAIM IS TRUE AND ACCURATE TO THE BEST OF MY 

INFORMATION AND BELIEF. 

Date Signature 

Date Signature 

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Exhibit F 

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MF GLOBAL INC. 

In Liquidation 

[Date] 

NOTICE OF TRUSTEE’S DETERMINATION OF CLAIM 

[Date] 

[Name of Claimant] 

[Address] 

Dear Claimant: 

PLEASE READ THIS NOTICE CAREFULLY. 

The liquidation of the business of MF Global Inc. is being conducted by James W. 

Giddens, Trustee pursuant to an order entered on October 31, 2011 by the United States District 

Court for the Southern District of New York. 

The Trustee has made the following determination regarding your claim 

designated as Claim Number __________________. [__________________________.] 

PLEASE TAKE NOTICE: If you disagree with this determination and desire a hearing before 

Bankruptcy Judge Martin Glenn, you MUST file your written opposition, setting forth (i) the 

claim number; (ii) a detailed statement of the reasons for your objection to the Trustee’s 

determination; (iii) copies of any document or other writing upon which you rely; and (iv) 

mailing, phone, and email contact information, with the United States Bankruptcy Court and the 

Trustee within THIRTY DAYS of the date of this notice. 

PLEASE TAKE FURTHER NOTICE: If you do not properly and timely file a written 

opposition, the Trustee’s determination with respect to your claim will be deemed confirmed by 

the Court and binding on you. 

PLEASE TAKE FURTHER NOTICE: If you properly and timely file a written opposition, a 

hearing date for this controversy will be obtained by the Trustee upon the Trustee’s motion to 

uphold this determination, and you will be notified of that hearing date. Your failure to appear 

personally or through counsel at such hearing will result in the Trustee’s determination with 

respect to your claim being confirmed by the Court and binding on you. Prior to the Trustee’s 

filing of a motion to uphold this determination, no discovery or other motion practice shall occur 

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2 

regarding this determination or facts giving rise to this determination, absent prior Court 

approval. 

PLEASE TAKE FURTHER NOTICE: You must file your opposition in accordance with the 

above procedure electronically with the Court on the docket of In re MF Global Inc., Case No. 

11-2790 (MG) SIPA in accordance with General Order M-242 (available at 

www.nysb.uscourts.gov/orders/orders2.html) by registered users of the Court’s case filing 

system and by all other parties in interest on a 3.5 inch disk, preferably in Portable Document 

Format (PDF), Microsoft Word or any other Windows-based word processing format. 

If you do not have means to file your opposition electronically, you may mail your opposition to: 

Clerk of the United States Bankruptcy Court 

Southern District of New York 

One Bowling Green 

New York, New York 10004 

PLEASE TAKE FURTHER NOTICE: You must serve your opposition upon the Trustee’s 

counsel by mailing a copy to: 

Hughes Hubbard & Reed LLP 

One Battery Park Plaza 

New York, NY 10004 

Attn: MFGI Hearing Request 

Attorneys for James W. Giddens, Trustee for 

the SIPA Liquidation of MF Global Inc. 

Trustee for the SIPA Liquidation of MF Global Inc. 

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Exhibit G 

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UNITED STATES BANKRUPTCY COURT 

SOUTHERN DISTRICT OF NEW YORK

In re 

MF GLOBAL INC., 

Debtor. 

Case No. 11-2790 (MG) SIPA 

ORDER APPROVING TRUSTEE’S APPLICATION FOR 

ESTABLISHING PARALLEL CLAIMS PROCESSES FOR COMMODITY FUTURES 

CUSTOMER AND SECURITIES CUSTOMER CLAIMS, APPROVING FORM AND 

MANNER OF PUBLICATION AND MAILING OF NOTICE OF COMMENCEMENT; 

SPECIFYING PROCEDURES AND FORMS FOR FILING, INFORMAL AND FORMAL 

DETERMINATION, AND ADJUDICATION OF CLAIMS; 

FIXING A MEETING OF CUSTOMERS AND OTHER CREDITORS; 

AND FIXING INTERIM REPORTING PURSUANT TO SIPA

Upon the Trustee’s expedited application seeking entry of an order (1) 

establishing parallel claims processes for commodity futures customer and securities customer 

claims; (2) approving the form and manner of the publication and mailing of the notice of 

commencement of this proceeding; (3) specifying procedures and forms for the filing, 

determination, and adjudication of claims; (4) fixing a meeting of customers and other creditors; 

and (5) fixing an interim reporting procedure pursuant to SIPA (the “Application”);1

 and due and 

proper notice of the Application having been provided; and it appearing that no other or further 

notice need be provided; and a hearing having been held on November 16, 2011, to consider 

relief requested in the Application (the “Hearing”), and upon the record of the Hearing, and all 

the proceedings had before the Court; and the Court having found and determined that the relief 

 

1. Terms not defined herein shall have the meaning used in the Application. 

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sought in the Application is in the best interests of the Debtor, its estate, securities customers, 

commodity futures customers, other creditors, and all parties in interest, and that the legal and 

factual bases set forth in the Application establish just cause for the relief granted herein; and 

after due deliberation and sufficient cause appearing therefore, it is: 

ORDERED that the Application is granted; and it is further 

ORDERED that the notice of commencement attached as Exhibit A to the 

Application (the “Notice of Commencement”), and the explanatory letters, claim forms, 

instructions and notice of deficiency of claim and notice of trustee’s determination of claim 

appearing as Exhibits B, C, D, E, and F to the Application be, and they hereby are, authorized 

and approved; and it is further 

ORDERED that the Trustee shall have the authority, on the advice and consent of 

the Securities Investment Protection Corporation (“SIPC”) and the Commodity Futures Trading 

Commission (“CFTC”), to amend these forms without further order of this Court; and it is 

further 

ORDERED that the Trustee shall cause the Notice of Commencement, 

substantially in the form attached to the Application as Exhibit A, to be published no later than 

November 28, 2011 in all editions of The New York Times, all editions of The Wall Street 

Journal, all editions of The Financial Times, and all editions of The Chicago Tribune; and it is 

further 

ORDERED that the Trustee shall cause documents substantially in the form of 

Exhibits A, B, C, and D to the Application to be mailed to persons who, as identified from the 

Debtor’s books and records, may potentially assert claims as securities customers, commodity 

futures customers, or general creditors, on or before November 28, 2011, and finding that such 

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mailing complies with SIPA § 78fff-2(a)(i) and Bankruptcy Code § 765(a) and 17 C.F.R. 

§ 190.02(b)(4); and it is further 

ORDERED that the Trustee shall cause documents substantially in the form of 

Exhibits A, B, C, and D to the Application to be made available on the Trustee’s website, 

www.mfglobaltrustee.com, for download, no later than the day after the date of entry of this 

order; and it is further 

ORDERED that the Trustee shall have the authority, as provided in section 78fff2(b) of SIPA, to satisfy securities customer claims, insofar as the claims agree with the Debtor’s 

books and records, or are otherwise established to the Trustee’s satisfaction, without further 

orders of this Court; and it is further 

ORDERED that nothing in this order shall prevent the Trustee from agreeing to 

procedures for intercompany claims as the Trustee may determine is in the best interests of the 

MFGI estate; and it is further 

ORDERED that, with respect to securities customer net equity claims, the Trustee 

shall have the authority to satisfy claims out of moneys made available to the Trustee by SIPC 

notwithstanding the fact that there has not been any showing or determination that there are 

sufficient funds of the Debtor available to satisfy such claims; and it is further 

ORDERED that, with respect to securities customer claims relating to, or 

securities customer net equities based upon, securities of a class and series of an issuer which are 

ascertainable from the books and records of the Debtor or are otherwise established to the 

satisfaction of the Trustee, the Trustee shall have the authority to deliver securities of such class 

and series, if and to the extent available to satisfy such claims in whole or in part, with partial 

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deliveries to be made pro rata to the greatest extent considered practicable by the Trustee; and it 

is further 

ORDERED that the Trustee shall implement the procedures prescribed in 17 

C.F.R. § 190.08 for allocation and distribution of commodity futures customer property, to 

satisfy commodity futures customer claims, insofar as the claims agree with the Debtor’s books 

and records, or are otherwise established to the Trustee’s satisfaction; and it is further 

ORDERED that the Trustee shall use the following procedure for those securities 

customer claims, as defined in SIPA, and commodity futures customer claims, as defined in the 

Commodity Broker Liquidation Provisions and the Part 190 Regulations, which are not allowed 

as filed: 

a. The Trustee will notify the claimant that the Trustee 

has determined that the claimant’s claim has been 

disallowed in whole or in part or has otherwise not 

been approved for satisfaction as filed. Notification 

shall be in a form similar to the Notice of 

Determination of Claim, attached as Exhibit D 

hereto. If a claimant is aggrieved by the 

determination of the Trustee, the claimant, upon the 

Trustee’s motion to uphold such determination, 

shall be afforded the opportunity to have the matter 

heard by the Court as a contested matter under Rule 

9014 of the Bankruptcy Rules. Prior to the 

Trustee’s filing of a motion to uphold his 

determination, no discovery or other motion 

practice shall occur regarding the Trustee’s 

determination of claim or facts giving rise to such 

determination, absent prior Court approval. 

b. The claimant shall file a written opposition to the 

Trustee’s determination in accordance with the 

instructions included with the Trustee’s 

determination. The claimant shall file the written 

opposition with the Bankruptcy Court in accordance 

with local rules, and serve upon the Trustee’s 

counsel, Hughes Hubbard & Reed LLP, One 

Battery Park Plaza, New York, NY 10004, 

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Attention: MFGI Hearing Request, within thirty 

days of the date on which the Trustee mailed his 

determination. The request shall include: (i) the 

claim number; (ii) a detailed statement of the 

reasons for the claimant’s objection to the Trustee’s 

determination; (iii) copies of any document or other 

writing upon which the claimant relies; and (iv) 

mailing, phone, and email contact information for 

the claimant. 

c. The Trustee shall, upon his motion to uphold the 

determination, ask the Court to set a time and date 

for a hearing and shall notify the claimant in writing 

of the time, date and place of the hearing. The 

Trustee may, in his discretion, upon the advice and 

consent of SIPC (and, with respect to commodity 

futures customer claims, the CFTC), establish such 

other procedures for adjudication of claims as lead 

to the most efficient and orderly administration of 

the claims process for all claimants without further 

order of this Court. 

d. If a claimant fails to file a written opposition within 

thirty days of the mailing of the Trustee’s 

determination in accordance with the procedures 

established by this Court’s Order, or if the claimant 

fails to appear at a scheduled hearing, then the 

Trustee’s determination shall be final. 

ORDERED that the Trustee shall have the authority to compromise and settle any 

customer claim at any time, as appropriate, without further order of this Court and all parties to 

this proceeding are directed to cooperate with the Trustee to the maximum extent possible to 

achieve swift resolution of claims where possible; and it is further 

ORDERED that any claim of a securities customer for net equity under SIPA 

which is received by the Trustee after the expiration of a sixty-day time period beginning on the 

date of publication of the Notice of Commencement need not be paid or satisfied in whole or in 

part out of customer property, and, to the extent such claim is satisfied from monies advanced by 

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SIPC, it shall be satisfied in cash or securities (or both) as the Trustee determines is most 

economical to the estate; and it is further 

ORDERED that based on the November 28, 2011 mailing date for the Notice of 

Commencement, the bar date for the claims of commodity futures customers is January 27, 2012, 

the bar date for receiving the maximum possible protection for securities customer claims under 

SIPA is January 27, 2012, and the bar date for all securities customer claims or general creditor 

claims is May 28, 2012; and it is further 

ORDERED that claims against the Debtor in this proceeding shall be filed with 

the Trustee electronically online at www.mfglobaltrustee.com, or sent to the Trustee via certified 

mail, return receipt requested, through the Trustee’s claims agent, Epiq Bankruptcy Solutions, 

LLC at: (i) for delivery via first class mail, MF Global Inc. Claims Processing Center, c/o Epiq 

Bankruptcy Solutions, LLC, P.O. Box 3656, Portland, OR 97208-3656; or (ii) for delivery via 

overnight courier or hand delivery, MF Global Inc. Claims Processing Center, c/o Epiq 

Bankruptcy Solutions, LLC, 10300 SW Allen Blvd., Beaverton, OR 97005; and it is further 

ORDERED that a meeting of customers and creditors will take place on January 

12, 2012 at 10:00 a.m., at the New York Marriott Downtown, 85 West Street, New York, NY 

10006; and it is further 

ORDERED that the Trustee shall file his first report pursuant to SIPA § 78fff-1(c) 

within six months after publication of the Notice of Commencement, and shall file interim 

reports at least every six months thereafter. 

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Dated: New York, New York 

November __, 2011 

 ____________________________________ 

 HONORABLE MARTIN GLENN 

UNITED STATES BANKRUPTCY JUDGE 

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